Capability Development in Support 

of Comprehensive Approaches

Capability Development in Support 

of Comprehensive Approaches 

Transforming International Civil-Military Interactions

Edited by Derrick J. Neal and Linton Wells II

Center for Technology and National Security Policy

Institute for National Strategic Studies

National Defense University

December 2011
Opinions, conclusions, and recommendations expressed or implied within are solely those of 

the contributors and do not necessarily represent the views of the Defense Department or any 

other agency of the Federal Government. Cleared for public release; distribution unlimited.

Portions of this work may be quoted or reprinted without permission, provided that a standard source credit line is included. NDU Press would appreciate a courtesy copy of reprints 

or reviews.

First printing, December 2011

This book was published by the Center for Technology and National Security Policy (CTNSP), 

Institute for National Strategic Studies, National Defense University, Washington, DC. 

CTNSP publications are available online at <www.ndu.edu/ctnsp/index.cfm>.
v

Contents

Foreword . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . vii

Acknowledgments . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .ix

Part 1: Concepts, Policy, and Organization for the 

Comprehensive Approach . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1

Chapter 1 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5

The Comprehensive Approach: Lessons for Its Adoption 

from a Change Management Perspective

Derrick J. Neal

Chapter 2 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23

Complex Operations and the Comprehensive Approach

John E. Herbst

Chapter 3 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 35

Attempting a Comprehensive Approach Definition and 

Its Implications for Reconceptualizing Capability Development

Michael Hallett and Oke Thorngren

Chapter 4 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 51

Strategy and the Comprehensive Approach

Christopher M. Schnaubelt

Part 2: Technology and the Comprehensive Approach . . . . . . . . . . . . . . . . . . 65

Chapter 5 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 69

Technology and the Comprehensive Approach: Part Problem, Part Solution

John Geis, Ted Hailes, and Grant Hammond

Chapter 6 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 87

Comprehensive C4ISR Approach: Bringing Nations, NATO, 

and the EU Together from Development to Operations

Velizar Shalamanov

Chapter 7 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 105

Bridging the Gap Between Enterprise Apps and Community-led Social Media

Ted Rybeck
vi

Part 3: Leadership, Management, Education, and Training 

and the Comprehensive Approach . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 121

Chapter 8 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 125

Boundary Spanning Across Leadership Cultures: 

A Leadership Strategy for the Comprehensive Approach

Richard L. Hughes, Charles J. Palus, Chris Ernst, George G. Houston, and John B. McGuire

Chapter 9 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 143

The Role of Education in the Comprehensive Approach

Ralph Doughty and Jon Stull

Chapter 10 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .161

Educating and Training for a Comprehensive Approach: 

An Australian Perspective

Richard T. Menhinick and Neville R. Gregory

Chapter 11 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .181

Comprehensive Approach on UNSCR 1325: 

Why the U.S. and Others Should Follow

Elizabeth Lape

Part 4: Integrated Approaches to Complex Operations . . . . . . . . . . . . . . . . . 199

Chapter 12 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .203

Linking NATO Capacity to Local Stakeholders

Linton Wells II, Terry J. Pudas, and Bryce McNitt

Chapter 13 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .229

Comprehensive Approach: The Swedish Case

Torsten Björkman and Henrik Friman

Chapter 14 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .245

The Comprehensive Approach to Humanitarian Logistics: 

An Opportunity to Enhance Professional Performance?

David M. Moore and Peter D. Antill

Part 5: Implementation of the Comprehensive Approach: 

Haiti as a Case Study . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 263

Chapter 15 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .267

Change of Attitude, Change of Conduct: Achieving 

Effectiveness in Implementing the Comprehensive Approach

Hans-Jürgen Kasselmann

Chapter 16 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .281

Communicating Through Logistics: Tracing World 

Food Programme Process Flow in Post-Earthquake Haiti

Rosa Akbari

Chapter 17 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .303

Summary of Conference Discussions and Conclusions

About the Authors . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .313
vii

Foreword

This book includes papers presented at the Second International Transformation 

(ITX2) Conference, held in Rome, Italy, at the NATO Defense College (NDC) June 

21–23, 2011, as well as a summary of the conference discussions. Co-hosted by NDC, 

Allied Command Transformation (ACT), and the International Transformation (ITX) 

Chairs Network, the conference brought together academics, policymakers, and practitioners from 13 nations to discuss the topic of “Capability Development in Support of 

Comprehensive Approaches: Transforming International Civil-Military Interactions.”

The growing importance of the Comprehensive Approach in NATO, and complex operations in individual nations, shaped the conference agenda and associated 

papers. The meeting’s focus on capability development provided a tangible complement to the conceptual discussions of the Comprehensive Approach that have taken 

place at senior policy levels. The effort leveraged the first International Transformation 

Conference, which was held in Stockholm, Sweden, in 2009. The resulting publication, 

Crosscutting Issues in International Transformation: Interactions and Innovations among 

People, Organizations, Processes, and Technology, is being used in U.S. Professional 

Military Education institutions as well as to support ACT’s national “Chiefs of 

Transformation” activities. We welcomed the chance for ACT, NDC, and ITX 

Chairs Network to partner on the ITX2 conference and address these issues.

Fifteen of the chapters published in this volume were presented in Rome. The 

16th was submitted afterward. The views are those of the individual authors. Based 

on the themes developed during the conference, the chapters are grouped in five 

categories associated with the Comprehensive Approach: (1) Concepts, Policy, 

and Organization; (2) Technology; (3) Leadership, Management, Education, and 

Training; (4) Integrated Approaches; and (5) Case Studies.

We hope that you will find this volume useful, and we welcome feedback.

Hans Binnendijk

Vice President for Research and Applied 

Learning

National Defense University

Richard D. Hooker

Dean

NATO Defense College

Robert G. Cooling

Vice Admiral, Royal Navy

Chief of Staff

Allied Command Transformation

ix

Acknowledgments

I

n 2008, the North Atlantic Treaty Organization (NATO) agreed to develop and 

implement a Comprehensive Approach (CA) to address international security 

challenges involving civil and military actors. The importance of a CA was identified in the 2010 Strategic Concept. In today’s reality of declining defense budgets, 

efficiency within the Alliance is key. Allied Command Transformation (ACT) is the 

Alliance’s leading instrument for change and has recently stood up a Comprehensive 

Approach Team, charged with integrating CA into the Alliance. ACT is making sure 

that there are requirements for the CA, developing training standards, and providing 

them to the NATO international staff. The command is building partnerships and 

working to improve member capabilities. One of the key recommendations from the 

ACT 2010 Chiefs of Transformation Conference was for the command to “endeavour 

to align nations, NATO, and International Organizations’ understanding of what the 

Comprehensive Approach is, identify how to best integrate civilian actors into planning 

processes and exercises and enhance collaboration with the [European Union] and the 

[United Nations] through common training.”

To assist ACT in this endeavor, the International Transformation (ITX) 

Chairs Network researched ways for the Alliance to develop capability to support 

the Comprehensive Approach. Drawing on the strength of the network, papers were 

written along the themes of technology, people, processes, and organization. The 

ensuing conference provided valuable insights into how to organize capabilities in 

support of CA situations, and it is hoped that this book will help the Alliance as it 

moves forward in an increasingly complex environment.

This volume is not only the product of the work done by the authors, to whom 

the editors are grateful for their intellect and commitment to the project, but also other 

individuals who made this project a reality.

For his support and co-sponsorship of the Second International Transformation 

Conference, we gratefully acknowledge General Stéphane Abrial, Supreme Allied 

Commander Transformation. Vice Admiral Robert G. Cooling, Chief of Staff of 

ACT, instilled into the Chairs the importance of the Comprehensive Approach 

to ACT and NATO. Vice Admiral Carol M. Pottenger, Deputy Chief of Staff, 

Capability Development, ACT, has been supportive throughout in creating linkages 

between the Chairs and ACT. We also thank Mr. Robert Napiorkowski in helping 

to set the agenda and inviting the NATO Centres of Excellence as well as other ACT 

constituencies.
x

Also for his support, co-sponsorship, and participation in the ITX2 Conference, 

we thank Lieutenant General Wolf-Dieter Loeser, Commandant of the NATO 

Defense College (NDC). We appreciate that he was able to sit in and participate in 

the panel discussions. We thank Dean Richard Hooker of the NDC for his support of 

the Chairs Network. The conference would not have been a success without Colonel 

Sandy Guptil, Director of the NATO Regional Cooperation Course at NDC, and 

the hard work of his staff: Ms. Mary Lou Farah, Lieutenant Colonel Andy Moyer, 

Commander Charles Malone, and Colonel Eric Cain. We also thank Dr. Florence 

Gaub of NDC for serving as moderator for the Education panel.

Much appreciation goes to Dr. Hans Binnendijk, Vice President for Research 

and Applied Learning at National Defense University for his support. We thank 

Jerry Faber, Director of of the Center for Strategic Conferencing, at the Institute for 

National Strategic Studies for his assistance. For her organization of the conference, 

we thank Gina Cordero. Henry Rust, Brett Young, and John Zacur provided editorial 

support for this book. We are also in debt to NDU Press for their work in bringing 

this to publication.
xi

The International Transformation 

Chairs Network

The International Transformation (ITX) Chairs Network has its origins 

in U.S. professional military education (PME) but has become international, adding representatives from Australia, Singapore, Sweden, the United 

Kingdom, the North Atlantic Treaty Organization (NATO) Allied Command 

Transformation (ACT), and the Civil-Military Cooperation Centre of Excellence. 

The network’s mission is to “provide a forum to challenge thinking, leverage shared 

knowledge and inform the debate about the national and international security implications of global transformation.” The vision is to “assist national security leaders and 

decision-makers in preparing for a future filled with complexity, chaos, and surprise.” 

The network approaches transformation as a process that shapes the changing nature 

of competition and cooperation through concept development and innovation management across people, processes, organization, and technology. Research by the network 

includes crosscutting interactions among those areas.

The goals for the network are to:

•	 inform ongoing debate with forward-thinking concepts on major transformational issues

•	 conduct research that identifies crosscutting issues, opens new vistas, and 

validates (or challenges) current initiatives

•	 serve as a resource in support of national and international leaders in realizing the transformational potential of Comprehensive Approach capabilities

•	 shape and share curricula to help educate and prepare future leaders and 

decision makers.

The network has contributed directly to changes in the U.S. military education 

policy, published monographs, and supported a variety of U.S. Department of Defense 

international activities.

In 2009, together with the Swedish Defence Research Agency, the network cosponsored the first International Transformation Conference in Stockholm. The 

resulting publication, Crosscutting Issues in International Transformation: Interactions 

and Innovations among People, Organizations, Processes, and Technology, is in its second 
xii

printing and used in U.S. PME institutions as well as to support ACT’s national 

“Chiefs of Transformation” activities.

In 2010, the network, in support of ACT, began to research ways to develop capability in support of the Comprehensive Approach. This work reinforced the natural 

synergy between the two organizations, both of which are catalysts for change and seek 

to bring together diverse audiences to promote learning and the development of solutions. As preparations for the ITX2 conference developed, the network invited both 

internal and external papers and worked closely with U.S., NATO, and international 

institutions to refine the agenda.

Current objectives for the ITX Chairs Network are to:

•	 help develop and educate leaders for a future filled with complexity, chaos, 

and surprise

•	 forge ties to ACT and the Civil-Military Cooperation Centre of Excellence 

to further the development of Comprehensive Approach capabilities

•	 contribute to the development of Joint Learning Concepts in support of 

capabilities development and curriculum change

•	 begin plans for a third International Transformation Conference in 2013 

focused on leadership education.
Part 1

Concepts, Policy, and Organization 

for the Comprehensive Approach
2

In 2008, the North Atlantic Treaty Organization (NATO) agreed to develop and 

implement the Comprehensive Approach (CA) concept to address international 

security challenges involving civil and military actors. The commitment to CA was 

reaffirmed at Lisbon in the Alliance’s 2010 Strategic Concept. Motivations included 

both the need for effectiveness in an increasingly complex international environment, 

and efficiency in an era of declining defense resources.

However, implementation of the CA and its structures has to be grounded in the 

political realities surrounding any major operation, whether in response to a manmade 

crisis or a natural disaster. Not only will political imperatives drive the structure, scope 

and timing of any CA, but they also have a tendency to change rapidly as part of either 

the domestic issues of the day or the response from the international community.

Partly as a result, the Alliance has not yet agreed on a precise definition of the CA. 

But this should not be a cause for inactivity. All agree that CA refers to the integration, 

in some manner, of military and civilian activities, including nongovernmental organizations (NGOs). The Dutch Foreign Ministry recommendation that the approach be 

“as civilian as possible, and as military as necessary” seems correct.

As the papers point out, under any CA definition, NATO will need an effective 

change management process to prepare for operations in complex, civil-military environments. Developing such increased agility, in itself, can be valuable asset for facing 

a future that is likely to be filled with chaos, complexity and surprise. Moreover, many 

of the capabilities that can be applied in different civil-military contingencies can be 

developed at relatively low cost by leveraging private sector developments.

It became evident during the conference discussions, and in reading the submitted 

papers, that there are at least four different concepts associated with CA. These are:

•	 An externally-driven CA, led by an international political entity like the UN 

or the European Community, which NATO supports. This view, that there 

is not a “NATO Comprehensive Approach,” but rather “NATO’s contribution to a CA by the whole of the international community” was articulated by 

NATO Deputy Secretary General Claudio Bisogniero (Bisogniero, 2008).

•	 An Alliance-wide CA focused on NATO-led military operations that are 

“multi-organizational/multi-national and of a complex nature,” and throughout the Hallett and Thorngren chapter. This will require better civil-military 

coordination among Alliance members and by nations themselves.
3

•	 National-level activities requiring “whole-of-government” (in the United 

States) or “cross government (in the United Kingdom) approaches. 

Ambassador Herbst discusses this at length in describing United States 

preparations for “complex operations,” as does Professor Neal in relation to 

“adoption of CA at a national level.”

•	 Sub-Alliance-wide activities, such as the “application of a CA in a 3-star 

operational headquarters” suggested by Julian Lindley-French [Hallett 14] 

or the need for forces at all levels to link to local stakeholders [see Wells, 

Pudas, McNitt in Section 4].

The terms capability and capacity often are confused. Julian Lindley-French has 

explained: “Capability is the military means required to be effective in robust environments over distance and under threat. Capacity is having sufficient numbers of forces 

to be effective in such environments over time and in the face of any threat. Capability 

is focused on immediate effect and thus emphasizes impact, whereas capacity is about 

longer term effect and thus reflects mass” (Lindley-French, 2006: 262).

Professor Derrick Neal sets the stage for the book with an overview of evolving 

CA-related concepts and policies, as well as efforts to gain acceptance for the approach. 

He then describes the change management and organizational dimensions of CA, noting that activities must be co-evolved in several dimensions (mindset, processes and 

practices, understanding, etc.) if true change is to occur. He is concerned that some 

of the drivers of successful change (such as a sense of urgency, or a guiding coalition) 

may not be present now, recognizing that a majority of change initiatives do NOT 

succeed. He recommends starting with small-scale efforts, coupled with focused communications, to achieve early, recognized, successes.

Ambassador John Herbst examines the recent evolution of United States thinking, 

policy and organizational development for complex civil-military operations to deal 

with failed and failing states. He notes the way the United States has increased its 

civilian capabilities for operating in such environments, and discusses the application 

of these principles to NATO and the Comprehensive Approach.

CDR Michael Hallett and Mr. Oke Thorngren explore the conceptual boundaries 

of the CA and offer a working definition. They consider CA as a structured design 

process to generate effects through systematic interactions and the co-evolution of 

capabilities. They propose an approach that downplays the importance of materiel 

solutions and emphasizes interoperability and training to facilitate interactions that 

add value to the lives of local populations. This reinforces the point made by the House 

of Commons Defence Committee (cited by Professor Neal): “the point of war is not 

just to win, but to make a better peace” (HCDC 2010).

Dr. Christopher Schnaubelt examines ways by which strategy can be developed 

for the Comprehensive Approach which involves civilian organizations. He proposes 

a process to link ends + ways + means to produce clear guidance, often through nonlinear, iterative steps. The chapter concludes with four characteristics to avoid that 

often relate to “bad strategy.”

5

Chapter 1

The Comprehensive Approach: Lessons 

for Its Adoption from a Change 

Management Perspective

Derrick J. Neal

Abstract

The concept of a Comprehensive Approach (CA) is considered from the perspective 

of the UK Ministry of Defence and NATO highlighting the initiatives and challenges 

that are being confronted. The implementation of the CA can be seen as a change 

management process and hence the chapter considers a number of change models, 

the drivers and resistors to change, and then positions this against the efforts to operationalize the CA. In particular the key elements of change involve establishing a 

real sense of urgency for change, the role of the change agent, and change leadership 

combined with recognition of the importance of the cultural dimension of change. The 

chapter concludes that the scope for developing early wins in order to gain a degree 

of momentum has a great deal of merit and that this can be best achieved through its 

application on a small scale at the less complex end of the spectrum. It also concludes 

that a reasonable case can be made for NATO to have some civil capability that could 

be deployed as an interim measure in a complex crisis scenario. The key to success in 

this activity is the provision of joint exercises and training such that confidence in the 

CA can be developed and used as a basis for implementing it more fully.

Introduction

Although the concept of the CA is relatively simple to understand and the merits of 

its adoption are both clear and obvious, it remains a particularly difficult concept to 

bring to bear within multinational and multiagency complex scenarios. The academic 

literature on strategic management, (Johnson & Scholes 2002; Mintzberg, Lampel 

& Alhstrand, 2002; Hamel & Prahalad, 2000), has explained the importance of 

this concept when they talk about stakeholder engagement and the need to include 

stakeholder expectations in the strategy creation process. The merits of a CA are so 

obvious that one might be excused for modifying the term slightly and making reference to a “common sense approach” in light of the fact that within any organisation 

there is a need to work in a cooperative and collaborative manner if processes and tasks 
Neal 

6

are to be completed efficiently and effectively. However, it is not possible to achieve 

this without engaging in dialogue with stakeholders, to understand their expectations 

and the value sets and propositions upon which their expectations are founded. It is 

also necessary to be able to establish ways and means to find the “common ground” 

such that the organisations can agree on a mode of operation that respects the aims, 

aspirations, values and behaviours of all parties. There are of course, aspects of group 

decisionmaking that need to recognise that some stakeholders are either more influential than others and that not everyone sitting around the table should necessarily 

have an equal voice. It is often necessary to recognise that for a given situation some 

skills and resources are more important than others and that it is only through an open 

and honest dialogue that the value of the range of contributions can be recognised. 

The notion of cooperation and collaboration can be difficult enough to implement 

within a single organisation. However, the challenges escalate an order of magnitude 

when organisations are dealing with multiagency bodies that may well also involve 

organisations from a range of different nations. Such situations often have the additional dimension of being time limited in terms of having to find an effective way to 

work together. A commonly-quoted scenario is that of the delivery of humanitarian 

assistance due to either a man-made or natural disaster. Neal & Fitzgerald (2002) 

made particular mention of this in their paper that explored the challenges faced by 

nongovernmental organisations (NGOs) working in a crisis situation where multiagency actors were involved in the delivery of aid.

Another aspect that makes the adoption of the CA particularly difficult is in 

time-bounded situations and events where various levels of military intervention are 

required. The environment itself can be extremely dynamic and as such the actor/

agency (or organisation) that is in the best place to lead on a particular activity can 

change both rapidly and frequently. It is often held that the key skills that are necessary in such a dynamic situation are those of planning, command and control, plus the 

ability to pull together a range of capabilities at short notice and deploy them on an as 

required basis. For right or wrong, this skill set is often seen as residing in the military 

and as such they are seen as the default organisation to take the lead and act in the best 

interests of the array of stakeholders. Quite understandably this has led to a number 

of situations where the outcome has not been the desired state and was captured most 

effectively by LaRose-Edwards (2008) with his phrase “the fog of peacekeeping.”

The Journey to Realising the CA

It may well be the case that the UK was one of the first, if not the first, to produce a 

definitive statement as to what they understood by the term Comprehensive Approach, 

and this is encapsulated in Joint Discussion Note 4/05 (MOD, 2006). In simple terms 

the CA was defined as; “Commonly understood principles and collaborative processes 

that enhance the likelihood of favourable and enduring outcomes within a particular 

situation” (MOD, 2006: 5).
The Comprehensive Approach

7

The language of the day also linked the notion of the CA to the military idea 

of the Effects-Based Approach1

 and that this needed to be seen within the context 

of the complexity, duration and nature of the situation and the potential benefits of 

collaborative action.

The document highlights that there are four guiding principles of the CA conceptual framework, namely:

•	 a proactive cross-Whitehall approach

•	 shared understanding

•	 outcome-based thinking

•	 collaborative working.

The document then makes a statement about enabling the CA:

the principles underlying the CA need to be at the heart of routine crisis management machinery in order to support the processes which could 

be put into place when assessment staffs identify that a crisis is of sufficient 

gravity, urgency or complexity. An invigorated process of pooling individual 

Department’s assessments of indicators and warnings would ensure that 

a common and early understanding of a crisis is achieved (MOD, 2006: 7).

Although it is the intention of the document to set the over-arching approach, it 

then moves the debate more specifically towards the implications for the military. In 

particular it highlights how a military might adopt the CA and some of the specific 

advantages that can be gained through the adoption of the CA and some of the challenges that need to be faced for the CA to be accepted and adopted.

Although the UK Ministry of Defence has taken a position on the issue of the CA, 

other nations and other organisations have also put a “stake in the ground” in terms 

of what CA means to them and how they interpret the implications. There is not a 

great deal of evidence of alignment between key actors in this regard and whilst they 

may agree on some aspects, they take a different view on other aspects of the CA and 

as a consequence this has contributed to the difficulty in moving the agenda forward 

in a coherent way.

However, given the significance of the challenges being faced by the UK government in general and the UK MOD in particular, the House of Commons Defence 

Committee (HCDC) conducted a review of progress on the topic in 2009 and produced a report in 2010 under the heading; “The Comprehensive Approach: the point 

of war is not just to win but to make a better peace” (HCDC, 2010).

This is a large document that has been produced following extensive interviews 

from many subject matter experts from within and beyond government. A number 

of recommendations are made that are logical extensions of the challenges and issues 

that need to be addressed for the CA to be delivered successfully. Many of these are 

simply common sense and are concerned with ensuring joint training for a range of 

actors both within the UK and international partners. It was particularly interesting 
Neal 

8

to note the input from one SME, Professor Theo Farrell, concerning the lack of crossgovernment doctrine on the CA and pointed out:

we do not have a cross-government doctrine on the CA. The doctrine that we 

have was developed by the Doctrine Command, DCDC, in January 2006. Note 

that it was a Joint Discussion Note (JDN), that is very important. They used 

the word “discussion” because they wanted to indicate to the other government 

departments that this was not a Joint Doctrine Note, it was for discussion and 

they were going to engage them, but, of course, they immediately rubbed up 

against the other government departments because they feel this is military 

led, which it was at the time, and they do not understand why they should buy 

into a military concept. As yet we still do not have one (Interagency doctrine) 

whereas the Americans are developing a joint doctrine. The State Department 

has a project which is led by a British Colonel (HCDC, 2010: para 22).

The CA is also covered by the British Defence Doctrine (BDD) in document 

JDP 0–01 which was published in 2008. In particular, under the heading of Crisis 

Management the topic of the CA is explored with particular reference being where 

it states:

Above all, a CA requires those dealing with a crisis to be predisposed to 

cooperation and structured to develop a shared understanding of a situation and its dynamics. This approach should aid the formulation of an 

agreed collective intent and output-focused objectives, leading in turn to 

the implementation of mutually supporting activities. Where it is not possible to coordinate or regulate all participants, actions and effects, then steps 

should be taken to achieve de-confliction at least (MOD, 2008: para 138).

The UK has now merged the issues of Security and Defence and the publication of 

the National Security Strategy (NSS) and the subsequent completion of the Strategic 

Defence and Security Review (SDSR) bring together all of the key issues that need to 

be addressed in a structured and coherent manner. Figure 1 highlights the emphasis 

that is placed on each of the elements and it should be noted that NATO implications feature to a greater or lesser extent within each of the elements within the figure.

The NSS has a number of Fact Sheets that sit behind the document and of 

particular relevance is Fact Sheet 21: Coordinating Our National Security Approach 

(NSS 2010, Fact Sheet 21). This document highlights how complex the response 

systems were in the UK when having to confront a threat. Under the new approach 

a much more simplified structure will be used in the future and it recognises the need 

for a much more “joined up” approach across all of Government and in particular the 

need for cross-cutting structures.

Although these statements make it clear that the UK Government is openly 

embracing the concept of the CA, it does not actually use the words but simply presents its strategic intent. Interestingly, the document then goes on to make the point 

that irrespective of all of the new structures and responsibilities, what is really being 
The Comprehensive Approach

9

described here is the need for a change in culture such that coordination and cooperation is embraced in a positive way, ensuring resources are being used and deployed in 

an efficient and effective way.

Figure 1. The Relationship between NSS and SDSR

The focus of the NSS [Strategic context]

[Ends]

The context within which we operate

What we are seeking to achieve

The focus of the SDSR

[Ways]

[Means]

How we seek to achieve these ends

The resources we can devote to 

achieving them

Source: NSS (2010), Fact Sheet 1.

NATO has, as well, made good progress at understanding and trying to define the 

issues associated with the CA and much has been written about NATO operations 

and the challenges that they have to confront almost daily. Lindley-French (2006) 

presents a rather compelling argument that considers the Capability-Capacity crunch 

that NATO is having to address where he explains that the crunch occurs when there 

is a “.... gap between what needs to be done to manage crises effectively and to achieve 

a peaceful solution and what can be done.” The paper then explains that, “capability 

is the military means required to be effective in robust environments over distance 

and under threat. Capacity is having sufficient numbers of forces to be effective in 

such environments over time and in the face of any threat. Capability is focused on 

immediate effect and thus emphasises impact, whereas capacity is about longer term 

effect and thus reflects mass” (262).

This description is particularly important as it sets the scene for the argument 

that is developed in the remainder of the paper and in particular issues associated with 

challenges faced by NATO Europe. For example and paraphrasing, “there is a split 

between those members who are militarily capable and those that are militarily challenged and the difficulties many are facing transitioning from main defence forces to 

an advanced expeditionary role” (Lindley-French, 2006: 264). The case is also made 

that some of NATO’s European members are not well structured and will continue 

to find it difficult to make the necessary commitment of capability to operations at a 

level that the U.S. military would expect of them. To this end, some nations have to 

make decisions about which elements of a 3-block war2

 they will engage in and those 

where they cannot commit levels of capability or capacity. Such situations can only 

compound the challenges and issues that need to be addressed in order to operate 

within the CA concept.

Of course, as the nature of the operations themselves become more complex and 

actors are operating on a stage that simultaneously involves high-intensity conflict, 
Neal 

10

insurgency, peacekeeping and re-construction, the concept of the CA becomes more 

difficult to apply. One also has to remember that although the issues of Capability and 

Capacity have been at the front of the stage governments and the military themselves 

recognize that other instruments of influence also have a role. For example, the use of 

soft power such as Diplomacy and Economic measures has a role to play. For NATO 

this is particularly challenging as it find itself in situation where it needs to be working 

with UN agencies, NGOs and private sector organisations in non- or semi-permissive 

situations. This has generated a debate as to whether NATO should also have a nonmilitary arm and resources that it can deploy. It is unfair to charge NATO with having 

been slow adopting the CA. There have been a number of initiatives to try to move 

the agenda forward and there have been a number of summits that have been held 

considering the CA challenges. In particular the Riga Initiative in 2004 introduced 

the concept under the heading of Concerted Planning Action (CPA). This was followed by the Riga Summit in 2006 where the CA was formally put on the agenda. The 

progression and issues were well presented and discussed by Petersen & Binnendijk 

(2007) and they noted that during NATO’s involvement in three broad operational 

phases: military (Kosovo, Afghanistan), postconflict stability operations (Bosnia, 

Kosovo, Afghanistan) and reconstruction operations (Bosnia, Kosovo, Afghanistan, 

Iraq), they have performed well in terms of organisation for the military component. 

What they believe is missing is any organised deployable civil-military capacity to address either stabilization or reconstruction operations. They suggest that “the solution 

may not be a standing force but should be at least a pre-planned menu of capabilities 

organized and exercised together periodically that constitutes a viable set of civilian 

skills and military resources to provide immediate triage to destabilized populations 

in conflict or crisis (Petersen & Binnendijk 2007: 3).

At the GLOBSEC in January 2008, the NATO Deputy Secretary-General, 

Claudio Bisogniero, made a speech entitled “Assisting Afghanistan: The importance 

of a Comprehensive Approach.” Although the speech covered a number of areas, 

it also highlighted the issue of there not being a single view of what the CA entails. 

Bisogniero said the following:

We all know that military force is not enough on its own to safeguard and promote 

security. Lasting progress in Afghanistan will only come if security improvements 

are accompanied by improvements in other fields, such as job opportunities, 

medical facilities, education services, power supply and transport infrastructure... 

[L]asting progress also requires more visible in-country ownership—by which I 

mean Afghan ownership. Without this, outside agencies may eventually even be 

regarded as “occupiers” and the indigenous government will be perceived as weak 

and ineffective... [D]elivering this overarching international strategy, with the necessary in-country ownership, is what NATO means by the term “Comprehensive 

Approach.” This CA, this overarching international strategy, means first of all the 

effective coordination of military and civilian elements. But it also means the effective coordination of the international actors and the Government of Afghanistan.”
The Comprehensive Approach

11

He then went on to say that “First of all let me make it clear that we are not talking 

just about ‘NATO’s Comprehensive Approach,’ but about NATO’s contribution to 

a CA by the whole of the international community” (Bisogniero, 2008).

Jakobsen (2008) produced a report for the Danish Institute for International 

Studies (DIIS) concerning the progress being made within NATO on the implementation of the CA and although the report is quite extensive, there were several key issues 

highlighted that are pertinent to this paper. They identified the four requirements that 

are necessary to realise CA in its ideal form as being:

•	 shared understanding of the problems at hand and agreement on the political-strategic aims and objectives that international involvement in a given 

conflict should seek to achieve

•	 doctrine and institutional procedures facilitating the formulation of common 

operational objectives and strategies, as well as joint planning, implementation 

and evaluation with other actors in all phases of an operation (pre-deployment, deployment, post-deployment)

•	 a culture of cooperation and mutual understanding providing the different 

actors involved with the mindset required to think and act in a comprehensive manner

•	 economic, civilian and military capacities required to implement CA in the 

field (Jakobsen, 2008: 9).

In addition, the report notes that as a result of problems experienced in Kosovo, 

Afghanistan and Iraq, most NATO members have realised that armies engaged in 

stablilization and peacebuilding operations also have to fill gaps and conduct civilian 

tasks in a transitional period if no civilian actors are present. Part of this response relates to most militaries having a “can do culture” and when they see that a task needs to 

be completed they, more often than not, simply get on with it. However, it is clear that 

most militaries would much prefer to have appropriate civilian actors performing this 

role as the military does not, as a matter of course, prepare and train itself to conduct 

such civilian functions. Equally, the civilian capacity building remains in its infancy 

and so responses tend to be more ad hoc than structured and given that militaries are 

“doing the job” there is even less incentive for civilian actors to get involved until such 

time as an enduring peaceful environment exists. This sort of gap filling has proved to 

be counter productive in terms of embedding the CA. The Dutch Ministry of Foreign 

Affairs made the recommendation that the approach should be, “as civilian as possible 

and as military as necessary” (Jakobsen, 2008: 15).

While not agreeing on a definition of a comprehensive approach at the Bucharest 

summit Heads of State and Government did state that:

Experiences in Afghanistan and the Balkans demonstrate that the international 

community needs to work more closely together and take a comprehensive approach to address successfully the security challenges of today and tomorrow. 
Neal 

12

Effective implementation of a comprehensive approach requires the cooperation and contribution of all major actors, including that of Non-Governmental 

Organisations and relevant local bodies. To this end, it is essential for all major international actors to act in a coordinated way, and to apply a wide spectrum of civil 

and military instruments in a concerted effort that takes into account their respective strengths and mandates. Summit declaration paragraph 11. NATO (2008).

It was also agreed that the CA should have its place in the New Strategic Concept 

that was to be produced at the NATO Lisbon summit in November 2010. In 

December 2009 Supreme Allied Commander Transformation (SACT) outlined a 

proactive, tangible role for Allied Command Transformation (ACT) to play in supporting NATO’s overall contribution to a comprehensive approach.

However, it is interesting to note that within the new NATO strategic concept 

document there is actually only one mention of the CA:

The lessons learned from NATO operations, in particular in Afghanistan 

and the Western Balkans, make it clear that a comprehensive political, civilian and military approach is necessary for effective crisis management. The 

Alliance will engage actively with other international actors before, during 

and after crises to encourage collaborative analysis, planning and conduct of 

activities on the ground, in order to maximise coherence and effectiveness of 

the overall international effort (NATO Strategic Concept 2010: para 21).

The challenge of working in a CA with NGOs was highlighted by Neal & 

Fitzgerald (2002) and even in their paper they highlighted that often differences in 

priorities between the various aid organisations can be problematic even when the 

military are not involved. In some cases it is not even a political decision that causes friction as was found in the case of floods in Mozambique in 2000 when the key capability 

needed was helicopters. The UK response was to send military helicopters and even as 

they were being loaded onto the transport aircraft, a debate raged between the MOD 

and DFID as to who should pay for this. As a consequence, the deployment of the 

helicopters was delayed by many days and lives were lost that could have been saved.

The Change Management Dimension

So far this chapter has outlined the efforts that have been made in order to gain acceptance of the CA and has touched on a number of issues and challenges that need to 

be addressed and overcome if serious progress is to be made. In effect the whole topic 

is really one about bringing about change in a number of respects, such as:

•	 mindset

•	 processes and practices

•	 understanding

•	 attitude
The Comprehensive Approach

13

•	 accountability

•	 governance

•	 stakeholder management.

The list above is by no means exhaustive and might even be considered simplistic; 

however, the evidence to date is that we (the international community) have not attacked even the basic issues of bringing about change. Equally, it would be naive to 

expect that the application of change management theory will be sufficient to address 

all of the issues. In some cases there simply are not solutions to the problems because 

even with a comprehensive approach one person’s (organisation’s) solution is another 

person’s (organisation’s) problem. Within this scenario it is easy to find situations 

where it is “one step forward and two steps backwards” and unfortunately in many 

crisis situations, the international community does not have the luxury of time to go 

run decisionmaking processes multiple times to ensure that consensus is achieved.

Having put the caveat on the topic it is still useful to consider some of the basic 

premises of change management in order to see where the theory might be able to 

help even if it cannot solve all of the problems. For example, within the scope of the 

paper and the delivery of the CA, it is fundamentally about people and how they work 

together, the beliefs that they hold, the red lines that they want to maintain, the way 

that their systems and structures shape that influence their behaviours. Given that the 

starting point within change management theory is there must be a need to change, 

commonly referred to as the “burning platform” and that the need has been clearly 

and effectively communicated. Until this has happened there is little scope, if any, for 

the change to have any hope of taking place.

There are many models that can be considered from the point of view of delivering 

change including several three-step models such as:

•	 Lewin (1951) (unfreeze—change—refreeze)

•	 Tichy & Devanna (1986) (awakening—mobilizing—reinforcing)

•	 Nadler & Tushman (1990) (energizing—envisioning—enabling)

•	 Egan (1998) model (diagnosis—future vision—the strategy).

Similarly, there are a number of multi-step approaches such as those developed 

by Kanter, Stein & Jick (1992) and Kotter (1996). Within the context of this paper 

the author contends that the Kotter 8-step approach is as useful as any of the models 

to help explore the issues associated in delivering the CA.

The model requires a number of key areas to be given robust consideration and it 

should be noted that it is not a linear process and that it is necessary to iterate backwards and forwards between each of the steps. The specific steps are:

•	 establish a sense of urgency

•	 form a powerful guiding coalition
Neal 

14

•	 create a vision

•	 communicate the vision

•	 empower other to act on the vision

•	 plan for and create short-term wins

•	 consolidate improvements and produce still more change

•	 institutionalise new approaches (Kotter, 1996).

Much has been written about our understanding (or perceived understanding) of 

the subject of change management and yet, as reported by Balogun & Hope-Hailey 

(2004), we still see a failure rate in the region of 70% of all change programmes initiated. Indeed, Burnes (2004) suggests that this may indicate a fundamental lack of a 

valid framework of how to implement and manage organisational change as what is 

currently available to academics and practitioners is a wide range of contradictory and 

confusing theories and approaches. This has led some academics, such as By (2005), to 

review the current thinking on organisational change management with a view to trying 

to identify the similarities and differences present within the academic and practitioner 

communities in order to establish a new framework that might have greater utility. 

Whilst a clear way forward is not presented, it does highlight the challenges that must 

be confronted and unsurprisingly it is also made clear that there is not a one-size-fits-all 

solution. This aspect is captured in the paper in the following excerpt:

Even though it is difficult to identify any consensus regarding a framework for 

organisational change management, there seems to be an agreement on two important issues. Firstly, it is agreed that the pace of change has never been greater 

than in the current business environment (Balogun & Hope-Hailey, 2004; 

Burnes, 2004; Carnall, 2003; Kotter, 1996; Luecke, 2003; Moran & Brightman, 

2001; Okumus & Hemmington, 1998; Paton & McCalman, 2000; Senior, 

2002). Secondly, there is a consensus that change, being triggered by internal or 

external factors, comes in all shapes, forms and sizes (Balogun & Hope-Hailey, 

2004; Burnes, 2004; Carnall, 2003; Kotter, 1996; Luecke, 2003) (By, 2005: 370).

Given that the mechanics of organisational change management is in itself a challenge and that no simple framework exists that can be applied to a change scenario 

with confidence, the issue becomes even more challenging when other factors of a more 

qualitative nature are also taken into account. For example, a great deal has been written about the influence of stakeholder management and the issue of communication, 

the role of leadership in change, the impact of dispersed change agents, and of particular 

significance, the influence of culture on the delivery of change.

There are many examples of organisations having used management concepts 

of the day, such as TQM or BPR, as a vehicle to bring about change within their 

organisation. It can be argued that they saw this as a way to provide the increased 

flexibility and commitment they perceived as being necessary to help them adapt and 

transform in dynamic and uncertain change environments. The work of Doyle (2001) 
The Comprehensive Approach

15

considered the issues and implications of dispersing change agency in high-velocity 

change organisations. His paper highlighted that there are two core issues that can 

result from such an approach:

Firstly, when individuals and teams exercise change agency on behalf of the 

organisation (with or without its approval or sanction) they do so for a variety of complex and interrelated motives and these have to be considered and 

managed as an integral part of the overall organisational change strategy. For 

example, it cannot be assumed that when individuals are motivated to accept 

or take change agency they will automatically exercise that responsibility in a 

way that directly contributes to and furthers the goals of the organisation. In 

certain situations they may, for example, seek to innovate and manage change 

in a way that meets their personal or political goals to a greater or lesser extent, 

and in some situations even subvert the goals of the organisation. Second, in 

seeking to disperse change agency across the organisation to motivate and encourage teams and individuals, the findings confirm that organisations may face 

a paradox of control as they seek to balance the empowering benefits of dispersing 

change agency with the need to maintain the necessary and required degree of 

leadership and control that enables effective management within light resource 

limits and constraints. Too much control and managers and employees become 

inhibited by the bureaucracy and performance monitoring. Too little control 

and the organisation is faced with the change initiatives that lack strategic fit 

and the potential for overlap and duplication of effort (Doyle 2001: 321–322).

However, when this qualitative aspect is considered within the context of the 

change models and frameworks it can be seen as being consistent with the second step 

of the Kotter model, namely the creation of a guiding coalition such that commitment 

and ownership of the change programme is embedded throughout the organisation.

The issue of culture is particularly important and employees’ resistance to change 

has been recognised as a main source of failure of change initiatives (Waddell & Sohal 

1998; Danisman, 2010; Dent & Goldberg, 1999; Kotter & Schlesinger 1979). As 

Danisman (2010) points out:

But is it widely acknowledged that change in any aspect of an organisational system is inextricably linked with the cultural context (Baba, 1989; 

Manring, 2003; Schein, 1992). Cultural values and beliefs have a significant impact on the success and failure of change efforts (Kotter, 1995; 

Schein, 1992). However, empirically little is known about to what extent resistance to change is related to culture (Danisman 2010: 201).

The final dimension to be raised in this paper concerns the issue of change and 

change leadership and a key paper informing this debate entitled “From Change 

Management to Change Leadership” by Karp & Helgø (2008) posits the case that 

Public Service organisations operate in fragmented and complex environments and 

as such have a number of sector specific issues to deal with.
Neal 

16

They argue that in view of the complexity involved and the nature of social systems, we need a new approach to the issue of leading change. They also contend that 

it is necessary to address the way people talk and the nature of the organisational 

conversations that take place. However, under crisis scenarios individuals and organisations often do not have the time to develop such conversations in order to develop 

shared understanding. One can draw a parallel with the evolution of a relationship 

between a couple and the concept of speed dating, in other words the establishment 

of a viable working relationship may well need some form of shorthand in terms of 

communication. Their paper concludes by suggesting that leading change has to deal 

with developing people’s ability to solve tasks in new ways, by changing the way people 

talk in the organisation. This leadership approach is one of influencing the patterns 

of people’s interaction and avoiding design-oriented managerial interventions. One 

consequence of this is that leaders may also have to live with the paradox of being in 

control and not in control simultaneously.

Putting This into the CA Context

Having explored the challenges associated with the CA and a brief review of some of 

the current thinking in the area of change management, the next stage is to apply the 

latter to the current position with the CA to see whether there are lessons that can be 

applied to help our thinking in the implementation of the CA.

In the same way that an agreed definition of the CA is difficult to find it is also the 

case that there are a large number of scenarios where it is thought that a CA would be 

beneficial to the outcome. On the one hand one might have a scenario where relatively 

few organisations are involved and where they are dealing with a situation that is long 

term, such as the development of education within a country. At the other end of the 

spectrum one may be dealing with many organisations from different nations dealing 

with a high-intensity emergency that in itself has multiple strands progressing at different speeds. It is for this reason that a “one size fits all” solution is not going to be found.

A starting point for a significant change programme is the need for a sense of 

urgency, or a burning platform. One could argue that until about 15 years ago the 

international community has been reasonably successful in delivering a 70–80 percent 

solution in dealing with man-made or natural crises. Under such circumstances, it is 

quite difficult to develop a sense of urgency that will galvanise people and/or organisations to accept the need to work in fundamentally new ways. Of course, within said 

period there have been examples of significant failures to respond in a coordinated 

way and droughts, famine and ruthless activities of dictators and civil unrest easily 

come to mind.

The key point here is that military operations, often effectively led by NATO, 

have become far more complex. It could be argued that slowly but surely our ability 

to deliver solutions has degraded to a level of, perhaps, 50–60 percent. Many would 

argue that the experiences of Kosovo, Iraq and Afghanistan support this point of view 

and that this is where the CA has a key role to play.
The Comprehensive Approach

17

The adoption of a CA at a national level is challenging but has a reasonable chance 

of success because the government of the day can generate the burning platform and 

ultimately there exists a leader (either a President or Prime Minister) that can direct 

and deploy resources. On a military front, multinational operations can be effective 

as NATO has a clear Command and Control (C2) structure, the key stakeholders 

conducting the operations can share a common language and often a common military 

culture and are usually backed by authority through the likes of a United Nations 

Security Council resolution.

Current (and likely future) operations are going to be multi-organisational/multinational and of a complex nature. As long as the international community feels that 

it is delivering viable solutions to crises there will not be sufficient impetus (burning 

platform) to force organisations to make the fundamental changes to the way they 

operate that will be required for the CA to be meaningfully operationalised.

One of the key barriers to being able to develop a clear vision and in being able to 

establish an empowered guiding coalition is the fact that it will need to be different 

for each of the scenarios or crises that arise and even the language that is used to communicate the vision is likely to need to be different for some or all of the stakeholders. 

Thus, achieving a unity of effort becomes a real barrier to being able to extract the 

benefits of the CA and this is compounded by the cultural dimension that has been 

discussed earlier in this chapter. In as much as most militaries are able to find a common language and culture that facilitates their working together, other key players 

may well struggle to find very much (if any at all) common ground either between 

themselves or with the military.

As highlighted earlier, the role of leadership is key to any change programme and 

again for complex operations with multiple stakeholders, this can become a major 

stumbling block to the application of the CA. More often than not, this tends to fall 

to the military. There is of course, some logic to this as the military (either a single 

nation or a coalition of nations or formally under NATO) do have well proven planning structures and a clear C2 structure. In addition, when it comes to humanitarian 

crises the military has access to other key resources such as the equipment to enable 

an efficient logistics chain to be established and has experience moving large quantities 

of materiel and personnel at short notice. However, the mere fact that the military 

may take the lead in a given situation may in itself preclude some other organisations 

feeling that they can/want to be part of the proposed solution.

Conclusions

This chapter has highlighted that a significant amount of excellent work has been 

undertaken in an effort to realise the potential benefits of the CA and although there 

has been support and well-intentioned efforts at the highest levels within governments 

and organisations such as NATO, it has not yet percolated down to the tactical and 

operational levels in the ways one had hoped.
Neal 

18

The reasons for this are both legion and complex and an exploration of the literature on change management, highlighted organisations tend to fail in their delivery 

of change through underestimating the resistance to change that is associated with 

the human elements. There needs to be a real need for change that establishes a sense 

of urgency, it has to be communicated in a language that all can understand and has 

a vision for the change itself. Above all, the role and nature of change leadership is 

such that it generates a paradox between dispersing the change agency power and the 

need to retain control in order to keep things on track. This aspect links directly to 

the issues associated with understanding how to bring about change within multiple 

organisations when cultural values (organisational and national) need to be factored 

in to the change programme.

Therefore, a reality check on the scope to apply the CA at the large scale end of 

the spectrum (multiagency, multinational, complex enduring operations) is not likely 

to be successful in terms of the change drivers that are commonly accepted within the 

change management literature. In some ways this has been recognised in the debate 

about NATO possibly spreading its sphere of influence by having a standing capability that functions in the non-military space and that such a force would be used as an 

intermediary as the environment moves from a dangerous footing to one that is at least 

semi-permissive. Trying to apply the CA in large-scale complex, dynamic situations 

is rather like trying to eat the whole elephant and the real challenges are not about 

C2 issues but rather the organisational cultural issues and the capacity/commitment 

issues associated with a given situation.

The author contends that a way forward on this agenda is to have, as a starting 

point, the notion of doing things in a small way in the first instance (attack a leg) in 

order to build experience of how things can function more effectively through the CA. 

One can argue that a good starting point for this is to show the benefits at a national 

level where the government of the day can use its influence to engender a spirit of cooperation and then to publicise the benefits of this approach. There is little evidence 

in the literature of organisations and governments being proactive in their willingness 

to publicise successes, rather reporters and opposition politicians are all too keen to 

highlight the failures in the press.

The second dimension to this would involve the international community being 

prepared to allow NATO to develop a limited civilian capability by way of a coalition 

of the willing (in organisational terms) such that this capability can be deployed in 

a structured and systematic manner. Again the benefits of a coordinated approach 

need to be publicised such that it becomes easier to enlarge the coalition of the willing. 

However, in the latter case it would be most helpful to the cause of the CA to follow 

the observation from the Dutch Ministry of Foreign Affairs, “as civilian as possible 

and as military as necessary” (Jakobsen, 2008: 15).
The Comprehensive Approach

19

References

Baba, M. (1989), Organizational culture: Revisiting the small-society metaphor, 

Anthropology of Work Review, 10(3), 7–11.

Balogun, J. & Hope-Hailey, V. (2004) Exploring Strategic Change, 2nd Edition, 

London:Prentice Hall.

Bisogniero, C. (2008) Assisting Afghanistan: The importance of a comprehensive 

approach, GLOBSEC Conference, Bratislava, Slovakia January 2008.

Burnes, B. (2004) Kurt Lewin and the planned approach to change: a re-appraisal, 

Journal of Management Studies, 41(6), 977–1002.

By, R. T. (2005) Organisational change management: A critical review. Journal of 

Change Management, 5(4), 369–380.

Carnall, C. (2003) Managing Change in Organizations, 4th Edition, Harlow, Prentice 

Hall.

Danisman, A. (2010) Good intentions and failed implementations: Understanding 

culture-based resistance to organizational change, European Journal of Work and 

Organizational Psychology, 19(2), 200–220.

Dent, E. & Goldberg, S. (1999) Challenging resistance to change, Journal of Applied 

Behavioural Science, 35(1), 25–41.

Doyle, M. (2001) Dispersing change agency in high velocity change organisations: 

issues and implications, Leadership and Organizational Development Journal, 22(7/8), 

321–329.

Egan, G. (1998) Change Agent Skills B: Managing Innovation and Change, San Diego, 

University Associates.

Hamel, G. & Prahalad, C.K. (2000) Competing for the Future, Harvard Business School 

Press, ISBN 0-87584-716-1.

House of Commons Defence Committee (2010) The Comprehensive Approach: the 

point of war is not just to win but to make a better peace, HC 224.

Jakobsen, V. P. (2008) NATO’s Comprehensive Approach to Crisis Response Operations: 

A work in slow progress, 2008:15, Danish Institute for International Studies.

Johnson, G. & Scholes, K. (2002) Exploring Corporate Strategy, 6th Edition, London: 

Prentice Hall. ISBN 0-273-65112-9.

Kanter, R., Stein, B. & Jick, T. (1992) The Challenge of Organisational Change, New 

York: Free Press.
Neal 

20

Karp, T. & Helgø, T. (2008) From Change Management to Change Leadership: 

Embracing Chaotic Change in Public Sector Organisations, Journal of Change 

Management, 8(1), 85–96.

Kotter, J. (1995) Leading change: Why transformation efforts fail, Harvard Business 

Review, 73(2), 59–67.

Kotter, J. & Schlesinger, L.A. (1979) Choosing strategies for change, Harvard Business 

Review, 57 (March/April), 106–114.

Kotter, J. (1996) Leading Change, Harvard Business School Press.

LaRose-Edwards, P. (2008) NATO and Militaries as Trusted Partners in Civil-Military 

Interaction, The Pearson Papers, 11(1), 22–41.

Lewin, K. (1951) Field theory in social science, New York: Harper.

Lindley-French, J. (2006) The Capability-Capacity Crunch: NATO’s New Capacities 

for Intervention, European Security, 15(3), 259–280.

Luecke, R. (2003) Managing Change and Transition, Boston MA: Harvard Business 

School Press.

Manring, S.L. (2003) How do you create lasting organizational change? You must first 

slay Grendel’s mother. In R.W. Woodman & W.A. Pasmore (Eds), Research in 

Organizational Change and Development, 14, Greenwich, CT: JAI Press, 195–224.

Ministry of Defence (2006) The Comprehensive Approach, Joint Doctrine & Concepts 

Centre, Joint Discussion Note JDN 4/05.

Ministry of Defence (2008) Joint Doctrine Publication (JDP 0–01), 3rd Edition, August 

2008.

Ministry of Defence , (2010) Securing Britain in an Age of Uncertainty: Strategic Defence 

and Security Review, ISBN 9780101794824. http://www.official-documents.gov.uk/, 

accessed 12-12-10.

Mintzberg, H., Lampel, J. & Ahlstrand, B. (2002) Strategy Safari: A Guided Tour 

Through the Wilds of Strategic Management, Prentice Hall, ISBN 0-13-695677-7.

Moran, J. W. & Brightman, B. K. (2001) Leading Organizational Change, Career 

Development International, 6(2), 111–118.

Nadler, D.A. & Tushman, M.L. (1990) Beyond the charismatic leader: Leadership 

and organizational change. California Management Review, 32, 77–97.

National Security Strategy (2010) Fact Sheet 1: Our Approach to the National Security 

Strategy.
The Comprehensive Approach

21

National Security Strategy (2010) Fact Sheet 21 : Coordinating Our National Security 

Approach.

NATO (2008) Issued by the Heads of State and Government participating in the 

meeting of the North Atlantic Council in Bucharest on 3 April 2008.

NATO (2010) New Strategic Concept, Lisbon Summit. http://www.NATO.int/

strategic_concept.

Neal, D.J., & Fitzgerald, A. (2002) Aid Management: Exploring the utility of generic 

management applications in the humanitarian aid sector. Journal of Humanitarian 

Assistance, www.jha.ac/articles/a091.pdf .

Okumus, F., & Hemmington, N. (1998) Barriers and resistance to change in hotel 

firms: An investigation at unit level, International Journal of Contemporary Hospitality 

Management, 10(7), 283–288.

Paton, R, A. & McCalman, J. (2000) Change Management: A guide to effective implementation, 2nd Edition, Sage Publications.

Petersen, F, A. & Binnendijk, H. (2007) The Comprehensive Approach Initiative: 

Future Options for NATO, Defense Horizons, A publication of the Centre for 

Technology and National Security Policy, NDU, 1–5.

Senior, B. (2002) Organisational Change, 2nd Edition, London: Prentice Hall.

Schein, E. (1992) Organizational culture and leadership, San Francisco: Josey-Bass.

Tichy, N. M. & Devanna, M. A. (1986) The Transformational Leader, New York, 

John Wiley & Sons.

Waddell, D. & Sohal, A. S. (1998) Resistance: A constructive tool for change management, Management Decision, 36(8), 543–548.

Notes

1. The EBA is defined as “the way of thinking and specific processes that, together, enable the integration and effectiveness of the military contribution within a 

Comprehensive Approach.”

2. 3-block war: soldiers may be required to conduct full scale military action, peacekeeping operations and humanitarian aid within the space of three contiguous city 

blocks.

23

Chapter 2

Complex Operations and the 

Comprehensive Approach

John E. Herbst

Abstract

The growing integration of the global economy and global society, the appearance of 

more potent technology, and, widely distributed centrifugal political tendencies, have 

created a world with a growing number of ungoverned spaces. Some ungoverned spaces 

half a world away can pose a threat. In response to this development the United States 

and NATO, like some other countries and organizations, have begun to develop a 

capacity to conduct operations integrating military and civilian power. In the U.S. 

this has taken place principally through the creation [at the State Department] of the 

Office of the Coordinator for Reconstruction and Stabilization (S/CRS), which was 

tasked to create a system for organizing the civilian agencies for stability operations and 

to create a civilian surge capability. The U.S. has managed to develop a modest surge 

capacity in the form of the Civilian Response Corps. But it has not yet institutionalized 

a process for managing complex crises. NATO has responded to the same challenge 

by developing the concept of the Comprehensive Approach. Prior to 2020, within the 

Alliance, the Comprehensive Approach proceeded slowly because some members of 

the Alliance have not been sure that NATO should retain the civilian capacity needed 

for the Comprehensive Approach. NATO has now endorsed the Comprehensive 

Approach, at both the Bucharest (2008) Lisbon (2010) Summits. NATO’s decision 

to intervene in Libya underscores the need for NATO to develop its civilian capacity 

in order to take full advantage of the Comprehensive Approach.

Introduction

National security doctrine and institutions develop to meet the challenges that nations 

face as the international system evolves. The National Security Council in the U.S. 

Government and NATO itself were created in response to the dangers presented by 

an aggressive Soviet Union and the Cold War.

The post–Cold War world brought new challenges to the fore, challenges that 

we were slow to grasp. While Cold War rivalries no longer provided fuel to otherwise 

local conflicts, such conflicts themselves began to attract the attention of the global 
Herbst 

24

community. In some cases this attention was too late, for instance in the Rwanda 

genocide of 1994. But gradually the international community came to see a growing 

interest in limiting local conflicts, if not preventing them altogether. This is evident in 

the sharp increase in peacekeeping missions in the past 20 years. Since 1948, the UN 

has conducted 64 peacekeeping operations. According to the United Nations, of these 

46 have been undertaken since 1991 (United Nations, 2011).

The danger represented by failed states or ungoverned spaces became evident 

with Al Qaeda’s attack on the United States on September 11, 2001. Ungoverned 

spaces are nothing new in history. There have always been places in which no formal 

government ruled, of places of disorder which threatened neighbors. That is, for 

example, how Chinese civilization looked at the steppes of eastern Eurasia and the 

nomads who lived there; and how Byzantine civilization looked at the Pontic steppes 

north of the Black Sea.

September 11, however, suggested something new was afoot. The attack launched 

from a remote location in Afghanistan suggested that failed or failing states could pose 

a danger to distant states and regions. It was in response to this danger that the United 

States began its operation in Afghanistan in 2001. The problems that the United 

States encountered there and later in Iraq led it to develop the concept of stability 

operations1

, and to create additional institutions needed for such operations. Similar 

factors encouraged NATO to develop the Comprehensive Approach.

The Roots of Global Disorder

A number of global trends have produced this disorderly world in which ungoverned 

spaces half a world away can pose a threat. One component is the interconnectedness 

of global society in economics, transportation and communication. The creation of the 

Eurozone and free trade areas is facilitating the movement of goods, services, capital 

and labor from country to country and region to region. An important consequence of 

this has been the growth of world trade and of trade as a percentage of global production.2

 This means that economic developments in any one region are far more likely 

to have a global impact today. On the macro level, the American housing bubble of 

2008 had an immediate impact on global markets, producing the worst global economic downturn since the Great Depression. On the micro-level, we have seen how 

an earthquake, tsunami and nuclear meltdown in Japan earlier this year affected the 

global availability of automobile parts and the resultant dramatic fall in reported profits 

for a number of Japanese automotive companies (Valdes-Dapers, 2011).

Of equal importance is the ongoing information revolution, which links even 

the remotest places with the rest of the world. Cell phone use has exploded in Africa 

and elsewhere. So has satellite television and, of course, the Internet. Now villages in 

Southern Sudan can learn immediately about major developments in Beijing or Brasilia.

Yet just as technology links the global society and economy, it also provides the 

means to undermine state authority. Seventy years ago the worry was that technology 

was providing the means for totalitarian states to control completely the lives of their 
Complex Operations and the Comprehensive Approach

25

citizens. “Brave New World” and “1984” provided literary visions of such domination. The behavior of Hitler’s Germany and Stalin’s Russia and Mao’s China made 

this seem all too true. Technology enabled government to monitor and control the 

activity of its citizens.

But the information revolution of the past 30 years pushed history in a different 

direction. Societies that tried to control everything from above could not compete 

against societies that gave their citizens the freedom to act, network and organize. This 

was a point made by market-minded economists like Friedrich Hayek at the height 

of the Cold War; but it became even more instructive as the information revolution 

kicked in during the last decades of the 20th century.3

The Cold War ended because one side—the Soviet Union—could not compete 

with the West and had leadership with the wisdom to realize it. China, the other great 

Communist power, began to leave at least Marxist economics behind in the late 1970s, 

as it instituted reforms that provided incentives for individuals to work hard and to 

innovate. Those reforms have made China the world’s second largest economy, and 

largest exporter (CIA, 2011).

The Political Impact of the Information Revolution

By facilitating people-to-people contact, satellite TV, cellphones, the Internet, 

Facebook, Twitter (and related approaches) have made it far harder for would-be 

totalitarians to control information. The consequence is that just as global society and 

the global economy are becoming more connected, political entities are being subjected 

to centrifugal forces and in some cases are being pulled apart. The Soviet Union imploded and was replaced by 15 new states. Yugoslavia became seven new countries. 

South Sudan voted in January, 2011 to secede from Sudan.

While the European Union (EU) has expanded since the end of the Cold War, 

its deeper integration has faced a series of setbacks in the past decade. European elites 

confident of the future of the EU were stunned when the Dutch and even the French 

voted down referenda on the EU constitution in 2005. The recent debt crises in 

Greece, Ireland, Italy and Spain are placing strains on the union whose consequences 

are still unclear, but certainly negative.

The information revolution and social media were necessary preconditions for the 

Arab Spring, which has already led to major change in Tunisia and Egypt. Events are 

still unfolding in Libya, Syria and Yemen and, to a lesser extent in Bahrain.

The furious growth of the global society and economy has also facilitated the rise of 

Thomas Friedman’s super empowered organizations and individuals (Friedman, 2000). 

These groups and individuals have found a way to tap into the international economy or 

international society in a way that gives them outsized influence and power for good or 

bad. Such organizations include multinational corporations, nongovernmental organizations, terrorist bands, and international criminal syndicates. Such individuals include the 

people who control these organizations: for example, businessmen and philanthropists 
Herbst 

26

like Bill Gates; international terrorists like Ayman Zawahiri; international criminals 

like Joaquin Guzman, the head of Mexico’s Sinoalo cartel.

Failed and Failing States

The interconnectedness of the global economy, combined with these centrifugal forces 

in political life, is creating the problem of failed/failing states or ungoverned spaces.

It is worth noting that some people fuss about the term ungoverned spaces because, 

they correctly point out, no space is truly ungoverned. If there is no formal government in a country, there will be informal arrangements. So, perhaps we should speak 

of unofficially or informally governed spaces.

Whatever term we use, thanks to the trends outlined above, the current world 

is awash in failed or failing states. Just consult the “Failed States Index” put out by 

the Fund for Peace and Foreign Policy. The most recent list puts 20 countries in the 

“Critical” category and another 19 on the “In Danger” Category (Fund for Peace, 

2011).

To repeat, the world has always known ungoverned or informally governed spaces; 

and such spaces have always proved dangerous to its neighbors. But in today’s interconnected world, with the destructive power of modern technology, ungoverned spaces a 

half a world away could prove dangerous. Ungoverned spaces can provide havens for 

drug traffickers, terrorists, or pirates. September 11 showed that terrorists can launch 

strikes that kill thousands from distant ungoverned spaces. Add in weapons of mass 

destruction and that number could be millions.

Moreover, in this increasingly interconnected world, multifunctional illicit networks are growing. In ungoverned spaces in Central Asia, East Africa, the Balkans, the 

tri-border area in South America, terrorists and drug traffickers are making common 

cause. Drug operations from South America to Europe are setting up shop in West 

Africa and destabilizing governments.

The Continuing Relevance of the Comprehensive Approach

This does not mean that all or most failed states require the focused engagement of 

the United States or NATO. The sheer number of poorly governed states makes 

that impossible. American and NATO interests are not everywhere at risk. But 

dangerous threats are likely to emerge in some of these areas. That is why we must 

continue to develop what NATO calls “the Comprehensive Approach” or what the 

U.S. Government calls “complex operations” or “stability operations.” The two are 

essentially similar responses to the problem of failed states.

There is growing talk in NATO circles of a need to return to conventional threat 

analysis or rising power analysis—to move away from the current focus on failed states. 

There is weariness in the United States as more and increasingly influential voices are 

calling for the United States to expedite its departure from Iraq and Afghanistan and 

to give up “nation-building.”
Complex Operations and the Comprehensive Approach

27

As the analysis above suggests, that would be a mistake. Even if the United States 

decides that it would like to avoid Afghanistan-like operations in the future, there are 

other crises associated with ungoverned spaces that it will still have to address. For 

instance, last year the United States again saw that it does not have the civilian experts 

and systems to manage the crises that erupt periodically in Haiti. In addition, the 

past several years have witnessed a growing danger to the United States coming from 

the ungoverned city streets of northern Mexico. However tired it may be of “nation 

building,” the United States will need civilian capacity to address the danger of chaosinduced refugee flows from Haiti or drug flows and drug-fuelled violence from Mexico.

As for NATO, even as there is increasing talk in Brussels about focusing on great 

or rising powers, the Alliance has taken over a mission in Libya which, if it is fully 

successful will likely need a strong peacebuilding component. Developments earlier 

this year in the Ivory Coast are another reminder that failed states continue to attract 

European attention.

The Development of Complex Operations in the United States

The problems evident by the fall of 2003 in the American intervention in Iraq provided 

the impetus for Washington to develop a more rigorous approach to stability operations. The Bush Administration decided at that time that its approach in Iraq had 

serious liabilities, and in the future it needed to do a much better job running stability 

operations. All elements of the Iraq operation were supervised by the Pentagon and the 

coordination of civilian and military activities was weak. To organize the United States 

better for future complex operations, the Office of the Coordinator for Reconstruction 

and Stabilization (S/CRS) was established at the State Department in 2004.

National Security Presidential Directive 44, which outlined the scope of the 

Office of the Coordinator for Reconstruction and Development, was issued in 

December of 2005 (NSPD 2005). To ensure proper support for this mission, the 

Department of Defense issued Directive 3000.05 in November of 2005 (Department 

of Defense, 2005).

The S/CRS had two tasks: to build a civilian surge capacity for use in stability 

operations and to organize all civilian efforts across the U.S. Government and to 

coordinate with the military in such operations (Smith, 2010). Like any new bureaucratic structure, S/CRS faced major birthing pains. Many parts of the interagency 

bureaucracy tried to limit its role. This was true of U.S. Agency for International 

Development (USAID), the Justice Department and some of the regional bureaus 

at the State Department.

But by January of 2007, the Office of the Coordinator won interagency agreement 

on both objectives: 1) to build a surge capacity in the form of a Civilian Response Corps 

(CRC) of 4250 people, and 2) to create something called the Interagency Management 

System to coordinate operations (Smith, 2010).
Herbst 

28

By June of 2008, the Office of the Coordinator had received funding in the IraqAfghan supplemental budget to start building a 600-person CRC. By March of 2009, 

S/CRS had regular budget funding to build a CRC of over 1,000.

The Civilian Response Corps

As of December, 2010, the size of the CRC approached 1,200 and there was a budget 

to build it up to 2,200 (Department of State, 2011). The CRC is composed of people 

having the functional skills to handle all basic functions of governance. It includes those 

involved in the rule of law (police, attorneys, judges, corrections officials). It includes 

economists, public administrators, engineers, city planners. The CRC is made up of 

personnel from eight agencies of the U.S. Government (USG).

It is divided into two parts: an Active component of approximately 150 personnel who do nothing but respond to crises abroad. They can be deployed within 2 or 

3 days of a decision. This number will grow to 200. The second part is the Standby 

component, which currently has over 1,000 members and which will grow to 2,000. 

They are people whose regular work for the USG does not include stability operations, 

but who train to be available for larger missions. These people can deploy within one 

or two months of a decision.

The Corps is designed to deploy people with functional skills in teams that include 

area experts and linguists. The purpose is to adapt the functional skills to the needs of 

the country or region in crisis. In a crisis, with a Corps of 1,200, the U.S. could deploy 

as many as 250 continuously. When the Corps has 2,200 members, it would be able 

to deploy up to 600 continuously.

Growing deployments have accompanied a growing CRC. In 2010, the Corps 

deployed 292 civilians to 28 locations (Department of State, 2011). In the short history 

of the Office of the Coordinator and the CRC, over 200 people have been deployed 

to over a dozen countries. Most of these deployments have been in small groups for 

limited purposes—whether running stabilization projects in Port Au Prince or helping 

assess the prospects for conflict in Liberia. But it has also put as many as 40 experts on 

the ground in Afghanistan to help establish inter alia rigorous civilian-military planning 

in all-American Provincial Reconstruction Teams, at Regional Commands East and 

South, and at the Embassy in Kabul. In South Sudan, the Office of the Coordinator 

has been working on a signature operation since March of 2010. It has developed 

interagency plans to encourage a peaceful and orderly outcome to the referendum on 

independence in South Sudan last January. As part of its operation it has deployed 

over 20 people to the field, many to state capitals in South Sudan which had not seen 

American officials. This is a good example of the civilian expeditionary capacity that 

the United States is developing.

Coordination and Planning

While the CRC is making clear progress, efforts to integrate U.S. Government activities in stability operations have been less successful. The Interagency Management 
Complex Operations and the Comprehensive Approach

29

System (IMS) was designed to provide a loose command and control structure for 

operations. It would have knit together the State Department, USAID, the military 

and other relevant agencies into a single structure for managing a crisis. It would have 

also ensured liaison with military commands in the field. The IMS was approved at a 

high level in the Bush Administration. It was exercised a number of times, including 

at Southern Command and European Command, but it was never used intentionally 

in a real world crisis.

The Quadrennial Diplomacy and Development Review (QDDR)—initiated 

by Secretary Hillary Rodham Clinton initiated in 2009—devoted a great deal of attention to the Office of the Coordinator. The completed QDDR was made public 

in December of 2010. While it validated much of the Office’s work, it dropped the 

IMS. Still recognizing the need for coordination, it substituted something called the 

International Operational Response Framework (IORF). This could be the institutionalization of something like the IMS, but this concept has little substance at present 

and, if the substance is developed, it will still need to be implemented in a largely 

hostile bureaucracy. (It is worth noting here that the QDDR also recommended that 

the S/CRS should become a bureau—which would strengthen its role in the State 

bureaucracy—and its acronym should henceforth be CRS.)

An important question is whether Secretary Clinton implements the QDDR’s 

recommendations concerning the S/CRS. The QDDR was issued in December of 

2010, but as of mid-September of 2011, no steps have been taken toward implementation. This reflects the deliberate decisionmaking style of the Obama administration 

and the Clinton State Department (Department of State, 2010).

If the QDDR’s changes are not put into place in the next few months, it is quite 

possible that the Office of the Coordinator and the CRC will face the next Presidential 

term in an uncertain status. Secretary Clinton has already expressed her intention to 

step down as Secretary of State at the end of President Obama’s current term, even 

if he wins re-election. The next Secretary of State will have no vested interest in the 

QDDR. So if Secretary Clinton’s State Department does not enact the proposed 

changes, enhancing the Office of the Coordinator’s position within the Department 

and interagency, it is not clear that those changes will be made.

Yet even if the QDDR is implemented, it is likely that the USG will continue to 

have problems truly integrating interagency efforts. American political culture appears 

to favor ad hoc organization. When a crisis hits, different high level officials make a 

bid to take responsibility for some part of the action. Decisions are made off the cuff. 

They reflect the political and bureaucratic balance of power at that moment rather 

than an orderly use of American assets.

A third part of American efforts to run stability operations is the development of 

a serious planning capacity. The Office of the Coordinator (CRS) has a large planning division with a handful of first-rate planners. It is sending its staff to the Army 

Staff College to take its Masters course in planning. These graduates are world-class 

planners. So the planning capacity in CRS will only get stronger. It has also developed 
Herbst 

30

two planning courses for every member of the CRC. The purpose is to ensure that all 

CRC members are at least rudimentary planners. CRS has developed sophisticated 

plans for USG operations in Haiti, Afghanistan and South Sudan.

As the State Department has developed the Office of the Coordinator and the 

CRC, the Department of Defense has launched the Civilian Expeditionary Workforce. 

Established in 2008, this program encourages Pentagon civilians to sign up for deployments abroad in support of American troops. Civilians in this program have 

been deployed to Iraq and Afghanistan in direct support of American troops, but in 

some instances also providing expertise to local governments. The development of 

the Civilian Expeditionary Workforce gives the Department of Defense additional 

civilian capacity for stability operations in case the Civilian Response Corps does not 

grow beyond the current projected number of 2,200 members.

Whole of Global Society

The U.S. Government recognizes the need for as broad a partnership as possible to 

deal with the problem of failed and failing states. This starts of course with whole 

of government: all relevant parts of the government should contribute to stability 

operations. But it moves from there to partnership with the private sector—NGOs, 

businesses—and with other countries and international and regional organizations.

There are more than a dozen countries with explicit capacities for dealing with 

ungoverned space. The U.S. Government is in touch with all of them. The United 

States also is in regular communication with the UN, the European Union, the World 

Bank, NATO, the African Union (AU), the Organization of American States (OAS), 

and the Organization for Security Cooperation in Europe (OSCE) regarding possible 

cooperation in this field. The United States, Canada and Great Britain launched 

something called the International Stabilization and Peacebuilding Initiative (ISPI) 

in the fall of 2009. ISPI is an informal, working-level network of governments and international organizations that have joined together in their commitment to enhancing 

civilian capacity globally and increasing interoperability among international actors. It 

is currently comprised of 15 national governments and 6 international organizations. 

The second ISPI meeting took place at the OSCE in May of 2011.

The Comprehensive Approach

The Comprehensive Approach (CA), NATO’s answer to the problem of failed and 

failing states, shares the same essential insights as the U.S. Government concept of 

complex operations. It recognizes that we live in an era of ungoverned spaces. It recognizes that some ungoverned spaces will pose security dangers for NATO nations. 

It recognizes that the answer to ungoverned spaces requires a strong civilian surge 

capacity and the ability to coordinate civilian and military action. It recognizes the 

importance of planning. It recognizes the need for partnership with other countries 

and with the private sector.
Complex Operations and the Comprehensive Approach

31

Of course, NATO’s CA is not identical to the U.S. Government’s work on stability operations. NATO is a multilateral organization that operates on consensus. 

The relationship between NATO and the EU had exerted and will continue to exert 

substantial influence on NATO activities in this area. NATO nations that advocate 

a strong and growing national security role for the EU are reluctant to permit NATO 

to develop the civilian capacity necessary for stability operations.

But what is striking is the steady progress the alliance has made over the past 4 

years in developing the CA. Former U.S. Joint Forces Command and Allied Command 

Transformation was been developing the concept for years, but within the Alliance, 

it was initially controversial.

At the Riga Summit in November of 2006, NATO Heads of State and 

Government agreed that “Experience in Afghanistan and Kosovo demonstrates that 

today’s challenges require a comprehensive approach by the international community 

involving a wide spectrum of civil and military instruments (NATO, 2010). This 

decision was reaffirmed at the Heads of States and Governments at the April 2008 

NATO Summit in Bucharest (Windsor-Smith, 2008).

Despite these statements from the top, actual steps within NATO to begin 

considering the development of capacity for a CA came slowly. (This was also true 

in Washington; it took over 15 months from the issuance of National Security 

Presidential Directive to get the interagency to agree on the lead role for S/CRS in 

the development of capacity for conducting stability operations). S/CRS proposed to 

hold a workshop in Brussels in the summer of 2008 to discuss the Civilian Response 

Corps and building capacity for dealing with failed states. This proposal was initially 

controversial and only approved after the Office of the Coordinator promised that the 

event would be purely “educational”—that is, it was not meant to persuade NATO 

to develop such a capacity. Not surprisingly, the workshop generated a great deal of 

interest.

One year later—July of 2009—representatives of S/CRS were invited to join a 

full-day session of NATO Ambassadors and senior staff on how NATO might start 

to develop capacity in this area. At last December’s Lisbon Summit, the CA was approved, an historic decision.

Naturally enough, in its current phase of development, the CA looks somewhat 

different from the American model. In contrast to the U.S. Civilian Response Corps 

with a standing core of nearly 150 professionals in the active component, and many 

more on standby status, NATO is talking about developing national capacities that 

would then be available to the Alliance. Naturally, this would mean a slower response 

in a crisis.

NATO also must determine when it would be appropriate to use these capacities—not just in what countries or crises, but also when it would how it would fit with 

possible EU action. This is a political matter that must be addressed directly within 

NATO and perhaps with the EU. Unless guidelines are set for appropriate NATO 
Herbst 

32

civilian activities, the issue of whether it is NATO or the EU that provide the civilians 

could further slow down decisions and deployments in any crisis.

The real world continues to press upon NATO the need to further develop this 

still latent capacity. This is no surprise. The global factors promoting instability are still 

potent. The global economic woes of the past three years are reminders of how we are 

all linked economically. The role of social media and Al Jazeera in the development and 

spread of the Arab Spring from Tunisia throughout the Arab world underscores not 

just how quickly information spreads, but its potential impact on political events. The 

American strike against Osama bin Laden was not just a great victory in the struggle 

against terrorism, but, as the contents of his communications become public, a reminder that “super-empowered” Al Qaeda is still developing plans to target the United 

States and Europe. Al Shabaab’s denial of food deliveries in famine stricken Somalia is 

a caution that political disorder exacerbates human suffering on a grand scale.

Not all crises or most crises require a NATO response; but some do. Civil disturbances in Libya and the prospect of Muammar Qadhafi unleashing his army against 

the civilian population of Libya prompted NATO action. Led by French President 

Nicolas Sarkozy and British Prime Minister David Cameron, NATO responded 

to UN Security Council Resolution 1973 approving a “no-fly” zone over Libya and 

authorizing all necessary measures to protect civilians in that country. NATO officials 

have stated repeatedly that their military operations in Libya are only to achieve the 

two goals set down by the Security Council. As these lines are being written, Libyan 

opposition forces have entered Tripoli and Qadhafi’s regime is on the ropes. If in 

post-Qadhafi Libya, the Transition National Council is unable to establish order, a 

dangerous power vacuum would develop, with, perhaps, only NATO on the scene. 

While NATO certainly would prefer to hand off responsibility to a more suitable 

actor—the UN, the African Union, the Arab League or the EU—there may be no 

takers. NATO may find itself the only actor able to move if things fall apart.

However Libya turns out, a similar scenario of widespread public disorder could 

recur in other locations, from the Balkans, to South Sudan to the Caucasus. To be prepared, NATO needs to develop the civilian capacity required by the Comprehensive 

Approach; and the United States needs to build further the Civilian Response Corps 

and institutionalize a system for its use.

Conclusions

For NATO, this means that clear decisions are needed on the creation of a civilian 

capacity and its use. For starters, there needs to be a nucleus of civilian experts at 

NATO Headquarters devoted to this full time. They need the authorities to develop 

an authoritative roster of experts from all NATO members. NATO members must 

develop rosters of active professionals who would be willing to deploy in a crisis. 

Procedures need to be developed to ensure that they are available in a timely way once 

decisions are taken to engage. To support this NATO must develop the right training 

to ensure that nationals from different countries are able to work as a team.
Complex Operations and the Comprehensive Approach

33

All of this is a tall order; but the single most important element is political will. 

If NATO leadership wants the tools necessary to deal with the types of crises it will 

be facing, the decision to develop this civilian capacity will follow. And once it does, 

NATO need not start from scratch in establishing this capacity. Many NATO 

members—the United States, the United Kingdom, the Netherlands, Germany, 

Norway and others—have taken long strides to develop such capacity. Some of this 

capacity would naturally help establish NATO’s own group of civilian experts. But 

these countries have also developed training programs and logistical capabilities that 

NATO could use as it builds up its own capacity.

We have already seen NATO evolve from an organization focusing on the Soviet 

threat to one meeting the out-of-area challenges of the post–Cold War world. Taking 

the political decisions to develop the capacity to implement the Comprehensive 

Approach would be the next step in NATO’s evolution as the premier security organization on the planet.

References

Binnendijk, H., and Cronin, P., (2009) Civilian Surge: Key to Complex Operations, 

NDU Press.

CIA (2011), The World Factbook, 2011. Available at www.cia.gov/library/publications/the-world-factbook/geos/ch.html. Accessed July 12, 2011.

Department of Defense (2005) Department of Defense Directive 3000.05—Military 

Support for Stability, Security, Transition and Reconstruction (SSTR) operations, accessed 

July 11, 2011, www.usaid.gov/policy/cdie/sss06/sss_1_080106_dod.pdf.

Department of State (2011). 2010 Year in Review: Conflict Prevention and Stabilization 

Operations, Available at http://www.state.gov/s/crs/rls/rls/156230.htm. Accessed 

July 6, 2011.

Department of State (2010), Quadrennial Diplomacy and Development Review 

(QDDR), 10–41. Available at www.state.gov/documents/organization/153108.

pdf. Accessed July 7, 2011.

Friedman, T.L., (2000) The Lexus and the Olive Tree, Anchor Books, 14–15.

Fund for Peace (2011) “The Failed State Index.” Available at www.fundforpeace.org/

global/?q=fsi-grid2011. Accessed July 11, 2011.

NATO (2010) Cited in Philipp Rotmann, “Built on Shaky Ground: The 

Comprehensive Approach in Practice,” Research Paper, NATO Defense College No. 

63, December 2010, 2.

NSPD (2005) “National Security Presidential Directive 44–Mananagement of 

Interagency Efforts Concerning Reconstruction and Stabilization,” The White House.

Available at www.fas.org/irp/offdocs/nspd/nspd-4.html. Accessed July 8, 2011.
Herbst 

34

Smith, D.F., (2010) U.S. Peacefare: Organizing American Peacebuilding Operations, 

Praeger Security International, 2010.

United Nations (2011) “List of Peacekeeping Operations 1948–2011.” United 

Nations, Department of Peacekeeping Operations. Available at http://www.un.org/

en/peacekeeping/documents/operationslist.pdf. Accessed July 8, 2011.

Valdes-Dapers, P., (2011) “Japan Earthquake Impact Hits U.S. Auto Plants,” CNN 

Money, March 30, 2011.

Windsor-Smith, B., (2008) “Hasten Slowly: NATO’s Effects Based and 

Comprehensive Approach to Operations,” Research Paper, NATO Defense College, 

No. 38, July 2008, 4.

Notes

1. Stability operations represent one category of complex operations. The definition of 

complex operations has changed over time—sometimes including combat, sometimes 

excluding it, sometimes encompassing disaster relief, sometimes not, and usually focusing only on missions overseas. For example, the Center for Complex Operations web 

site (http://ccoportal.org/) states that “stability operations, counterinsurgency and 

irregular warfare [are] collectively called ‘complex operations.’” Other papers adopt 

a more expansive definition that includes humanitarian assistance and disaster relief, 

at home and abroad. This definition has been adapted from Civilian Surge: Key to 

Complex Operations (Binnendijk and Cronin, 2009).

2. Global trade (the sum of exports and imports) as a percentage of global GDP has 

risen steadily since 1968, when it was approximately 25 percent until 2008, when it 

was over 55 percent. See “Trade (percent of GDP) in World” at Trading Economics. 

Available at www.tradingeconomics.com/world/trade-percent-of-gdp-wb-data-html. 

Accessed July 13, 2011.

3. However, governments also are learning how to make us of these technologies, and 

some of the power that initially accrued to citizens is being redressed.
35

Chapter 3

Attempting a Comprehensive Approach 

Definition and Its Implications for 

Reconceptualizing Capability 

Development

Michael Hallett and Oke Thorngren

Abstract

This chapter sets the conceptual boundaries and offers a working definition of the 

Comprehensive Approach (CA). This definition becomes useful in helping guide an 

organization’s actions by ensuring that, while they may not be able to say precisely what 

kind of thing the CA is, they understand where it belongs in the broad set of planning 

and operating approaches. This edge mapping ensures that actors are working with a 

sufficiently common concept so that somewhere down the road there is not the sudden 

realization that actors engaged together were using the same words but with important 

variations in meaning that will have generated a wide set of unintended consequences.

While recognizing there are many different existing understandings of the CA, 

for the purposes of this chapter the term the CA has been adopted. The first part of 

this chapter articulates a definition of the CA as a design process. The second demonstrates the utility of the definition by applying it to a reexamination of the capability 

development paradigm, and the article concludes with a description of the advantages 

of using the CA for complex crisis response.

Introduction

A precise consensus on the meaning of the Comprehensive Approach (CA) has not 

yet been developed. According to Alzuyeta, Chossiere, Escorcia & Williams (2011), 

NATO views its CA as primarily concerned with crisis response. In their study on 

National Approaches to the Comprehensive Approach, they trace the development of CA 

thinking in NATO from the Riga Summit in 2006, through the Bucharest Summit in 

2008 and the Lisbon Summit in 2010. This study also provides a survey of national 

approaches to the CA, with a focus on the various models for civilian expert utilization. 

The NATO Defense College published a series of papers entitled Operationalizing a 

Comprehensive Approach in Semi-Permissive Environments that provides an excellent 
Hallett and Thorngren

36

survey of potential meanings of the CA from a NATO perspective and what the 

implications of those meanings might be. Lindley-French (2010) argues for a specific 

form of application of a CA in a 3-star operational headquarters.

Although the definition of the CA is still not settled, this need not hinder efforts 

to operate more effectively with a wide range of actors in complex environments. 

Conceptual ambiguity provides leeway for decisionmakers to act in the absence of 

detailed agreements and most know what is meant by the CA when engaged in it, even 

if it is not easily captured in words.

However, even though the CA may not require explicit, highly granular definition 

before it can be used, this article attempts to set the conceptual boundaries and offer 

a working definition of the CA. This definition can be useful in helping guide actions 

by providing an understanding of where the CA belongs in the broad set of planning 

and operating approaches. This edge mapping can help ensure that organizations are 

working with a sufficiently common concept so that down the road they do not suddenly realize they were using the same words but with important variations in meaning 

that are now generating a wide set of unintended consequences.

This chapter argues for a specific understanding of the CA at the highest level of 

abstraction. Therefore, while recognizing there are many different existing understandings of the CA, for the purposes of this chapter the author will speak in terms of the

CA. The first part of this chapter articulates a definition of the CA as a design process. 

The second demonstrates the utility of the definition by applying it to a reexamination 

of the capability development paradigm. The chapter concludes by highlighting the 

advantages of using the CA for complex crisis response.

Edge Assumptions

Before defining the CA, it is necessary to describe the assumptions grounding its use. 

Using the CA in complex operations assumes a level of commitment, and will, to work 

together based on a belief that doing so will further the organizational objectives of the 

participants. This benefit to organizations comes not least from increases in efficiency 

and effectiveness of resource use/expenditure, that is, the CA enables a reduction of 

wasted effort and increases the generation of the desired effects.

This can be further divided into two major assumptions:

First, that the self-interest of organizations is facilitated by cooperative interaction. 

This does not entail perfect unity of purpose, and certainly not unity of command, but 

sufficient congruence of intent so that the advantages of interaction clearly outweigh 

the transaction costs. We can thus say that the CA aims not for unity of command, 

but congruence of purpose.

Second, the CA assumes larger-scale operations and so the resources required to 

generate the desired effects are large enough that efficiency gains from cooperation are 

possible. Larger organizations, with more diffuse sets of complex activities will benefit 

from CA informed interaction with other organizations, not least because it improves 

the efficiency of their searching for solutions to the wicked problems with which they 
Attempting a Comprehensive Approach Definition

37

typically are dealing.1 Smaller organizations with fewer resources can find niches to 

plug into within the overall CA framework.

Approaching a CA Definition

The CA, as presented here, does not try to build a strong, centralized authority to deal 

with wicked problems and increase local resilience. Rather, the CA focuses on enabling 

local solution formation through the provision of intellectual and financial capital to fill 

gaps that have developed as a result of natural disaster or conflict. Therefore, the aim 

of the CA is to make resources available to individual actors and the organizations they 

form (like businesses and community organizations) to meet their wants and needs, 

not to develop a national government, or central international authority, with the 

capacity to provide services with resources provided by the international community.

This line of argument suggests the following preliminary definition of the CA:

The Comprehensive Approach is a design process to align incentives among international and local actors to increase local resilience in the engagement space while reducing the 

transaction costs associated with multiple actor interaction in complex operations.

CA as a Design Process

De Bono(1993), in his Serious Creativity, captures the applicable meaning of design 

when he states:

It is perfectly true that in some situations there are a limited number of alternatives... But most situations are open and there is no fixed number of 

alternatives. The alternatives we see are only limited by our imagination in 

designing them... Too often we think only of “analysis” in finding alternatives. Design suggests that we make an effort to create new alternatives. This 

can be done by shifting the boundaries of the situation; by introducing new 

factors; by changing the value; by involving others (De Bono 1993: 122).

To operate in accordance with the CA means to employ a certain type of design 

methodology. This includes discovering what it is that should be done, planning on 

how to do it, actually doing (implementing the plan) and an assessment, analysis and 

evaluation process to ensure that feedback continuously informs discovery of new tasks 

and new ways of doing old tasks. This approach to strategic and operational design 

increases the intervention efficiency and effectiveness.

The chapter now discusses in more detail how the effectiveness and efficiency of 

each organization, and its ability to achieve its own particular mission alongside coalition or Alliance objectives can be increased via the CA.

Interactions Prioritized

The CA is distinguished from previous approaches to complex operations by its 

starting assumption that interaction with others is an essential precondition, not 
Hallett and Thorngren

38

something “nice to have,” for effective action. Within the CA accomplishment of one’s 

own organizational objectives is inextricably linked to the ability of other organizations 

to accomplish theirs in the service of local capability development. Of course, there 

are some activities that do not require a CA—but responding to complex crisis, like 

civil war, major natural disasters or state building are not among them. Facilitating 

structured interaction horizontally (among international actors) as well as vertically 

(with local actors, including private sector personnel, local civilian organizations, local 

and national government officials and agencies, etc.) is a key purpose of the CA design 

methodology for increasing efficiency and effectiveness in complex crisis response. 

While the CA aspires to unity of effort, it accepts that given the difficulties posed by 

the high coordination costs of multiple actor interaction, such unity will not always 

be achievable, and that the intellectual and organizational energy to achieve it is better spent in service to local actors, not intra international community management. 

Therefore, the articulation of a common vision to serve as a framework, or the pole star 

toward which to head, is more important than establishing an organizational structure 

to coordinate activities—congruence of effort, not harmonization of organizational 

and political will, is the goal.

Coordination emerges based on the wants and needs articulated by local people—

their demand signal, not the external inputs available, structures resource flows.2

 The 

first priority in the CA is thus to enhance organizational capability to interact with 

others, not as an end in itself, but to increase congruence of effort as external actors 

help local actors improve their resilience in fragile or postconflict situations.3

Aligning Incentives

It is crucial to align incentives, geographically, temporally and in terms of process, 

to improve the interaction effectiveness of the various activities and actors. Aligning 

incentives improves the overall effectiveness of the activities in the engagement space 

by helping ensure that the efforts of one organization do not generate countervailing 

incentives that hinder the activities of other organizations in pursuit of the same overall 

goal of increasing local resilience.

But it is not only unintended effects that hinder goal achievement—sometimes 

the intended effects of an activity can generate negative impacts on the actions of other 

actors. When incentives are not aligned, the activities can contribute less, or fail to 

contribute at all, to increasing local resilience and the ability of the state to perform its 

core functions. The absence of CA incentives often inspires countervailing capacity development that will move in different directions, some toward enhancing state or local 

organizational capability and in others incentivizing spoilers and other negative actors.

CA effectiveness requires that activities reinforce one another because the increasing effect is cumulative. Therefore, the CA as a design methodology looks across the 

entire environment to see how sets of activities are positively and negatively interfering. 

Positive interference refers to instances where the activities of one actor or sets of actors 

working in the same geographic, temporal or functional area reinforce one another’s 
Attempting a Comprehensive Approach Definition

39

efforts. For example, an actor providing business start up training recommends that 

the students, upon graduation, attend the workshop given by the NGO on how to bid 

for police supply contracts. This workshop has been scheduled in cooperation with 

the international agency mentoring the police logistics organizations so that it takes 

place a week before the bids are due.

Negative interference refers to instances where the activities of one organization 

run directly counter to the overall objectives of the mission. For example, counter 

narcotics activities that take the form of crop eradication can create incentives for both 

corruption (the large crop growers bribe the eradication teams to eradicate the crops 

of the small, poorer farmers) and the insurgency because the small farmers support 

insurgents to attack the eradication teams. Using a CA to align incentives in the area of 

counter narcotics could take the following form: legalizing the crop production would 

align incentives toward supporting the emerging security architecture by moving farmers from the illicit to licit economy, while removing the risk premium from the crops 

and thus reducing their value. This reduction in value would make other crops more 

economically attractive. Positive interference could then take place as the alternative 

livelihood teams move in with alternative crops to plant (which now offer the same or 

greater income potential as the illegal ones did, since the market has collapsed due to 

the now legal oversupply) in conjunction with new micro-credit facilities, underwritten 

by the national government agricultural development bank which is in turn funded 

by the money previously dedicated to eradication but is now available for agricultural 

loans, training, fertilizer, and the construction of storage facilities.

Transaction Costs

The CA improves the ability of the international community to add value to fragile or 

postconflict regions and states primarily by reducing the transaction costs associated 

with local actors gaining access to venture capital (in intellectual, financial and human 

forms) to expand the local capabilities or “tool set.”

What are these transaction costs? Utilizing Ronald Coase’s coinage of the term 

in his essay The Problem of Social Cost, Carl Dahlman defines them as “search and 

information costs, bargaining and decision costs, policing and enforcement costs” 

(Dahlman 1979: 148). These transaction costs must be taken into account when 

attempting to generate effects, especially in complex engagement spaces. Intervening 

actors regularly ignore these costs, assuming that all difficulties with generating effects 

(in terms of, for example, improving health outcomes, education, access to clean water 

and sanitation and economic growth) will be overcome through the beneficent magic 

of legitimacy emanating from elections. Too often, as in the Agreement on Provisional 

Arrangements in Afghanistan Pending the Re-Establishment of Permanent Government 

Institutions (or Bonn Agreement) on Afghanistan, the international community focuses 

primarily on the political domain, and acts as though elections will resolve the tensions 

that caused the conflict. This is due, in part, to the relative ease of holding elections 

compared to the preparatory work of enhancing, through education and training, the 
Hallett and Thorngren

40

local human capital. Inculcating habits of resolving conflict that result in a sustainable 

reduction in the level of violence, based on well functioning institutions is difficult. 

Indeed, transaction costs generate a recurring multitude of friction points not removed 

by elections. Due to this friction attempts to generate a national-level organization, 

without the intermediary subsidiary organizations operating effectively to reduce the 

transaction costs associated with individual and local, provincial and national government intermediation, often fails.

Intellectual Transaction Cost Reduction Methods

How does the CA reduce these intellectual, financial and organizational transaction 

costs? Intellectually, members of organizations deployed serve as a human supplement 

to the Internet, performing the searches, packaging the information appropriately, 

ensuring valid comparisons and providing training on how to apply the knowledge in 

the specific circumstances, not just of the host nation as a whole, but in a particular 

village. This knowledge is derived not only from activities in other similar regions (for 

example, watershed management techniques from a similar climatic zone) but also 

from the history of the local area. Understanding this historical knowledge base may 

have been degraded or lost due to warfare. Life-denying cultural forms, such as those 

justified by extreme interpretations of religious texts, under the stresses of the conflict, 

may have become prominent in ways that do not reflect the fullness of the culture and 

cause damage to or eradication of traditional practices. Unscrupulous politicians can 

exploit this impoverished cultural understanding for their own ends. Academics and 

expatriate communities serve as means to access this lost knowledge and help local 

actors grow their culture in life-enhancing ways.

Transaction costs are also reduced by sharing knowledge about good and best 

practices, plus lessons identified and lessons learned in the various functional domains.

Financial Transaction Cost Reduction

Often there is a tension between providing funding to the government (in order to 

build government capability) and spending money directly on various projects. The 

CA as a design methodology provides a means to manage this tension better and enable 

the direction of external resources to the highest leverage points. For example, money 

can go to the central government in the few areas in which the central government 

has the lead (for example, in rule of law development programs, military and national 

police training and equipping programs) or to sub-national government institution 

development, while the bulk of the funding can be directed toward more effective and 

efficient private sector actors. Indeed, one of the major potential advantages of the CA 

is that it provides a conceptual framework within which to provide financial capital to 

actors with the greatest capacity to act as economic growth force multipliers, providing 

services and creating jobs—local entrepreneurs. Thus, the financial component of the 

CA can involve micro-credit, foreign direct investment, and venture capital provision 

for entrepreneurs, all bundled together with training (such as business development 
Attempting a Comprehensive Approach Definition

41

training, how to win military and external actor government contracts for projects, 

etc.) to utilize the funding.

Organizational Transaction Costs Reduction through Training

The limiting factor in many postconflict situations is the availability of local personnel 

with the skill sets required to get things done in more effective and efficient ways. The 

international community has generally responded to this situation by hiring those with 

the highest skill level to work in their own organizations, alongside large numbers of 

expatriate workers. Some external organizations even pride themselves on their high 

number of local hires. This is of course commendable if those local hires are being 

trained to perform the service currently provided by the external organization. It is far 

less commendable when the external agency is acting like a human resource vampire, 

removing experts from the local (for example, medical) talent pool.

Therefore, the third way the CA can reduce transaction costs associated with 

developing more effective and efficient organizations is by providing training and, most 

importantly, developing the capability of local actors to provide training themselves. 

Training, even more than actual service provision, should therefore be seen as a core 

task of the external actors within a CA. For example, the measure of effectiveness of 

international community medical organizations should be based not on providing 

medical services, but training local actors to provide medical services; not drilling wells, 

but training local actors on water management based on sustainable technologies and 

rooted in local cultural practices.

Capability Development through the 

Comprehensive Approach Prism

Organizations, if they are to survive and thrive must respond to changes in the complex environment in which we all live. A large part of this response is reflected in the 

modification of existing capabilities or the creation of new ones in order to perform 

emergent tasks or persistent tasks in innovative ways.

This capability development does not take place in a vacuum. Instead, it is governed by mental models or paradigms. Seeing capabilities in terms of Doctrine, 

Organization, Training, Materiel, Leadership, Personnel, Facilities and Interoperability 

(DOTMLPFI) constitutes one such paradigm. NATO uses the DOTMLPFI paradigm to guide its capability development activities including the concept development 

and experimentation (CD&E) process as well as the other capabilities development 

activities undertaken by organizations like NATO’s Allied Command Transformation 

and the NATO member, partner, and troop-contributing nations.4

 How does it do 

this? The DOTMLPFI paradigm helps guide capability development by providing 

a framework within which to articulate each element of a new capability. It surfaces 

the full dimensions of a capability so that people are not seduced, under the pressure 

of resource constraints, into thinking that changing one element, like writing a new 

doctrine, will result in the generation of the desired operational effects. Not only may 
Hallett and Thorngren

42

a new doctrine (or subsidiary textual guidance) be necessary, but the organizations 

may need to be changed, and additional personnel required to perform new functions. These personnel must not only be trained, they may also need new equipment 

(materiel) to use and new buildings (facilities) in which to use them. NATO added 

the Interoperability I to DOTMLPFI (some nations use only DOTMLPF) because 

as an Alliance the ability of the various nations to work together is at the forefront of 

all NATO activities. Enhanced effectiveness of the Alliance demands easy “plug and 

play” compatibility among national capabilities, just as within Nations the various 

elements of national power must be able to seamlessly work together in order to most 

efficiently and effectively generate the desired effects.

Capability Development within the Comprehensive Approach

The prism provided by the CA as a design process refracts the view of the DOTMLPFI 

paradigm, so that the priority of effort among the capability elements shifts. The 

view of the paradigm from the CA (interagency, multi-actor, complex engagement 

space) perspective reveals the paradigm not as DOTMLPFI but ITOPLFDm, with 

Interoperability and Training being very important, and dedicated, new types of materiel 

being much less so. This section will describe each of the capability elements from this 

CA perspective, using the reordered acronym as a way to focus on the specific character 

of capability development (based on interactivity and consensus, not direction from a 

central authority) within the CA.

Interoperability

A major advantage of undertaking complex operations using a CA design methodology 

is that the CA brings to the forefront the tremendous improvements in operational 

efficiency and effectiveness generated by intimate interaction with a broad set of organizations and actors. Interoperability is not an afterthought but is included, from the 

very beginning, of both the capability development and mission planning processes. 

Thus interoperability from the CA perspective refers to thick and frequent interaction 

among the organizations and individuals involved in complex engagement spaces as 

they engage in planning, decisionmaking, and operations. Developing the means for 

facilitating this interoperability constitutes the main content of this primary enabling 

capability element within the CA. Without this interoperability effort the remaining 

elements are unable to combine constructively to align incentives and reduce transaction costs.

Training

CA-specific training is focused on improving interactions between organizations to 

align incentives and reduce transaction costs to achieve congruence of effect. At the 

highest level, the CA provides a holistic (or comprehensive) view of the engagement 

space, a view enriched by the blending of multiple perspectives from a widely diverse 

set of actors. Therefore, the highest level CA training should include instruction on 
Attempting a Comprehensive Approach Definition

43

regional and state assessment methodologies, frameworks for increasing local resilience, 

principles for engagement with local and international actors, negotiation and mediation techniques for complex engagement spaces and familiarity with various other 

“toolkits” focused on multidimensional interactions.

The operational-level CA training takes place along two axes– the horizontal, 

to improve mutual understanding between international actors (the various national 

agencies, organizations, international organizations, military organizations, private 

sector businesses, nongovernmental organizations, etc.) and the vertical—between 

the international and local actors to enhance local capabilities.

This two dimensional training on aligning incentives must provide an enriched 

understanding of how to execute one’s own organizational mission in accordance with 

the mandate and financial requirements while supporting, or at least not negatively 

interfering with, the activities of other organizations in the same area. This instruction 

therefore consists of mutual awareness training on capabilities and cross training in 

areas of functional expertise.

Mutual awareness training is designed to enable improved understanding of organizational specializations, capabilities, funding processes, operational practices and 

existing interagency/interorganizational planning processes. Cross training refers to 

allowing members of other organizations to attend one’s own training courses. Both 

types of training enable staffs to better contribute to the overall effort by encouraging 

multiple actors to act in cumulatively beneficial effect generating ways. By making 

planners aware of the additional capability availability in other organizations, mutual 

awareness training in conjunction with cross training that provides an understanding 

of the processes the other organizations need to follow in order to act, will enable the 

required coordination.

This does not mean that CA training must cover the full range of Stabilization and 

Reconstruction (S&R) functional area training. The CA specific training is training 

on supporting interaction to enhance operations across a broad range of fields—not 

the specific expertise enhanced by the interaction. CA S&R-related training is therefore a sort of meta-training: training not on specific task performance, but training on 

how to interact with organizations which have the required training and operational 

capabilities.

Organization

Looking through the CA prism, organization is concerned primarily with asking the 

right questions about enhancing interoperability, not at defining the sort of organization each actor should adopt within a CA. Organization thus refers to questions 

more than answers at this point in development of CA. A key question may be: Who’s 

going to lead the overall Comprehensive Approach that NATO can support? Other 

questions include: How to organize to facilitate interaction in complex engagement 

spaces among different organizations? What sort of coordination is required? What 

sort of organization should be established to facilitate decisionmaking (concerning 
Hallett and Thorngren

44

the priority of aircraft landing in the aftermath of a natural disaster for example) 

among many organizations responding to a crisis? Does better coordination require 

new command and control structures, or should the focus be on adjusting elements 

of existing organizations to facilitate self-synchronization among the wide variety of 

organizations? Many lessons identified exist, like those associated with the positive 

effects of dual civilian and military leadership structures in Provincial Reconstruction 

Teams, and organizational capability element development within a CA will rely 

heavily on these as it matures.

Personnel

In addition to the cultivation of a broad set of personnel who can contribute to missions 

within a CA through training, “Personnel” in the CA context refers to institutionalizing the success derived from the good will and hard work of people engaged in the 

complex engagement spaces. This includes the creation of a set of people with the 

experience and capability to serve as Senior Representatives and engage in focused 

interaction with local actors. This means providing people with opportunities to expand their skill sets by serving in a broad range of jobs, including those outside the “fast 

track” of their own organizations, and ensuring that these experiences do not negatively 

impact their career advancement. It may even be necessary for organizations to develop 

career paths for experts in CA so that the specific expertise, developed at great cost 

through participation in complex operations, is not lost between major crisis responses.

Personnel also refers to the development of the human resource management techniques to deploy experts on short notice, and to loan people to other organizations. 

Perhaps most importantly, it must cover the development of protocols for pay and 

benefits when people are serving outside their original organization. Supporting our 

people as they flexibly undertake the complex activities required by the CA (which 

often means operating outside of organizational comfort zones) is essential for generating sustainable effects.

Leadership

Leadership in the CA thus makes greater demands on the practical wisdom of leaders 

than that required in so called “normal operations” when the well ingrained habits of 

the organization can be relied upon to provide guidance on dealing with commonly 

encountered problems. Within the CA, not only is increased flexibility required by 

leaders, but the judgment to know when the flexibility is appropriate and when flexibility would violate organizational rules designed with the very good intention of, for 

example, serving as a responsible steward of taxpayer resources or protecting valuable 

information. The CA also places greater demands on leader-to-leader interaction. 

This is necessary for two reasons. First, to develop ever increasing effectiveness and 

efficiency in performing core functions, and second, to expand organizational boundaries and operational scope when necessary to undertake new tasks. In some cases an 

organization must stretch its capabilities to contribute to a process that may only be 
Attempting a Comprehensive Approach Definition

45

tangentially related to its primary mission but that has significant importance for the 

undertaking as a whole. Strong leadership is required to inspire these extra efforts.

Facilities

There is a need to explore, as part of CA design, questions concerning the arrangement 

of personnel to facilitate interaction. For example, are the interagency partners sitting 

in cubicles next to the military logisticians, or are they in a different building across 

town? Should we hold a meeting in a government compound or at a downtown hotel? 

Is there a meeting space at the Provincial Reconstruction Team accessible to the full 

range of local actors? Do separate meeting spaces need to be provided for women? Are 

simple video-teleconference systems required to facilitate interaction (for example, a 

video cable from one tent to another so that people 100 yards away can also see what 

is going on in the main meeting)? In short, the main question in facilities related CA 

capability development is “Do our facilities make interaction easier, or create additional 

barriers to interaction?”

Doctrine

In DOTMLPFI, doctrine has a very specific definition—it is the highest-level textual 

guidance for how organizations must perform their functions. As NATO’s AAP 6 

defines it, Doctrine is “fundamental principles by which the military forces guide their 

actions in support of objectives. It is authoritative but requires judgment in application.” (NATO 2010) Within a CA, doctrine in the formal sense is not yet developed 

and therefore within the Doctrine category of the ITOPLFDm paradigm, Doctrine 

has a broader meaning. It refers to the textual guidance for acting including the organizational policies, standard operating procedures, and guidance (written and verbal) 

generated to accomplish the mission. Indeed, Doctrine is in the case of the CA, a lagging capability element—it follows behind the advances made in the field. This is not 

to say that it is unimportant—if we are to sustain the increases in our organizational 

effectiveness created by the pressures of operating in the field, capturing those improvements and incorporating them into doctrinal texts is essential. Why? Because if we 

do not officially capture them in texts the new processes and procedures will remain 

personnel dependent—that is, they will remain tacit knowledge in the minds of the 

people involved, not explicit knowledge accessible by the organization. The negative 

effect on knowledge base development, and thus operations, of rapid short-term 

deployments to theatre is all too evident in recent complex international operations 

in failed or fragile states and regions. For example, while face-to-face discussions are 

essential ways to transmit knowledge, if the knowledge is not captured and training 

programs changed to consistently transmit it, the effectiveness of the knowledge will 

degrade rapidly. This failure to shift from tacit to explicit will hinder the institutionalization of the new capability. Clear doctrine can help mitigate these effects.
Hallett and Thorngren

46

Materiel

The important issue here is to resist the temptation to develop specific materiel. 

Within the CA Materiel should not refer to the equipment or “kit” needed to execute 

operations in accordance with a Comprehensive Approach. Indeed, the CA will be 

enabled by the effective utilization of commercial and crowd-sourced technologies 

(smart phone applications, open-source Geospatial Information System (GIS) tools, 

renewable energy, etc.) not, for example, the creation of specialized intergovernmental 

communication systems. Hence the m in ITOPLFDm is lower case. However, within 

a CA, sharing lessons learned and best practices concerning appropriate technologies and processes would be very useful, and is an area in which a low investment in 

intellectual energy to gather, analyze and disseminate insights on especially effective 

materiel technologies could provide an extremely high return on investment. For example, sharing good practices to address the question of “What are effective techniques 

for constructing cold storage facilitates in Afghanistan so the farmers can move up 

the agricultural value added chain instead of having to ship their produce out of the 

country for cold storage only to buy the same produce back at a higher price later?” is 

an example of materiel-related activity within a CA.

Advantages of the CA

Within the context of this chapter it is important to address the key question “so 

what?” Why spend the time/effort and financial resources to work within the CA? 

What added value to complex operations and the capability development process 

does utilization of a CA provide? The chapter examines the advantages in three broad 

categories: enhanced organizational interaction, improved understanding, and more 

effective and efficient partnership development. All three categories affect planning, 

operations and assessment in complex crises.

Enhanced organizational interaction. The CA is organically interactive—it is based 

on the insight that helping other organizations reach their goals in service to local 

actors helps us achieve ours. Thus the CA provides a multidimensional, interactive 

framework that enables the team-based development of new means of influencing (seducing some, coercing others) actors to, in turn, shape the environment. Importantly, 

its influence can be exerted most effectively in preventing conflict, not only responding 

to it. The CA is a way to develop a system-of-system of effectors and influence within 

which coordination takes the form of self-synchronization enabled by a decrease in 

transaction costs. It is not primarily a way to harmonize efforts through a central plan, 

or broader or more collaborative command and control structures, but is a way to 

empower local actors to create outcomes that can improve their lives.

Improved engagement space understanding. Within the CA, the accumulation of 

multiple perspectives of the diverse groups, most importantly the local actors with 

their superior local knowledge, generate improved understanding of the engagement 

space informing planning, operations and assessment. The improved understanding 

results from the discourses that emerge from the blending of the mental models of 
Attempting a Comprehensive Approach Definition

47

the various actors. As Boyd said, in his Strategic Game of ? and ? “We must be able 

to examine the world from a number of perspectives so that we can generate mental 

images or impressions that correspond to that world” (Boyd, Strategic Game of ? and 

? (Boyd 1991). Acting within a CA provides a structure for accessing these perspectives and thereby generating new ideas concerning what needs to be done to improve 

the situation while simultaneously increasing understanding of the means available.

More effective and efficient partnership development. Their blending not only enriches 

the mental models of each individual actor, but also affects the frame within which 

actors approach their individual activities in the engagement space. In other words, 

the blending of mental models enables both improved individual organizational 

understanding and organizational learning by all the actors in the engagement space. 

Blending makes it possible not just to look at, but also to see the deep structure of the 

environment, the nature of the actors within the environment (international and local) 

and the intended and unintended feedback and feed forward effects of their activities. 

The CA thus transforms the multiplicity of actors from a problem into an opportunity for improved efficiency and effectiveness by providing a design methodology for 

multilateral, understanding-enriched activity.

Improved Division of Labor

Within the CA the goal is not to find or create the optimal organization to execute the 

activity, but to link with organizations that are good enough to get the work done. The 

CA facilitates this because increased partnership opportunities are a natural positive 

externality of improved interaction. Therefore, the CA enables satisfying, not optimizing, task accomplishment by diverse participants. Partnership, facilitated by the CA 

design methodology, can increase the speed of delivery as seen by local people. For 

example, an organization with a large footprint in theater, but which lacks a specific 

capability, can acquire the required capability through partnership, trading access to 

their support infrastructure in the engagement space for functional expertise.

To illustrate, an indigenous power plant builder and operator might be the ideal 

candidates to build and operate a power plant, if they were available. However, in 

the absence of such a local actor, the CA facilitates creation of an organization built 

around military experts to deliver and perform maintenance on the generators, logistic 

professionals to arrange for fuel, a local trucking company to deliver it, and a joint 

international/local pipeline operator to start pipeline construction. This, combined 

with a NGO specializing in powerplant operation training who form a collaborative 

training program with the local university, gets the job done and establishes the foundation for sustainable operations.

Base Camp Metaphor

The incentive alignment and transaction cost reduction provided by the CA as a design 

process can be compared in their effects to the implicit protocols governing life at a 

base camp of a major climb, for example, Mt. Everest. Many different organizations are 
Hallett and Thorngren

48

present at the base camp, each with the goal of summiting the peak. Diverse individuals 

and organizations have gathered to accomplish a goal. They are unwilling to coordinate 

in a formal sense but recognize the benefits to all of enhancing their interaction and 

sharing resources in functions like weather forecasting, sanitation, and emergency response. In this model, the camp is like a complex engagement space, with many actors 

attempting to support common goals, but unwilling to subordinate their activities or 

yield donor funding to other organizations. The CA is a design process that facilitates 

interaction among these groups. When cooperation reduces the costs for everyone, 

like in shared weather forecasting, it will easily take place. In situations where give and 

take are necessary, like sequencing summit attempts, sometimes coordination will take 

place and other times not, but the CA at least makes explicit where the friction points 

will most likely occur and provides a way to better manage them.

Conclusion

The CA is the structured design process through which people attempt to generate 

effects, using organizations as tools, within the systems of interaction that are created 

(such as by a UN resolution or North Atlantic Council decision) or emerge in the 

effort to deal with a complex crisis. By reducing friction in the interaction process the 

CA aims not at conventional command and control and the articulation of superior 

and subordinate relationships, but at enabling self-synchronization among actors 

working in the various functional areas. The CA is thus a design approach used by 

groups in a network of interactions, or system of systems, focused on contributing to 

local actor efforts to increase their resilience in the aftermath of a complex crisis. The 

CA provides a design methodology for enhancing both the efficiency and effectiveness 

of these interactions, adding value for all involved actors.

Capability development in the CA is a complex, not merely complicated process, 

involving a broad set of constantly shifting actors, each with their own special organizational expertise, decisionmaking processes and objectives. Nations therefore have 

three main options for CA-related capability development: one, they can develop the 

expertise within their own militaries, investing the resources necessary to develop the 

professionals to engage in the full range of tasks required for effective intervention, 

including, for example, Stabilization and Reconstruction (S&R) competencies; two, 

they can develop that expertise in other government organizations (which also requires 

significant resource investment) or three: they can contract with private organizations 

to acquire the capabilities required. A fourth option is to recognize that some CArelated capabilities will pave to be provided by others outside the nation and to develop 

interoperability as appropriate. In practice, Nations will likely use a combination of 

all the methods based on their specific existing capabilities, resources, and political 

will. Membership in Alliances, like NATO, adds additional capability development 

possibilities—such as common funding of capabilities for the Alliance as a whole and 

national specialization in niche capabilities.
Attempting a Comprehensive Approach Definition

49

The ITOPLFDm paradigm can help all actors engaged in the CA think through 

the capability development process so that it facilitates interaction. The aim of the CA 

is to ensure that external involvement in complex engagements adds significant value 

to the lives of the local people as they work to increase their resilience (preferably) 

prior to or in the aftermath of a major crisis. A capability development paradigm shift 

focused on the CA is essential if we are to achieve this aim.

References

Alzuyeta, P., Chossiere, S., Escorcia, A. & Williams, A., (2001) Study on Nations’ 

Approaches to Comprehensive Approach. Norfolk, Headquarters Supreme Allied 

Commander Transformation.

Bono, E.D., (1993) Serious Creativity: Using the Power of Lateral Thinking to Create 

New Ideas, Harper Business, New York.

Boyd, J., (1991) The Strategic Game of ? and ?, Spinney, Defense and the National 

Interest. http://www.dnipopo.org/boyd/strategic_game.pdf.

Coase, R.H. (1988) The Firm, the Market and the Law, The University of Chicago, 

Chicago.

Dahlman, C.J. (1979) The Problem of Externality. Journal of Law and Economics, 22, 

141–162.

Hallett, M. (2009) An Introduction to the NATO Lessons Learned Capability. The 

Three Swords, 38–45.

Hallett, M. (2011) Capabilities—Not Clothes. Armed Forces Journal (July 2011): 

28, 30, 32.

Lindley-French, J., Cornish, P., & Rathmell, A., (2010) Operationalizing the 

Comprehensive Approach. London, Chatham House.

NATO, (2010) NATO Glossary of Terms and Definitions AAP-6(2010). NATO 

Standardization Agency. Brussels, NATO.

Rittel, H.W.J. &, Webber, M.M., (1973) “Dilemmas in a General Theory of 

Planning.” Policy Sciences 4: 155–169.

Schnaubelt, C.M., Ed. (2009) Operationalizing a Comprehensive Approach in SemiPermissive Environments. NATO Defense Forum Paper 9. Rome, NATO Defense 

College Research Division.
Hallett and Thorngren

50

Notes

1. For a definition of wicked problems see Rittel and Webber Rittel, H.W.J. and 

M.M. Webber (1973). “Dilemmas in a General Theory of Planning.” Policy Sciences

4: 155–169.

2. How does the CA relate to stabilization and reconstruction? S&R activities create 

incentives. The CA aligns incentives and reduces transaction costs—we thus use a 

CA to more effectively and efficiently accomplish S&R activities. A full description of 

how CA supports the creation of incentives through stabilization and reconstruction 

activities is beyond the scope of this paper.

3. Organizational culture of course has a strong influence on the potential forms, 

intensity and effectiveness of the interaction. Importantly, these cultural differences 

should not be understood primarily in terms of distinctions between civilian and military cultures. The culture of military organizations generate intra-military interaction 

challenges no less significant than those between civilian and military organizations, 

just as civilian organizations have a wide set of different cultures. Cultural diversity is 

far richer than the categories of military or civilian can contain. For a further discussion of the implications of this point, see Capabilities-not clothes, Hallett, M. (2011). 

“Capabilities—Not Clothes.” Armed Forces Journal (July 2011): 28, 30, 32.

4. See Hallett 2009 for a description of the NATO Lessons capability in terms of 

DOTMLPFI.
51

Chapter 4

Strategy and the Comprehensive 

Approach

Christopher M. Schnaubelt

Abstract

Successful execution of a Comprehensive Approach is often hampered because civilian 

and military practitioners lack a common approach for developing strategy. Most military organizations have a standard methodology for writing plans and strategies, yet 

there are no widely agreed upon processes used by civilian organizations. This chapter 

attempts to bridge that gap by proposing a framework for developing civil-military 

strategies using the formula: Strategy = Ends + Ways + Means, wherein ends are 

the objectives or the “what” the strategy intends to accomplish; ways are the strategic 

concepts/courses of action or the “how” that describes the methods of applying the 

means to attain the ends; and means are the resources, typically elements of power 

such as military, political, economic, and diplomatic assets, used to attain the ends.

This chapter is intended to help build the capacity of civilian organizations to 

participate in a CA by filling the need for a relatively brief overview of strategy and 

providing a generic template for its development. It attempts to establish a common 

baseline to assist teams of civilians and military personnel working collaboratively to 

develop a strategy. The thoughts and concepts presented here do not present original 

thinking but are instead a distillation of many books, articles, and presentations on 

the subject.

Introduction

The Comprehensive Approach is a term of art that refers to activities where military 

and civilian organizations must work together to achieve common and/or interrelated 

goals, usually in relation to crisis management. Typical examples include counterinsurgency and stability operations where the military is needed to provide security for 

civilian organizations to improve governance, economic development, rule of law, etc., 

while progress in these areas reinforces security gains and over time should eliminate 

the need for military intervention. Furthermore, in many cases military units must 

perform what would normally be considered “civilian” activities due to a shortage 

of civilian expertise and a high level of threat to civilian personnel (Stavridis, 2011).
Schnaubelt

52

One of the factors that make implementation of a CA so challenging is lack of 

universal argot, planning techniques, and processes for developing strategy. Because 

they lean heavily on a body of guidance called “doctrine,” military leaders have a great 

deal of commonality in these areas. Military organizations typically have standardized 

routines for developing plans and strategies. NATO, for example, has publications 

that delineate agreed upon terms and definitions and describe how to plan, execute, 

and provide logistic support to allied joint operations (NATO, 2011).1

 Although it 

is common to speak of things categorically as “civilian” versus “military,” there is no 

single “civilian” mode of planning or developing strategy that is nearly as systemic, 

homogeneous and coherent as that of the “military.”2

Of course, one cannot expect to become an expert or even a moderately successful 

practitioner from reading this one short paper. For those truly interested in the subject 

of strategy, and those whose job will be to develop it, this paper will at best present 

an amuse bouche. A thorough education regarding strategy requires extensive study.3

The intended audience for the courses taught at Yale by Professor Gaddis, et al, 

are students at one of America’s most elite universities, some of whom will presumably go on to be influential civilian government officials and policy makers. Indeed, 

civilians who understand strategy may become increasingly in demand if the goals of 

U.S. Secretary of State Hillary Rodham Clinton, as evinced in the first Quadrennial 

Diplomacy and Development Review (QDDR), come to be realized. The 2010 

QDDR presents a vision of “Leading through Civilian Power” with Chiefs of Mission 

performing as “CEOs of a multiagency effort.” The QDDR notes that one of the 

key steps that must be accomplished in order to realize its goals is to: “develop a 

high-level strategic planning process, strategies for regional and functional bureaus, 

and Integrated Country Strategies that bring together all country-level planning for 

diplomacy, development, and broader foreign assistance into a single, overarching 

strategy” (U.S. Department of State, 2010: xviii).

What Is Strategy?

There are numerous definitions of strategy, as well as a surprisingly large number of 

works on strategy that do not provide an explicit definition but either expect readers to 

infer its meaning from the discussion or assume they are already familiar with the term. 

There is also considerable debate in the literature on levels of strategy; some authors 

identify distinctions between related concepts such as “strategy,” “theater strategy,” 

“national strategy,” and “grand strategy.” The question is not merely semantic, but 

for purposes of this chapter it is sufficient to treat “strategy” and “grand strategy” as 

synonymous and to provide a handful of definitions as examples.

The Merriam-Webster (2011) online dictionary defines strategy as “the science 

and art of employing the political, economic, psychological, and military forces of a 

nation or group of nations to afford the maximum support to adopted policies in 

peace or war.” According to business professors Gerry Johnson and Kevan Scholes, 

“strategy is the direction and scope of an organisation over the long-term: which achieves 
Strategy and the Comprehensive Approach

53

advantage for the organisation through its configuration of resources within a challenging environment, to meet the needs of markets and to fulfill stakeholder expectations” 

(Johnson & Scholes, 2006: 10).

One of the most succinct definitions is offered by Bartholomees, Jr. (2010c: 15), 

who calls it “simply a problem-solving process.” Somewhat more expansive, according 

to Brimley (2008–09: 28): “strategy is the art of connecting aspirations with prudent 

plans and finite resources.” One of the most brilliant strategists of the Cold War era, 

Brodie (1973: 452), wrote that “strategy is ‘how to do it’ study, a guide to accomplishing something and doing it efficiently.”

Along similar lines, Gaddis (2009) tells us that “grand strategy is the calculated 

relationship of means to large ends.” Expanding upon this concept, he writes:

It’s about how one uses whatever one has to get wherever it is one wants to go. 

Our knowledge of it derives chiefly from the realm of war and statecraft, because 

the fighting of wars and the management of states have demanded the calculation 

of relationships betweens means and ends for a longer stretch of time than any 

other documented areas of collective human activity.... But grand strategy need 

not apply only to war and statecraft: it’s potentially applicable to any endeavor in 

which means must be deployed in pursuit of important ends. (Gaddis, 2009: 7)

Each of the preceding definitions has both value and limitations. Nonetheless, the 

author proposes the following working definition based upon the model developed by 

Arthur Lykke (Yarger, 2010): “strategy is a statement that unambiguously defines the 

ends that are to be achieved, the means that will be employed to achieve those ends, 

and the ways in which those means will be used.”4

This can also be expressed as a formula: Strategy = Ends + Ways + Means, 

wherein ends are the objectives or the “what” the strategy intends to accomplish; ways 

are the strategic concepts/courses of action or the “how” that describes the methods of 

applying the means to attain the ends; and means are the resources, typically elements 

of power such as military, political, economic, and diplomatic assets, used to attain the 

ends (Jablonsky, 2010).

Developing strategy is an intellectual process that primarily entails art rather than 

science.5

 This characteristic obtains because the conditions that produced the need 

for a strategy will always be dynamic and reciprocal. As Collins (1973) has put it, 

“[strategy] is not a game that states can play by themselves” (cited in Gray, 2009: 2).

This holds true even if the situation is not competitive. In a security context, the 

requirement for strategy is generated by a thinking, adaptive enemy or adversary who 

will react and change its own strategy according to the progress of a war or largely 

peaceful conflict. Yet the same dynamic nature applies in highly cooperative situations 

such as those involving domestic populations whose behavior a government intends 

to influence through public policy. To provide just a few examples, people will often 

change their behavior in an unexpected manner as a reaction to tax policy, urban 

planning regulations, gas taxes, or health care laws promulgated by a government they 
Schnaubelt

54

perceive to be entirely legitimate—implementing a peaceful, domestic political or governmental strategy also involves reaction as well as action. Simply put, human beings 

will respond to changes in their situation in ways that are often difficult to anticipate. 

A good strategy must take into consideration this dynamic.

Understanding the motivations, culture, and beliefs of individuals and groups 

will reduce the risk of unintended consequences, but human behavior is frequently 

unpredictable. As an example, U.S. Secretary of Defense Robert McNamara’s failure 

to dissuade North Vietnam from attacking South Vietnam through a quasi-scientific 

and formulaic application of graduated military force (calculated by his subordinates 

consisting of the “Best and the Brightest” from America’s top universities) seems to 

illustrate this assertion. How else to explain America’s defeat by a nation that possessed 

only a tiny fraction of U.S. military and economic power?

For this reason, it is critical that developers of a strategy consider the second- and 

third-order effects (that is, the action-reaction cycle of thinking human beings) that 

their implementation of ways and means will produce. It may be trite, but it is nonetheless true that in armed conflict “the enemy gets a vote.” Equally true in terms of 

domestic policy, citizens will react to strategies that intend to raise revenue or shape 

behavior with changes to their work habits as well as voting at the ballot box and/or 

“with their feet” by moving to another jurisdiction.

As will be described further in the model below, developing strategy is usually an 

iterative process. Very rarely, if ever, can a strategy in pursuit of important ends be developed, tasked for implementation, and then forgotten. Yet, there is a tension between 

the need for a strategy to be forward looking and far reaching and the requirement to 

track its implementation and make adjustments when needed.

On the one hand, a good strategy is usually big, bold, and at a high conceptual level 

so that it does not require constant tweaking and reformulation. A typical time frame 

will encompass years rather than days. Creating the means may take a long time before 

they can be employed, especially when they entail recruiting, training and educating 

personnel; creating doctrine; or building aircraft, ships, and missile systems or other 

resources that require long lead times to produce. Advanced technological tools may 

give a nation a great advantage, but as MacGregor Knox (1994: 641) has written, “...

machines need an inordinate time for their development, tend by their nature towards 

specialization, and require time-consuming adjustment to fit into integrated ‘weapons 

systems’ needed to crush or counter the ‘systems’ of potential enemies.” Thus, a good 

strategy will usually have an enduring quality.

But on the other hand, the situations that require a CA will often be “wicked 

problems” that experience systemic shifts in unpredictable ways due to the inputs that 

flow from execution of the strategy.6

Table 1 depicts the characteristics of various problems categorized according the 

complexity of their structure:
Strategy and the Comprehensive Approach

55

Table 1. Types of Problems and Solution Strategies

Well-structured “Puzzle” Medium-structured 

“structurally Complex 

Problem” 

Ill-Structured “Wicked 

Problem” 

Problem 

Structuring

The problem is selfevident. Structuring is 

trivial.

Professionals easily 

agree on its structure.

Professionals will have 

difficulty agreeing on 

problem structure and 

will have to agree on a 

shared starting 

hypothesis.

Solution 

Development

There is only one right 

solution. It may be 

difficult to find.

There may be more than 

one “right” answer. 

Professionals may 

disagree on the best 

solution. Desired end 

state can be agreed.

Professionals will 

disagree on:

• How the problem can 

be solved.

• The most desirable end 

state.

• Whether it can be 

attained.

Execution of 

Solution

Success requires 

learning to perfect 

technique.

Success requires 

learning to perfect 

technique and adjust 

solution.

Success requires 

learning to perfect 

technique, adjust 

solution, and refine 

problem framing.

Adaptive 

Iteration

No adaptive iteration 

required.

Adaptive iteration is 

required to find the best 

solution.

Adaptive iteration is 

required both to refine 

problem structure and to 

find the best solution.

Source: U.S. Army TRADOC (2008: 9)

As the problem, situation, or threat evolves or reacts, the means necessary and/

or ways they are employed will usually need to be adjusted to fit these changes. 

Additionally, as the costs of executing the strategy become clearer, the desired ends 

might be reconceived.

During the Korean War, for example, the United States and its United Nations 

Command allies shifted the desired end several times as the perceived costs of achieving it shifted. Initially, the goal was to merely restore the status quo ante bellum and 

restore the independence of the Republic of Korea (South Korea). In the wake of 

MacArthur’s spectacular advance to the Yalu River, the goal changed to the utter defeat 

of the Democratic People’s Republic of Korea (North Korea). However, following the 

Chinese intervention and the rout of MacArthur’s over-extended forces, the desired 

end shifted back to maintaining the independence of South Korea and restoration of 

the status quo ante bellum. Arguably, this is an example of shifting the ends in the face 
Schnaubelt

56

of unanticipated costs—in other words, bringing the ends into balance with the ways 

+ means—whereas the defeat in the Vietnam War was due to a failure to align the 

ends with ways and a level of means that would be acceptable to the American public.

As Gray (2010: 38–39) argues, strategy is developed within a context of “political, social-cultural, economic, technological, military, geographical (geopolitical and 

geostrategic), and historical” factors. This is illustrated by the chart below, to which 

the author has added human individuals as a significant factor.

Strategy

Political

Military

Socialcultural

Human

Individual

Historical Technological

Economic

Geographical

This set of contexts impacts the development of strategy in multiple aspects. It will 

determine who is chosen to develop the strategy in question, determine the stakeholders the strategists must report to, and define the problem set—to include existing and 

potential influences upon the behavior of the actor(s) the strategy is going to target. 

Identifying the nature of these contexts and how they interact with each other is a key 

aspect of developing “understanding” of the situation.

A Process for Developing Strategy

The conditions a strategy is expected to address and the context in which it is developed will vary widely. The following is a generic process for developing a strategy. 

Other approaches may be more useful in certain contexts. For example, if the developers have very clear, specific guidance and fit within a well established hierarchy 
Strategy and the Comprehensive Approach

57

(such as a military headquarters), a linear deductive process such as the Guidelines for 

Strategy Formulation in Appendix I of The U.S. Army War College Guide to National 

Security Issues, Volume II: National Security Policy and Strategy (Bartholomees, 2010b: 

397–402) may be more useful. However, in cases where the ends must be established 

largely from scratch without clear direction from a higher echelon (for example, teams 

of collaborative planners without a single common higher headquarters), the following 

approach may be more useful.

(Note: The following process is not necessarily linear. Strategists might vary 

the order in which they address the various components and perform some of them 

several times, thus moving “back and forth” through the process. Furthermore, it is 

usually iterative.)

Estimate the Development Timeline

Determine the deadlines for completing development of the strategy. When a strategy 

team is tasked by a higher echelon, it will usually be given a “due date” for completion. 

However, when the team is at the highest echelon or when a specific deadline has 

otherwise not been externally established, it should establish its own deadlines and 

decide how much time to apportion various parts of the development process. In a 

crisis situation, such as the NATO operations in Libya that were ongoing when this 

chapter was written, there will be a limited amount of time available before action 

must begin and this will limit how much of it can be devoted to various elements of 

the process. Otherwise, some parts—such as developing understanding—could take 

virtually forever.

Develop Understanding

Gather information and relate it to conditions and actors. This element of the process 

attempts “to explain the qualitative relationships embedded within complex problems, 

including their history, dynamics, propensity, and trends [but nonetheless] recognizes 

that complete knowledge is not achievable, and therefore constantly questions the 

limits of existing knowledge and prevailing public myths or paradigms” (U.S. Army 

TRADOC, 2008: 15). It requires more than the simple collation of facts or assumptions. The contexts identified above provide a starting point to list the key situational 

aspects that must be analyzed. At the most basic level, any strategy is about changing 

the behavior of an actor or actors. This places a premium on knowledge about the 

key stakeholders, their points of view, capabilities, and interactions. A good starting 

point might be to ask: “What can we not control?” This leads to other useful questions 

such as: What can we control? What can we influence? What conditions are more 

susceptible to our influence?

Be as explicit as possible regarding the degree of uncertainty, for example, what is 

the level of confidence in estimates, information, and predictions? What do we strongly 

believe that we “know” versus what is an “educated guess” that is necessary to proceed 

in an absence of knowledge?
Schnaubelt

58

Frame the Problem(s) and Opportunities

Determine what is the question or problem to be solved. This closely relates to developing understanding and there will probably be a back and forth between these 

components of the process—framing the problem will usually expose shortfalls in 

understanding. Strive to capture the nature of problem realistically rather than let 

wishful thinking about it dictate the approaches used to address it.

Questions to consider include:

•	 The external problem context7

•	 What is the history of the problem? What is its genesis?

•	 Who are the parties interested in the problem and what are the 

implications of likely outcomes?

•	 What caused the problem to come to the fore?

•	 The internal context for the strategy development process

•	 Who is directing the creation of the strategy (a higher echelon or 

group of stakeholders)?

•	 What are their expectations?

•	 What, if any, policy guidance should shape the strategy?

•	 Can the ends be deduced or must they be inferred?

Draft Proposed Ends

Envision what is to be accomplished. In other words, describe the outcome that is 

expected to result from implementation of the strategy. This element of the process 

establishes the scope of the strategy and gives it focus. However, as the strategy is 

developed the originally proposed ends may need to be adjusted as the ways and 

means are explored and the likely costs of achieving the initially desired ends become 

recognized. It may turn out that the projected costs of the means necessary to achieve 

the ends will exceed the perceived value of those ends.

Determine the Ways and Means

Compare the contemporary problem frame with the vision of what should be achieved. How 

can we proceed from here to there? What resources are available? How can they best be 

used? What are the options? How do they compare in terms of cost and effectiveness?

One approach to evaluating a potential strategy is by applying the standards of 

feasibility, acceptability, and suitability. These characteristics should be considered as 

potential combinations are developed. Are the means realistically available? Are the 

ways legal and the means worth the cost? Is it likely the strategy will actually achieve 

its ends?
Strategy and the Comprehensive Approach

59

Consider Risk

Assess whether the end, ways, and means are in sustainable balance. A corollary to our 

formula for strategy is that: Ends = Ways + Means + Risk. Risk is the probability 

that our strategy will fail to accomplish its ends. The nature of complex problems is 

such that there will always be uncertainty and thus some level of risk is always present. 

However, it should be recognized that there is an interdependent relationship between 

ends and the ways and means such that if the means are reduced, while the ends and 

ways are held constant, there is an increase in risk.8

Reframe the Problem

Consider the likely evolution of the situation in light of proposed actions. This element of 

the process should be conducted frequently, if not continuously. In a sense, all strategy 

is prediction in the form of an “if-then” statement: if we do x, the object of our strategy 

will do y in response. Nonetheless, strategists should be wary of making predictions, 

and especially about relying on them, but consider how the enemy may react (or in 

cases other than armed conflict, how the situation may change) in response to implementation of the strategy. What might be the second- and third-order effects that 

result from implementation of the policy? Even after the strategy has been promulgated 

and resulting actions have begun, reframing of the problem must continue in order to 

assess the effects of the strategy and the need for revision.

Finalize the Statement of Ends, Ways, and Means

Write the strategy. There is no “school solution” to the challenge of writing a strategy. 

There are too many possible variations in requirements, contexts, detail, and degree of 

complexity to suggest a specific format or outline. Examples of current and historical 

national security strategies, military strategies, and business strategies abound on the 

web. Length is not necessarily indicative of quality or likelihood that a strategy will be 

successful. In some cases a succinct, one-page statement will be best. One of the most 

critical characteristics is that the strategy must be clearly understood by the organizations and individuals who will implement it. How to effectively convey the desired 

ends and the ways and means to achieve them, again, entails more art then science.

Monitor Strategy Implementation and Effect; Revise as Necessary

Determine whether the strategy is being properly implemented, is producing the expected 

effects, and progressing adequately towards the desired ends. If not, revise the strategy or the 

plans and/or activities that implement the strategy. It would be difficult to overemphasize 

the dynamic, interactive nature of strategy. A good strategy will include mechanisms 

to see whether it is generating the desired effects and to make adjustments if the object 

of the strategy is not behaving as desired.
Schnaubelt

60

Some Concluding Thoughts

Developing good strategy is extremely difficult. Because of its dynamic nature, 

providing a simple template or “one size fits all” process is impossible. In an adversarial 

or competitive situation, however, there may be some comfort in recognizing that one’s 

opponents are faced with similar challenges (Gray, 2010). Ironically, it is often easier 

to identify approaches that do not work than best practices.

Rumelt (2010) identified four characteristics that usually equate to “bad strategy.” 

The following may provide some useful tips regarding things to avoid when creating 

a strategy:

Failure to face the problem. If strategy is simply viewed as a problem-solving process, 

clearly identifying the problem to be solved is an essential requirement. A strategy that 

fails to define the correct problem(s) is highly unlikely to achieve the desired outcomes.

Mistaking goals for strategy. Some leaders believe it is sufficient to simply establish 

extremely high goals and then to push organizations to achieve them without providing a logical plan that identifies the necessary resources related to useful methods for 

employing them. Evoking the great offensives during World War I, Rumelt writes: 

“A leader may justly ask for ‘one last push,’ but the leader’s job is more than that. The 

job of the leader—the strategist—is to also create the conditions that will make the 

push effective, to have a strategy worthy of the effort called upon.”

Bad strategic objectives. There are two aspects of this error: “a scrambled mess” 

(fuzzy objectives) that is “just a list of things to do,” and “a simple restatement of the 

desired state of affairs or of the challenge” (blue sky objectives) that “skips over the 

annoying fact that no one has a clue as to how to get there.” As the Ends = Ways + 

Means + Risk formula so nicely illustrates, a good strategy must not only define what 

to accomplish but also how to accomplish it and with what resources.

Fluff. Rumelt writes that the “final hallmark of mediocrity and bad strategy is 

superficial abstraction—a flurry of fluff—designed to mask the absence of thought.” 

The readers of this chapter can no doubt think of numerous political or organizational 

pronouncements that relied on the use of buzzwords rather than logic and clearly 

expressed concepts. If the fluff is removed or replaced with simple and easy to define 

terms, does the strategy still make sense?

References

Appleman, R.E., (1992) South to the Nakton, North to the Yalu. Washington DC, U.S. 

Army Center for Military History. Available from: http://www.history.army.mil/

books/korea/20-2-1/toc.htm [accessed June 6, 2011].

Australian Public Service Commission. (2007) Tackling Wicked Problems: A Public 

Policy Perspective. Available at: http://www.apsc.gov.au/publications07/wickedproblems.htm [accessed June 1, 2011].

Bartholomees, J.B., Jr. (ed.), (2010a) The U.S. Army War College Guide to National 

Security Issues, Volume I: Theory of War and Strategy 4th edition. Carlisle Barracks, 
Strategy and the Comprehensive Approach

61

Strategic Studies Institute. Available from: http://www.strategicstudiesinstitute.army.

mil/pubs/display.cfm?pubID=1004 [accessed March 7, 2011].

Bartholomees, J.B., Jr., (ed.) (2010b) The U.S. Army War College Guide to National 

Security Issues, Volume II: National Security Policy and Strategy 4th edition. Carlisle 

Barracks, Strategic Studies Institute. Available at: http://www.strategicstudiesinstitute.army.mil/Pubs/display.cfm?pubid=1005 [accessed April 18, 2011].

Bartholomees, J.B., Jr., (2010c) A Survey of the Theory of Strategy. In: Bartholomees, 

J., B., Jr. (ed.) The U.S. Army War College Guide to National Security Issues, Volume I: 

Theory of War and Strategy 4th edition. Strategic Studies Institute. Carlisle Barracks, 

Strategic Studies Institute, 13–43. Available from: http://www.strategicstudiesinstitute.army.mil/pubs/display.cfm?pubID=1004 [accessed April 18, 2011].

Brimley, S., (2008–2009) “Crafting Strategy in an Age of Transition” Parameters 38 

(Winter 2008–2009), 27–42. Available at: http://www.carlisle.army.mil/usawc/

parameters/Articles/08winter/brimley.pdf [accessed May 12, 2011].

Brodie, B., (1973) War and Politics. London, Cassell & Company Ltd.

Collins, J., (1973) Grand Strategy: Principles and Practices, Annapolis, U.S. Naval 

Institute.

Feaver, P.D., (2011) Comments on the Right to Be Right: Civil-Military Relations 

and the Iraq Surge Decision. International Security, Issue 4, Volume 35, Small Wars 

Journal [Online] Available from: http://smallwarsjournal.com/blog/2011/04/theright-to-be-right-civilmil/ [Accessed July 5, 2011].

Gaddis, J.L., (2009) What is Grand Strategy? [Lecture] Duke University, February 

26. Available at: http://www.duke.edu/web/agsp/grandstrategypaper.pdf [accessed 

February 15, 2011].

Gray, C.S., (2009) Schools for Strategy: Teaching Strategy for 21st Century Conflict. 

Carlisle Barracks, Strategic Studies Institute. Available at: http://www.au.af.mil/au/

awc/awcgate/ssi/schools_for_strategy.pdf [accessed June 6, 2011].

Gray, C.S., (2010) The Strategy Bridge: Theory for Practice. Oxford, Oxford University 

Press.

Hermes, W., G., (1992) Truce Tent and the Fighting Front. Washington DC, U.S. 

Army Center for Military History. Available from: http://www.history.army.mil/

books/korea/truce/fm.htm [accessed June 6, 2011].

Jablonsky, D., (2010) National Power. In: Bartholomees, J. Boone Jr. (ed.) The U.S. 

Army War College Guide to National Security Issues, Volume I: Theory of War and 

Strategy 4th edition. Strategic Studies Institute. Carlisle Barracks, Strategic Studies 

Institute, 123–139. Available from: http://www.strategicstudiesinstitute.army.mil/

pubs/display.cfm?pubID=1004 [accessed April 18, 2011].
Schnaubelt

62

Johnson, G., and Scholes, K., (2006) Exploring Corporate Strategy: Text and Cases. 

London: Financial Times/Prentice Hall, 2006. Cited at: http://tutor2u.net/business/

strategy/what_is_strategy.htm [accessed May 26, 2011].

Knox, MacGregor, (1994) Conclusion: Continuity and Revolution in the Making of 

Strategy. In: Murray, Williamson, Knox, MacGregor & Bernstein, Alvin (eds.) The 

Making of Strategy: Rulers, States, and War. Cambridge, Cambridge University Press, 

614–645.

Luttwak, E.N., (1979) The Grand Strategy of the Roman Empire from the First Century 

A.D. to the Third (paperback edition). Baltimore, Johns Hopkins University Press.

Merriam-Webster (2011) Dictionary. [Online] Available from: http://www.merriamwebster.com/dictionary/strategy [accessed May 26, 2011].

NATO (2011) Standardization Agreements. [Online] Available from: http://www.

nato.int/cps/en/natolive/stanag.htm#AJP [accessed February 23, 2011].

Rumelt, R., (2011) The Perils of Bad Strategy. McKinsey Quarterly [Online] June. 

Available from: https://www.mckinseyquarterly.com/Strategy/Strategic_Thinking/

The_perils_of_bad_strategy_2826 [Accessed July 8, 2011].

Schnaubelt, C.M., (2009) Complex Operations and Interagency Operational Art. 

PRISM, 1 (1), 37–50. Available from: http://www.ndu.edu/press/lib/images/

prism1-1/5_Prism_37-50_Schnaubelt.pdf [accessed May 30, 2011].

Stavridis, J.G., (2011) The Comprehensive Approach in Afghanistan. PRISM 2 (2), 

65–76. Available from: http://www.ndu.edu/press/lib/images/prism2-2/Prism_65-

76_Stavridis.pdf [Accessed July 25, 2011].

U.S. Army TRADOC. (2008) Commander’s Appreciation and Campaign Design. 

Available from: http://www-tradoc.army.mil/tpubs/pams/p525-5-500.pdf [accessed 

June 13, 2011].

U.S. Army. (2008) FA-59 Proponent Homepage. [Online] Available from: http://

www.fa-59.army.pentagon.mil/Education.htm [accessed February 16, 2011].

U.S. Department of State. (2010) Leading Through Civilian Power: the First Quadrennial 

Diplomacy and Development Review. Available from: http://www.state.gov/s/dmr/

qddr/ [accessed February 16, 2011].

Yarger, H.R., (2010) Toward a Theory of Strategy: Art Lykke and the U.S. Army 

War College Strategy Model. In: Bartholomees, J. Boone Jr. (ed.) The U.S. Army 

War College Guide to National Security Issues, Volume I: Theory of War and Strategy 4th

edition. Carlisle Barracks, Strategic Studies Institute, 45–51. Available from: http://

www.strategicstudiesinstitute.army.mil/pubs/display.cfm?pubID=1004 [accessed 

March 7, 2011].
Strategy and the Comprehensive Approach

63

Notes

1. Among the most important in the context of this article, Allied Administrative 

Publication-6 is the NATO Glossary of Terms and Definitions while Allied Joint 

Publication-01(D) provides the keystone doctrine for planning and conducting 

NATO operations.

2. Civilian organizations often use the terms “strategy” and “planning” interchangeably. 

In military terminology, however, development of strategy is a qualitatively different 

activity that takes place at the highest echelons while planning is conducted at the 

operational and tactical levels. For an analysis of the differences at the operational 

level, see Schnaubelt (2009).

3. The 2010 reading list for students at the U.S. Army War College, for example, included two volumes of collected articles on “Theory of War and Strategy” 

(Bartholomees, 2010a) and “National Security Policy” (Bartholomees, 2010b) that 

exceed 600 pages. The 2009 syllabus for the two-semester course at Yale University on 

Grand Strategy taught by Professors John Lewis Gaddis, Charles Hill, Paul Kennedy, 

Walter Russell Mead, and Paul Solman requires a summer research project with international travel as well as dozens of books with thousands of pages of readings in the 

Spring semester alone. Even with this reading load, Gaddis states that the students are 

only “superficially” exposed to classic works such as those by Thucydides, Sun Tzu, 

and Machiavelli (Gaddis, 2009). This is not meant to suggest that either the U.S. 

Army or Yale programs are the ideal models for teaching strategy, but to give an idea 

of the amount of study that certain programs feel are required to become thoroughly 

familiar with the topic.

4. There may be cases where an ambiguous statement of the desired ends may be useful 

for rhetorical purposes or as a negotiating tactic, but it is difficult to identify cases where 

this has been successful in the context of a democracy or in an alliance of democratic 

states such as NATO. Perhaps there is no theoretical reason a strategy must be written. Luttwak (1979) infers ancient Roman strategy from their behavior rather than 

anything they wrote as such, but in our era it is necessary for practical reasons.

5. For this reason an emerging view holds that strategy should be “designed” rather 

than “developed” or “planned,” but there is no need to debate this interesting question 

within this particular paper.

6. The Australian Public Service Commission (2007) provides a good overview on 

wicked problems.

7. U.S. Army TRADOC (2008) provides the following: “Context: the set of circumstances or facts that surround a particular event, situation, etc. Context as described by 

Mao Tse Tung: Thus the different laws for directing different wars are determined by 

the different circumstances of those wars—differences in their time, place, and nature. 

As regards the time factor, both war and its laws develop; each historical stage has its 
Schnaubelt

64

special characteristics, and hence the laws of war in each historical stage have their 

special characteristics and cannot be mechanically applied in another stage. As for the 

nature of war, since revolutionary war and counterrevolutionary war both have their 

special characteristics, the laws governing them also have their own characteristics, 

and those applying to one cannot be mechanically transferred to the other. As for the 

factor of place, since each country or nation, especially a large country or nation, has 

its own characteristics, the laws of war for each country or nation also have their own 

characteristics, and here, too, those applying to one cannot be mechanically transferred 

to the other. In studying the laws for directing wars that occur at different historical stages, 

that differ in nature and that are waged in different places and by different nations, we 

must fix our attention on the characteristics and development of each, and must oppose a 

mechanical approach to the problem of war.” (23)

8. Strategy is far more art than science; but even in the fine arts, an understanding of 

balance and proportion is usually required for a piece to be successful.
Part 2

Technology and the 

Comprehensive Approach
66

Technology impacts lives at all levels, from the individual to the organization and 

even to the nation. It can provide many benefits to a society, but it also can have negative effects, either inadvertently or deliberately. Technology can help us do current 

activities more efficiently and effectively, and enable things that we previously could 

not do at all. There are six great scientific revolutions of our time: (1) information 

technology, (2) biotechnology, (3) nanotechnology, (4) robotics, (5) alternatives to 

hydro-carbons, and (6) socio-cognitive research. A key policy question is how “infobio-nano-robo-hydro-cogno” will interact in ways that affect security. In each of these 

areas, technology is developing exceptionally fast. In information technology alone, in 

15 years one can expect more than 100,000 percent change in computing power per 

unit time.1

 Biotech is changing even faster.

Technology is not without its risks, as evidenced when Financial Market traders 

employed an automated trading system. The system was designed to streamline trading, but actually put the entire market at risk. In the end, the system had to be shut 

down to avoid a cataclysmic international financial meltdown.

Hardware- and software-driven systems are only one part of an effective technology capability. Just as in the previous chapter, the full range of DOTMLPFI (or 

ITOPLFDm) must be co-evolved to achieve success. Often, the human element is 

the weakest link. In the case of Network Enabled Capability (NEC in the United 

Kingdom) or Network Centric Operations (NCO in the United States), the full 

value of very large investments has yet to be realized due to human behavioural issues.

However, the basic premise of “power to the edge” remains valid. When organizational and procedural constraints are reduced and those in a network are able to 

self-synchronize their actions based on shared situational awareness, exceptional results can be delivered. The growth of social networking that has been enabled through 

the development of communications technologies has been a key player in responses to 

crises and has been evident in the uprisings that form the Arab Transition. All these 

concepts require that key actors to have a shared understanding of the issues being 

confronted. It is necessary to be able to coordinate efforts and resources appropriately, 

irrespective of whether the actors are dealing with a man-made or natural crisis.

From the standpoint of implementing the Comprehensive Approach in a constrained resource environment, these commercially-based technologies can bring 

benefits to the Alliance for the fraction of the cost of developmental systems. For the 

moment, this primarily is true of information technology but, in the future, it will apply 

to the other technologies as well, as well as extraordinary new opportunities such as 

additive manufacturing (3–D printing).
67

This part includes three chapters that explore the role of technology from a number of perspectives in the delivery of the Comprehensive Approach:

Col (Dr.) John Geis, Col (R) Ted Hailes, and Dr. Grant Hammond introduce 

a concept called the Emergency Data and Transfer System (EDATS), built on the 

distributed sharing of data that remains controlled by its diverse owners. The goal is 

to allow both governmental and non-governmental participants to share according to 

their own rules.

Dr. Velizar Shalamanov outlines a model for the cooperative development of 

capabilities among NATO and partner nations for crisis management in support of 

the Comprehensive Approach. The focus is on “Comprehensive C4ISR” (Command, 

Control, Communications, Computers, Intelligence, Surveillance, Reconnaissance) 

Approach through the NC3A (NATO Consultation, Command and Control 

Agency). Although centrally coordinated, these are intended as “bottom up” approaches responding to user needs, incorporating disparate funding mechanisms, and 

involving industry.

Ted Rybeck outlines an innovative approach to mobilize public-private capabilities 

for crisis logistics by leveraging a wide variety of social media. It is based on an open 

architecture called “Knowledge Banking” that lets data owners maintain control over 

the content of their information and its access privileges. This promotes post-disaster 

supply chain management at very low cost.

Note

1. One interpretation of Moore’s Law postulates that the amount of computing power 

per unit cost doubles about every 18 months. In this case, 15 years would allow for 10 

doublings. 210 is 1,024, or more than a 100,000 percent increase.

69

Chapter 5

Technology and the Comprehensive 

Approach: Part Problem, Part Solution

John Geis, Ted Hailes, and Grant Hammond

Abstract

Technology which has facilitated rapid globalization has also magnified the impact of 

crises: man-made or natural. The problems created by crises have become so diverse, 

complex and severe, that the solution often exceeds the capability of any one organization, nation or alliance to accomplish independently. While many agree on the nature 

of this challenge and accept the need for cooperative action, most find the solutions 

too hard to execute. Competing political, military, economic or humanitarian interests 

create a complex environment where participants stumble over details such as: a) Who 

is in charge? b) Which interests are preeminent? c) Who has the capability? and d) 

Who can be trusted? This chapter examines the use of technology to create a framework that makes it easier to provide answers to the above questions. The creation of 

this framework, through which all actors can be linked, can provide data, knowledge, 

goods/services and cyber security to all participants. By not assuming control, but 

rather providing support, this framework can ameliorate the principal issues faced by 

participants. Technology alone is not a complete solution, but such a system can make 

worthwhile contributions.

Introduction

The issue at hand is how to manage disasters, natural or man-made, that exceed the 

scope of unitary action. These disasters have always been daunting, but for thousands 

of years most people really did not plan for such events, since they did not have the 

information to work with or the ability to effect real change. In today’s and certainly 

in tomorrow’s world, we watch these events unfold in often grisly detail, with the attendant result that we do care for both practical and humanitarian reasons, and more 

to the point, we now have the capacity to make a difference.

Yet the breadth and depth of such disasters often exceed the capability of any one 

individual, group or even nation to truly effect meaningful change, relieve suffering or 

find solutions. While it is intellectually simple for nations, groups and individuals to 

work together to fix things, it becomes very hard to implement solutions in a world 
Geis, Hailes, and Hammond

70

with thousands of actors torn by conflicting interests, separate agendas, a lack of trust, 

and very real political sensitivities.

This chapter argues that the very technologies that have made us aware of the 

scope of these problems can also assist in solving them. It proposes a system that deals 

with the reality of distrust, while taking advantage of areas of mutual interest and 

understanding, creating a framework enabling collective action. The solution revolves 

around a simple set of concepts: remove some of the human element, avoid sensitivities 

that surround differing actors and their agendas, and focus on enabling the relatively 

free movement of knowledge. To this end, a constructed Emergency Data and Transfer 

System (EDATS) is introduced.

The EDATS program is designed to overcome challenges facing any system that 

tries to resolve many of the basic challenges of bringing together disparate groups 

within “The Comprehensive Approach” framework. Among these challenges are 

answering pivotal questions such as: Who is in charge? Who controls the flow of 

information? How is information attributed? Can it be trusted?

At least a partial solution to these problems can be realized by implementing a 

system that is largely self-nominating in participation, decentralized in organization 

and based on a community of mutually overlapping self interests. In EDATS, participation and contributions are focused on accomplishing a set of common goals based 

on shared information. No one individual or organization is in charge. Everyone is 

empowered with the ability to push information into the system, or pull information 

from EDATS. In this system, the users have control over what they submit, whether 

its origins are displayed, how the data is interpreted and what actions they should 

accomplish. Trust is developed by the user through assessment of the data in hand, 

not from confidence (or lack thereof) of other parties involved. As such, trust and 

verification of the data is an evolutionary process enabled by the EDATS system.

The essence of the program is its ability to gather vast amount of information 

from open sources throughout the world. It does not require anything from anyone 

other than a common interest in addressing the problems at hand. If concerns exist, 

one need not contribute or share. But to the degree that they do add their input to the 

vast data base, the capabilities are enhanced, both individually and collectively. This is 

the essence of a comprehensive approach built on a foundation of mutually overlapping 

self-interest through shared information. Required trust for effective crisis response 

is moved from the organizations to the information system. EDATS acts as a buffer 

between actors, accumulating and distributing critical information while giving each 

participant the degree of anonymity they desire to best complete their own mission. 

The remainder of this chapter illustrates the attributes of EDATS (as shown in table 

1), details its mechanics, provides examples of the system in action in both natural and 

man-made crisis and ends by demonstrating the application of EDATS and its added 

value to the concept of Comprehensive Approach.
Technology and the Comprehensive Approach

71

Attributes

For EDATS to be successful, it must aggregate input from a diverse collection of 

people, organizations, and nations. Dealing with crisis management is always hard. 

Having a mixture of participants, all with varying agendas, conflicting interests, and 

often a visceral dislike for each other, can make the difficult become impossible. For 

EDATS to be effective in this taxing environment, it must be palatable to a large and 

constantly changing audience. It must alleviate or bypass the tensions between military 

organizations and other groups. These include governmental agencies, nongovernmental organizations (NGOs) whose reputation requires staying clear of government 

affiliations, charitable groups that require independent and often clandestine action 

and indigenous elements that may seek to exert control over parts of the operation.

Table 1. Attributes of EDATS

EDATS Does Not EDATS Does

Does not direct or control Does provide information

Does not judge Does provide detail actions

Does not fund or execute Does not need attribution

There have already been international efforts to begin to share, in a more systematic way, information on different aid programs, their cost and sponsorship. The 

systems approach includes a standardized data format that is available to other aid 

participants as well as the communities they serve. One example is the International 

Aid Transparency Initiative (IATI), launched in Paris in 2005. Its aim is “to bring 

together donors, partner countries, and civil society to enhance aid effectiveness by improving transparency.” (www.aidtransparency.net/about, 2011) IATI has established 

standards for sharing information among donors and stakeholders which specify what 

will be published, how detailed the information will be, what electronic format will be 

used, along with a code of conduct for doing so. The partnership includes donor and 

recipient governments, multilateral aid agencies, private organizations and NGOs. 

They use a common aid language to assist in data aggregation and geo-coding of the 

information provided. They have also produced a “Development Loop” which is a 

web-based application that allows practitioners and local stakeholders to provide feedback on the aid projects. While obviously not designed for comprehensive approach 

purposes, the IATI reporting standards prove that coordination and information 

sharing among disparate entities in aid projects are possible. The EDATS takes this 

several steps further.

Another program already underway is the very useful and transformative work 

done by the U.S. research program STAR-TIDES: Sharing to Accelerate ResearchTransformative Innovation for Development and Emergency Support. STAR-TIDES 

seeks to share knowledge about sustainable support to populations under stress (post 

war, post-disaster, and impoverished). It provides reach back “knowledge on demand” 

to decisionmakers and those working with the affected populations in the field. In 
Geis, Hailes, and Hammond

72

doing so, it seeks to catalyze the panoply of players involved in such assistance efforts—

public-private, whole of government, and transnational organizations—to encourage 

unity of action where there is no unity of command. It maintains a website (Star-tides.

net) where anyone in the network can publish their research on such problems for 

feedback, critique and implementation, and conduct quality field experimentation. 

STAR-TIDES thus provides research, results, and field experience with regard to 

the tools to assist in such circumstances.

These types of efforts provide important contributions in the effort to construct 

and implement a Comprehensive Approach. But we need to move beyond them to create a system for planning, reporting, and reacting as events unfold to help the disparate 

players involved coordinate their activities for maximum effect. These examples illustrate a strong trend towards digital assistance in crisis management allowing disparate 

groups to work towards a common objective. EDATS will capture this momentum; 

stabilize the approach and speed access by being a “system in place.”

As table 1 delineates, what EDATS does not do is as important to many as what 

it can accomplish. To be accepted, the system cannot control or direct action, neither 

can it judge or restrict information, nor be responsible for funding or executing operations. Conversely it must add value by providing vast, relevant and constantly updated 

information, a summary of programs in place or on the books, and keep attribution to 

the minimum and only to the level agreed on by the participants. In many instances, 

the identity of the provider of material, medical support, and security operations can 

be stripped from the information flow so participants can know what is being accomplished but not necessarily by whom.

Mechanics

EDATS builds on the other systems to create a technologically-enabled system that 

removes much of the baggage associated with the human element and human motives, while presenting timely and accurate information for all to use in facilitating the 

management of complex crises. EDATS accomplishes this by drawing readily available 

technologies that are active today, and builds on them. Programs such as Google’s 

search engine and Microsoft’s Photosynth programs are but two of the capabilities 

this system will incorporate.

Software that can fuse and geo-tag billions of photographs is already freely available on the Internet. These pictures can be geographically and geospatially fused 

together to provide a three-dimensional view of any frequently photographed location. These algorithms have been developed and three-dimensional walkthroughs of 

various locations are now resident on the Internet. (Snavely, 2009) (Szeliski, 2006) 

These three-dimensional renderings can be compiled using keyword-based searches, 

and can use images capturing motion as well as still pictures.

Computer algorithms have been developed which compensate for panoramic 

warping and other distortions caused by various camera lens types. Further, such 

images can be developed to provide up to a 360-degree image. Among the challenges 
Technology and the Comprehensive Approach

73

is that as objects move through photographed space, computer algorithms had to be 

developed to either ignore, or to track the moving objects.

While seemingly trivial, when spread across billions of Internet photographs,1

these types of pictures have the potential to paint a three-dimensional picture of any 

location on the planet (Geambasu, Gribble, and Levy, 2009). With the ubiquitous 

nature of cell phones with cameras, we already have seen a massive infusion of photos 

as crises unfold such as in Egypt during their revolution or Japan as it suffered a 9.0 

earthquake.

As each day passes, millions of pictures are added to the network from every corner 

of the world creating a data base that expands exponentially. It is inherent in human 

behavior that as crises emerge, people feel compelled to document them with words 

and pictures creating an instant “army” of intelligence gatherers. The algorithms to 

fuse this data in real time across the “cloud” of computing have existed for years. This 

fusion is being accelerated by three key technological factors: “a faster and cheaper 

network fabric, a common storage infrastructure, and a potential for a richer than ever 

runtime environment (Geambasu et al, 2009).” Within this emerging cloud-computing 

environment, multiple data fusion tools have been freely made available to the public. 

Flickr (Flickr, 2011) allows free photo-sharing with an inventory of over three billion photos2

; Microsoft’s Photosynth program creates 3-dimensional composition 

of geographic space from photos, and ALIPR automatically tags photos using image 

recognition (Li and Wang, 2008).

Photosynth, a free service by Microsoft, will store up to 20 GB of photos. Of those 

objects or regions where multiple pictures are taken, the synth algorithms will in seconds automatically produce a three dimensional view of that region and place it on the 

Internet. (Microsoft Corporation, 2011) The option exists to make the Photosynth 

product private, but anyone who knows the URL can view it. Private merely means 

it will not turn up in the search engine. This software would allow, in emergency 

situations, for NGOs, governmental agencies, or private citizens, to provide threedimensional views of any location, in real-time, to all other coordinating relief efforts.

This type of data is readily available in many parts of the world. The city of 

Chicago, for example, operates a network of over 10,000 cameras, which also include 

audio recordings. The system is able to differentiate the sound of breaking glass or gunshots and direct first responders to locations where the event is occurring. (Pasquale, 

2009) (Tareen, 2011) One result of these systems has been both a reduction in 911 

calls since responders are on the move and preventing situations from becoming emergencies. Mayor Richard Daley has stated that the system has been directly responsible 

for the arrest of over 4,000 people whose criminal activities were able to be tracked by 

the systems. (Tareen, 2011). This type of technology can obviously be used effectively 

for multiple purposes, and crisis management certainly is one.

In addition to the video and pictorial information on the Internet, the data resident 

in other media is vast. As of mid-February 2011, Google had catalogued more than 

25.7 billion web sites, each of which contains a repository of data. (Google, 2011) 
Geis, Hailes, and Hammond

74

(Website 101, 2009) This data, however, is meaningless if it cannot be sorted and 

analyzed. Recent computational algorithms have managed to make such knowledge 

possible, as the analytical capabilities of computers are increasing rapidly.

The ultimate measurement of knowledge or data fusion is the Turing Test. 

(Turing 1950) Proposed by Alan Turing in 1950, this test suggested that if a computer could, in a blind test with multiple judges, defy identification after a 5-minute 

interview on any subject the interviewer chose, then the computer could be said to 

think. This test is now administered annually in a competition known as the Loebner 

Prize. In 2008 the leading computer entrant missed by only one vote. (Ellis, 2011) 

In 2010, the threshold was surpassed as “suzette,” a computer from California State 

University, was voted by two-thirds of the panel as being one of the human entrants, 

and one of the human entrants was selected by two-thirds of the panel as being the 

computer. (Loebner Prize Foundation, 2010). Since then, computer data fusion has 

become even more sophisticated.

On February 17, 2011, in prime-time television, a computer pitted itself against 

two human competitors in a game of making sense of questions written in some of 

the most obscure semantics known, in the most complex language on the planet. The 

contest was a game show called Jeopardy where the clues are often filled with cryptic 

references to double entendres and where the participants must respond, not with the 

answer, but rather the question to which the clue is the answer. In this most complex of 

linguistic and cognitive sorting situations, a computer named “Watson” outperformed 

the two top contestants in the history of the game show, each of whom had a record of 

besting more than 50 consecutive opponents earlier in the game’s history. (Ferrucci, 

et al 2010) Watson had proven itself capable of making sense out of data presented 

in convoluted text, with deliberately hidden meanings, and searching its database 

for the appropriate question, formulating that question in appropriate English, and 

doing so markedly faster than the most accomplished humans (in this context) on 

the planet. The computer not only had a performance of roughly the equivalent of its 

human opponents, it bested each of them by a margin of greater than three-to-one. 

(Huffington Post, 2011)

Computers are already approaching the skill level in analysis of doctoral degree 

holding radiologists in diagnosing fractures from X-Rays, and have algorithms that 

will soon rival experienced lawyers at finding deep complexities within the legal code of 

Western States. (Ford, 2011: a). Martin Ford expands on this problem, arguing that 

the days are soon coming, when artificial intelligence algorithms may exceed human 

capability across a wide spectrum of fields. (Ford, 2009: b) In short, computers are 

fusing data at ever increasing speeds, and this fusion of data is already at levels useful 

to those involved in complex operations.

From a systems design standpoint, it is important to realize that today, in 2011, we 

already have the ability to fuse pictorial information and track in four dimensions (spatially and chronologically) activities in any area within the coverage of a smart phone 

or a camera device. We have the ability to fuse data from the Internet or encyclopedic 
Technology and the Comprehensive Approach

75

databases with error rates equal to or below that of humans, but do this at machine 

speeds. We have the ability to disseminate these data in a way that intuitively communicates to the humans who need to make decisions rapidly in a whole of government 

operation. The key question is how such a system should be designed.

In 2010, the Air Force Center for Strategy and Technology was asked a question 

which required researching this answer. In examining how to deter actors who seek 

to employ novel weapons of mass destruction or disruption, the Center found that an 

environment of greater awareness would serve as a deterrent to such attacks, by denying an actor the chance to succeed, and denying him the chance to remain anonymous. 

(Geis, Hailes, Foster and Hammond, 2011) Such a system would have to be able to 

fuse data across space and time, to enable finding a person through various media to 

determine his or her intent before an attack occurs. In short, the system should be 

able to conduct global intelligence, reconnaissance, and surveillance (ISR) and be assessed and filtered to produce a list of targets and/or things of interest. Such systems 

are already in the works.

To assist their personnel both in planning for and responding to complex operations, the country of Singapore has developed and fielded a system which uses its 

resident databases to provide decisionmakers data on current situations and trends and 

to facilitate reactions to imminent problems. Called the Risk Assessment and Horizon 

Scanning (RAHS) program, this system, like “Watson,” ingests huge amounts of data 

and is able to respond to queries in a manner humans can readily understand. (Centre, 

2009) The purpose for creating RAHS was to help Singapore conduct comprehensive and issue-specific scenario exercises to facilitate cross-agency planning for crises. 

(Zorn, 2010) In short, RAHS was developed to help Singapore to better its way of 

implementing the “comprehensive approach.” As Habegger points out, its existence 

may well have helped Singapore weather the recent financial crises better than other 

South-east Asian counterparts. (Habegger, 2009)

The Risk Assessment and Horizon Scanning tool is able to ingest data in real 

time using multiple methods from virtually anywhere, to include automatic ingestion 

of data available on the Internet. (Centre, 2009) The RAHS system uses a variety 

of display mechanisms to assist analysts in understanding vast quantities of data in 

a variety of types of tables, graphs and charts. This speeds the ability to discern and 

discover irregularities in patterns, including quantitative and geospatial data sets. 

These tools allow rapid quantitative and qualitative analysis of data as well as using 

a variety of modeling tools to formalize strategy development. RAHS 2.0 includes 

network, hierarchy and factor-based models, which can assist in testing theories. Based 

on these theories, analysts can trigger the system to warn if new data of specific interest becomes available. As the system is capable of “time-slice” analysis, the system is 

able not only able to detect these changes in patterns, but display them in a variety of 

different modes which are selectable based on the preferences of the operator or the 

nature of the situation. In short, by speeding research and analysis, perspective sharing among analysts, and via modeling, the RAHS system provides Singapore with a 
Geis, Hailes, and Hammond

76

robust ability to plan for and respond to crises, and enhance its ability to participate 

in Comprehensive Approach events. (Centre, 2011)

The system designed by Singapore provides a template that can guide the development of EDATS, which is specifically designed to meet the need for collaborative 

efforts in a crisis situation. Due to the challenges some NGOs have with working 

directly alongside governmental, and especially military organizations, the challenge for 

disaster relief operations is the need to modify this system in a manner which enables 

organizations to reach into EDATS to gain access to data to help them perform their 

traditional missions, without being tainted by working for or allying themselves with 

a particular organization or government.

Assessment

Respond

Network Development

Intel Data

Public Data

Private Data

Figure 1. Crisis Management Cycle

Source: Geis, et al (2011)

Active Shaping

Crisis Role

Missions Reassess

Observe

Orient

Decide

Act

Commun ci ation

To enable and support the diverse needs of all participants, this chapter proposes 

a system similar to RAHS but with a couple of key differences. The ability to “plug 

in” to this system anonymously to extract data is one modification. Like the Internet 

itself, once such an information backbone is built, a variety of organizations can come 

together to leverage their respective talents to bring a crisis to an end. What is clear is 

that the ability to fuse both pictorial and data-intense information on the Internet now 

exists. Singapore has shown the world that this data can be fused to run exercises across 

the whole of government based on potential scenarios, to include disaster response.

This data fusion has also been demonstrated in an ad hoc manner. Shortly after 

the 7.0 magnitude earthquake that struck Haiti at 4:53 PM on January 12, 2010 (U.S. 

Geological Survey Earthquake Information Center, 2011), numerous responders 
Technology and the Comprehensive Approach

77

prepared to provide relief. To assist in helping residents locate relief centers, reach 

aid, and reconnect with loved ones, the Thomson Reuters Foundation launched a 

free disaster information service to the people of Haiti. Haitians needed only text 

their name and location to an SMS shortcode, and the system would direct them to 

the nearest shelter. To locate loved ones, one merely registered their phone number 

and that of family members, and the system would automatically provide updates on 

family members” status and location inside Haiti. (Brough and Gilbert, 2010) This 

communication proved crucial, as many humanitarian aid facilities were destroyed in 

the quake, as were the air and seaports and the public telephone system. (News.com.

au, 2010) (Fraser, 2010)

In addition, an international network of technologists under a humanitarian 

initiative funded by Harvard began to use technology to map ongoing efforts within 

crises. Using low-flying remotely piloted aircraft, CrisisMappers can map terrain with 

100–1000 times better resolution than can Google or other satellite data distributors. (Sutter, 2010) InSTEDD (Innovative Support to Emergencies Diseases and 

Disasters) brought Geochat to Haiti. An open-source communications tool that can 

use SMS, email, and Twitter, helped fuse the communications and the mapping technologies to create a visual picture. (InSTEDD, n.d.) The fusing of the communication 

with the mapping technology was able to speed humanitarian agency responses from 

time-lines that normally would have taken weeks, down to only a few hours. While the 

dynamics are not yet fully understood, the combination of mapping, communication, 

and crisis response teams from communities and humanitarian operations literally 

around the world, showed a strong potential in facilitating and speeding the response. 

(Meier, 2010).

In addition, the combination of low-bandwidth communication, and the mapping and ground pictures capabilities provided by CrisisMappers, allowed for family 

members overseas to more quickly discover the status of their relatives in Haiti.

Simultaneously, the rapid spread of the video feeds allowed news agencies to 

quickly report on the scope of the disaster. These systems, all of which came together in an ad hoc manner, sped up not only the internal relief efforts, but also had a 

major impact on the speed and scope of the international response to the earthquake. 

(Rasmussen, 2010)

Rasmussen describes an informal, yet highly effective system similar in nature to 

the proposed EDATS approach. Where EDATS differs from the ad hoc approach 

above, is in the breadth of resources it will draw from, and its extant processes that 

dramatically reduce the time for preparation and coordination and the inclusion of all 

resources from nations, groups and individuals. The strength and value of EDATS 

is in the formal and pre-scripted algorithms that accumulate, fuse and organize information through such programs illustrated by Photosynth, the RAHS system from 

Singapore, mapping software, and the contributions of multiple interested groups with 

highly specialized talents. In EDATS, this is all ready for use before disaster strikes.
Geis, Hailes, and Hammond

78

Cases to Consider

It is worthwhile to remember the types of situations that would require the EDATS 

system. The ranges of crises, whether natural or man-made, are unlimited but their 

notable attributes are that they are big, important and must be dealt with rapidly. So, 

two examples are briefly covered to put context to theory.

At some point in the future, Italy, NATO, the European Union (EU), North 

Africa and the Eastern Mediterranean, if not the rest of the planet, will be confronted 

with the consequences of a major volcanic eruption: Mt. Vesuvius near Naples, Italy. 

This is not a question of “if” such an event will occur; it is only a question of “when” 

it will happen. A major eruption will likely cause panic in the local population, create 

chaos in efforts at evacuation, cause significant damage to habitats and infrastructure, 

kill tens of thousands (or more) people, and have extended climatological effects.

Vesuvius is a stratovolcano at the junction between the European and African 

tectonic plates, with a history of catastrophic Plinian eruptions. It is supplied by one 

of the largest magma chambers in the world, with approximately 400 cubic kilometers 

of molten rock beneath its core. (Pappalardo and Mastrolorenzo, 2010) The most 

dangerous type of volcano, Vesuvius gave name to the worst type of eruption when 

Pliny the Younger wrote the only surviving full account of the eruption of A.D. 79, 

when Vesuvius buried Pompeii and nearby Herculaneum. Thus, the phrase Plinian 

was coined.

Vesuvius has had major eruptions roughly every 2,000 years, with less catastrophic 

ones averaging 500 years apart. Today, 700,000 people live in the “Red Zone” for 

evacuation—a region with narrow roads that would take several days to clear. Yet, 

the “Red Zone” does not include the three million person city of Naples, which recent 

research has discovered had been buried in ten feet of ash from previous pyroclastic 

flows. (Fraser, 2007). It has now been 2,000 years since Vesuvius” last cataclysmic 

eruption, and neither Italy nor Naples is ready for another.

Vesuvius’ next Plinian eruption will spew hot gases, toxic fumes, and pyroclastic 

flows at speeds of 160 km per hour. For those in the immediate vicinity, instant death 

and destruction would likely be caused by the thermal shock wave of gases whose 

temperature would approach 500o Celsius or nearly 900o Fahrenheit. (Zanella, Guroli, 

Parechi and Lanza, 2007) These gasses would cause massive fires and kill everything 

in their path.

Such a catastrophe would be more than Italy could handle and would require 

assistance from NATO, the EU and the rest of the world. Infrastructure within the 

blast zone, which could extend to all of Naples, would most probably be destroyed 

and volcanic ash would short out communications, computers, and mobile devices 

at distances up to 1000 kilometers, especially downwind of the eruption.3

 (U.S. 

Geological Survey, 2010) Dealing with the scale of these problems and providing for 

basic communications, the reporting of damage and needs assessments, the distribution 

of water, food, fuel, makeshift shelters, medical care, mortuary services and the like 

would require the extensive use of NATO military forces, EU assets, UN agencies, the 
Technology and the Comprehensive Approach

79

intervention of other international governmental groups as well as non-governmental, 

private and voluntary organizations. Coordinating these disparate efforts would be a 

massive undertaking lasting weeks, if not months or years.

Like nature, man can also cause changes which can have sudden and dramatic effects. As the recent events in North Africa and the Middle East reveal, the likelihood 

of mass migrations of refugees of all sorts—dissident citizens and protesters who fear 

retribution, foreign nationals caught in the country, migrant foreign workers, defecting 

police and military members, average citizens trying to escape the battle zone, former 

mercenaries who have changed sides, members of the ruling family and their supporters 

all fleeing to neighboring countries—is a reality. First, Tunisia, then Egypt, then Libya

suffered uprisings which occasioned refugees who feared for their lives as a result of the 

chaos that ensued. They fled by whatever means available—small boats, ships, planes, 

cars, trucks, buses and on foot—and headed for wherever they could to escape. The 

countries on either side of Libya had just experienced their own revolutionary changes 

in regimes and were ill equipped to handle the massive influx of refugees from the 

Libyan conflict. European countries, Malta Italy, and Greece in particular, continued 

to be swamped by the influx of those seeking refuge and in some cases asylum.

Estimates are that as of February 28, 100,000 migrant workers, most from Tunisia 

and Egypt, tried to flee From Libya and return home. Early in the Libyan struggle, 

Malta had received some 8,000 refugees from 89 different countries, including 1,800 

workers from China, Pakistan, Thailand and Vietnam. The Chinese have evacuated 

nearly 20,000 Chinese workers from the Libyan construction and oil industries by a 

variety of means to a number of different countries. Greece received over 7,000 foreign 

nationals from Libya on board three Greek ferries. The Russian government was 

trying to evacuate nearly 1,200 Russian nationals by ship and plane. It is estimated 

that some 15,000 Turks (out of 30,000 in Libya), and 1,400 Italian nationals have 

been evacuated as of the first of March. Many of these people, particularly those on 

the borders of Libya and the multiple nationalities on various ferries, would have to 

be screened, separated, housed, fed, guarded, and sustained for an indefinite time 

while governmental organizations decided how to handle them. Legal issues regarding asylum and immigration, Schengen visas, deportation, as well as the provision of 

emergency medical services, routine health care, and provision of food, water, clothing 

and shelter are essential. Coping effectively would require the services of the UN, the 

EU, numerous international groups and their effective coordination. (Hui, 2011) 

(Singapore Press, 2011)

Mechanics

How could a comprehensive approach for planning for such events diminish the suffering that would ensue? How could the necessary services be provided quickly for such 

sudden events? The tools to do so exist and with proper pre-planning these events can 

be managed. But having the system of technologies in place and making people and 

organizations aware of the process to utilize them effectively requires strategic thinking 
Geis, Hailes, and Hammond

80

in a comprehensive approach. Using a system such as EDATS speeds up that process, 

establishes the necessary linkages and begins immediately both the planning process 

and its implementation and is one way to begin.

Figure 2. Emergency Data & Transfer System (EDATS)

• General knowledge

• Data generated via web

• Information provided by users

• Current events

• Actions planned and taken

• Critical/time sensitive requirements

• Sensitive information

• Protected data

• Limited distribution

The EDATS has a three-layered system resident in cyberspace. A very small 

amount of sensitive data will reside in its central core and will be accessible only to 

those organizations that can be trusted and have chosen to fully cooperate with the 

governmental agencies in the field. What is important to realize, however, is that a lack 

of access to this central core will not hinder actors, whether NGOs, IGOs, community or private voluntary organizations from coordinating and rendering assistance as 

needed. The outer two layers contain the preponderance of data that will be accessible 

by all. Actors can input into and pull from the information at will.

Furthermore, actors can input with attribution, or anonymously. As stated above, 

this is crucial for those actors who cannot risk being seen working in concert with 

military or official organizations and who have as part of their mission a need for 

impartiality.

In the Vesuvius scenario above, the Italian government can push to EDATS all 

known information on the names, addresses, locations, map data, etc., of all persons in 

the affected disaster area. To the extent possible, the Italian and regional governments 

would also publish data on known locations where survivors are trapped or require 

rescue. If sensitive government facilities were affected, this data may be reserved for the 

central core, but all other data would be in the outer layers. As humanitarian assistance 

and other countries’ assistance groups arrive, or plug in virtually, each can search the 

database for where relief operations or specialized services are needed. As they select 

areas to begin their operations, they can post this data to the system so follow-on 

organizations can use their assets where they are most needed, avoiding duplication. 

Further, they can post this data along with their identification or, if they need to remain 
Technology and the Comprehensive Approach

81

truly neutral in a situation, do so anonymously. In addition, the populace, via Twitter 

and SMS text messages, can post data and pictures that EDATS can access, which 

can be fused with the necessary algorithms to provide pictorial, three-dimensional, 

real-time situational awareness for the relief agencies. In short, EDATS enables 

decentralized execution of a relief operation, without the burdens that centralized 

control places, especially on those organizations that must be seen to be independent. 

It enables a whole-of-government and whole-of-world approach to a crisis, without 

creating a bureaucracy that would drain assets from the immediate relief operations, 

cause tensions among participants and avoid the “who’s in charge” debate.

In order to be prepared in advance for crises like those mentioned above, EDATS 

will need to have the capacity to gather and focus data rapidly from around the world, 

creating a vast repository of information covering all aspects of the crises. As a side 

note, EDATS can be brought online for exercises as well by mapping real or exercise 

scenarios and allowing participants to practice the exploitation of and confidence in 

the EDATS program.

The information drawn into EDATS will come from many sources. The largest 

source by far will be the data mining that will pull open source information emanating 

from social networks, large data bases, and general knowledge. As the crisis unfolds, 

the most timely and valuable information will come from victims in the field and 

participants working to mitigate the crisis. The last inner circle, which alters in size 

moment to moment depending very much on the political sensitively of the crisis, will 

be controlled information available only upon subscription and approval. In most cases 

then, getting access to the vast majority of information is relatively easy and open to 

all interested parties.

The assessment, validation and extraction of information will be totally decentralized and at the discretion of the individual users. Since EDATS principal mission is 

to collect information and develop a vast and rapidly changing data base, the ability 

to sort, prioritize and organize the data into valuable knowledge is a vital task. It will 

use a system of selectable common “intelligent agents” to provide the users a choice of 

applications they can use within EDATS that will sort, graph and fuse the most common types of information needed. EDATS will also have a user friendly “tool kit” to 

enable organizations to build their own specific applications, should they prefer data 

to be displayed or organized in a format more to their liking. This approach allows 

all participants to use the system to pull the information they need to perform their 

part of the crisis relief operations, and allows users to remain anonymous if political 

circumstances require.

The degree of anonymity is flexible. For some organizations, such as Doctors 

without Borders, it may be mission essential for them to not be seen as associated 

with government entities, yet their efforts can be made much more efficient using the 

information collected. For other organization such as the Red Cross, whose role can 

be openly discussed, anonymity may be far less important. The EDATS approach can 

deal with either set of requirements.
Geis, Hailes, and Hammond

82

Conclusion

The proliferation of information technology has enabled the world to understand better when our fellow citizens are in need from natural disasters or political conflict. As 

such, it has been the catalyst for an increasing number and increasing size of humanitarian and crisis response operations in recent years. The natures of these crises are such 

that they can readily exceed the ability or capacity of any group to solve and some form 

of collaborative action is mandated. But this ability to respond does not solve the real 

problems created by diverse groups with conflicting objectives and varying political 

associations. As table 2 indicates, a system needs to be in place that does not dictate 

answers nor control distribution or filter information but does provide timely accurate 

information to allow for effective planning. EDATS is an enabler that fuses data for 

interested parties, enabling a comprehensive approach to solving wicked problems.

Table 2. EDATS Operating Concept

Challenges EDATS Solutions

Who is in charge? Trust? No one—Admin only

Who controls distribution? Only controlled in “Sensitive” area

Who filters/censors/deletes? No one—user responsibility to asses value

Is there attribution? User choice

By using technology to catalogue and fuse data, and output that data in a format 

that governmental and nongovernmental agencies alike can use, a comprehensive, 

yet decentralized approach to crisis relief operations can be developed. This chapter 

argues that a system that has as its primary features a database that can be updated in 

real time—into which all organizations can push and pull data free from attribution, 

judgment, or outside control—is a system best suited to enable the cooperation of the 

widest array of potential contributors. Modeled in part after systems like Singapore’s 

RAHS, and the system now in place by CrisisMappers, technology represented by 

EDATS can remove the human limitations that have impeded earlier attempts at cooperative action and have a viable system in place to meet crisis management challenges.

References

Brough, V., and Gilbert, T., (2010) Press Releases: Thomson Reuters. January 17, 2010. 

http://thomsonreuters.com/content/press_room/corporate/TR_Foundation_

launches_EIS (accessed March 08, 2011).

Centre, Horizons Scanning,(2011) Risk Assessment and Horizons Scanning. http://

app.hsc.gov.sg/public/www/home.aspx (accessed February 21, 2011).

Centre, Risk Assessment and Horizons Scanning, (2009) Risk Assessment and 

Horizons Scanning 2.0 Video. Video, Singapore City: Government of Singapore.

Ellis, D., (2011) Man Versus Computer. Ricochet.
Technology and the Comprehensive Approach

83

Ferrucci, D., Brown, E., Chu-Carroll, J., Fan, J., Gondek, D., Kalyanpur, A., Lally, 

A., Murdock, J., Nyberg, E., Prager, J., Schlaefer, N., and Welty, C., (2010) Building 

Watson: An Overview of the Deep QA Project. AI Magazine, no. Fall (2010): 59–79.

Flickr Website. (2011) www.flickr.com (accessed February 20, 2011).

Ford, M., (2011) Anything You Can Do, Robots Can Do Better. The Atlantic, 

February 13, 2011.

—. Can a Computer Do a Lawyer’s Job? The Atlantic, February 15, 2011.

—. The Lights in the Tunnel: Automation, Accelerating Technology, and the Economy of 

the Future. New York: Acculant Publishing, 2009.

Fraser, C., (2010) BBC News—Haitians show fortitude in face of disaster. January 22, 

2010. http://news.bbc.co.uk/2/hi/americas/8476185.stm (accessed March 8, 2011).

—. BBC News: Vesuvius Escape Plan “Insufficient.” January 10, 2007. http://news.bbc.

co.uk/2/hi/europs/6247573.stm (accessed March 8, 2011).

Geambasu, R, Gribble, S. D., and Levy, H. M., (2009) Cloudviews: Communial Data 

Sharing in Public Clouds. Proceedings of the 2009 Conference on Hot Topics in Cloud 

Computing. Berkeley, CA: University of California Press.

Geis, J. P.(II), Hailes, T. C., Foster, H. A., and Hammond. G. T., (2011) Deterrence 

in the Age of Surprise. Presentation, U.S. Air Force Center of Excellence for Strategy 

and Technology, San Antonio, Texas: Air Education and Training Command.

Google. Internet, Google Corporation, 2011.

Habegger, B., (2009) Horizon Scanning in Government. Zurich, Switzerland: Center 

for Security Studies.

Huffington Post. (2011) IBM “Watson” Wins: “Jeopardy” Computer Beats Ken 

Kennings, Brad Rutter. March 6, 2011.

Hui, S., (2011) Miami Herald National Business Page. February 26th. http://www.

miamiherald.com/2011/02/26/2086588/2800-chinese-evacuated-from-libya.html 

(accessed March 9, 2011).

InSTEDD.(2011) GEOCHAT Available at: http://instedd.org/technologies/geochat (accessed March 8, 2011).

Li, J., and Wang. J. Z., (2008) Real-Time Computerized Annotation of Pictures. IEEE 

Transactions on Pattern Analysis and Machine Intelligence 30, no. 6 (2008): 985–1002.

Loebner Prize Foundation. (2010) Loebner Prize Home Page. 2010. http://www.

loebner.net (accessed February 21, 2011).
Geis, Hailes, and Hammond

84

Meier, J. Z., and Meier, P., (2010) interview by Astrid Zweynert. Crisis Mappers Look 

at Haiti Lessons and Beyond October 1, 2010.

News.com.au. january 14, 2010. http://www.news.com.au/breaking-news/only-onehospital-open-in-haitis-quake-hit-capital/story-e6frfku0-1225819044634 (accessed 

March 8, 2011).

Pappalardo, L. and Mastrolorenzo. G., (2010) Short Residence Times for Alkaline 

Vesuvius Magmas in a Multi-Depth Supply system: Evidence from Geochemical and 

Textrural Studies. Earth and Planetary Science Letters 296, no. 1–2 July: 133–143.

Pasquale, F. A., (2009) How a Midwestern “Digital City” Serves and Protects the 

Public. In Safeguarding Homeland Security, by Erwin A. Blackstone, 177–184. New 

York, NY: Springer, 2009.

Rasmussen, E., (2010) Lessons from Haiti: The Power of Community and a New 

Approach to Disaster Management. Solutions, November.

Singapore Press. (2011) The Straits Times. February 28. http://www.straitstimes.

com/BreakingNews/World/Story/STIStory_639655.html (accessed March 9, 

2011).

Snavely, N., Seitz, E. M., and Szeliski. R., (2009) Modeling the World from Internet 

Photo Collections. International Journal of Computer Vision 80, no. 2: 189–210.

Sutter, J. D., (2010) CNN Labs: Citizens monitor Gulf Coast after oil spill. May 6, 2010. 

http://edition.cnn.com/2010/TECH/05/06/crowdsource.gulf.oil/ (accessed March 

8, 2011).

Szeliski, R., (2006) Image Alignment and Stitching: A Tutorial. Foundations and 

Trends in Computer Graphics and Vision 2, no. 1: 1–104.

Tareen, S., (2011) Chicago Emergency Officials Defend City’s Extensive Camera 

Network after Scathing ACLU Report. Chicago Tribune, February 9th.

The Microsoft Corporation. (2011) Photosynth. Internet—available at http://www.

photosynth.net/default.asx , Microsoft Corporation.

—. Photosynth Web Site. 2011. http://photosynth.net/view.aspx?cid=7b1c0f8-3c10-

4329-b0a8-f8f4529f06fa (accessed February 20, 2011).

Turing, A. M. (1950) Computer Machinery and Intelligence. Mind 49: 433–460.

United States Geological Survey Earthquake Information Center. (2010) Magnitude 

7.0—Haiti Region: 2010 January 12 21:53:10 UTC. Preliminary Earthquake Report.

Internet: http://earthquake.usgs.gov/earthquakes/recenteqsww/Quakes/us2010rja6.

php Washington , DC, February 22, 2011.
Technology and the Comprehensive Approach

85

United States Geological Survey.(2010) Volcanic Ash: Effects and Mitigation Strategies.

January 19, 2010. http://volcanoes.usgs.gov/ash/build/index.php (accessed March 

9, 2011).

Website 101. (2009) Google Gets 76 Billion Searches per Month of 113 Billion Total.

September 1, 2009. http://website101.com/press/google-76-billion-searches/ (accessed February 20, 2011).

Zanella Z., Guroli, L., Parechi, M.T., and Lanza. R., (2007) Influences of Urban 

Fabric on Pyroclastic Density Currents at Pompeii (Italy): Part II: Temperature at 

the Deposits and Hazard Implications. Journal of Geophysical Research, 112.

Zorn, J., (2010) Different Lenses on the Future: U.S. and Singapore’s Approaches 

to Strategic Planning. Decisions in a Complex World: Building Foresight Capabilities.

Singapore City, Singapore: Horizons Scanning Centre, 4.

Notes

1. As of the writing of this chapter, at least 6.672 billion pictures were verified to be 

available for searching, stitching and fusing via searches limited to the English language. 

To conduct this verification, the author used a Boolean algorithm to search across the 

indexed photographs in English, using simple articles or phrases. By excluding previous search results from subsequent searches, the author was able to locate nearly 6.7 

billion separate images in less than 30 minutes. Other credible estimates suggest over 

13 billion may be available.

2. Flickr’s own web site at 4:33 AM UTC on February 20, 2011 (a Sunday) had 

recorded 4,826 pictures posted to its site in that minute, with over 3.7 million images geotagged so far in February. Assuming these numbers are representative, Flickr 

catalogues over 289,000 images per hour, over 6.949 million images per day, and over 

2.5 billion per year. Google lists a total of over 110 sites that catalogue images in addition to Flickr.

3. Volcanic ash has accumulated from Vesuvius’ previous eruptions at these distances.

87

Chapter 6

Comprehensive C4ISR Approach: 

Bringing Nations, NATO, and 

the EU Together from Development 

to Operations

Velizar Shalamanov

Abstract

The study outlines a model for cooperative capability development among NATO and 

Partner Nations in support of the Comprehensive Approach for crisis management. 

It draws on the experience and corporate knowledge of the NATO Consultation 

Command and Control Agency (NC3A) as one way to address emerging security 

challenges. The paper posits that developing a “Comprehensive C4ISR Approach” 

(Command, Control, Communications, Computers, Intelligence, Surveillance, 

Reconnaissance) through NC3A could be a useful instrument, not only for operationalizing the Comprehensive Approach for crisis management, but also for 

change management across all of NATO. Key elements include: addressing the 

requirements of the Integrated Security Sector as a whole (more than just Defence 

Ministries); providing coordinated support throughout the full life cycle of C4ISR 

capabilities; and combining diverse funding streams. This approach is supported by 

several newly available tools and venues for coordination. These could help match 

top-down requirements with “bottom-up” solutions to strengthen interoperability in 

secure environments for many players—NATO, Partner Nations, and other international organizations, including those associated with the European Union (EU) or 

the UN. In turn, this approach could lead to a Network of Excellence in support of 

the Comprehensive Approach, although full realization of the network will require 

significant organizational innovation and change management.

Introduction

In April 2008, NATO agreed to develop and implement a Comprehensive Approach 

to address new kinds of complex security challenges. In 2010, a new division on 

Emerging Security Challenges (ESC) was established within the NATO International 

Staff. This period also has seen an increase in the speed and scope of change, uncertainty 
Shalamanov

88

and complexity in the security environment, influenced by the global economic crisis, 

among other things. These were reflected in NATO’s new Strategic Concept, adopted 

at the Lisbon Summit in 2010.

These challenges can be addressed in several ways: through improved strategic 

assessments, more use of dynamic planning and appropriately focused exercises, developing more joint capabilities through “bottom-up” engagement, better coordination of 

efforts among NATO bodies and Member Nations and outreach to Partner Nations 

and organizations (especially the EU and the UN). Collectively, these would go a long 

way towards adoption of a “smart Defence” approach (NATO, 2011).

Climate 

Change Issues

CRO/Expeditionary

Ops

Fighting

Terrorism

Piracy

Prevention/

Fighting

Cyber

Security

Partnership/

Enlargement

Emergency

Management Ops

Energy

Security

Article 5, includes

Missile Defense

Emerging Security

Challenges

New dimensions:

• Civil–Military Interaction

• NATO–EU, UN, AU, ... • NATO–partners

Figure 1. NATO & Nations Security and Defense Environment: 

Realignment with the New Strategic Concept and National Strategies 

Source: Author, 2009

More and more, individual nations and the Alliance as a whole will look to combine military approaches with “whole of government” and “whole of issue” engagement 

as shown in figure 1. This will strengthen the vision for applying a Comprehensive 

Approach to all emerging security challenges, outside of the Article 5, Collective 

Defence. Military and civilian bodies need to be provided with Civil-Military Network 
C4ISR Approach

89

Enabled Capabilities (NEC) that are genuinely effective. This will have implications 

for the new NATO Defence Planning Process, Operations Planning and Command 

& Control (C2). With the shift to an “incident management” model, intelligence, 

surveillance and reconnaissance (ISR) capabilities include more and more joint and 

interagency components. More exercises and experiments are needed to gain a better 

understanding of the Comprehensive Approach, and how to operationalise it.

The Comprehensive Approach requires effective interaction and information 

sharing between civil and military organizations. Such interactions can occur in many 

functional areas such as:

•	 Civil-Military Cooperation and Coordination (CIMIC/CMCO) activities 

performed before, during and after a crisis;

•	 Analysis, monitoring and control functions that routinely are performed 

jointly, for example, for criminal/terrorist investigations or border control, 

as well as during responses to civil and humanitarian emergencies and the 

management of their consequences;

•	 Protection of high visibility events (for example, G8 meetings, Olympic 

Games) and security of critical infrastructure (for example, for energy or 

food production).

Intergrated

Security Sector

C4ISR Requirements

Life Cycle

Cooperative

Support

Intergrated

Funding Model

Figure 2. Evolving the Comprehensive C4ISR Approach in NATO

Source: Author, 2009

The need for this sharing has been shown across a range of recent events: disaster 

relief operations, complex emergencies and crises. Such civil-military interactions vary 

in intensity and quality, ranging from cooperation to coordination to coexistence.
Shalamanov

90

In the context of these emerging security challenges, this chapter suggests that the 

development of a Comprehensive C4ISR (C2, Communications, Computing, ISR) 

Approach in the NATO Consultation, Command and Control Agency (NC3A), 

and execution in cooperation with other agencies, can be a powerful instrument for 

change management in NATO. This approach can improve civil-military interactions, 

which are key elements in operationalising the Comprehensive Approach for crisis 

management. It does this by (a) inserting transformational concepts into the Integrated 

Security Sector1

 (which includes multiple ministries and agencies, as well as industry 

and relations with civil society), (b) promoting cooperative support across the life cycle 

of C4ISR systems, and (c) integrating funding from multiple sources. Given the aspiration for NATO to take a broader role simply highlights the more specific challenges 

in being able to operationalise the concepts against the backdrop of constraints that 

exist within the governance structures of some of the NATO members.

Figure 2 summarizes the Comprehensive C4ISR Approach, which was initiated 

in 2009 by NC3A, through the NATO Consultation, Command and Control Board 

(NC3B). On implementation, it would provide C4ISR support to NATO and nations 

in the evolving, complex security and defence environment that now has been included 

in the New Strategic Concept from Lisbon, 2010.

The three main pillars (main circles as seen in figure 2) of the Comprehensive C4ISR 

Approach were explained by NC3A in 2009 (NC3A, November 2009). They are:

•	 support to requirements from all elements of the integrated security sector 

on national, regional and NATO levels

•	 cooperative support from across NATO over the whole life cycle of C4ISR 

capabilities

•	 integration of all possible funding mechanisms in support of the “smart 

Defence” concept.

Implementation of the Comprehensive C4ISR Approach will require a large 

effort by both NATO and nations. But NC3A, with a team made up of representatives from both NATO sponsoring accounts and participating Nations, decided to 

emphasize a “bottom up” approach to capability development related to the initiation 

of several critical bilateral and multinational projects (in the areas of C-IED, Cyber 

Defence, Defence Support to Civilian Authorities and the NATO Exercise Toolbox, 

for example). These efforts need to be paralleled by common funded capabilities to 

achieve greater interoperability for complex operations more quickly and at less cost.

This combination of top-down and bottom-up approaches to capability development, and integration of common, joint, multinational and national funding, could 

allow NC3A to help strengthen interoperability in secure environments for many 

players—NATO and Partner Nations, as well as other international organizations, 

such as those associated with the EU or the UN.

Instead of establishing a stand-alone CoE (Centre of Excellence) for 

Comprehensive Approach, operationalising the concept in this way could let the 
C4ISR Approach

91

Alliance realize its first truly distributed Network of Excellence. C4ISR would play 

a critical role in such a network and NC3A could be a hub where many interrelated 

efforts could be maintained through virtualization.

Capability Development Challenges and the 

Evolving Comprehensive C4ISR Approach

As noted above, the Comprehensive C4ISR Approach rests on three pillars:

•	 increased levels of coordination among security sector organizations, other 

governmental entities and nongovernmental organizations

•	 interagency and international cooperation across the whole life cycle of 

C4ISR systems and capabilities

•	 more integrated efforts within the security sector and alignment of associated 

funding streams to develop and operate new crisis management capabilities, 

including C4ISR.

The first pillar reflects the concept of integrated security sector and “whole of 

government” approach to security and, by including industry and nongovernmental 

organizations as well as other players, moves the state to embrace the “whole of the 

issue” approach in addressing the emerging security challenges.

The second aspect is related to the requirement to have seamless capability management throughout all the phases of the life cycle—“from cradle to grave.” This is 

extremely important because inefficiencies and unexpected costs appear when we fail 

to plan holistically and delays appear during the transfer of authority as we move from 

phase to phase.

The last pillar is providing best use of all funding mechanisms and it is of critical 

importance because of the eligibility aspects of budgeting projects as well as providing 

maximum flexibility in times of financial constraints. A customer-funded regime for 

NATO and national agencies is the base for using these multiple funding mechanisms 

with high degree of transparency, accountability and integrity of the process.

These three pillars are considered as a base for the Agency’s reform in NATO as 

outlined recently during the summit in Lisbon, 2010.

Several kinds of cross-cutting changes will be needed if these pillars are to be 

integrated into effective operational capabilities:

•	 doctrine, organizational arrangements and tools must reflect the 

Comprehensive Approach in addressing emerging security challenges and 

crisis management

•	 strategic assessments and scenario-based planning need to consider the 

diverse problems and approaches, particularly comprehensive C4ISR 

capabilities

•	 governance of ICT (Information and Communications Technology) must 

support development of comprehensive C4ISR capabilities, including models 
Shalamanov

92

for multinational cooperation among Allies, Partner Nations and even nongovernmental entities.

All this will require closer cooperation between operational, transformational and 

implementation authorities in the framework of the political guidance provided by the 

North Atlantic Council, when it comes to NATO capability development process.

Serious study is also required on the application of advanced ICT to support 

the implementation of the Comprehensive Approach, as well as the development of 

capabilities based on technologies such as:

•	 smart sensors, particularly for identification of unconventional threats, including improvised explosive device (IED) scanners and sniffers

•	 situational awareness and Civil-Military User-Defined Operational Pictures 

(UDOP), rather than just singular Common Operational Pictures (COP), 

including information sharing and knowledge management in complex 

environments

•	 collaborative/coalition decisionmaking and C2 tools, particularly tools supporting incident management

•	 core services and network management for seamless secure communication 

in diverse environments, including cloud computing and grid technology

•	 distributed modeling and simulation, training, advanced distance learning, 

etc.

•	 most of these technology areas are covered in the NC3A catalogue of expertise, but through closer cooperation with industry and national agencies it is 

possible to extend the base for supporting capabilities development for the 

Comprehensive Approach in a more innovative way.

The three pillars of the Comprehensive C4ISR Approach are supported by several 

instruments. One is the NC3A Catalogue of C4ISR expertise, developed for the first 

time in 2010. It covers areas of support to the capability development process that are 

provided by the Agency (NC3A, May 2010). Two interrelated models of cooperation 

(bilateral and multinational) can be developed, based on the content of the Catalogue. 

They draw on the corporate knowledge and tools of the Agency to support capability 

development for both nations and organizations. The model of bilateral cooperation 

is supported by the framework C4ISR Memorandum of Understanding between a 

Nation and NC3A. The multinational cooperation development model (NC3A, 

October 2010) is based on operational activities, with more than 10 projects on-going 

and about same number just started, or soon to be so. In both models the Agency is 

a facilitator within the NATO environment and provides technical support as an executive agent for Nations to develop and acquire required critical C4ISR capabilities, 

involving academia and industry as well as government sources.
C4ISR Approach

93

Such approaches require a genuinely adaptive organization which is sensitive to 

the customer environment (Moreland & Jasper, 2009). To improve its agility, NC3A 

initiated an annual Chief Information Officers (CIO) conference in 2010 which 

complements existing annual industry conferences that take place in the Autumn 

and Spring. The latter involves partnering with AFCEA (formerly the Armed Forces 

Communications-Electronics Association) and the U.S. National Defense University’s 

information resource–focused iCollege. Recognising that many NATO nations have 

excellent staff colleges for the development of senior officers it would be an appropriate 

aspiration to have them accept the need for the inclusion of significant coverage of the 

Comprehensive Approach within their curricula. Whilst it is acknowledged that adding material to current curricula is a major challenge, one option going forward might 

be that the NATO Defense College (NDC) in Rome and the George C. Marshall 

Center in Garmisch-Partenkirchen position themselves as delivering courses that 

have the Comprehensive Approach as a cornerstone within the curriculum and that 

attendance at these establishments is deemed to be a pre-requisite for key NATO 

positions. For some NATO and Partner Nations these two establishments would be 

viewed very positively and this approach may also help persuade other staff colleges 

to embrace the Comprehensive Approach more fully within their curricula. Both the 

CIO and Industry conferences are supported by legal instruments—Basic Ordering 

Agreements (BOA) for industry and framework Memoranda of Understanding with 

Nations—to enhance information sharing, longer term planning and also quick reaction in emergencies. Thus, the three pillars of the Comprehensive C4ISR Approach 

are supported by models of bilateral and multinational cooperation, with the Catalogue 

to explain available capabilities and twinned conferences to link the NC3A better with 

both customers and Industry.

From Capability Development to Operations

The NC3A is a NATO agency that shares the legal personality of NATO. Its charter was approved by the North Atlantic Council (NAC). The agency is 100 percent 

funded by its customers. NC3A is part of the NATO C3 Organization, along with 

the NATO C3 Board and NATO Communication and Information Systems (CIS) 

Services Agency (NCSA).
Shalamanov

94

Defence

Planning

Validation &

Verication

Architecture

Acquisition

TTP

CONOP

CONEMP

Distributed

Battle Labs

Combat

Support

Research & 

Development

Exercise &

Training

Coherence

guaranteed

by Chief

Technology

Ofce

Performance

guaranteed

by Directorate

of Production

Figure 3. Scope of Expertise and Support 

for the Comprehensive C4ISR Approach in NC3A 

Source: NC3A, 2010

NC3A’s mission is to be an enabler to NATO’s success through the unbiased 

provision of comprehensive C4ISR capabilities. This mission is achieved within 

the framework of the strategic plan, the current version of which is available online 

(NC3A, July 2010). Each plan is approved by the NC3 Board.

NC3A has significant expertise in the Comprehensive C4ISR Approach, ranging 

from defence planning to combat support as shown in figure 3. Coherence and interoperability are overseen by a strong Chief Technology Office, while the principal limit 

to implementation lies in the capacity of the Directorate of Production. All areas of 

expertise are covered in the NC3A Catalogue. The first edition was distributed in 2010 

and the next version is being developed in close coordination with Partner Nations.

This diverse C4ISR expertise, together with competence in program, project and 

financial management, as well as excellent relations with stakeholders in the NATO 

environment, positions the Agency well to propose solutions to nations on a bilateral 

basis, or to facilitate multinational projects. This is shown in figure 4 (NC3A, October 

2010). A comprehensive, multinational C4ISR roadmap is being prepared for presentation in the May-June 2011 timeframe to the NATO Task Force on Multinational 

Approaches to Capability Development.
C4ISR Approach

95

New projects are initiated based either on requirements defined by NATO HQ 

and Strategic Commands or on requests from nations and other organizations.2

 To 

support these, based on unique corporate C4ISR knowledge, NC3A can plan and offer 

to nations either the use of NATO-off-the-shelf (NOTS) tools on a bilateral basis or 

the development of cooperative capabilities through new multinational projects. These 

can either be based on NOTS or NOTS’ customization, according to the customer’s 

requirements. NC3A’s Annual Report for 2010 shows more than 500 diverse projects 

under development or implementation (NC3A, March 2011).

These bottom-up approaches provide opportunities to use existing tools and 

Research & Development results, which are available under the common funded, 

top-down capability development process, to inform nations (including industry) 

about “low hanging fruit” that can be implemented on either national or multinational 

approaches.

The CIO and Industry conferences, mentioned earlier, are used to inform the user 

community and companies about these opportunities and to facilitate exploitation of 

these solutions for delivering critical capabilities effectively.
Shalamanov

96

Smart Defence will require a new generation of organizational innovation in 

NATO, the EU and nations (government, academia, industry) to be able to benefit 

from such opportunities. This is a serious change management challenge that will 

influence the culture of the organizations involved (Neal & Carver, 2009), but it is 

necessary if the Alliance is really committed to developing network enabled capabilities 

for the Comprehensive Approach.

From the capabilities perspective, the next challenge is to transition Expert 

Domain Tools (toolboxes) to Mission-Oriented Suites (figure 5). The best recent 

example is the operationally-driven Afghanistan Mission Network (AMN). In the 

past, the Bi-Strategic Commands Automated Information System (Bi-SC AIS) served 

as a good example on which to base lessons learned. Efforts to achieve an Integrated 

Air Defence System, and now to add Theatre Ballistic Missile Defence capabilities, are 

other examples of mission-oriented approaches to integrating C2 systems. With the 

transition to the Comprehensive Approach, a new goal is to define suites of capabilities 

for Civil-Military complex operations. This not only includes understanding how to 

use civilian capabilities in support of military operations. It also means redefining the 

toolbox for Defence Support to Civilian Authorities missions in Crisis Operations, as 

well as for support to transition operations. This can be a vehicle for closer cooperation 

between NATO and the European Union (EU), as well with the UN.

There is much to learn from national experiences (Wells & Christman, 2009), 

but NATO and its Agencies also must engage to support this part of the capability 

development process if the Comprehensive Approach is to be implemented successfully at an international level. This is a management challenge of a different magnitude.

Intelligence

Surveillance

Reconnaissance

Command and

Control

+

Logistics

Comm

+

Core Services

Cyber/Defense

+

Interperability and

experiments

Planning,

Architecture

+

Exercises

Bi-SC AIS – NNEC

Defence Support to Civilian Authorities and Transition

Other missions...other NATO identities in the postmodern world

Collective Defence

Figure 5. Evolving Domain Specic Tools to Federation 

in Service Oriented Architecture for Mission Oriented Suites
C4ISR Approach

97

C4ISR capabilities for

the Comprehensive

Approach

Capabilities/

Ops Planning

Training

Shared Scenarios

Experiments

Figure 6. Process of Capability Development, Supported by Planning, 

Exercises, Experiments Using Same Shared Scenarios

Complex operations are, as a rule, coalition based with the involvement of many 

diverse international organizations, so pure national approaches are not enough. 

Success in such operations must be built on a process of capability development, where 

cooperation on technical and industrial levels paves the way to operational excellence.

As shown in figure 5, in addition to developing more technical capabilities, there 

is a growing need to cooperate in the areas of Planning, Architectures and Exercises. 

Therefore, the Comprehensive C4ISR Approach focuses on capabilities that enhance 

the environment for interagency and multinational planning, using the architectural 

approach and support exercises to train with the new capabilities, new concepts and 

plans in integrated scenarios. This approach to capability development in support 

to Comprehensive Approach is presented in figure 6. In practice we have CWIX as 

experimental exercise, CMX as crisis management exercise, new NATO Defence 

Planning Process to include crisis management capabilities and new scenarios, derived 

from the New NATO Strategic Concept as a base for this approach.

Defence Support to Civilian Authorities/Transition 

Support Capabilities for the Comprehensive 

Approach in a NATO–EU Context

NC3A’s role in complex crisis management is diverse and really focuses on integrated capability development and service provision. The Agency works with Allied 

Commands Operations and Transformation (ACO and ACT) to identify requirements and maintains close coordination with CIMIC-related entities (CIMIC Fusion 

Centre—CFC, CIMIC Centre of Excellence—CCoE and CIMIC Groups) and ensures coherence with national programmes on Civil-Military Interoperability (CMI), 

including cooperation with industry in Research and Technology Organization 

(RTO) and NATO Industrial Advisory Group (NIAG) formats. C4ISR capabilities and expertise are generally provided to NATO-relevant bodies (Euro-Atlantic 
Shalamanov

98

Disaster Response Coordination Centre—EADRCC, NATO Crisis Response 

System—NCRS, NATO Intelligence Warning System—NIWS and NATO 

Situation Centre) in support of Complex Crisis Scenarios. The Multi-National 

Civil-Military Interoperability (MN CMI) initiative enables direct NC3A support 

to nations and organizations that agree to join the project. NC3A also liaises on technological issues, in coordination with NATO HQ, to non-NATO bodies, such as:

•	 UN Office of Coordination of Humanitarian Affairs (OCHA), High 

Commissioner for Refugees (UNHCR) and World Food Program (WFP)

•	 EU Humanitarian Aid and Civil Protection (ECHO), European External 

Action Service (EEAS), Monitoring and Information Centre (MIC) and 

Common Emergency Communication and Information System (CECIS).

The MN CMI initiative, supported by NC3A, is intended to complement the 

efforts of NATO, National and International Organizations (for example, Strategic 

Commands, CCOE and others) in the DOTMLPF (Doctrine, Organization, 

Training, Materiel, Leadership, Personnel, Facilities) by providing a full NEC/Web 

2.0 capability architecture (DOTMLPF + Interoperability) addressing the principles 

of federations and service-oriented architecture (SOA). Experiences from maritime 

environments (Wells & Christman, 2009) could be extended to expand the toolbox 

in support of the Comprehensive Approach. Such expansion is a goal of the MN 

CMI project.

The MN CMI Project is designed to improve Civil-Military Interaction and provide comprehensive solutions to nations by establishing a collaborative forum where 

critical civil-military problems are identified and analyzed, and technical solutions 

are explored, specified and validated. NC3A has extensive experience in supporting 

NATO efforts in Crisis Response Operations and complex C4ISR interoperability 

endeavours that could be used by nations, which may decide to contribute to such 

initiatives on their own.

Interoperability is addressed at three levels:

•	 operational, including the development and demonstration of concepts of 

employment and the Standard Operating Procedures (SOP) required for 

the operational implementation of the technical solutions

•	 architectural/system, including the design of patterns for the implementation 

of the technical solutions with the participating systems in various employment scenarios

•	 technical, including the specification of interfaces and profiles for services, 

protocols and data to be used by each of the participating systems, as much 

as possible by adopting, tailoring and completing (if required) available international or de facto standards.
C4ISR Approach

99

Interoperability

Enablers

Grouped into

Applicable to

IFA1 Community of Interest Info Protection (CIP)

Preparedness & Planning

Collaboration & Info Sharing Enviroment (CISE)

Warning & Alerting Services (W&A)

Support Request Services (SRS)

Info Sharing Services (ISS)

Sit. Awareness & Common Oper. Picture (SAS)

Tactical Communication (TACOM)

...

Prediction & Warning

Response

Recovery

...

IFA2

IFA3

IFA4

IFA5

IFA6

IFA7

IFAx CIP

CISE

W&A

SRS

ISS

SAS

TACOM

...

Figure 7. Interoperability Focus Areas (IFAs)

Source: NC3A, 2011

Interoperability Focus Areas (IFA), based on specific Interoperability Enablers, 

are identified in figure 7 and selected to support the core stages (in bold) of the crisis/

emergency management phases: Vulnerability Analysis, Mitigation and Prevention, 

Preparedness and Planning, Prediction and Warning, Response, Recovery and 

Stabilization.

The MN CMI project’s target participants are national and international entities, including civil and military commands, units or agencies, national industries, 

responsible for:

•	 Military Crisis Management

•	 Emergency Monitoring and Response Coordination and Management

•	 Support to Emergency Response and Consequence Management operations, 

including Critical Infrastructure Protection

•	 Civil-Military Coordination and Information Management

•	 Incident Management

•	 Counter-terrorism Operations

•	 Border Security and other perimeter security operations

•	 Law Enforcement (during crises or in routine operations).
Shalamanov

100

Some specific capabilities for operationalising the Comprehensive Approach are 

under development through separate multinational projects, such as the ones started 

in the area of C-IED, Cyber Defence, the Computer-Aided Exercise (CAX) toolbox, 

and even Integrated C2 and Maritime Information Services.

The C-IED multinational project demonstrates the important role that NC3A 

plays in support to NATO efforts, from clearinghouse analysis to direct implementation of agreed national and multinational projects (figure 8). This area is a model for 

the transfer of operational lessons learned from Afghanistan into the development of 

critical capabilities that were identified during the Lisbon summit.

C-IED is one example of the innovative use of JISR (Joint ISR) technologies to 

address emerging challenges related to terrorism. It is an example of capabilities that 

are required not only by the military, but also by other security sector organizations. 

The multinational project known as MAJIIC (Multi-sensor Aerospace-Ground Joint 

Intelligence Surveillance and Reconnaissance Interoperability Coalition) is considered 

a model for the power of cooperatively developing capabilities with the direct involvement of national industries within flexible frameworks. This will enable adaptation 

and allow deployment of these capabilities to support scenarios for the Comprehensive 

Approach to Crisis Management.

Another multinational initiative—Cyber Defence—is providing an example of 

the use of ACT-funded research in establishing the foundation, not only for common 

funded critical capability as NCIRC (NATO Cyber Incident Response Capability)—

one of the top priorities from the Lisbon Summit—but also for effective bilateral and 

multinational projects between NC3A and nations in support of larger efforts to 

protect cyber space. Cyber Defence, being a new area, shows how important it is to 

have an agreed technical framework and a maturity model as a base for coordinated 

efforts in a multinational environment.

Ongoing preparation of a multinational project on the NATO EXercise Toolbox 

(NEXT), with special focus on Comprehensive Approach-type scenarios, will use the 

above lessons to contribute to the critical capabilities for experimentation and training—so important to support any transformational/change management process.

Successful multinational, integrated C2 projects, and existing tools such as JPECT 

(Joint Planning Execution and Control Tool), as well as the implementation of network and core service experiences from the Afghanistan Mission Network (AMN), 

form the basis for transferring information to other elements of the C4ISR suite tailored the Comprehensive Approach. When it comes to the Civil-Military C2 domain, 

we could refer to Multinational Maritime Information Services (MIS—a joint ACTNC3A initiative to support Civil-Military cooperation at sea) and NATO-Russia 

Council Cooperative Airspace Initiative (NRC CAI—a system for NATO-Russia 

cooperation in air security/safety). In this area, Sweden’s initiative on Crisis NEC as 

an extension of a joint NATO-Swedish experiment in 2008, where NC3A will have an 

opportunity to work with the European Defence Agency (EDA) under the leadership 
C4ISR Approach

101

of NC3B/Sweden, is another good model for the development of capabilities in support of the Comprehensive Approach.

Operations such as those in Kosovo and Afghanistan (and sooner or later for any 

other NATO operation) eventually will face the Transition phase, which includes 

the transfer of authority to national/regional powers. This phase creates specific 

requirements for capability development for the national/regional authorities and 

the transfer of some of the expeditionary capabilities to these organizations. Several 

projects, such as support to the NATO Training Mission in Afghanistan (NTM-A), 

providing Internet access to Afghan universities (SILK–Afghanistan), consultations 

to support the development of a management information system for the Ministry of 

Kosovo Security Forces, and many others, are examples of the diversity of follow-on 

support efforts needed to operationalise the Comprehensive Approach.

The challenge of operationalising the Comprehensive Approach from the capability development point of view is focused mostly on interactions among many different 

capabilities from a variety of organizations (civil and military), as well as the transition 

from expeditionary capabilities to local capabilities.
Shalamanov

102

A short review of possible C4ISR-related areas in support of the Comprehensive 

Approach shows that the main challenge is, and will be, less in the area of technology 

and even architectures than in the governance, financing and management of such 

projects, programs, portfolios in a genuinely international environment. This must 

involve the members and partners of NATO, in cooperation with industry, academia 

and even nongovernmental organisations.

Conclusions

NC3A’s experiences so far, especially in the development and implementation of the 

Comprehensive C4ISR Approach, show that it is possible to provide bottom up/

capability-driven ways to operationalise emerging security and defence strategies. 

Bottom-up capability development, service provision and overall life cycle support for 

NATO, nations and partner organizations, using different funding mechanisms and 

involving industry, is practically the only way to support the Comprehensive Approach 

effectively. It is worth noting that good cooperation in capability development probably also will facilitate cooperation in planning and operations for crisis management.

There are limits in top-down solutions for implementing the Comprehensive 

Approach, simply because of the very dynamic decisionmaking environment at those 

levels. Bearing in mind that NC3A addresses the first “C”—the Consultations among 

Nations—the Agency is well positioned to integrate bottom-up developed capabilities in ways that could support top-down consultations and decisionmaking before 

the activation of an ad-hoc “coalition of the willing” of nations and organizations to 

address the problem through the Comprehensive Approach. Real success could be 

achieved when C4ISR arrangements in such coalitions are able to support effective 

implementation of political and resource decisions. In this sense, development and 

implementation of the NATO Comprehensive C4ISR Approach, initiated by NC3A, 

is of significant importance in making it possible to operationalise the Comprehensive 

Approach to Crisis Management.

NC3A is only one element of the greater Network of Excellence required to 

implement the Comprehensive Approach, but it is a critical one for the development of 

the required capabilities. With Agency reform within NATO and potential cooperation between NATO and the EU in capability planning/development, maintaining 

an adequate mandate will be very important for the future Communications and 

Information construct. The construct must cover the full range of C4ISR expertise 

required by an integrated security sector both through the integration of life-cycle support to C4ISR capabilities and also through customer funding. The goal is to develop 

the comprehensive management of a program of work for NATO, nations, groups of 

nations and other organizations (including the UN and EU).

For the development of Comprehensive Approach capabilities, it will be especially 

useful to investigate the modalities of the NATO C4ISR Integration Fund (NCIF), 

initially proposed by NC3A as a model to support partners and transition countries 

when NATO nations have clear interests in developing their capabilities for the 
C4ISR Approach

103

future joint operations (NC3A, June 2010). The NCIF is just a construct to provide 

an environment to use the NC3A expertise and corporate knowledge to serve the 

interests and goals of contributing nations. Adopting of the NCIF model in a truly 

comprehensive way—outside the limitations of eligibility and consensus—is important 

for crisis management scenarios and the development of new partnerships. Of course it 

will not compromise the essence of Article 5 support that the Agency provides under 

common funding projects, and on all key decisions nations will consult at the North 

Atlantic Council level before engaging the Agency as an executive body for any project 

outside the purely NATO environment.

Agency reform is focused on savings, but first of all its priority is on finding effective and efficient ways to deliver NEC-related outcomes. It recognises the importance 

of organizational innovation and required cultural change (Neal & Carver, 2009). The 

development of capabilities for the Comprehensive Approach could help make the future Communications and Information Agency into a genuinely adaptive organization 

(Moreland & Jasper, 2009), but they also could become a driving force for transformation across NATO and nations by encouraging the combination of efforts for collective 

defence, crisis management and partnership as key missions of the Alliance.

References

NATO, (2011) Secretary General Rasmussen stated on February 25 2011 that the 

financial crisis calls for “smart defence, which ultimately promotes more coherence 

and effectiveness in defence spending in our member states.” http://www.nato.int/

cps/en/SID-26821FF1-8799271F/natolive/news_70768.htm.

NC3A, (November 2009) NATO Comprehensive C4ISR Approach, NC3A Graphics, 

Brussels (available at http://www.nc3a.nato.int/About/Pages/Publications.aspx).

NC3A, (May 2010) NC3A Catalogue of Expertise, 1st ed., NC3A Graphics, Brussels 

(available at http://www.nc3a.nato.int/About/Pages/Publications.aspx).

NC3A, (June 2010) NATO C4ISR Integration Fund, NC3A Graphics, Brussels 

(available at http://www.nc3a.nato.int/About/Pages/Publications.aspx).

NC3A, (July 2010) NC3A Strategic plan 2011-2013, NC3A Graphics, Brussels (available at http://www.nc3a.nato.int/About/Pages/Publications.aspx).

NC3A, (October 2010) NC3A Multi National Cooperation Development, NC3A 

Graphics, Brussels (available at http://www.nc3a.nato.int/About/Pages/Publications.

aspx).

NC3A, (March 2011) NC3A Annual report 2010, NC3A Graphics, Brussels (available at http://www.nc3a.nato.int/About/Pages/Publications.aspx).
Shalamanov

104

Moreland S., & Jasper S., (2009) Adaptive Organizations: Maintaining Competitive 

Advantage by Exploiting Change, Crosscutting Issues in International Transformation, 

CTNSP-NDU, Washington DC, 249–270.

Neal D., & Carver L., (2009) Delivering Network-Enabled Capability: the Importance 

of Innovation in Delivering Culture Change, Crosscutting Issues in International 

Transformation, CTNSP-NDU, Washington DC, 55–74.

Wells II, L., & Christman W., (2009) Transformational Initiatives in Civil-Military 

Operations STAR-TIDES and Maritime Environments, Crosscutting Issues in 

International Transformation, CTNSP-NDU, Washington DC, 87–102.

Notes

1. In some NATO countries, it is the case that the constitution (or other governing 

documents) draws formalized boundaries between governmental and private security 

organizations, thus making a fully integrated approach extremely challenging.

2. An important dimension of this is the need for interoperability for all actors involved in an operation. The STANAGs, which in theory are designed to standardize 

equipment, systems and procedures, have never been really successful. A lack of interoperable tools caused serious communications difficulties in the Balkan conflicts.
105

Chapter 7

Bridging the Gap Between Enterprise 

Apps and Community-led Social Media

Ted Rybeck

Abstract

This chapter focuses on one approach to community-led mobile social media in 

support of NATO’s Comprehensive Approach (Wells, Pudas & McNitt, 2011), an 

open source-based architecture called Knowledge Banking which is a simple, secure 

application to let the world collaborate. The system emerged from nonprofit, public, 

and private sector leaders working together after Hurricane Katrina in 2005 and the 

Haiti earthquake in 2010. The goal was to develop a way for the public to engage 

with official systems more effectively during a crisis. The result is Knowledge Banking 

Private Groups that enable members to add their own enterprise or personal content 

to an access-controlled collaboration environment. Given that bandwidth will vary 

across Comprehensive Approach environments, Knowledge Banking always takes 

into account that even SMS (Short Message Service) texting may not be available in 

extreme circumstances. In that context, Private Groups intelligently combine SMS 

texting with emergency response applications (for example, Ushahidi), and with 

relevant social media (for example, Wikipedia, Facebook, Twitter, YouTube, Flickr, 

news, blogs, etc.). Knowledge Banking Private Groups will soon be released publicly, 

but have already been used successfully in beta release with nonprofit, government, 

and corporate pilots.

Knowledge Banking differs from traditional collaboration software because it will 

be offered as a free resource and includes Wikipedia and other social media as a reference within each Private Group. Unlike Wikipedia, each Private Group’s members 

can maintain the integrity of their own content and access privileges. The result is a 

knowledge-based social network that combines the collaboration capabilities with 

relationship-based social network capabilities.

Introduction

Mobile social media now reaches across all channels as a standard part of our way to 

find information and to be heard. In less than a generation, phones have gone from 

representing a “place” with a land line to representing a person who carries their own 
Rybeck

106

mobile device. Today, mobile phones also represent a global community node that 

can reach and be reached by unlimited numbers of people worldwide with only one 

tagged message. Witness SMS texting from Haiti or Tahrir Square. If Hurricane 

Katrina were to take place now, the grassroots response would be unprecedented and 

one way or another, the public-private mobilization would be dramatically different.

Around the world, public and secure forms of social media already enable volunteers and professional teams to be reached more effectively. In many crises, social media 

offer straightforward benefits for senders and receivers compared to one-to-one voice 

and email communications. Most importantly, one-to-one voice or email contacts can 

fail based on any single point. For example, the individual caller or emailer may lack 

the right contact number or email address to reach out to the exact person they need. 

Conversely, the individual receiver, for whatever reason, may not pick up the phone 

or email in time. Even if that individual does pick up, they may be the wrong person, 

and the “passing the buck” process begins which for everyone involved is expensive, 

inefficient, and annoying at best, and life-threatening at worst.

For a variety of emergency services, social media can target public requests and 

updates to all the interested professionals and volunteers from the public and private 

sectors. In many cases, the volunteers will be the ones in the right place, at the right 

time, with the right skills and resources to help. For those cases when only a professional can do the job, social media can make it possible for the entire professional 

team as opposed to one individual to get the message even when they cannot access 

their special-purpose professional networks. Moreover, those professional teams can 

almost always use volunteer community help in one way or another, if only to take on 

more off-loadable tasks. The February 13, 2011, crowd in Cairo embodied this point 

by volunteering to clean the streets after their own revolution.

Despite the mobile revolution, people still cannot connect from their social media 

to most government systems. The bridging of community-based social media to official enterprise systems will become a burning platform issue for every part of the 

public sector from constituent services to emergency response. To introduce a JFK 2.0 

paraphrasing of U.S. President John F. Kennedy’s famous words, “Ask not what your 

community can do for you. Ask what you can do with your community.”

Traditionally, the public has been discounted as a resource because of the disconnect between volunteer goodwill and the tasks at hand. Today’s social media–based 

volunteer management systems fix many of these disconnects through real-time mapping of the current needs against the skills and resources offered by the community. 

For many of today’s project management or emergency response requirements, social 

media–based networks now outstrip the quick response capabilities of the official 

government or enterprise resource management (Wikipedia, 2011:b) applications.

Many of these community-based systems are open source volunteer efforts, 

but private sector companies are actively engaging the public as well. For example, in any given month, Amazon’s Mechanical Turk (Wikipedia, 2011:c) has over 

100,000 individuals taking on what Amazon calls “Human Intelligence Tasks.” 
Bridging the Gap

107

This new reality is why Craig Fugate, U.S. Federal Emergency Management Agency 

(FEMA) Administrator, makes a top priority of engaging the public (FEMA, 2010) 

as a resource. Worsening budget crises across virtually every jurisdiction will make 

Administrator Fugate’s approach a standard operating procedure for many government authorities at the local, state, national, and international levels.

Meanwhile, individual expectations for government services will continue to rise 

along with customer experience improvements offered by private sector service providers. In response, government-led reengineering projects are making improvements to 

bridge official systems into community social media. However, efforts to engage more 

directly with the public through social media find themselves hindered by unresolved 

issues of privacy, work rules, liability, and scope.

Solving the Right Problem via the Drivers, Strategies, Enablers, and 

Technologies Methodology

Given the challenge to develop a way for the public to engage with official systems 

more effectively during a crisis, an innovative way forward has resulted in an approach 

known as Knowledge Banking Private Groups in that it enables members to add their 

own enterprise or personal content to an access-controlled collaboration environment.

Knowledge Banking differs from traditional collaboration software because it will 

be offered as a free resource and includes Wikipedia and other social media as a reference within each Private Group. Unlike Wikipedia, each Private Group’s members 

can maintain the integrity of their own content and access privileges. The result is a 

knowledge-based social network that combines the collaboration capabilities with 

relationship-based social network capabilities.

Because of the Wikipedia look and feel, new Private Group users are immediately familiar with Knowledge Banking’s user interface. That means they avoid the 

time and cost of specialized training normally needed for getting started with proprietary collaboration systems. Knowledge Banking also uses the standard application 

programming interfaces (APIs) of MediaWiki and other social media apps, so that 

Google Apps and Microsoft’s SharePoint, Excel, and Word can more easily import 

and export to the Private Groups.

For individuals, nonprofits, government, and business, Knowledge Banking 

Private Groups will offer a way to bridge the gap between enterprise applications 

behind the firewall and community applications on social media (Wikipedia, 2011:a). 

The test is to enable anyone or any enterprise to be a stronger catalyst in their community, however those communities are defined. The range of potential personal 

or enterprise uses of the Private Groups is only constrained by the barring of any 

illegal activities. Initial pilots focused primarily on emergency and customer service 

applications with nonprofits, governments, and business. However, commercial or 

non-commercial enterprises can immediately apply Private Groups across every activity of an organization and its partners (for example, Customer/Member Services, 

Administrative & Finance, Sales & Marketing, Supplier Management, Production 
Rybeck

108

& Operations, Research & Development). The adoption of Knowledge Banking for 

these everyday applications will prepare contributors to serve during a crisis.

Knowledge Banking grew out of an effort after Hurricane Katrina where 

Benchmarking Partners, a Cambridge, Massachusetts, software and strategy firm 

brought together the leadership of the public-private organizations representing the 

whole of community (government, private sector, nonprofit, and citizens) to figure 

out how community-led systems could be integrated into official efforts more effectively. Knowledge Banking then integrated experiences from over two hundred 

large and small organizations internationally based on a common-sense but rigorous 

methodology developed by Benchmarking Partners called DSET (pronounced DeeSet). DSET has been used by over 30,000 organizations worldwide. For example, 

in the mid-1990s, Walmart used DSET with Benchmarking Partners to get agreement among its thousands of suppliers on Walmart’s first collaborative forecasting 

and replenishment system over the Internet. Benchmarking then used DSET with 

retailers and suppliers globally as part of the successful effort to create a Collaborative 

Planning, Forecasting, and Replenishment (CPFR) standard. DSET has also been 

used at Harvard Business School, Wharton, MIT, University of Chicago, and other 

strong training grounds for business and government around the world.

DSET contextualizes the external forces on an organization’s success (that is, the 

“Drivers”), the “strategies” an organization should take to address those Drivers, the 

“Enablers” or capabilities needed to achieve those Strategies, and the strengths and 

weaknesses of the various “Technologies” needed to support those enabling capabilities. 

Typically, organizations start with Technologies and mistakenly work from right to 

left (that is, T-E-S-D) because plenty of vendors have Technologies to sell that address some of the Drives that organizations face and the CIO can then be blamed if the 

leadership team never aligned on an understanding of the Drivers. By starting with the 

entire CEO team to identify the full set of Drivers and moving from left to right (that 

is, DSET), the CEO gets executive leadership and constituents aligned on the full set 

of Strategies before deciding which Enablers and Technologies need to be deployed.

The resulting DSET-based alignment, risk/reward analysis, and shared priorities 

can dramatically accelerate an organization’s effective mobilization with its partners 

on the new social media and collaboration platforms. DSET would also apply to 

NATO support to Comprehensive Approach environments. The DSET approach 

also offers enough detail from the highest strategy level to the functional and technical 

levels that development and implementation will be far more affordable and successful than typical large scale initiatives. The results help governments and private sector 

enterprises focus less on each location’s departmental organization charts and more 

on what everyone wants: the situation-specific, effective delivery of information and 

services across all jurisdictions during a crisis.
Bridging the Gap

109

Knowledge Banking’s DSET

For example, one of the primary DSETs for public-private mobilization that guided 

Knowledge Banking was developed between January–April, 2010 in response to 

the 2010 Haiti Earthquake. However, the techniques clearly could be applied to the 

kinds of humanitarian assistance, stabilization, or capacity building operations where 

NATO and its partners might be involved. The authors were CEOs and their teams 

were from federal, state, military, relief, and corporate enterprises. Each organization 

first created their individual DSET based on their particular interests as the basis for 

a collaborative business case represented in their joint DSET shown below.

Drivers (External forces beyond our control):

1. Countries are not as prepared as they should be for disaster prevention, 

response, or recovery.

2. The resources for effective disaster management exist among independent 

organizations and individuals though they lack integration among themselves 

let alone as a joint force.

3. News coverage will increasingly focus on missteps as part of the competition

for ratings.

4. Widespread Internet and cell phone use opens up multiway communication

that TV and radio did not, but it is difficult to manage the abundance of 

information and filter out the bad information.

5. Constituents (for example, customers, citizens, donors) demand more visibility into how resources are allocated and costs are managed.

6. Legal and regulatory frameworks can constrain responsiveness.

Strategies (How we will respond to the Drivers):

1. Determine how to use grassroots new media (for example, SMS, Wikipedia,

Facebook, YouTube, Twitter, etc.) so that the governments and the public 

work together in a multiway communication.

2. Collaborate with the private sector on their needs and capacities (for example, 

Where is power out? What does everyone have to offer?).

3. Build metrics on spending in the disaster management lifecycle so constituents appreciate the Return-on-Investment from prevention, mitigation, and 

preparedness through recovery.

4. Develop disaster technology solutions that enhance the volunteer experience

and are intuitive and simple to use. Establish systems and processes that 

enhance the volunteer experience and passion rather than frustrate the user.
Rybeck

110

Enablers (Capabilities needed to achieve the Strategies):

1. Enterprise integration with free, simple, every-day social networks for information sharing, collaboration, and commerce at the local, community, state, 

regional, national, and international levels.

2. Enterprise, local, state, regional, national, and international engagement of

the people and infrastructure capacities for each community in conjunction 

with their social networks.

3. Integration of the community networks to the official disaster management

systems and security systems at the enterprise, local, state, regional, national, 

and international levels.

4. Shared disaster management plans at the enterprise, community, state, regional, national, and international levels in response to the demographic and 

infrastructure realities of the most vulnerable areas.

5. Enterprise, local, state, regional, national, and international drills to ensure

that the best equipped individuals and communities are ready to take care of 

themselves, and the least equipped get the added support they need.

6. Real-time metrics on the results of spending in the disaster management

lifecycle, generated as a natural by-product of system usage rather than a 

separate and expensive administrative process.

Technologies (Tools to implement the Enablers):

1. Integration of existing enterprise systems into easy to use cell phone and 

Internet based systems using open, industry standard protocols.

2. Open mashups of popular and specialized social media (for example,

Wikipedia, Facebook, YouTube, Twitter, etc.) with anti-spam filters that 

enable grassroots reference hubs with private and public spokes.

3. Enhancement of our Enterprise Resource Planning (Wikipedia, 2011:d) 

systems with our community ecosystem to enable Real-time Operational 

Optimization and Transparency (ROOT).

Knowledge Banking’s DSET-based Technology

As shown above, in a generalized architecture, Knowledge Banking integrates the 

range of social media into a knowledge-based social network for collaboration among 

individuals and enterprises. A Knowledge Banking Private Group on top of the public 

group enables individuals or enterprises to create a reference hub for collaboration 

restricted to the members they choose. Knowledge Banking Private Groups have the 

same social media aggregation capabilities as the public group, but they add proprietary extensions for security across sources. Every individual who logs in starts with a 

“personal space” Private Group for themselves, but they can create others as needed. 
Bridging the Gap

111

Individuals might create a Private Group just for their family members or other private 

networks for whatever purpose. For enterprises, the Private Groups can be used for 

whatever kind of collaboration they want restricted to their employees or partners.

Knowledge Banking Private Groups provide for four levels of membership: 

Observer, Peer, Leader, and Chair. A member designated as an Observer can see the 

Private Group content, but cannot edit it. A member designated as a Peer can edit 

the Private Group fully. A member designated as a Leader can manage the various 

functions of the Private Group including the ability to invite or remove members. The 

originator of the Private Group is called the Owner and Chair. A Chair has the added 

ability to close down the entire Private Group and can also designate other Chairs. 

There is no limit to the number of Chairs or Leaders in a Private Group.

Social Media

Users & Apps

People Off-line

(TV, Radio, Newspaper, Landline,

Highway Signs, Word of Mouth)

Crisis Mgmt

Groups & Apps

Peer-Production

Information

Community, Content, Collaboration, Commerce

Enterprise

Information

Private Groups

Enterprise Groups

Public Groups

Figure 1. Integrating Social Media & Enterprise Info 

thru Open & De Facto Standards

Source: Benchmarking Partners (2011)

Secure Private Groups for community, content, collaboration, and commerce 

can be demanded by virtually any personal or professional scenario. For example, 

an international relief organization and an international retailer have both worked 

with Knowledge Banking to create Private Groups that could be used with internal 

systems at the international, national, regional, and local levels to engage communities with social media to improve emergency response. Use begins at the individual 

level because each person within the respective ecosystem can create a personal space 

for themselves as secure storage of their professional data (for example, user profiles, 

passwords, skills, certifications, etc.). This array of Personal Spaces, Private Groups, 

as well as Public Groups on the open Internet, enables the entities to respond more 

effectively during an emergency because the user experience would be the same whether 

someone is using the platform for their needs at work or their personal needs outside 
Rybeck

112

of work. Likewise, training becomes more efficient since most young people start their 

careers already knowing how to use the popular social media tools that make up the 

Knowledge Banking user interface. Ideas for process innovation multiply because of 

the platform’s every day/all day use. For any particular Comprehensive Approach 

environment, innovation and integration will take place in the context of the specific 

proprietary and international standards that apply.

Enterprise Information Icon Key

Databases (for example, Enterprise Resource Planning, etc.) consist of organized collections of data for one or more uses, typically in digital form.

•	 RSS (most commonly expanded as Really Simple Syndication) is a family of 

web feed formats used to publish frequently updated works—such as blog 

entries, news headlines, audio, and video—in a standardized format.

•	 Keyhole Markup Language (KML) is an XML-based language schema 

for expressing geographic annotation and visualization on Internet-based, 

two-dimensional maps and three-dimensional Earth browsers. KML was developed for use with Google Earth, which was originally named EarthViewer 

3D.

•	 ESRI Shapefiles or simply a shapefile is a popular geospatial vector data format 

for geographic information systems software. It is developed and regulated by 

ESRI as a (mostly) open specification for data interoperability among ESRI 

and other software products. ESRI is a software development and services 

company providing Geographic Information System (GIS) software and 

geodatabase management applications.

•	 Google Earth is a virtual globe, map, and geographic information program 

that was originally called EarthViewer 3D, and was created by Keyhole, Inc., 

a company acquired by Google in 2004. It maps the Earth by the superimposition of images obtained from satellite imagery, aerial photography, and 

GIS 3D globe.

•	 Bing Maps Platform (previously Microsoft Virtual Earth) is a geospatial 

mapping platform produced by Microsoft. It allows developers to create applications that layer location-relevant data on top of licensed map 

imagery. The imagery includes samples taken by satellite sensors, aerial 

cameras (including 45-degree oblique “bird’s eye” aerial imagery licensed from 

Pictometry), Streetside imagery, 3D city models, and terrain.

Open Source Innovation with Proprietary Security Extensions

Knowledge Banking’s open source (Wikipedia, 2011:e) methodology enables anyone 

to “wikify” (Wikipedia, 2011:f) their specific content along with Wikipedia to create a 

secure referenced model that provides a private Internet reference page for any topic. 
Bridging the Gap

113

By expanding on MediaWiki, the underlying open software for Wikipedia, Knowledge 

Banking enables users to build on a de facto standard in content management software. 

The expansion of MediaWiki makes each of these data sources available to authorized 

members on the system. However, a combination of open source and proprietary 

security extensions to MediaWiki secure Wikipedia and any other social media or 

data sources so that they never bleed from one to another.

Further expansion of MediaWiki allows live data feeds to be “semantically 

wikified” (Wikipedia, 2011:g) which converts data into wikitext documents with 

parameter driven properties. The result transforms any static text document into a 

database “form” with parameters set by the enterprise and its partners according to 

their specific needs. The wikified forms enable these automated or manual data feeds 

to populate metrics dashboards from the real-time execution data in the field. These 

metrics dashboards can be applied across a portfolio of interdependent data feeds, 

providing transparency, responsiveness, and accountability that spurs innovation 

among any group members.

Benefits of expanding MediaWiki and its extensions:

•	 open source, platform neutral

•	 massively scalable as demonstrated by Wikipedia

•	 simple integration with legacy systems, enterprise systems, and data feeds 

from any source

•	 simple integration to open source extensions for commerce

•	 simple application programming interfaces (Wikipedia, 2011:h) to personal 

and professional social networks

•	 support for automated and user-generated content and links

•	 support for automated and user-generated analytics and ad hoc queries

•	 ubiquitously accessible through any browser

•	 ability to add WYSIWYG (What You See Is What You Get) editing

•	 computer security at whatever level necessary.

Helping the Web Evolve

Beyond the contribution Knowledge Banking can make during emergencies, this 

effort is part of a larger movement to expand the societal impact of MediaWiki, 

Wikipedia, and other open source technology. Wikipedia and its underlying open 

source infrastructure, MediaWiki, already stand as an unrivaled de facto standard for 

global encyclopedic reference and content management. The underlying MediaWiki 

software is scalable enough that its largest enterprise user after Wikipedia itself is the 

U.S. Intelligence Community’s Intellipedia (Wikipedia, 2011:i) for government-wide 

information sharing and collaboration. This community transformation to a very 
Rybeck

114

low-budget MediaWiki approach had to get past huge resistance from the entrenched 

budget owners and software vendors in the Washington, DC, area who were used 

to comparatively high-budget spending. The Wikipedia/MediaWiki duo won out 

because they offered unprecedented advantages: they are free, ubiquitous, massively 

scalable, used by over 400 million users in over 200 languages, and build on software 

that is maintained and extended every day by thousands of open source programmers 

around the world.

As a whole, however, the private and public sectors typically underestimate 

Wikipedia and MediaWiki as nothing more than a nonprofit Encyclopedia Britannica. 

The underestimation comes easily since Wikipedia defines itself as an online encyclopedia as shown in figure 2 above; and that definition led Wikipedia to become the fifth 

busiest site in the world based on Internet traffic. Moreover, media attention tends 

to “follow the money,” and Wikipedia/MediaWiki are maintained by volunteers and 

owned by the nonprofit Wikimedia Foundation (Wikipedia, 2011:j) which precludes 

itself from commercial involvement. (The Wikipedia content itself is made available 

under the GNU Free Documentation License [Wikipedia, 2011:k] which allows for 

redistribution for any purpose as long as certain conditions are met. For example, derivative works must also support the GNU Free Documentation License and sources 

must receive attribution.)

Nevertheless, the notion that Wikipedia/MediaWiki are merely an encyclopedia 

infrastructure is misguided in the same way that conventional wisdom once saw the automobile and its combustion engine as a horseless carriage. Wikipedia and MediaWiki 
Bridging the Gap

115

would be more accurately characterized as two of the most important advances in open 

source computing after the World Wide Web itself.

World Wide Web and Wikipedia as the 

Watershed Moments in Open Source

Several noteworthy advances in open source occurred over the years since the creation 

of the World Wide Web, from Mosaic to Linux to OpenOffice. But in each case their 

contribution has either been quickly eclipsed by a proprietary alternative as in the case 

of Mosaic and Netscape; or more commonly, the open source contribution itself was a 

copy of something that was already entrenched from a proprietary vendor (for example, 

Linux desktops and OpenOffice as they relate to Microsoft Windows and Office).

None of these facts take away from these other open source contributions. 

However, Wikipedia breaks out of that open source mould. Although it began in 2001 

leveraging the latest available, out-of-copyright version of the Encyclopedia Britannica, 

any connection to Britannica is long gone. For example, Britannica is less than one 

tenth the size, considered off-limits to users who might want to edit, correct, or add 

to Britannica articles, and missing any notion of the user-generated links that are the 

basis of MediaWiki and Wikipedia. Moreover, even the highly respected scientific 

publication, Nature, found the quality of Wikipedia and Britannica nearly equal.

Today, Wikipedia is in a class of its own. So far, there is no “other Wikipedia” 

that has anything like Wikipedia’s unprecedented worldwide adoption, participation, depth, or continual improvement. Likewise, there has never been a collaborative 

infrastructure like Wikipedia’s MediaWiki as measured by its simplicity, ubiquity, 

and massive scalability.

Yahoo and Google Roles vis-à-vis Wikipedia and MediaWiki

Historically, two of the approaches for organizing information on the Internet have 

been categorization into directories and search using algorithms and natural-language 

processing. Yahoo’s late 1990s effort to hire a team that manually categorized the web 

into common sense web directories made Yahoo a Wall Street darling. But Yahoo’s 

current troubles and the rise of Google came from the fact that no top-down categorization of the web will ever suffice when the web’s knowledge universe is so big and 

interrelated.

Google seized on the structural failure of top-down taxonomies by indexing the 

web and then letting search happen from the bottom up. Google gave searchers the 

most relevant locations that might answer a query by ranking each page on the Internet 

using Google’s secret, link-based PageRank algorithm that the founders developed at 

Stanford and license from Stanford back to the company. Rather than invite the community to categorize the web, Google mainly invites individuals to ask any question 

and then the secret algorithm returns a prioritized list of the relevant locations where 

the individual can find the answer. The upside has been tremendous, making Google 

an everyday part of the Internet for most users. For common queries, the downside 
Rybeck

116

is that millions of answers tend to come back for an individual to cull through for the 

context-specific information wanted (for example, John Deere the person vs. John 

Deere the tractor) from unconnected and often unfamiliar and unreliable sources.

Google indexes the web

Wikipedia gives a reference internet 

page to anything encyclopedic

MediaWiki Expansion gives an internet

reference page to any thing, being, space,

activity, event, idea, or relationship

Expansion

Figure 3. Wikipedia & MediaWiki Expansion’s Role 

in the Evolution of the Internet

Source: Benchmarking Partners (2011)

Enter Wikipedia. As shown in figure 3, the explosion of user-generated reference 

through Wikipedia allowed for a third approach for organizing information on the 

Internet. Wikipedia’s position as the world’s reference, and the resulting collection of incoming links, causes its articles to be returned in the first page on the majority of Google 

searches. Moreover, many people begin navigating through Wikipedia when they want 

to understand all the meaningful information linked to some topic, as opposed to going 

to Google when they want to see all the sites with information related to that topic.

Today, Wikipedia’s cultural and technical combination gives an Internet reference 

page to anything encyclopedic. This contribution of Wikipedia is a watershed moment in 

open source, arguably unequaled since the introduction of the World Wide Web by Tim 

Berners-Lee (Wikipedia, 2011:l). Ultimately, the expansion of Wikipedia/MediaWiki 

could provide an Internet reference page to any thing, being, space, activity, event, idea, or 

relationship. In this solar system, search increasingly acts as an essential service that orbits 

around an expanding sun-like reference model of user-generated, meaning-based links.

Google will be an important partner in this expansion as it and other search engines continually evolve to combine the best of machine-based algorithms with context 

that can best be added by peers who understand the nuance of which meaning they 

want. For example, “civil war” in a particular use is a concept of civil war vs. the “civil 

war in the U.S. from 1861–1865” vs. the “civil war in England from 1642–1651” or any 

other examples of each “civil war” throughout history around the world. In each case, it 

suffices to write “civil war” as long as the expression is backed up by a peer-produced, 

meaning-based link that connects to the appropriate meaning in that context. Each 

individual who creates that link knows the context and can link it accordingly using a 

common social and technical protocol.
Bridging the Gap

117

How are Wikipedia and MediaWiki expanding to meet this demand? An increasing flow of extensions to the open source content and software of Wikipedia and 

MediaWiki are meeting the demand for integrated, secure, global social networking 

described above. Specifically, these extensions expand Wikipedia to compensate for 

Wikipedia’s restrictions against non-encyclopedic and organization-specific content, 

ratings and rankings of all content and contributors, secure permissions management, 

commerce capabilities, and a standard word processing editor. The result, which 

Knowledge Banking aims to accelerate (see table 1), will be a global, multi-language, 

bottom-up, open source-based, Private Group infrastructure that broadens the community already brought together by Wikipedia, Google, Facebook, Twitter, and the 

range of social media.

Table 1. Customer Priorities for Expanding Wikipedia 

Requirements

Original Content No Yes

Mandatory log-in by contributors for accountability No Yes

Secure Permissions and Identity Verification No Yes

Secure public and private collaboration No Yes

Commerce No Yes

Removal of slander from the history pages No Yes

Ratings & rankings for each contributor No Yes

Commercial Content No Yes

Product/services ratings & rankings No Yes

Biographic or organizational profiles judged not to be globally 

notable No Yes

Contributions by parties related to the content even if identified; 

non-neutral point of view No Yes

Easy-to-use, multi-source integration of social networks, microblogs, video, web news & photo sharing, chat, & other apps No Yes

Advertising No Yes

Source: Benchmarking Partners (2011)

Enabling Secure Mashups

At a technical level, expanding Wikipedia and MediaWiki combined with Google, 

Facebook, Twitter, YouTube, and all the other social media will create the ultimate 

mashup of the entire Internet for every conceivable use from global and local research 

to emergency delivery of goods and services. To guard against the inevitable misuse 

of these mashups, additional MediaWiki extensions and social protocols can create 

secure mashups like those enabled by Knowledge Banking and others. Secure mashups 

reinforce privacy and civil liberties protection for individuals and organizations to allow 
Rybeck

118

for everyday safe and ad hoc conglomeration of various data sources and applications 

without taking away each person’s control over how their sensitive information may 

be used by others.

Pragmatically Addressing the Semantic Web

In 1999, according to Wikipedia, 

Tim Berners-Lee originally expressed the vision of the Semantic web as follows: 

“I have a dream for the Web [in which computers] become capable of analyzing 

all the data on the Web—the content, links, and transactions between people 

and computers. A ‘semantic Web’ which should make this possible, has yet to 

emerge, but when it does, the day-to-day mechanisms of trade, bureaucracy and 

our daily lives will be handled by machines talking to machines. The ‘intelligent’ 

agents” people have touted for ages will finally materialize.” (Wikipedia, 2011:m)

Wikipedia and MediaWiki help make a pragmatic realization of that vision possible 

by adding in the human element of peer produced, meaning-based linking that goes 

beyond what machines could have done on their own. The Wikipedia and MediaWiki 

platform does not offer the elegant object-oriented methodology that underlies Tim 

Berners-Lee’s theory of the semantic web. But in the “keep it simple” spirit, meaningbased linking is strongest when each individual around the world has the chance to 

contribute their creative force. For better or worse, worldwide involvement demands a 

much simpler model than the complex theoretical structures that make up most predictions for the advent of the semantic web. Wikipedia and MediaWiki offer that simplicity 

and provide the “primordial ooze” (Wikipedia, 2011:n) out of which the world could 

progress much faster toward Tim Berners-Lee’s goal than he may have ever imagined.

Conclusion

Official systems and community systems need a way to come together in Comprehensive 

Approach environments. Supply chain systems share this need with every other application area. Knowledge Banking brings together social media with specific emergency 

response applications such as Ushahidi to bridge the gap by supporting Private Groups 

that are secure and separate, but can exchange information with each other and with 

public hubs as appropriate. Approaches like Knowledge Banking will continue to evolve 

in the field. However that progress develops, the catalyst for success will be finding ways 

to engage the world’s collective resources of individuals, nonprofits, governments, and 

businesses who can help. Practicing this “everyday” multi-sector engagement will be a 

critical enabler to support Comprehensive Approach environments.

References

FEMA. (2010) Craig Fugate at Harvard. [Video] Available from: http://www.

youtube.com/watch?v= AKiX_DmGTJw&feature=player_embedded [Accessed 

4th May 2011]
Bridging the Gap

119

nocommenttv. (2011) Tents come down in Tahrir Square clean-up—no comment. 

[Video] Available from: http://www.youtube.com/watch?v=TKROVFa5LzU&fe

ature=player_embedded [Accessed 4th May 2011]

Wells, L. II, Pudas, T., and McNitt, B. (2011) International Transformation Chairs 

Network Conference: Linking NATO Capacity to Local Stakeholders (Draft)

Wikipedia. (2011: a) Social Media. [Online]. Available from: http://en.wikipedia.org/

wiki/Social_media [Accessed 4th May 2011]

Wikipedia. (2011: b) Enterprise applications. [Online]. Available from: http://

en.wikipedia.org/wiki/Enterprise_applications [Accessed 4th May 2011]

Wikipedia. (2011: c) Amazon’s Mechanical Turk. [Online]. Available from: http://

en.wikipedia.org/wiki/Amazon_Mechanical_Turk [Accessed 4th May 2011]

Wikipedia. (2011: d) Enterprise resource planning. [Online]. Available from: http://

en.wikipedia.org/wiki/Enterprise_resource_planning [Accessed 10th May 2011]

Wikipedia. (2011: e) Open source. [Online]. Available from: http://en.wikipedia.org/

wiki/Open_source [Accessed 4th May 2011]

Wikipedia. (2011: f) Wikify. [Online]. Available from: http://en.wikipedia.org/wiki/

Wikify#Wikify [Accessed 4th May 2011]

Wikipedia. (2011: g) Semantically wikified. [Online]. Available from: http://

en.wikipedia.org/wiki/Semantic_MediaWiki [Accessed 4th May 2011]

Wikipedia. (2011: h) Application programming interfaces. [Online]. Available from: 

http://en.wikipedia.org/wiki/Application_programming_interface [Accessed 4th 

May 2011]

Wikipedia. (2011: i) Intellipedia. [Online]. Available from: http://en.wikipedia.org/

wiki/Intellipedia [Accessed 4th May 2011]

Wikipedia. (2011: j) Wikimedia Foundation. [Online]. Available from: http://

en.wikipedia.org/wiki/Wikimedia_Foundation [Accessed 4th May 2011]

Wikipedia. (2011: k) GNU Free Documentation License. [Online]. Available from: 

http://en.wikipedia.org/wiki /GNU_Free_Documentation_License [Accessed 4th 

May 2011]

Wikipedia. (2011: l) Tim Berners-Lee. [Online]. Available from: http://en.wikipedia.

org/wiki/Tim_Berners-Lee [Accessed 4th May 2011]

Wikipedia. (2011: m) Semantic Web. [Online]. Available from: http://en.wikipedia.

org/wiki/Semantic_Web [Accessed 4th May 2011]

Wikipedia. (2011: n) Primordial ooze. [Online]. Available from: http://en.wikipedia.

org/wiki/Abiogenesis [Accessed 4th May 2011]

Part 3

Leadership, Management, 

Education, and Training and the 

Comprehensive Approach
122

All organizations need to be led and managed. It is relatively easy to identify those 

that are exemplars of good or bad practice, as reflected in their performance, but 

the majority of organizations live in a twilight zone of getting by, not realizing their 

potential for doing better. This reinforces the importance of educating and training, 

for both the leaders and staff, and of exercises to reinforce the education and training 

to change actual behaviors.

There are many schools/theories of leadership, ranging from the “great man 

theory” to “situational leadership theory” to “contingency theory” to “participative 

theory” to “behavioral theory,” to name but a few. Each theory includes a range of 

models and concepts that have been studied, taught, and applied. No single style or 

approach to leadership works for everyone and no single style or approach works for 

every situation. The real skill in leadership is the ability to be able to flex in response 

to the situation and hence to operate on multiple levels, which requires an innate sense 

of what is required at any given point in time. Theories and approaches to leadership 

doubtless will continue to develop in light of the ever-changing nature of the environment within which organizations have to operate.

A recurring theme in change theory is that true transformation needs to incorporate changes across a mix of people, process, organization, and technology. 

Organizations (business, government and civil society) are under enormous pressures, 

driven by globalization, technology, demographics, changes in social norms, and so 

on. As a consequence, the way organizations actually conduct business has changed 

dramatically during the last 20 years. This requires new or different management 

systems and processes which, in turn, may well require new approaches to leadership. 

For example, the explosion in communications technology has spawned a need for 

distributed leadership, which some organizations have been able to implement well 

while others have not.

Leaders and managers need to be able to lead change and also to manage a change 

process within their organizations. Despite many studies, theories, and courses, the 

evidence to date is that organizations are still not very good at delivering change effectively. Three elements need to work together for an organization to maintain its 

competitive position in a commercial setting, or to be able to demonstrate that it is 

operating efficiently and effectively in a public sector setting. First, it must be able to 

develop appropriate and robust strategies. Second, it needs a depth and breadth of 

leadership skills. Finally, it must have the skills and competencies necessary to implement the change(s) associated with the strategy.
123

All too often the focus of a change program is on the systems, structures, and 

strategies while the softer issues associated with the human dimension of change are 

treated almost as an after-thought. Too often it is assumed that such matters will 

happen without leadership or effort on the part of the organization.1

 These tools and 

techniques of change management that are commonly portrayed in the text books need 

to be broadened to encompass the human dimension of change. As Professor Neal 

pointed out in his chapter in section 1, a case can be made that we are dealing with:

Managing change = change management + transition management.

This is not a simple case of playing with words. The fact is that the tools and 

techniques associated with change management can make it sound like a simple management process that can be precisely controlled. However, transition management is 

about taking people on an emotional journey. This is where real leadership skills are 

needed to identify where people are in their emotional journey (not everyone progresses 

at the same speed in such matters) and to respond and support (lead) in an appropriate 

manner to help them over doubts and obstacles.

Education and training need to be an inherent part of the leadership and management strategy. Tendencies to cut these areas when under financial pressure should be 

resisted. The importance of training and education is not lost on the military. When 

it comes to operations under life and death conditions, it is only through rigorous 

training and exercises that the Service personnel can ensure that they know what to 

do, how to do it, and have a clear understanding of why they need to take particular 

actions and when they need to act. The U.S. Professional Military Education (PME) 

establishments and the equivalent Defense Academies and similar institutions in other 

countries have a key role to play in ensuring that a nation’s military has the necessary 

skills, structures, capabilities, and culture to deliver what is demanded of it on either 

the national or international stage.

The Comprehensive Approach requires both training and education at multiple 

levels within organizations and between them. Joint Service organizations have particularly important roles to play to gain traction with the Comprehensive Approach 

concept as they bring together actors from a number of Services and provide a framework to facilitate shared understanding.

With this in mind, the chapters in this section cover leadership and change management, as well as education and training based on the challenge of delivering the 

Comprehensive Approach within a nation’s military or a broader framework such as 

NATO. A particular focus is on the need for civilian as well as military knowledge 

transfer, with all the cultural and budgetary issues that entails. The ultimate goal is 

to change behavior. Until behavior is changed, lessons cannot be said to have been 

learned, only “observed.”

Dr. Richard L. Hughes and his colleagues address “Boundary Spanning Across 

Leadership Cultures,” which demands very different skills from those typically 

found within most large, hierarchical, or government organizations. At the same 
124

time, boundary-spanning approaches are particularly well suited to Comprehensive 

Approach environments.

MG (Ret) Ralph Doughty and Col (Ret) Jon Stull examine the role of education 

in promoting the acceptance of change and revising institutional values. They also look 

at the joint, interagency, and Comprehensive Approach environments.

Wing Commander Neville Gregory and Commodore Richard Menhinick introduce an Australian perspective to multiagency, joint, and transnational education. 

Australia has the advantage of integrated oversight of military education and training. 

They also make the important link to emergency management, which has many elements in common with Comprehensive Approaches.

CDR (Ret) Elizabeth Lape looks at the particular case of the education, training, 

exercises, and cultural change needed to implement UN Security Council Resolution 

1325, which calls for the “full and equal participation of women from early conflict 

prevention to postconflict reconstruction, peace and security.” A particular feature, 

applicable to coalition operations and the Comprehensive Approach, is a study of the 

resolution’s implementation (often not effectively) in Provincial Reconstruction Teams 

(PRTs) in Afghanistan. Greater integration of women should be seen as part of the 

need to bring “greater capacity” to bear in a variety of crisis situations.

Note

1. The Chief Financial Officer of Google, during the Fortune BRAINSTORM 

TECH conference in July, 2011, made a compelling case that Human Resources is 

an essential part of the “people-technology convergence” process that’s going on in the 

business world today. For example, Google considers the 300 commuter bus routes/

day it provides as great investments—the company gets an hour each way of wifi 

engagement from employees, with less parking and less gridlock (but bus contractors 

must bring costs down every 6 months). Free food helps keep employees healthy. 

Google raised salaries by 10 percent last year to signal that they are the workplace of 

choice. They had 600,000 applicants last year (total company size is about 20,000). 
125

Chapter 8

Boundary Spanning Across Leadership 

Cultures: A Leadership Strategy for the 

Comprehensive Approach

Richard L. Hughes, Charles J. Palus, 

Chris Ernst, George G. Houston, and John B. McGuire

Abstract

One obvious, challenging and defining quality of the comprehensive approach is 

the sheer number and diverse nature of organizations engaged in collective effort. 

Effectively leading a collective effort across such a myriad of organizational interfaces 

requires very different approaches to leadership than those typically practiced within

large, hierarchical organizations like the military. Thus, a different approach to leadership is called for by the Comprehensive Approach (CA), one that might be called 

boundary spanning across leadership cultures. In fact, boundary spanning leadership 

can be thought of as the ideal leadership strategy for the Comprehensive Approach. 

Notably, it represents the approach taken by senior Department of Defense (DOD) 

and State Department leaders in Iraq in seeking ways to build needed capabilities in 

their teams. This chapter will describe the concept of leadership strategy, the nature 

of boundary spanning leadership, and the kinds of leadership development activities 

designed to develop it.

Introduction

Army General David Petraeus used an oddly anachronistic painting in speaking with 

the troops whom he was soon to take command of in what became widely known 

as “the surge” in Iraq. The painting was The Stampede, painted by Western artist 

Frederic Remington in 1908. It depicts a cowboy in the 1800s riding desperately to 

survive a stampeding herd of cattle panicked by a thunderstorm. As Thomas Ricks 

tells the story in The Gamble, an account of the surge, Petraeus used the painting to 

convey to his subordinates his notion of command: “I don’t need to be hierarchical,” 

he explained. “I want to flatten organizations. I’m comfortable with a slightly chaotic 

environment. I know that it’s okay if some of you get out ahead of us. Some of the cattle 

will get out ahead and we will catch up with them. And some will fall behind and we 
Hughes, Palus, Ernst, Houston, and McGuire

126

will circle back and we won’t leave them behind.... We’re just trying to get the cattle 

to Cheyenne” (Ricks, 2009, p.154).

Across Leadership Cultures

The Center for Creative Leadership (CCL) was invited to Iraq in 2010 

by the Commander of U.S. Forces-Iraq and the U.S. Ambassador in 

Iraq to facilitate a combined vision development seminar, and to mentor and teach boundary spanning techniques. These techniques were in 

service of implementing effective interdependent practices between two 

proven but culturally different organizations in order to achieve a common 

goal for the United States and Iraq. In the intervening months, CCL has 

continued to receive positive feedback regarding the seminar and its impact.

Non-disclosure and confidentiality prevent us from describing the specific processes and outcomes of the Iraq U.S. Forces and U.S. Ambassador boundary 

spanning case. Given the nature of CCL’s work, we often hold confidentiality 

agreements with our clients. As such, the comments in this chapter are a general 

view of the relevant theory, research, and some typical practices, and not a specific commentary on the Iraq case. In our research and applied practice, we have 

developed a number of insights and questions regarding boundary spanning 

across cultures within an interdependent world. In this article, we discuss the 

theory of boundary spanning and the importance and role of developing a leadership strategy for spanning different organizational and institutional cultures.

Leadership Challenges in a Comprehensive Approach

The chaos of a stampede is an apt metaphor for the challenging environments facing 

many organizations, and certainly for NATO leaders collectively trying to implement a 

comprehensive approach to global security challenges, including conflict resolution and 

stability operations. A Comprehensive Approach to global security challenges attempts 

to align the work of the relevant actors across a complex set of boundaries. Petersen 

and Binnendijk made this case for a CA in 2007:

Experience has shown that conflict resolution requires the application of all 

elements of national and international power—political, diplomatic, economic, 

financial, informational, social, and commercial, as well as military. To resolve conflicts or crises, the North Atlantic Treaty Organization (NATO) 

should adopt a Comprehensive Approach that would enable the collaborative 

engagement of all requisite civil and military elements of international power 

to end hostilities, restore order, commence reconstruction, and begin to address a conflict’s root causes. NATO can provide the military element for a 

comprehensive approach. Many other national, international, and nongovernmental actors can provide the civilian elements. (Petersen & Binnendijk, 2007:1)

The leadership challenges inherent in a CA become apparent even in a cursory 

look at the kinds of interactions among diverse parties inherent in the approach. One 
Boundary Spanning Across Leadership Cultures

127

way to understand the distinctive nature and challenge of a comprehensive approach 

to stability operations is to conceptualize it as the outermost ring in a set of concentric 

circles representing increasingly complex and heterogeneous sets of organizational 

actors. For example, while proficiency in joint operations is itself a notable DOD 

achievement, more recent efforts to take a whole-of-government approach integrating 

the work of all departments and agencies (that is, not just military) have taken that 

challenge to a new level. Further extending the set of organizational actors to include 

civilian and military agencies from other governments, not to mention other private 

sector and nongovernmental organizations, complicates the process almost seemingly 

beyond the realm of feasibility.

Needless to say, the leadership challenges inherent in a comprehensive approach 

are daunting. What’s more, the challenges are not only daunting in and of themselves, 

but likely even more so since they demand perspectives, skills, and practices previously 

not deemed essential to leadership in a large, hierarchical, and traditional organization like the U.S. Army, for instance. And since they were not essential—not “core 

competencies”—such perspectives, skills, and practices generally would not have been 

needed, encouraged, or practiced. But just as with other large, formal, hierarchical, and 

tradition-laden organizations in government (for example, the U.S. Post Office) and in 

the private sector (for example, automobile manufacturing companies) whose culture 

and practices may have been well-adapted to competitive environments that were relatively stable and predictable, those same cultures and practices are not optimally suited 

for environments that are highly volatile, uncertain, complex, and ambiguous (VUCA).

Take the practice of collaboration as a case in point. Collaboration in some form 

or other is practiced in virtually all organizations, but the phrase “some form or other” 

proves to be the catch. It turns out that what collaboration means in some settings may 

be quite different than what it means in other settings.1

 A critical distinction should 

be made between what has been called simple collaboration and complex collaboration. The distinctions are highlighted in table 1 (Mankin, Cohen, & Fitzgerald, 2004; 

Hughes & Palus, 2005).

With simple collaboration, tasks are routine and well defined. They are predictable 

and manageable, and the procedures for addressing them are well understood. On the 

other hand, complex collaboration is characterized by tasks that are non-routine and 

highly uncertain. The simplest form of collaboration is between just two people, and 

it becomes more complex when multiple people are involved. Furthermore, it is not 

just the number of people that impacts the nature of collaboration. Greater diversity 

among parties also increases its complexity, whether it’s diversity across points of view, 

personalities, values, loyalties, or other differences. Differences in goals and objectives 

significantly increase the complexity of collaborative efforts, and it is simpler and 

easier (relatively speaking) when the parties can meet face to face. Collaboration is also 

obviously more challenging when the very conditions in which the parties are trying 

to work are themselves in flux.
Hughes, Palus, Ernst, Houston, and McGuire

128

Table 1: Simple and Complex Collaboration

Simple Collaboration Complex Collaboration

Well-defined task High task uncertainty

Two people Multiple people

With much in common Diverse

Common goals Different goals and agendas

Face to face Virtual interaction

Stable conditions Dynamic conditions

In the case of a Comprehensive Approach, collaboration becomes even more 

complex because of the sizable number of different agencies (not just “multiple people”) 

having diverse agendas, interests, constraints, and perspectives. That added complexity 

may be better conveyed with the diagram in figure 1 than with words (adapted from 

FM 3–07, Stability Operations, October 2008: A-14).

Military Forces

International and

Regional Organizations

Private Sector

Nongovernmental

Organizations

Intergovernmental

Organizations

Other Government

Agencies

Civil–Military

Operations Center

Figure 1. A Schematic Representation of the 

Comprehensive Approach

Furthermore, the very nature of the Comprehensive Approach represents rather 

extreme conditions of all dimensions of VUCA as well. Amid such challenging conditions, there fortunately are fundamental and well-accepted strategic principles 
Boundary Spanning Across Leadership Cultures

129

that point diverse parties in a desired direction (Guiding Principles, 2009). While 

developed to serve as strategic doctrine for civilians engaged in peacekeeping missions, 

these fundamental principles are consistent with official guidance documents on international stabilisation and reconstruction missions, and constitute a kind of strategic 

intent for a comprehensive approach. The principles include:

•	 Interdependence, or the idea that “everything is connected to everything 

else.” The desired end states for a comprehensive approach are part of an 

interlocking “systems of systems.” For example, maintaining the rule of law 

requires assuring a safe and secure environment; that, in turn, requires a 

sustainable economy, which depends upon having stable governance, which 

itself is dependent upon overall social well-being and rule of law, and so on.

•	 Cooperation, the idea that different actors can have somewhat different 

agendas yet still share a common strategic vision and work together toward 

the same goal.

•	 Prioritization, because in most societies emerging from conflict there are 

competing demands that exceed available resources. While priorities must 

be established, they also must remain flexible.

•	 Nesting, in which short-term objectives are nested in longer term goals. For 

example, the need to establish order may require the early engagement of 

international police, but this should be nested in longer term objectives for 

law enforcement ultimately to be the province of local rather than international police.

•	 Flexibility of Sequencing and Timing that is dependent upon context and 

changing conditions. Constant learning and calibration of strategies are 

required because the circumstances in any particular country will always be 

dynamic.

•	 Measurement of Progress, using a system of metrics that helps to translate 

lofty goals into measurable outcomes.

As noted, these fundamental principles give parties to a Comprehensive Approach 

a kind of strategy for their shared work. On the other hand, they provide relatively 

little helpful direction about how these parties should work together in ways that foster 

collective progress in this shared strategic direction. To put it differently, what does it 

“look like” when people truly behave interdependently across the boundaries of their 

different agencies, interests, and perspectives? And what kind of leadership does it take 

to encourage and enable such diverse parties to behave that way? These questions make 

it useful for us now to examine the differences between what has been called business 

strategy and leadership strategy.
Hughes, Palus, Ernst, Houston, and McGuire

130

Business Strategy and Leadership Strategy

Let us be clear at the outset that what we mean by the term business strategy applies 

to all organizations, not just those in the private or corporate sector. In that sense, all 

organizations have a business strategy (not necessarily a good one), including government agencies, military organizations, churches, charities, etc. When most people 

talk about their organization’s strategy, what they have in mind is what we are calling 

the organization’s business strategy. Thus, while it is easy enough to understand that 

General Motors and General Electric have business strategies, we are also saying that 

so does the Red Cross, the Central Intelligence Agency, and NATO. The general 

applicability of the term may be easier to appreciate when we define it more precisely: 

“Business strategy is the pattern of choices an organization makes to achieve sustainable 

competitive advantage” (Hughes & Beatty, 2005: 28). In all organizations, whatever 

the sector, strategy involves a pattern of choices reflected in different parts of the overall operation. In the business sector, for example, if being a high-quality provider is a 

critical element of an organization’s strategy, then investments related to quality would 

be apparent wherever you look. Product design would include high-end features; customer service would be fully staffed with highly capable and knowledgeable workers; 

the sales force would assure a personal touch with customers, and so on. As we have 

indicated, it is useful to distinguish the idea of a leadership strategy from that of a 

business strategy. We will shortly explain why the distinction is so important, but first 

let us define more precisely what we mean by the term leadership strategy. “Leadership 

strategy describes the organizational and human capabilities needed to enact the business strategy effectively” (Hughes & Beatty, 2005: 28). More fully:

Leadership strategy represents an organization’s strategic intent about leadership, 

including its philosophy, values, and general approach to leadership and leadership 

development. Leadership strategy encompasses matters of organizational values 

and culture as well as the role of systems in facilitating leadership and leadership 

development throughout the organization. It also includes the organization’s 

strategy for developing the effectiveness of individual leaders and strategic leadership teams. (Hughes & Beatty, 2005: 35; see also Pasmore & Lafferty, 2008)

With this background on what a leadership strategy is, we now are in a better 

position to tackle the question of why the distinction between business strategy and 

leadership strategy is so important. Some of the most dramatic evidence concerning 

the importance of having a clear leadership strategy comes from those cases where it 

was absent. On many occasions this was the primary cause of failure in organizational 

transformation efforts.

The record of successful organizational transformations over the past several 

decades is fairly dismal—only about one in four is successful (Beer & Nohria, 2000a, 

2000b; Hirschorn, 2000; Roberto & Levesque, 2005). An examination of many of 

these attempted transformations indicates that most involve either exclusive or primary 

emphasis upon changes in organizational structure, systems, or processes. Typically 
Boundary Spanning Across Leadership Cultures

131

there is insufficient attention (if any at all) to the leadership and cultural dimensions 

of transformation (McGuire & Rhodes, 2009). In the corporate sector, for example, 

such inattention is considered to be the most common reason for the relatively small 

proportion of mergers and acquisitions which actually performed at levels commensurate with original expectations.

In the business strategies called for in the Comprehensive Approach, this kind of 

inattention to leadership and cultural dimensions is also typical. In our experience, it 

is specifically the leadership cultures of the organizations and institutions (communities, etc.) that must be recognized and compared for fit and function to the business 

strategy. The leadership culture is the web of shared beliefs and practices for producing 

effective leadership in a collective of any kind. In a sense this is the “operating system” 

for leadership; it is the “logic in action” for producing shared direction, alignment, and 

commitment. Leadership culture tends to be stable over time, as culture tends to be. 

Leadership cultures vary widely between collectives, and they vary within organizations as subcultures of shared leadership beliefs and practices. When organizations 

with very different leadership cultures attempt to work together, the result can be 

conflict and dysfunction, as the operating systems refuse to synch, and the underlying 

logics disagree.

We believe leadership strategies suited to the Comprehensive Approach must 

address this variability in leadership cultures. Such a leadership strategy must necessarily include a greater capability for recognizing and spanning the boundaries of 

leadership cultures.

Let us look more closely at the three kinds of culture that are inevitably involved. 

There is a hierarchy of leadership cultures from Dependent, to Independent, to 

Interdependent (figures 2 and 3). Each successive culture is more capable of dealing 

with greater volatility, uncertainty, complexity, and ambiguity.

It is usually a mistake to reduce an entire organization into a single type of culture. 

Typically there are many subcultures, representing different leadership logics. For 

example, even within a dependent leadership culture the typical subcultures range 

from autocratic to diplomatic to specialist-expert leadership subcultures (McGuire 

& Rhodes, 2009; Rooke & Torbert, 2005).

People in authority are

responsible for leadership

Dependent

Leadership emerges out 

of individual knowledge 

and expertise

Independent

Leadership is a 

collective activity

Interdependent

Figure 2. Three Levels of Leadership Culture
Hughes, Palus, Ernst, Houston, and McGuire

132

Figure 3. Three Levels of Leadership Culture and the Production of Direction, 

Alignment, and Commitment

Direction Alignment Commitment

How will we decide 

on a shared 

direction?

How will we 

coordinate our 

work, so that it fits 

together?

How will we maintain 

commitment to the 

collective?

Interdependent

Agreement on 

direction is the 

result of shared 

exploration and the 

emergence of new 

perspectives.

Alignment results 

from ongoing mutual 

adjustment among 

system-responsible 

people.

Commitment results 

from engagement 

in a developing 

community.

Independent

Agreement on 

direction is the 

result of discussion, 

mutual influence, 

and compromise

Alignment results 

from negotiation 

among selfresponsible people.

Commitment results 

from evaluation of 

the benefits for self 

while benefiting the 

larger community.

Dependent

Agreement on 

direction is the 

result of willing 

compliance with an 

authority.

Alignment results 

from fitting into the 

expectations of the 

larger system.

Commitment results 

from loyalty to the 

source of authority 

or to the community 

itself.

We often do a simple series of exercises as part of the discovery phase of setting 

leadership strategy. Using the model in figure 3, we ask: Where is your organization 

overall? (And, where are you personally?) Where does the leadership culture need to be to 

support the business challenge? How do you (will you) produce shared direction, alignment, 

and commitment? What are the leadership cultures of the organizations or institutions with 

whom you must collaborate? How will differences in leadership culture affect the collaboration? How will you span those boundaries? These questions are, of course, all about 

leadership and leadership development within a nascent leadership strategy.

As the forms, types, and size of leadership cultures expand within a CA, boundary 

spanning practices become increasingly critical for strategy implementation.

Boundary Spanning Across Leadership Cultures

Boundary Spanning: Art and Theory

Boundary spanning is an approach developing more interdependent organizations 

and networks of organizations based in a long-term research project at the Center 

for Creative Leadership (Ernst & Chrobot-Mason, 2010). Its premise is that while 

technology has enabled a truly interconnected world and effectively removed physical

boundaries as a barrier to effective interaction, our social boundaries remain as formidable as ever. The social boundaries by which people naturally separate themselves 
Boundary Spanning Across Leadership Cultures

133

into groups of “us” and “them” thwart finding effective solutions to problems that can 

only be solved by groups working collaboratively together.

For example, it has become nearly axiomatic in organizations today that it is important to “break down silos.” In a recent survey, 86 percent of senior executives said 

that it is extremely important for them to work across boundaries yet only 7 percent 

believe they are very effective at doing so (Yip, Ernst & Campbell, 2009). Building 

more interdependent organizations and societies requires that boundary spanning be 

practiced both within and across organizations. A useful starting place for doing so is 

to recognize that there are two different meanings of the word boundary:

1. Something that indicates bounds or limits; a border.

2. Also called frontier. The location of the most advanced activity in an area.

(Random House Dictionary, 2009)

The second definition is the more useful one for fostering greater interdependence 

in organizations. Boundary spanning leadership can be taught when boundaries are 

viewed as frontiers and areas of advanced activity. Recent research shows that effective boundary spanning leadership is possible with the right frameworks, strategies, 

practices, and tactics. There are five kinds of social boundaries to consider (Ernst & 

Chrobot-Mason, 2010):

•	 Vertical: rank, class, seniority, authority, power, structural.

•	 Horizontal: expertise, role, function, peers, competitors.

•	 Stakeholder: partners, sponsors, constituencies, value chain, communities.

•	 Demographic: gender, religion, age, ethnicity, nationality, culture, ideology.

•	 Geographic: location, region, markets, distance, language.

Effective boundary spanning is accomplished through six social practices within 

a sequence of three strategies (table 2). The objective, in leadership terms, is the 

creation of direction, alignment, and commitment across boundaries in service of a 

larger vision or goal.
Hughes, Palus, Ernst, Houston, and McGuire

134

Table 2. Boundary Spanning Strategies and Practices

Strategy Practices Definition (with 

outcomes in italics)

1. Managing Boundaries

Taps into the power of 

differentiation and the 

need for distinctiveness, 

divergence, and 

uniqueness within 

groups

Buffering Monitor and 

protect the flow of 

information and 

resources across 

groups to define 

boundaries and 

create safety

Reflecting Represent distinct 

perspectives and 

facilitate knowledgeexchange across 

groups to understand 

boundaries and 

foster respect

2. Forging Common 

Ground

Taps into the power of 

integration and the need 

for unity, convergence, 

and belonging across 

groups

Connecting Link people and 

bridge divided 

groups to suspend 

boundaries and build 

trust

Mobilizing Craft common 

purpose and shared 

identity across 

groups to reframe 

boundaries and 

develop community

3. Discovering New 

Frontiers

Taps into the power 

of simultaneous 

differentiation and the 

power of adaptation and 

transformation

Weaving Draw out and 

integrate group 

differences within 

a larger whole to 

interlace boundaries 

and advance 

interdependence

Transforming Bring multiple 

groups together 

in emergent, new 

directions to crosscut boundaries and 

enable reinvention
Boundary Spanning Across Leadership Cultures

135

Boundary Spanning Across Leadership Cultures: Examples

Each group, whether interorganization or cross-organization, has its own particular 

form of leadership culture that achieves outcomes of direction, alignment, and commitment (DAC) (Drath, McCauley, Palus, Van Velsor, O’Connor & McGuire, 2008). 

Methods and logics of achieving DAC vary across leadership cultures, forming social 

boundaries of differing beliefs and practices that can block collaborative work.

As a practical matter, we offer two illustrations that feature culture, the five boundaries, and the strategies and practices of boundary spanning across leadership cultures:

(1) In law enforcement when borders of jurisdiction are crossed by multiple agencies, buffering is triggered. For example, after a murder has been committed in a Native 

American nation, federal interests collide with local and state police as well as with 

multiple federal agencies—all parties experience vertical, stakeholder, and geographic 

boundary conflicts. As a first step in spanning boundaries, all stakeholders can begin by 

independently practicing buffering, reflecting, and exploring their own vertical hierarchies before connecting and mobilizing. In this illustration, the strategies of managing 

boundaries and then forging common ground are significantly enhanced where leadership cultures are both self aware and other aware as they move through the process.

(2) In a post-merger where the process re-engineering of enterprise-wide systems 

occurs, the primary boundary issues will be horizontal and appear as separate silos of 

activity. Organizations whose leadership cultures look first to hierarchies for direction 

will struggle. While the other four social boundaries will likely play a role, without the 

art of horizontal boundary spanning, these subcultures across the enterprise will resist 

and sabotage effective collaboration.

Boundary Spanning Across Leadership Cultures: Intervention

In our work at the Center for Creative Leadership (CCL), we are frequently asked to 

bring groups together to help them identify, explore, and span their relevant boundaries. We will describe here a generic yet still best-practice design for a boundary 

spanning workshop in which senior leaders from different organizations are engaged. 

Such a workshop would be customized extensively in any particular situation, but the 

basic design that follows is a good example of the theory in practice.

The purpose of the workshop design is to enable two fundamentally different 

leadership cultures to collaborate on some kind of joint objective. Typical objectives 

in such workshops include:

•	 understanding interdependent leadership culture and boundary spanning 

concepts

•	 applying these concepts to develop a shared vision, common language, and 

unified set of goals and metrics

•	 accelerating the development of an interdependent environment between 

our organizations.
Hughes, Palus, Ernst, Houston, and McGuire

136

This one- or two-day workshop design typically follows the three-part strategy 

for boundary spanning, with Managing Boundaries in session one, Forging Common 

Ground in session two, and Discovering New Frontiers in session three.

Prior to the day of the session, there is typically a period of discovery that includes 

interviews and conversations individually and in groups with participants in order to 

clarify the history, present state, and future desired states and outcomes. An important 

part of the discovery process is to identify specific difficulties and challenges in crossing 

boundaries between one leadership culture and another.

In session one, the design focuses on differentiating boundaries between the two 

organizations. The two organizational groups meet in separate breakout rooms. The 

instructions are the same for both groups: “Today we begin by meeting in each organization separately in order to clarify and explore your unique organizational needs, cultures, and 

environments.” A brief time is spent putting the idea of boundary spanning leadership in 

a broader set of concepts including organizational transformation, strategic leadership, 

change management, and types of organizational culture (more specifically, dependent, 

independent, and interdependent cultures).

The first activity involves creating a shared vision of achievement within each 

group. Each participant writes a headline of an article they would like to see twelve 

months in the future highlighting the positive results of their work together. The article 

could appear in any publication of their choice. The headlines and themes are shared 

and discussed. Later, when the groups come together in the afternoon, the headlines 

are posted for all to see.

The next activity further defines (“buffers”) each group. We use the Leadership 

Metaphor ExplorerTM (LME) tool to explore the leadership culture each group currently 

has, and what culture is needed in the future to achieve mission objectives. LME is a 

deck of 83 cards, each one containing a unique metaphor for leadership consisting of 

a drawing and a label (several illustrative cards are depicted in figure 4). The cards are 

laid out on a table in the back of the room. Each person is asked to browse the cards 

and choose two that best represent their thoughts on two different questions:

First card: What is your leadership culture like now?

Second card: What will your leadership culture need to be to achieve success?
Boundary Spanning Across Leadership Cultures

137

Figure 4. Illustrative Leadership Metaphor Explorer Cards

Groups members share and discuss their “Now” cards, then their “Future” cards. 

Facilitators then typically create a PowerPoint collage of the thematic card images. 

Often, the pattern of card selections reflects a desired shift toward more interdependent and collaborative leadership cultures.

Another activity in the managing boundaries session uses a tool from CCL called 

the Boundary ExplorerTM. This tool is used to illustrate the concepts, strategies, and 

practices for working successfully across organizational boundaries. Boundary Explorer 

is a deck of 21 cards that actively engages participants in understanding and experiencing the boundary spanning leadership model—the five types of boundaries and the 

strategies and practices shown in table 2. Participants self-assess their own group’s 

effectiveness in working across different kinds of boundaries. More specifically, they 

identified which boundaries they work across Best—that is, vertical, horizontal, stakeholders, demographic, or geographic—as well as those they work across the Worst.

Next is the practice of reflecting—to understand the intergroup boundary by 

sharing cross-organizational perspectives. “Now that we have met within the respective 

groups, it is time to begin knowledge-exchange and perspective-sharing across groups.” For 

this, we often use the technique of fishbowl dialogue. In this technique, the top leader 

of each group sits in the middle of the room along with a facilitator/interviewer. The 

focus of their dialogue is on key insights from the morning sessions: How does each 

group view themselves and their leadership challenges? All the others, from both of the 

groups, sit in an outside circle or semi-circle and practice active listening. After about 

twenty minutes, the two top leaders finish their dialogue and become listeners, as the 

dialogue shifts to all those who had been listening. The group talks about what they 

just heard from their top leaders, how they see themselves, and how each group now 

sees the other. It is often quite insightful to debrief the experience of the fishbowl 

itself: What was it like for subordinates to talk about what they heard from their bosses, in 

front of their bosses? What was it like to discuss your own group in front of the other group?
Hughes, Palus, Ernst, Houston, and McGuire

138

The next activity deals with the practice of connecting—suspending boundaries by 

building cross-organizational relationships. With the goal of sharing leadership commitments and building relationships, each participant is asked to take out the “Future” 

Leadership Metaphor card they had selected earlier and “identify a leadership trait that 

represents your personal commitment to creating the future leadership culture. What is the 

type of leadership you will model for others?” A session of “speed networking” follows in 

which participants use their card and trait as a way of introducing themselves to ten 

or so people from the counterpart organization in just ten minutes.

Next is the practice of mobilizing—reframing boundaries by crafting a shared 

vision. Explicit instructions are given to assure that members from the two organizations intermix in where they sit. Each blended table then creates a vision statement 

about their collaborative work that encompasses the themes and patterns identified 

from both morning sessions. For reference, the news headlines from the morning 

are posted around room. Each table group then writes a single headline representing 

their vision and three metrics of how they would measure success in accomplishing 

the headline. Table representatives then provide brief reports to the others about their 

headlines/metrics.

The concluding activity of the session on forging common ground is introduced 

this way: “Given your shared headline, what are the challenges that might get in your way? 

What obstacles are you facing to creating an effective Team of Teams? Write all your 

challenges on the blank butcher paper (posted on walls)—everything that could potentially 

get in the way of realizing your headlines. Use direction, alignment, and commitment as a 

frame for the challenges.” Once the challenges are posted, each participant votes (using 

sticky dots) for the “top three” challenges he or she views as most important. The six 

challenges receiving the most votes overall become the focus of the next session (the 

number of challenges and subsequent table groups may be fewer or greater depending 

on the size of the groups and the nature of the challenges).

The strategy for the final session is discovering new frontiers, and the practice of 

focus for that session is weaving—interlacing boundaries by combining unique experience and expertise in service of solving a joint challenge. The session is introduced with 

these instructions: “In this next section, we want you to bring the maximum diversity of 

your experience and expertise to bear on developing innovative solutions in service of your 

key challenges.” In this activity, the top six challenges are posted next to six tables. 

Participants move to the table that poses the challenge that interests them the most, 

while also maintaining mixed representation at each table. They write down ideas and 

innovative approaches to the challenge. In 10-minute rotations, participants “table 

hop” to build upon and add to the posted ideas—retaining one convener at each table. 

When time is up, everyone votes on the best near-term and long-term solutions for 

each challenge and the groups report the results.

The final practice is transforming—spanning boundaries by reinventing external 

stakeholder relationships. External stakeholders may include, for example, specific customers, suppliers, governmental agencies, nongovernmental organizations (NGOs), 
Boundary Spanning Across Leadership Cultures

139

or partners in a value chain. The senior leaders of each group first get together and 

identify six (or so) specific external stakeholders on which they want to focus. This 

activity repeats the previous table-hopping technique, but this time with each table 

focused on one particular external stakeholder (who are typically not in the room, but, 

depending on the design, they could be). It begins with these instructions: “As a ‘Team 

of Teams’ what are your challenges in spanning boundaries with these external stakeholders? 

How could these challenges be transformed into new solutions? Move to a table with the 

particular external stakeholder that interests you the most.” Facilitated to ensure mixed 

groups at each table, participants identify as many challenges as possible that are specific to that stakeholder group. They also identify as many solutions as possible, and a 

representative from each provides a brief report to all others on their favorite solution.

Conclusion

The CA calls for groups representing different departments of the U.S. Government, 

allied governments, NGOs, international and regional organizations, as well as from 

the private sector to work together collaboratively and interdependently. It would be 

no small thing to work collaboratively and interdependently across the boundaries 

of multiple organizations that are fundamentally alike in their forms of leadership 

culture. The challenge of working effectively across organizational boundaries when 

their respective leadership cultures are markedly different from each other can seem 

insurmountable.

The theory and methodology described in this chapter appear to be a viable and effective approach for helping foster more interdependent and collaborative interactions 

among representatives from organizations with quite different leadership cultures. The 

numerous and complex boundary spanning challenges inherent in the comprehensive 

approach suggest that boundary spanning across leadership cultures is a promising 

leadership strategy for the CA.

References

Beer, M., & Nohria, N. (2000a). Cracking the code of change. Harvard Business 

Review, May/June, 133–141.

Beer, M., & Nohria, N. (2000b). Resolving the tension between theories E and O of 

change. In Beer & Nohria (eds.) Breaking the code of change. Boston, MA: Harvard 

Business School Press, 1–34.

Drath, W.H., McCauley, C., Palus, C.J., Van Velsor, E., O’Connor, P.M.G., & 

McGuire, J.B. (2008). Direction, alignment, commitment: Toward a more integrative 

ontology of leadership. Leadership Quarterly, 19, 635–653.

Ernst, C. & Chrobot-Mason, D. (2010). Boundary spanning leadership: Six practices 

for solving problems, driving innovation, and transforming organizations. New York, NY: 

McGraw-Hill.
Hughes, Palus, Ernst, Houston, and McGuire

140

Ernst, C., & Yip, J. (2009). Boundary spanning leadership: Tactics to bridge social 

identity groups in organizations. In T.L. Pittinsky (ed.), Crossing the divide: Intergroup 

leadership in a world of difference. Boston, MA: Harvard Business School Press, 89–99.

Guiding Principles for Stabilization and Reconstruction (2009). Washington, DC: U.S. 

Institute of Peace and U.S. Army Peacekeeping and Stability Operations Institute.

Hirschhorn, L. (2000). Changing structure is not enough. In Beer & Nohria (eds.), 

Breaking the code of change. Boston, MA: Harvard Business School Press, 161–176.

Hughes, R.L., & Beatty, K. C. (2005). Becoming a strategic leader: Your role in your 

organization’s enduring success. San Francisco, CA: Jossey-Bass.

Hughes, R.L., & Palus, C. (2005). The development of effective collaboration in organizations. A Connected Leadership Project White Paper. Greensboro, NC: Center 

for Creative Leadership.

Mankin, D., Cohen, S., & Fitzgerald, S.P. (2004). Developing complex collaborations: Basic principles to guide design and implementation. In Complex collaborations: 

Building the capabilities for working across boundaries. Beyerlein, M.M., Johnson, D.A., 

& Beyerlein, S.T. (eds.). Oxford, Elsevier JAI, 1–26.

McGuire, J.B., & Rhodes, G.B. (2009). Transforming your leadership culture. San 

Francisco, CA: Jossey-Bass.

Pasmore, W., & Lafferty, K. (2009). Developing a leadership strategy: A critical ingredient for organizational success. Global Organizational Leadership Development 

White Paper Series. Greensboro, NC: Center for Creative Leadership.

Petersen, F.A., & Binnendijk, H. (2007). The Comprehensive Approach Initiative: 

Future Options for NATO. Defense Horizons. September, 58, 1–5.

Ricks, T.E. (2009). The Gamble: General David Petraeus and the American Military 

Adventure in Iraq, 2006–2008. New York, NY: Penguin Press.

Roberto, M.A., & Levesque, L.C. (2005). The art of making change initiatives stick. 

MIT Sloan Management Review, 46(4), 53–61.

Stability Operations, FM 3–07 (6 October 2008). Washington, DC: Headquarters, 

Department of the Army.

Wallace-Ingraham, P., & Getha-Taylor, H. (2004). Leadership in the public sector: 

Models and assumptions for leadership development in the federal government. Review 

of Public Personnel Administration, 24(2), 95–112. Available at: http://handle.dtic.

mil/100.2/ADA351032.

Yip, J., Ernst, D., & Campbell, M. (2009). Boundary spanning leadership: Mission 

Critical perspectives from the executive suite. A Center for Creative Leadership 
Boundary Spanning Across Leadership Cultures

141

Organizational Leadership White Paper. Greensboro, NC: Center for Creative 

Leadership.

Note

1. We use the term collaboration to mean the shared work of different parties to achieve a 

common and challenging goal. The authors also recognize that a quite different definition 

of collaboration is to cooperate treasonably with an enemy occupying one’s country. Because 

“collaborators” in WWII helped the occupying Nazis, the term has quite negative 

connotations to many in Europe. We hope readers will understand that the way the 

term is used here has nothing in common with the behavior of Nazi “collaborators.”

143

Chapter 9

The Role of Education in the 

Comprehensive Approach

Ralph Doughty and Jon Stull

Abstract

Education is essential if we are to grow, develop, and transmit knowledge to those 

following behind us. This means that education for the Comprehensive Approach 

(CA) must change to include all organizations involved. But innovations in technology, organizations, and processes do not last unless the people in the organizations 

are educated to accept change and revise their institutional values. This attribute of 

large-scale bureaucratic change has been consistently evident as the U.S. military 

increasingly began to value “jointness” for the more than two decades after passage of 

the 1986 Defense Reorganization Act. The success of the military’s development of 

“jointness” is due in great measure to joint education requirements and execution. The 

challenge to educate and train jointly is particularly true in today’s efforts to develop 

an understanding for performance in the CA. Education enables interagency partners 

to better understand (1) the capabilities and constraints of other agencies, (2) organizational and process knowledge needed to develop new capabilities, (3) technologies 

used and bridges between organizations to enable all organizations to interoperate with 

each other, and (4) the impact of organizational culture on the ability to develop competencies and capabilities for a CA. Methods for achieving the education necessary to 

successfully implement the Comprehensive Approach must include all the interagency 

partners in a combination of short-, mid-, and long-term courses that address both 

operational and cultural issues covering the full spectrum of all the partners. This is 

true not only for different agencies within a single country, but even more so in various 

agencies representing different countries (that is, in the NATO Alliance). This chapter 

compares the role of education in the joint military environment with the needs of the 

CA, and makes the case for interagency education programs that follow the tenets of 

joint military education to ensure that education for the CA reaches all the partners 

in a format they can understand and implement effectively.
Doughty and Stull

144

Introduction

The Goldwater-Nichols Department of Defense Reorganization Act of 1986 was 

passed by the U.S. Congress in an effort to rectify a lack of integrated performance by 

U.S. Armed Forces when applying the military aspect of national power. This was a 

result of the United States experiencing a number of operations that did not fulfill expected standards. The outcomes and the limited degree of integration and coordination 

among the military Services demonstrated during operations in Vietnam (1965–72), 

Mayaguez Incident (1972), Grenada, and the Beirut Bombing (1983) were not to the 

level desired by either the military or the people they served (Locher, 2002). Despite 

frequent suggestions by Congress for military leadership to take initiatives to improve 

interoperability, integration, and effectiveness, few in the military believed that major 

change was needed and that the corrections necessary could be effected within the 

current system.

With little improvement experienced after congressional concern was repeatedly 

expressed, Congress, based on its Constitutional authority, drafted and passed appropriate legislation that would force the Services to work more jointly. The result of this 

concern was the enactment of what is commonly referred to as the Goldwater-Nichols 

Act (DOD Reorganization Act 1986). This legislation transformed command and 

control as well as processes so that the Services would operate jointly (two or more 

Services from different military departments). In order to ensure compliance and acceptance of these new processes in the long term, the legislation also required that the 

culture of the people be changed through mandatory education in “joint matters” (U.S. 

Congress House Committee on Armed Services, 1989, 105). Now, some 25 years after 

the passage of the Goldwater-Nichols Act, many claim that the U.S. Armed Forces 

are in fact joint (Murray & Scales, 2003).

The challenge now, as set forth by the Secretary of Defense in the National 

Military Strategy 2008, and echoed more recently in the 2010 Quadrennial Defense 

Review and the National Military Strategy of 2011, is to engage in an effort to build 

“new jointness” that includes other agencies, international partners, and nongovernmental organizations so that a “whole-of-government,” if not a “whole-of-nation,” 

approach is formed that integrates all the elements of national capacity, and can be 

used in implementing policy (Chairman of the Joint Chiefs of Staff, National Military 

Strategy, 2011, 16).

Why this call for “new jointness” (National Defense Strategy, 2008, 17) once 

the military had achieved jointness? Similar to the string of military operations that 

resulted in mediocre performance that led to the Goldwater-Nichols Act, the nation 

has experienced and endured prolonged operations in Panama, Somalia, Haiti, and 

currently Afghanistan and Iraq which clearly demonstrate that major challenges exist 

in coordinating across departments and agencies in order to achieve national goals and 

objectives. To mitigate the challenges experienced, many initiatives have been taken 

to bolster interagency coordination and increasingly build a whole-of-government 

approach to solving complex contingencies. This call to create a “new jointness” and 
The Role of Education

145

to coordinate national capacity across military and civilian communities has been 

further emphasized in the President’s 2010 National Security Strategy as he calls for 

the nation to “update, balance, and integrate all the tools of American power and work 

with our allies and partners to do the same” (National Security Strategy, 2010, 14). 

In order to do this, the United States must adopt more than a “whole-of-government 

approach” to solving the complex problems that confront the United States and the 

global community today by extending the “whole-of-government” participants to 

include nongovernmental organizations (NGOs) and multinational partners, thereby 

creating a Comprehensive Approach (CA) that includes all appropriate partners and 

participants.

Effective transformation of large bureaucratic organizations actually changes not 

only processes and organizations, but also the behaviors and values of the people as 

well. Changing the behavior or the culture of an organization requires a “new” thinking 

or perspective. These qualities cannot be decreed but must be taught and experienced 

in order for them to be fully inculcated in an organization. Thus education and training are essential in the transformation of large organizations. As many studies have 

shown, innovations in technology, organizations, and processes do not last unless the 

people in the organizations are educated to accept change and revise their institutional 

values. This attribute of large-scale bureaucratic change has been consistently evident 

as the U.S. military increasingly began to value “jointness” for more than two decades 

after passage of the 1986 Defense Reorganization Act. The success of the military’s 

development of “jointness” is due in great measure to joint education requirements 

and execution.

This challenge to educate and train jointly is also particularly true in today’s efforts 

to develop an understanding of how to maximize performance in the CA. Education 

enables the players (people) in different agencies to better understand (1) the capabilities and constraints of other agencies, (2) organizational and process knowledge needed 

to develop new capabilities, (3) technologies used and bridges between organizations 

to enable all organizations to interoperate with each other, and (4) the impact of organizational culture on the ability to develop competencies and capabilities for a CA. 

Methods for achieving the education necessary to successfully implement the CA 

must include all the partners (civilian and military) in a combination of short-, midand long-term courses that address the issues involved from a variety of perspectives 

covering the full spectrum of all the partners. This multi-axis approach to education 

through a combination of educational offerings is necessary not only for different 

agencies within a single country, but even more so in various agencies representing 

different countries (that is, in the NATO Alliance).

To support the assertion that a multi-axis educational approach is needed to enable today’s military and civilian leaders to better understand and participate in a CA, 

this chapter reviews the nature of transformation and how the above transformation 

model frames the challenges we face today. This is followed by an examination of the 

role played by education in the wake of passage of the DOD Reorganization Act of 
Doughty and Stull

146

1986 enabling the U.S. Armed Forces to become fully integrated. The success achieved 

through the education of the Services about “jointness,” as well as the identification 

of inefficiencies to be avoided, is instructive in preparing participants for challenges 

to be encountered in developing a similar educational program necessary to successfully implement the CA. After reviewing the requirements for a CA, the authors 

then propose a transformational approach to education that might better enable the 

development and acceptance of the CA.

Transformation Basics

For more than a decade the military has been dealing with the definition and nature of 

large-scale transformation. During the early days of President George W. Bush’s administration, Secretary of Defense Donald Rumsfeld energized this investigation into 

transformation by establishing a DOD Office of Force Transformation and publishing 

Transformation Planning Guidance in April 2003. This guidance presented the case for 

the need for Force Transformation, defining the scope of this effort to transform in 

three broad areas: how we do business, how we work with others, and how we fight. 

Much of this concept of the nature of transformation was based on the earlier works 

of several researchers in the 1960s as they examined large institutional change. Among 

them was the work of H.J. Leavitt whose discussion concerning organizational change 

identified four linked variables of task, technology, structure and actors (Leavitt, 1965).

A study of Leavitt’s model combined with research of organizational change conducted 

in the 1990s by the Sloan School of Management at the Massachusetts Institute of 

Technology (MIT) concerning leveraging information technology for competitive advantage led to John Garstka’s adaptation of the model to reflect a revised four-element 

model for transformation currently used by the International Transformation Chairs 

Network (ITCN). This model identifies Technology, Process, Organization, and 

People as fundamental entities of large-scale change (Garstka, 2009), and this fourelement model of transformation has been explored by the ITCN and used as a basis 

for their research and depicted in figure 1 (Neal, Friman, Doughty and Wells, 2009).
The Role of Education

147

Organization

Technology Process

People

Figure 1. Transformation Four Element Model Source

Source: Adapted from Leavitt (1965)

Transformation or large-scale institutional change is not a new phenomenon. 

Militaries, large corporations, and industry, having either anticipated or been caught 

in the midst of a changing operating environment, have experienced the challenge of 

transforming the organization. The initiation of large-scale change usually is a result 

of major innovation within one of the elements in the four-element model. If the elements of any organization are well linked, then the innovation in one area will spread 

to others until all elements have changed significantly, thus perhaps transforming the 

organization. Although innovation can be experienced in any element of the model, 

increasingly, with the rise of the Information Age, technological innovation has led 

the way. Regardless of the impact of any specific element’s innovation, the organization is not transformed until each of the other elements (process, organization, and 

people) has embraced the innovation as well. New technologies surround us daily, 

processes routinely change to complement the innovative technologies, and often the 

organizational template is changed to reflect the changing process; however, until the 

people and their attendant culture, values, and attitudes change, transformation is not 

complete. It is this last element (the people or culture) and their reluctance to accept 

change that keeps many entities from truly transforming.

For many organizations, the key to rapid transformation or assimilation of change 

is dependent on the receptivity of its people. Attitudes, habits, and values once held are 

difficult to change as highlighted by the often-used quote of Liddell Hart, “The only 

thing harder than getting a new idea into the military mind is to get an old one out” 

(Liddell Hart, 1944 ). Despite the abundance of technological and process innovation, 

unless the culture of an institution changes, unless the values of the people of an institution change, true transformation will not be made. As mentioned by Grant Hammond 

in his introductory essay for Crosscutting Issues in International Transformation:
Doughty and Stull

148

transformation is a process to change an organizational culture. Culture is ultimately shorthand for people and changing how people think and behave. Culture 

implies intellect, mindsets, tastes, and manners, and the refinement of these by education and training. If we fail to transform how we think and act, we will not have 

transformed ourselves, our organizations, or our processes. (Hammond, 2009, 18).

Secretary Rumsfeld’s Transformation Planning Guidance echoed the sentiment 

above by stating that “[j]oint education is fundamental to creating a culture that supports transformation” (Transformation Planning Guidance, 2003, 21). Education is 

essential if the culture of an organization is expected to change.

Developing “Jointness”

An earlier demonstration of the importance of the role of education for transformation 

is the development of joint education in support of the Goldwater-Nichols Act. In the 

wake of the Vietnam experience, there occurred a succession of military operations 

in which there were demonstrated failures of the military Services working together. 

Despite significant urgings by Congress, the military leadership did little to alleviate 

internal friction generated by the Services when they had to work together. Starting 

with an unsatisfying conclusion to the Vietnam War, friction and inter-Service rivalries 

continued to be evident in the operations that followed: the evacuations of Phnom 

Penh and Saigon, and the seizure of the SS Mayaguez by the Khmer Rouge in 1975; 

the failed rescue attempt of American hostages held in Tehran in 1980; and then the 

tragic bombing of the Marine Barracks in Beirut which killed 214 sailors and Marines, 

followed 2 days later by Operation Urgent Fury, a “joint” operation that revealed costly 

flaws in inter-Service coordination and execution in the successful effort to assure the 

safety of 600 American medical students in 1983. Finally, after more than 4 years of 

congressional inquiry, testimony from key military leaders, and intense negotiations, 

Congress passed the DOD Reorganization Act of 1986. The United States military 

was required by the Congress to transform itself from a collection of Services that 

were highly capable in their own right but performed marginally, if at all, when asked 

to operate jointly (more than two military Services from separate Departments) 

(Locher, 2002). This was a clear example of change driven from “the top,” but was it 

to be transformational?

James Locher, in Victory on the Potomac, highlighted nine basic purposes that 

Congress identified for the new legislation (Locher, 2002). Most of the purposes dealt 

with authorities, command and control, and organization. One, joint officer management, started to address the military culture and specifically opened the door for more 

aggressive oversight by Congress of both professional military education (PME) and 

joint PME or JPME. The focus of this oversight was to ensure that officers who were 

to serve for unified commanders or for the Joint Staff were prepared mentally and 

had been acculturated (U.S. Congress House Committee on Armed Services, 1989) 

to be able and willing to promote and or defend joint operational considerations over 

the interests of their own Service. In order to accomplish this, joint assignments were 
The Role of Education

149

identified with the intent that officers who had received joint education would be assigned to them. To become qualified for a joint billet, an officer was to complete not 

just appropriate Service PME but JPME as well. JPME was broken into two distinct 

phases. Phase I was presentation of joint knowledge at and by the various intermediate 

Service colleges. JPME Phase II however, was to be provided only by the National 

Defense University, through participation in the National War College, the Industrial 

College of the Armed Forces, and/or the Joint Forces Staff College (OPMEP, 2009, 

A-A-6). Congress, being fully appreciative of the Services’ reluctance to send their best 

to joint schools or to joint positions, established stipulations for promotion to senior 

grades that Services could not passively ignore. Even with these stringent conditions, 

it still took 20 years or more to change the culture, so that the “people” element did 

in fact change their values. As the U.S. strives to exercise “smart power”(Armitage 

& Nye, 2007) and recognizes it must transform both civilian and military officers to 

more effectively engage in whole-of-government coordination and be able to execute 

a comprehensive approach in solving complex problems, a method to address interagency education similar to that constructed for the military to become joint should 

be mandatory.

Comprehensive Approach

So what exactly is this “Comprehensive Approach” that requires a focused educational 

structure dedicated to its teaching? Although the term comprehensive approach is 

relatively new, beginning to be widely used about 6–7 years ago, the desire to operate 

effectively across military Services, government departments and agencies, and among 

international partners has been a goal for decades. In 1967, during the height of the 

counterinsurgency efforts in the Vietnam War, the U.S. Government established an 

organization that would unify the efforts of the State Department, the military, and 

the Intelligence Community, as well as developmental aid. This organization was called 

Civil Operations for Revolutionary Development, or simply CORDS. Although in 

the long run the strategic end state of a stable and secure Republic of South Vietnam 

was lost in 1975 as a result of conventional operations, there is wide-spread agreement 

that the efforts unified through the CORDS program were instrumental in turning 

the tide against the Viet Cong insurgency (Bullington, 2008). In the wake of the 

Vietnam War, not only did the crisis for which CORDS was established disappear 

but the resulting budget contraction forced many agencies to reduce in size and focus 

primarily on their core functions rather than continue to coordinate across agencies.

The year 1989 ushered in the “fall of the wall” and the promise of a “new world 

order.” Instead, the result was “new world disorder” with increasing requirements to 

establish coordinated efforts across agencies in order to effectively stabilize communities in the wake of natural disasters, major military conflict, or a general breakdown of 

civil authority. A review of the lessons learned in After Action Reports of operations in 

Panama, Somalia, Haiti, Afghanistan, and Iraq creates a resounding chorus identifying 
Doughty and Stull

150

the need to establish organization and process capabilities for what is generally called 

interagency coordination.

As a result of successes and disappointments after the intervention in Haiti to 

restore Jean-Bertrand Aristide in September 1994, the Clinton administration published an executive directive establishing policy on how to manage complex contingency 

operations (PDD-56 1997). In addition to providing overall guidance in generating a 

coordinated political-military response when addressing complex contingencies, it also 

created an outline of a generic political-military approach. This initial attempt at defining interagency coordination was later revised by the Bush administration when they 

published National Security Policy Directive 44 establishing, within the Department 

of State, the Office of the Coordinator for Reconstruction and Stabilization (S/CRS) 

(NSPD 44, 2005).

This effort to create a government structure in order to coordinate across government departments and agencies has persisted into the Obama administration. The 

President has stated that, “To succeed, we must update, balance, and integrate all of the 

tools of American power and work with our allies and partners to do the same.” This 

integration of tools he calls the “Whole of Government Approach” (National Security 

Strategy, 2010, 14). However, even though tighter coordination among government 

agencies is always desirable, that still leaves a significant sector of activity that is beyond 

any single government. The attempt to cooperate among all players and their capacity 

to have constructive impact in a contingency would be considered a comprehensive approach. Where the military from several military Services and perhaps nations would 

strive to ensure unity of command and the various departments and agencies within 

a government would seek unity of effort, cooperation among the intergovernmental 

and nongovernmental participants beyond that would be a Comprehensive Approach. 

Although for many the definition of CA is very generic and all encompassing, the U.S. 

Army in their Stability Operations Field Manual (FM 3–07) defined Comprehensive 

Approach as “an approach that integrates the cooperative efforts of the departments 

and agencies of the United States Government, intergovernmental and nongovernmental organizations, multinational partners and private sector entities to achieve unity 

of effort toward a shared goal” (FM 3–07, 2008, 1–4). Even in the most demanding 

of current operations in Afghanistan, the Supreme Allied Commander, Europe has 

identified the importance of this concept:

The Comprehensive Approach is not a new idea. Counterinsurgency has always 

required a holistic approach. With the arrival of new actors on the national and international stage, we need a new concept of how to integrate the efforts of the old and 

new actors. The Comprehensive Approach gives us that way of looking at things, 

of coordinating planning, and of aligning efforts and mobilizing the resources that 

the local, national and global communities have to offer (Stavridis, 2011, 65).

Acceptance of the CA is in its infancy, similar to the level of acceptance of “jointness” by the U.S. armed forces in the 1980s. Just as JPME assisted in transforming the 
The Role of Education

151

military culture into becoming joint, so too can a robust education architecture lead 

the way toward acceptance of the CA.

Education for the Comprehensive Approach

The success of education in the U.S. military services stands as a stark reminder of 

what is possible when various government departments work together in a coordinated 

way to identify needed joint education requirements and then set about making it happen. In the U.S. military, the Chairman of the Joint Chiefs of Staff coordinates and 

approves joint education programs through his J7 on the Joint Staff. The J7 is responsible for Operational Plans and Joint Force Development through a Joint Education 

and Doctrine Division. It is through this organization that military professionals are 

educated and trained to perform joint operations with all the other services in the U.S. 

military. Key elements of this include definition of educational courses and specific 

content in those courses that joint Servicemembers must comprehend in order to 

function effectively as part of a joint force.

In addition to taking and passing the required educational courses, Joint Service 

Officers (now Joint Fully Qualified) in the United States are assigned to billets in other 

Services to train jointly, which is where they put their joint education into practice to 

ensure all participants have learned their lessons and can perform the required coordination and tasks in concert with each of their counterparts in the joint Services. This 

ability to educate together and train together was enabled by legislation written into 

the Goldwater-Nichols Act of 1986. While there have been several attempts recently 

in the U.S. Congress to codify a “new jointness” for interagency operations, there is 

currently no such legislation defining how the military should educate and train with 

all their interagency partners. It has been assumed by many that a way could be found 

for all the government departments and agencies, and all the nongovernmental organizations (NGOs) and multinational partners, to willingly cooperate with each other 

to achieve the same results that the military Services have achieved. After many years 

of attempting this voluntary cooperation, the vast disparities in manpower, money, processes, and procedures in the various agencies have resulted in limited progress at best. 

It is therefore clear that a major transformation is needed to develop a “new jointness” 

in which all governmental and nongovernmental departments and agencies in a given 

country work in concert with each other to achieve national goals and objectives in the 

most expeditious and cost-effective manner. Secretary Robert Gates emphasized this 

necessity for a “new jointness” in the U.S. National Defense Strategy 2008, when referring to “Integrate and unify our efforts: A new ‘Jointness’” (National Defense Strategy 

2008, 17). This is re-iterated in the 2010 QDR Defense Strategy when the Secretary 

of Defense states that to “Prevent and Deter Conflict . . . requires use of diplomacy, 

development, and defense. . . . Such an approach also requires working closely with 

our allies and partners to leverage existing alliances and create conditions to advance 

common interests” (Quadrennial Defense Review, 2010, v).
Doughty and Stull

152

The solution to the above problem may be for the legislative bodies of each country to pass laws that require cooperative education and training of all departments/

agencies with their military departments. An example of what could be considered is 

a recently drafted U.S. House of Representatives Resolution (HR) 6249(INSPEAD, 

2010) that establishes requirements for both education and operational experience 

in other than one’s own department in order to be promoted to the Senior Executive 

Service, much as the Goldwater-Nichols Act did in order to get the U.S. military to 

become joint. While this legislation is a huge undertaking in itself and not progressing 

in the current Congress, suppose that such legislation could be passed promptly in 

all the countries in NATO, including the United States as a NATO partner. In this 

event, the logical questions become (1) “How would each NATO partner implement 

such an education and training program in their own country?” followed quickly with 

(2) “How would NATO organize and coordinate these new-found opportunities to 

achieve the benefits and cost effectiveness promised by the addition of these vast resources?” Such is the promise and challenge of the CA in which all the above resources 

would become available to meet NATO-level challenges and contingencies.

The transformation of current education and training processes in each country 

would require that standards and requirements be developed for the “new jointness” 

program. Ideally, it would be helpful if the criteria and requirements of each NATO 

country could be standardized as much as possible before moving forward toward a 

NATO solution to minimize confusion and changes as the individual plans for each 

country are integrated into a NATO plan. This would be intended to prevent interagency partners from learning different standards that would then have to be folded 

into the NATO standards. So it is clear that the overall planning and implementation 

of the CA is not a trivial effort. It requires significant initial coordination and planning 

before a nation or an alliance like NATO launches pursuit of a CA program.

For purposes of this chapter, the focus is on education for the CA. Therefore, 

training-specific issues will be addressed only peripherally as needed. One of the first 

tasks that must be addressed is the creation of an organization that can make decisions 

on behalf of all the departments and agencies involved in the CA. This may require 

a small independent “Interagency Staff” that would have a mix of personnel from the 

various departments/agencies to ensure that proper representation is provided for 

all the “new joint” participants. This was attempted in the United States with the 

establishment of the National Security Professional Development Integration Office 

(NSPD-IO), whose purpose it was to integrate the progression of education and training opportunities across departments and agencies to promote logical development of 

national security professionals. Due to the lack of a central authority that was willing 

and capable of requiring all departments and agencies to cooperate in a “joint effort” 

to identify and coordinate educational requirements for all the agencies, this NSPD 

effort has proved to be only marginally successful. The challenge will be to establish 

cross-agency authorities in this integrating body, authorities which presently do not 

exist. If established, then this “Interagency Staff,” like the Joint Staff, would need to 
The Role of Education

153

create the equivalent of a J7 (perhaps an “I-7”) so that doctrine and education could 

be synthesized at the interagency level to guide the educational courses needed by the 

Interagency Staff in the CA. Decisions would be made regarding curriculum content 

and who from the various departments and agencies would attend the “new jointness” 

educational programs. This would lead to planning for how to implement the new 

educational programs.

In the U.S. joint intermediate-level educational programs, most learning occurs 

in schools operated by a single Service but with students from all the other Services 

comprising the overall joint force. For military schools, this currently includes only a 

very few students from non-military departments and agencies, and this number would 

have to increase dramatically to implement a CA comprising all government departments/agencies, NGOs, and multinational military and civilian participants. This is 

especially true when it is recognized that schools operated by other departments and 

agencies, that is, Department of State, Department of Homeland Security, etc., should 

have some military students in their courses to enhance the interagency learning and 

coordination processes. Each major military Service has its own Joint educational 

system that is governed by the J7 and the Chairman of the Joint Chiefs of Staff. So 

when this structure is expanded to include all the civilian departments and agencies, it 

is clear that the governing organization will have to be streamlined to enable effective 

coordination and prompt decisions. This is not a trivial problem, particularly when 

each department/agency in a single country has its own budget, leaders, staff, processes, 

procedures, and culture that must be reckoned with in order to reach a “new joint” 

interoperability that is lean but decisive in getting things accomplished effectively.

Individual curricula would be needed for each school in a given educational institution. This is a challenge in itself, given the breadth of knowledge and capabilities 

needed in an organization comprised of Army, Air Force, Navy, Marine Corps, Coast 

Guard, diplomatic departments such as the U.S. State Department, economic development departments such as the Department of Agriculture and the U.S. Agency for 

International Development, and so on and so on. What has been done in the United 

States is to have each Service or department lead their own schools which focus primarily on their own needs and capabilities (that is, a U.S. Army school which focuses 

on how the Army should operate in a joint military environment). This must now be 

expanded to include a “new jointness” focus on how to operate in a Comprehensive 

Approach involving all the military Services, government departments/agencies, 

multinational assets, and NGOs. Clearly, attendees from all the other non-military 

departments/agencies would be required in each student seminar group to inject 

the perspectives of the joint military Services and the interagency partners into the 

learning process. This process is currently being used on a limited scale at the U.S. 

Army Command and General Staff College in which Army, Air Force, and the Sea 

Services (Navy, Marines, or Coast Guard) comprise the U.S. military students. Also 

included in these courses are International Military Students (115 students from 

52 different countries), and U.S. Interagency students (approximately 25 students 
Doughty and Stull

154

from 12 different departments/agencies). These students are blended together in 

16-person Staff Groups with a joint military, civilian, and interagency faculty that 

leads the discussions for the various topics covered in the lessons. This lends itself to 

an “experiential learning” process in which students share their own experiences with 

their classmates, each learning from the others what has been shown to work or not 

work in different military or civilian environments. The problem is that the number of 

interagency students is currently far too small to enable meaningful experiences of the 

interagency students to be exchanged with over 1,000 military officers in the class with 

them. This learning process is illustrated in figure 2 in which the agreed Standards and 

Learning Outcomes are incorporated into the Educational Requirements that would 

ultimately be defined by the “I-7” so that all educational institutions in all departments 

and agencies are coordinated and working toward the same standards and learning 

outcomes needed in the “new joint” CA.

Joint Staff

Standards & 

Learning Outcomes

Joint Schools

Service Schools

Service Academies

New

“JOINTNESS”

Comprehensive

Approach

FEMA Programs

US Institute of Peace

CIA University

Foreign Service Institute

DoD Education Institute

Standards & 

Learning Outcomes

National Security

Professional Development

J-7

-7

Figure 2: Establishing Standards for Education 

in the Comprehensive Approach Education

In addition to the differences in numbers of students, every learning experience 

is predicated on the culture of the students in the seminar group. Students from the 

Army come from a culture that is totally different from the diplomatic or economic 

development departments. The diplomatic and economic development departments 

are totally different from the law enforcement and intelligence departments. So they 

view experiences in different ways depending on the culture they have come to know 

and understand. This is both good and not so good. It is good from the standpoint 

that one learns by experiencing or learning about other cultures that address the 

same problem from different perspectives. On the other hand, it can be bad when an 

individual knows so little about the other cultures that he or she cannot comprehend 

why solutions were developed by other students as they were.
The Role of Education

155

In a paper published in 2008, a young doctoral candidate at Oxford University concluded that a major challenge in integrating civilian and military efforts in Stabilization 

and Reconstruction operations is the clash of cultures between the participating 

organizations (Baumann, 2008, 70). She noted that “despite widespread consensus 

over the need for a holistic approach in theory, the implementation of comprehensive 

or whole-of-government strategies has given rise to debate, controversy and concern 

in practice.” This is due in large part to the complexities mentioned thus far in this 

chapter. She also noted that the “success in recent military interventions depends upon 

the right combination of hard and soft power,” and 

the reason why Western nations intervening in Afghanistan have struggled to 

develop an effective information campaign is likely to be the lack of a shared narrative, rather than the absence of a “lead department” for communication within 

their institutional architectures. The current focus on the design of interagency 

mechanisms and cross-departmental structures may convey the impression 

that the integration of civilian and military efforts is mainly a matter of overcoming bureaucratic resistance and inertia. Yet, the questions that need to be 

addressed in order for joint arrangements to become institutional reality, rather 

than the brainchild of a few committed individuals, are inherently political.

Politics are a cultural phenomenon. As was noted earlier, cultures are not changed 

overnight. Nor are political leanings and fundamental beliefs about a political culture 

that have been developed over many years. This means that setting up and implementing a CA must also take place over an extended period to be successful. It will be an 

evolutionary process that will experience many different models before settling into a 

structure in which all partners feel comfortable.

So it is evident that many organizations and nations are believers in the CA, but 

most agree that the task of implementing it successfully is enormous. Until the cultural 

divide is narrowed between the various players (departments, agencies, and nations), 

and additional resources are made available for people and process reforms, the task 

ahead is difficult. It is clear, however, that education is at the forefront of all other 

elements in standing up an effective CA.

For education to be successful in addressing the doctrinal and operational elements of a CA, it is necessary to have a combination of short, medium, and long-term 

educational programs. Many organizations have short-courses of several days, as 

demonstrated by the Foreign Service Institute’s significant array of courses. Some 

institutions will conduct seminars of one or two weeks. The plethora of courses available is recorded in the U.S. Government Accountability Office (GAO) Report to 

Congressional Committees, Overview of Professional Development Activities Intended 

to Improve Interagency Collaboration of November 2010 (U.S. GAO Report, 2010). 

These options allow increased participation across agencies. Many organizations will 

consider sending someone to attend a course less than a week, but would not consider 

their absence out of the office for more than a week. While these courses are desirable 
Doughty and Stull

156

from a supervisor’s perspective, a one-week course, while it may be useful in providing 

an overview of how certain problems may be approached and some potential solutions 

that have worked in the past, is of little value in creating understandings of various 

cultures and for building relationships that will endure and lead to re-evaluation of 

attitudes toward cultural change.

Medium-length courses (several months) are much better for learning about other 

cultures and comparing their values with one’s own values. Studies by the Skelton 

Panel concerning JPME identified 3 months as the minimum necessary time to 

achieve a sense of acculturation or culture change (U.S. Congress House Committee 

on Armed Services 1989).If long-term educational experiences (10–12 months or 

more) are not possible, then a medium-length course is certainly desirable for getting 

a better grounding in the educational aspects of the problems addressed, but it still 

does not give a person a solid grounding in the cultural aspects of various organizations 

and people who operate in that organization. The longer individuals are exposed to 

other people of different backgrounds and agencies, and have the opportunity to work 

various problems together, the deeper the acculturation and embedding of principles 

needed in the CA.

For the best appreciation of other cultures and how they might be applicable to 

values needed for a CA, a period of 10–12 months or more is highly desirable. People 

learn by experience and associating with personnel from the various departments and 

agencies. They learn their counterparts’ values, whether they can be trusted or not (or 

more accurately, under what circumstances they can be trusted), and as a result begin to 

understand how the two or more organizations can be enabled to function together in a 

CA. Until this is accomplished, politics and lack of trust will invariably sink the effort.

So the real focus of education in the CA is three-fold. First, it presents an opportunity for people from different organizations and cultures to meet each other in 

a neutral environment and gain a basic orientation and overview of challenges that 

surround integrated approaches to operating together in the “new jointness” environment. Second, education of greater length provides factual information and experiential 

knowledge of how departments and agencies should work together with the military 

in a CA. Third, and most importantly, it provides a platform for various departments 

and agencies to really get to know and trust each other. Once this is accomplished, the 

chances of creating a successful Comprehensive Approach are increased significantly, 

many times by as much as an order of magnitude or more. Finally, as illustrated in 

figure 3, this combination of coordinated Standards and Learning Outcomes is 

then used as the nucleus of an Educational Transformation in which Acculturation, 

Experience, and Trust are merged together to form the point of the spear in an operational Comprehensive Approach.
The Role of Education

157

Education

Comprehensive

Approach

Transformation

Acculturation

Experience

Trust

Figure 3: Transforming Education for the Comprehensive Approach

It is with these cultural and political changes that partnerships can begin to grow 

and mature. And with continued education as leaders grow in rank and responsibility, 

the relationships and the sense of trust will reach the point where the CA is a partnership of equals doing their respective jobs as part of the same team. Every successful 

team must have a playbook (based on solid educational values), followed by a series 

of valuable training sessions in which they practice together what they have learned 

in the educational trenches together. It is only when all the players in the CA have 

internalized the playbook through education, practiced it together during the training 

drills, and decided that they are in fact a single team with shared cultural and political 

values that the CA can become a reality.

Conclusions

This chapter has asserted that effective transformation to military “jointness” was made 

possible through a rigorous revision of military education. Effective transformation is 

only achieved once the culture of the organizations involved has grown to accept and 

value the change. In order to change cultural attitudes and values, the people within 

that culture must be educated. In this case, a dedicated and robust pursuit of “joint 

education” paid significant dividends in dramatically improving “joint” operational 

performance in the U.S. armed forces, as well as in many partner nations.

Based on the exemplary results of the United States and other nations’ military 

joint education programs over the past quarter-century, an important early initiative 

in the long-term creation of a realistic CA capability has been reached. Now that 

military “jointness” has been achieved, the creation and implementation of a “new 

jointness” that includes all key government departments and agencies in the United 

States, NATO, and other partner nations must be pursued. Development of robust 

education programs for the CA should follow a path similar to the military’s drive 

toward military “jointness.”

This planning and execution must include coordinated efforts to educate rising 

officers and civilian leaders and to create aggressive cross-government and cross-department exchanges for the purpose of having common languages, compatible planning 
Doughty and Stull

158

systems, and a thorough understanding of other department/agency cultures. A nonthreatening educational basis for learning how other departments/agencies work and 

developing an understanding of their capabilities, constraints, and concerns for their 

role in the CA is critical. When all elements of contributing nations are educated in 

the more integrated approach within their own national perspectives, then effective 

integration can be considered in forming an international team for coordinated efforts 

in the CA. Until partner nations/departments/agencies reach an appreciation for the 

CA within their individual countries, they will likely be neither willing nor capable of 

cooperating as members of an effective international team.

The first step in this solution is to begin the “new jointness” in education in each 

individual country by incorporating members from all appropriate departments/

agencies in the educational programs of other departments/agencies in that country. 

This must be done in a way that does not threaten the “rice bowls” (funding/personnel 

levels) of other departments/agencies involved. Once each country has developed an 

ability to make the “new jointness” work in that country, it can then be expanded to a 

“new NATO jointness” to finally implement a functioning Comprehensive Approach 

within NATO.

Since there are no nations that are now leading the way with an effective 

Comprehensive Approach, it should not be a surprise to find that this transition to a 

Comprehensive Approach throughout NATO will not happen overnight. But with 

the leverage of a proven method of reaching the “new jointness” through the use of 

joint education and educational exchanges to develop common understandings and 

appreciation of the cultures of other partners, we will at least be moving along the right 

path to finally reach our destination.

As all readers will quickly realize, this movement to a true CA will not happen 

without the approval and support of national and NATO leaders. It is the hope of 

the authors that this chapter will assist in getting the word out to appropriate leaders 

so they can weigh-in and push the process down the path toward success.

References

Armitage, R.L., & Nye, S. (2007). CSIS Commission on Smart Power. Washington, 

D.C.: Center for Strategic & International Studies.

Baumann, A.B. (2008). Clash of Organizational Cultures? The Challenge of 

Integrating Civilian and Military Efforts in Stabilisation Operations. RUSI Journal, 

December 2008.

Bullington, J. (2008). CORDS and PRTs. Lecture, JIMPC, Joint Forces Staff College, 

Norfolk, VA. Last presented Dec 8 2009.

Chairman of the Joint Chiefs of Staff. (2009). Officer Professional Military Education 

Policy (OPMEP). CJCS Instruction 1800.01D. Jul 15.

________. (2011). The National Military Strategy of the United States of America.
The Role of Education

159

Department of the Army. (2008). Field Manual 3–07. Stability Operations. October.

Garstka, J.J. (2009). A Conceptual Framework for Innovation in Capability 

Development. In Crosscutting Issues in International Transformation, ed. Derrick 

Neal, Henrik Friman, Ralph Doughty, & Linton Wells II, 21–54. Washington, 

D.C.: CTNSP.

Hammond, G. (2009). Transformation—An Assessment. In Crosscutting Issues in 

International Transformation, ed. Derrick Neal, Henrik Friman, Ralph Doughty, & 

Linton Wells II, 1–19. Washington, D.C.: CTNSP.

Leavitt, H.J. (1965). Applied Organizational Change in Industry: Structural, 

Technological and Humanistic Approaches. In Handbook of Organizations, ed. J.G. 

March: 1144–1145.

Liddell Hart, Sir Basil. (1944). Thoughts on War. In The Greenhill Dictionary of 

Military Quotations, ed. Peter Tsouras, 76. London: Greenhill Books. 2000.

Locher, J. (2002). Victory on the Potomac. College Station: Texas A&M University 

Press.

Murray, W., & Scales, R.J. (2003). The Iraq War. Cambridge, MA: Belknap Press 

of Harvard University Press.

Neal, D., Friman, H., Doughty, R., & Wells II, L. (2009). Crosscutting Issues in 

International Transformation. Washington, D.C.: CTNSP.

Office of the U.S. President. (1997). Presidential Decision Directive (PDD-56). 

Managing Complex Contingency Operations. Washington, D.C.: The White House.

________. (2005). National Security Presidential Directive (NSPD-44). Management 

of Interagency Efforts Concerning Reconstruction and Stabilization. Washington, D.C.

________. (2010). The National Security Strategy. Washington, D.C.

Stavridis, J.G. (2011). The Comprehensive Approach in Afghanistan. PRISM,

February.

U.S. Congress. (1986). Goldwater-Nichols Department of Defense Reorganization Act. 

99th Congress.

________. House. Committee on Armed Services. (1989). Report of the (Skelton) 

Panel on Military Education of the 100th Congress. 101 Congress, First Session. April 21.

________. House. Committee on Armed Services. Subcommittee on Oversight 

& Investigations. (2010). Another Crossroads? Professional Military Education Two 

Decades After Goldwater-Nichols Act and the Skelton Panel. April 21.

________. House. (2010). House Resolution 6249. The Skelton-Davis Interagency 

National Security Professional Education and Development (INSPEAD) Act. September.
Doughty and Stull

160

U.S. Department of Defense. (2003). Transformation Planning Guidance. Washington, 

D.C. April.

________. (2008). National Defense Strategy. Washington, D.C. June.

________. (2010). Quadrennial Defense Review Report. Washington, D.C. February.

U.S. Government Accountability Office. (2010). Report to Congressional 

Committees. National Security: An Overview of Professional Development Activities 

Intended to Improve Interagency Collaboration. November.
161

Chapter 10

Educating and Training for a 

Comprehensive Approach: An 

Australian Perspective

Richard T. Menhinick and Neville R. Gregory

Abstract

The Australian Government applies a whole-of-government(s) approach in responses 

to domestic disaster and international crises to enable efficient and effective management of a comprehensive range of capabilities. For domestic disasters, the States 

have jurisdiction for emergency management, but clear mechanisms exist for Federal 

assistance should the disaster exceed State capabilities. State and Federal domestic 

arrangements promote effective cooperation across Australian State and Federal 

Government agencies and nongovernment organisations (NGOs).

Internationally, the Australian Government stands ready to respond to requests 

for assistance from other nations in times of conflict and disaster. Australian national 

security policy accepts an important interdependence between security and broader 

political, humanitarian, economic and development goals (Rudd, 2008), (DOD, 2009).

The education and training provided at Australian Defence College (ADC) establishments employ numerous mechanisms to provide opportunities for the Australian 

Defence Force (ADF) to train alongside civilian Government agency and NGO 

counterparts. The ADC works with other Government and multiagency training 

and coordination institutions. They deliver courses and exercises that realistically 

and effectively utilize the Comprehensive Approach (CA) to conflict prevention and 

management. This chapter outlines the key elements of Australia’s CA and focuses on 

the ADC’s education and training contribution to ensure ADF graduates can operate 

effectively in an integrated land or maritime based operational environment.

The message is that training and education must be as comprehensive as the approach itself. The theme is that to be effective in multiagency operations you need 

first to train and educate that approach—in effect to “Walk the Talk.” If training and 

education for CA is not fully integrated throughout curriculums, then the approach 

itself by its very nature will be an after-thought or a “tack-on” to operations. It is only 

by training and educating in a comprehensive way that operations will actually be 

reflective of this and be truly effective.
Menhinick and Gregory

162

Introduction

In any country’s adoption of the Comprehensive Approach (CA) education/training 

is a factor of its geographic, security, governmental and population reality. Australia’s 

geopolitical environment has resulted in Australia employing a multiagency approach 

to disasters and conflict for a significant time. Australia is the world’s largest island 

nation1

, neighboured by South-East Asia and a number of Pacific Island nations. For 

both humanitarian and strategic reasons, Australia has an enduring interest in helping to build stability and prosperity in the region. Australia operates under a federal 

system which divides power and responsibility between two levels of government, 

the Commonwealth and the states and territories. Despite Australia’s vast size, the 

population is small at 22.5 million, and the Australian Defence Force (ADF) consists 

of only 55,000 permanent military personnel. Under Australia’s system of governance, 

civilian agencies lead emergency response or “aid to the civil power” as it is known. 

The ADF operates in support. Support to emergency management situations, both 

domestic and regional, can be drawn from:

•	 Federal agencies such as the ADF, Department of Foreign Affairs and Trade 

(DFAT), the Australian Federal Police (AFP), the Australian Agency for 

International Development (AusAID) and the National Security Capability 

Development Division

•	 State agencies such as the State Emergency, Police and Fire Services

•	 Nongovernment organizations (NGOs) such as the Australian Council for 

International Development (ACFID), Red Cross, International Committee 

of Red Cross (ICRC), Salvation Army, and Vision Australia

•	 Volunteer groups such as Rotary and spontaneous volunteers who may arrive in significant numbers to assist with the recovery as was demonstrated in 

the response to the recent major floods in Queensland, Northern Australia.

The business community also has a significant interest as companies require business continuity, often operate in multiple states and territories and have infrastructure 

such as transport distribution points across the country which can enable them to 

react quickly to a situation.

Given the small numbers in each participating organisation and agency, no single 

agency is capable of dealing with the recovery effort alone, and a coordinated approach 

to management of the groups is employed.2

A prime example of Australia’s need to apply a multiagency approach is the 

Australian Government‘s Border Protection Command3

 (BPC). Australia has a 

coastline length of 35,876 km (22,292 mi) with an additional 23,859km (14,825 mi) 

of island coastlines. Australia claims an Exclusive Economic Zone of 8,148,250 sq 

km (3,146,057 sq mi), and this does not include the Australian Antarctic Territory. 

Australia has the largest area of ocean jurisdiction of any country on earth, being 52.8 

million sq km. Combining the resources and expertise of the Australian Customs and 
Educating and Training: An Australian Perspective

163

Border Protection Service and the ADF, and working with officers from the Australian 

Fisheries Management Authority, the Australian Quarantine and Inspection Service, 

and other Commonwealth, State and Territory agencies,4

 the BPC delivers a coordinated national approach to Australia’s offshore maritime security. The Command 

is constituted by elements of the Australian Customs Service and the ADF, and 

is headquartered in Canberra. The BPC delivers a coordinated national approach 

to offshore protection by operating as a single maritime surveillance, response and 

interception agency. It detects and deters a wide range of illegal activities using a 

combination of Customs, Defence and civilian-contracted aircraft and vessels. BPC 

activities take place under a variety of legislation covering areas such as customs, fisheries, quarantine, immigration, environment and law enforcement.5

 They also work in 

cooperation with Indonesia on a wide range of international issues including people 

smuggling and illegal fishing.

History and Progress in a Multiagency Approach

Australia’s experience in leading complex overseas multidimensional operations dates 

back to efforts in Cambodia in the 1990s and since then Australia has led significant 

regional peace and stabilisation operations in Bougainville, East Timor and Solomon 

Islands. Australia’s important contributions to international coalition efforts further 

abroad in Iraq and Afghanistan have confirmed the lessons learned closer to home; 

that effective and coordinated civil-military capabilities are essential for building any 

long-term foundation for peace.

The Australian-led operations in Solomon Islands and East Timor have been described as outstanding successes. Indeed, the Organization for Economic Cooperation 

and Development (OECD) selected the Regional Assistance Mission Solomon Islands 

(RAMSI) as a case study as part of a pilot study of principles for good international engagement in fragile states (OECD, 2005). There are many notable features of RAMSI, 

including that it always had a civilian leader, the RAMSI Special Coordinator; was 

police-led; deployed significant numbers of police and civilian advisors in the first wave; 

and had unity of command.

As such RAMSI is distinctive in three ways:

•	 It was Australia’s first true “whole of government” intervention in a foreign 

country because it involved not just the ADF, AFP, DFAT and AusAID 

but other Australian Government departments as well, including Treasury 

and Finance. Participating departments and agencies engaged in intensive 

pre-deployment planning to facilitate coordination in the field.

•	 RAMSI has the legitimacy that comes from being a regional mission, not just 

an Australian mission. It is a partnership between Solomon Islands and 15 

Pacific countries, including Australia, and it has the backing of the Pacific 

Islands Forum.
Menhinick and Gregory

164

•	 RAMSI changes in response to changing circumstances. The 2006 riots in 

Honiara re-emphasised the importance of security as Australian soldiers 

returned in large numbers. The 2009 Partnership Framework between 

RAMSI and Solomon Islands prepares the way for RAMSI’s eventual withdrawal and aligns its priorities with those of the government. (Abigail, 2011)

Importantly, despite its success, RAMSI highlighted many institutional shortcomings that triggered a bureaucratic restructure for the Australian Government including 

the formation of the Australian Civilian Corps (ACC) and the Australian Federal 

Police International Deployment Group (Wainright, 2005: 7). DFAT now leads a 

weekly Interdepartmental Committee Meeting in Canberra with all Australian agencies involved in RAMSI, and they invite other country involvement, specifically New 

Zealand, when necessary. This demonstrates the important employment of a CA at 

the strategic level, through policy and education, and not just relying on the members 

“on-the-ground” to work cohesively together in country.

The AFP has been successful in the establishment of the Jakarta Centre for Law 

Enforcement Cooperation (JCLEC) located within the Indonesian National Police 

Academy, announced by the Indonesian and Australian Governments in February 

2004. JCLEC is intended as a resource for the South East Asian region in the fight 

against trans-national crime, and will coordinate and facilitate a range of training programs, including seminars and workshops which will enhance cooperation and cultural 

understanding. JCLEC will strengthen the capacity of foreign governments and law 

enforcement personnel to develop and attain complex security objectives in the region.

Underpinning CA is policy at the strategic level. The absence of such strategic policy for CA will hinder education and training severely as resources will not be available. 

Australian strategic policy, as articulated in the National Security Statement (Rudd, 

2008) and the 2009 Defense White Paper (DOD, 2009), acknowledges that there is 

an important interdependence between security and broader political, humanitarian, 

economic and development goals. The 2009 Defence White Paper clearly establishes 

the requirement for civilian capabilities to complement and build upon any military 

effort: “the ADF’s capacity to deploy rapidly and establish a basic level of security at 

the outset of a crisis situation will often be an essential element of any comprehensive 

approach—but it will, in nearly all cases, not be a sufficient response in itself” (DOD, 

2009: 23). As a reflection of this reality over the past decade, Australia has been 

progressively strengthening its multiagency approach and capabilities for conflict and 

disaster management offshore. This has resulted in new capabilities, including the:

•	 appointment of Australia’s first National Security Adviser in the Department 

of Prime Minister and Cabinet (PM&C)

•	 enabling of Interdepartmental Emergency Task Forces (IDETF) by DFAT

•	 establishment of the International Deployment Group (IDG) within the 

AFP
Educating and Training: An Australian Perspective

165

•	 creation of the Asia Pacific Civil-Military Centre of Excellence (APCMCOE)

•	 construction of a new Joint Operations Command Headquarters by the 

ADF

•	 establishment of an Australian Civilian Corps (ACC) within AusAID

•	 creation of a National Security College

•	 repositioning of the Australian Emergency Management Institute (AEMI) 

as a centre of excellence for national emergency management with a focus on 

education, training, research, development and outreach programs.

This acknowledgment of centrality of interagency issues in responding to any 

conflict or disaster led to the Government accepting the recommendation of the 2008 

Report of the Review of the Homeland and Border Security6

 that the option of achieving greater cooperation across our overall national security arrangements by creating a 

large Department of Homeland Security was less preferable to promoting a cohesive 

national security community culture. This culture would be achieved through education and training, the secondment of people between organisations and the creation 

of joint units. The Government also highlighted the importance of the partnerships 

between industry, governments and the community that have evolved since 2001 to 

any future national security policy. (Rudd, 2008: 13) The relatively recent memoranda 

of understanding between the ADF and the AFP, and with AusAID, is an example 

of how agencies can lay foundations for coordinating their international engagement 

including during crises. (Floyd, 2010: 8) The sharing of the lead for operations is 

demonstrated in that the AFP led the RAMSI, but AusAID led the Australian 

assistance with recent cyclone relief in Papua New Guinea, both with the ADF in 

support. (Floyd, 2010: 10)

The ACC is particularly challenging to establish, but its value is inestimable. 

The ACC will deploy civilian specialists to countries experiencing or emerging from 

natural disaster or conflict. The ACC complements work facilitated by AusAID in 

the areas of emergency response and humanitarian aid. The ACC is aimed at supporting stabilisation, recovery and development planning, working with and within 

host governments to rebuild state functions, the rule of law and essential services. The 

ACC will comprise a register of 500 pre-screened and pre-trained civilian specialists 

ready to respond to requests for assistance. The deployments will be typically 3 to 12 

months to countries recovering from natural disaster or conflict. Defence is taking a 

very CA line on this and is encouraging Reservists (of whom we have around 25,000 

who are active) to be on the ACC register.

Another example of recent initiatives is the APCMCOE which is an Australian 

Government initiative to improve Australia’s effectiveness in civil-military engagement for conflict and disaster management overseas. Opened on November 27 2008, 

APCMCOE supports government departments and agencies and engages with 

NGOs and international partners, including the United Nations, on civil-military 
Menhinick and Gregory

166

issues to achieve focused outcomes for the region and globally. The centre is staffed by 

officials of relevant Australian Government departments and agencies, and from the 

New Zealand Government, as well as an NGO Engagement Coordinator from the 

ACFID, Australia’s peak NGO body for aid and development overseas. APCMCOE 

has delivered a conceptual framework for Australian Government civil-military collaboration in conflict and disasters overseas, called “strengthening Australia’s Conflict 

and Disaster Management Overseas.”

In accordance with its responsibilities and priorities, APCMCOE delivers relevant 

and practical programs in the civil-military components of six key areas: multiagency 

collaboration; training, education and doctrine; research and lessons learned; conflict 

management and prevention; governance and rule of law; and humanitarian, recovery 

and disaster management.

Australia’s Interpretation of Comprehensive Approach

The term CA is used by numerous Australian and overseas governmental and private 

sector organisations. However, there is a variance in interpretation between many of 

these and to some it is seen as a military term. Within policy in Australia the term 

CA is often interchanged with Whole of Government (WoGA), Whole of Nation 

or Integrated Approach. As an example, a report commissioned by the Australian 

Emergency Management Committee in 2009 included Principle 4: “Where appropriate consider an integrated approach to planning, program development and research.” 

(EMA, 2009: 2)

However, the Australian Emergency Management Institute in the 2010 

Emergency Management Seminar referred to the CA, and stated, “The comprehensive approach is really about mainstreaming emergency management so that it is never 

just up to a single agency to respond in isolation to an event.” (NSCDD, 2010: 30)

Peter Rogers7

 highlights the CA as one of the four key approaches to Emergency 

Management at the heart of the Australian context, but describes it this way: “The 

comprehensive approach is in and of itself the longest standing of these four in Australian 

practice and itself is made up of four key areas of operation. These are (1) Preparing 

for Emergencies, (2) Preventing Emergencies, (3) Responding to Emergencies, (4) 

Recovering from Emergencies, when combined referred to as PPRR.” (Rogers, 2010: 55)

From a Defence viewpoint, in an effort to ensure common terminology in coalition 

operations, the ADF is adopting the definitions of our allies. The current version of 

the draft Joint Doctrine Notes 1–11 (JDN 1–11) glossary defines CA as:

1. Commonly understood principles and collaborative processes that enhance

the likelihood of favourable and enduring outcomes within a particular situation. UK British Defence Doctrine (BDD).

2. An approach that responds effectively to complex crises by orchestrating,

coordinating and de-conflicting the activities of the military, other government departments and, where possible, international organisations and 
Educating and Training: An Australian Perspective

167

non-governmental organisations. NZDF JDN 1/10 Guidelines for the 

Military Contribution to Stabilisation. (DOD, 2011: 1–3)

In discussing stabilisation, the draft JDN 1–11 states that stabilisation is conducted using a comprehensive approach involving various government, nongovernment 

and other actors, and provides a diagram, as shown in figure 1, to distinguish between 

CA and WoGA. It further clarifies that the Australian whole of government contribution may include the ADF conducting stabilisation operations, but stabilisation can 

be conducted without the use of military forces. (DOD 2011: 1–3)

terrorists

COIN

Irregular Warfare

ADF Stabilization Op

Multi agency Govt and Non-Govt Australian Whole Government Approach

Multi agency Govt and Non-Govt Multinational Comprehensive Approach

irregulars

non-state actors extremists drug trafckers

Violence Reduction

Political process and governance support

Economic and social development

Institution Building Population Protection

insurgents pirates civil disorder intimidation

corruption arms trafcking guerrillas

violence

Figure 1. Stabilization (DOD 2011: 1–2)

Failed/failing state

Stabilization

As a member nation of the Multinational Interoperability Council (MIC)8, 

Australia, via the ADF, is contributing to a draft paper on the topic of the CA. Based 

on preliminary products at the working group level, the Principals of the seven MIC 

nations originally mandated the development of a document covering the topic of 

“Comprehensive Approach” at their annual meeting June 15–19 2009 in Australia. 

The paper is primarily designed for use by prospective Coalition Commanders and 

their staffs to describe principles of how current military operations are usually embedded in a larger context of civil-military interaction. At the same time, it also informs 

potential civilian partners on the vision and views of the militaries organised within 

the MIC, describing the application of a CA as both a mindset and a method to crisis 

prevention, crisis management and postconflict activities. This document therefore 

aims at establishing a certain commonality in CA understanding and terminology in 
Menhinick and Gregory

168

order to support further work between military and civilian partners in the context of 

coalition operations. The central idea is to demonstrate the possibilities, but also the 

limitations, of forming civil-military partnerships at home and in a region or a country 

in need of an international engagement by creating and operationalising the spirit of 

a true team effort. (CATT MIC, 2011: 1) However, even the current version of this 

document highlights that there probably never will be one single definition of CA and 

even WoGA, but rather, a flexible amalgam of different approaches—a way of thinking 

or a method, rather than a mechanical process. (CATT MIC, 2011: 4)

Several members involved in the review have raised some criticism that this conceptual paper appears to be developing the doctrine around a military lead in conflict 

prevention or crisis. This is despite the paper stating that each situation requires 

analysis as to the most appropriate organisation to lead. Thus it can be ascertained 

that there is a degree of sensitivity in Australia as to just how dominant or imposing 

Defence is in this area. This sensitivity is a major issue. In attempts to alleviate these 

concerns, and to provide a better understanding of the broadness of Defence’s abilities and approach, liaison officers to Defence for AusAID and AFP have been placed 

in the ADF’s Headquarters Joint Operations Command to assist with a more CA to 

planning for operations and exercises.

Education and Training for a CA

Culture is key to an effective CA. The culture underpinning an effective CA can only 

be generated through education and training and the secondment of personnel between 

organizations, which creates trust, friendship and openness between people, the creation of joint units and the importance of partnerships between industry, government 

and community. This includes shared terminology and multiagency institutions.

Thus learning is fundamental to systematic modernisation. Interoperability requires close and ongoing training, liaison and exchanges. Shared learning and education 

delivers much of this. (Floyd, 2009: 11) The roots of a CA system that has real operational benefits is to combine education and training with personnel assignments and a 

national accreditation framework that creates a body of national security professionals who understand and can function well in a range of critical interagency activities. 

Being a Western nation in a region of Asian and Pacific Island nations, Australia 

also recognises the importance of understanding and integrating other cultures, both 

organisational and those of other national cultures.

The National Security College (NSC), Australian Emergency Management 

Institute (AEMI), Australian Institute of Police Management (AIPM) and the 

Australian Defence College (ADC) are the major organisations which provide training 

related to a multiagency approach. These institutions recognise the need to conduct 

courses and provide accreditation that cuts across all levels of government and any 

other agencies to teach skills such as interagency planning. They have recently arranged 

to work in partnership and senior staff meet three to four times per year in a collaborative planning forum to discuss a more joint approach to training development and 
Educating and Training: An Australian Perspective

169

delivery. Known as a Collaborative Planning meeting it drives and develops education 

and training relationships between like-minded agencies. This collaborative planning 

has been very successful and at the most recent meeting in June 2011 it was determined 

that the Asia-Pacific Civil-Military Centre of Excellence (APCMCOE) should be 

invited to participate as they also are critical in this area, especially in international 

situations. These are the major Australian organisations that provide training related 

to a multiagency approach. Commandant Australian Command and Staff College 

(ACSC) participates as a member of management and advisory boards for AIPM 

and course members and directing staff are now attending modules or courses at each 

institution. This approach enhances understanding and the use of common terminology by the organisations.

Current examples of the partnership are NSC’s invitation to ADC, AEMI and 

AIPM to participate in the “Collaborative Leadership within Australia’s National 

Security Community” Project, and the joint development of a Graduate Certificate in 

Emergency Management for the Asia-Pacific region by AEMI and ADC. The research 

project will provide a comprehensive account of the degree to which the concept of 

collaborative leadership is understood and practiced through the combination of a 

literature review and interview program. The result of the project will be a report outlining the state of knowledge and practice of collaborative leadership within Australia’s 

national security senior management, and advice for those responsible for educating 

their future senior managers at Australia’s senior national security training institutions 

about options to incorporate collaborative leadership into relevant programs.

The importance of education and training in improving the multiagency approach 

in Australia was particularly demonstrated through the establishment of the NSC. 

This is a joint venture between the Federal Government and the Australian National 

University, and one of its aims is to enhance the functioning of the national security 

community. The College aims to develop graduates with an improved capacity to lead 

or contribute to collaborative strategy development within government, and to build 

networks of cooperation with areas of national security expertise outside government. 

Course participants represent most national security agencies at both Federal and State 

level. However, given that the first Director was only appointed in December 2009, 

the current focus is on Australian participants in order to improve Australia’s ability 

in this area, and there is limited international involvement in the training. As an early 

example of cooperation between agencies, ADC facilities were used to develop and 

conduct the pilot course.

AEMI is part of the Commonwealth Attorney-General’s Department, and is a 

centre of excellence for knowledge and skills in the emergency management sector. 

The Institute conducts a range of education activities that include accredited courses 

and professional development for those working in emergency management across 

all government, non-government and volunteer sectors. AEMI conducts a 2-week 

long Emergency Management Seminar for international participants that aims to 

introduce members to the Australian concept of emergency management as an activity 
Menhinick and Gregory

170

that engages a “whole of nation” approach to managing disasters and emergencies. 

International participants are predominantly from the Asia-Pacific region, but the 

numbers and breadth of countries attending has expanded in recent times. Sessions 

are provided by members from organisations such as St John Ambulance and ICRC. 

Defence personnel in relevant positions will shortly commence attending these courses 

as part of joint operational training, sponsored by ADC.

The AIPM has been in existence for over 50 years, and has responsibility to provide leadership development programs to senior police and emergency services officers 

from Australia and the region. Over the last decade, the AIPM has revamped all its 

programs to have a greater focus on multiagency and whole of government responsibilities. Defence, emergency services and other academic members have been included on 

their Board of Studies since 2004. In addition to ensuring greater integration of police 

and emergency services personnel on all programs, the AIPM has also developed a 

new suite of programs for senior officers to enhance collaboration and ensure a “CA.” 

This is probably best demonstrated through three key programs developed by the 

AIPM over the last decade: Leadership in Counterterrorism (LinCT), “Acacia” (a 

senior police executive leadership program), and the Regional Executive Leadership 

Program (RELP). Defence personnel have now commenced programs at AIPM such 

as the national Executive leadership Program (ELP).

The AIPM is part of a worldwide “LinCT” consortium including the Royal 

Canadian Mounted Police, the U.S. Federal Bureau of Investigation, the Police Service 

of Northern Ireland, and the Scottish Police College. The LinCT program is designed 

to ensure a CA amongst partnered international and national law enforcement agencies 

to the development of responses to the counterterrorism threat. The RELP, with the 

overall aim of improving cooperation and a CA within the region, is delivered on behalf 

of the AFP by the AIPM to senior ASEAN9

 police officers each year. The Acacia 

program included senior police from every Australian police jurisdiction and selected 

international jurisdictions, as well as a variety of senior personnel from Commonwealth 

government agencies. The inaugural program last year was the first industry-sponsored 

development program for one-star police officers.

The AIPM is very conscious of the need to foster a CA to law enforcement and 

emergency services challenges amongst its many stakeholders. Both before and since 

the delivery of the Prime Minister’s National Security Statement, the AIPM has 

continued to change the focus of its programs so that participants examine broader 

issues of cooperation and policy development in a multiagency framework, rather than 

just focusing on their own jurisdiction and local issues.

Within the ADF, noting that the Australian Government has outlined its intent 

for a “Whole of Government/Comprehensive “ approach in the last two White Papers, 

the Australia’s Deployable Joint Force Headquarters (Headquarters 1st Division (HQ 

1 Div)) has actively fostered a flexible amalgam of different approaches within its annual suite of Command Post training activities. HQ 1 Div has targeted this as an area 

for development in line with its role as the deployable joint HQ. Over the past 18 
Educating and Training: An Australian Perspective

171

months, HQ 1 Div has had representation from AusAID, AFP and DFAT on each of 

its planning activities and Command Post Exercises. These Command Post Exercises 

were two tiered with HQ 1 Div hosting representation from the Other Government 

Agencies (OGA), with each subordinate Brigade also hosting OGA representation. 

This enabled wide military exposure to the OGA capabilities and their agency drivers.

With greater participation from non-Defence areas, scenario material has been 

adjusted to enable other agencies to meet some training objectives, rather than just 

be utilized by Defence as a training aid. This is a key aspect in moving training and 

education to a truly comprehensive footing. In conjunction with Australian OGA, 

HQ 1 Div has fostered relationships with ICRC and other international organisations 

and large non-government agencies, which saw ICRC and others deploy on a training 

exercise and provide feedback to HQ 1 Div on issues such as detention policies. This 

was then followed by a visit to the field detention facilities.

In addition, as a greater number of Australian Government agencies are working 

together within Afghanistan, Defence is placing more emphasis on greater interaction 

by other agencies during force preparation activities. Prior to 2010, interaction was 

limited to OGA attendance on a 2-day force preparation course which only instructed 

on force protection measures and did not enable OGA to interact with the personnel 

they would be working with on tour. During 2010, greater effort by both ADF and 

OGA saw OGA participate in Mission Specific Training serials planning serials for 

activities in country, and also in the field based mission rehearsal activities. Again, 

participation in planning serials not only gave a greater appreciation to both sides 

of capabilities specific to agency requirements, but it also enabled those who would 

work together in country to develop those working relationships in a training scenario 

before having to do so in the delicate and dangerous environment of Afghanistan itself. 

Participation in the field based activity particularly facilitated OGA integration with 

patrol routines.

These training activities were not solely ADF delivered. AusAID facilitated a 

3-day “safe and Effective Development in Conflict” with a civilian/ military training 

audience. This was conducted prior to an integrated (military/OGA) planning activity 

and the participant feedback was extremely positive. Comments indicated that it improved Defence’s understanding of the longer-term national development framework, 

and identified areas where negotiation was required between longer-term development 

and short-term counterinsurgency strategies.

Australian Defence College

Given its history, current operational deployments and Defence having the best capability in Australia to plan and conduct operations, the greatest international focus 

of any Australian institution on training for a CA10 is arguably the ADC. The ADC 

delivers courses, doctrine, exercises, and programs of study to prepare Australian 

and overseas Defence Force personnel, government officials and national security 

practitioners for strategic roles within joint and combined operating environments. 
Menhinick and Gregory

172

The ADC fosters networks across Services, agencies and nations. Amongst other 

elements, ADC includes the:

•	 Centre for Defence and Strategic Studies (CDSS)

•	 Australian Command and Staff College (ACSC)

•	 Joint Warfare Doctrine and Training Centre (JWDTC).

The Centre for Defence and Strategic Studies

The CDSS is the senior educational institution of the ADF. CDSS delivers quality 

programs in strategic defense policy and planning, leadership and management, and 

security issues of global, regional and national importance. CDSS is responsible for 

providing Australian and overseas participants with the knowledge and skills required 

to operate at the strategic level in a complex and modern security environment.

The course is conducted at the post-graduate level and most participants are 

military O6–O7 (colonel–brigadier equivalent) or Australian Public Service (APS) 

Executive Level 2. CDSS staff are drawn from senior levels of the ADF, the APS and 

the New Zealand Defence Force, and CDSS engages a visiting faculty of over 300 

presenters, combining practitioners from the military, public and private sector with 

academics from Australian and overseas tertiary institutions and think-tanks. The 

learning opportunities provided on the course are focused at the strategic level and 

emphasize joint, multiagency and international responses.

Each course is attended by some 50 course members, both military and civilian 

officers, but interagency attendees for specific blocks of study are welcome. The 2010 

course panel consisted of 23 Australians, including an AFP and DFAT member and 

6 Defence Civilians, and 22 international members. The overseas course members 

represented 17 countries from the Asia-Pacific region, Europe, North America and the 

Middle East, which added an important dimension to the consideration of the complex 

international issues that face decisionmakers in the strategic, defence and security 

spheres. The opportunity to develop an empathetic understanding of the points-ofview of the other course members creates networks between the future leaders which 

will assist cooperation and understanding in future operations.

The CDSS conducts a range of activities in pursuit of Australia’s interests in 

international partnerships and relations, and also conducts bilateral dialogue and 

exchanges of views with counterpart organizations and senior visiting delegations. 

Course members participate in international dialogue during these events, as well as 

during overseas study tours.

The Australian Command and Staff College

The ACSC offers courses designed to prepare selected career officers for command 

and staff appointments (lieutenant colonel equivalent), and to develop selected APS 

and professionals working in roles in single service, joint and integrated environments. 

With officers from the Australian Regular and Reserve military forces, the APS, and 
Educating and Training: An Australian Perspective

173

this year from 21 allied and partner countries (43 overseas course members in 2011) 

represented at ACSC,11 course members are exposed to a challenging diversity of 

perspectives and given an invaluable opportunity to establish firm professional and 

personal relationships with the future leaders of Australian, allied and partner forces.

The Australian Command and Staff Course (Joint) (ACSC(J)) is a full-time, 

46-week course conducted from mid-January to early December. It is preceded by 

an orientation week for the overseas course members. Each course is attended by a 

maximum of 180 full-time students at (major equivalent) level. Members from six 

other nations are included on staff, and can be given responsibility for managing 

course modules.

Although not new to any military staff course, the benefits brought to ACSC(J) 

from the participation of overseas course members and overseas staff members are profound. The broad range of ideas and different perspectives exposed by having so many 

different nations represented in the main theatre cannot be replicated by any amount 

of reading or study. Of particular importance for ACSC is the attendance by course 

members from the ASEAN Regional Forum nations, which is the focus of Australia’s 

strategic area. To emphasize the importance of the human interaction the Vice Chief 

of the ADF, LTGEN Hurley, (now Chief of Defence Force—GEN Hurley) in his 

address to the 2011 course, stated that if any graduate does not form a solid and enduring friendship with at least one overseas member by the end of the course, then they 

have effectively failed in his estimation, despite what their final grade might indicate. 

The ability to “phone a friend” in any future crisis or emergency and offer to help or 

to dispel a concern cannot be overstated in importance. Without doubt, ACSC(J) 

gains its greatest strategic strength from the inclusion of overseas course members. 

Australian course members not only learn from their overseas peers, but also learn 

from the different perspectives brought to the course by the participation of “outsiders” in certain modules and exercises, especially in syndicate discussions. For the past 

3 years, senior enlisted non-commissioned officers at the Warrant Officer rank have 

joined the Single Service component of the course. In addition, during the Stability 

Operations unit, various government and non-government agency representatives are 

invited to participate in the exercises and throughout the year, the opportunity is taken 

to exchange syndicate groups from New Zealand, Singapore and the United States.

Feedback from course members over the years indicated that significant student 

learning occurs within syndicate discussion periods. ACSC(J) syndicates have always 

included representatives from each of the three Services and an overseas course member, and are now likely to also include an APS member and a Warrant Officer from 

any of the three services. Additionally, there has also been a noticeable increase in the 

level of recent operational experience arriving with course members. It can no longer be 

assumed that the Directing Staff (DS) have a level of experience in recent operations 

that surpasses that of their students. With this expanding knowledge and experience 

base resident within each syndicate, it is now imperative that DS draw from syndicate 

group members rather than rely on their own knowledge. Thus the principal role of 
Menhinick and Gregory

174

DS within ACSC is not to deliver from their own experience, but to create a learning 

environment where each member of a syndicate has the confidence and support to 

freely express their opinion and discuss the opinions of others. It is this emphasis on 

facilitation, rather than the traditional approach to teaching, that appears to best meet 

the educational aims of ACSC(J).

ACSC has taken a blended learning approach to Professional Military Education. 

This powerful solution combines the more traditional approach of lectures and syndicate discussion with e-Learning, simulation and role-plays. The secret is choosing 

the right mix of delivery methods for the intended learning outcome. For example, 

ACSC(J) attempts to develop student command, staff and communications skills 

by immersing students in large scenario based simulation exercises. These exercises 

include planning sessions with military and non-military specialists, multiple other 

real world civilian players and partners who would be significantly involved before, 

during, and after military phases of future operations. During all phases within the 

exercises, course members role play staff in various Headquarters and are forced to 

address simulated operational problems and related issues inherent in joint, combined 

and civilian cooperation and interagency interaction. Other examples include the use 

of video teleconferencing to expose students to the best minds in the world within a 

particular field of study and the use of computer simulation to enhance the learning 

experience by delivering real-time outcomes from complex planning scenarios.

The ACSC(J) curriculum includes a 2-week element within the Joint Operations 

module dedicated to the theory and application of the CA. The module is designed to 

provide an interactive and engaging environment between course members and a wide 

range of external practitioners, academics and leaders who have experience working 

within a stabilisation operations environment. Representatives from Defence, other 

Australian Government agencies, NGOs and international organisations from the 

humanitarian community deliver presentations to promote discussion and understanding of the challenges and dynamics inherent in these types of operations. The module 

culminates with an exercise week where course members work in consultation with 

contributing stakeholders through challenging vignettes to understand the planning, 

conduct and coordination required in postconflict and humanitarian relief stabilisation operations.

Complex Planning and Operations (CP&O) is one of four military electives conducted during the course. CP&O participants are volunteers who may include military 

(both Australian and overseas) and civilian personnel. In 2010, in recognition of the 

importance of a whole of government and multiagency approach in contemporary 

operations, invitations to attend the elective were sent to a number of Defence and 

other government departments. As a result, an APS member from International Policy 

Division (IPDiv) participated, adding a unique perspective that proved invaluable to 

the group activities. Similar invitations to join the elective will be distributed in 2011.

The aim of CP&O is to develop a cadre of officers and, in recognition of the 

importance of the CA, officials capable of tackling the myriad of problems inherent 
Educating and Training: An Australian Perspective

175

in contemporary operations. The elective aims to equip participants with enhanced 

problem solving and decisionmaking skills that are relevant to the planning and conduct of operations in an interagency, coalition and joint battle space. Its overarching 

theme is a systematic reflection on the demands of Complex War as part of a joint, 

whole of government and interagency approach. As such, it tackles complex problem 

solving and decisionmaking across the spectrum of conflict rather than simply the 

development of specific military planning skills.

To ensure that the CP&O elective adequately addressed the necessity of the CA, a 

number of Defence and other government departments were consulted throughout its 

planning. These included IPDiv, AusAID, AFP IDG, the APCMCOE and the UN 

Office for the Coordination of Humanitarian Affairs. In addition to consultation on 

the development of the elective curriculum, a number of these organisations provided, 

along with academic institutions such as ANU School of International, Political and 

Strategic Studies, visiting lecturers throughout the elective.

The members also undertake an Overseas Study Tour which builds a greater 

understanding of Australia’s regional neighbours and allies. Course member groups 

visit and research different countries, and present their findings to the other course 

members on their return to Australia. ACSC(J) also has significant links with overseas 

colleges such as those in the United States, United Kingdom, Canada, New Zealand, 

Pakistan, Singapore, Malaysia and Japan. This is being expanded across all countries 

within the ASEAN Regional Forum via Higher Defence University meetings.

The Joint Warfare, Doctrine and Training Centre

The JWDTC is part of a broader joint education and training environment that values 

the lessons and experiences of the past, yet at the same time has the courage and the 

spirit to apply personal expertise and opinion to the lessons and experience. JWDTC 

has been tasked to be increasingly focused on meeting the operational training requirements of the 2009 Defence White Paper, again a necessary linking of practical 

training to national strategic policy. JWDTC encourages staff and students to question 

traditional thought, blend individual service professionalism into the joint environment, innovate new ideas, search the world for the ideas of others, and test ideas and 

concepts against the emerging environment. JWDTC aims to maximise the learning 

and training experience for everyone influenced by JWDTC activities.

The JWDTC role is to enhance ADF Joint and Combined operational capability through the review and development of joint doctrine; development and delivery 

of joint individual training (including peace operations training); and provision of 

simulation support to selected stakeholders in the wider ADO. Specifically, the role 

of the ADF Peace Operations Training Centre, which is part of JWDTC, is to act 

in the interests of the ADF and Australia to enhance regional and global security 

and stability, via engagement with other government, nongovernment, and military 

organisations, both domestic and international.
Menhinick and Gregory

176

Two of JWDTC’s key outputs are to develop and conduct individual joint training 

for ADO and other government personnel to enhance their effectiveness in a Joint/

Combined operational environment and to conduct Peace Operations training and 

international engagement.

JWDTC’s 2-week Civil Military Cooperation (CIMIC) course is the most 

relevant to educating for the CA. The course aim is to familiarize students with 

the conduct of CIMIC operations planning within the ADF and by the ADF with 

other agencies in a Whole of Government context as well as with coalition partners. 

Presenters are drawn from the ADF and other Australian Government departments 

and agencies involved in joint operational planning, such as AusAID, APCMCOE, 

DFAT and the AFP as well as the ICRC. The U.S. Army Pacific present on U.S. 

Civil Affairs. Syndicates consolidate learning through discussion and participation in 

tactical level planning exercises. Analysis is conducted in syndicates and is supported 

by trainers and assessors with experience in CIMIC. JWDTC staff also instruct on 

the NATO CIMIC course.

Conclusion

Although CA is not a term readily understood and used by all Australian organisations, there has been significant progress in enhancing Australia’s employment of 

this methodology. Although the Federal Government is normally keen to involve 

the ADF in disaster and conflict management to be seen as proactive, to utilize the 

military planning processes and resources, and to boost the morale of “victims” in the 

crisis, there is recognition that the ADF may not always be the most appropriate organisation to lead and plan the recovery process. The Government has taken steps to 

promote a cohesive national security community culture, including through education 

and training, secondments and the formation of joint units. Employment of the CA at 

the strategic level is reinforcing and empowering the tactical implementation. Closer 

liaison between the government and NGOs and experience gained from involvement 

in international assistance are enhancing the collaboration.

Learning is fundamental to systematic modernisation and shared learning and education delivers much of this. Government initiatives such as the establishment of the 

NSC and the multiagency education and training focus for the other national security 

organisations demonstrate the recognition of the important role played by education in 

training to improve the CA between Australian organisations. The partnership being 

developed between the major security training institutions is playing a major role in 

promoting the CA both in Australia and in the region.

References

Abigail P., (2011), “A Better Fit—National Security and Australia’s Aid Program,” 

Australian Strategic Policy Institute, Canberra, March.
Educating and Training: An Australian Perspective

177

CA Tiger Team of the Multinational Interoperability Council, (2011), CA 

Framework—A Military Perspective Version 2.0, 4 February.

Department of Defence, (2009), Defence White Paper 2009, Defending Australia in 

the 21st Century: Force 2030, Commonwealth of Australia, Canberra.

Department of Defence, (2011), Joint Doctrine Notes 1–11 (draft), Commonwealth 

of Australia, Canberra.

Department of Defence, (2007), “The History of the Radford-Collins Agreement,” Sea 

Power Centre-Australia, November, in Semaphore Issue 15.

Emergency Management Australia, Education, Awareness and Engagement Programs 

for Natural Hazards in Australia—A Review, 2009.

Floyd N, (2010), “Dropping the Autopilot: Improving Australia’s Defence Diplomacy,” 

Lowry Institute for International Policy, Sydney, November.

Floyd N, (2009), “How Defence can contribute to Australia’s national security strategy,” 

Lowry Institute for International Policy, Sydney, August.

Ministry of Defence, (2008), Joint Doctrine Publication 0–01 British Defence Doctrine 

(3rd Edition), Shrivenham, August.

National Security Capability Development Division, (2010), Emergency Management 

Seminar 2010, Participant Workbook.

New Zealand Defence Force, (2010), New Zealand Defence Force Joint Doctrine Note 

1/10—Guidelines for the Military Contribution to Stabilisation, Wellington.

Organisation for Economic Cooperation and Development 2005, Principles for Good 

International Engagement in Fragile States, April, OECD: Paris.

Rogers P, (2010), “Development of Resilient Australia: enhancing the PPRR approach 

with anticipation, assessment and registration of risks,” Macquarie University, in The 

Australian Journal of Emergency Management Vol. 26, No. 1, January 2011, pp54—58.

Rudd K, MP, Prime Minister, (2008), The First National Security Statement to the 

Australian Parliament, 4 December.

Smith R, (2008), Report on the Review of Homeland and Border Security—summary 

and conclusions., Canberra, 4 December.

Wainright E, (2005), “How is RAMSI Faring?: Progress, Challenges, and Lessons 

Learned,” Australian Strategic Policy Institute: Canberra, http://www.aspi.org.au/

publications/publication_details.aspx?ContentID=68&pubtype=6 (accessed 29 

September 2010).

Weaver M, McKenzie H (2011), “The Calm After a Storm—Defence at the Frontline 

to Rebuild and Recover,” Defence Magazine Issue 1, Canberra, pp20—21.
Menhinick and Gregory

178

Notes

1. Australia is the 6th largest country in the world with a total area of 7,686,850 sq 

km (2,967,909 sq mi), making it slightly smaller than the contiguous 48 states of the 

United States and 31.5 times larger than the United Kingdom.

2. In the response to the recent Cyclone Yasi in Queensland, Defence was one of almost 

20 Federal Government agencies that responded to the crisis. The commander of the 

Joint Task Force said the first priority was very strong and wide liaison by pushing 

people out to get involved with all government and non-government agencies, collect 

information and confirm priorities. (Weaver M, McKenzie H (2011), p21)

3. Established in 2005, the BPC was originally named Joint Offshore Protection 

Command but was renamed in October 2006.

4. These agencies include: Attorney-General’s Dept, Australian Antarctic Division, 

Australian Communications and Media Authority, AFP, Australian Fisheries 

Management Authority, Australian Maritime Safety Authority, Australian 

Quarantine and Inspection Service, Dept of Agriculture, Fisheries and Forestry, Dept 

of Environment and Water Resources, DFAT, Dept of Immigration & Citizenship, 

Dept of Industry Tourism and Resources, Dept of the Prime Minister and Cabinet, 

Dept of Transport and Regional Services, Emergency Management Australia, Great 

Barrier Reef Marine Park Authority

5. The BPC is responsible for coordinating and controlling operations to protect 

Australia’s national interests against the following maritime security threats: Illegal 

exploitation of natural resources, Illegal activity in protected areas, Unauthorised maritime arrivals, Prohibited imports/exports, Maritime terrorism, Piracy, Compromise 

to bio-security, Marine pollution.

6. Undertaken by Ric Smith AO PSM and presented to the Australian Government 

on June 27, 2008.

7. Peter Rogers is Director of Social Science and a Lecturer in the Sociology of Law at 

Macquarie University in Sydney. He is active in researching resilience and emergency 

management, with a focus on strategic policy at national and international levels and 

urban development, multiagency cooperation and community engagement at local 

levels.

8. MIC is a seven nation forum that identifies and addresses strategic and high-level 

operational interoperability issues, challenges and gaps. This forum has existed since 

1996 and consists of representatives from the Ministries/Departments of Defence 

of Australia, Canada, France, Germany, Italy, the United Kingdom and the United 

States.
Educating and Training: An Australian Perspective

179

9. The Association of Southeast Asian Nations (ASEAN) consists of Indonesia, 

Malaysia, Philippines, Singapore, Thailand, Brunei Darussalam, Vietnam, Lao PDR, 

Myanmar and Cambodia.

10. ADC defines CA as per the draft JDN 1–11: “An approach that responds effectively to complex crises by orchestrating, coordinating and de-conflicting the activities 

of the military, other government departments and, where possible, international 

organisations and non-governmental organisations.”

11. Members from Brunei, Cambodia, Canada, China, India, Indonesia, Japan, 

Malaysia, New Zealand, Pakistan, Papua New Guinea, Philippines, Saudi Arabia, 

Singapore, Sri Lanka, Thailand, Tonga, United Arab Emirates, United Kingdom, 

United States of America, Vietnam. CDSS also has a member from Qatar.

181

Chapter 11

Comprehensive Approach on 

UNSCR 1325: Why the U.S. 

and Others Should Follow

Elizabeth Lape

The empowerment of woman in unstable countries benefits not only 

them, but all of us. It is a crucial component of a comprehensive 

approach to the security challenges of the 21st century.

—NATO Secretary General Anders Fogh Rasmussen

Abstract

NATO and its partners are taking action to implement United Nations Security 

Council Resolution (UNSCR) 1325 adopted in October 2000. This resolution recognizes the disproportionate impact war and conflicts have on women and children, 

and highlights that women have been left out of the peace process and stabilization 

efforts. It calls for full and equal participation of women from early conflict prevention 

to postconflict reconstruction, peace and security. A key achievement is the appointment of gender advisers both in the field and at several Allied commands.

A group of nations undertook a study on the implementation of UNSCR 1325 

in the Provincial Reconstruction teams (PRTs) in Afghanistan. The May 2009 study 

results emphasized the need for a comprehensive strategy and the active support 

of both political and military leadership in promoting and taking responsibility for 

integrating Resolution 1325. The Strategic Allied Commander (SAC) Europe and 

Strategic Allied Commander Transformation (SACT) signed up to a Bi-Strategic 

Command Directive in September 2009 which states that an education, training and 

exercise program will improve awareness of women’s perspectives and advance gender 

mainstreaming in NATO’s military organizations. (NATO, 2009)

During the November 2010 Lisbon Summit, a new strategic concept was adopted. The Heads of State and Governments endorsed an action plan to mainstream 
Lape

182

UNSCR 1325 into NATO-led operations and missions. Education and training of 

the staff is essential to raise awareness, and to contribute to the effectiveness of operations and missions.

At the anniversary of UNSCR 1325, Secretary of State Clinton announced the 

United States was developing a national action plan. Future operations will be alongside coalition partners. As our nation’s action plan is developed, we need to understand 

and support this concept. This chapter will review the resolution requirements, and 

consider requirements to educate our forces on gender perspectives so we can respond 

to crisis management situations. Not only will the coalition partners be included in the 

planning process, but we must take a comprehensive approach to include all military, 

government and private sector personnel to ensure the security of both genders.

Introduction

The Department of Defense’s recent report to the Congressional Defense Committees 

stated the number of reported sexual assaults at the U.S. military academies rose 64 

percent in the academic year 2009–2010 compared to last year’s figures. The increase 

could be a result of more people reporting the incidents rather than just a significant 

increase in the number of actual assaults, as there have been recommendations in recent 

reports that the academies need to take steps to bring more victims forward to report. 

It stated there were 41 reports of sexual assaults that occurred within the walls of the 

three main service academies: U.S. Naval Academy, West Point and the Air Force 

Academy. This report estimates that these numbers represented only 10 percent of 

the numbers actually occurring. (DOD, 2010: a)

To make such a statement 30 years after women were admitted into the service 

academies in 1976 is abysmal. Many of the issues regarding sexual assault and sexual 

harassment are still occurring after years of being fully integrated with the men. 

Beachum stated “the level of male violence against women in this society is out of 

control. Despite decades of feminist activism, boys and girls are still sexually abusing, battering, raping, and murdering girls and women at alarming rates. While this 

violence has no single cause, the dehumanization and objectification of women in the 

media is surely one of the contributing factors. Consider the pervasiveness of sexual 

harassment that women suffer from men in school, the workplace, on the street. Men 

aren’t biologically programmed to harass women.” (Beachum, 2008: 48)

Biases against women are still prevalent in today’s armed forces. Even with the 

many years of sexual harassment training required by the different services, there still 

appears to a “deaf ear” on the situation. Sexism, which is described as discrimination 

based on gender, in most cases results in a disadvantage to women (Beachum, 2008). 

Sexism is often accompanied by negative beliefs regarding the abilities of gender and 

misogyny. Misogyny is defined as the distrust or hatred of women which, unfortunately, appears to still be a characteristic of the American masculine culture and a 

part of the American landscape. We must learn from history and try not to repeat 
Comprehensive Approach on UNSCR 1325

183

the same social injustices from the past, and remember them when making forward 

progress (Blount, 2008).

The women who have been oppressed all these years must take a call to action 

and educate those in leadership positions on what steps can be taken in an action plan 

to overcome these injustices. There has also been a long history in the education field 

of not recognizing social injustice regarding the exclusion of women, minorities, and 

persons with different sexual orientations (Bogotch & Jansen, 2008). Social justice 

theory can assist in intervening in all circumstances around the world, though culturally some will be more difficult to overcome. Unfortunately, to date that has not been 

enough to overcome the issues, many times due to tribal customs or poverty levels. We 

as educators in whatever specialty we have must be aware of the politics locally and of 

the world so that we can be more active socially in alerting others to the concerns when 

trying to overcome these injustices. The author believes that women should be allowed 

to interact as members of society without fear of retribution based upon their gender.

Women’s oppression is not only based upon the fact that women are unequal in 

power, wealth, and status from men, but also because women typically tend to work 

for men and nurture them. Gender socialization of women tends to make them better 

at providing empathy and support for people’s feelings and at smoothing over interactive tensions. Both men and women look to women to be the nurturers (Young, 

2007). Many books have been written about the differences men and women have in 

communication styles and approaches to different situations. Gray (1992: 2) noted 

that “Men mistakenly expect women to think, communicate, and react the way men 

do, women mistakenly expect men to feel, communicate, and respond the way women 

do.” “Women’s intuition” is discussed in Pease (2000: 19) noting that it “is mostly a 

woman’s acute ability to notice small details and changes in the appearance or behavior 

of others.” Just like people from cultures around the world behave differently we have 

to understand these differences, and that frictions can arise between men and women 

because “...boys and girls grow up in what are essentially different cultures, so talk 

between women and men is cross-cultural conversation.” (Tannen, 1990: 18) Finally, 

Gilligan (1993) writes on the differences between men and women and how they “arise 

in a social context where factors of social status and power combine with reproductive biology to shape the experiences of males and females and the relations between 

the sexes” Gilligan (1993: 2). We as “public intellectuals” (Dantley & Tillman, 2008) 

need to view the social and cultural background of the situation to try and understand 

the reasoning behind why the social injustice is occurring. As leaders in education, we 

must view the cultural reality that led to the injustice and develop an education plan 

that strives to work diplomatically within reality to achieve the proper endstate, in this 

case a better awareness of gender to ensure women are safe in their environment, along 

with the proper consideration of women’s issues when planning operations.

The purpose of this chapter is to discuss the security of women in the military 

from a social justice perspective and to describe how the militaries in other countries 

are not only working to solve the violence concerns, but also how they are using the 
Lape

184

gender in beneficial ways during the planning of operations. The chapter will provide 

background information on the subject of violence against women, followed by an 

introduction to resolutions by the United Nations Security Council that address the 

vulnerability of women and children to violence, and the role women can play in resolving violence. It will review what other countries’ military organizations have instituted 

to try and combat these issues during military operations. It will also discuss what they 

have done to further educate and train their military on the overall use of gender as a 

planning factor in a military organization.

Background

Rape crisis networks estimate that more than one-third of all American women have 

been exposed to a rape or attempted assault. Members of a group who have systemically 

been exposed to violent behaviors know they must fear random, unprovoked attacks 

on their persons or property only because there is some other group out there that 

wishes to impose and carry out their actions in order to humiliate, damage or destroy 

the person (Young, 2000). This type of violent behavior towards a particular group 

is usually associated with women, but there have been instances when it was the male 

gender that was at risk of violent harm to their person.

The genocidal assault launched against Kosovo’s civilian population in 1998–1999 

is one example. From a gender perspective, there was certainly a strong trend towards 

sexual assault of younger Kosovar women, but there was also the systematic targeting 

of “battle-age” men for mass execution, detention, and torture (Case Study: Kosovo). 

Beginning on March 19, 1999, and then escalating with the beginning of the NATO 

airstrikes on Yugoslavia on March 24, the Serbs implemented an “ethnic cleansing” 

campaign focusing on expulsion of most of the population, and violence towards the 

groups noted above. These young women and battle-age men had become trapped as 

they were unable to escape to the hills or surrounding countryside. The gendercidal 

massacres continued throughout the war, including the largest known mass killing at 

Meja on April 27. It was estimated that there were almost 500 men who may have 

been killed at that location. As a result of support from their Russian allies, along 

with the significant damage being done to the Yugoslavian infrastructure by NATO 

bombings, Slobodan Milošević’s regime ended the mass murder and expulsions in 

June 1999 (Case Study: Kosovo).

Violence against both genders is an unfortunate consequence of war. There are 

also more noted instances of violence against women during times of turmoil and times 

of peace, among their peers as well as their enemies. In order for units to properly accomplish their missions, consideration must be given for protection and security of all 

of their members, as well as innocent civilians.

United Nations Security Council Resolutions (UNSCRs)

A little more than a year after the end of the gendercidal atrocities, the United 

Nations adopted United Nations Security Council Resolution (UNSCR) 1325. 
Comprehensive Approach on UNSCR 1325

185

This resolution was in response to concerns that civilians, in particular women and 

children, accounted for the majority of the persons and refugees who were internally 

displaced as a result of combat action (UNSC, 2000). International humanitarian and 

human rights laws needed to be implemented that would protect women and children 

during and after conflicts. All parties in armed conflict were called upon to take special 

measures to protect women and girls from gender-based violence, particularly from 

rape and other forms of sexual abuse. This resolution particularly emphasized the 

responsibilities of all countries to put an end to the impunity and to prosecute those 

responsible for genocide crimes against humanity and for war crimes including those 

relating to sexual and other violence against women and girls.

Furthermore, UNSCR 1325 took steps to reaffirm the important role of women 

in the prevention and resolution of conflicts and in peacebuilding (UNSC, 2000). This 

resolution stressed the importance of their equal participation and full involvement in 

all efforts for the maintenance and promotion of peace and security, and the need to 

increase their role in decision-making with regard to conflict prevention and resolution.

NATO and its partners are taking action to implement this resolution (UNSC, 

2010: a). They recognize the disproportionate impact war and conflicts have on 

women and children, and highlight that women have been left out of peace process 

and stabilization efforts. They are calling for full and equal participation of women 

from early conflict prevention to postconflict reconstruction, peace and security. A 

key achievement is the appointment of gender advisers both in the field and at several 

Allied commands.

Since 2000, the UN has adopted four other resolutions further emphasizing the 

concerns noted in 1325, and added additional elements to consider. UNSCR 1820, 

adopted in June 2008, was drafted to add to 1325 by focusing on the prevention and 

response to sexual violence in situations of armed and post conflict. UNSCR 1888 

was adopted in 2009 to reinforce 1820 by appointing a UN Special Representative to 

advocate for the end of sexual violence in armed conflict. UNSCR 1889 was adopted 

to balance the original 1325 by improving and monitoring the reporting component 

and highlighting the importance of resource allocation (UNSC, 2010: a).

A group of nations undertook a study on the implementation of UNSCR 1325 

in the Provincial Reconstruction Teams (PRTs) in Afghanistan. PRTs were designed 

to help improve stability in Afghanistan and Iraq by: (a) increasing the host nation’s 

capacity to govern; (b) enhancing economic viability; and (c) strengthening local 

governments’ ability to deliver public services, such as security and health care. PRTs 

consist of a few military members from several nations, but more importantly, they 

also include members from various interagency organizations. They complemented 

the military members with their capacity to coordinate interagency diplomatic, economic, reconstruction, and counterinsurgency efforts among various U.S. agencies in 

Afghanistan and Iraq. PRTs were originally created as an interim measure to be only 

for security and reconstruction by helping the government extend its authority to the 

provinces. Later the mission was expanded to include strengthening local governance 
Lape

186

and community development. To accomplish their missions, PRTs engaged in and 

funded a variety of activities, such as developing the capacity of local governments 

through engagement with local stakeholders; promoting budget execution, business 

development, agriculture, public health initiatives, and governance; and supporting 

the delivery of basic social services (Christoff, 2008).

An independent study was conducted in 2009 to review the effectiveness of 

UNSCR 1325 as it pertained to the PRTs. The Supreme Allied Commander, Europe 

and Supreme Allied Commander, Transformation BI.SC Directive 40–1 dated 

September 2009 states an education, training and exercise program will improve 

awareness of women’s perspectives and advance gender mainstreaming in NATO’s 

military organizations (NATO, 2009).

The results of this study indicated that gender integration was not only sparse, 

but sometimes nonexistent (NATO, 2009). The May 2009 study results emphasized 

the need for a comprehensive strategy and the active support of both political and 

military leadership in promoting and taking responsibility for integrating UNSCR 

1325. Support for this resolution requires a comprehensive approach that allows for 

communication between men and women on the ground to see a better picture of 

what is actually occurring in the area. This approach can also extend to ensuring more 

protection of the civilian population against any violence.

As a means of a communication strategy, the International Security Assistance 

Force (ISAF) was able to use the local radio stations to organize a meeting between 

female members of parliament, business women, women’s groups and military personnel. This type of inclusion gave women in that community a say in the outcome 

of any decisionmaking process. The results were much better for PRTs that were 

led by a country that had a National Action Plan already addressing the support for 

UNSCR 1325 (NATO, 2010: a). Another example given is the discussions between 

the women of the military units and the women of the local village, which uncovered 

information regarding a wedding that would be occurring the next weekend. As a result 

of this discovery, the logistics train that had been scheduled to transit that area during 

that time was rerouted, thereby saving a potential volatile situation from occurring.

Political and military leadership play an important role in ensuring integration of 

gender perspectives into operations. Typically this type of leadership style is developed 

in a culture that relies upon the hierarchical structure of a chain of command, one that 

is often more authoritarian. But in first accepting, and then supporting a social justice 

issue that can be controversial, these leaders must be “Transformational Leaders” 

who can develop long-term relationships with their followers because they produce 

significant change in the issue, and also raise other leaders and followers to higher levels 

of motivation and morality (Strike, 2007).

In order to provide guidance to the military and political leadership, UNSCR 1960 

was adopted in December 2010. This resolution focused on “the need for civilian and 

military leaders, consistent with the principle of command responsibility, to demonstrate commitment and political will to prevent sexual violence and to combat impunity 
Comprehensive Approach on UNSCR 1325

187

and enforce accountability, and that inaction can send a message that the incidence of 

sexual violence in conflicts is tolerated” (UNSC, 2010: b: 1). Additionally, as captured 

in UNSCR 1960, it must ensure that the countries are all aware that they must “end 

impunity and to persecute those responsible for genocide, crimes against humanity, 

war crimes, and other egregious crimes perpetrated against civilians and, in this regard, 

noting with concern that only limited numbers of perpetrators of sexual violence have 

been brought to justice, which recognizes that in conflict and in postconflict situations 

national justice systems may be weakened” (UNSC, 2010: b: 1).

The adoption of UN Security Council resolutions 1325, 1820, 1888, 1890 and 

most recently 1960, highlights the increasing attention to and support of the prevention of violence against women and girls, their effective protection and the promotion 

of a more equal participation of women on any level of decisionmaking, especially in 

the field of security.

Overall these resolutions call upon the countries to:

•	 Include gender issues in national pre-deployments training programs for 

military and civilian police personnel

•	 Take steps to prevent sexual exploitation and abuse and ensure accountability 

for any such conduct that does occur

•	 Institute measures to deploy more women as peacekeepers and to other 

operational positions

•	 Support the participation of local women in all steps of conflict resolution.

Though the original UNSCR 1325 was adopted in 2000, serious discussions on 

how to implement this resolution in NATO did not occur until several years later.

The UN/NATO Comprehensive Approach to Gender Awareness

The United Nations (UN) Program for Reform began in 1997. The goal of this plan 

was for the organizations within the UN to include human rights in their activities and 

programs where possible. In order for all the organizations to fully understand what 

was required in this implementation, the UN developed a “statement of Common 

Understanding” that describes the human rights-based approach in the development 

of UN agencies cooperation goals. This statement is as follows:

“Common Understanding”

1. All programes of development co-operation, policies and technical assistance should further the realization of human rights as laid down in the 

Universal Declaration of Human Rights and other international human 

rights instruments.

2. Human rights standards contained in, and principles derived from, the

Universal Declaration of Human Rights and other international human 

rights instruments guide all development cooperation and programming in 

all sectors and in all phases of the programming process.
Lape

188

3. Development cooperation contributes to the development of the capacities

of “duty-bearers” to meet their obligations and/or of “rights-holders” to claim 

their rights.” (Anderson, 2005: 1)

The Organization for Security and Co-operation in Europe (OSCE) is a unit of 

the UN that acts as the world’s largest regional security organization since it contains 

56 States from Europe, Central Asia and North America (OSCE, 2010). The OSCE 

Secretary General, Marc Perrin de Brichambaut, told the UN Counter-Terrorism 

Committee in a recent press release that “We promote co-operation based on shared 

commitments and a comprehensive approach, which regards the protection of human 

rights as an integral element of security” (OSCE, 2010: 1). Within their work on security among the 56 states, they endeavor to include all governments, the civil society 

and the private sector. Their intent is that this organization will work together to 

share information, lessons learned, and policies in an attempt to achieve this purpose, 

all parts of a comprehensive approach (OSCE, 2010).

The United Nations Development Fund (UNDP) and United Nations Fund for 

Women (UNIFEM) have resources and prestige within the international development 

community that can assist in the developing world. The intent is to protect women 

and girls from forced and under-age marriages and violence in Afghanistan. There 

is concern that women will only be considered victims of events that occurred in the 

past, and not as active members in the present community. In the end this may prevent 

these women from empowering themselves through UN services and resources (Long, 

2007). In a comprehensive approach to adjudicate this situation, policymakers and 

development workers need to work together to ensure Afghan women are not more 

vulnerable, especially in a highly insecure environment like Afghanistan.

The North Atlantic Treaty Organization (NATO) realizes the military organizations of any country cannot ensure the success of a crisis management situation. Today’s 

security concerns require civil and military entities working together to provide a coordinated effort among various organizations, whether they are military, government, 

or from the private sector. It requires a comprehensive approach by the entire international community (NATO, 2010: c). In fact, the new Strategic Concept released at the 

Lisbon Summit in November 2010 stated: “NATO must work with other actors to 

contribute to a comprehensive approach that effectively combines political, civilian and 

military crisis management instruments. Its effective implementation requires all actors 

to contribute in a concerted effort, based on a shared sense of responsibility, openness 

and determination, and taking into account their respective strengths, mandates and 

roles, as well as their decisionmaking autonomy” (NATO, 2010: b: 3).

Though more formalized during the summit, this concept was not new to NATO. 

In 2007, the development of the NATO/Euro-Atlantic Partnership Council was initiated. This group consisted of representatives from about 20 NATO and Partnership 

for Peace (PfP) nations. Implementation discussions of a new policy began at the 

Euro-Atlantic Partnership Council when it met in December 2007. Upon the conclusion of the meeting, they had approved the NATO/EAPC policy implementation. 
Comprehensive Approach on UNSCR 1325

189

These discussions were developed in concert with the PfP nations who were also in 

attendance.

During the following summer, the North Atlantic Council tasked the NATO 

Strategic Commands to provide guidelines on the implementation of the resolution. 

This resulted in the Bi-Strategic Command guidelines to be complemented by further 

political-military work, to be taken forward by the NATO civil and military authorities with NATO and PfP nations (UNSC, 2010: a). Since then, other directives were 

developed to include the BI-SC Directive 40–1 which discussed integrating UNSCR 

1325 and Gender perspectives in the NATO command structure (NATO, 2009).

Part of the implementation guidelines was to develop national action plans within 

the countries to plan, educate/train, and implement these plans within the NATO 

and PfP countries. The following chart lists those NATO and PfP members who 

have developed these national mandates:

Table 1: Countries with National Action Plans for 1325 (Torres, 2010: 10)

PfP Members NATO Members

Austria Canada

Bosnia & Herzegovina Denmark

Finland Netherlands

Ireland Norway

Sweden Portugal

Switzerland Spain

United Kingdom

Estonia

Denmark

Of the countries noted in table 1, the number of women who are employed in 

their countries, security forces varies between 3% and 18% (NATO, 2010: a). Notably 

absent from this list is the United States. As for comparison, the number for women 

employed in the U.S. military as of 30 September 2010 is 208,271/1,430,985, or 14.5 

percent. These numbers are further broken out as follows:

•	 Total number of women officers = 38,671/234,000 (16%)

•	 Total number of women enlisted = 166,964/1,183,200 (14%)

•	 Total number of women cadets/midshipmen = 2,636/13,785 (19%).

(Dept of Defense, 2010: b)

These numbers correlate with numbers noted of the countries with mandated 

national action plans, yet the United States has not implemented one yet. The U.S. 

Marines have realized there is utility in employing women in their units. As an example, in the Garmsir district of Afghanistan, the 2d

 Marine Battalion was interacting 

with the key leaders and locals in the region. They were finding it difficult to interact 
Lape

190

with the females in the villages until they sent in female marines to learn what medical 

care and humanitarian assistance were needed for them. The women in the villages 

were not allowed to talk to men, but were allowed to speak to the other female marines who went into the village with a head scarf instead of a helmet in consideration 

of the culture. According to one of the female officers, they hear a lot of things from 

the women that they would not have heard from the men, or that would have been 

said in a different way (Henderson, 2009). These units have been institutionalized 

as standard practice within the U.S. Marine Corps, and are under consideration for 

use by the U.S. Army.

Additionally, the U.S. units responsible for training the Afghan Police Forces 

made a concerted effort to ensure there were many additional billets for Afghan women 

as they also realized the benefits of women on the force interacting with female citizens. 

They were able to obtain the billets requested, and were more successful in filling the 

positions conducting border patrols as they were the ones most likely to culturally 

interact with other women (Nikodym, 2010).

Education and Training

Applying a comprehensive approach to all situations means changing the minds of 

those who are involved in the management of the situation, particularly in the planning 

arenas. NATO, to include the United States, has been emphasizing more joint training 

of civilian and military personnel. Each organization has their own lessons learned from 

various situations they can include during the planning process. Working together in 

the development of a plan brings a sense of ownership to the participants that in the 

end helps build trust and confidence among all participating militaries, governments, 

and other international and local organizations. This should result in an end state of 

better cooperation that encourages better coordination (NATO, 2010: c).

A critical part in ensuring all are aware of UNSCR 1325 and the reasons why 

it needs to be considered is the coordinated effort to educate and train all personnel. The Supreme Allied Commander Europe and Supreme Allied Commander 

Transformation BI.SC Directive 40–1 dated September 2009 states “an education, 

training, exercise and evaluation programme will improve awareness of women’s 

perspectives and advance gender mainstreaming in NATO’s military organizations” 

(NATO, 2009: 1–4). This must be accomplished at all levels, and any current courses 

must be reviewed during normal course reviews to include the latest related information and trends. This directive strongly encouraged that all NATO pre-deployment 

training education and training programs include a section on respect to international 

law regarding the rights and protection of women and girls, especially civilians (NATO 

2009).

An immediate step is to address what is needed in order to meet the requirements 

noted above. There must be tangible steps identified to further streamline current 

training and education within NATO organizations, and by individual members 

in partner countries. An assessment must be made of available courses to determine 
Comprehensive Approach on UNSCR 1325

191

the knowledge base, and to discover if there is a shortfall in any particular area. Only 

through training and education can these gaps be filled so the awareness level of gender security concerns can be raised among military and civilians. That way, women 

can contribute to the effectiveness of military operations. Education of the member 

NATO nations and PfP partners regarding UNSCR 1325 will assist in changing the 

mindsets of personnel who may not realize the full impact of supporting this resolution. The additional requirement to adjust the curricula within each of the institutions 

should be minimal, but the long lasting results should be monumental.

NATO has already looked internally to some of its own institutions by adding 

information into the curriculum of the NATO Defense College in Rome and the 

NATO School in Oberammergau, in addition to training for NATO Headquarters 

personnel. (UNSC, 2010: a) The Swedish Armed Forces is one military leaning forward in providing education and training in this area. They conduct a Gender Field 

Advisor Course at the Swedish Armed Forces International Centre, and sponsored 

a seminar titled “Gender and defense transformation: Transforming national structures, sustaining international operations” in conjunction with the Partnership for 

Peace Consortium Security and Stability Reform Working Group of the Defence 

Academies and Security Studies Institutes. The Geneva Centre for the Democratic 

Control of the Armed Forces (DCAF) has developed an extensive and easy to use 

“Gender and Security Sector Reform Toolkit” that organizations can review and use 

to train personnel within their groups to further understand the background, the laws 

and the applicability of the concept within their organizations.

DCAF recently reviewed and then provided substantial input to the Generic 

Professional Military Education curriculum currently being developed by the 

Education Working Group of the PfP Consortium. Along with sections on comprehensive approach, cultural awareness, and Rule of Law among others, an entire section 

on Gender Awareness was included. This section was added to ensure students have a 

practical understanding of how to incorporate gender awareness in mission planning 

and operations. During this section, objectives were developed to assist students in 

exploring the concept of “gender” and related concepts of equality, and to consider the 

different impacts of armed conflict on men, women, boys and girls. The various policies 

and resolutions concerning women, peace and security will be reviewed. Students will 

learn to apply gender analysis to an area of operations, and to incorporate gender issues 

into mission planning. The importance of gender balance in forces will be considered 

in relation to capacity to address gender in operations. Students will consider how 

violations of standards of behavior concerning sexual exploitation and abuse impact 

mission success. Through this level of support to this program and others, NATO has 

provided a positive impact on the way ahead in the implementation of UNSCR 1325.

However, one of the largest countries within NATO has not taken similar steps in 

raising the awareness level of gender security among its personnel. The United States 

is currently not a member of the groups of nations that have an existing national action 

plan in place. Steps have begun as there has been an initial shortfall analysis conducted 
Lape

192

of what is currently available in online training, in the training schoolhouses, and in the 

professional military education institutions. The results showed minimal attention currently being addressed to this topic. This is a country with many opportunities available 

to enhance the education and training process, though it is also a country where it will 

be difficult to provide robust support behind raising the awareness of gender security 

as a concern. The United States will most likely never again conduct an operation on 

its own, and therefore will be conducting operations next to countries that may have 

already instituted education and training programs regarding UNSCR 1325 and 

would expect similar support and understanding from other contributing nations.

The Future

Political and military leadership play an important role in ensuring integration of 

gender perspectives into operations. The ability to change a leader’s perspective on an 

issue can oftentimes be difficult, particularly if the issue is a sensitive one, or will possibly shine unwanted attention on the individual based upon how uncomfortable the 

situation is to the person. There are often barriers to the leader accepting the issue as 

needing to be changed. These can be time, resources, skills, community values, policies, and lack of a desire (Cameron-McCabe, 2008). In addition to those factors just 

listed, the ability of the leader to have the resolution required to make the changes is 

very important, but is oftentimes very difficult. In order to change this social injustice, 

the relevancy to them will need to be proven.

Just like in the school systems, the issue of gender inequality is one the military has 

acknowledged is still an issue. Acknowledgment of a social injustice issue by the leadership is a critical first step in the ability to get any changes made. But also important is 

the requirement to hold these leaders accountable for their actions in the carrying out 

of the requirements to change the injustice. Sometimes these requirements are only 

implied, but the UN Security Council Resolutions have mandated these changes to 

gender security and awareness occur for the safety of all.

At the anniversary of UNSCR 1325 in October 2010, U.S. Secretary of State 

Clinton announced the United States was developing a national action plan supporting 

this resolution. With the appearance of growing support for UNSCR 1325 among 

many of the NATO organizations, the institutionalization of this concept among the 

defense organizations would be the easiest approach since they usually work together 

for the benefit of a coalition operation. It would not be prudent to raise the number of 

women in these organizations, but instead to raise the awareness among the personnel, and to include gender field advisors in each of the operational units as the concern 

for security can be applied to both genders. Future conflicts are only going to become 

more complex and will have to face difficult human challenges within the security environment. During the November 2010 Lisbon Summit, a new strategic concept was 

adopted. The Heads of State and Governments endorsed an action plan to mainstream 

UNSCR 1325 into current and future operational planning, into Alliance training and 

doctrine, and into all aspects of the Alliance’s tasks. Education and training of the staff 
Comprehensive Approach on UNSCR 1325

193

is essential to raise awareness, and to contribute to the effectiveness of operations and 

missions (NATO, 2010: b).

With this endorsement shortly following the 10-year anniversary of the original 

passage of the resolution, it is evident that high level commitment of support is present, 

and that additional guidance now needs to be provided and implemented throughout 

NATO and supporting PfP countries. While NATO has begun the slow process of 

changing tough mindsets and behaviors by introducing gender perspective throughout its operations, it now needs to include more women in key positions within key 

countries to help protect those on the ground.

The Political and Partnership Committee of NATO has taken an active role in 

mainstreaming UNSCR 1325 into alliance activities. As noted previously with the 

curriculum additions to the Generic PME curriculum, they will also continue to work 

to train PfP countries by sharing advice. The Public Diplomacy division is working 

to increase awareness of these issues among the general public. Allied Command 

Operations (ACO) is promoting the role of Gender Advisors within the command 

structure of NATO led operations and Gender Field advisors on the ground in tactical 

operations (NATO, 2010: a). This will enable personnel at all levels of the organizations and mission to have an awareness and appreciation of the positive role women 

can add in the protection of women and children, which will in the end assist future 

conflicts in peace building.

The commanders on the ground instead of the commanders at the headquarters 

will most likely be the most difficult leaders to convince there is a concern. A recent 

brief by a commander of one of the PRTs indicated that even he was a little skeptical 

at first of the changes required (Tistam, 2011). But he had an assertive Gender Field 

Advisor who was insistent on showing him the gender awareness that was required 

when working within his own organization, but more importantly in working within 

his role in the civilian community. COL Tristan said that it was critical that the leadership understood the concerns and stood behind the needs as that made the injustice 

easier for others to understand, and to be more receptive to any changes.

Education and training of the staff is essential to raise awareness and to contribute 

to the effectiveness of operations and missions. The Female Engagement Team (FET) 

concept has proven to be very effective. Unfortunately, a secondary effect is that now 

other organizations are setting up similar FETs, but without the required training of 

the women in the FETs, or their leaders who are planning for how they should be used 

becasue they are seeing the benefits. Therefore, they are quickly assembling similar 

groups hastily (K. Young, Personal Communication, 20 April 2011). This will be 

dangerous if these teams do not understand the culture and importance of making time 

as required. These women will not only go into the situation unprepared themselves, 

they will most likely endanger the women they meet within the community.

A training and education program must be implemented immediately before these 

women go into harm’s way. Start with the commanders at the top, the gender advisers for the headquarters commands, the leaders in the field, the gender field advisors, 
Lape

194

and most importantly the women in the FETs. There are already a good number of 

materials available to support this new demand, both online and in residence. So the 

ability to get the student to the training would be the next requirement.

Therefore, our political and military leadership need to consider these mandates 

when developing our national action plan, implementing the requirements within 

operations by developing a separate annex of their operations plan, and within the 

planning and execution of training exercises. The strategic level of implementation 

needs to consider this as a ‘special area of emphasis” that the professional military 

education organizations must consider within their curriculum.

Conclusion

The United Kingdom Equal Opportunities Commission (now part of the Equality 

and Human Rights Commission) was the independent public body designated to 

work towards the elimination of discrimination and to promote equal opportunity for women and men. Its members instituted a Cabinet Minister for Women 

and the Parliamentary Secretary for Women and Equality in the Department for 

Communities and Local Government. After a series of several sexual harassment 

cases, the Commission wrote to the Ministry of Defence expressing concerns about 

the frequency and persistence of sexual harassment cases against women serving in 

the armed forces. Based upon the information provided, the Commission decided the 

armed forces had not taken enough action to prevent sexual harassment.

Originally, the Commission was going to conduct a formal investigation, but it was 

convinced not to do so once the military decided to develop an action plan to counter 

the issue. They were given 4 years to gather data by conducting a sexual harassment 

survey, interviewing program managers, and implementing/monitoring the plan. 

(NATO, 2010: a)

The United States has implemented the Sexual Assault Prevention and Response 

(SAPR) program to establish a culture free of sexual assault. Overall the indications 

are that the numbers of assaults in the military has decreased from 6.8 percent in 

2006, to 4.4 percent 2010. (DOD, 2010: c) Though the Service Academies numbers 

did rise this past year as noted earlier, there is question as to whether it is due to more 

instances being reported. But even if this was the case, the trend should be towards 

zero sexual assaults even being conducted.

These are all excellent steps in ensuring gender security at home, but it would be 

beneficial to take the extra steps needed to ensure that gender security in a combat situation is at the forefront of planning efforts. It is also critical culturally to include women 

in the planning of interactions with the local community. Leaders need to ensure they 

put learning at the center of the effort when they are seeking ways to correct an issue. 

It will not be easy, but issues that are usually considered behind the scenes are the ones 

that will result in the effects needed at the end. Transforming a social justice issue is 

hard as it usually involves a subject that is deeply woven into human relationships. It 
Comprehensive Approach on UNSCR 1325

195

requires open lines of communication to solve it, and involves confronting our own 

biased assumptions, presumptions and actions (Beachum, 2008).

Today’s conflicts not only call for military responses, but need “greater capacity” 

to bring all necessary resources to bear in crisis situations. Only an organization that 

respects and fully embraces the diversity of backgrounds, skills and experience of its 

members can operate effectively in a complex security environment. The complementary skills of both male and female personnel are essential to the effectiveness of 

operations, especially in light of the increasing complexity of civil-military interaction, 

public relations and intelligence gathering (NATO, 2009). NATO’s operational effectiveness includes making contributions to sustainable and lasting peace, within which 

gender equality is a key factor. Future operations will be alongside coalition partners. 

As our nation’s action plan is developed, we need to take a comprehensive approach 

to understanding and supporting this concept.

References

Anderson, K., (2005) “The Human Rights Based Approach to Development Cooperation: 

Towards a Common Understanding among UN Agencies.” Available at: http://www.

unescobkk.org/fileadmin/user_upload/appeal/human_rights/UN_Common_understanding_RBA.pdf.

Beachum, F., (2008) Toward a transformational theory of social justice. In I. Bogotch, 

F. Beachum, J. Blount, J. Brooks, & F. English, Radicalizing educational leadership: 

Dimensions of social justice, Rotterdam, Netherlands: Sense Publishers, 39–60.

Blount, J., (2008) History as a way of understanding and motivating. In I. Bogotch, 

F. Beachum, J. Blount, J. Brooks, & F. English, Radicalizing educational leadership: 

Dimensions of social justice, Rotterdam, Netherlands: Sense Publishers, 17–37.

Cambron-McCabe, N., (2008) Preparation and development of school leaders: 

Implications for social justice policies. In C. Marshall and M. Oliva, Leadership for 

social justice: Making revolutions in education (2nd ed.) Boston: Allyn & Bacon, 35–54.

Case study: Kosovo, 1998–1999. Gendercide Watch. Available at: <http://www.

gendercide.org/case_kosovo.html>.

Christoff, J. A., (2008) Provincial Reconstruction Teams in Afghanistan and Iraq. 

GAO Reports, 1.

Dantley, M. & Tillman, L., (2008) Social justice and moral transformative leadership. 

In C. Marshall and M. Oliva, Leadership for social justice: Making revolutions in education

(2nd ed.) Boston: Allyn & Bacon (19–34).

DOD (2010: a) Annual report on sexual harassment and violence at the military 

service academies. Academic Program Year 2009–2010. Report to the Congressional 

Defense Committees of the U.S. Senate and the U.S. House of Representatives. 
Lape

196

December 2010. Retrieved from <http://www.sapr.mil/media/pdf/reports/FINAL_

APY_09-10_MSA_Report.pdf>.

DOD (2010: b) Military Personnel Statistics. 2010. Available at: <http://siadapp.

dmdc.osd.mil/index.html>.

DOD (2010: c) Annual report on sexual assault in the military, Fiscal Year 2010. 

March, 2010. Available at: <http://www.sapr.mil/media/pdf/reports/DoD_Fiscal_

Year_2010_Annual_Report_on_Sexual_Assault_in_the_Military.pdf>.

Gilligan, C., (1993) In a different voice: psychological theory and women’s development. 

Cambridge, Mass, Harvard University Press.

Gray, J., (1992) Men are from Mars, women are from Venus: a practical guide for improving communication and getting what you want in your relationships. New York, NY: 

HarperCollins.

Henderson, D.A., (2009) Female engagement team helps establish connection between Marines and Afghan women. (online) 28Dec2009. Available at: <http://www.

usmc.mil/unit/iimef/2ndmeb/Pages/Female%20engagement%20team%20helps%20

establish%20connection%20between%20Marines%20and%20Afghan%20women. 

aspx>.

Long, A. R., (2007) “Human Rights and Gender Awareness in Development 

Discourse: An Afghanistan Case Study” Paper presented at the annual meeting of the 

International Studies Association 48th Annual Convention, Chicago Hilton, Chicago, IL, 

USA Online <PDF>. 2011–03–13. Available at: <http://www.allacademic.com/

meta/p178826_index.html>.

NATO (2009) BI.SC directive 40–1. 2009. Integrating UNSCDR 1325 and gender 

perspectives in the NATO command structure including measures for protection 

during armed conflict. Available at: <http://www.nato.int/nato_static/assets/pdf/

pdf_2009_09/20090924_Bi-SC_directive_40-1.pdf>.

NATO (2010: a) Briefing: Women, peace and security. 2010. NATO Public 

Diplomacy Division, 1110 Brussels, Belgium—Website: www.nato.int—Email: 

natodoc@hq.nato.int—© NATO 2010. Available at: <http://www.nato.int/

ebookshop/briefing/unscr/UNSCR_EN.pdf>.

NATO (2010: b) Lisbon Summit Declaration. 2010. Issued by the Heads of State 

and Government participating in the meeting of the North Atlantic Council in 

Lisbon on 20 November 2010. Available at: <http://www.nato.int/nato_static/

assets/pdf/pdf_2010_11/2010_11_11DE1DB9B73C4F9BBFB52B2C94722

EAC_PR_CP_2010_0155_ENG-Summit_LISBON.pdf>.
Comprehensive Approach on UNSCR 1325

197

NATO (2010: c) A Comprehensive Approach (NATO A-Z article) [online] (updated: 

03Nov2010) Available at: <http://www.nato.int/cps/en/natolive/topics_51633.

htm> [Accessed 10 April 2011].

Nikodym, D., (2010) Discussion on use of women in security forces. [Interview] (Personal 

Communication, 23 March 2010).

Organization for Security and Co-operation in Europe (2011). OSCE uses comprehensive approach in fighting terrorism, Secretary General tells UN committee. (UN Press 

Release) [online] (updated: 24 February 2011). Available at: <http://www.osce.org/

sg/75766>[Accessed 10 April 2011].

Pease, A. and Pease, B., (2000). Why men don’t listen and women can’t read maps: how 

we’re different and what to do about it. New York: Welcome Rain.

Strike, K., (2007) Moral principles and moral principals? In K. Strike, Ethical leadership in schools: Creating community in an environment of accountability. Thousand Oaks: 

Corwin Press, 1–20.

Tannen, D., (1990) You just don’t understand: women and men in conversation. New 

York: Morrow.

Torres, D., (2010) Democratic Control of the Armed Forces briefing to the Education 

Working Group of the PfP Consortium. 15 December 2010. Vienna, Austria.

Tistam, C., (2011) Integrating gender perspectives: The case of the Swedish Armed 

Forces: A model for the sustainable transformation of the defence sector and effective 

international operations. Briefing to the 15th meeting of the SSR Working Group. 19 

April 2011. Stockholm, Sweden.

UNSC (2010: a) Comprehensive report on the NATO/EAPC policy on the implementation of UNSCR 1325 on women, peace and security and related resolutions. 

20 November 2010. Available at: <http://www.nato.int/cps/en/SID-31463D4B 

972C59C2/natolive/official texts 68578.htm>.

UNSC (2010: b) United Nations Security Resolution 1960. 2010. Adopted by the 

Security Council at its 6453rd meeting, on 16 December 2010. Available at: <http://

www.un.org/ga/search/view_doc.asp?symbol=S/RES/1960%282010%29>.

Young, I. M., (2000) Five faces of oppression. In M. Adams, W. J. Blumendelf, R. 

Castaneda, H. W. Hackman, M. l. Peters, & X. Zuniga, Readings for Diversity and 

social justice: An anthology on racism, antisemitism, sexism, heterosexism, ableism and 

classism (35–49). New York: Routledge.

Part 4

Integrated Approaches to 

Complex Operations
200

“Population-centric” strategies are becoming more and more common in civil-military 

operations, and require effective engagement with local populations if they are to succeed. To achieve the political, social and economic goals for which military forces have 

been committed in these situations, coalition partners must be able to communicate, 

collaborate, translate and engage with the people they are trying to influence.

Information and Communication strategies, and their related Information and 

Communication Technology (ICT) infrastructures, can enable such engagement, 

enhance situational awareness and promote transparency. However all NATO levels 

will need to be engaged: senior leadership, support staff and outside stakeholders, keeping in mind the always-uneasy balance between transparency and security. These are 

issues for policy makers, ambassadors and commanders. They cannot be considered 

“nice-to-have” adjuncts to the “kinetic” phase of an operation.

In Comprehensive Approach (CA) environments, Alliance organizations, military 

and civilian, will never have enough resources to accomplish their missions alone. Local 

governments, businesses and civil societies need to be empowered. Long-term solutions 

need to be sustainable with indigenous resources. International organizations (IOs), 

nongovernmental organizations (NGOs), private volunteer organizations (PVOs), 

etc. will play important roles, and it will be important to learn how to work with 

them. IOs and NGOs have resources readily available and experience in deploying 

them quickly– for example, the World Food Program has a large warehouse in Dubai 

full of supplies packed in airline checkable luggage. There are cultural differences, to 

be sure, and reservations on all sides about working together, but isolation is not an 

option if anyone is to achieve their goals in Comprehensive Approach environments.

Modern complex civil-military operations have moved away from a linear progression of operational phases (peace-to-crisis-to-combat-to-postwar stabilization, etc.) 

to the case where multiple phases often are present simultaneously. In the so-called 

“3-block war,” intense fighting may be taking place near political demonstrations 

and also close to reconstruction activities. In some cases the military may be building 

partner nation capacity in non-permissive environments where NGOs and contractors 

are not willing to operate. In some cases it costs more, in terms of resources, to have 

the military provide protection to NGOs and contractors than for soldiers to do the 

supporting job themselves. On the other hand, NGOs or contractors may feel that 

operating near the military actually makes them targets and endangers their people. 

This sort of dynamic makes it hard for CA to be effective without wide ranging and 

continuous consultations. It requires a clear, shared understanding to be able to operate 

jointly and hence deliver the necessary services.
201

Even if the combat element is removed, as in disaster relief scenarios, the challenge 

remains that NGOs and other organizations still have to overcome major cultural and 

procedural differences to work effectively together.

Dr. Linton Wells, Mr. Terry Pudas and Mr. Bryce McNitt examine ways that 

military and civilian organizations can engage with local actors in Comprehensive 

Approach environments, including information sharing, tailoring capabilities to local 

needs, providing effective operating procedures, allocating adequate resources, and 

training with partners from broad coalitions. It also outlines an integrated engagement framework known as the “Crowd, Bridge, Transaction, Feedback” model that 

could help organizations engage better with local partners by making better use of 

“crowdsourced” information and dealing with the velocity and volume of information 

generated by 24–7 news cycle and social media.

During the Cold War, Sweden’s leading national defense strategy was called 

“Total Defence (TD),” which emphasized close coordination of civil-military planning 

and operations at every societal level. “Total Defence” was an example of a successful 

Comprehensive Approach, and many of the thought processes now are being applied 

to international peacekeeping missions, as well as S&R in Afghanistan. However, the 

consensus over the Cold War approach, as well as the close coordination of military 

and civil resources, is waning. Professor Torsten Björkman and Dr. Henrik Friman 

analyze some of the difficulties in implementing Comprehensive Approach in this 

environment, including the need to engage with NGOs, many of which feel that 

Comprehensive Approach would compromise their safety, and perhaps even their 

organizations’ effectiveness. Since 1999, Sweden has conducted a series of valuable 

multinational and multifunctional exercises known as “Viking,” which are among the 

most prominent efforts to exercise Comprehensive Approach scenarios. They conclude by offering a taxonomy of four types of Comprehensive Approach: All Military, 

Military-Civil, Civil-Military, and All “local” (exit strategy), which can be applied to 

many scenarios.

Dr. David Moore and Mr. Peter Antill point out that humanitarian logistics can be 

a unifying force in Comprehensive Approach environments. Not only does it provide 

essential services—transactions that make a difference to people on the ground—but 

it also lends itself to systematic thinking and structured analysis that can help to bridge 

cultural divisions. Their paper considers the development of logistics into the broader 

field of supply chain management. Supply Chain Management in commercial, military 

and humanitarian contexts is identified as a means of developing an integrated, holistic 

approach towards the elimination of waste and of bringing a focus on value-adding 

activities and processes. The paper presents several research proposals to improve 

cooperation and make actions more effective in response to disaster situations.

203

Chapter 12

Linking NATO Capacity to Local 

Stakeholders

Linton Wells II, Terry J. Pudas, and Bryce McNitt

Abstract

NATO militaries must engage effectively with local populations in areas where their 

organizations have been tasked with social, political, and economic goals (as opposed to 

purely military ones). The changing nature of conflicts that both NATO and U.S. militaries have encountered in the past two decades has led to a shift to strategic concepts 

that emphasize engagement with local populations. This chapter examines ways that 

military and civilian organizations can improve such engagements in Comprehensive 

Approach environments, including information sharing, tailoring capabilities to local 

needs, providing effective operating procedures, allocating adequate resources, and 

training with partners from broad coalitions. It also outlines an integrated engagement 

framework known as the “Crowd, Bridge, Transaction, Feedback” model.

Introduction

In environments that demand Comprehensive Approaches, NATO and its coalition 

partners cannot achieve the social, political, and economic goals for which their military 

forces have been committed unless they can engage effectively with the populations 

they are trying to influence.1

 Such populations includelocal governments, businesses, 

and members of civil society (Gerencser, Lee, Napolitano, & Kelly 2008). This paper 

focuses on local stakeholders and how the Alliance (or other civil-military coalitions) 

can develop capabilities to interact effectively with them. Such capabilities can be 

developed more quickly, and with less cost than often is imagined.

To build broad coalitions of stakeholders in complex contingencies (1) the military 

must be trained and enabled to interact more effectively with civilian populations, and 

(2) civilian participants must be empowered to operate more effectively in environments that include the military (U.S. Joint Chiefs of Staff, 2011). In practice, military 

commanders and support personnel will focus more on the needs of the joint or combined force than on the civilian participants in an operation. Nevertheless, an effective 

coalition will require external links and trust relationships with non-military stakeholders. Such relationships demand that unclassified (or non-classified)2

 information 
Wells, Pudas, McNitt

204

be shared in both directions (Joint Chiefs of Staff, 2011). This kind of information 

sharing is harder than it seems. All components of the Alliance, coalition, and their 

constituent nations need to make this a priority, especially in stressed environments. 

Information sharing will be a key component of any successful intervention.

As always, the devil is in the details. Senior-level policy intentions are fine, but 

information sharing (and protection as necessary) must occur on the ground with a 

wide range of participants if Comprehensive Approaches are to succeed. Yet years of 

experience in stabilization operations, domestic and foreign disaster relief, and in building the capabilities of partner nations show that such sharing will not happen without 

sustained high-level attention. Senior decisionmakers need to emphasize consistently 

the importance of information sharing and developing information and communications technology (ICT) capabilities, including the role of ICT as an engine for stability 

and economic growth. These questions cannot be left to “techies” or security specialists 

alone. They are issues for policymakers, ambassadors, and commanders.

Engage Local Stakeholders Seriously

Background

NATO high-level guidance has changed significantly in recent years in ways that 

promote engagement with local stakeholders. For instance, the NATO Strategic 

Concept (2010) states that “lessons learned from NATO operations, in particular in 

Afghanistan and the Western Balkans, make it clear that a comprehensive political, civilian and military approach is necessary for effective crisis management” (5–9). Part of 

this approach has been to build trust across networks of local stakeholders and NATO 

forces through the use of both social skills and technology. This is paralleled by changes 

in U.S. policy and national security organization (Bush, 2005; U.S. Department of 

Defense, 2005; U.S. Department of the Navy, 2007; U.S. Department of Defense, 

2008; U.S. Department of the Army, 2008; U.S. Department of Defense, 2009).

These efforts focus on building tools that instill confidence in civilians that the 

military can be trusted and will respect civilian interests (LaRose-Edwards, 2008). 

Such awareness is not limited to Euro-Atlantic nations. Both Singapore and Australia 

stress the importance of engaging with local stakeholders. The Singapore Navy has 

emphasized “develop[ing] new capabilities, structures and processes to meet the broadened range of new and existing operational demands” (Tan: 2008, 6). Collectively, 

these reflect significant policy and doctrine changes for the security organizations of 

many nations; increasing emphasis on preconflict “building partner capacity” (BPC), 

peace operations when required, and postwar stabilization and reconstruction (S&R), 

as well as humanitarian assistance and disaster relief (HA/DR).

The implications of these new strategic initiatives are still evolving. New guidance 

recognizes that solutions to the problems that generate Comprehensive Approaches 

cannot be solved by military means alone. An important corollary, however, is that 

high-level policy and doctrine must be converted into the implementing concepts and 
Linking NATO Capacity to Local Stakeholders

205

doctrine to guide the way people interact on the ground. For the militaries, this means 

that field operating procedures (so-called tactics, techniques and procedures or TTP) 

need to prepare troops to engage with unfamiliar participants. Until this guidance is in 

place, there will be missteps and disconnects in the field while military personnel feel 

they have to refer issues back to higher authority. Ideally, these changes will come to be 

reflected the operating instructions used by local stakeholders when they interoperate 

with NATO and other external contributors.

To promote more effective engagement, the Center for Technology and National 

Security Policy at the National Defense University has been coordinating a broad, international research effort called TIDES (Transformative Innovation for Development 

and Emergency Support), which focuses on sustainable support to populations under 

stress—post-war, post-disaster, or impoverished (STAR-TIDES, 2011). TIDES 

emphasizes “unity of action” in situations when there is no “unity of control.” In particular, it looks to facilitate unity of action by:

•	 Leveraging a global network of talent (www.star-tides.net)

•	 Promoting integrated approaches across diverse capabilities

•	 Sustaining efforts through the private sector.

This research can help develop capabilities in support of the Comprehensive 

Approach as well.

Who Are the Local Stakeholders?

Figure 1 summarizes most of the players engaged in complex contingencies. The 

local actors who are the focus of this chapter include representatives of the “Affected 

Nation” in the center of the graphic, typically involving multiple stakeholders from 

business, government, and civil society. Examples could be: host government officials, 

local non-government organizations (NGOs), indigenous security services, local businesses, national subsets of international businesses, academia, private citizens, etc. In 

Haiti, local stakeholders included remaining functional parts of the Government of 

Haiti, indigenous businesses, and local NGOs (Wentz, 2006; Perito, 2007; Wentz, 

Kramer, & Starr, 2008; Wentz, 2010). In cases like Libya, choices need to be made 

between government and rebel entities, many of which may have little or no capability 

to deliver services.

As with the international players, most of the local participants will have distinct 

organizational cultures—often unwritten sets of rules, regulations, viewpoints, perspectives, and operating procedures—that are based on the unique history, mission, 

structure, and leadership of their organizations. The stakeholders bring with them 

different agendas, operating principles, experience, capabilities, sensitivities, expectations, accountability mechanisms, and lines of authority (Department of Army, 2008). 

Although civilian organizations may not have as structured a sequence as Policy-toDoctrine-to-TTP, they usually have their own procedures for field operations (U.S. 

Agency for International Development, 2008; United Nations, 2008).
Wells, Pudas, McNitt

206

IOs

NGOs

IGOs

CJTF

Multinational

Interagency Players

Business

Community

Private Military

Corporations

Contractors

Affected

Nation

DoS

Aid Agencies

AU

UN

EU

OAS

ASEAN

IFRC

OSCE

ICRC

Military Forces

DPKO

OCHA UNDP

Civilian Military

Governmental

Non-Governmental

(1) Participants have different 

responsibilities, authorities, 

and capabilities and 

expectations and agendas

(2) Role of Participants vary

– Based on cause and 

urgency of operation

– Over time as conditions 

change 

Challenge: Lack of 

shared situation 

awareness and 

understanding of 

each other’s roles, 

capabilities and 

limitations

Figure 1. Comprehensive Approach Environments

Source: (Lidy, 2005)

It is important to remember that all these entities—local government, local business, NGOs (domestic or international), and private citizens—are subject to the laws 

of the nation in which they are operating. Private entities may support governmental 

entities through contracts or grants, but otherwise they typically have no formal 

authority and tend to act independently. NGOs are, however, responsible to their 

boards of directors, and accountable to their private contributors. Although they may 

take money from one or more government sources, NGOs are not instruments of 

their governments and do not usually take policy direction from institutional donors.

Both civil and military participants engaged in these environments must understand these differences with respect to guidance, emphasis, and accountability and 

pursue a framework that facilitates unity of action. This is best done in advance of a 

crisis through established, structured consultation and social networking.

The adage that “Local knowledge is key” applies. To benefit from such knowledge, 

governments usually need to reach out beyond typical intelligence and military-tomilitary sources and embrace such communities as indigenous and international 

businesses. The business community has extensive information about employment, 

investment, and economic growth in much of the world, maintains significant resources 

that could be useful in foreign humanitarian relief and development operations, and 

provides the skills to manage them. Local companies offer local knowledge and technical expertise, especially if they are elements of larger international firms. Often, to show 
Linking NATO Capacity to Local Stakeholders

207

good will, they are willing to donate products, or contribute financially to humanitarian 

response organizations.

The affected nation’s government and public security elements must be engaged 

actively as well. Recognizing that security and rule of law are sine qua non for progress 

in any sector, priority must be given to: (1) mentoring for national, provincial, district, 

and local governance,3

 (2) enhancements to security (police and security forces), (3) 

reconstruction and development of infrastructure (roads, power, water, and telecommunications), (4) economic recovery and job creation, and (5) social wellbeing 

(healthcare, education) actions. The goal is to build capacity in ways that improve 

quality of life.

How Can Engagement Be Done Most Effectively?

Experiences from the Balkans to Afghanistan to Katrina to the recent Japanese earthquake suggest that integrated approaches along six coordinated paths can increase 

the likelihood of successful engagement. Specifically, protagonists (government and 

non-government) need to:

1. Build capabilities that are useful in specific scenarios and find ways to deliver

them rapidly to those who will have to operate, sustain, and live with them.

2. Weave social networks to build the trust that can facilitate effective responses 

in these contingencies and engage the range of stakeholders needed to get the 

job done.

3. Promulgate policy, doctrine, and operating procedures to empower people on

the ground to execute non-traditional missions without having to ask higher 

authority for permission.

4. Address legal and regulatory restrictions (for example, export control regimes,

customs clearance procedures, and constraints on transferring alliance/national equipment to others when the military withdraws).

5. Provide resources for rapid responses with phasing to long-term sustainment.

6. Develop a robust program of exercises and training involving the whole

range of potential coalitions focused on rapid and effective responses should 

an intervention be required. Test proposed solutions often, incorporating 

lessons learned and examining innovative approaches through experiments. 

Adapt educational curricula. Remember that lessons are not really learned 

until behaviors change.

These activities are summarized in figure 2. The chart does not represent a “turn 

the crank” model to produce effective results, but the scope suggests how much upfront effort needs to go into planning and capability development for Comprehensive 

Approaches.

Each of the categories above raises unique challenges and opportunities. Each is 

necessary, but not sufficient. Collectively, however, progress in these areas can help 
Wells, Pudas, McNitt

208

achieve “Unity of Action” (U.S. Joint Chiefs of Staff, 2009) among diverse organizations when there cannot be “Unity of Control” (Christianson, 2008).

Build and Deliver Capabilities

Capabilities can be grouped into (1) information sharing, collaboration (or cooperation),4

 and sensemaking, (2) information and communications technologies (ICT), 

and (3) other kinds of low cost infrastructures such as shelter, water, power, etc. The 

effectiveness of the solutions may vary by scenario, and it is important to match them 

to field conditions in ways that are useful to end users (not just to suppliers), with 

costs reduced by making the best use of the various supply chain options. Particular 

emphasis should be placed on local materials, labor, and support.

Information Sharing, Collaboration and Sensemaking

Military organizations have been developing Network-Enabled Capabilities (NEC) 

for years. Both NATO and the U.S. military have developed their own NEC, which 

supports network-centric military operations. The basic premise of NEC is to empower people at all echelons by (1) sharing information, which allows participants to 

(2) develop shared situational awareness which, together with (3) their understanding 

of command intent, allows them to (4) self-synchronize their actions in order to (5) 

accomplish missions faster and at lower cost (Alberts, Garstka, & Stein, 1999). Other 
Linking NATO Capacity to Local Stakeholders

209

innovative militaries such as Singapore and Sweden are also focusing on knowledgebased activities (Singapore Ministry of Defence, 2010) and network-based defense 

(Drejhammar, Ghodsi, Klinstkog, Rissanen, & Sadighi, 2006).

Network-enabled capabilities can extend beyond the military to facilitate interactions with civilian agencies. For example, in the United States, in the area of Maritime 

Domain Awareness, the Department of Homeland Security, U.S. Coast Guard, 

and the Navy routinely are sharing information about situations off the U.S. coasts. 

Moreover, maritime security issues are becoming globalized in ways that could provide 

examples for civil-military engagements with local stakeholders.5

NATO’s adaption of NEC (NNEC) should encourage information sharing 

and collaboration at all echelons, from international headquarters to people on the 

ground.6

 It is important that the training and understanding of NEC be emphasized to 

all participants in operations. Policies must be developed and enterprise architectures 

put in place to ensure information is shared.

However, NATO must improve its ability to share unclassified and non-classified 

information7

 and to plan and execute Comprehensive Approaches effectively. These 

are not issues for only the military or the Intelligence Community. To increase civilian 

capabilities in such roles, all NATO entities need to develop a “bias to share” and be 

able to implement such sharing in ways that are useful to other participants. Given the 

structure of the Alliance, much of this improvement will rest with nations, but organizations like the Civil-Military Cooperation (CIMIC) Centre of Excellence (CCOE) 

can provide expertise. The CCOE’s Handbook on Civil-Military Cooperation (2010) 

is a very valuable resource.

In most cases, social, structural, cultural, and policy issues are more important than 

technical questions in achieving interoperability. Questions include:

•	 Will civilian partners be able, or willing, to interoperate with NATO concepts and technologies?

•	 Which NGOs are restricted from engaging with the military, either by their 

charters or by fear of putting their people at risk?

•	 Will the NATO and national agencies be willing to interoperate and share 

with non-NATO participants?

Formal information sharing agreements may be able to help. Some of these issues 

are addressed below under trust-building.

“Unity of command” is a basic tenet of military organizations, but it is a source of 

friction in complex environments. Military Command and Control (C2) does not extend to non-NATO partners, such as the myriad NGO, International Organizations 

(IOs), International Government Organizations (IGOs), and local participants8

 who 

will be present in a Comprehensive Approach. Yet, achieving some kind of unity of 

effort is essential (Christianson, 2008). In this paper, “unity of effort” and “unity of 

action” are used interchangeably.
Wells, Pudas, McNitt

210

Three functions will be needed in any contingency: someone must focus on a problem (for example, provide commander’s intent in a military context), the organization 

must be agile enough to meet the demands placed on it, and there must be mechanisms 

to converge the resources to get the job done. A fourth function is that a “well formed 

outcome” must be defined to transform behaviors (Alberts, 2007). This combination 

of functions sometimes is rearranged as fact (focus, agility, convergence, transformation). Research in these areas is evolving, but it needs to be encouraged, resourced, and 

increasingly incorporate more non-military partners.

“Sensemaking” is a key component of success in a network-enabled environment. 

This involves an awareness of key elements (who, what, when, where, and why), an understanding of their meaning within the operational context, and making decisions to 

reach a desired outcome (Garstka & Alberts, 2004). Personal and cultural differences 

are very important here, since different individuals can derive very different interpretations from the same data. New methods of communications must be incorporated that 

will break down the barriers of “(mis)interpretations of the same data” and cut across 

cultural barriers. Sensemaking has matured as a discipline and become an important 

area of research in non-military decisionmaking and the cognitive sciences.

Despite best efforts at sensemaking however, some issues will fall into the category of “wicked problems,” where there is no agreement on either the definition of a 

problem or its solution (Rittel & Webber, 1973). There is a rich literature around the 

“wicked problems” area. While this is not the place to explore it in detail, approaches 

to such problems fall into three categories: (1) Authoritarian (2) Competitive, and 

(3) Cooperative (or Collaborative). This chapter focuses on cooperative approaches.

Cooperative mechanisms can help people work together better in networked 

situations, especially if they are physically dispersed. Part of the cooperative capability 

is technical—which software tool set to use? But part is also social and cultural. The 

Megacommunities work describes the complex and subtle ways of building collaborative solutions among stakeholders in business, government, and civil society (Gerencser 

et al, 2008). Leadership education must also include the skill sets necessary to implement these approaches in crises.

In the Haiti disaster response in 2010, social media played a prominent role 

in information sharing and sensemaking. These techniques both broke significant 

new ground and identified new problems. Real-time information was gathered and 

shared from the Internet and SMS text message sources. Locations of interest were 

then mapped based on submitted information using a crowd-sourcing software called 

Ushahidi (Wells & Welborn, 2010). Other military and IOs created unclassified (or 

non-classified) information sharing portals. However, the proliferation of multiple portals actually decreased some aspects of coordination. USSOUTHCOM adapted the 

All Partners Access Network (APAN), the UN used UN OCHA’s OneResponse, an 

NGO site ReliefWeb was also widely used, while NATO used the Allied Command 

Transformation’s (ACT’s) CIMICWEB (Wentz, 2010). Few organizations actually 

exchanged information across portals, thereby creating additional stovepipes.
Linking NATO Capacity to Local Stakeholders

211

More recently an even wider array of social media tools played prominent roles 

in the uprisings in Tunisia, Egypt, and Libya (Hamid, 2011). The ICT4Peace 

Foundation, an NGO dedicated to bringing ICT capabilities to bear in crisis and 

peace-building situations, launched a ground breaking wiki on the Libyan uprising 

that integrated many sources of information into one Web page, and provided historical context (ICT4Peace, 2011). The need to deal with the volume and velocity of 

information generated by social media and the 24x7 news cycle has been highlighted 

by the British journalist Nik Gowing (Gowing, 2010), with the warning that no organization, military, civilian, business, etc., is well organized today to deal with them. 

Rectifying these deficiencies needs to be part of NATO’s strategy to support the 

Comprehensive Approach.

Information and Communications Technologies (ICT)

Telecommunications networks and collaboration tools underpin the information 

sharing and sensemaking described above. They provide transport mechanisms and 

connect dispersed workplaces. Yet ICT rarely are treated either as critical infrastructures or as providers of essential services. Whether by Internet, radio, phone, flashing 

light, or messenger, all stakeholders in stressed environments require some form of 

communications to coordinate responses. The military will bring the communications 

and C2 capabilities it needs for its own purposes. These capabilities once were superior 

to those of civilian participants. But the explosion of commercial ICT now provides 

even small NGOs and commercial firms ways to have an effective communications 

presence. Government entities can benefit enormously from information held by other 

players, if they are wise enough to encourage two-way information flows, and offer to 

share useful information themselves.

Nearly all international participants use the Internet and commercial ICT where 

and when possible to support crisis response communications and information sharing. 

Access options run the gamut from commercial satellite communications (SATCOM) 

to point-to-point microwave links, fiber-optic cables, wireless clouds, and Internet 

cafes, when available. As a result, the Internet has become the “default” network 

for civil-military collaboration and information sharing, at least from a deploying 

participant point of view. However, these expectations may collide with actual communications conditions for local stakeholders on the ground.

The effectiveness of these new ICT capabilities depends largely on bandwidth 

availability, which can vary widely. It is important that operators be trained to adapt 

to whatever bandwidth can be used (Wells, Welborn, & Wilkinson, 2011). Some 

parties (many first responders, for example) prefer voice radios rather than computers. In some cases, players (often local stakeholders) may have no effective modern 

technology at all.

As a result, initial coordination is likely to be disjointed. The following comment 

by an observer of ICT support to Myanmar relief after Cyclone Nargis is instructive:
Wells, Pudas, McNitt

212

As we began our research, an integrated picture of players, information sharing 

arrangements, and ICT deployments did not exist. Research from afar suggested 

the ICT deployments and information sharing initiatives were independent 

and to some extent ad hoc and there did not appear to be an ICT advocate 

per se, nor did there seem to be a shared and agreed civil-military information and ICT strategy and plan for supporting relief activities in Myanmar. 

Furthermore, there did not appear to be any pre-agreed effort among the 

civil-military responders to collectively employ information and ICT as the 

core means to achieve “unity of effort” across the civil-military boundaries. 

There were also perceptions of sensitivities of NGOs dealing with the U.S. 

military that could be harmful to their working—perceptions of lack of independence and transparency by the Myanmar government (Wentz, 2008).

Myanmar was a special situation because of the political impediments to information sharing, although some such limitations have been common to all disasters. 

For example, the importance of establishing POC lists early and having an ICT advocate shows up in situation after situation. Sustained, structured interactions prior 

to crises can help. One good example is a multinational annual exercise in Central 

America and the Caribbean called FA-HUM (Fuerzas Aliadas Humanitarias).9

 The 

exercise showed significant coordination and advanced planning. Customs clearance 

procedures, transnational resource sharing, and even theater-wide incident management software had been worked out through prior consultation. This reconfirms that 

regional coordination centers and the ICT backbones for stressed environments can 

be put in place and kept at least “warm” with advanced planning and follow-through.

Even if political agreements are in place, many technical issues need to be solved 

before communications will be reliable. Is there power available? Are there local infrastructures to rely on? Does the terrain allow for connectivity? Are people trained 

to use the equipment in place? Is there “bridging equipment” (such as VOIP [Voice 

Over Internet Protocol] patching devices) to link deploying communications equipment with indigenous capabilities?

To achieve an effective combination of sensemaking and information transport, 

several pre-cursor steps are essential:

1. Policymakers need to acknowledge that unclassified/non-classified information sharing is important. Traditionally, they have not.

2. Rapidly deployable, integrated, easy-to-use equipment kits and situational

awareness software need to be identified and made available quickly to those 

in the field. These can come from any source. The PEAK (Pre-positioned 

Expeditionary Assistance Kits) Joint Capabilities Technology Demonstration 

(JCTD) is one such project that is designed to be used in partnership with 

other countries.10

3. Whatever solutions are chosen, they need to be able to reach across the borders

between the many disparate organizations which may be involved in a particular 
Linking NATO Capacity to Local Stakeholders

213

operation. The origin is less important than the interoperability. In some cases 

military units may have components suited to NGO use within their deployable 

systems. In other cases, it may be better for all parties to fall in on recognized 

civilian systems, such as the UN’s ReliefWeb, Humanitarian Information 

Centers (HIC), and the Emergency Telecommunications Cluster (ETC).11

4. Pre-established social network and trust-building can greatly facilitate responses. These are addressed below.

Low Cost Infrastructures, Matched to Scenarios

When DOD units support operations such as BSC, S&R, or HA/DR, they typically 

have to use deployable systems of record that are (1) expensive, (2) already committed 

to operational plans, and (3) signed for on custody cards. As part of “whole of nation,” 

civilian-empowering approaches, ways should be examined to provide alternative 

solution sets, that is, not necessarily through military, or even government, channels.

One of the purposes of the TIDES research effort, mentioned earlier, is to empower civilian planners and service providers, both to improve the quality of service to 

affected populations and to reduce the burden on security forces, where appropriate. 

In addition to developing social networks, building trust, sharing information, and 

promoting sensemaking, TIDES focuses on eight categories of “transportable” infrastructures (as opposed to “deployable” military equipment, or the fixed infrastructures 

of the developed world). These are: shelter, water, power, integrated combustion and 

solar cooking, cooling/heating, lighting, sanitation, and ICT. For instance, the infrastructure directory on the STAR-TIDES website has identified some 75 different 

types of shelters that generally are less expensive than military tents.12

A key aspect of effective engagement with local actors is to address problems of 

interest to their “engaged stakeholders,” who may be abroad or at home. By analyzing 

the range of candidate infrastructures, such “stakeholders” can be offered potential 

“solution sets” (mixes of shelter, water, power, etc.) and services suited to their needs. 

Very few solutions will be suitable for all contingencies. Solutions to support survivors 

of a winter earthquake would be different from those for tropical typhoon victims, just 

as infrastructures to build security capacity would not be the same in sub-Saharan 

Africa as in Andean Ridge nations. Similarly, the average stay in a refugee camp is over 

7 years, so the approaches there need to be very different from the first 60 days after 

a disaster. One size does not fit all.

Develop Social Networks and Build Trust

Building trust and productive relationships among participating individuals and organizations share common characteristics in any environment. Trust is built around 

a more informed understanding of the roles, relationships, customs, traditions, capabilities, and motivations of the participants, as well as their information culture and 

information-sharing needs (Wells & Hauss, 2008). It is also vital to manage expectations and to ensure that actions support expectations.
Wells, Pudas, McNitt

214

Understanding the human interoperability dimension is essential. As one observer has 

noted: “Interoperability is a human behavior issue as much as a technology innovation 

and integration issue” (Brown-VanHoozer, 2011). Thus, refinement of infrastructure 

solution sets must be paralleled by the development of effective, sustainable, and 

trusted social networks. Ideally, when we “hit the ground” we want to understand 

those with whom we are engaging well enough to move the effort forward and reduce 

the on-site learning curve.

A seminal series of civil-military demonstrations between 2000 and 2006 called 

STRONG ANGEL outlined a number of bedrock principles for civil-military collaboration and information sharing (STRONG ANGEL, 2006). Lessons include:

•	 A common culture of trust in information networks and communications 

is needed between civilian governments, military organizations, and other 

participants.

•	 Communications must flow in all directions, almost all the time.

•	 Information structures need to be flexible (but not completely ad hoc).

There is ample evidence from real-world experiences (tsunami, Katrina, and global 

relief operations; stability and reconstruction in Iraq and Afghanistan; development 

efforts around the world) to reinforce these points. Conventional wisdom holds that 

social networks cannot be developed quickly. The Maritime Strategy, referenced earlier, asserts that “Trust and cooperation cannot be surged,” (U.S. Department of Navy, 

2007) and the Army’s Field Manual 3–0 makes similar points (U.S. Department of 

Army, 2008). This is especially true in settings like Afghanistan, where experience 

has found that a bottom up, long term, relationship-building process is needed (Gant, 

2009).

Clearly, the onset of a crisis is not the ideal time to begin building social contacts. 

But work in human interoperability suggests that trust-building can be accelerated 

(Meyerson, Weick, and Kramer, 1996).13 Al Santoli, of the Asia-America Initiative, 

notes the importance of having a model for developing “rapid trust,” based on years of 

experience in the Muslim areas of the Southern Philippines (Santoli, 2010). Multistakeholder engagement models like those outlined in the book Megacommunities offer 

insights into ways to increase the likelihood of success in complex contingencies, or 

complex operations.

The choice of the individual representative is critical. The mountain-climbing, 

Spanish-speaking neuroscientist who would be indispensible in an Andean earthquake 

may not be nearly so useful in Banda Aceh. Since tailored specialists may not always be 

available, this reinforces the need for training and education across the range of providers, civil and military, and the importance of developing as broad an array of social 

networks as possible. Selected engagement can also help. Many of the larger NGOs 

have security coordination units and the security professionals in these positions often 

have military experience. If the military can provide them with useful information that 
Linking NATO Capacity to Local Stakeholders

215

can help keep their people safe, some of the barriers between the overall organizations 

could be reduced over time.

Finally, engagement plans need to be clear, easily understood, and consistent with 

the objectives and priorities of the affected nation. Properly written, they can enable 

sector reconstruction and development and promote self-sustaining capacity to help 

reduce corruption and enhance transparency in governance. This offers opportunities 

to influence positively the attitudes of the leadership at all levels and the population 

in general.

In sum, information sharing, trust-building, and cooperative activities can have 

decisive impacts in the Comprehensive Approach, but they need to be treated as a core 

part of each nation’s overall strategy and not just as “nice to have” adjuncts to more traditional phases of operations.

Link Policy and Doctrine to Field Operating Procedures

As discussed earlier, the most effective ideas will not make any difference unless they 

are conveyed in ways that people at all levels can understand and apply. For the military in the field, this means providing unambiguous guidance to troops on the ground 

about information sharing, leave-behind capabilities, etc. Clearly there is a high-level 

policy in NATO to support Comprehensive Approaches, but despite the best of 

intentions in high-level policy documents, repeated evidence shows that whatever is 

promulgated will be interpreted differently at different levels, usually resulting in a 

stifling of innovation and a perpetuation of the status quo. The lack of a definition of 

the Comprehensive Approach only enhances the likelihood of confusion.

A non-military example shows how clear guidance on the ground can make a difference. Wal-Mart used a very simple policy to great effect after Hurricane Katrina. 

The stores told employees they did not need to check with their chain of command 

before releasing inventory, but only needed to do what had to be done in order to 

help people through the disaster. The guidance was clear and Wal-Mart employees 

acted on it, and found ways to get water, medicine, and other key items to the victims 

(Horwitz, 2009).

There is a caveat: the devolution of power clearly can have positive results, but it 

also can increase the risk of corruption. There is no free lunch but, on balance, empowering “the edge” does better than keeping everything at the center. It remains essential 

to spend the time to understand each other’s ways of doing things, and then document 

procedures that actually can work under real-world conditions. This reinforces the 

importance of engaging before a crisis develops.

Address Legal and Regulatory Restrictions

Transferring equipment across civil-military boundaries raises complicated legal issues. For example, it took 2 years of negotiations in 2005–2007 between the Office 

of the Secretary of Defense and Capitol Hill before Congress would allow U.S. combatant commanders to provide host nations with ICT “as necessary to provide basic 
Wells, Pudas, McNitt

216

information and communications services” in the course of “rudimentary construction 

and repair of public facilities....” (such as wiring hospitals for Internet access when 

rebuilding them after natural disasters).14

This ICT experience is indicative of the issues that must be addressed when transferring military equipment to civilian control. Congress guards jealously the fact that 

funds (so-called Title 10) are appropriated to DOD to fight and win the nation’s wars, 

while different funds are appropriated for development and foreign aid. This must be 

kept in mind as DOD missions expand into areas such as building the security capacity 

of partner nations. It reinforces the importance of empowering civilian components to 

improve their own resilience and the value of using commercial and NGO/IO supply 

chains. These options should be pursued aggressively.

Progress has been made at the policy level to facilitate the sharing of DOD radio 

frequency bandwidth with civil-military mission partners (U.S. Department of 

Defense, 2009) and the sharing of unclassified imagery with participants in disaster relief operations,15 although knowledge of this has been slow to filter down to operators.

The Tampere Convention provides a legal framework for the deployment and the 

use of telecommunications in international humanitarian assistance. For nations that 

have ratified the convention, certain regulatory barriers are waved for telecommunications to be used in disasters (International Telecommunications Union, 2011). The 

United States has signed the convention, but not ratified it.

National restrictions may limit the employment, transfer, or positioning of various capabilities, even though there may be a political commitment to engage. This 

could take the form of export controls, customs restrictions, “national caveats,” or a 

host of other restrictions. It is important that these be understood at all phases of an 

engagement.

Identify Resource Requirements

The sections above on “Low Cost Capabilities Matched to Scenarios” and “Delivery 

Mechanisms” outline ways to work with stakeholders to parse the delivery sources to 

provide the capabilities needed in complex contingencies. There are four broad options 

for resourcing the capabilities:

•	 Some might be stockpiled by governments.

•	 Some might be provided through non-government channels (NGOs, UN, 

IOs, etc.—recognizing that these are very different entities).

•	 Others could best be provided by commercial supply chains, both indigenous 

and international.

•	 In some cases, the best approach might be to empower citizens to become 

more resilient themselves and reduce their need for outside assistance.

Turning these different delivery options into effective plans offers high payoff. 

Speed of response is essential to influencing conditions on the ground during the 
Linking NATO Capacity to Local Stakeholders

217

critical first hours after a crisis. It can improve the quality of support across a wide 

range of contingencies through integrated capabilities, reduced costs, and empowered 

local individuals.

Such decisions are not likely to be taken quickly, or without contention. But the 

multi-stakeholder approach offers ways to increase civilian capabilities and reduce 

military costs. Done properly, it should be a “win-win.”

Whatever long-term decisions are made about long-term solutions, some funding 

needs to be available on short notice (hours to days) to provide rapid response capabilities (typically related to communications, lift, and power) in emergency situations.

Train, Exercise, and Educate

However well plans and analyses have been done, they will not be effective when 

needed if they have not been exercised. The July 2008 Operation Golden Phoenix public 

safety exercise in the San Diego area involved over 150 different entities and reinforced 

the value of bringing business and civil society members (NGOs, citizens’ groups, 

etc.) into the planning process early and having them as part of the exercise regime for 

any complex contingency (Ganyard, 2009). Such training also should include nontraditional infrastructures and information sharing approaches as identified through 

projects such as TIDES, recognizing that there are intersections between technology, 

culture, and leadership that often are not exercised well. Lessons learned also need to 

be institutionalized and exercised, lest they be relegated to a recurring set of “lessons 

observed,” but never learned. Lessons are not learned until behavior changes.

Whenever possible, field events should experiment with new concepts and equipment, and testing should be done, and documented, at every opportunity. Two recent 

activities, termed Exercise 24 (X24) Southern California and X24 Europe, built on the 

inclusive approach of Golden Phoenix to engage thousands of participants around the 

world in innovative disaster relief scenarios (Bressler, 2011).

A growing body of experience points to the value of “shadow operations”—activities not on the critical path of the formally scheduled training or exercise that can 

be used to try new ideas. For example, during Golden Phoenix Project K.I.D. tested 

procedures to safeguard and identify children after disasters (Project K.I.D., 2011). 

This “shadow operation” took advantage of the proximity of the military and civilian 

first responders, but did not interfere with their training events.

Government research and development should be combined with an active scanning of available commercial research to highlight potential upgrades. At the same 

time, independent testing and experimentation should be pursued to provide unbiased 

evaluations of the real capabilities of proposed solutions. This would be an ideal role 

for a civilian “Underwriters Laboratory”-type of institution.

The demands of Comprehensive Approaches and complex civil-military contingencies also need to be addressed in the education process, at both civilian and military 

institutions. Leaders need to be prepared for a world full of complexity, chaos, and 

surprise (Transformation Chairs Network, 2010). Though this may seem evident, 
Wells, Pudas, McNitt

218

changing academic curricula is harder than often realized and needs sustained, dedicated attention.

The “Crowd, Bridge, Transaction, Feedback” Model

This chapter has repeatedly pointed to the importance of sharing information in 

Comprehensive Approach environments. The model shown in figure 3 offers a framework by which decisionmakers can take advantage of “crowd-sourced” information in 

a variety of security situations (Wells and Welborn, 2010).

•	

Link Filter Channel Feedback

Transaction

Effective Outcomes

Bridge (Organization 1)

Bridge (Organization N)

Varies by

Organization

Figure 3. The Crowd, Bridge, Transaction, Feedback Model

(Wells & Welborn, 2010)

The “Crowd” will make information available from many sources and 

through many methods—NGOs working the field, news organizations, 

crisis-mappers, text-message feeds, other social media sources, etc. It will 

generate information whether government officials, or others, use it or 

not. In Haiti, much of this was done by the “crisis mapping” community, 

for example, crisismappers@googlegroups.com. However, in any case, it is 

important to make it easy for people to find what they need.

•	 To take advantage of it, NATO must build a “Bridge” between the Crowd 

and the decisionmakers. Each Bridge needs to be uniquely designed for each 

organization. The Bridge incorporates elements such as:
Linking NATO Capacity to Local Stakeholders

219

•	 A Link, where “Open Source Teams” pull information they want 

to monitor from the crowd—blogs, wikis, structured Geospatial 

Information System (GIS) products with metadata, collaboration 

tools, text-messages, etc.

•	 A Filter, where information is vetted and validated. Depending on 

the security environment this can be a relatively light review (Haiti), 

while in other cases (Afghanistan) the open source information 

will have to go through rigorous scrutiny. Filters also will have to 

keep decisionmakers from being overwhelmed with the volume of 

information likely to be generated.

•	 A Channel, through which filtered information is passed to decisionmakers of whatever stripe.

Ideally the Bridge will lead to improved situational awareness and decisionmaking. This will be unique for each organization—national military commands will 

differ from alliance headquarters, NGOs will differ from governments, etc. The key 

point is to recognize the importance of crowdsourced information and build a bridge 

of some kind to it.

•	 The “Transaction” represents an outcome effectively achieved; something 

valuable that has occurred on the ground (people rescued, supplies delivered, 

contracts fulfilled, etc.). Without the completed transaction, “Crowd” and 

“Bridge” just generate interesting exchanges of information. Logisticians need 

to be tied to the “Bridge” to complete Transactions.

•	 “Feedback” loops connect the “Transaction” to the “Bridge” and the “Crowd.” 

Feedback is essential not only to know which Transactions have been effective, but also to identify those that have not. Besides being able to affect 

individual organizations, broadly directed feedback can be part of a strategic 

communication campaign or can produce pressure that can change the 

environment in which decisions are made (through embarrassment via the 

“Crowd,” for example) to improve the likelihood of successful Transactions.

The framework is simple, but taking advantage of the enormous (and growing) 

amount of useful information “from the crowd” (much of which can be from local 

actors) requires that leaders recognize its potential value, assign points of contact, 

develop a structure to take advantage of it, encourage two-way information flows, 

and improve decisionmaking based on it. Include logisticians and others in the link 

to promote completed transactions, and fold the process into communication plans.

NATO’s adoption of such an approach, within International Security Assistance 

Force (ISAF), within Europe for disaster relief or exercises, in far flung maritime 

environments, or elsewhere, could be a “quick win” for the Alliance, at virtually no 

cost. It also aligns with the Secretary General’s challenge of “Managing Security in a 

Globalised World.”16 The “Crowd, Bridge, Transaction, Feedback” model could be 
Wells, Pudas, McNitt

220

used by disparate organizations (operational headquarters, national actors, civilian 

partners, etc.), and tailored to their needs. This must be presented so that NATO is 

not seen as trying to control the “crowd,” only to draw value from the “self-organizing” 

system that is already there. European privacy concerns also must be considered. 

Properly done, however, this could (1) enhance cooperation with external actors; 

(2) improve planning and coordination; and (3) facilitate the collection of lessons 

learned and their incorporation into training, exercises, and education. It also could 

be an important public messaging tool—USSOUTHCOM got excellent press out 

of their actions in Haiti.

Similarly, in response to terrorist incidents, energy security issues, or even cyber 

attacks, the ability to leverage Social Software could be an important source of understanding for the Alliance (consider the use of Twitter in the Mumbai attacks, or 

Facebook in the counter-FARC campaign in Colombia), recognizing that Europe’s 

privacy laws and cultural concerns have to be taken into account. This is not an area 

where the Alliance is likely to be comfortable, but proficiency could be valuable.17

Enhancing NATO’s use of social software may be a useful experiment for ACT. The 

following publication may be of interest: Social Software and National Security: An 

Initial Assessment.

18

The Civil-Military Cooperation Center of Excellence has been working with 

the International Transformation (ITX) Chairs network to develop innovative 

Comprehensive Approach initiatives. This should be leveraged.

Summary

The importance of local stakeholders in Comprehensive Approach environments 

cannot be overemphasized, and their cooperation cannot be assumed. Prospects for 

success are improved by sustained and systematic consultation and planning, ideally 

before a crisis erupts. Paying more attention to information and ICT can significantly 

increase the likelihood of success in Comprehensive Approach activities such as 

humanitarian assistance, building partner capacity, and disaster preparedness. It is 

essential that the power of Information and ICT be understood, and used, by senior 

leaders, not just technical support staffs. Multi-sector stakeholders must be engaged as 

part of an overall strategy that coordinates whole-of-nation actions and, as appropriate, 

outside actors such as IOs, NGOs, international businesses, and other civil-military 

parties. The focus needs to be on generating effective results for the host people or 

affected nation—to enable them to be successful in ways that are sustainable with 

resources they are likely to have available.

References

Alberts, D.S., (2007) Agility, Focus, and Convergence: The Future of Command and 

Control, C2 Journal, Vol 1, No. 1, viewed April 7, 2011, <http://www.dodccrp.org/

html4/journal_v1n1.html>.
Linking NATO Capacity to Local Stakeholders

221

Alberts, D.S., Garstka, J.J., & Stein, F. P., (1999) Network Centric Warfare, Command 

and Control Research Program, Washington, DC.

Bressler, G., (2011) Exercise 24 Summary, <http://x24.eushare.org/>.

Bush, G., (2005) National Security Presidential Directive-44: Management of Interagency 

Efforts Concerning Reconstruction and Stabilization, The White House, Washington, 

DC.

Christianson C.V., (2008) Synchronizing Global Defense Logistics: Unity of Effort, briefing at National Defense Industrial Logistics Conference, Miami, FL.

CIMIC, (2010) Civil-Military Cooperation (CIMIC) Centre of Excellence (COE) 

(CCOE), 2010, Field Handbook on Civil-Military Cooperation, Enschede, the 

Netherlands. <http://www.cimic-coe.org/download/cfh/CIMIC-Handbook.pdf>.

Drejhammar, F., Ghodsi, A., Klinstkog, E., Rissanen, E., & Sadighi, B., (2006) 

Access Control and Data Distribution Solutions for the Swedish Network Based Defence, 

ERCIM News 66, France, viewed April 7, 2011, <http://www.ercim.org/publication/Ercim_News/enw66/rissanen.html>.

Gant, J., (2009) One Tribe at a Time. Viewed April 22, 2011, <http://agora.stevenpressfield.com/2009/10/one-tribe-at-a-time-4-the-full-document-at-last/>.

Ganyard, S, (2009) Op-Ed Contributor, All Disasters Are Local, The New York 

Times, May 17, 2009.

Garstka, J., & Alberts, D., (2004) Network Centric Operations Conceptual Framework 

Version 2.0, U.S. Office of Force Transformation and Office of the Assistant Secretary 

of Defense for Networks and Information Integration, Washington DC.

Gerencser, M., van Lee, R., Napolitano, F., & Kelly, C., (2008) Megacommunities, 

Palgrave MacMillian, New York, NY.

Gowing, N., (2010) Skyful of Lies and Black Swans, Reuters Institute for the Study 

of Journalism.

Hamid, T., (2011) “New Weapons of Protest.” MEED: Middle East Economic Digest

55, No 5, 22–23.

Horwitz, S., (2009) Wal-Mart to the Rescue: Private Enterprise’s Response to 

Hurricane Katrina, Independent Review 13, No 4 (Spring 2009), 511–528.

International Telecommunications Union, (2011) viewed April 8, 2011, <http://

www.itu.int/ITU-D/emergencytelecoms/>.

ICT4Peace (2011) 2011 Libyan Uprising Wiki, Washington, DC, viewed April 22, 

2011, <http://wiki.ict4peace.org/w/page/36968599/2011-Libyan-Uprising>.
Wells, Pudas, McNitt

222

LaRose-Edwards, P., (2008) NATO and Militaries as Trusted Partners in CivilMilitary Interaction, Pearson Papers, Volume II, Issue I, Spring, 22–41.

Lidy, M., (2005) Miscellaneous S&R briefing material, Institute for Defense Analyses, 

2005.

Meyerson, D., Weick, K.E., & Kramer, R.M., (1996) Swift Trust and Temporary 

Groups. In R.M. Kramer and T.R. Tyler (eds.), Trust in Organizations: Frontiers of 

Theory and Research. Thousand Oaks, CA: Sage Publications, 1996, 166–195.

Mortenson, G., (2007) Three Cups of Tea: One Man’s Mission to Promote Peace ...One 

School at a Time, New York: Penguin.

Mortenson, G., (2009) Stones into Schools: Promoting Peace Through Education in 

Afghanistan and Pakistan, New York: Penguin.

NATO, (2010) Strategic Concept for the Defense and Security of the Members of the 

North Atlantic Treaty Organization: Adopted by Heads of State and Government in 

Lisbon, Brussels, NATO, 5, 9.

Perito, R.M., (ed.) (2007) Guide for Participants in Peace, Stability, and Relief Operations,

Washington DC, U.S. Institute of Peace.

Project K.I.D. Network. Tallahassee, FL, viewed April 8, 2011, <http://www.

project-kid.org>.

Rittel, H., & Webber, M., (1973) Dilemmas in General Theory of Planning, Policy 

Sciences, Vol. 4, Amsterdam, Elsevier Scientific Publishing Company, Inc., 155–169.

Santoli, A., (2010) Personal Comments Made to Dr. Linton Wells II.

Singapore Ministry of Defense, (2010) Integrated Knowledge-Based Command and 

Control (IKC2) Armour Brigade Experiment, Center for Military Experimentation, 

Singapore, viewed on April 7, 2011, <http://www.mindef.gov.sg/imindef/mindef_

websites/atozlistings/scme/infohub/papers/integrated_knowledge-based.html>.

STAR-TIDES, (2011) National Defense University, Washington, DC, viewed April 

7, 2011, <http://www.star-tides.net>.

STRONG ANGEL, (2006) STRONG ANGEL Demonstration, San Diego, CA, 

updated 2008, viewed April 8, 2011 < http://strongangel3.net/>.

Tan, K.H., RADM, (2008) Naval Transformation: Progress, Prospects and People, 

Pointer: Singapore: Journal of the Singapore Armed Forces, 34(2), 6.

Transformation Chairs Network: Garstka, J., Geis, J., Hailes, T., Hughes, R., 

Martinez, S., Wells, L., (2010) “Challenges for National Security Organizations and 

Leadership Development: Trends and Shocks in Complex Adaptive Systems,” in 

Fighting Chance: Global Trends and Shocks in the National Security Environment, ed. 
Linking NATO Capacity to Local Stakeholders

223

Neyla Arnas, Center for Technology and National Security Policy and NDU Press, 

Washington, DC.

USAID, (2008) Civilian-Military Cooperation Policy, Washington, DC, viewed April 

7, 2011, <http://www.smallwarsjournal.com/documents/civilianmilitarycooperation.pdf>.

United Nations, (2008) Principles and Guidelines for Peacekeeping Operations, 

Peacekeeping Best Practices Section Division of Policy, Evaluation and Training, 

Department of Peacekeeping Operations, United Nations Secretariat, New York, 

NY. Viewed April 7, 2011, <http://www.peacekeepingbestpractices.unlb.org/Pbps/

Library/Capstone_Doctrine_ENG.pdf>.

U.S. Department of the Army, (2008) Army Field Manual: FM—3, Operations, 

Department of the Army, Washington, DC.

U.S. Department of Defense, (2005) DoD Directive 3000.05, Support to Stability, 

Security, Transition and Reconstruction [SSTR] Operations, Department of Defense, 

Washington, DC.

U.S. Department of Defense, (2008) National Defense Strategy of the United States of 

America, Department of Defense, Washington, DC, 17.

U.S. Department of Defense, (2009) DoD Instruction 3000.05, Stability Operations, 

Department of Defense, Washington, DC.

U.S. Department of Defense, (2009a) DoD Instruction 8220.02, Information 

and Communications Technology (ICT) Capabilities for Support of Stabilization and 

Reconstruction, Disaster Relief, and Humanitarian and Civic Assistance Operations.

Office of the Assistant Secretary of Defense, Networks and Information Integration/

Department of Defense Chief Information Officer, Washington, DC, viewed April 8, 

2011, <http://www.dtic.mil/whs/directives/corres/pdf/822002p.pdf>.

U.S. Department of the Navy, (2007) A Cooperative Strategy for 21st Century Sea Power, 

Department of the Navy, Washington, DC. Viewed April 8, 2011, <http://www.

navy.mil/maritime/MaritimeStrategy.pdf>

U.S. Joint Chiefs of Staff, (2009) Doctrine for the Armed Forces of the United States, 

Joint Publication 1, Washington, DC GL-11, viewed April 7, 2011, <http://www.

dtic.mil/doctrine/new_pubs/jp1.pdf>.

U.S. Joint Chiefs of Staff, (2011) National Military Strategy, Department of Defense, 

Washington, DC, 2, viewed April 7, 2011, <http://www.jcs.mil/content/files/2011-

02/020811084800_2011_NMS_-_08_FEB_2011.pdf>

Brown-VanHoozer, S., (2011) Comments Made at Center for Technology and National 

Security Policy, National Defense University, Washington, DC.
Wells, Pudas, McNitt

224

Wells, L., & Hauss, C., (2008) Odd Couples: The DoD and the NGOs, in Reveron 

D.S., Stiehm J.H., (eds.) Inside Defense, Understanding the U.S. Military in the 21st 

Century, Palgrave Macmillian.

Wells, L., & Welborn R., (2010) From Haiti To Helmand: Using Open Source 

Information to Enhance Situational Awareness and Operational Effectiveness, Washington, 

DC, viewed April 7, 2011 <http://www.star-tides.net/node/745>.

Wells, L., Welborn, R., & Wilkinson, T., (2011) Valued Sustainable Services, Center 

for Technology and National Security Policy, Washington, DC, draft viewed April 

8, 2011, <http://www.star-tides.net/node/930>.

Wentz, L., (2006) An ICT Primer: Information and Communication Technologies 

for Civil-Military Coordination in Disaster Relief and Stabilization and Reconstruction,

Defense & Technology Paper, No. 31, Center for Technology and National Security 

Policy, Washington, DC.

Wentz, L., (2008) Trip Report for Visits to JTF Caring Response, International 

Telecommunications Union, United Nations World Food Programme, United 

Nations Children’s Fund, United Nations Office of the Coordinator for Humanitarian 

Assistance, U.S. Pacific Command J6, and Asia-Pacific Center for Strategic Studies, 

Center for Technology and National Security Policy, Washington, DC.

Wentz, L., Kramer, F., & Starr, S., (2008) Information and Communication Technologies 

for Reconstruction and Development: Afghanistan Challenges and Opportunities, Defense 

& Technology Paper, no. 45, Center for Technology and National Security Policy, 

Washington, DC.

Wentz, L., (2010) Haiti Information and Communication Observations: Trip Report 

for Visit 18 February to 1 March 2010, National Defense University, viewed April 7, 

2011, <http://www.star-tides.net/node/678>.

Notes

1. The participants in Comprehensive Approach situations are not clearly defined, just 

as they are not in “complex civil-military operations” conducted by the U.S. military. 

However, for the purposes of this paper, Comprehensive Approach situations for 

NATO require capabilities that are comparable to those needed in U.S. complex operations. The U.S. military often refers to civil-military mission partners or stakeholders. 

For example, the April 2008 U.S. “Guidance for Development of the Force” defines 

mission partners as “those entities not under the commanders’ direct authority that are 

participating in the mission.” In the NATO context, examples include, but are not 

limited to, non-military agencies of Alliance governments; international organizations; 

nongovernmental organizations (NGOs); indigenous security services; and others (including commercial firms and individuals as appropriate) who are directly contributing 
Linking NATO Capacity to Local Stakeholders

225

to the ongoing mission. However, many NGOs object to being considered “partners” 

with the military, so stakeholders is usually a better word.

2. Unclassified implies that information has been reviewed by official classification 

authorities and deemed to be unclassified. Non-classified refers to information that 

has never been reviewed by classification authorities, such as information exchanged 

among nongovernmental organizations, private citizens, etc.

3. It is worth noting that mentoring takes on different meanings in different contexts. 

One person’s mentoring is another person’s instruction. Thus roles and cultural context and similar aspects need to be taken into account.

4. The term “collaboration” may have negative connotations in Europe, so “cooperation,” or “consultation” are often used instead.

5. See, inter alia, the Sixth Globalization and Maritime Security Conference held 

in Washington, DC in July 2008, the July 2008 meeting of the ASEAN Regional 

Forum, July 2008 (http://www.41amm.sg/amm/index.php/web/info_for_delegates/

statements/chairman_s_statement_15th_asean_regional_forum_24_july_2008_singapore), and the Global Maritime Situational/Domain Awareness (MSA/MDA) 

Conference, December 3–5, 2008, in Vina del Mar, Chile.

6. Many foreign forces, including close allies, have expressed concern that the U.S. 

military is developing NEC so fast that they will not be able to keep up, or to interoperate effectively. The possibility of mismatched capabilities is always a concern, but data 

sharing, metadata tagging strategies, and Web 2.0 (bi-directional dialogue) approaches 

can mitigate many concerns by emphasizing collaboration and helping to bypass the 

thorny issues of who “owns” the data.

7. The military and intelligence communities are excellent at sharing classified and 

unclassified information within the .mil and .gov domains, and to some extent with 

coalition government partners, but there has been much less emphasis on sharing 

across the boundaries of the joint force with civil-sector entities. To be useful, such 

information almost always must be not only unclassified, but also uncaveated, that is, 

without restrictions like the former “For Official Use Only” markings.

8. NGO refers to Nongovernmental Organizations such as Save the Children, IO to 

International Organizations such as the International Committee of the Red Cross, 

and IGO to International Governmental Organizations such as the UN and World 

Bank.

9. FA-HUM is a multinational exercise sponsored by the U.S. Southern Command

that concentrates on improving how civilian, government, and military agencies from 

the United States, the Caribbean and Central America respond to natural disasters 

in the region. It has been conducted since at least the 1990s.
Wells, Pudas, McNitt

226

10. The objective of the PEAK JCTD is to demonstrate and transition an array of 

capabilities for field distributed essential services including potable water, hybrid 

renewable power, communications, and situational awareness that can be deployed 

quickly after a crisis. The PEAK kits will provide effective low-cost and sustainable 

crisis response services that support and build key capacities in partner nations to 

promote security and stability in theatre.

11. The Emergency Telecom Cluster (ETC) is responsible for providing stopgap ICT 

in a disaster area until other UN elements can set up operations and NGOs and others 

are able to engage the affected nation. The cluster is composed of OCHA (coordinator), WFP (provider of voice services), and UNICEF (provider of data services). 

Either WFP or UNICEF can be the lead for a disaster, depending on the situation.

12. STAR-TIDES does not claim to address all problems in these contingencies. For 

example, due to funding limits and staff expertise, it considers security and medical 

support as “Associated Areas” and defers to others on these subjects.

13. A symposium was held in late September 2008 on “Human Interoperability and 

Building Partnerships: Rapid Rapport in Hastily Formed Human Networks.”

14. Prior to November 2006 the Defense Department directive on Humanitarian 

Civic Assistance Activities (DODD 2205.2,) was interpreted to preclude the provision of ICT capacity during SSTR or HA/DR operations. The intent was to keep 

DOD from using its funds for what was felt by Congress to have been for foreign 

aid purposes. After two years of negotiations between the Office of the Secretary of 

Defense and the Hill, Congress provided language in the conference report of the 2007 

Defense authorization bill that clarified the issue as follows: “Rudimentary construction and repair of public facilities, under section 401(e)(4) of title 10, United States 

Code, includes information and communications technology as necessary to provide 

basic information and communications services.”

15. Commercial satellite imagery firms provide geospatial information data and 

products to the U.S. Government, but the contracts often require that the imagery 

be handled as FOR OFFICIAL USE ONLY, or some comparably restrictive caveat. 

However, this effectively makes the imagery unusable by most civil-military mission 

partners, such as NGOs. Recently, the National Geospatial Intelligence Agency 

(NGA) has worked with the commercial firms to encourage the release of geospatial 

products without caveats to those working on disaster relief and issues of national 

importance like Afghanistan.

16. SecGen speech at Lisbon on 2 July 2010, <http://www.nato.int/cps/en/natolive/

opinions_64814.htm>.

17. Nik Gowing, in “Skyful of Lies” and Black Swans (Oxford: Reuters Institute for the 

Study of Journalism, 2009) discusses “the new tyranny of shifting information power in 
Linking NATO Capacity to Local Stakeholders

227

crises” and the need for government organizations to use social software to gain much 

better situational awareness, and to respond more quickly under stress.

18. Wells, Linton, and Drapeau, Mark, Defense &Technology Paper #61, “Social 

Software and National Security: An Initial Assessment,” Washington, DC: CTNSP 

Press, April 2009.

229

Chapter 13

Comprehensive Approach: 

The Swedish Case

Torsten Björkman and Henrik Friman

Abstract

During the Cold War the leading strategy for Swedish national defence was called 

“Total Defence (TD).” Mobilization would create armed forces close to a million with 

a very large air force in particular. The aim of TD was to enable national perseverance, 

even in a war with an eastern superpower. The methodology of TD was close civilmilitary coordination of planning and operation at every societal level. “Total Defence” 

was an example of a successful Comprehensive Approach. That old and proven methodology lives on in the multinational and multifunctional “Viking Exercises.” Six such 

exercises have so far been organized by Sweden since 1999.

The Comprehensive Approach is still an ideal for Swedish defence and has now 

migrated to include international missions such as International Security Assistance 

Force (ISAF) in Afghanistan in particular. But there is a new gap between the ideal 

and reality. The consensus of the Cold War is wanting as well as the close coordination 

of military and civil resources. We analyze these implementation difficulties. One of 

great importance is a belief, in many of our NGOs (nongovernmental organizations), 

that Comprehensive Approach would compromise them. Some even think that a 

close cooperation with our military would jeopardize what they are trying to achieve. 

We discuss the validity of this “touch terror” and how to overcome it. We use “The 

Swedish Committee for Afghanistan, SAC” as one of our illustrations. How do you 

convince NGOs as well as Governmental Agencies that Comprehensive Approach 

is the best approach?

Introduction

The “Comprehensive Approach” is a relatively new military concept in relation to 

international counterinsurgency operations like ISAF in Afghanistan (Nilsson, 

Hull, Derblom & Egnell, 2008). The United Kingdom was arguably the first nation 

with a Comprehensive Approach doctrine (Ministry of Defence, 2006). In NATO 

the concept was first strongly promoted as recently as at the Summit in Bucharest in 

April 2008. A quote from the official communiqué from that Summit is illustrative: 
Björkman and Friman

230

“NATO agreed on the need to implement a comprehensive approach to international 

security challenges. In this context, development of closer relations with the United 

Nations and the European Union was stressed.” (NATO/OTAN Websites, Summit 

0804-Bucharest.)

In other contexts, like medical treatment, the Comprehensive Approach has been 

used for decades, meaning it is a truly effective treatment, since it is taking every factor 

of importance into account; surgery, medication, diet, living conditions, lifestyle, etc. 

(Many organization concepts are borrowed from the health sector, “lean,” “agile,” “fit” 

and so forth.)

Although the concept is relatively new in a military context, the phenomenon it 

is trying to characterize is not. Military operations have been combined with various 

“civilian” activities since the very beginning of human history. The first “scholarly” 

historical work ever, Thucydides’ The Peloponnesian War, is full of observations of 

Civil-Military interactions and a holistic evaluation of the relative merits of Sparta 

and Athens as societies, not only as military powers. For a modern re-analysis of 

Thucydides’ way of portraying Athens, Sparta and a number of the other Greek citystates, Hanson’s study (2007) is highly recommended.

European colonialism gives a vivid variety of combinations of military and civilian 

interventions. The more long-lived colonial empires, like the British, had a broader 

civilian approach and made heavier civilian investments than those empires that soon 

crumbled, for instance as with the Belgian Congo. The colonial era is verification and 

vindication of the superiority of a Comprehensive Approach versus a simplistic use of 

force and exploitation (Toynbee, 1972).

A very successful Comprehensive Approach operation was the American occupation of Japan in the years 1945–1952 giving Japan a new constitution, extended 

suffrage, a transformed status for women, and a huge transfer of industrial know-how, 

as well as encouraging the development of an export-driven economy. An excellent 

narrative of this period was published quite recently, in Harvey (2006).

For the moment omitting the interesting Cold War years, the authors conclude 

that after the Cold War, in the 1990s, the favored doctrine was almost the opposite 

of Comprehensive Approach. Minimalism was à la mode. Referring to the (first) Gulf 

War in 1991, warfare was supposed to be “clinical,” and utilized a down-sized military 

force relative to its size during the Cold War. This process of downsizing continued 

up to the second Gulf War in 2003, a campaign that resulted in a crushing victory 

after only 3 weeks, although the force used against Saddam’s army was less than 50 

percent of the one used in 1991. The war plan was called Cobra II, alluding to Patton’s 

“blitzkrieg” offensive in Normandy 1944. But in spite of the stunning military victory 

after 3 weeks of fighting, the mission was not accomplished. Victory was gained but not 

the peace. The second Gulf War was followed by an insurgency. Gordon and Trainor 

(2007) demonstrated in their well-documented book that there did not exist any serious plan for the period after a victory. They present unequivocal evidence of the lack 

of foresight at the highest levels of the George W. Bush administration.
Comprehensive Approach: The Swedish Case

231

An early and authoritative statement of this new pattern of stunning victories 

followed by long-lasting insurgencies was made by Rupert Smith in his provocative 

book The Utility of Force—The Art of War in the Modern World. Smith calls the new 

kind of wars, “wars amongst the people” and he claims that they “tend to be timeless,” 

Smith (2005). Filkins (2008) applies a similar logic when he describes such wars as 

“forever wars.” Smith (2005) applies his thesis in an analysis of what has happened in 

Iraq 2003–2005.

However, it is necessary to understand that in many of the circumstances into 

which we now deploy, our forces as a military force will not be effective. The coalition 

forces in Iraq were a classic example of this situation: their effectiveness as a military 

force ended once the fighting between military forces was completed in May 2003. 

And though they then went on to score a series of victories in local skirmishes, they 

had greatly diminished—if any—effect as an occupation and reconstruction force, 

which had become their main mandate. They were neither trained nor equipped for 

the task, and therefore could not fulfill it. To use the parlance of this book, there was 

little utility to the force. (Smith 2005, 10).

During 2005–2006 disillusionment with the minimalist and clinical approach of 

Counterterrorism (with killing terrorists as the prime objective) became widespread in 

professional military circles in most Western countries. The clinical-military approach 

had failed, and insurgencies in both Iraq and Afghanistan gained ground and momentum.

This resulted in “...calls for a fundamental reassessment of the Iraq strategy,” according to Donald Rumsfeld (2011, 701). A number of American flag officers asked 

for Secretary of Defense Donald Rumsfeld’s resignation. “A small group of retired 

generals called for me to step down,” according to Rumsfeld in his recent memoir 

(Rumsfeld, 2011, 704). The search for an alternative to the Counterterrorism doctrine 

gained momentum.

After the Republican losses in the November election of 2006, Rumsfeld did resign 

and was succeeded by Robert Gates. But instead of a pull-out from Iraq, something 

many Democrats argued for, the Bush administration opted for a force increase of 

some 30,000, later to be called “The Surge.”

With the work headed by General David Petraeus resulting in a new Field Manual 

for Counterinsurgency (Petraeus and Amos, 2006), the change in doctrine from 

Counterterrorism was almost paradigmatic. John Nagl, on David Petraeus’ field 

manual team, argued convincingly for a revival of Sir Gerard Templer’s old slogan from 

the Malayan “Emergency” (“emergency” being a typical euphemism of that era, Bayly, 

2007) in the early 1950s: “The answer [to the uprising] lies not in pouring more troops 

into the jungle, but in the hearts and minds of the people.” Nagl (2005) makes a detailed 

comparison between the counterinsurgency strategies applied in Malaya and Vietnam 

respectively, claiming the one being applied in the Malayan emergency was more successful due to its heavier reliance on Civil-Military cooperation. The new doctrine was 

applied in Iraq during the “surge-years” with some success. In Ricks’ (2009) analysis 

he argues in short that the Surge had its intended military effect of “turning the tide” 
Björkman and Friman

232

of the insurgency, but that the gains in the security situation were squandered by the 

political passivity of the Maliki administration. A window of opportunity was opened 

at great cost, but no one used it and then the window closed again.

The application of the same doctrine in Afghanistan during 2010 was dwarfed 

by the cost involved. The protection of the civil population in all of Afghanistan’s 34 

provinces from Taliban terrorism would require a force at least half a million strong 

with costs during a 10 year period approaching a trillion dollars, and “spending that 

much is not in the national interest,” according to President Barack Obama. According 

to Woodward (2010), the projected cost was given to the President in a memo by 

his budget director Peter Orszag. The present strategy, with the provisional label 

“counter-terrorism +,” has more limited objectives. Now the mark is in degrading 

not defeating the Taliban and giving the civilian population protection only in some 

of the provinces. Mobilizing Pakistan in the offensive against the Taliban is a prime 

objective and Pakistan, with two-thirds of the total Pashtun population, is the prime 

base of recruitment for the Taliban.

In this context the Comprehensive Approach does look like one of very few viable options. In Afghanistan one of its applications is the Provincial Reconstruction 

Teams (PRT). From a humble beginning in 2003 with four PRT teams it is now the 

case that the vast majority (27) of the 34 provinces in Afghanistan have PRTs. To 

a large extent the teams deal with reconstruction; they are trying to restore a secure 

everyday life, reintroduce police work and restart a judicial system. But the challenges 

are greater; many provinces have never had paved roads, a literate population or girls 

in schools. Afghanistan is one of the world’s poorest countries, and many of its farmers are tempted to grow poppies and join the lucrative drug trade. Many PRTs are 

underfinanced, their civilian programs only getting fractions of the cost of the Military. 

The local administration is more often corrupt than incorruptible. Still some PRTs 

are success stories. McNerney (2006) is particularly positive about the PRTs run by 

the British and their ability to handle “nation-building.” He also writes positively about 

the Turkish PRT which was engaged in being responsible for an enlarged territory.

The PRT in Uruzgan-province (sometimes also spelled Oruzgan) in the middle 

of southern Afghanistan (bordering Helmand province), was from 2006 to 2010 led 

by a civilian, the Dutch Ambassador Michel Rentenaar. The development of this once 

Taliban-infested province was a true turn-around story during Rentenaar’s years of 

leadership. Radio Netherlands Worldwide has a lot of material, including films and 

reports, on the years with Rentenaar leading the PRT in Uruzgan. However, this is 

now a matter of history due to the fact that the Netherlands left Afghanistan altogether 

after a heavy domestic media campaign against the Dutch participation in ISAF.

The U.S. PRT in Pansjir Valley is another success as well as the New Zealand 

team in Bamyan Province, which has been captured in a report by Tracey (2010) and 

was drawn to the attention of the authors by Col. Hans Ilis-Alm, a leading Swedish 

expert on Afghanistan.
Comprehensive Approach: The Swedish Case

233

In 2006, Sweden inherited the PRT in Mazar-e-Sharif from the UK and runs 

it together with Finnish military and civilians. A similarity in the evaluations of the 

Nordic and NZ PRTs is the highlighting of soldiers’ attitudes, in both cases praised 

for being flexible, unprejudiced and empathetic. Recently many have observed that 

the Turkish PRT is functioning quite well, especially in agricultural development. 

Important Turkish assets include shared religious beliefs with the local population, 

but also a long history of bilateral cooperation since the days of Kemal Atatürk and 

King Amanullah Khan and Queen Soraya Tarzi in the 1920s. In societal reform and 

reconstruction, Turkey has long been an important role model for many progressive 

groups in Afghanistan.

The Leading CA–Doctrine in Sweden during 

the Cold War: “Total Defence”

Sweden is one of the few European countries that never had any colonies (the exceptions being a short-lived Swedish colony in Delaware, New Sweden (1638–1655) 

and the ownership of one island in the West Indies, Saint Barthélemy (1784–1878)). 

During that part of Swedish history, when Sweden was considered an important player 

in European power politics (from the reign of Gustavus Adolphus (1611–1632) to 

that of Carolus XII (1697–1718)) most of the additional territories, later lost; Finland, 

the Baltic States, parts of northern Germany, were considered to be extensions of 

Sweden proper, not colonies. In short, Sweden lacks the colonial experience of coordinating Civil-Military initiatives. But during the Cold War (1949–1989) then neutral 

and non-aligned Sweden mobilised its Military and Civilian resources in a policy that 

was called “Total Defence” (TD). At a national, regional and local level there was 

thorough coordination and planning of how to use Civil and Military organizations 

and competences in defending Sweden, without any help from abroad. How Finland 

succeeded to do just that during the Winter War (November 1939–March 1940) 

was a great inspiration. “Total Defence” is in Sweden regarded as a benchmark for 

successful Civil-Military cooperation.

The experience of WW II contained many potential lessons for the need for 

close Civil-Military cooperation, especially during its final stages. The bombing wars 

against Germany and Japan, especially the one against Japan, left those countries in 

ruins. In Japan it was literally true of the 60 major cities, the temple city Kobe being 

the only exception. Without petroleum, mechanized warfare comes to a standstill. 

Four thousand Kamikaze pilots survived the war as a lack of aviation fuel prevented 

them from becoming airborne. The lessons that Sweden has drawn from its history 

include the following:

• Lesson I: A nation is in desperate need of “in-advance” emergency planning 

and stockpiling “strategic” resources that are imported in times of peace. The 

lesson was not lost on Swedish emergency planners, a lesson repeated during 

the oil crises during the 1970s.
Björkman and Friman

234

• Lesson II: A nation must be self-sufficient with agricultural products or its 

population will starve in times of blockade. In Sweden the farmers were 

heavily subsidized during the Cold War and the sector produced a huge 

surplus (Magnusson, 1996).

• Lesson III: Quantity is a necessary but not sufficient criterion for military 

survival. Make your armed forces as big as possible. The mobilized Swedish 

armed forces totaled almost a million, an impressive number given that the 

Swedish population during the Cold War never exceeded eight million. 

Conscription was mandatory between 18–47 years of age for every male 

“capable of bearing arms.” In TD, women might be called to service in civil 

defence, with the percentage varying from one year to another.

• Lesson IV: A strong Air Force was given the primary task of sinking an invasion fleet out at sea before it ever reached Sweden’s shores. Sweden invested 

in what during a few years was the fourth largest air force in the world, supported by a sophisticated Swedish aircraft industry producing some quite 

competitive fighters and strikers in large numbers (for instance “Flygande 

Tunnan,” “Lansen,” “Draken,” “Viggen” and “Gripen,” the latter two being 

“multi-function” and “multi-role” aircraft).

• Lesson V: All services got their platforms, weapons and ammunition from 

Swedish arms producers like Bofors, Hägglunds, Kockums, Saab, Scania, 

Volvo and so on. But Sweden was too small a market for these companies to 

prosper or even survive. They needed successful export products and were 

successful with products such as fighters, anti-aircraft guns, the Carl Gustaf 

recoilless rifle, combat vehicle 90, and submarines. However, this also generated difficult issues in the realms of domestic political controversies associated 

with arms trading.

• Lesson VI: Regional defence was made very tough and resilient by close 

cooperation between the Military and the Civilian administrations. Every 

county governor had a military role in homeland defence as well. Every major 

utility, plant, railway line, etc. had its own defence force. The Home Guard 

was a huge organization (as in all the Scandinavian countries) and there were 

dozens of voluntary organizations within TD.

• Lesson VII: The whole media community was prepared for a scenario of 

a full-scale attack on Sweden by our eastern neighbour, the Soviet Union. 

The basic rule for the media community was simple: “Every message saying that we do not defend ourselves any longer is a false one. We will never 

surrender.” For more complicated scenarios journalists were trained in 

wargaming exercises with key decisionmakers from the Swedish elite. From 

a CA perspective TD managed to mobilize the media, a rare phenomenon 

in CA in general. Psychological warfare became almost a service in its own 
Comprehensive Approach: The Swedish Case

235

right during these years, but it was plagued by many spies and spy rings giving our potential adversary, the Soviet Union, valuable information. The 

worst traitor ever in Swedish spy history was a Colonel in the Swedish Air 

Force, Stig Wennerström, who was discontent with not getting further 

promotion. The Russians shrewdly promoted him to general in their secret 

service. Wennerström, a Russian spy between 1948 and 1963, gave away 

the whole Swedish system of air defence in the 1960s and to build a new 

one cost billions.

In summary the Swedish “Total Defence” system of the Cold War era met very 

demanding criteria for Comprehensive Approach. For Comprehensive Approach to 

be truly successful you need societal consensus on a strategic policy level, but you also 

need to plan and exercise Civil-Military coordination in great detail, on both operational and tactical levels.

The Viking Exercises: Revival of the 

Tradition from Total Defence

In 1999 Sweden contributed with Exercise Viking during the NATO 50th year celebrations in Washington. Viking is a revival and further development of skills acquired 

during the “Total Defence” era. The Viking 11 (April 04–15, 2011), a distributed 

Command Component Exercise, was the 6th in a series of major joint Civil-MilitaryPolice exercises organized by Sweden with 2,000 participating individuals from 30 

countries. A principal objective of the exercise was to provide the opportunity to 

acquire hands-on practical skills and knowledge of Civil-Military-Police coordination and cooperation before deployment in multifunctional and multinational UN 

mandated Peace Operations. The ambition is improved Civil-Military-Police relations 

within the different crisis management functions in Peace Operations. The Viking

exercises are an example of how a small nation like Sweden, with new technology can 

bring together a large number of countries and actors in the CA exercises. Each country can, through this exercise, choose the ambition and effort with which it wants to 

participate. Simultaneously, the Viking provides each participant with opportunities 

to get into a larger context better resembling the challenges they will face in real CA 

situations. Viking’s cultural, linguistic, organizational, etc., challenges can be seen and 

handled regularly during the various elements of the exercises. Tacit knowledge of 

Civil-Military-Police cooperation is crucial to the success of CA but it is not enough. 

It is above all the mindset of all parties that makes a mission successful.

Sweden and UN Peacekeeping

Sweden was a neutral country during the Cold War, but with a strong commitment 

to the UN. When Secretary-General Dag Hammarskjöld together with the then 

foreign minister of Canada, Lester Pearson, invented “peace-keeping” troops as a new 

tool in conflict resolution and gave them the role of buffer between the combatants in 
Björkman and Friman

236

the Suez crisis in 1956, Sweden rapidly participated with troops. Since then providing support to the UN has been a cornerstone in Swedish foreign policy. In the days 

of the Suez crisis, decolonization was high on the agenda at the UN. France, UK and 

Israel were seen as the “villains,” guilty of starting a war of aggression. A UN resolution ordered France, UK and Israel to withdraw from Egypt and the Suez Canal. Even 

President Dwight Eisenhower was one of their critics and, for instance, the British 

Prime Minister, Anthony Eden, had to resign after this failed attempt to police the 

Nasser regime in Egypt.

During the Congo crisis in the beginning of the 1960s, peacekeeping became more 

muscular. “Peace-enforcement” troops were tried by the UN for the first time against 

the seceding state of Katanga and their Belgian backers and Sweden contributed with 

a fighter wing to that mission. In 1961, the very middle of the Congo crisis, SecretaryGeneral Dag Hammarskjöld died in a plane crash in Ndola, Zambia. Whether the 

crash was an accident or sabotage is still debated today.

In more than 60 UN-led peacekeeping operations that have followed after Suez 

1956, Sweden has generally sent troops. But until the 1990s these missions were 

seldom as demanding as the one to Congo in the early 1960s (Sitkowski, 2006). The 

framework for the operations was as a rule some kind of ceasefire, and the combatants 

had regular disciplined armies. For example, this was the case in operations in Cyprus 

(one of the longest UN missions, 1964–93, with 28,000 Swedish soldiers involved), 

Kashmir, Gaza and Lebanon. In the 1990s the operations met tougher odds. The 

combatants were often militias, licentious soldiery, terrorists and outright criminals 

like those that met the UN troops in Bosnia, Somalia, Congo, and Rwanda and later 

Iraq and Afghanistan. The combatants looted, raped and murdered indiscriminately 

and financed their operations by drug dealing and smuggling. International law and 

human rights seemed to be completely unknown entities. The warlords, the militias, 

the insurgents, the terrorists, the Talibans and so forth operated without rules of engagement, never wearing uniforms and seldom respected any treaties or settlements. 

Peacekeeping was brought to a crossroads. There was no peace to keep, but there 

was a desperate need for a community governed by law, not by guns in the hands of 

perpetrators and other criminals.

Peacekeeping in these failed states certainly has to become more “muscular” but 

also more comprehensive. To kill all the insurgents and terrorists is seldom a realistic 

option, especially when they, like the Taliban in Afghanistan, have a neighbouring 

country, Pakistan, with a huge Pashtun population in which they can hide (Fergusson, 

2011). “There is a hole in the bucket” and that makes any strategy of containment more 

or less meaningless as long as Pakistan is not wholly committed. How committed is a 

question that has a new and grave dimension after the killing of Osama bin Laden in 

Abbottabad deep inside Pakistan in May 2011, proving that bin Laden had been hiding 

in Pakistan for years. But to turn the tables in this case is far beyond the powers of any 

small country like Sweden; it is challenging even for the United States.
Comprehensive Approach: The Swedish Case

237

From a Swedish perspective, Comprehensive Approach and the theses of the 

Counterinsurgency Field Manual (Petraeus and Amos, 2006) are far more relevant 

and attractive points of departure for peacebuilding in accord with UN, EU (GUSP), 

OSSE and NATO initiatives than traditional Counterterrorism. Acting on behalf of 

UN resolutions is still the number one priority of Swedish foreign policy.

Development and “Aid” Organizations, Governmental 

(GOs) and Non-Governmental (NGOs)

In parallel with the military peacekeeping operations, Sweden became increasingly 

engaged in international development aid. In 1965 SIDA (The Swedish International 

Development Agency, later modified to the Swedish International Development 

Cooperation Agency) was formed and in 1968 the policy was confirmed in the Swedish 

parliament that one percent of GNP was earmarked for international aid, making 

SIDA a powerful agency (reporting to the Ministry of Foreign Affairs). The governmental appropriation to SIDA is roughly of the same size as the one to the Swedish 

Armed Forces, but SIDA has only a staff of some 1,000. Recipient countries have been 

numerous over the years, many of them part of Africa. The present focused strategy 

will bring down the number to 30. One country-category where SIDA is engaged with 

development aid is countries in a postconflict phase of their development. SIDA, for 

example, is present in Bosnia and Afghanistan, but in the majority of the recipient 

countries there is no Swedish military presence and no need for a Comprehensive 

Approach mixing military and civilian personnel.

Another important Swedish agency with a potential of being a partner in CA 

is MSB (Swedish Civil Contingencies Agency). It is a rather recent merger of many 

agencies, the most important one being the former Swedish Rescue Services Agency. 

The agency has a long history of disaster relief, sending out mobile hospitals, running 

refugee camps, installing water purification, building infrastructure and so on and so 

forth.

Sweden has a huge NGO sector. Some of these organizations are primarily focused 

on Sweden, for instance medical research, such as the Cancer Fund, Children’s Cancer 

Fund, and so forth. But most of them are international and active internationally, like 

the Red Cross, Save the Children, Unicef , Médecins sans Frontières, SOS Children 

Villages, Rotary, Amnesty, and Greenpeace. There are also more than a hundred 

purely Swedish NGOs active internationally such as the Swedish Church, Diakonia, 

the Swedish Organization for Individual Relief, Radiohjälpen, the Victoria Fund and 

the Swedish Committee for Afghanistan (SAC, in Swedish SAK). A special problem 

is that a number of NGOs are hardly serious; some are almost criminal organizations, 

since they keep too much of the collected contributions for other purposes than the 

ones officially stated. In Sweden NGOs are supervised by special authorities, their 

finances must be verified by a public auditor, and at least 75 percent of the collected 

money must be spent on the predefined charitable purposes. But some irresponsible 

NGOs succeed in collecting money fraudulently in spite of these control mechanisms.
Björkman and Friman

238

The strength of many of the organizations mentioned is their often long experience of working in far away countries. Some are also, like SIDA and MSB, quite 

resourceful. SAK has been active in Afghanistan since 1979, since it was formed in 

opposition to the Soviet occupation of Afghanistan. SAK has a local staff of more than 

5,000 in Afghanistan and the Committee supports more than 400 schools educating 

more than 100,000 pupils, girls in particular. SAK is primarily active in the northern 

provinces of Afghanistan (where the Taliban do not pose such a great problem as 

in the southern and eastern provinces). SIDA is financing (with taxpayers’ money) 

close to 90 percent of what SAK is doing in Afghanistan, so in principle the Swedish 

government might reduce their funding if they do not want to comply and support a 

Swedish CA in Afghanistan.

Conclusions

In a conversation with Field Marshal Alan Brooke in April, 1945 Prime Minister 

Winston Churchill observed, “There is only one thing worse than fighting with Allies: that 

is fighting without them.” The same applies to cooperation between military and civilian 

components. So which lessons are identified, documented, observed and hopefully 

learned and implemented?

Some lessons can be learned about CA in general. Churchill was referring to his 

lifelong experience of coalitions and alliances, “The Triple Entente” in WWI and “The 

Allies” of WWII in particular. It was a cumbersome and challenging task to make the 

coordination and cooperation between these war-fighting nations work. The same is 

true of an alliance like ISAF in Afghanistan, but not only on the national level but also 

within the contributing nations. There are different “tribes of peacekeepers” within 

each contributing nation, as the saying goes. The two most easily identified “tribes” 

are of course the Military and the Civilians. But when we look closer at the Civilians 

in particular we find at least four “sub-tribes” of civilians:

•	 OGD = Other Governmental Departments and their professional and 

vocational employees, like diplomats, police, legal expertise, experts from 

international aid and relief agencies, medical expertise, teachers and school 

administrators, auditors and other financial expertise.

•	 NGO = Nongovernmental organizations like Save the Children, Médecins 

Sans Frontières, The Red Cross/Crescent, Caritas, Diakonia, Societas 

Socialis (SOS) Kinderdorf International, Swedish Committee for 

Afghanistan (SAC) and so on and so forth. There are thousands of NGOs, 

some worthy of great respect, others more or less cheating and criminal in 

using fundraising for other purposes than the ones declared.

•	 Business = Corporations, enterprises, firms and all other commercial organizations, partnerships and associations, big and small.

•	 Media = Journalists, on the permanent staff of different media companies or 

freelance. Media have often proved decisive in winning or losing the “hearts 
Comprehensive Approach: The Swedish Case

239

and minds” of the domestic opinion in contributing countries. The media 

reporting might become the centre of gravity in international missions and 

strongly influence the longevity of any international mission.

The Comprehensive Approach generates many frustrations. If we take the PRTs 

in Afghanistan as an example we find that almost every country engaged works to its 

own agenda and with its own organizational structures and solutions. The evaluations 

by each respective country have a strong patriotic bias, they all think that their way of 

doing it is the best way (Sweden is no exception), and that the others would be wise to 

follow suit. A second frustration is the Civil-Military cooperation. There are frictions 

already when the required cooperation is confined to that between the Military and 

people from OGD, even when they are as similar to the Military as the Police or the 

Diplomats. Business is often hard to convince to participate with really big resources. 

They find any investment in a country with an insurgency by definition a “too risky” 

business. In a country like Afghanistan you have to add the fact that the country gets 

a third of its GNP from the criminal drug trade and that their population is one of the 

poorest in the world. For Business the insurgency is the major problem dampening 

their interest to invest. In contrast to Business, for NGOs the Military is often seen 

as a bigger problem than the insurgency. To make the Military and the NGO “tribes” 

cooperate is often the toughest “internal” challenge in CA.

For NGOs to cooperate with the Military is sometimes against their core values of 

neutrality and non-partisanship. But it is also threatening in many ways, for instance 

that they thereby might lose a unique sales proposal in fundraising. Most charitable 

organizations live in a competitive world, where a gift to one organization often means 

a gift lost for all the other charities. That makes them reluctant to cooperate. Another 

concern deals with the dangers involved in being seen with the Military, in short becoming a target. The NGOs are positioned differently in relation to CA initiatives. 

The most negative favour noncoexistence or maybe coexistence, but the meaning is 

that they want total independence. Some are willing to comply with coordination 

but nothing more. To sum it up; trustful cooperation and collaboration between the 

Military and the NGOs are rare phenomena.

In Sweden there is a strong belief that military peacekeeping is a Swedish-Canadian 

invention (by Dag Hammarskjöld and Lester Pearson). To support international 

peacekeeping missions, in particular those initiated by the UN, is seen politically as 

an imperative duty. Benevolent and optimistic peacekeeping borders ideologically on 

Civil-Military cooperation. CA is seen as the most legitimate approach. That attitude is 

strengthened by “realities on the ground.” With dramatically downsized armed forces, 

Sweden is totally dependent on working in cooperation with other nations in international military missions. But it is also important that the Military will benefit from 

the rather impressive Swedish resources for international development cooperation, 

rescue services and civil contingencies (the combined budget for these civil governmental agencies, these OGD, is bigger than the budget for the armed forces). The present 

situation is not ideal, because there is still some friction in the coordination between 
Björkman and Friman

240

the armed forces and some of the OGD, but progress is being made, and there is a 

high likelihood that the governmental “house” will be put in order.

The remaining challenge in Sweden is the cooperation between the Military and 

the NGOs, as for so many other countries. Sweden has more than its share of NGOs. 

Many of these NGOs are internationally very experienced and well functioning, 

and so the CA-potential is great. But in quite a number of Swedish NGOs there is 

a widespread opinion that the “situation” in for instance Afghanistan can be solved 

without the military or irrespective of what the military is doing (coexistence at best). 

That is also true for the Swedish Committee for Afghanistan (SAC), making a closer 

cooperation with the military unlikely (but SAC is getting some 90 percent of their 

funds from OGD and less than 10 percent from collecting money from the Swedish 

public, so their claims for independence might be called in question). Judging from 

other “theatres” for international missions (like the one in Congo), the opinion might 

change quickly though, if the insurgents/terrorists attack members of the Swedish 

NGOs. If such a scenario becomes reality, but only then, a closer cooperation or even 

collaboration between NGOs and the Swedish military is a likely occurrence in the 

short perspective. In the long run, there is a slow change of opinion in the Swedish 

NGOs, a change in favour of applying CA in our international missions.

We conclude with the following CA taxonomy:

1. All-Military CA. This is an ambitious COIN strategy when focus has shifted

from elimination of insurgents and force protection to protection of the 

civilian population and winning their hearts and minds. This requires that 

the military can offer a number of more civilian competencies like medical 

services, water purification, information operations and engineering for a 

better infrastructure, and so forth. Even very resourceful armed forces cannot 

meet but fractions of all the civilian needs of the local population. A COIN 

strategy is always limited in both scale and scope.

2. Military-Civil CA. In a more mature CA, civilian participation is a must.

You need them for policework, you need them for improving the functionality of the administration of a “failed” state. If priority, for instance, is given 

to an enlargement of the “local” school system, you need teachers or teachers 

of teachers. Of course you recruit them from your own educational system 

back home. In short, you need OGD people. The relationship to the NGOs 

is often problematic at this stage of CA. Some of the NGOs have the potential of doing a lot of good but they often want to decide indepently where 

and when. In short, it is hard to convince them to become an integral part of 

CA, to get them from a policy of coexistence to coordination, not to speak of 

coordination and collaboration.

3. Civil-Military CA. If a CA is successful, a natural development would be 

for some civilian actor to take the lead, for instance one with reconstruction 

expertise. In a full-blown CA, even Business takes part in the endeavours 
Comprehensive Approach: The Swedish Case

241

and not only in the limited sense of living off the mission, building camps 

and fortifications, furnishing bodyguards, etc., but also in taking part in the 

reconstruction of a whole national economy; building infrastructure, starting growth industries and successful corporations, etc. Even at this stage of 

development the cooperation from the NGOs is far from guaranteed.

4. All “Local” CA. The normal exit strategy in an international mission is to

hand over responsibility to the country plagued by an insurgency. Ideally that 

would mean that the hand-over takes place when the insurgency is eliminated 

or seriously degraded. In that case the “local” CA would be a further development of the CA of type 3, transforming it into “normal” Comprehensive 

nation building. Unfortunately, the realities on the ground often make such 

further developments an elusive ideal. The “local” CA often means different 

or renewed combinations of stages 1, 2 and 3. If the country is still plagued by 

ongoing insurgency or insurgencies, it is very essential that the “local” Military 

will be strong enough, or all other CA activities will be in vain. The most critical lesson is that preparation is paramount. Already the Romans knew this: 

“si vis pacem—para bellum.” These words of wisdom read in translation: “If 

you want peace, you must be prepared for war.”

References

Agrell, W., (2010) Fredens illusioner. Det svenska försvarets nedgång och fall 1988—

2009. Stockholm: Atlantis.

Åselius, G., (2007) Slagfälten efter 1945, Del I och II. Stockholm: Medströms.

Artéus, G. & Zetterberg, K. eds., (2011) Högsta ledningen. Förhållandet mellan regeringen 

och överbefälhavaren under det kalla kriget. Stockholm: Kungl. Örlogsmannasällskapet.

Bayly, C. & Harper, T., (2007) Forgotten Wars. The End of Britain’s Asian Empire.

London: Penguin.

Bildt, C., (1997) Uppdrag Fred. Stockholm: Norstedts.

Björkman, T. (2008) “The Weakest Link in the Long Chain of Command in UN 

Peace-keeping Missions,” in Abrahamsson, B. & Weibull, A. eds., (2008) The Heritage 

and the Present. From Invasion Defence to Mission Oriented Organization. Stockholm: 

National Defence College.

Edelstein, D., (2008) Occupational Hazards. Success and Failure in Military Occupation.

Ithaca: Cornell University Press.

Edström, H., (2003) Hur styrs försvarsmakten? Politisk och military syn på försvarsdoktrin 

under 1990-talet. Umeå: Umeå Universitet (Ph.D. thesis).
Björkman and Friman

242

Egnell, R., (Dec 2010) Comprehensive Approach in Reality (Seminar Invitation). 

Stockholm: National Defence College.

Engelhardt, T., (2010) The American Way of War. How Bush’s Wars Became Obama’s.

Chicago: Haymarket Books.

Eronen, O., (2008) PRT models in Afghanistan in CMC Finland Civilian Crisis 

Management Studies, Vol. I, No. 5.

Fergusson, J., (2011). Taliban. The true story of the world’s most feared guerrilla fighters.

London: Corgi Books.

Filkins, D., (2008) The Forever War. New York: Vintage Books.

Gordon, M. & Trainor, B., (2007) Cobra II. The Inside Story of the Invasion and 

Occupation of Iraq. London: Atlantic Books.

Gunaratna, R. & Iqbal, K., (2011) Pakistan. Terrorism Ground Zero. London: Reaktion 

Books.

Hammarskjöld, D. & Falkman, K., (2005) Att föra världens talan. Tal och uttalanden 

av Dag Hammarskjöld. Stockholm: Atlantis.

Hammes, T.X, , (2004) The Sling and the Stone. On War in the 21st Century. St. Paul: 

Zenith Press.

Hanson, V.D., (2007/2005) A War Like No Other. How the Athenians and Spartans 

fought the Peloponnesian War. London: Methuen.

Harvey, R., (2006) American Shogun. MacArthur, Hirohito and the American Duel with 

Japan. London: John Murray.

Magnusson, L., (1996) Sveriges ekonomiska historia. Stockholm: Tiden/Athena.

Marston, D. & Malkasian, C., eds., (2010/2008) Counterinsurgency in Modern 

Warfare. Oxford: Osprey Publishing.

McNerney, M. (2006) PRTs in Afghanistan: Model or Muddle, Parameters, no 4.

Nagl, J., (2005) Learning to Eat Soup with a Knife. Counterinsurgency Lessons from 

Malaya and Vietnam. Chicago: Chicago University Press.

Nilsson, C., Hull, C., Derblom, M., & Egnell, R., (2008) Contextualizing the 

Comprehensive Approach. The Elements of a Comprehensive Intervention. Stockholm: 

Swedish Defence Research Agency (FOI).

Petraeus, D., & Amos, J., (2006) FM 3–24: Counterinsurgency. Boulder: Paladin Press.

Pettersson, T., (2009) Med invasionen i sikte. Flygvapnets krigsplanläggning och luftoperativa doktrin 1958–1966. Stockholm: Svenskt Militärhistoriskt bibliotek.
Comprehensive Approach: The Swedish Case

243

Ricks, T., (2009) The Gamble. General Petraeus and the Untold Story of the American 

Surge in Iraq, 2006–2008. New York: Allen Lane.

Rumsfeld, D., (2011) Known and Unknown. A Memoir. New York: Sentinel.

Ryan, M., (2010) Frontline Afghanistan. The Devil’s Playground. Gloucestershire: 

Spellmount.

Schori, P., (2010) Vägen ut ur Afghanistan. Stockholm: Leopard.

Sitkowski, A., (2006) UN Peace-keeping. Myth and Reality. London: Praeger Security 

International.

Smith, R., (2005) The Utility of Force. The Art of War in the Modern World. London: 

Penguin.

The Comprehensive Approach (2006). Joint Discussion Note 4/05. Shrivenham: 

Ministry of Defence.

Tillberg, P., Svartheden, J. & Engsteedt, J. D., eds., (2008) Mission Abroad. Stockholm: 

National Defence College.

Toynbee, A., (1972) A Study of History. Oxford: Oxford University Press.

Tracy, D., (2010) Provincial Reconstruction Teams in Afghanistan: Agents for NationBuilding? Washington: The Industrial College of the Armed Forces, National Defense 

University in Cooperation with the New Zealand Army.

Wallerfelt, B., (1999) Si vis pacem—para bellum. Svensk säkerhetspolitik och krigsplanläggning 1945—1975. Stockholm: Probus.

Woodward, B., (2010) Obama’s Wars. New York: Simon & Schuster.

245

Chapter 14

The Comprehensive Approach 

to Humanitarian Logistics: 

An Opportunity to Enhance 

Professional Performance?

David M. Moore and Peter D. Antill

“To act ‘comprehensively,’ or according to the comprehensive approach, is a 

doctrinal mantra for any military officer that has attended Staff College and 

any diplomat wanting to work in the world’s hotspots. Even Department for 

International Development (DfID) personnel, once known for being allergic to 

closer civil-military co-operation—for fear that the principle of humanitarian neutrality would be compromised—have embraced the concept” (Korski, 2009, 14).

Abstract

This chapter considers the development of logistics into supply chain management—

which can be seen as a move analogous to the direction that the comprehensive 

approach seeks to achieve. Supply chain management in commercial, military and 

humanitarian contexts is identified as a means of developing an integrated, holistic 

approach towards the elimination of waste and to bring a focus upon value adding 

activities and processes. The way that the military has adapted commercial practices 

in its application of supply chain management could be taken further—into the humanitarian environment—especially in the immediate response to a disaster or crisis 

(natural or man made). The chapter then highlights that such a move toward a coherent approach in these contexts is built upon knowledge, not merely information or 

data, but base of specialist knowledge that will enable systemic thinking and action so 

as to optimise decisionmaking (recognising all stakeholders in an operational context 

such as one where NATO may be involved). This is briefly taken further in that to 

genuinely move forward with a comprehensive approach then the issue of professionalising the environment, built upon a relevant body of knowledge, may mean a more 

knowledgeable basis for decisionmaking, thus emphasising that the comprehensive approach can bring performance (however defined) improvements. However, the chapter 

recognises that this will not be easily achieved and proposes professionalisation, built 
Moore and Antill

246

upon sound knowledge, as a direction to be taken, with an ultimate goal that would 

allow professional judgement to be exercised. As a final element a research proposal 

is presented that would allow further evidence-based research that could identify 

potential action towards a comprehensive approach to humanitarian logistics relief 

involving all stakeholders in the immediate response to a disaster situation.

Introduction and Background

For many organisations, both national and international, an approach that brings 

together all the elements of military planning and capability, along with other government departments and commercial organisations to enable effective operations to be 

undertaken could be seen as logical or even common sense. However, for many years, 

military organisations have worked in “stovepipes” that echo or protect their vested 

interests. During the Cold War, for many countries, such as the United Kingdom or 

United States, this may have been possible as materiel was maintained “Just-In-Case” 

it was needed. This whole concept of “Just-In-Case” permeated thinking to the extent 

that large stocks of whatever was required were procured, held in storage and maintained on the basis that they might, at some stage, be required.

This is no different to the approach that Western commercial organisations undertook their operations in the 1970s and even into the 1980s. However, the growing 

spread of Japanese-inspired inventory management approaches such as “Just-In-Time” 

meant that many such commercial organisations had to change their modus operandi

to meet their market demand. In short, if they did not adopt “leaner” approaches 

to the management of inventory, they would go out of business. This changing approach towards inventory management was concurrently being undertaken in the 

broader strategies by commercial organisations. Approaches such as “Total Quality 

Management” and “Business Process Reengineering” echoed and complemented 

inventory management strategies. Models from companies such as Toyota spread 

worldwide and, coupled with advanced technology, the marketplace shrunk so that 

the global market is now easily accessible to all (Christopher, 1992).

Inherent in the thinking behind these approaches is the realisation that “stovepiping” or functional compartmentalisation sub-optimises what is required to be delivered 

in a market-driven, operational environment. So successful have these approaches 

been in enabling the most forward-looking entrepreneurially focused organisations 

to prosper that even nonprofit-making organisations have looked to, and adapted (if 

not actually adopted) these approaches. This can be seen in, for example, the United 

Kingdom Public Sector organisations that have adopted “lean” approaches to service 

provision.

This is not the usual consideration of the comprehensive approach. However, in 

many organisations, such an approach is assumed to include all the stakeholders in the 

business process. This is analogous to the emergence of all of the above strategies or 

approaches, in the recognition that the supply chain, for whatever product or service 
Humanitarian Logistics

247

is required, takes an integrated, holistic all-embracing approach to ensuring that the 

best value for the ultimate customer or user is achieved.

Arguably, one of the last bastions of sub-optimised activity has been the military. 

For the UK Armed Forces, the withdrawal from Empire had led to a concentration on 

their role within NATO, being trained and equipped to fight a high-intensity war (and 

having logistics to match) against a well-trained and equipped opponent, a situation 

that had only previously been encountered during the two World Wars (McInnes, 

1996). The end of the Cold War, coupled with expectations of a “peace dividend,” was 

seen as an ideal opportunity to change the manner of working, particularly in respect of 

inventory and the management processes that accompany it. In due course, the move 

towards enhanced performance meant that “lean” approaches, not just to inventory, but 

to processes across a wide range of activities were introduced, in particular in relation 

to the use of contractors. The outsourcing of activities that were previously undertaken 

by military personnel, to those that could be undertaken by the Private Sector, gained 

considerable momentum (Moore & Antill, 2000: a).

This has been notably applicable for the UK Ministry of Defence (MoD) where 

there has been considerable pressure for financial performance improvements. In 

this respect, outsourcing has been taken to extremes, whereby whole activities have 

been contracted out to other organisations, mainly in the guise of Public-Private 

Partnerships (PPP) or Private Finance Initiatives (PFI). While this has initially 

been seen to bring success in terms of its financial impact, it has become extremely 

challenging in an operational sense. This is because, since the end of the Cold War 

(in common with many other NATO countries), there has been an increase in the 

operational commitments undertaken, more so than at any other time since the UK’s 

withdrawal from Empire during the 1960s. Hence, there has been a need to balance 

financial and operational imperatives and to a large extent this has been achieved 

through thinking holistically in an integrated, coordinated manner, which could be 

seen as a comprehensive approach.

Context

If the UK military can utilise “best-practice” approaches from the commercial environment, then arguably, such approaches as adapted to military applications could 

similarly be applied to humanitarian aid organisations, especially in the context of 

immediate humanitarian aid relief in response to a disaster. If the idea of a comprehensive approach could be seen as common sense (after all, this is just a coordinated 

or holistic approach to achieving a required end state), then such a simplistic view 

would be adopted and utilised by all. The reality, of course, is that the context makes 

bringing together all the relevant stakeholders and plans, in what may be a hostile or 

challenging environment, so difficult. If indeed the comprehensive approach is common sense, then its application, in context, may be complex, challenging or constrained 

by realities in an operational theatre. There are considerable complexities, challenges 

and constraints to developing a comprehensive approach within NATO itself—and 
Moore and Antill

248

that is just the military organisation, let alone the supporting commercial and Public 

Sector organisations that may have to be taken into account when seeking a successful 

end state. This is further exacerbated when considering nongovernmental organisations (NGOs), such as those involved in humanitarian aid.

A fundamental feature of the context of a comprehensive approach with NATO 

military organisations, commercial organisations, Public Sector bodies and NGOs 

working together is that of cultural dissonance. In this sense, one could argue that 

military organisations are generally utilised to conduct warfighting activities, while 

commercial organisations seek to make profit, Public Sector bodies seek to operate 

in a bureaucratic, process-led manner and that NGOs seek to raise funds to relieve 

suffering and save lives. The point of this, of course, is that they are not necessarily in 

alignment regarding motives, means and methods: “mechanisms and structures aimed 

at improving co-operation between military and civilian organisations tasked with the 

implementation of a comprehensive response are unlikely to succeed if they merely 

brush over the fundamental cultural differences that exist between these organisations” 

(Baumann, 2008, 73).

To emphasise this, it has, in a practical context, been recognised that: “The comprehensive approach can be seen as having two basic components: first, it is based on 

a recognition that security cannot be ensured without equal attention to governance 

and development (substantive component); and, second, it is focused on enhancing 

cooperation between key civilian and military actors in Afghanistan (operational 

component)” (Kuovo, 2009, 36).

It is this latter point that is especially pertinent for this chapter (albeit in no specific 

operational theatre).

In order to further consider the comprehensive approach in the context of NATO 

and the military organisations therein working together with humanitarian aid organisations, the chapter will now examine the changes necessary for, and the requirements 

of, a comprehensive approach in respect of immediate aid relief (that is, the first few 

days) following a man-made or natural disaster.

The Changing Nature of Commercial Logistics

Lean and agile philosophies have been utilised by commercial organisations since the 

1980s (based upon the successes of Japanese companies) to gain an advantage over 

their competitors. These required organisations to focus upon those activities which 

added value to their output; if any activity did not add value then management action 

would be centred on its elimination. By definition, virtually everything that did not 

add value was to be considered waste. Further, commercial organisations recognised 

that the whole of the supply chain, that is, the linking of processes across organisational boundaries, had to be considered when seeking to eliminate such waste. For 

optimal effectiveness, processes and activities from the point of origin (for example, 

raw material procurement or manufacturing) through to the end users (for example, 

the consumer) had to be taken into account. Such considerations are the basis for an 
Humanitarian Logistics

249

integrated approach to supply chain management, which can be seen, in this sense, as 

an extension of logistics. Supply chain management encompasses the activities, both 

internal and external to an organisation, that cover the previously discrete functions 

of specification of requirement, procurement, contracting, manufacture, distribution (including stock management), warehousing and transport plus all the systems 

required to coordinate and control the smooth flow of goods and services from their 

point-of-origin to the end user (Schonberger, 1982; Poirier & Reiter, 1996).

Fundamental to this holistic concept is the fact that logistics is not a “stand-alone” 

activity, nor is it the traditionally long-held perception of a low-level, reactive activity 

that concerns stores and trucks. Through the application of supply chain management, 

as a developmental extension of logistics, which manages coordination and control of 

the integrated flow of materials, services and information, commercial organisations 

have in recent years reduced their cost base—(elimination or considerable reduction 

of waste) and have been able to compete more and more in the global marketplace. 

In short, they were able to become efficient and effective (or they went out of business). This can now be seen as the norm in most commercial organisations, but it has 

developed over a period of time (Christopher, 2005).

The Changing Nature of Military Logistics

Military organisations, such as those of the United Kingdom, have recognised the 

beneficial effects of supply chain management as a developmental extension of logistic 

activity and have worked hard to emulate the best practices of commercial organisations. Increasingly, lean and agile philosophies are being utilised successfully in 

improving military logistics performance.

In the military sense logistics can be defined as “. . . the science of planning and 

carrying out the movement and maintenance of forces. Logistics provides the resources 

of combat power, positions those resources on the battlefield, and sustains them 

throughout the execution of operations. Logistics encompasses a wide range of actions 

and the relationships among those actions, as well as the resources that make those 

actions possible” (Department of the Navy, 1997, 3). The tenets of supply chain management apply particularly well in such a “total process” perspective but commercial 

best practices have not been adopted without question within the armed forces; rather 

they have been adapted and amended to suit the military contextual setting. Indeed, 

in order to be successful in this adaptation considerable change in respect of military 

culture, structure and management ethos has been necessary.
Moore and Antill

250

Communications

Link

UK Home Base

Local Warehouse

Local Warehouse

Local Warehouse

Local Airelds

Regional Warehouse

Central Warehouse

Portable Base of

Main Transport

Possible Local

Purchase

Port of Entry

Airport

Figure 1. An overview of the military approach to 

logistics/supply chain management 

Source: Moore & Antill (2000: b)

This is particularly important, for just as commercial organisations have utilised 

logistics developments in the form of supply chain management, so too has the military. Military organisations undertake a role that requires them to work as part of 

multinational, multidiscipline operations that have to be conducted at great range 

from their home base. The notion of essential links that exist between manufacturers 

and end users is conceptually akin to commercial organisations although, importantly, 

the contextual setting is different. Nevertheless, just as with commercial organisations, 

for success in military supply chain management, there is a need to integrate across 

organisational boundaries and eliminate (or considerably reduce) waste. This has 

required a holistic or fully integrated perspective to be utilised.

Furthermore, military organisations have a supply chain that, conceptually, has considerable resonance with humanitarian aid organisations (see figure 1). Military organisations 

require a Port of Embarkation in the home base and a Port of Disembarkation in the operational arena, with subsequent distribution through central, regional and local warehouses. 

The link between the home base and operational arena is known as the “coupling bridge.”

For humanitarian logistics operations the concept is very similar, although “international transit” is typical of the terminology that could be utilised instead of “coupling 

bridge” (see figure 2). Semantics apart, there is conceptual complementarity between 

the two supply chains. Of course, it is frequently seen that military logistic assets, be 

they human or physical, are deployed to assist in humanitarian operations. Whilst 

there is cultural dissonance between military and humanitarian organisations, there 

is an increasing imperative for them to work more closely together in order to improve 

the overall performance of supply chain activities, particularly in the early phases of 

disaster response.
Humanitarian Logistics

251

INTERNATIONAL TRANSIT

Financial donors

Port of Entry

Regional Warehouse Regional Warehouse

Local Warehouse Local Warehouse Local Warehouse

Controlling 

Headquarters

Equipment

Suppliers

Equipment

Manufacturers

Strategic

Warehouse

Local source

of supply

Central

Warehouse

Equipment and

Item donors

Logistics Cell

Purchasing Department

Transportation Unit –

freight contracting

WITHIN STRATEGIC UK BASE

IN THEATRE OF OPERATIONS

Figure 2. An overview of the humanitarian aid approach

to logistics/supply chain management 

Source: Moore & Antill ( 2000: b)

The Comprehensive Approach and Humanitarian Logistics

Arguably, in the same way that military organisations have adapted best practices from 

commercial supply chain management in order to improve efficiency and gain effective 

performance, so humanitarian organisations could follow a similar approach (Moore & 

Taylor, 2011). Indeed, the supply chain for humanitarian aid is very similar to that of 

military organisations. Just as military organisations must prepare for operations (such 

as warfighting or peacekeeping), so too must humanitarian aid organisations prepare 

for disaster relief operations. Most civilian agencies recognise the need for a system that 

coordinates, through a local and sequential process, all of the aspects related to logistics 

or supply chain management; that is, specification, purchasing, transport, maintenance, 

stocktaking and integration of the flow of materials, equipment and information. This 

in itself could be seen as comprehensive—albeit within a limited (organisational) 

context. However, the organisational environment of humanitarian aid is particularly 

challenging with many players, a mix of complex cultures, political influences, differing 

interests, structures, systems, procedures and activities. To this, needs to be added the 
Moore and Antill

252

context and culture of military organisations—especially complex if such an organisation as NATO, with its differing military membership, is involved.

If the adaptation of supply chain management as the evolutionary development of 

logistics is to be considered in the humanitarian context, another, further aspect needs 

to be borne in mind. To be effectively coordinated, that is, to reduce waste across functional and organisational boundaries, there needs to be overall strategy and direction 

if duplication and confusion are to be avoided. Whilst this strategic level is essential, 

there is also a need for clarity of direction at both tactical and operational levels. At 

tactical level, effective performance is paramount, whilst at operational level much 

will depend upon the skills and talents of individuals “on the ground” undertaking the 

minutiae that bring logistics success (Moore & Taylor, 2011).

Challenges of, and for, Humanitarian Logistics

There is a wide variety of challenges in the development of more efficient approaches to 

humanitarian logistics and supply chain management including strategic, operational, 

organisational, cultural and change management issues.

In any disaster or crisis environment (whether man made, for example, as a result 

of operational activity such as in Libya 2011 or natural such as the earthquake and 

tsunami in Japan 2011), conventional systems may be unreliable or break down completely. The “immediate response” humanitarian aid logistic systems of organisations 

need to be robust enough to bridge any gap between existing logistics systems and the 

devastated areas’ infrastructure. This can be achieved by local contracts, co-operation, 

ingenuity and a flexible approach. Yet in order to enhance efficiency and gain optimum 

effectiveness in respect of donor financial and material contributions, not only should 

this happen but also coordination and integration across the organisational boundaries 

of aid agencies and military organisations must be undertaken.

As stated earlier, supply chain management has a wide scope, spanning not only 

different organisations along the chain but also many different functions within any 

one organisation. In a sense, therefore, logistics is everyone’s business rather than the 

domain of a “chosen few,” which in turn requires at least some education and understanding of people across an organisation as to the roles, functions and objectives of 

logistics. This is the case in commercial organisations, but is exacerbated in humanitarian agencies which are often geographically dispersed, culturally diverse and dealing 

with supply chains that are temporary. Adding a layer of military organisations (even 

if under one umbrella such as NATO) adds to the cultural complexity and mix of 

hierarchical, bureaucratic and ad hoc nature of the differing organisations involved. 

Above all, cultural dissonance may well be the greatest challenge to the comprehensive 

approach being effective.

Whilst a comprehensive approach might enhance performance in a humanitarian 

context, it will depend upon a proper understanding of the scope and importance of 

logistics and supply chain management at all levels within the aid community.
Humanitarian Logistics

253

From the perspective of logistics professionals (in whatever environment), it 

seems obvious that logistics and supply chain operations are central activities of 

most aid operations. In disaster response, sourcing products and delivering them in 

an efficient and timely manner to beneficiaries is not only critical, but a major focus. 

Even in less time-critical on-going development scenarios, sourcing and distributing 

products is often an essential activity. Added to this, recent research (Tomasini & Van 

Wassenhove, 2009; Whiting, 2010) has indicated that logistics/supply chain costs can 

account for anywhere between 40 percent and 80 percent of the aid spend. Yet we still 

have a situation where “the powers that be” in the aid community do not appear to fully 

recognise the importance of logistics and supply chain management. It can be seen that 

many aid agencies do not have a full-time logistics or supply chain director. They may 

not have board-level status and thus find it hard to gain a logistics/supply chain input 

into the top level strategy. Alternatively, in some agencies they are only able to act in 

an advisory capacity to Programme Managers who have the ultimate responsibility 

for achieving aid distribution (Moore & Taylor, 2011). At the operational end of the 

management spectrum, many of the people who are responsible for logistics have no 

formal logistics training and/or may only be assigned to logistics positions on a temporary basis. In respect of the recognition and importance of logistics, there is a further 

challenge beyond the aid agencies themselves. Major donors, particularly national or 

transnational government organizations, do not appear to understand the centrality 

of logistics to the aid efforts they support. In consequence there is little evidence that 

rigorous analysis and reporting of logistics performance is a critical element in the 

evaluation of funding effectiveness. Furthermore, donors are reluctant to provide funds 

for the improvement of logistics and supply chain management as monies are normally 

only allocated to specific events or programs. Having said this, logistics professionals in 

the defence environment are generally recognised and appreciated, although this may 

not be the case when they have to work jointly on disaster relief operations when the 

differing perceptions of NGO, and military, logistic personnel may be pronounced.

These points are not put forward as criticism but to present a perspective on 

the current situation. In fact the situation where there is a lack of appreciation of the 

importance and potential benefits of better logistics and supply chain management is 

not at all unique to the humanitarian sector. It must not be forgotten that in reality, 

appreciation of the benefits of logistics and supply chain management as key elements 

of business strategy is still relatively new, stretching back only some thirty years or so.

So what is the impetus for individual organisations or indeed whole sectors to take a 

more proactive and comprehensive approach to supply chain improvement? Reflection 

on the development of best practices in supply chain management across different sectors 

suggests there have been a number of different triggers. For most, this has been a result 

of commercial competition. In other sectors, governments have taken the initiative and 

developed programmes for improved supply chain management in order to improve the 

competitiveness of sectors of industry which they consider to be of national importance. 

However, in sectors such as healthcare and defence, which are funded by public finances, 
Moore and Antill

254

the pressure from governments to reduce costs and improve service has provided the 

impetus for managers to rigorously analyse and monitor supply chain performance.

Globalisation of markets has led to the development of long, complex international 

supply chains in many commercial sectors. Such global chains were often developed 

around lowest cost manufacturing locations, but firms soon realized that unless the 

whole supply chain was carefully managed, there was significant potential for failures 

in customer service as well as increased overall costs. This quickly led management to 

first of all measure overall supply chain performance and then to focus on its systematic 

improvement (Moore & Taylor, 2011).

Although humanitarian supply chains may have generally been transnational, 

there does not appear to have been strong pressure to improve performance as in the 

commercial world. Some will argue that humanitarian operations cannot afford to 

worry about cost when human lives are at stake; whilst on the other hand, there is no 

real mechanism to evaluate how effective the aid operations have been in terms of the 

number of lives saved or, perhaps more pertinently, the number of lives lost through 

inefficient aid provision.

In the military environment a similar approach pertains for the UK, where in 

non-operational situations (such as training in Canada), the emphasis is upon efficiency—that is, financial cost performance, but in a hostile operational environment 

such as Afghanistan, the emphasis is upon effectiveness of operational performance 

and to a large extent financial imperatives are secondary to the success of the mission.

So what might trigger the elevation and improvement of supply chain management performance in the context of humanitarian aid? It can be seen that there are a 

number of factors which seem to mitigate against the development of such triggers; 

there is no direct competitive imperative arbitrated by consumer choice as in the commercial world. Competition between agencies does exist; it is focused on obtaining 

funding, rather than operational performance. Typically, as humanitarian activity 

is transnational, individual national governments have neither the incentive nor the 

influence to instigate initiatives to improve supply chain practice. The United Nations 

has started attempts to improve logistics performance in the sector. Such initiatives 

have been hampered because the UN has no mandate to control or command (act 

comprehensively?). It therefore attempts to influence and persuade—actions which 

are difficult with the proliferation of aid agencies around the globe.

Rather, it can seek, in the absence of compelling external pressures, to improve 

humanitarian logistics performance, improvements that may well have to come from 

within the humanitarian logistics and relevant military communities themselves. 

Could it be possible that the small but expanding band of personnel involved in the 

comprehensive approach to humanitarian logistics create a revolution, or at least a 

transformation from within? It may be that by improving professional performance, 

they could develop a more compelling argument for an integrated, holistic, comprehensive approach to logistics. If professionalising the comprehensive approach to 
Humanitarian Logistics

255

humanitarian logistics is to provide such an improvement in the performance of the 

humanitarian aid supply chain, then what does professionalisation mean and entail?

Professionalisation

In respect of the concept of “profession,” “... even the way in which it is theorised is 

contested” (Freidson, 1994, 14). However, the concepts of what is a “profession” and 

that of being “professional” are highly valued in modern society. Many claim to be professional; it indicates status and grants distinction as to how an individual is perceived. 

It is clear that “the professions have become essential to the very functioning of our 

society ... we look to professionals for the definition and solution of our problems and 

it is through them that we strive for social progress” (Schon, 1987, 3). It is this essence 

of function and being able both to identify and to solve specialist problems, as well as 

seeking progress, that indicate “professionalisation.”

Inevitably, there are semantic issues in respect of the word profession and its various derivatives, such as “professional” and “professionalism.” In addition, the same 

word could be perceived as having different meanings. Professional could be seen as 

a noun; that is, belonging to a profession; alternatively, it could mean the manner of 

undertaking a task, function or activity in a particular way; that is, used as an adjective 

or adverb in a denotative or connotative application (Moore, 2004).

However, it is possible to discern a number of pertinent characteristics (or traits) 

broadly based upon service delivery, itself based upon skill and knowledge. Other 

prominent characteristics include autonomy and responsibility. Included within these 

characteristics or traits is the need to draw upon a systematic body of knowledge. This 

typically required a lengthy period of higher education, coupled with further training 

and application over several years.

To understand the concept of profession is important, as it is the desired end 

state—the ideal of professionalisation. Hoyle (1980) identifies functionalist approaches 

to enhancing performance through “professionalisation” and notes certain social functions of the professions which are vital to the well-being of society. These include:

•	 A profession is an occupation that performs a crucial social function.

•	 To exercise this function requires a considerable degree of skill and the application of this skill can be performed in situations which are not routine 

and where new problems and situations may arise.

•	 A period of socialisation into a set of “professional” values is required.

•	 The practitioners must draw upon a systematic body of knowledge.

•	 A period of education is needed to acquire this knowledge.

•	 As knowledge-based practice is specialised, there is a need for the exercise of 

“professional” judgement in respect of appropriate action.

Although it can be seen that there is debate over the nature of the theorising of 

“profession,” and whilst “profession” can be seen as an essentially contested concept, 
Moore and Antill

256

there is substantial agreement about the general dimensions of “profession” (Hoyle 

& John, 1995).

Arguably, consideration of “profession” in a modern context, that is, complex, 

interdisciplinary applications, should be grounded in a theory of occupations, because 

a “profession” is generically an occupation. Hoyle identifies that the functionalist view 

is predicated upon the attainment of specialist knowledge and its application, allowing 

a “professional judgement” to be made.

At this point it is useful to consider that a wider view of humanitarianism as a 

whole has its roots in private charity and politically motivated relief. What comes 

from these traditions is a relationship between the providers and receivers of aid, especially in respect of immediate disaster relief (Walker, 2009). However, this in itself 

cannot be seen as professionalising the word “humanitarianism” as a noun: it might, 

however, be accepted as an adjective or adverb; that is, describing the manner in which 

aid was received, if the provision of immediate relief (that is, logistics) was undertaken 

efficiently and effectively. However, there is much evidence that this is not always the 

case with initial response to providing disaster relief exhibiting duplication, typically 

including incorrect stocks, poor communication and not developing good relationships 

between providers. This is not to criticise intentions. There is no lack of evidence of 

moral and ethical commitment to assisting those in need. Indeed it is enshrined in 

international law. But moral and ethical commitment and best intentions are not the 

nature of professionalism (Moore & Taylor, 2011). Performance is the essence of professionalism. A comprehensive approach to humanitarian aid relief (especially in the 

immediate aftermath of disaster or crisis) could bring performance improvement and 

this could be as a result of professionalisation—or it could result in professionalisation.

A particular challenge is that the very creation of professionals (as a noun), especially the now prevalent occupational professionals, means a degree of exclusion. 

Bluntly, one is either in a profession or not. If there is to be a comprehensive approach 

to humanitarian logistics performance, then there must be recognition of all the players that are encompassed in that environment. At an organisational level these can 

be many and varied, as the essence of supply chain management (and best practice 

within the construct) is predicated upon a “total process” perspective that includes 

many relevant players.

Professionalisation in the Comprehensive Approach to Logistics

Having outlined a contextual and conceptual setting, it is necessary to bring these 

together and consider whether professionalisation is present or what needs to be 

undertaken to enable such accreditation to logistics activities involved in providing 

immediate humanitarian relief.

Whilst professionalism and hence professionalisation is essentially a contested 

topic there are generally accepted tenets that can be applied. Hoyle’s fundamentalist view of the end state was highlighted as being vital to the well being of any 
Humanitarian Logistics

257

professionalisation initiatives. His tenets applied in respect of humanitarian logistics 

and the background and context discussed here are particularly apt.

•	 Social function—There can be no doubt that the humanitarian logistician 

performs a crucial social function.

•	 Judgement in the application of skill—Similarly, Hoyle’s view that “to exercise this function requires a considerable degree of skill and the application 

of this skill can be performed in situations which are not routine and where 

new problems and situations may arise,” is entirely pertinent.

•	 Socialisation into a set of professional values—Regarding the third tenet, 

this comes, in respect of humanitarianism generally, with the very nature 

of wanting to provide relief and assistance to those in need and by learning 

from others already involved in humanitarian activities. Whilst there is no 

doubting the commitment of such people nor the community within which 

they operate, it may be seen that much of the immediate aid provision in the 

event of a disaster is not always performed well (examples are numerous but 

include New Orleans after Hurricane Katrina, the tsunami in SE Asia, the 

floods in Pakistan, etc.) In part this is due to the complexities of trying to 

develop coordinated and coherent management of all the activities within the 

concepts of logistics, within the difficult contextual setting of humanitarian 

disasters. However, unless there is some change in the socialisation process 

and inculcation of values that are geared towards elimination of waste and 

optimisation of value, this aspect of performance is likely to persist. The 

socialisation element of professionalisation will thus require change in behaviours and the development of a culture that sees efficiency and effectiveness 

as key performance aspects of humanitarian logistics. This in turn requires 

the necessary knowledge to enable cultural change.

The remaining tenets of Hoyle’s model cover in one form or another the key issue 

of “knowledge” and are areas where attention must be focused if “professionalisation” 

is to be undertaken:

•	 A systematic Body of Knowledge—To date, there would not have been a 

systematic body of knowledge upon which humanitarian logistics practitioners can draw upon.

•	 A period of education in order to acquire the knowledge, followed by knowledge-based practice exercised with professional judgment.

In many ways, these tenets bring together all aspects of professionalisation. 

Knowledge is the key to professionalism and there can be no doubt that all professions 

are built on a period (often lengthy) of time spent learning and acquiring this knowledge.
Moore and Antill

258

Gaining Knowledge: The Basis of Performance Improvement for 

a Comprehensive Approach to Humanitarian Logistics Relief

Consideration of “profession” as a noun—that is, a collective body with self-regulation—

is not yet a reality for those in humanitarian logistics and certainly not for those seeking 

to utilise the comprehensive approach involving all the stakeholders and players as a way 

forward. However, the journey towards such a status has commenced and is indicated 

by the increasing number of initiatives that are being introduced by institutions and 

organisations around the world. This can only be applauded as the aim will be to enable enhanced performance in respect of disaster response. Nevertheless, a fundamental 

element of this journey must be that “professionalism,” in the sense of an adjective or 

an adverb, is introduced and developed. In other words, the manner in which those involved in a comprehensive approach to humanitarian logistics undertake their role and 

activities must become more efficient and effective, that is, professional. This must be 

accompanied by greater understanding of what needs to be undertaken, how it should 

be undertaken, and why in differing situations differing approaches need to be applied. 

Further, it requires standardisation of processes, clear communication, uniformity of 

terminology, interdisciplinary thinking, global best practice concepts and application. 

Importantly, it also requires mechanisms and approaches to systematically measure and 

evaluate humanitarian logistics activity. In short, this understanding requires knowledge.

In the short term this can be brought about by a process of “professionalisation” 

(and therefore a move towards improving performance), and it may in the longer term 

bring the concept of a comprehensive approach to this logistic environment. Either 

way, knowledge underpins the professionalisation journey.

Such knowledge can be gained in a number of ways and to ensure that optimal 

benefit is gained, there is a need for a careful balance of training, education and experience. Training can provide those involved with the “how” to do things, providing 

processes and procedures necessary for activities to be undertaken in the most suitably 

efficient manner are present; it is the basis of skill development and can be delivered 

in a number of pertinent ways. Education will provide the opportunity to understand 

why things may or may not happen; it is about critical analysis of theories and concepts applied in particular contexts. However, neither training nor education on their 

own will produce the professionalism that will deliver enhanced performance, nor is 

there an exact balance between the two. The knowledge that will enable professionalism comes from education and training, which are balanced by the recognition and 

utilisation of experience.

This can be shown diagrammatically (figure 3). In order to gain cognitive growth 

in a comprehensive approach to humanitarian logistics performance, knowledge 

needs to be developed and recorded in the three afore mentioned areas. Theories 

and concepts, or propositional knowledge, which will come from education, need to 

be developed and balanced with how to do things, or process knowledge. Put together 

through a perspective that could be seen as filtering what is relevant and applicable in 

a range of contingent situations will enable growth and development of knowledge.
Humanitarian Logistics

259

Process

Knowledge

Cognitive

Growth

Propositional

Knowledge

Filtered Through

Experiential

Knowledge

Figure 3. Knowledge as the basis of cognitive growth

Source: Moore (2004)

It is, however, often the case that humanitarian logistics knowledge or, rather, 

information and data, are available but not necessarily taken advantage of. Frequent 

turnover of personnel at an operating level is one of the reasons that this can occur. 

Every time humanitarian aid is provided, learning takes place. Sometimes the learning 

is in people’s heads, and is lost as they subsequently move to other roles or organisations (especially given the periodic nature of some humanitarian logistics positions 

or military logistics appointments); on other occasions it may be recorded in, for 

example, documents or local operating procedures. However, it is unusual if all of this 

information or data is readily available to all of the players within the humanitarian 

environment or, indeed, if it is recorded in a critically analytical way that can be made 

available for the creation of more learning opportunities that could lead to the development of greater knowledge. Again, there is no comprehensive approach! As an example, 

the International Federation of Red Cross (IFRC) recognised this in its decision.

... to include knowledge management in its preparedness strategy, it was acknowledging that further competencies and value could be created from the lessons learned 

from previous disasters. The IFRC acknowledged that its supply chain would dramatically improve if it could capitalise on the knowledge possessed by the staff of 

the Red Cross movement globally (Tomasini & Van Wassenhove, 2009, 115).

Whilst information management in this sense can include communications 

generally (for example, with the media), it has primarily been in bringing logistics information together in a coordinated manner so that data collection and analysis can be 

undertaken and disseminated in a way so as to assist decisionmaking. This is a crucial 

activity and can be the basis of future growth of knowledge, but it is still limited in its 

overall effectiveness and requires considerable commitment from all players within 

the humanitarian logistics arena.

The key element is in understanding what is likely to be required in the immediate response to a disaster. Whilst each disaster is different there are many logistical 

aspects that are recurring, although the extent and application may vary. Similarly, 

there have been many situations where information requirements, at least in respect 
Moore and Antill

260

of broad logistics/supply chain concept, can be determined. Data at all levels has to be 

collected; this can include facts from past performance, cost movements, availability 

of transport, trained personnel, etc. It can be at the operational, tactical or strategic 

level. For greatest professional impact, it should be comprehensive. This data has to be 

analysed in accord with the requirements for information and has to be considered on 

one hand on a generic basis, so that general principles can be developed and determined 

in respect of information, yet on the other hand it must be flexible enough to allow for 

the contingent situation to be assessed and processes and experience to come into play 

to seek the right balance to ensure knowledge creation and dissemination. Too often 

information is available and data can be provided, but this in itself is not knowledge—it 

is rather facts or figures which if utilised carefully, can be turned into knowledge. This 

is the basis of professionalism but it will not be relevant unless it is used to exercise 

professional judgement, for it is the use and application of that knowledge by logisticians (of whatever hue) that will bring performance improvements.

Summary

Whilst the introduction of a Comprehensive Approach may appear as common sense, 

it is very difficult to implement in reality. It would be challenging enough if there was 

a uniform, harmonious approach to military operations, but in the real world, there 

are a number of socio-economic and political considerations to take into account, as 

well as the differing operational approaches and cultures of national armed forces, not 

to mention aid agencies and international organisations.

Nevertheless, the concept of the Comprehensive Approach is one that has a sound 

basis. Somewhat similar to the all-embracing, holistic methods of effective supply chain 

management, there is an emphasis on seeking to add value (and eliminating waste) 

to an organisation’s internal processes while recognising that supply chains can cross 

national, international and organisational boundaries.

The changing nature of both commercial and military logistics has been noted as 

having resonance. There is also potential to consider humanitarian logistics in a similar 

manner. It certainly brings about an opportunity to advance the process of change in a 

way that utilises both the military approach to logistics and the concept of the holistic 

management of the disparate activities that take place within any supply chain.

It can be seen that for all of this to be effective, there is a need for an understanding of all the issues and challenges involved. This can be recognised as specialised 

knowledge that has application across a variety of national, trans-national, agency and 

organisational boundaries. This knowledge can, if correctly applied, enable enhanced 

decisionmaking and thereby improve performance. This could be in respect of finance, 

operations, human resource management, funding, capital equipment purchases, 

etc. However, knowledge by itself is insufficient to bring about such changes and 

improvements. It has to be carefully applied, in context. To fully enable better decisionmaking in a holistic manner, such as the comprehensive approach, it could mean 

a move towards “professionalisation.” “Professionalisation” as such does not mean the 
Humanitarian Logistics

261

creation of a stand-alone profession; rather, it could be seen as a mechanism for an 

organisation to move increasingly towards the application of knowledge through the 

lens of professional judgement.

It is unlikely that “professionalisation” will by itself create the necessary conditions to bring about the adoption of a comprehensive approach. Neither will the 

comprehensive approach necessarily lead to increased “professionalisation.” What it 

could mean, however, is the commencement of a systemic, holistic way of thinking, 

underpinned by specialist knowledge that through “professionalisation” could lead to 

better judgement-based decisionmaking.

References

Baumann, A., B., (2008) Clash of Organisational Cultures? The Challenge of 

Integrating Civilian and Military Efforts in Stabilisation Operations, RUSI Journal, 

Vol. 153, Issue 6, 70–73.

Christopher, M., (2005) Logistics and Supply Chain Management, Harlow: Pearson 

Education, 3rd Edition.

Department of the Navy, (1997) Logistics, Headquarters–U.S. Marine Corps: 

Washington DC, Marine Corps Doctrinal Publication 4, July 1997, located at http://

modernmarinecorps.com/wp-content/uploads/2010/08/mcdp4.pdf.

Freidson, E., (1994) Professionalism Reborn, Theory, Prophecy and Policy, Cambridge: 

Polity Press.

Hoyle, E., (1980) Professionalisation and Deprofessionalisation in Education, in 

Hoyle, E. & Megarry, J. (Eds) The Professional Development of Teachers: World 

Yearbook of Education, London: Kogan Page.

Hoyle, E., & John, P., D., (1995) Professional Knowledge and Professional Practice, 

London: Cassel.

Korski, D., (2009) British Civil-Military Integration: History and Next Steps, RUSI 

Journal, Vol. 154, Issue 6, 14–24.

Kouvo, S., (2009) State-Building and Rule of Law: Lessons from Afghanistan? NDC 

Forum Paper, NATO Defence College, Rome, March 2009.

McInnes, C., (1996) Hot War, Cold War: The British Army’s Way in Warfare 1945–

1995, London: Brassey’s UK.

Moore, D.M., (2004) Knowledge as the Basis of Professionalism in Defence Acquisition, 

Doctor of Education Dissertation, University of Bristol.

Moore, D.M., & Antill, P., (2000: a) British Army Logistics and Contractors on the 

Battlefield, RUSI Journal, Vol. 145, No. 5, 46–52.
Moore and Antill

262

Moore, D.M., & Antill, P., (2000: b) Humanitarian Logistics: An examination of, and 

Military Involvement in, the Supply Chain for Disaster Relief Operations, in “Global 

Logistics for the New Millennium,” ISL, Iwate, Japan, 51–57.

Moore, D.M., & Taylor, D.H., (2011) in Humanitarian Logistics (Christopher, M., 

& Tatham, P., (Eds), Humanitarian Logistics Professionalism, Kogan Page, 179–200.

Poirier, C.C., & Reiter, S.E., (1996) Supply Chain Optimization, San Francisco: 

Berrett-Koehler Publishers.

Schon, D., (1987) Educating the Reflective Practitioner: How Professionals Think in 

Action, New York: Basic Books.

Schonberger, R.J., (1982) Japanese Manufacturing Techniques: Nine Hidden Lessons 

in Simplicity, New York: The Free Press.

Tomasini, R., & Van Wassenhove, L., (2009) Humanitarian Logistics, Basingstoke: 

Palgrave MacMillan.

Walker, P., (2009) What does it mean to be a professional humanitarian? Feinstein 

International Famine Centre, Tufts University.

Whiting, M., (2010) The Haiti Earthquake, January 2010, Focus, April 2010.
Part 5

Implementation of the 

Comprehensive Approach: 

Haiti as a Case Study
264

The final chapter of the book looks at a particular Comprehensive Approach example, 

the international relief efforts following the 2010 Earthquake in Haiti. Although not 

a NATO operation, the papers explore the successes and failures of a very large-scale 

“civil-military response.” Many crises of every stripe will call for civil and military 

engagement, and the lessons from Haiti can help illuminate important issues.

COL Hans Kasselmann’s chapter argues that prompt and efficient cooperation 

among civilian and military entities becomes of overriding importance when human 

lives are at stake. It highlights the serious shortcomings that have been demonstrated 

in delivering disaster relief in a cross-institutional context, particularly with regard 

to assessments, operational planning and information sharing. In particular, NATO 

has well-established principles for Civil-Military Cooperation (CIMIC) and Civil 

Military Integration (CMI). Mindset is very important, and the Comprehensive 

Approach demands changes in both attitude and behavior among civilian and military entities if they are to work together effectively. So far these changes have not 

taken place.

Ms. Rosa Akbari is in the process of documenting humanitarian processes 

in varying contexts. In this context, her chapter examines single agency process 

flows during crisis response, in particular, the World Food Program (WFP) and 

its emergency operation in Haiti after the January 12, 2010, earthquake. Her study 

is primarily concerned with operational aspects of humanitarian assistance during 

a complex and sudden onset crisis. It attempts to provide a common framework for 

discussing humanitarian operations by focusing on the logistics behind food delivery 

and distributions, following the relief supply chain from start to finish. The author 

assumes that logistics are a universally understood language across disparate sectors. If humanitarian assistance is examined in logistical terms, operations research 

methodologies traditionally applied to the private sector can then be used to analyze 

operations. Rather than raising questions regarding operational effectiveness or prescribing shifts in humanitarian policy, her study serves as an initial communicative 

reference for civilian and military actors to discuss these comprehensive approaches 

in the future.

For those interested in Haiti, there are a number of other excellent studies 

that amplify the points in this chapter. See, for example, Larry Wentz,1

 the United 

Nations Foundation,2

 and the ICT4Peace Foundation.3 Mr. Wentz’s chapter includes his observations on the role of Information and Communication in Haiti, 

and the impact of damage to the underlying Information and Communications 

Technology (ICT) infrastructure and efforts to restore it. The UN Foundation 
265

report, Disaster Relief 2.0, outlines the impact of new volunteer and technical communities in disaster relief. The ICT4P study, Peacebuilding in the Information Age, 

Sifting Hype from Reality, takes a clear-headed look at the impact of innovative approaches to information sharing.

Notes

1. <http://star-tides.net/node/1267>.

2. <http://reliefweb.int/sites/reliefweb.int/files/resources/4686CA7489E

8DA068525786100554127-Full_report.pdf>.

3. <http://ict4peace.org/updates/peacebuilding-in-the-information-age-siftinghype-from-reality>.

267

Chapter 15

Change of Attitude, Change of Conduct: 

Achieving Effectiveness in Implementing 

the Comprehensive Approach

Hans-Jürgen Kasselmann

Abstract

Prompt and efficient cooperation among civilian and military entities attains overwhelming importance when human lives and well-being are at stake. This article 

discusses the required capability developments in support of a comprehensive approach 

to crisis management by analyzing the disaster relief effort of the international community after the 2010 Haiti earthquake. This event testified to the serious shortcomings 

that exist in delivering disaster relief in a cross-institutional context, particularly with 

regard to making assessments, operational planning, and information sharing. A comprehensive approach demands changes in attitude and behavior within the civilian and 

military entities. So far these changes have not taken place.

Introduction

Capability development is a means by which military forces are able to meet challenges 

in answer to new questions that arise from a changing environment or a change in 

tasking from the political leadership.

The NATO alliance aspires to new approaches in its cooperation with civil 

partners, with the aim of greater effectiveness, reduced costs, and improved responsiveness—in short, a more comprehensive approach at every level.

A “gap analysis” will help NATO establish the difference between what it has and 

what it needs in order to achieve its aim. However, it is likely that closing the gap may 

require changes in mindset, materiel, and performance.

An outstanding source of lessons for civil-military cooperation (even though it was 

not a NATO CA) is the commitment of military forces in the aid campaign for the 

earthquake-shaken nation of Haiti in 2010. This is especially true when compared to 

other multinational efforts such as the Balkans in the 1990s and the stabilization, security, transition, and recovery (SSTR) operations in Afghanistan beginning in 2001. 

The Haiti example provides evidence of shortfalls and failures as well as successes. 

Although military forces have cooperated with civil entities before, more complex 
Kasselmann 

268

scenarios put more lives at risk, and time and resources are scarcer. The military has 

to improve its performance to meet the demands of these greater challenges.

Because military forces have shown that they can cooperate with civil partners, 

it appears that the instruments for success are already in place: they just demand 

more efficient application to generate the desired effects. This article aims to analyze 

the Haiti example to develop suggestions to achieve the output needed to support a 

Comprehensive Approach in the future. The instruments for success exist, but are 

they used in the right way and by the right people? The answer can be found in an 

examination of the main civil-military operations tool for the military, which at the 

moment is CIMIC.

Civil-Military Cooperation and Civil-Military Integration

CIMIC (NATO, 2003) is a concept that enables the Alliance, at all its levels of responsibility, to cooperate with civil partners. It pre-dates the Alliance’s adoption of 

Comprehensive Approach in 2008. CIMIC consists of mechanisms of consultation at 

the political and strategic levels to permit high level coordination with international and 

supranational organizations. These follow the principles of civil-military interaction 

(CMI) to achieve basic agreement on how to cooperate, and to what degree. At the 

operational and tactical level, NATO has specifically trained personnel to facilitate 

the liaison and coordination necessary to de-conflict and harmonize its actions in the 

area of operation. Different options for coherent, concerted planning help the Alliance 

minimize mutual interference with civil partners in the first stages of an operation—

long before any kind of deployment. The aim is to focus the military contribution on 

the overall support, provided by all entities committed to a common desired end-state. 

Duplications of effort are avoided, mutual information sharing is ensured, synergies 

are identified, and friction is reduced.

Preconditions for such action are trust and an agreed desired end-state; however, 

a key challenge is the identification of who is best suited to deliver each element in the 

desired end-state. This problem is further complicated when the military is forced to 

fulfill functions for which it is less well suited than civilian entities, either because the 

civilian entities are not yet available or because considerations like security and logistics 

prevent their participation.

All of these efforts require close communication and consultation within a transparent framework, covering all levels of responsibility, both within the Alliance and 

with civil entities. It remains important to achieve consent from NATO partners 

about preparations and staging of force well before any kind of deployment. It also 

requires the will to accept each others’ differences in terms of agendas and capacities. 

The more familiar participants are with one another the simpler the process of mutual 

accommodation can be.

Military personnel assigned to CIMIC and CMI functions have been trained 

and educated to ensure a maximum output throughout all stages and phases of any 
Change of Attitude, Change of Conduct

269

cooperation. The governing aim is comparable to the aim of the civil partners: ensure 

an optimum provision of support while doing the least harm possible.

The Comprehensive Approach1

The Comprehensive Approach is a concept, rather than a well-defined process. A 

number of definitions, each interpreted differently by different organizations, have 

been documented with the intention of articulating the aspirations of the approach 

(MOD, 2006; MOD, 2008; NATO, 2008; NATO, 2010). This mindset can help 

facilitate the harmonization of efforts addressing complex emergencies.

The Comprehensive Approach is probably best understood as the synergy of 

actions by all entities of the international community through the coordination of political, development and security capabilities in order to face the challenges of today and 

the future. It is an umbrella term for describing the purpose of civil-military interaction, 

a long-term effort of the international community to align and harmonize their efforts 

through coordination and cooperation. It takes place not only across the boundaries 

of government agencies, but across public-private and international divisions as well. 

Ideally, it combines short-term crisis response and stabilization with long-term assistance and reconstruction. It should effectively coordinate the overarching process 

of civilian and military actors engaging at various levels covering the whole spectrum 

of crisis response. The comprehensive approach is not only about delivering SSTR 

efforts but also about raising awareness among the various participants, for bringing 

capabilities to bear for other missions.

Analysis of a Military-Civil Cooperation

Civil-military cooperation takes on an overwhelming importance whenever human 

lives and wellbeing depend on the prompt and effective interaction of military formations and civil entities. This may arise in cases of serious disasters or at the different 

stages of the use of military power for other purposes, such as SSTR and building 

partner capacity (BPC).

The application of military power to gain control over an area, for the purpose of 

defeating opposing forces or pacification, requires that the force applied be proportionate to the demands of the particular situation. This military ground truth is also to be 

found in the military’s relations with civil entities linked to the mandate of the military 

in humanitarian assistance and disaster response, be they inside or outside the area 

of operation. Civil emergencies demanding military equipment for relief may include 

natural disasters (for example, earthquakes, tsunamis), large-scale technical catastrophes (dam breaks, major nuclear accidents) or other incidents demanding immediate 

and cohesive action to avoid severe consequences for humans in that specific area.

The need for meaningful interaction with civil entities is clear in situations of 

disaster relief support and when the military finds it necessary to apply force against a 

hostile enemy. In the latter case the coordination and cooperation with civil entities decreases the more intense the conflict. However, when operations have to be conducted 
Kasselmann 

270

in urban environments coordination and cooperation need to take place to minimize 

the potential for fratricide and collateral damage. Nevertheless, the protection of vital 

interests of populations in these areas of conflict remains the focus of both the military 

and the civil entities, as damage to the infrastructure can also be detrimental to the 

indigenous population. Military forces alone have never been best suited to ensuring 

the well-being of societies when force is involved. The Alliance has implemented a 

comprehensive interaction scheme to ensure that the military remains focused on 

saving as many lives as possible and limiting collateral damage.

An outstanding example of civil-military interaction in cases other than war was 

the military and civil support to the people of Haiti after the earthquake of January 

12, 2010, mainly in the most densely populated area of the country (OCHA 2010).

Severe damage to all kinds of vital installations demanded immediate action from 

the international community. To derive lessons, we have to take a much closer look at 

the behavior of the military forces and the civil entities in the area, and their attempts 

to get there.

Preparations to deploy to the area were immediate. Each entity successfully analyzed what resources would be needed, but, in the overwhelming majority of cases, 

this process took place in isolation from one another. Few of the military commanders 

tasked by their respective governments contacted the cluster leaders, or vice versa. Little 

de-confliction of planning or deploying material and personnel took place, whereas 

ideally all such action should have been cohesive right from the start.

These difficulties were exacerbated by egocentric behavior from many contributors throughout the period of time where help was provided. Too often, it became a 

race of one-upmanship, rather than focusing on providing full, prompt and effective 

help. Haitians who could have been saved may have died because of unnecessary fights 

between military and civil helpers.

This experience underscores the requirement not only to improve but, in some 

cases, to re-establish interactions between military and civilian entities.

By contrast, the Dayton Accord that ended the civil war in Bosnia helped define 

an international consensus as to priorities and roles of different participants in SSTR. 

Similarly, United Nations Security Council Resolution (UNSCR) 1244 laid out roles 

and missions for postconflict Kosovo, including NATO’s Kosovo Force (KFOR). It 

included an overlap between the roles of NATO and the UN so as to avoid the gaps 

in security coverage that had occasionally emerged in Bosnia. These frameworks can 

help establish the pre-conditions for effective action.

Analysis of Military Performance

In Haiti, military forces already in the area (Argentine military medical personnel) immediately provided first aid and assessed the situation. Their report was addressed to 

their national high command as well as their chain of command within MINUSTAH.2

The assessment was supported by the Haitian government, which stated the urgent 

need for medical supplies and personnel as well as security forces ensuring a safe 
Change of Attitude, Change of Conduct

271

environment for civil relief personnel to work in. The military assessed that medical 

supplies and security forces would have to be provided as fast as possible. The expectation, also the foundation of the needs assessment, was that all infrastructures were 

unusable and all vital personnel were unable to perform their duties.

These assumptions led the deployed military forces3

 to start the relief work in 

the fashion of an “unopposed invasion operation,” which demands the provision of 

all functions needed for deploying and supporting troops. All essential posts like air 

traffic control, traffic control, supply chain management, and governmental lead functions in all areas were manned with military personnel to reduce friction at the start 

of deployment, the reception, staging and onward movement of forces, as well as the 

contingency of relief support.

Four main shortfalls raised manifold problems for the overall effort of all 

contributors.

Underestimation of Need: The military had underestimated the scope of help 

needed. The first calculations, on which the deployment plans had been based, estimated 15,000 to 20,000 total casualties in need of medical attention. The actual 

estimate was between 200,000 and 300,000.

Lack of Clarity and Focus in Coordination: The intermilitary coordination4

 lacked 

clarity and focus. Duplications of effort and mutual interference were the direct result 

and could not be resolved until the end of the operation. There was neither unity of 

military command nor unity of effort.

Excessive Military Focus on Security: The military simply took over all regulating 

functions and prioritized its own transports and efforts above all others. Added to that, 

the predominant will to provide “security first” led to a wrong deployment sequence.5

Lack of Adequate Specialists: Besides military doctrine the real military specialists 

to facilitate the entire spectrum of civil-military coordination were not brought into 

the theatre at first or even left in the garrisons, leaving it all to the military operational 

generalists.6

Clearly the lead time available to prepare for these complex operations is a central 

determinant of success. Over a decade earlier in Bosnia, NATO had time to establish the 60,000-soldier Implementation Force (IFOR) to effect the provisions of the 

Dayton Accord. IFOR divided Bosnia into three regional sectors, each assigned to 

a multinational division headed by a lead nation. IFOR included Russia and several 

other former Warsaw Pact nations among its members. The operation ran relatively 

smoothly, even though it was the first ground operation conducted outside NATO’s 

borders. When IFOR’s mandate expired after a year, it was succeeded by a similarly 

constructed Stabilization Force (SFOR), of indefinite duration. The IFOR experience 

prompted NATO to prepare in advance for its military role in Kosovo with forces 

prepositioned in Macedonia. Responsibilities for security were flexible and clearly 

defined.

In Afghanistan, on the other hand, U.S. military action followed almost immediately in the wake of the 9/11 attacks, so there was little time to prepare for international 
Kasselmann 

272

arrangements. The United States was initially reluctant to take on large-scale SSTR 

efforts in Afghanistan. In late 2001 international assistance to Afghanistan was organized under UNSCR 1386, which included the International Security Assistance 

Force (ISAF) in a peacekeeping role.

Analysis of Civil Entities Performance

The news of the disaster in Haiti was answered by a multitude of international, supranational, governmental, intergovernmental and nongovernmental organizations 

(NGOs). All of them had the best intentions to provide as much help as possible, with 

many entities having specific areas of expertise.

This situation demanded a large scale and synchronized harmonization and deconfliction, with a deployment plan designed to ensure the provision of the most vital 

goods first. In theory this could have taken place if the UN-developed system of the 

cluster approach had been used. The UN7

 made every effort to meet this challenge by 

using UNOCHA, UNHCR and a multitude of other organizations. These attempts 

were unsuccessful since many organizations were reluctant to coordinate with the 

UN bodies. The reason was unwillingness to accept the deviation of the organizations’ own priorities from those of the international or supranational organizations. 

The main idea was to follow the agenda “We can provide best what is needed there 

now,” which is completely understandable as the situation was deteriorating by the 

minute. Nevertheless, this lack of coordination and planning led to poor execution, 

with numerous duplications of effort as well as shortfalls in providing the complete 

set of needed functions and goods. Effectiveness was never achieved in the relief work 

conducted.

Another critical shortfall was transport coordination, which was not expected to 

be problematic. At this stage coordination with the military personnel controlling the 

transport infrastructure was paramount. An alternative would have been the control 

of all actors by the UN, which neither the NGOs nor governmental organizations 

were willing to accept.

Such difficulties are endemic to multinational operations involving intergovernmental organizations (IGOs) and NGOs. In Afghanistan, ISAF has been plagued by 

the concerns of IGOs and NGOs that too close an association with security forces 

or the national government might compromise their independence or political nonalignment. Relief organizations even complained to the U.S. Government about U.S. 

Servicemembers doing relief work in civilian clothes, for fear that civilian relief workers 

might be confused with military members and hence endangered.

Analysis of Requirements to Provide Full, Prompt and Effective Support

An estimated figure of three million people were directly affected by the Haitian 

earthquake. As many as 316,000 people were killed (other sources cite lower figures); 

over 300,000 sustained severe injuries demanding highly skilled and intense medical 

attention, with another 450,000 suffering from lesser injuries. Another 1.8 million lost 
Change of Attitude, Change of Conduct

273

shelter and all 3 million people affected had very limited access to vital life support. 

A quarter of a million structures were damaged, including 30,000 assets of critical 

infrastructure.

To provide rapid support for such a large scale emergency demanded vast airlift 

as well as ground-based infrastructure capacities either in Haiti or in neighboring 

countries like the Dominican Republic. In theory, these were available. However, the 

theoretical demand (not exhaustive) would have required the transport of 150 tons of 

medical supplies per day, as well as 1 million tents with a weight of 20 kilograms each, 

equaling 20,000 tons. The provision of food was calculated at 800 grams per person, 

adding up to 2,400 tons per day. Water requirements, even limited to the absolute 

minimum of 4 liters per person per day, totaled 12,000 tons per day. The total sum 

of vital transport needs was 24,550 tons per day, not counting tents, vehicles, water 

purification systems, or medical installations.

Large transport aircraft can lift 118 tons per flight. At that rate the amount of 

sorties needed would have been at least 209 per day, with a very optimistic turnaround 

time of 30 minutes.8

 This feat would have been manageable only if the requisite air 

transport and airfields had been available. Distribution at the ground is not analyzed 

here, as these theoretical figures were never met.

Gap Identification between Required Action and Real Performance

The lessons identified above underscore some crucial gaps of performance in the attempts to provide full, prompt and effective help to the people of Haiti. The theory 

of how civil-military cooperation was designed to tackle challenges on the scale of the 

Haiti earthquake—the “whole of nation” approach—is firm and sound; but clearly a 

drastic gap exists between theory and practice. So far not all theory already developed 

is generating the necessary output.

To understand how those performance gaps, costing an unidentified number of 

lives, were possible, we need to look into the material and doctrinal questions as well 

as the mind-set and institutional links of all participants.

A comparison of the performances presented in the preceding sections with the 

requirements to minimize the impact in Haiti, measured against the tools available 

(CIMIC/CMI and the Comprehensive Approach), shows that the main gaps fall into 

four specific areas.

Resource questions. Sufficient transport and logistics assets were available to support 

a quick impact in Haiti. The military assigned large numbers of aircraft, equipment 

and personnel. Critical shortfalls stemmed from an overly optimistic casualty assessment, initial prioritization of security personnel and equipment over medical and relief 

supplies and poor cooperation between military forces (and civilian assets) of different 

nations. There was little coordination or de-confliction regarding who would provide 

which technical equipment and when it would be shipped in. An overall general and 

agreed plan about material needed was missing completely. An overview was never 

established of what material was still usable in Haiti, which material was on its way 
Kasselmann 

274

to Haiti, and what material would be shipped at which point in time, to be used by 

whom.9

 There was no overall coordinating authority focusing and fine-tuning the 

efforts, either on the military side or on the civil side.

Doctrinal questions. Military forces, as well as civil entities, had operational doctrines available for this kind of situation. Were they adhered to in this case? Even 

though this was not a NATO-led operation, Alliance nations could have employed 

all CIMIC and CMI functions supported by these overarching existing concepts. 

However, since the forces were deployed directly from their nations under national 

command, CIMIC and CMI functions were not included. Even had NATO coordination authority been present, it could not have de-conflicted, harmonized and 

prioritized their individual actions, as they remained under national command at all 

times.

Civil entities, including all international, supranational, governmental, intergovernmental and nongovernmental organizations, were solely focused on providing a 

maximum of help in the shortest period of time. The UN cluster system (such as the 

Emergency Telecommunications Cluster, led by the World Food Program) was neglected by most of them, with the UN entities trying with all their force to coordinate 

and de-conflict right from the beginning of the support operations. The vast numbers 

of organizations deploying to Haiti was beyond the ability of the UN personnel to 

handle. Yet these organizations ignored even the simplest principles of communications and information. Transparency was lost, and with it the focus of the overall effort.

Military forces took over vital functions to ensure the rapid deployment of their 

assets, as well as the fastest support of people in need. By doing so they intended to 

facilitate staging and onward movement, but as they refrained from accepting command authority by UN offices over their actions, they violated fundamental principles 

of civil-military interaction as well as principles of the Alliance. At the same time the 

Alliance would have had no means of improving the overall situation, since nations 

retained command authority over their troops.

Mindset. Quickly realizing the dimensions of this catastrophe, every single person 

tasked to provide support was highly motivated. In every single entity committed 

to assist, all assets were freed and assigned to generate quantifiable results as fast as 

possible to save as many lives as possible. Yet this very positive disposition created a 

most critical shortfall. All these people started considering their own efforts to be the 

only important ones, no longer thinking about interdependencies, synergies or coordination. The massive challenge of the work in front of them made them forget that 

other entities were in need of information about their efforts in planning and conduct. 

Cooperation and harmonization, highly favored functions in the military as well as in 

civil entities, were forgotten. All efforts went into doing as much good as possible by 

getting their own support moving, in place and operational.

This mindset itself, as well as the extremely high level of motivation, is not to be 

criticized. It was a precondition for success. Nevertheless all the training and education in the needs of cooperation, de-confliction and harmonization, like using the 
Change of Attitude, Change of Conduct

275

cluster approach and close cooperation with the cluster leaders in the respective areas 

of expertise, was neglected on the civilian side.

On the military side the mindset was focused in absolutely the same way as in the 

civil entities: provide as much help as possible as fast as possible with maximum safety. 

Remaining under national command appeared to be favorable, as it ensured access 

to national means of transport and supply as well as personnel. This one advantage 

produced simultaneously the largest disadvantage in military operations: operating 

without a full awareness of the situation. This led to less than optimum performance 

in Haiti. Attempts to adjust the output to ensure sufficient help reduced the set of 

actions by the military to stereotypical military behavior: trying to do everything by 

themselves and guaranteeing total control for themselves.

This conflict of mindsets within the military and the civil entities, as well as among 

each other, produced an almost unsolvable situation of mutual interference, with 

each player trying to gain dominance in the area to solve those issues in the only way 

imaginable: the individual organization’s “own” way.

Institutional issues. Although there are already a multitude of organizations in 

place, a discussion about another de-conflicting entity with the ability to harmonize 

and the power to enforce its decisions took place after the events in Haiti. UN institutions have not yet proven able to manage an operation on the kind of scale that would 

have been necessary to provide adequate help for three million people in most urgent 

need of relief.

Required Changes of Attitude and Behavior

To avoid such critical situations in the future—some journalists named this “the catastrophe that followed the earthquake”—we all have to aim for performance change. 

The performance itself will only change if we all adapt our attitude and behavior.

The main areas for change are easily identified by looking at the lessons from Haiti. 

Comparison of the findings above with the available tools described in the previous 

sections indicate clearly the need for change in six vital areas.

Concerted planning. Planning has to take place before any clear and present catastrophe emerges. Even if it is not in overall lead, the Alliance has to take all efforts to 

establish a high-level platform for communication and coordination at the decision 

levels of as many civil entities and relief organizations as possible. This forum has to 

agree on action plans to be carried out whenever necessary. These plans have to cover 

materiel assets as well as personnel to be deployed to joint advisory panels taking charge 

of the management in such crises. These panels also need the mantel of authority from 

all sides to perform their necessary duties.

As much as this high-level planning needs to be generic, it is also highly recommended that expert groups be formed below this decision level, manned with 

functional experts designing detailed plans to counter all imaginable disasters. These 

detailed plans need to be reviewed regularly to adapt and reflect changes in organizations as well as capabilities.10
Kasselmann 

276

At the logical next stage these plans have to be transformed into detailed guidance 

for the respective field level, both military and civil.

Transparency. Achieving mutual trust, a prerequisite for effective cooperation, 

demands a large amount of transparency. Most civil entities are already highly transparent, so as to make the use of their donors’ money visible. In this respect the military has 

to accommodate change and win the trust of civil partners. Secrecy or “need-to-know” 

policies may be imposed for security reasons, but those doing so need to understand 

the impact of reducing transparency.

In civil-military engagement there should be a preference to share even sensitive 

information like the disposition of forces or the order of battle of specific forces such 

as engineers, transport aircraft, command ships and many other platforms on the 

military side as well as the civil. Without this transparency all planning, and therefore 

all execution, is likely to fail.

Cooperation. Working together in the face of disaster will not generate sufficient 

output if not practiced in advance. Here both sides have to adapt and start to think 

creatively. Despite what some civilians seem to think, military force is not inherently 

evil. Many functions needed in situations like post-earthquake Haiti after the earthquake will only be available within the military set of capabilities, whether the military 

or the civil side appreciates it or not. So as to be able to perform as necessary, military 

and civil entities have to be trained to execute interoperable procedures. This should 

not be limited to field levels, but should extend throughout the overall structure of 

the organizations involved.

Mindset. The most significant changes need to be in the mindsets of personnel, 

in both military and civil entities, if the comprehensive approach is to be adopted successfully. Flexibility and creativity will be needed throughout the complete cycle of 

cooperation, at all stages of planning as well as all phases of execution.

All actors must open their minds and enlarge their horizons to accommodate these 

necessary changes. The identification of who is best suited and equipped to deal with 

which challenge is only the beginning. It is vital that all actors accept and welcome an 

overall environment that promotes coordination; by free will and voluntary choice. 

Without that attitude there can be no prioritization or delegation across organizational boundaries.

Comprehensiveness. The Comprehensive Approach, the concept of choice of the 

Alliance to generate better results together with civil partners, is very well suited to 

enable all actors, military as well as civil, to prepare for likely and unlikely events well 

in advance of any catastrophe or disaster. The required functionalities range from 

the top of the organizations to the bottom. CIMIC will play an important role as the 

concept that will enable the Alliance’s forces to interact efficiently with all kinds of 

civil actors, under a wide range of circumstances. This comprehensive effort needs to 

be embraced by all participating entities. It cannot work if anyone taking part tries to 

dominate. These spaces need to be filled by common interest, mutual respect, and a 

focus on providing the best possible assistance.
Change of Attitude, Change of Conduct

277

The Alliance has to promote comprehensiveness as much as possible to avoid poor 

performances in future. Any self-centeredness or focus on maximizing the individual 

output is very likely to produce the same or comparable shortfalls as those observed 

in Haiti. The world community would be well advised to adjust its mindset fast to a 

comprehensive approach in disaster relief, as every lapse in preparedness comes at the 

price of human life—as it did in Haiti.

Consent. It is unrealistic to expect all entities taking part in international disaster 

relief to practice, prepare and conduct their operations in exactly the same manner. 

Such unanimity would be helpful indeed, but it is not strictly necessary if consent 

about the desired end state is achieved early on. It is also advisable to find consensus 

about activities to be undertaken as well as a general line of operations to be followed. 

By doing so, mutual interference can be reduced and overall performance enhanced. 

Aiming for consent is the beginning, but achieving it the end. Consent in what to do, 

when to do it, to what degree, and in what sequence will enable maximum synergy.

The final result will be highly efficient disaster relief operations, with fewer organizational shortfalls, fewer personnel, fewer resources, fewer financial assets, less 

duplications of effort, faster help and fewer casualties. The only precondition for this 

optimization is agreement on common goals.

Conclusions

The Haiti relief effort has shown at a high price that cooperation in disaster relief has 

to improve in many areas to answer effectively the demands generated by large-scale 

catastrophes. Too often, predictions of the largest conceivable natural disaster have 

proved to under estimate the events taking place “on the ground.” The reasons for 

not closely cooperating, not developing common plans, and not establishing common 

procedures are to be found in self-centered focus on individual abilities of single organizations. This is not acceptable where human lives are at risk.

Progress appears to have been inconsistent in the comprehensive approach to the 

crises in Bosnia, Kosovo, Afghanistan, and the Haiti earthquake, with Haiti being 

especially disappointing.

Experience with HA/DR, SSTR, and BPC over the years confirmed that where 

no governance exists, it must be established—and governance is impossible without 

a modicum of security. Where no common vision of an end state binds participants 

to common goals, it must be agreed upon. And when methods of coordination and 

cooperation are uncertain, they must be rehearsed.

Comprehensive action is the way ahead that can avoid any critical lack of performance in future. Just one more life saved by using the Comprehensive Approach to 

solve those crises and catastrophes justifies all efforts. It is evident that changing our 

ways to accommodate comprehensiveness will be neither easy nor comfortable. The 

challenges in doing so are not so much questions of organization forms or structures. 

It is our minds that need to be transformed—from a perspective of “We are the best” 

to “Together we are the best in saving lives.”
Kasselmann 

278

Effectiveness in accommodating the comprehensive approach is very possible. The 

technical means are there and they can be used without violation of any principles, 

whether they are those of the military or of the civil partners, or a combination. The 

only thing that remains to be changed is our attitude which, in turn, will lead to improved performance.

References

MOD (2006) The Comprehensive Approach, Joint Doctrine & Concepts Centre, Joint 

Discussion Note JDN 4/05.

MOD (2008) Joint Doctrine Publication (JDP 0–01), 3rd Edition, August 2008.

NATO (2008) Issued by the Heads of State and Government participating in the 

meeting of the North Atlantic Council in Bucharest on April 3 2008.

NATO (2010) New Strategic Concept, Lisbon Summit. http://www.NATO.int/

strategic_concept.

NATO (2003) NATO Civil-Military Co-Operation (CIMIC) Doctrine, June 2003, 

http://www.nato.int/ims/docu/ajp-9.pdf.

OCHA (2010) Evaluation of OCHA Emergency Response to the Haiti Earthquake, 

Terms of Reference, July 2010, Available at: http://ochaonline.un.org/Searchresults/

tabid/1447/language/en-US/Default.aspx?Search=Earthquake+Haiti.

Notes

1. For details see http://www.nato.int/docu/stanag/ajp1/AJP-01-D.pdf, chapter 2, 

paragraphs 227 to 232.

2. United Nations Stabilization Mission in Haiti (MINUSTAH), <http://

daccess-dds-ny.un.org/doc/UNDOC/GEN/N10/494/00/PDF/N1049400.

pdf?OpenElement>.

3. The main forces deployed consisted of troops from the United States of America, 

Canada, the Republic of France and a multitude of other Nations.

4. Intermilitary coordination is harmonizing activity between troops of different 

Nations which are not subordinate to the same or “a” headquarters.

5. Infantry were in the first waves of troops landing in Haiti. For details see Final 

Report, OCHA (2010), 29, 64.

6. For example, the U.S. Army Reserve, with the bulk of the Civil Affairs and Medical 

units were put on alert, but were never deployed.

7. The UN-entities in Haiti have also suffered severely from the earthquake, thus 

limiting its performance.
Change of Attitude, Change of Conduct

279

8. More realistic figures would be between 75 and 120 minutes per flight.

9. These actions are generally summarized by the term “tracking.”

10. This contingency planning has been used in NATO for operations so far, but is 

not in use with civil partners.

281

Chapter 16

Communicating Through Logistics: 

Tracing World Food Programme 

Process Flow in Post-Earthquake Haiti

Rosa Akbari

Abstract

As part of a greater study documenting humanitarian processes in varying contexts, 

this chapter examines single agency process flows found during crisis response. For this 

particular study, the World Food Programme (WFP) and its emergency operation in 

Haiti after the January 12, 2010, earthquake is the informing case. This study is primarily concerned with depicting the operational aspects of humanitarian assistance during 

a complex and sudden onset crisis. This chapter also attempts to provide a common 

framework for discussing humanitarian operations. More specifically, emphasis is placed 

on the logistics behind food delivery and distributions, following the relief supply chain 

from start to finish. In order to detail this vertical process properly, data is gathered 

from a variety of organizational entities, including both civilian and military groups. 

The author assumes that logistics are a universally understood language across disparate 

sectors. If humanitarian assistance is examined in logistical terms, operations research 

methodologies traditionally applied to the private sector can then be used to analyze 

operations. Rather than raise questions regarding operational effectiveness or prescribe 

shifts in humanitarian policy, this study serves as an initial communicative reference for 

civilian and military actors to discuss these comprehensive approaches in the future.

Introduction

As public attention on natural and man-made crises increases, so does interest in their 

associated humanitarian responses. Even after cursory consideration, one quickly 

notes that well-planned logistics serve as the lynchpin to coordinating an effective 

response, though the operational aspects of humanitarian affairs are difficult to study. 

Data collection is sporadic and institutional memory lies within experiential accounts 

and disparate primary source documents from the field. Humanitarian logistics is a 

burgeoning field of academic study, however, affording practitioners prime opportunity to catalog recent humanitarian crises and academics a chance to analyze their 

subsequent responses.
Akbari

282

The basic hypothesis proposed is if humanitarian operations are analyzed systematically, the comprehensive logistics required to execute them are also better 

understood. One way to organize this analysis is by pinpointing individual humanitarian processes, such as relevant supply chains and coordination mechanisms, in 

order to distinguish reoccurring process flows in a variety of implementing contexts. 

By cataloging the operational variables of a single process like food distribution or 

medical patient transfers, the vertical relief chain naturally surfaces. Basic inputs and 

outputs are identified, thereby uncovering the logistical planning of the relief chain as 

a result. This allows stakeholders across various sectors to contribute insight, comprehensively framing an operation from multiple perspectives. One is thus able to 

itemize actionable steps required to engineer an operation as well as the subsequent 

resources it necessitates.

In the following study, a single humanitarian operation is presented from start to 

finish—field to headquarters and back again. The chosen case reflects upon a postnatural disaster situation—the complex emergency response to the January 12, 2010, 

Haitian earthquake. As such, World Food Programme’s (WFP) food distribution 

process is of particular interest as it succinctly demonstrates a replicable humanitarian 

process flow found during sudden onset crisis response. Field research and experiential 

data are coupled with commercial process analysis literature to formulate a comprehensive overview of emergency food distribution during a large-scale disaster response.

Behind the Logistics

Process Analysis

Commercial process management involves three steps: process evaluation, process 

analysis, and process improvement. This chapter focuses on the process analysis piece, 

a practice commonly used in the private sector. In order to apply process analysis to 

the humanitarian context, certain terms must be redefined. A traditional process is 

defined as “a logical series of related transactions that converts inputs to results, or 

outputs” (Anderson, 1999). The process in this case is a humanitarian relief chain, 

specifically looking at WFP food delivery operations and their “chain of logical, connected, repetitive activities” (Anderson, 1999). The WFP relief chain is comprised of 

a series of inputs and outputs. Endogenous inputs refer to WFP’s internal logistical 

capacity in terms of infrastructure and available labor; modifications to prepositioned 

food stockpiles, methods of transportation, information and communication technology (ICT), implementing logistics, and contributing levels of human expertise are 

initiated by WFP when deemed necessary. Output is dependent on organizational 

resources used to attain a “specified and measurable result” for all relevant actors 

(Handfield, 2002). Success in humanitarian output is thus a function of an agency’s 

ability to counter obstacles in way of delivering sufficient aid in a timely manner. 

WFP final output occurs at the end of the delivery process, once food items reach 

the hands of beneficiaries.
Communicating Through Logistics

283

In the private sector, quantities and quality of output are reliant on internal capacity (among a variety of other variables). Manufacturers can readily manipulate inputs 

necessary to ensure the timely production of quality output. Spikes in production costs 

and equipment failures are easily mitigated by quickly redistributing prepositioned 

resources [inputs] to fulfill demands, avoiding consumer discontent. The humanitarian sector is not able to act as deftly in face of similar issues. Responders’ logistical 

capabilities are only as effective as independent environmental factors allow. In the 

case of WFP, the delivery of food aid is heavily constrained by factors such as funding, 

the availability of human capital, or of capacity. Despite the organization’s exceptional 

logistics capability and knowledge, WFP can only do so much to counter unforeseen 

circumstances like economic crises or unoccupied positions.

The relative success of a humanitarian operation relies on more factors than 

currency-based cost-benefit analysis. Consequently, related costs cannot be viewed 

solely through monetary terms. Rather when drafting humanitarian implementation 

plans or negotiating outsourced contracts, costs are measured by a form of burden 

sharing and speculation. Considerations of organizational accountability and reliability thus come into account as costs reflect operational risks rather than just financial 

ones. In addition, operational budgets are measured against their relative and absolute 

added value, looking to contextual indicators that take humanitarian standards and 

beneficiaries’ satisfaction into account. These assessments naturally elucidate issues 

regarding the quality of an operation, intimating how well a humanitarian agency meets 

overwhelming demands in face of seemingly insurmountable crises. The timeliness of 

aid delivery (and subsequently, the overall quality of an operation) heavily depends on 

fluctuating internal capacity; bottlenecks in the relief chain are thus inevitable given the 

volatile nature of humanitarian crises (and donor communities). This requires WFP 

to maintain a level of operational flexibility that accounts for pipeline breaks, avoiding 

additional deprivation for beneficiaries. For all intents and purposes, WFP works to 

ensure that once aid is in its possession, logistical hiccups are avoided.

Process Flow

The first step in process analysis is to create a process flowchart. This requires the 

chronological mapping of the mechanics of an operation, identifying procedural steps, 

information transactions, and resource flows (Handfield, 2002). The resulting process 

flow can then be viewed against operational benchmarks in order to determine what 

variables affect output the most; questions regarding capacity utilization, production 

quality, and process flexibility are inherently addressed. Once analysis is complete, 

implementing partners can better visualize the layers of informational and material 

flow involved in aid procurement and distribution. Information and resource flows 

obviously vary from operation to operation, but by outlining the same processes in a 

variety of contexts, one is able to note reoccurring procedural issues as they form an 

organization’s standard operating procedure.
Akbari

284

WFP Organizational Capacity

WFP provides temporary emergency food rations to victims of “war, civil conflict, 

and natural disasters” (WFP, 2010: a). As part of the official United Nations (UN) 

bureaucratic structure, the agency is mandated to assist with food and food aid programs in any emergency, regardless of cause as reflected in the Joint Assessment 

Mission (JAM) Guidelines (UNHCR/WFP, 2008). According to its 2010 Overview 

of Operations, WFP planned to distribute over 5 million tons (mt) of food aid (valued at U.S.$5.36 billion) to approximately 92.8 million people as shown in Table 1 

(WFP, 2010: b). WFP categorizes its operations into four major types: Emergency 

Operations (EMOP) provide immediate assistance during the first 24-months after 

an emergency; Relief and Rehabilitation Operations (PRRO) replace EMOPs and 

are renewed every 3 years; Development Operations (DEV) improve communities’ 

long-term food security; Special Operations create specific infrastructure needed for 

EMOP (WFP, 2010: c). While these distinctions are important for budgetary planning purposes, the humanitarian community pays little attention to the distinctions 

made. Availability of tangible resources and operational efficiency remain the most 

important factors to non-governmental implementers.

Table 1: WFP Programme of Work 2010

Programme Type

Needs (US$) Beneficiaries

Beneficiary 

Needs (mt*) Beneficiary 

EMOP 53,426,848 1,748,990 1,870,785,588

PRRO 20,918,429 2,890,256 2,854,884,687

Special Operation - - 222,603,591

Development 18,431,439 491,809 413,226,187

Grand Total 92,766,716 5,131,054 5,360,500,053

Source: (WFP, 2010:b)

It is important to note that WFP is not the last hand to distribute food; the 

responsibility of physical distribution falls solely on partner organizations (that is, 

local and international NGOs). WFP instead serves as the overseeing organization 

responsible for maintaining food security in times of crisis. This includes procuring and 

mobilizing mass quantities of food from five global warehouses, leading the development of a comprehensive operational plan in the meantime. The organization is also 

the sectoral lead for food operations within interagency contexts, delegating strategic 

tasks to implementing partners on the ground. From a basic level, this means fulfilling 

the minimum humanitarian standard of 2,100 calories per day in rations. Quantitative 

data such as population counts, distribution confirmation, and calculated malnutrition rates are used to substantiate whether an operation reaches this benchmark. 

WFP is ultimately held accountable for food-related issues uncovered by independent 

evaluations during and after a disaster. In practice, however, third-party implementing 
Communicating Through Logistics

285

organizations serve as the real accountability measure.NGOs and beneficiaries witness 

WFP’s qualitative capacity firsthand, affording opportunity to candidly assess the organization’s ability to deliver on promises of food shipments and transportation needs. 

This grassroots network inherently keeps WFP operations in check, qualifying the 

appropriateness and effectiveness of a response by filtering opinions through internal 

humanitarian networks, media, and otherwise.

The Case: Haiti

Disaster Preparedness

Even prior to the quake, Haiti embodied most notions of a fragile State. For one, 

little-to-no public infrastructure existed; there was also minimal confidence in the 

national government to provide it. Although the UN established MINUSTAH on 1 

June 2004, the stabilization mission did little to placate the tenuous political situation 

in country. Geographic dispersion was also quite uneven, with over 2.8 million people 

residing in Port-au-Prince (PaP) alone (OCHA 2010:a). Poverty-driven migration to 

urban areas increased population density of the capital to over 28,000 per km2 (73,000 

per mi2

), multiplying the potential effects of any event in or near the city.

While most external agencies had disaster contingency plans already in place, they 

addressed natural phenomena such as hurricanes and mudslides—not earthquakes. 

Even more, populations had adapted their homes to withstand common meteorological occurrences, building compounds with stalwart materials able to sustain high winds 

and excessive rain. These heavier building materials were built on loose foundations 

unable to withstand ground movement, rendering them quite useless and in fact most 

dangerous during an earthquake. This choice in architecture was the cause of many 

of the casualties, crushing people inside buildings as the earth shook. Simply put, 

the small island-state’s natural disaster preparedness did not adequately anticipate 

earthquake scenarios.

The Earthquake

At 1623 hrs local time on January 12, 2010, Haiti shook. A 7.0 magnitude earthquake struck 17 km (10 mi) southwest of Port-au-Prince, leveling the capital and the 

surrounding neighborhoods of Léogâne, Carrefour, Delmas, and Jacmel. First hand 

assessments quickly percolated from the ground, indicating a rising death toll as well 

as the deaths of numerous government officials and UN personnel. Millions of survivors stayed in the streets, camping under salvaged linens as they feared reoccurring 

aftershocks as well as the thought of leaving property unguarded (no matter how irrecoverable). Bodies remained pinned under rubble for days as response organizations 

had minimal lift capacity to remove debris; any heavy machinery that did exist was 

immobile due to impassible routes. The Ministry of Justice, Ministry of Finance, and 

Presidential Palace lay in shambles all within one square block. Visible destruction 

to these national institutions was only compounded by the absence of any tangible 
Akbari

286

response from the Government of Haiti. The quake wreaked havoc on indigenous, 

non-government relief capacity as well, leaving many victims to lie in the streets begging 

for assistance. “We do not even have hydrogen peroxide,” remarked a U.S. touristturned-aid provider (Goodman, 2010). Injured Haitians overwhelmed what few health 

facilities that still stood; field hospitals sprouted in lieu of structurally sound medical 

buildings. As stated by Adophe Reynald, top aide to the mayor of Port-Au-Prince, 

“for the moment, [it was] anarchy” (Jan 15 2010).

The Aftermath

As devastating reports arrived from Port-au-Prince, the international community 

snapped to attention. Many countries sent urban search and rescue (SAR) squads, 

with medical teams and equipment to follow. Médecins Sans Frontières (MSF) and the 

International Committee of the Red Cross (ICRC) scaled up some of their organizations’ largest responses to date. Emergency assessment teams gathered initial surveys 

of damage, displacement, injuries, and deaths, providing developing coordination cells 

with crucial situational awareness. In terms of financial resources, institutional donors 

noted Haiti’s heavy reliance on external assistance even before the quake. The UN 

Central Emergency Response Fund (CERF) allocated U.S.$10 million the day after 

the quake to jumpstart immediate relief efforts. Within 3 days of the initial earthquake, 

the Office for Coordination of Humanitarian Affairs (OCHA) announced a flash appeal for U.S.$575 million, U.S.$236 million of which was strictly for food aid; CERF 

also allocated an additional U.S.$15 million to the response. Another U.S.$33.5 million was allocated for logistics (OCHA 2010:b).

On the ground, surviving UN troops and personnel transitioned MINUSTAH’s 

existing logistics base (located near the international airport) into the central humanitarian coordination hub. The Base became the frenetic nervous center for the overall 

response, housing civilian NGOs, government officials, peacekeepers, and UN personnel that comprised various UN groups and joint coordination mechanisms. The 

humanitarian community used this platform to collaborate and develop initial strategic 

implementation plans for various sectors of the response. Despite suffering extensive 

damage, the Toussaint L’Ouverture International Airport in Port-au-Prince served 

as the second natural junction for coordination. The U.S. military assumed air traffic 

control duties within 24 hours of the quake, setting up a field hospital adjacent to the 

runway soon after. By January 15, over 180 tons of relief supplies lay on the tarmac 

with no proper machinery to offload and distribute cargo (OCHA 2010:c). Fuel supply was also starved, forcing ground control to dissuade pilots to land unless they were 

entirely self-sufficient (otherwise risk being grounded until more fuel arrived). The 

coordination of air traffic and aid distribution is traditionally a function of frequent, accurate communication between relevant players—air traffic control, supply managers, 

transporters, and recipient organizations. In Haiti, however, frayed telecommunication 

lines inhibited coordination efforts while obliterated road networks and local transit 

capacity further exacerbated any ability to respond or distribute aid. Transportation 
Communicating Through Logistics

287

within Port-au-Prince was equally difficult unless one had local knowledge of existing routes in order to navigate the unmarked, barely recognizable streets. In addition, 

only those organizations with abundant financial means were able to contract fleets 

of vehicles and drivers in spite of inflated costs.

Taking note of past humanitarian efforts in fragile situations, many within the 

community braced for a rapid decline in security. The UN mandated a “Phase III” 

security situation for all emergency operations in Haiti, requiring additional planning 

between civilian and military actors to ensure safe and secure aid distribution. Roughly 

3,000 troops and police remained in and around Port-au-Prince to “help maintain 

order and assist in relief efforts” (OCHA, 2010:d). Although many questioned the 

actual necessity of heightened precautions once on the ground, initial security requirements forced a complex operating environment for all sectors involved: humanitarian, 

military, media, and otherwise.

WFP Response: EMOP 200110—Haiti

WFP completed a rapid situational assessment within 48 hours of the disaster; an 

estimated 3 million were affected by the quake, 2 million of which required immediate food assistance (WFP 2010:d). On January 15, 2010, WFP issued Emergency 

Operation (EMOP) 200110 in Haiti. The emergency food assistance package called 

for 104,360 metric tons (mt) of food to be distributed to 2 million beneficiaries over 

the course of six months (WFP, 2010:e). 86mt of high energy biscuits (HEB) were 

immediately dispatched from a WFP satellite hub located in El Salvador, intended to 

sustain 30,000 people for seven days (OCHA, 2010:e).

The initial plan was to unfold the EMOP in three logistical phases. The first consisted of general food distributions (via NGOs) to all affected populations for a period 

of two months. Ready-to-eat meals and HEB were distributed at mobile distribution 

points; rations were given to those who could still cook (WFP, 2010:d). Initial food 

distribution efforts left many still waiting for food, often devolving the distribution 

effort into a “bloodsport” of sorts (WFP, 2010:d). After 2 weeks of initial distribution, 

a coupon-based system was instituted (Cave 2010). Each coupon was dated and signed, 

with elected local representatives shuffling between households to hand out individual 

vouchers to each family (Cave, 2010). The operation included 2 million beneficiaries 

from January to June 2010, reducing to one million thereafter. In phase II, distributions 

targeted the most vulnerable populations, including handicapped, women, children, 

and the elderly. Outlying populations in surrounding rural areas were included as well 

(WFP 2010:f). The third phase supported WFP Strategic Objective 3 to “restore and 

rebuild lives and livelihoods in post disaster or transition situations,” replacing General 

Food Distribution (GFD) with Food for Work (FFW) and Cash for Work (CFW) 

programs by March 2010 (WFP, 2010:f).
Akbari

288

Food Basket

Emergency humanitarian daily rations consisted of 15,400 mt of stock—7 days worth 

of high energy biscuits (HEB) and meals-ready-to-eat (MRE). The next 60 days scaled 

the general food distributions (GFD) to require 51,760 mt of food. An additional 

22,800 mt was allocated for the 500,000 most vulnerable beneficiaries while another 

14,400 mt were deemed part of Food for Work (FFW) initiatives, also targeting 

500,000 beneficiaries. The standard daily ration included cereals, pulses, vegetable oil, 

corn soya blend, and salt; rice and beans were added to distributed rations by February 

4 2010. The statistics presented heavily rely on information collected during the first 

two months of the operation, though current statistics supplement the data.

Budget

The initial cost of food amounted to U.S.$176 million; total operational costs were 

initially estimated at U.S.$71 million. A budget revision was adopted on 19 February 

2010 in order to support the extension of the operation until 31 December 2010. An 

additional 171.5 mt of food was requested, valued at U.S.$71 million (WFP, 2010:g). 

Another U.S.$158 million was delineated for support costs, bringing the total revised 

budget of WFP EMOP 200110 to over U.S.$475 million. Given the nature of crisis, 

various organizations” emergency funding mechanisms kicked in to provide immediate 

resources to aid providers. This helped sustain the immediacy and fluidity in response 

until formal operating budgets were allocated. International visibility and concern over 

the disaster essentially negated budgetary constraints (WFP, 2010:g). Simply put, the 

availability of funds was “immediate and massive” (WFP, 2010:h).

Implementing Partners and Beneficiaries

The earthquake launched a multipronged, multinational relief effort. The Government 

of Haiti was largely absent the first days after the quake. As documented in the technological community’s situational reports from the field, surviving government officials 

had minimal access to communication technology, naturally limiting their ability to 

properly govern (Beckman, 2010).

Officials who were able to quickly relocate did so and many of them who left the 

island entirely did so to attend various donor conferences and flash funding appeals, 

held at UN Headquarters in New York City and Montréal. As such, the communitybased organizations (CBOs) that still stood in country were a first line of response 

hours after the quake despite suffering severe damage to their capacities. Numerous 

expatriate organizations soon followed in country as part of the initial surge of relief 

provided during the month following the quake, providing search & rescue, trauma care, 

and emergency medical expertise to those most in need. Many countries also sent their 

military resources in a show of international solidarity. Though WFP was in charge of 

several main aspect of the response, the complexity of the disaster required the organization to work closely in conjunction with other UN organizations in order to properly 

coordinate efforts. Below is a sample of organizations included in the response.
Communicating Through Logistics

289

World Food Programme. WFP had conducted operations in Haiti since 1969. Prior 

to the quake, the organization had sub-offices and warehouses in Cap Haïtien, Gonaïves, 

Les Cayes, Jacmel and Port-au-Prince, with an additional 19 mobile storage units in PaP 

and another 13 spread throughout the country. Given the region’s natural proclivity 

for hurricanes, WFP operations built in components to bolster individual countries’ 

emergency response and disaster mitigation capacities. Its operations in Haiti directly 

supplement these priorities as recently as 2008. That season, four hurricanes—Fay, 

Gustav, Hanna, and Ike—battered the deforested countryside where nearly 1 million 

people resided. WFP initiated an emergency operation to provide food assistance to 

800,000 people (nearly 8 percent of the population) affected by subsequent flooding in 

the north (WFP, 2010:i). Though the relief chain for the 2008 EMOP was considerably 

smaller and less complex, it offered valuable experience to those organizing the response. 

A follow-on operation began in 2009, focussing WFP’s emergency operations into recovery and development efforts (WFP 2010:j). It was the emergency preparedness and relief 

component of this PRRO that was able to immediately provide operational funds once 

the 2010 earthquake struck, falling under the mandates to provide “flexible and adequate” 

relief to “populations affected by natural disasters and civil unrest” (WFP, 2010:k).

A total of 446 people staffed WFP operations between Haiti and the Dominican 

Republic, where the organization’s physical presence following the earthquake was 

seen as a cornerstone for the entire humanitarian relief effort. All food distribution 

plans were finalized with the Government of Haiti, local mayors, NGO partners, and 

WFP headquarters in Rome, Italy (WFP, 2010:d). In addition to organizing food 

distributions, WFP headed two other major UN clusters: logistics, and telecommunications. These clusters’ contributions included (but were certainly not limited to): 

emergency telecommunications services; cargo consolidation and preparation; customs 

information and expertise; coordination of common transport and storage; liaising 

with the Government of Haiti (civil police) and various military actors; and, information management to support logistical decisionmaking for a variety of implementing 

partners (UN 2010).

Other UN Agencies. The UN was deemed de facto leader of the response, specifically 

the Organization for Coordination for Humanitarian Affairs (OCHA) and designated 

representatives of the UN Secretary General.1

 As such, the vital role OCHA played in 

coordinating the complex humanitarian response should not be understated. The UN 

first served as a broker organization, filtering contributions from the international community to appropriate recipients, often via third parties. On the ground, MINUSTAH 

peacekeeping troops were some of the first responders on the scene. Their initial relief 

efforts were bolstered by the UN’s existing presence stationed in Haiti. Years of operational familiarity facilitated a relatively quick response in country despite devastating 

personnel losses. More importantly, UN Agencies’ breadth and depth of experience in 

crises helped develop an organizational framework for the entire humanitarian response. 

As WFP tailored its response to population distribution and demographics, it relied 

on the International Organization for Migration (IOM) for current information on 
Akbari

290

internally displaced persons (IDPs) clusters and camps. In addition, the UN Children’s 

Fund (UNICEF) and Population Fund (UNFPA) provided valuable information on 

neglected beneficiaries as well as updates on nutritional health. MINUSTAH’s former 

Logistics Base (located near the Port-au-Prince airport) was converted into the UN’s 

On-site Operations Coordination Center (OSOCC), serving as the launching point for 

multiagency information sharing, operational coordination, and collaboration. OSOCC 

is where Humanitarian Clusters met, each being led by a UN agency according to its 

sectoral expertise. Individuals from all levels of the response attended daily Cluster 

meetings. Although ad hoc by nature, some clusters established an inherent hierarchy 

in information dissemination. WFP, for example, established a paper-based and online 

food request system for organizations. During Food Cluster meetings, WFP gathered 

field reports from implementing partners, including missionaries, NGOs, peacekeepers, 

and UN officials. An informal set of best practices for distribution were subsequently 

developed and communicated to relevant parties.

Nongovernmental organizations. At the time of the quake, many international 

NGOs already had substantial operations on the ground. Consequently, the UNdesignated NGOs most familiar with the implementing environment to manage 

seven different geographic regions. Eventually, seven organizations—World Vision 

International, Samaritan’s Purse, Save the Children, GOAL, Agency for Technical 

Cooperation and Development (ACTED), International Federation of the Red Cross 

(IFRC), and Viva Rio—partnered together under the auspices of the UN in order 

to oversee and coordinate activities in their designated areas of responsibility. WFP 

specifically partnered directly with two NGOs, Handicap International and Atlas 

Logistique, for logistics and technical support. In addition to multinational NGOs, 

relief efforts tapped into the existing network of non-secular and/or indigenous organizations. One spillover effect of Christian missionaries’ longstanding ties to modern 

Haiti includes the sponsorship of various grassroots nonprofit initiatives. Many secular 

organizations (UN included) came to heavily rely on domestic missionaries and other 

faith-based community organizations. As in all humanitarian crises, secular and nonsecular CBOs played a crucial role in effectively connecting international organizations 

to affected populations. Without their guidance, it is unlikely that expatriates organizations could have executed their operations as swiftly and efficiently as they did.

United States Government. Upon hearing of the magnitude of the disaster, U.S. 

President Barack Obama dispatched an initial force of 3,500 soldiers to the region. A 

Joint Task Force (JTF) was stood up almost immediately, bringing all branches of U.S. 

military and civilian agencies under the leadership of the U.S. Agency for International 

Development (USAID) and tangentially, Special Operations Command (SOCOM) 

based out of Miami, FL. Operation Unified Response was augmented by the USS Carl 

Vinson aircraft carrier and the USNS Comfort, a 1,000-bed hospital ship based out 

of Baltimore, Maryland; both ships anchored just off the Port-au-Prince coast due 

to a badly damaged port infrastructure. By February 1 2010, JTF-Haiti had 22,000 

Servicemembers, 58 aircrafts, and 23 ships involved with the operation. Notable 
Communicating Through Logistics

291

contributions from the five-month long deployment include assuming air traffic 

control despite having no power to service the control tower or nighttime operations, 

providing security during food distribution, and supplementing telecommunication 

capabilities (Pan-American Health Organization 2010).

Beneficiaries. The earthquake obviously affected all demographics in Haiti –expatriates and citizens alike. Responders also had to account for the neglected beneficiaries 

(that is, women, children, and the mentally and/or physically handicapped), whose 

needs often become secondary concerns during moments of crises. While local capacity 

of all forms had to overcome myriad personal and communal challenges, the resilience 

and initial optimism of the Haitian population (despite the circumstances it faced) 

is an important factor to note. Local markets and private services did not skip a beat, 

providing a small sense of psychosocial and economic stability in a situation that was 

deteriorating otherwise. Some relief organizations also provided employment opportunities for locals, hiring survivors to help “restore a sense of pride” with “Haitians 

helping Haitians” (Fethiere, 2010).

Process Flow: Food Relief Supply Chain

Phase I—Procurement and Prepositioning

Haiti’s humanitarian process flow breaks down into two phases. The first traces goods 

from their international point of origin to Haiti proper. The second phase focuses on 

the last mile, detailing how food is distributed from the warehouse to the beneficiary. 

In order to mitigate sudden shocks to humanitarian relief chains, a diverse set of resources must be mobilized. This naturally requires multiple donors from many parts 

of the world to send cargo. In previous experience, Port-au-Prince served as WFP 

major staging area for these shipments. Most warehouses in the capital were deemed 

structurally unsound after the quake, leaving thousands of tons of food irretrievable. 

Furthermore, the airport was overwhelmed with cargo. Although Haiti normally had 

infrastructure to absorb ocean freight for imports, both ports in Port-au-Prince and 

Cape Haïtien were left completely inoperable.

Given Haiti’s crippled state of affairs, the majority of incoming aid was thus diverted 

to the Dominican Republic (DR) where the government there played a crucial role in 

coordinating the comprehensive response. In addition, WFP officially partnered with 

two NGOs, Handicap International and Atlas Logistique, for logistics and technical 

support. The Las Americas International Airport in Santo Domingo in the DR was 

designated as the primary point of entry by air for humanitarian goods. Santo Domingo 

thus became the international staging area for relief efforts. Santo de Barahona (183km 

west of Santo Domingo) served as an additional hub for passenger and cargo. Most of 

Barahona’s imports were directly flown to secure storage spaces outside Port-au-Prince, 

including WFP warehouses in Jacmel and Les Cayes. The remainder followed the same 

path as incoming goods from Santo Domingo.
Akbari

292

WFP worked in conjunction with the Dominican Republic’s Department of Civil 

Protection (DCP) to gather proper customs documentation in an effort to streamline 

customs procedures both in Santo Domingo and Haiti. The DCP eventually required 

all incoming cargo to have necessary documentation from Haiti upfront in order to 

affirm the prioritization of shipments. Once imports were processed, offloaded, and 

repackaged, they were forwarded from Santo Domingo along an interagency fleet 

of trucks provided by DR and managed by a team of logisticians from Handicap 

International/Atlas Logistique (Handicap International 2010); these 85 trucks (including approximately 50 off-road lorries) were the only ones designated to caravan 

from Santo Domingo to Port-au-Prince to deliver humanitarian aid. The cargo’s next 

stop was Jimani, DR, a border town 265 km west of Santo Domingo. Traffic averaged 

8 to 9 hours on the road, double the time it normally takes to travel the route. Located 

just 60 km outside PaP, Jimani immediately became the main artery into Haiti. Goods 

originating in Santo Domingo and Baharona arrived by land and air, where they were 

re-prioritized according to new demands from the field. MINUSTAH stationed 

a coordinator at the Jimani border crossing to help organize overland traffic. Once 

administrative and logistical details were settled, convoys traveled onward to PaP. 

Although traveling a short distance, convoys expected daily transit delays of nearly 

ten hours in weeks following the earthquake. U.S. military and MINUSTAH peacekeeping troops flanked traveling convoys, providing necessary security. The security 

requirement did add delivery delays. Upon eventual arrival to Port-au-Prince, goods 

were either directly forwarded to beneficiaries or transported to storage. Goods were 

taken to one of few secure drop-off points—a main warehouse, mobile storage units 

(MSU), or the airport. The main warehouse complex consisted of over 40 warehouses 

stocked with food and non-food items. MSUs were positioned near impromptu settlements throughout the city. Finally, the airport served as the major staging area for 

food deliveries. As road transport within town was nearly impenetrable, many raised 

concerns believing that slow moving delivery trucks would be prime targets for looting. 

In an effort to ensure the security of cargo in transit, additional security was sought 

from various countries’ militaries to flank incoming caravans.

Phase II—Last Mile Distribution

WFP worked in conjunction with NGOs, the U.S. military, MINUSTAH, and 

local manpower to coordinate the last mile of food distribution. The thought was 

once a demand from the field was confirmed, goods would be transported from one 

of three storage points onto smaller, more maneuverable trucks provided by partnered 

NGOs. NGOs would then go to one of 16 secure food delivery points set up within 

the immediate urban response area and distribute rations. At each distribution point, 

GFD were provided as a family ration for five members to eligible families living their 

communities or still in shelters (WFP, 2010:e).

WFP relied on NGOs to distribute food. The standing relationship NGOs had 

with affected populations helped ensure a smooth distribution process. This last mile 
Communicating Through Logistics

293

of delivery often came to a standstill, however, as distribution security became a nearly 

crippling concern (although in retrospect, many debate the necessity of these concerns). 

Basic security measures called for all emergency operations to be completed during 

daylight hours; this is standard for emergency humanitarian response. The UN’s 

heightened security mandate, however, dictated the need for additional security during 

all distribution efforts. While WFP had an advantage in that it could directly dispatch 

MINUSTAH troops to accompany distribution efforts, they were already stretched 

thin. The next source for security came from individual country’s military contingents. 

Formally requesting these resources did not result in their immediate availability, however, each country’s engagement of troops was contingent on gaining clearance from 

respective chains of command. This approval takes time to gain, as military standard 

operating procedure does not allow troops to participate on missions until adequate 

force protection is in place. The delays incurred while waiting for confirmation thus 

affected the entire supply chain. Even more, some militaries had little to no experience 

in humanitarian contexts. This left many NGOs at a crossroads: wait for potentially 

unseasoned military to receive go-ahead while people suffered or take a risk and continue distribution operations without “proper security”? (This decision point in the 

process flow is important to note as it is a critical topic to address in any discussions 

regarding civil-military relations during humanitarian response.) The experience of 

two groups, the Florida-based Pathfinders and the German Agency for Technical 

Cooperation (GTZ), help depict this last mile of distribution to beneficiaries.

After being tasked by WFP Deputy Country Director, Benoit Thiry, Pathfinders 

embarked on their first mass feeding operation in the densely populated IDP areas of 

Carrefor, followed by the Delmas 2 camps, Kenscoff, Petionville, and the Presidential 

Palace. Beginning January 21, 2010, the 8 person Pathfinder team coordinated over 

200 Haitians and 20 small dump trucks to distribute a total of 2,429,200 meal rations 

(483 tons) in 8 days; the team distributed an average of 300,000 meal rations per day. 

Despite having a large “logistics/distribution team,” the first phase of delivery was 

tense. The first day, it took Pathfinders over 4 hours at the WFP warehouses to load 

a fleet of trucks holding 70 tons of bulk food. For nearly 2 hours, the group, flanked by 

a personal team of 20 armed Haitian security personnel, distributed food to approximately 12,000 people. Local gangs quickly organized, however, inciting the crowd and 

overrunning the distribution base with gunfire erupting. Two armored UN Personnel 

Carriers plus a Haitian SWAT team were needed to evacuate the distribution team. 

Next, the U.S. military joined the Pathfinders for a joint distribution of AM radios 

and food. However, Pathfinders’ food supply ran out quicker than the radios leaving 

thousands still hungry and the Pathfinders with nothing to give.

Every daily distribution effort faced its own challenges, ending each time with a 

final five minutes of “organized chaos.” Distributions improved incrementally, however, with “Lessons Learned” reviewed every evening. Another massive distribution 

was pre-planned in conjunction with the U.S. military. The single, million meal ration 

distribution coordinated with the U.S. military “caused the only major failure” during 
Akbari

294

Pathfinders’ deployment (Lewis, 2011). This led the group to rejoin with UN Security 

forces, prompting a second phase of operations where Pathfinders were able to distribute 

food successfully to 12,000 people in two different IDP locations in under forty minutes. 

After the faulty distribution with the U.S. military, the group operationally revised tactics, enacting the termination model, which “avoid[ed] last minute food rushes as supplies 

dwindled” by organizing controlled, yet quick exits with the help of a large security team 

consisting of a UN Jordanian military platoon and ten Haitian National Policemen 

(PTF 2010). Pathfinders’ distribution crew required three people per truck on the 

feeding side with remaining crews channeling flow away from trucks, using strategically 

placed strands of barbwire for force protection. The team’s last model was mapped out 

in advance with planning assistance from a U.S. Air Force Colonel on special leave to 

assist Pathfinders. The successful distribution has since served as the team’s model for 

teaching purposes to emergency management groups throughout the United States.

An example of effective food delivery within the camps comes from GTZ, where 

the organization was operating in Léogane, Haiti—a town located 35km outside of 

PaP and largely neglected during the initial aftermath of the quake. By 22 January 

2010, the GTZ had an effort in place that included local administration, UN agencies, MINUSTAH troops, and Canadian military forces supporting emergency food 

distribution. GTZ worked with the WFP-led food cluster to direct its team to various 

locales, using emergency committees to determine best practices regarding distribution; 

it was quickly determined that women were the most reliable population group for 

food to be transferred as they would ensure the most effective and egalitarian distribution amongst family and surrounding neighbors. The month long effort involved the 

distribution of 135,860 reusable cardboard boxes that contained ten-days worth of 

rations apiece. Each ration contained 2,890-kcal which was one-third over WFP’s daily 

suggested amount of 2,100 calories. The total operation amounted to nearly 1,000 

tons of total food distributed, and over 100,000 assisted. GTZ was able to expedite its 

deployment as it already had an unrelated Haitian operation in place [GTZ-DETA] 

as well as offices in Dominican Republic. GTZ-DETA quickly transferred its staff 

(and their intellectual capital) to distribution efforts while GTZ offices in DR were 

used to procure and preposition assets (Metz, 2010).

Fundamentally, the operation exhibited effective communication, coordination, and 

interagency cooperation. Furthermore, GTZ had the added assets of immediately available human capital that had local familiarity with the operating environment, making 

logistical planning and distribution efforts much easier. Last, like the Pathfinders group, 

GTZ exhibited general awareness and responsiveness to changing priorities. In both 

cases, flexible staffs serve as the foundation for successful distribution efforts in the field.

Analysis

Inconsistent coordination and infrastructure left many victims (and the onlooking 

international community) questioning the relief effort’s actual effectiveness. Affected 

populations outside urban centers remained untended for weeks after the quake, for 
Communicating Through Logistics

295

example, leaving the majority of victims needs outside Port-au-Prince severely unmet. 

Many outside the operating environment blamed the UN Cluster System, stating it 

was incapable of properly coordinating and managing such a massive operation. As Sir 

John Holmes, head of UN OCHA, noted, an “uneven response in the month following the devastating January 12 earthquake [undercut] confidence in the UN’s ability 

to delivery vital assistance” (Lynch, 2010). Holmes specifically noted the “sluggish 

implementation of the ‘cluster strategy,’” an approach initially developed to mitigate 

conflicts between competing organizations (Lynch, 2010). The main point of concern 

lay with unequipped Global Cluster Lead Agencies, including lead coordinators who 

“struggled without the capacity required to coordinate efficiently the large number of 

partners involved in the operation” (Lynch, 2010).

As witnessed on the ground, the breadth of information flowing throughout the 

OSOCC was vast, while vertical communication from UN Cluster leads to the field 

(and all partners in between) was sometimes muddled and inconsistent. As previously 

noted, however, certain Clusters fared better than others. For the purposes of this 

study, focus will remain on the documented single humanitarian process flow of WFP 

rather than the overall response. From this analysis, however, a few obvious conclusions can be drawn that are relevant to the greater issues found during comprehensive 

approaches to humanitarian operations. This analysis should not be considered a 

definitive assessment of the Haitian disaster response, but rather as an impetus for 

future quantitative and qualitative analysis regarding humanitarian process flows.

Pipeline Breaks

The length of the supply chain in Haiti was long and complex. There were multiple 

points of entry for aid commodities, snarled transportation logistics, and a large yet 

disparate population of beneficiaries. Implementing partners each had their own 

logistical hindrances as well. Thus, bottlenecks occurred both in and out of country. 

Out of country, donors scrambled to prioritize funds and resources being sent to the 

small island nation. In country, ports were overrun, the airport overloaded, and roads 

nearly impassable. The airport, for example, became a major bottleneck in the initial 

humanitarian supply chain, forcing organizations to explore alternative ports of entry 

within the region. Initial delivery of aid was thus quite complicated, forcing the relief 

chain to rely on terrestrial routes originating in the Dominican Republic. While WFP 

had existing warehouses and emergency distribution points in Port-au-Prince, they 

were also badly damaged. In order to cope with inaccessible food stocks, the frequency 

of deliveries originating from Mobile Storage Units (MSUs) was increased, draining 

personnel and resources at an exponential rate. NGOs, those dedicated to the last 

mile of distribution, were also stretched dangerously thin. Limited situational awareness coupled with lack of transportation and communication capabilities made for 

extremely difficult coordination throughout, slowing down the process on the whole. 

Rapid ingenuity and adaptability were key to maintaining composure and keeping the 

operation afloat despite seemingly insurmountable challenges.
Akbari

296

Capacity

Initial operations benefited from enormous pledged budgets and a flood of human 

resources. On the ground, there was little implementation gap as creative accounting 

methods allowed organizations to quickly manipulate existing operational budgets to 

release emergency funds. Capacity was lacking in the execution of operations. For one, 

language barriers made initial situational assessments and coordination difficult. UN 

Cluster meetings were held in English, with no guarantee for drafted documents to 

be translated to French or Creole. In addition, the staffs of indigenous organizations 

were greatly affected by the quake, leaving a limited number of community-based 

organizations and experienced personnel available to help. Coincidentally, while some 

humanitarian crises see little outside intervention to supplement these losses, Haiti 

was overwhelmed by it. While the amount of expatriate responders may lead some to 

superficially assume adequate human capacity existed, the sheer number of disparate, 

inexperienced actors funneling in only complicated matters more. This quickly became a straining point for relief operations. Many arrived in Port-au-Prince without 

a specific mandate and little idea as to the best way to integrate into the response. 

Basic hindrances to transit and communication infrastructures also affected all workers, veterans or not. The logistical considerations of “redundant humanitarians” soon 

became more of a burden than a help. In one instance, a mother, her daughter, and two 

friends from Spain entered Haiti upon hearing of the quake; they were on journalistic 

assignment in Santo Domingo prior to the quake. They waited outside U.S. Embassy 

gates, the designated campsite for all U.S. Government personnel, hoping to find a 

place to sleep as they “felt unsafe” amongst the thousands of Haitians waiting outside 

the Embassy for consulate services. Ultimately, a unique exception was made and the 

independent Spanish contingent was allowed to camp on-site for one night, escaping 

the very people they came to help. Without a guided plan or purpose, such actors unnecessarily clogged the system, exponentially increasing the signal to noise ratio when 

attempting to match individual skill sets to need. Emergency operations obviously 

incur additional considerations and concerns. While in no way perfect, distribution 

to Internally Displaced Persons (IDPs) incorporated institutional knowledge regarding the safety of women, the maintenance of children’s nutritional standards, and the 

necessity of extra provisions for those who are mentally and/or physically handicapped 

fairly quickly into its standard operating procedures.

Case in point, although Haiti had large number of actors on the ground, the 

projected impact of their work was not indicative of their size. Even more, the percentage of effective capacity dwindled rapidly as opportunities for relief and recovery 

for humanitarian workers and their implementing partners was often overlooked. 

The depreciation of experienced personnel soon became one of the largest obstacles 

organizations came to face in weeks following the initial surge of response. This left 

organizations like WFP to continually filter their labor inputs, leaving a small number 

of experienced implementing partners once ineffective variables were weeded out.
Communicating Through Logistics

297

Inefficiencies in last mile distribution were more a result of the environmental 

context they were employed in. Emergency humanitarian response caters most readily 

to rural or inaccessible contexts as these regions most often do not have local capacity 

to respond themselves. Haiti was a completely different operating environment; the 

earthquake hit one of the most densely populated cities in the Western hemisphere. 

The sheer number of people affected, nearly as many as the 2004 Tsunami, was one 

obvious obstacle. Haiti’s despondent history also fed into a “victim’s narrative” that 

presumed a (false) helplessness among Haitians; this led many organizations to overcompensate their external response without thinking to integrate the preferences or 

knowledge of local populations. Furthermore, while government sponsored capacity 

may not have existed, a unique network of private service organizations did, thickening 

the web of considerations that go behind disruptive humanitarian aid and sustainable 

humanitarian assistance. Needless to say, the urban context only complicated the 

coordination efforts of “green” Cluster leads.

Mismanaged Coordination Efforts

In theory, the Humanitarian Cluster System is the UN’s attempt to develop a comprehensive approach to humanitarian operations. OCHA organized the system in an 

effort to bolster grassroots information gathering alongside multi- and interagency 

coordination at all levels. As previously alluded to, however, its execution often leaves 

much room for improvement in its ability to fully facilitate an effective, coordinated 

response. From a basic level, the Haitian iteration of the Cluster System, as shown in 

table 2, allowed individual organizations to voice opinions in a semi-organized manner while Cluster leads did a fare job utilizing what little resources they had to the 

best of their ability. While this many-to-one interaction took time to consolidate and 

decipher, the guaranteed flow of valued information under the Cluster tents helped facilitate in-person cross sector knowledge amongst those who needed it most. Although 

some believe this type of coordination can better occur through virtual means, in the 

absence of reliable communication systems person-to-person interaction remained the 

prevalent method of consistent, communication amongst humanitarian practitioners. 

The permanency of the Cluster System at UN OSOCC thus served as a physical and 

figurative point of collaboration for the entire response.

In terms of execution, most clusters gathered at least once a day during the initial 

weeks following the quake, though often meeting during competing time periods. 

Many individuals noted it was difficult to attend meetings as they were traveling 

long distances from different points within PaP, relying on broken roads and little 

geographical context to get there. In addition, cluster meetings overlapped, disallowing individuals (UN Cluster Leads included) to keep abreast of other relevant 

relief efforts. The Shelter Cluster lead, for example, could rarely (if ever) attend Food 

Cluster meetings despite the fact both groups held meetings mere meters apart. This 

negated numerous opportunities to utilize overlapping resources, especially in regards 

to storage or transportation. Under the tents, a Cluster meeting’s productive output 
Akbari

298

was merely a function of the personality leading the discussion. This obviously left a 

great deal of variability between each cluster. Some clusters, were relatively haphazard 

in organization or poorly attended until restructured. Other clusters, such as the Food 

[WFP] and Shelter [IOM] Clusters seemed adequately attended and coordinated, but 

again, limited “intercluster” coordination occurred. Even more worrisome, military personnel rarely integrated into Clusters’ discussions despite housing joint civil-military 

coordinating offices at the entrance of OSOCC.

Civil-Military Complications

When civilian and military actors are thrown into a high pressure environment, it 

takes time to normalize all working parts to a single operating pace. This was quite 

evident in Haiti.

The sheer number of personnel coupled with dissimilar operating procedures 

made for interesting coordination attempts. Existing organizational rifts between 

culturally distinct institutions further highlighted the political complexities of multinational disaster response.

Table 2. Cluster Leads in Haiti

Cluster Lead Organization

Food* WFP

Telecommunications WFP

Logistics WFP

Information management** Office for Coordination of Humanitarian 

Affairs (OCHA)

Camp Coordination/Management International Organization for Migration (IOM)

Shelter and Non-Food Items (NFI) IOM (in conjunction with IFRC)

Protection Office of the High Commissioner on Human 

Rights (UNCHR)

Children UN Children’s Fund (UNICEF)

Gender Based Violence UN Population Fund (UNFPA)

Health Pan-American Health Org (PAHO)/World 

Health Org (WHO)

Water, Sanitation, & Hygiene (WASH) UNICEF

Nutrition UNICEF

Education UNICEF

Early Recovery UN Development Programme (UNDP)

Agriculture* Food and Agriculture Organization (FAO)

*Food and Agriculture traditionally serve as a single cluster

**Information Management is an additional cluster

Source: OCHA (2010:f)
Communicating Through Logistics

299

It is no surprise that issues relating to civil-military relations quickly surfaced in 

Haiti. The response consisted of multiple militaries, each operating under a distinct 

set of defense structures and procedures from their home country. Others operated 

under a “warfighter” mentality, many of whom came to Haiti from battlefields in Iraq 

or Afghanistan. Understandably, the drastic change in operating environment required 

proper adjustment time—in a situation where time is a priceless commodity. Groups 

like the Pathfinders Task Force, for example, readily incorporated local Haitians in 

their food distribution efforts. For military just returning from conflict zones, the rapid 

incorporation of local civilian labor was met with suspicion and caution as their previous wartime operating environments taught many to decipher between benign civilian 

and insurgents. Some militaries were better accustomed to humanitarian response 

than others, however, appreciating the importance of a forward facing, civilian-led 

response. This was most often a result of previous experience on peacekeeping missions and other civilian-heavy operations. Each response organization had differing 

interpretations of threat levels as well. This led to mismatched expectations regarding 

what “necessary force protection” actually was.

Amongst the chaos, however, the experience spawned myriad doctrinal reviews 

and basic attempts to better coordinate practices before a disaster strikes. As noted by 

both civilian and military organizations, the foundation for better coordination relies 

on building dependable trust between entities prior to an urgent situation. Whether 

through shared situational experiences or joint academic research, the humanitarian 

response community will only benefit from sustaining dialogues with all active parts 

to a comprehensive approach, military included.

Conclusion

Since the response to the Haitian earthquake, the international community has 

taken note of the myriad hurdles involved with multiagency responses to natural (or 

manmade) disasters. Practitioners realize the critical importance of well thought-out 

logistics, realizing that some form of common operational understanding is necessary in 

order to get multiple actors and agencies onto the same page. This inherently requires 

the use of a common language that is applicable to all sectors: public or private, civilian or military. By detailing the logistics behind an individual humanitarian process 

flow, the logistics behind a single humanitarian process like food distribution can be 

used to elucidate what actually happens on the ground. One is of what actors and 

resources are required for the response itself. This information can then be expanded 

upon with further quantitative and qualitative analysis in forms of operations research 

or humanitarian policy review.

The general format of the presented study serves as an explanatory model to 

those new to the humanitarian operating environment. If humanitarian operations 

are broken into manageable pieces or “steps” as done in the private sector, it may assist 

relatively inexperienced implementing partners, like the U.S. military, in understanding what is actually occurring during a humanitarian operation. The discussion of 
Akbari

300

humanitarian logistics also opens opportunity for actors to determine appropriate 

stages for involvement within an existing humanitarian supply chain –procurement, 

prepositioning, delivery, or last mile distribution. The development of a process flow 

naturally does this, as the delineation of stakeholders as well as the underlying authorities and responsibilities of each is standard to the process.

The humanitarian community does not readily apply commercial supply chain 

management to humanitarian supply chains despite similarities in structure and execution. While third-party review and critiques of single organizations are essential 

to improving individual efficiencies, hopes to improve holistically logistical processes 

as disparate as those found within the humanitarian system require interdisciplinary 

analysis of various perspectives. This helps identify operational overlaps between sectors and address comprehensive issues for all involved. At best, this chapter serves as 

a catalyst for these emerging conversations, seeking to improve the operative aspects 

of existing and future humanitarian operations.

References

Anderson, B., (1999) Business Improvement Toolbox. Milwaukee: ASQ Quality Press.

Beckman, L., (2010) Technology Community Situation Report, 15 January 2010. 

Innovative Support to Emergencies Diseases and Disasters (InSTEDD) [Accessed 

17 August 2011].

Cave, D., (2010) Food Distribution Retooled; Americans Arrested. The New 

York Times. [Online]. 30 January 2010. Available from–http://www.nytimes.

com/2010/01/31/world/americas/31haiti.html?_r=1 [Accessed: 10 September 

2010].

Fethiere, Madame Josseline, to Scott Lewis. Memorandum regarding The Eagles Wings 

Foundation Response in Haiti, 29 January 2010. Minister of Commerce—Haiti.

Goodman, A., (2010) Democracy Now! 13 January 2010. Available: http://www.

democracynow.org/shows/2010/1/13 [Accessed: 10 September 2010].

Handicap International. (2010) Haïti. Available: http://www.handicap-international.

fr/en/discover-hi/around-the-world0/more-than-60-programmes-in-the/programs/

haiti-1/index.html?cHash=cf16e5cf9e. Last accessed: 3 Sept, 2010.

Handfield, R., (2002) Supply chain redesign: transforming supply chains into integrated 

value system. Upper Saddle River: Financial Times Prentice Hall.

Lewis, S., interview by the author, phone, February 27, 2011.

Lynch, C., (2010) Top U.N. aid official critiques Haiti aid efforts in confidential 

email. Foreign Policy [Online]. 17 February 2010. Available from http://turtlebay.

foreignpolicy.com/posts/2010/02/17/top_un_aid_official_critiques_haiti_aid_efforts_in_confidential_email [Accessed: 10 September 2010].
Communicating Through Logistics

301

Metz, M., (2010) Emergency Food Assistance in Haiti: Lessons Learnt from a 

Post Earthquake GTZ Operation in Leogane. Humanitarian Exchange Magazine. 

Humanitarian Practice Network, Overseas Development Institute. Available: http://

www.odihpn.org/report.asp?id=3143. Last accessed 23 October, 2010.

OCHA (2010:a) Situation Report No.3, 14 January 2010. Available: http://reliefweb.

int/sites/reliefweb.int/files/resources/FA90A2B033C89020852576AB007ABE33-

Full_Report.pdf [Accessed: 28 August 2010].

OCHA (2010:b) Flash Appeal,16 January 2010. Available: http://www.unicef.org/

infobycountry/files/Flash_2010_Haiti.pdf [Accessed: 28 August 2010].

OCHA (2010:c) Situation Report No.4, 15 January 2010. Available: http://www.

oneresponse.info/Disasters/Haiti/publicdocuments/OCHA%20Situation%20

Report%20No.4%20Haiti%20earthquake%2015%20Jan%202010.pdf [Accessed: 

28 August 2010].

OCHA (2010:d) Situation Report No.2, 13 January 2010. Available: http://oneresponse.info/Disasters/Haiti/publicdocuments/OCHA%20Situation%20Report%20

No.2%20Haiti%20earthquake%2013%20Jan%202010.pdf [Accessed: 28 August 

2010].

OCHA (2010:e) Situation Report No.1, 12 January 2010. Available: http://oneresponse.info/Disasters/Haiti/publicdocuments/OCHA%20Situation%20Report%20

No.1%20Haiti%20earthquake%2012%20Jan%202010.pdf [Accessed: 28 August 

2010].

OCHA (2010:f) Situation Report No.6, 17 January 2010. Available: http://oneresponse.info/Disasters/Haiti/publicdocuments/OCHA%20Situation%20Report%20

No.6%20Haiti%20-%2017%20Jan%202010.pdf [Accessed: 28 August 2010].

Pan-American Health Organization (2010) Situation Report, 12 January 2010. 

Available: http://www.ama-assn.org/resources/doc/global/haiti-paho-report1.pdf 

[Accessed: 10 September 2010].

PTF (2010) January Haitian Earthquake Response & Recovery After-Action Report. 

Available: http://www.theeagleswingsfoundation.org/PDF/Pathfinders_After_

Action_Report_032310.pdf [Accessed: 27 February 2011].

UN (2010) Logistics Cluster—Haiti Earthquake Operational Overview. 28 January 

2010. Available: http://www.logcluster.org/ops/hti10a/Logistics_Cluster_Haiti_

OPS_overview_100128.pdf/view [Accessed: 28 August 2010].

WFP (2010, a) Our Work, Available: http://www.wfp.org/our-work. Last accessed: 

3 Sept, 2010.

WFP (2010: b) Overview of Operations 2010, Available: http://one.wfp.org/appeals/

projected_needs/documents/2010/Overview.pdf.
Akbari

302

WFP (2010: c) Current Operations, Available: http://www.wfp.org/current-operations. Last accessed: 3 Sept, 2010.

WFP (2010:d) External Situation Report, 6 Mar 2010, Available: http://home.wfp.

org/stellent/groups/public/documents/newsroom/wfp214946.pdf.

WFP (2010:e) Emergency Operations 200110—Haiti: Brief. Available: http://one.

wfp.org/operations/current_operations/project_docs/200110.pdf.

WFP (2010:f) Emergency Operation 200110—Budget Revision 1. Available: http://

one.wfp.org/operations/current_operations/BR/200110_1002.pdf.

WFP (2010:g) Emergency Operation 200110—Budget Revision 2. Available: http://

one.wfp.org/operations/current_operations/BR/200110_1005.pdf.

WFP (2010:h) Haiti—Earthquake Emergency Response Brief, 19 April 2010. 

Available: http://foodcluster.wfp.org/c/document_library/get_file?p_1_id=12049

2&folderId=123877&name=DLFE-8564.doc.

WFP (2010:i) Emergency Operations Brief 10781.0. Available: http://one.wfp.org/

operations/current_operations/project_docs/107810.pdf.

WFP (2010:j) Haiti Emergency, World Food Programme. Available: http://www.

wfp.org/crisis/haiti. Last accessed: 23 September 2010.

WFP (2010:k) Country Background Objectives of WFP Assistance in Haiti (2010).

UNHCR/WFP (2008) Joint Assessment Mission (JAM) Guidelines. 2nd ed. UNHCR.

Notes

1. Most often referred to as “Special Representatives of the Secretary General,” or 

SRSGs.
303

Chapter 17

Summary of Conference 

Discussions and Conclusions

The topic of this conference: “Capability Development in Support of Comprehensive 

Approaches: Transforming International Civil-Military Interactions,” was chosen very 

carefully. For nearly a decade, and especially since 2006, NATO leaders have recognized the need to integrate all instruments of civil and military power better to achieve 

Alliance goals. However, an agreed definition of “Comprehensive Approach” has been 

elusive, a victim of conflicting visions among member states about the Alliance’s roles. 

The conference did not address these different interpretations, nor did it try to develop 

a new CA definition, but rather focused on capability development.

Experiences from many contingencies, from Stabilization and Reconstruction 

(S&R), to Humanitarian Assistance/Disaster Relief (HA/DR), to Building Partner 

Capacity (BPC), suggest that some capabilities for each of these missions have much in 

common, particularly with respect to interoperability and information sharing. These 

kinds of capabilities for Comprehensive Approach situations can be developed quickly, 

and at less cost than might be expected, partly because of the explosion of commercial 

capabilities that can be leveraged.

The diversity of the attendees at NATO Defense College contributed greatly to 

the richness of the conference and the discussion. There were representatives from 

5 of the NATO Centres of Excellence, 11 Alliance nations, and 2 partner nations—

Australia and Sweden. Fifteen papers were presented, with a sixteenth provided later.

These conference proceedings are structured in five related categories. (The structure is slightly different from the organization of the discussion panels, based on the 

results of the conference interactions, and related inputs.) They are:

•	 Concepts, Policy, and Organization;

•	 Technology;

•	 Leadership, Management, Education and Training;

•	 Integrated Approaches to Complex Operations; and

•	 Implementation of the Comprehensive Approach: Haiti as a Case Study.
 Summary of Conference Discussions and Conclusions

304

These categories are consistent with the observations of the International 

Transformation (ITX) Chairs Network that real transformation needs to involve 

co-evolved change among people, processes, organization and technology.

At the end of the conference, several attendees had a chance to visit the Allied Joint 

Force Command Naples (JFC NP) to understand NATO’s Libyan operations better 

(Operation Unified Protector). This visit had a significant impact on their thinking, 

and is reflected in this summary.

Introduction

The NATO Defense College Commandant, Lieutenant General Wolf-Dieter Loeser, 

German Army, welcomed the attendees. Brigadier General Jose Manuel GarciaFontecha, Portuguese Air Force, Head of the Joint Synchronization Execution 

Branch at JFC NP delivered the keynote address. He set the tone for the conference 

by highlighting the need for NATO to organize capabilities for Comprehensive 

Approach missions and confirmed that a major challenge has been to define what 

the Comprehensive Approach is, since the application of the concept depends on its 

definition. NATO needs to organize its capabilities in order to perform its missions, 

and to be able to work with civilians and partner nations. Political will is essential and 

the task is harder when support levels differ among Alliance members. He identified 

four main tasks concerning the implementation of a Comprehensive Approach (CA):

•	 Planning and Conduct of Operations;

•	 Lessons Learned, Education and Exercises;

•	 Enhancing the Cooperation with External Actors;

•	 Public Messaging.1

Concepts, Policy and Organization

Panelists and discussants repeatedly stressed the importance of political leadership, 

and the need to coordinate civilian and military resources, even as they acknowledged 

the problems of stovepipes and the lack of a common understanding of the CA within 

the Alliance. As noted in the opening section, and in various papers, there are at least 

four concepts associated with CA:

•	 An externally driven CA, led by an international political entity

•	 An Alliance-wide CA, focused on interoperability

•	 National-level activities requiring “whole-of-government” or similar 

approaches

•	 Sub-Alliance-wide activities, such as at operational headquarters.

U.S. experiences over the past decade show why the Comprehensive Approach 

is important. It became clear in 2003 in Iraq that there was not only a shortage of 
Summary of Conference Discussions and Conclusions

305

inter-agency and international coordination, but also an overwhelming imbalance 

between military and civilian capabilities. This led to the formation of the Department 

of State’s Coordinator for Reconstruction and Stabilization (S/CRS), and the development (over several years) of a deployable Civilian Response Corps (CRC). However, 

despite high level policy support, implementing the CRC within the U.S. government 

has been a challenge.

Britain sees the development of an effective Comprehensive Approach capability 

as being a long-term interest. This requires that the concepts and doctrine underpinning such cross- government efforts be able to generate resources rapidly and use them 

efficiently. It also requires political will and strategic patience. To these ends, a United 

Kingdom definition of CA was offered as:

the generation, provision and application of security, governance and development services, expertise, structures and resources over time and distance most 

usually in partnership with host nations, host regions, allied and partner governments and partner institutions, both governmental and non-governmental.

The inclusion of the phrase “security, governance and development services” is 

important, as it goes beyond the narrow definition of Comprehensive Approach as 

only applying to “security.” This broader definition also is consistent with Sweden’s 

Cold War-era view of “Total Defence” as “close civil-military coordination of planning 

and operations at every societal level” and its current involvement in various forms of 

peacekeeping. Australia also interprets Comprehensive Approach broadly, including 

the capabilities needed to respond to natural disasters, conflicts, and to build stability 

and prosperity in its region.

Irrespective of the definition chosen for Comprehensive Approach, support to 

integrated approaches is seen as providing benefits since:

•	 It is likely to lead to increased efficiency and effectiveness in resource 

expenditures;

•	 The self-interest of organizations is facilitated by cooperative interaction;

•	 The benefits of working with others (usually) exceed the costs.

Based on those assumptions, a working definition of CA as a change management 

process was suggested (emphasis added): The CA is a design process to align incentives

among international and local actors to increase local resilience in the engagement 

space while reducing the transaction costs associated with multiple actor interactions in 

complex operations.

Change management is revisited below in the context of Leadership, Management, 

Education and Training.

In sum, the United States and some other nations have begun taking action to 

increase deployable civilian capacity, while NATO has not moved beyond inventorying a list of national capacities.
 Summary of Conference Discussions and Conclusions

306

Technology

A recurring theme at the conference was the need to balance today’s needs against 

future demands, recognizing the challenges posed by the rate of accelerating technological change. Technology itself is neutral. It can contribute to disruptive change 

(instantaneous information, global awareness/accountability, differential adoption 

rates) as well as to solutions to emergent problems (through transparency and the integration of multiple efforts/capabilities). It can be used by allies and adversaries alike.

Some kinds of technology offer the Alliance a chance to acquire and field capabilities 

relatively quickly that could be useful for Comprehensive Approaches. For example:

•	 Leveraging commercial developments to prepare organizational decisionmaking to adapt to the velocity and volume of information generated by social 

media, the 24-7 news cycle, and crowdsourced products such as open source 

Geospatial Information System (GIS) tools. A model called “Crowd, Bridge, 

Transaction, Feedback” was introduced that could be used by both civil and 

military organizations.

•	 Making use of the NATO Consultation, Command and Control Agency 

(NC3A) to promote “bottom up” (vice “top down”) approaches to achieve 

interoperability through the capability development process. This includes 

matching operational scenarios with required interoperability solutions and 

later supporting them by existing and jointly developed expertise in NC3A.

•	 Combining social media with open source information management systems, especially for humanitarian logistics. An example was offered called 

“Knowledge Banking” which can enable public-private mobilization and supply chain management during a crisis. This approach makes use of systems 

people already understand (like Facebook and Wikipedia), is low cost, easy 

to use, and bridges the gap between commercial enterprises and social media.

NATO needs to move away from stand-alone systems toward those that can be 

used by diverse participants. Interoperability with the EU as well as non-traditional 

coalition partners is important, and will become more so. But technology alone is not 

enough. The human element is vital as social networks are developed and trust built. 

High level policy and doctrine must be converted into effective field operating procedures. Legal and regulatory constraints must be understood, and resource streams 

developed. Importantly, training, exercises and education must be combined to change 

behavior to get to true lessons learned. All these are prerequisites if technology is to 

be an effective enabler

Although the conference focused mainly on information technology, there are five 

other great technological revolutions underway that also can affect the Alliance: biotechnology, nanotechnology, robotics, alternatives to hydrocarbons, and socio-cognitive 

science. Alliance leaders need to understand how “info-bio-nano-robo-hydro-cogno” 

are likely to interact in ways that could impact the Comprehensive Approach. 

For example, deployable renewable energy, unmanned Intelligence Surveillance 
Summary of Conference Discussions and Conclusions

307

Reconnaissance (ISR) systems, and a better understanding of how the brain makes 

decisions all could enhance Alliance CA capabilities. But since these were not discussed 

in depth in Rome, this shall be a topic for another time.

Leadership, Management, Education, and Training

Comprehensive Approaches demand well-organized business and leadership strategies, as well as the management of expectations and a shared understanding of 

common interests. A problem with transformative environments is that organizational 

leadership strategies rarely match their business strategies. The absence of an agreed 

definition compounds the uncertainties in Comprehensive Approach environments. 

Nonetheless, three leadership strategies were suggested:

•	 Boundary Spanning—building cross-organizational approaches to develop 

more interdependent organizations and networks of organizations to facilitate knowledge-sharing;

•	 Forging Common Ground—linking people and bridging groups, as well as 

crafting common purpose and shared identity;

•	 Discovering New Frontiers—bringing multiple groups together in new 

directions, advancing interdependence.

Beyond leadership, the Comprehensive Approach demands change management, 

which includes transition management—bringing people along on an emotional journey. It is important to know who the stakeholders are, and what their expectations 

are, before trying to convince them that change is necessary. A sense of urgency often 

is important—is there a “burning platform” to drive the need for change? Too often, 

Comprehensive Approach now happens by serendipity, with the right people being 

in the right place by chance. How can these personnel assignments and transition 

management be done more predictably and systematically?

A significant problem is that there are few key performance indicators to measure 

progress and organizational effectiveness. Moreover, cultural and behavioral changes in 

military (and civilian) organizations often take longer than the 2- to 3-year lengths of 

normal leadership tours (some estimated that serious organizational change takes 7-10 

years). This is only compounded in the case of coalitions, and the lack of coherent, long 

term leadership has become an inherent danger that could undermine the Alliance.

Defense academic institutions ought to be able to help build continuity, but their 

ability to adjust quickly, incorporate lessons learned from recent operations, and avoid 

acting as stovepipes or cultural filters was questioned. Education and training for 

Comprehensive Approach environments needs serious attention (taking advantage 

of new learning concepts and free training events such as Exercise 24).

Capability development depends on learning how to operate in each other’s 

environments. Training and education must be as comprehensive as the approach; 

multiple organizations should be included, gender and cultural awareness need to 

be embedded, rather than treated as stand-alone issues. A suggestion was made to 
 Summary of Conference Discussions and Conclusions

308

embed nongovernmental organizations (NGOs) in the military’s training and education (which is being done in the Philippines), and to hold the military accountable 

for working with them effectively. Opportunities for education exchanges should be 

increased, recognizing that civilian agencies often are not staffed to support extended, 

out-of-office schooling.2

 Planners should be educated to understand not only their 

own nation’s whole-of-government approach, but also how to interface with the other 

members of Comprehensive Approach coalitions.

A final point concerns “lessons learned.” Lessons are not learned until behavior 

actually is changed. This means that trainers must be trained, units exercised and 

education adapted to place the lessons in a more strategic context and institutionalize 

the new thinking. Without these steps, lessons will be observed, and then re-observed, 

and then re-observed again, for behavior will not have changed.

Integrated Approaches to Complex Operations

Government organizations, military and civilian, will never have enough people or 

resources to accomplish their missions alone in Comprehensive Approach environments. It is thus imperative that a mix of business, government and civil society be 

engaged. International Organizations (IOs), NGOs, private voluntary organizations 

(PVOs), etc. will play important roles (and many can bring significant resources), so 

it will be important to learn how to work with them. In the Swedish case (but rarely 

elsewhere), NGOs are considered the “third tribe of peacekeepers” (the military and 

civilians being the other two) and their leadership has been promoted to public positions by the government. There are cultural differences, and reservations on all sides 

about working together, but isolation is not an option today if anyone is to achieve 

their goals in Comprehensive Approach environments.

The importance of information and communication strategies, and the related 

Information & Communication Technology (ICT) infrastructures, was reemphasized 

consistently. If the Alliance and its partners are to achieve the political, social and economic goals for which their military forces have been committed, they must be able to 

communicate, collaborate, translate and engage with the populations they are trying 

to influence. Local governments need to be empowered along with local organizations, 

and long term solutions must be sustainable by indigenous people with their resources 

in ways that are consistent with their cultures. Information and communication can 

enable such engagement—they enhance situational awareness and transparency. 

However all levels need to be engaged: senior leadership, support staff, and outside 

stakeholders, keeping in mind the always-uneasy balance between transparency and 

security, recognizing that what works in one place (e.g., Afghanistan) may not be applicable elsewhere (e.g., Libya). Furthermore, the kinds of comprehensive engagement 

demanded by Comprehensive Approaches need to be tied into national and Alliance 

strategy and need support of political leadership. They cannot be considered “nice-tohave” adjuncts to the “kinetic” phase of an operation.
Summary of Conference Discussions and Conclusions

309

The potential of humanitarian logistics to serve as a unifying force arose on several 

occasions. Not only does it provide invaluable services—transactions that make a difference to people on the ground—but logistics also lends itself to systematic thinking 

and structured analysis that can help bridge cultural divisions.

Haiti as a Case Study

Haiti may seem an unusual choice for case studies in a conference on NATO’s 

Comprehensive Approach, but it actually provided a set of important lessons that 

can apply to any complex, civil-military environment. The examples re-emphasize 

the importance of transparency and communication. The value of pre-crisis planning, 

mutual training and exercising is shown again and again. Long-standing exercises such 

as Sweden’s Viking and the U.S. Southern Command’s FAHUM (Fuerzas Aliadas 

Humanitarias) can help mitigate many of the natural organizational and cultural frictions in Comprehensive Approach environments.

Haiti shows clearly that all the tasks necessary for crisis management cannot be 

done by a single entity (i.e., military) and that bringing in other stakeholders is necessary to close that gap. Participants must include local populations, relief workers of 

all stripes, civilian and military actors from diverse backgrounds. Communication 

and having the right information to make informed assessments across joint and 

combined interfaces is key. But Haiti also shows the difficulties of restoration when 

communications and the very structures of society are profoundly disrupted. Different 

organizations will apply their own priorities, often without realizing how much they 

are offending or disrupting those who should be allies in a common cause.

Conclusion

Actions in several areas could lead to “quick wins” for the Alliance at relatively little cost.

Concepts, Policy and Organization

Likely NATO missions, such as HA/DR and peacekeeping will require capabilities 

that are similar to those needed by missions with more “security-related” functions. 

It is unlikely that the Comprehensive Approach definition or doctrine questions will 

be resolved soon, but dual use capabilities can help to bridge real world gaps, and fit 

within conceptual, policy and doctrinal frameworks. As Chuck Barry has written:

NATO’s initial focus in the CA area has been on Stabilization and Reconstruction 

(S&R), to emphasize civil-military cooperation as it pertains to military-centered 

operations, especially ISAF-PRTs, NRF [NATO Response Force] planning, 

etc. There has been a general attitude that maybe the “rest” (HA/DR, BPC, 

etc.) should come later. However, ... maybe we should consider flipping it–if it’s 

easier to co-operate on HA/DR, maybe that paves the way toward cooperation 

on the harder operations. The basic CA premise is applicable to any operation: 

the military alone cannot solve the problem or at least should not be attempting to 

solve problems that civilian agencies/NGOs are designed and funded to perform.
 Summary of Conference Discussions and Conclusions

310

Technology

Four “quick wins” in technology were discussed:

•	 Tapping into the capabilities of the open source/open standards knowledgesharing community could provide the Alliance a rapid payoff as it did for 

USSOUTHCOM in Haitian earthquake relief. This could contribute to all 

four of the key areas above, quickly, and at minimal cost. Some approaches 

are outlined in a short paper called “From Haiti to Helmand,” which includes 

a simple engagement model called “Crowd, Bridge, Transaction. Feedback, 

Channel”3

 that could be used by disparate organizations (operational headquarters, national actors, civilian partners, etc.), and tailored to their needs.

•	 Expanding the ability of NATO organizations to internalize ways to manage the velocity and volume of information generated by the 24x7 news cycle 

and social software

•	 Taking advantage of technical capabilities within the Alliance, like NC3A, 

emphasizing the importance of “bottom-up” approaches.

•	 Making use of commercial integration.

These need to be complemented by other steps discussed earlier: Developing social 

networks and building trust, linking policy and doctrine to field operating procedures, 

understanding legal and regulatory constraints, identifying resource streams, and 

training, exercises and education.

Leadership, Management, Education and Training

Leaders need to build a sense of urgency around the Comprehensive Approach and 

pursue some of the boundary-spanning approaches that were discussed. Change 

management processes need to be included in Comprehensive Approach preparations. 

Research is needed on metrics. Education and training need to prepare leaders for a 

future filled with complexity, chaos and surprise. The Alliance should make use of 

exercises like Viking and X-24.

Integrated Approaches

Engagement with local actors is important. NATO’s adoption of such approaches, 

inside ISAF, within Europe for disaster relief or exercises, in far-flung maritime environments, or elsewhere, could be a “quick win” for the Alliance, at virtually no cost. 

It also would align with the Secretary General’s challenge of “Managing Security in a 

Globalised World.”4

Similarly, in response to terrorist incidents, energy security issues, or even cyber 

attacks, the ability to leverage Social Software could be an important source of understanding for the Alliance (consider the use of Twitter in the Mumbai attacks, or 

Facebook in the counter-FARC campaign in Colombia), recognizing that Europe’s 

privacy laws and cultural concerns have to be taken into account. This is not an area 

where the Alliance is likely to be comfortable, but proficiency could be valuable.5
Summary of Conference Discussions and Conclusions

311

The Civil-Military Cooperation (CIMIC) Center of Excellence (CCOE) has been 

working with the International Transformation (ITX) Chairs network to develop 

innovative Comprehensive Approach initiatives. This should be leveraged.

Other national models, such as UK or Sweden, may be valuable.

Use humanitarian logistics as a unifying principle that takes advantage of ICT.

Comprehensive Approach capability development will not be accomplished 

quickly, but useful capabilities can be provided faster that many realize. None of the 

above recommendations is very expensive, and could be implemented while the broader 

questions are being worked out.

Conference participants were encouraged to continue their discussions after the 

session ended to define further the problems regarding the Comprehensive Approach, 

and develop solutions. Attendees have resources that can be leveraged, starting with 

a bottom-up approach to inform and educate others within own organizations and 

units. National participants can help incorporate Comprehensive Approach concepts 

into national planning and inputs to the Alliance.

NATO Libyan Operations and the Comprehensive Approach

Operation Unified Protector is being conducted in accordance with United Nations 

Security Council Resolutions 1970 and 1973. These authorize the maritime embargo, 

no-fly zone, and protection of civilians, but not any broader operations. NATO authorities are concerned about what kind of CA will be authorized now that combat 

operations have ended, who will lead it (UN? AU? EU?), and what kind of support 

NATO will be asked to provide.

Notes

1. Some sources also include Stabilization and Reconstruction under the “main tasks” 

(see NATO homepage on Comprehensive Approach: http://www.nato.int/cps/en/

natolive/topics_51633.htm), but these were not part of NATO’s mandate in Libya 

under UNSCRs 1970 and 1973, which was JFC NP’s main focus.

2. As someone noted, the military is like a fire department—they spend most of their 

time in the firehouse, train, rush out, put out fire and return. Civilians are more like 

the police, constantly deployed or doing their jobs at headquarters. In any case, there’s 

not much time built into civilian organizations for training.

3. www.star-tides.net/node/641.

4. SecGen speech at Lisbon on July 2, 2010, http://www.nato.int/cps/en/natolive/

opinions_64814.htm.

5. Nik Gowing, in “Skyful of Lies” and Black Swans (Oxford: Reuters Institute for the 

Study of Journalism, 2009) discusses “the new tyranny of shifting information power in 

crises” and the need for government organizations to use social software to gain much 

better situational awareness, and to respond more quickly under stress.

313

About the Authors

Rosa Akbari is a research assistant at the Naval Postgraduate School. She helps 

coordinate RELIEF, a quarterly field experimentation event that tests humanitarian 

technologies for emergency and first-responders. Rosa is also acquiring a Master’s in 

Stabilization and Reconstruction from the National Security Affairs department of 

NPS. She earned her undergraduate degree from McGill University in Montréal, 

Québec, with a major in Political Science and minor in Economics (BA, Dec 2008). 

In January 2010, Rosa was sent to Haiti as part of a six-person integrated civil-military 

team. The NPS research group was charged with providing basic communication 

capabilities to various governmental and nongovernmental entities, both on the 

ground and aboard the USNS Comfort. As a Department of Defense civilian, she had 

prime opportunity to wade through the intersection of the military, government, and 

nongovernmental organizations, informally liaising between United Nations clusters 

and U.S. Government personnel. Her experience in Haiti catalyzed interests in humanitarian logistics and interagency collaboration. In June 2010, Rosa visited Sahrawi 

refugee camps located in western Algeria. She monitored humanitarian operations 

within the camps, specifically focusing on food delivery systems during slow onset 

crises. Her proposed thesis topic highlights this experience, outlining the development 

of Western Saharan civil society absent of a state. Outside of the classroom, Rosa 

participated in model United Nations, serving as Director-General for the National 

High School Model United Nations Conference in 2009. Since moving to California, 

Rosa continues her commitment to MUN, volunteering as a coach for a nascent high 

school model UN program; the team took its first trip to the UN in March 2011. 

Rosa was born and raised in Columbia, South Carolina, by two wonderful Iranian 

parents—Farideh and Darush.

Dr. Torsten Björkman is a senior management consultant and evaluator and professor emeritus of leadership at the Swedish National Defence College. At the college, 

Björkman has had numerous assignments, including head of the Department of 

Leadership. He also is professor emeritus in work sciences from the Swedish Royal 

Institute of Technology and has an educational background from the University 

of Uppsala with a Ph.D. in sociology. His most recent assignment is an ongoing 

comparative organizational analysis of the military headquarters of the Nordic countries—Norway, Denmark, Sweden, and Finland.
 About the Authors

314

Dr. Ralph Doughty is Professor and Chair of Interagency and Multinational Studies 

at the U.S. Army Command and General Staff College at Fort Leavenworth, Kansas. 

He holds a Ph.D. in Mechanical Engineering from the University of Alabama, and is 

a retired U.S. Army major general. He was president of a civilian consulting company 

in the U.S. for 10 years prior to returning to Fort Leavenworth.

Dr. Henrik Friman is a professor and research director at Swedish National Research 

Agency. He has a scientific background, with a Ph.D. in strategic management from 

Stockholm University, School of Business. Dr. Friman is an army reserve officer with 

multiple command assignments. He is a fellow of the Swedish Royal War Academy 

and holds a professorship at the U.S. Naval Postgraduate School Center of Innovation 

and Experimentation.

Dr. John P. Geis II (Col, USAF) is the director of the Air Force Center for Strategy 

and Technology and is an associate professor of international security studies at the 

Air War College. Colonel Geis’ career spans the fields of fighter, training, education, 

and special operations. Colonel Geis has an undergraduate degree in meteorology, 

three Master’s degrees in the social sciences, and a Ph.D. in political science from the 

University of Wisconsin.

Wing Commander Neville R. Gregory joined the Royal Australian Air Force as an 

Education Officer in 1985 after completing ten years as a secondary school teacher 

in South Australia. Following various college, base and headquarters training and 

education appointments, WGCDR Gregory completed the RAAF Command and 

Staff Course in 2000. He was appointed as the Commanding Officer of the RAAF 

School of Management and Training Technology in 2003. WGCDR Gregory holds 

a Bachelor of Science (Mathematical Sciences), a Graduate Diploma of Teaching, a 

Graduate Diploma in Distance Education, and a Master of Defence Studies.

Colonel Ted Hailes (Ret., USAF) retired from the U.S. Air Force in 1996 and is 

currently the transformation chair at the Air University, an Air War College faculty 

member, and cofounder of the Center for Strategy and Technology. His research is 

focusing on accelerating technological change. On active duty, he flew fighter aircraft 

and had multiple command and staff positions. Civilian education includes a B.A. in 

European history and a M.S. in international relations.

CDR Michael Hallett is a staff officer at NATO’s Supreme Allied Command 

Transformation (ACT). His duties include strategic policy, concept and doctrine 

development, and he is currently focused on comprehensive approach related issues. 

From 2008-2010 he worked at ACT supporting NATO and partner nations with 

defense transformation through enhancing military lessons learned capabilities. 

Previous assignments include tours with the International Security Assistance Force 
About the Authors

315

Headquarters CJ9 in Kabul, with Commander Naval Forces Europe-Commander 

Sixth Fleet Operational Net Assessment directorate as an Africa and Black Sea region analyst, and with the Civil-Military Interaction core team at Allied Command 

Transformation. CDR Hallett has diplomas from the U.S. Naval War College and 

Joint Forces Staff College, in addition to a collaborative MA in International Relations 

and an MA in Philosophy from the University of Toronto. He is a Ph.D. candidate in 

philosophy at the University of Toronto. Recent publications include articles in Armed 

Forces Journal, the Joint Warfare Centre’s Three Swords Magazine, Small Wars Journal, 

U.S. Naval Institute Proceedings, Renewable Energy, the Joint Center for Operational 

Analysis (JCOA) Journal, Croatian Military Magazine, Bulletin of “Carol I” Romanian 

National Defence University and a chapter on concept development in Transforming 

Defense Capabilities: New Approaches for International Security.

Dr. Grant Hammond is Deputy Director, Center for Strategy and Technology, U.S. 

Air University. He was recently dean of the NATO Defense College in Rome, Italy. 

With a B.A. degree from Harvard, and a M.A. and a Ph.D. from Johns Hopkins 

University, he has spent 20 years in professional military education (U.S. Air War 

College, Center for Strategy and Technology). The author of numerous articles, book 

chapters, and U.S. Government studies, he has published three books and specializes 

in the fields of strategy, international security, future conflict, and adaptive learning.

Ambassador John E. Herbst is Director, Center for Complex Operations at the 

National Defense University. Ambassador Herbst brings over 30 years of career 

experience in the Foreign Service at the Department of State where he holds the 

rank of Career Minister. He spent four years as Coordinator for Reconstruction and 

Stabilization (S/CRS) at the U.S. Department of State. He was instrumental in the 

launch of the Civilian Response Corps. The Corps, which is now over 1,000 members 

strong, boasts representatives from an unprecedented number of civilian U.S. government agencies. Ambassador Herbst helped to create the International Stabilization 

and Peacebuilding Initiative (ISPI) with 14 bilateral and five multilateral partners 

focused on improving the effectiveness of stabilization and peacebuidling operations 

through enhancing civilian capability globally. Ambassador Herbst assumed the role 

of U.S. Ambassador to Ukraine in May 2003. While serving the embassy, he worked 

to enhance U.S.-Ukrainian relations and to help ensure the implementation of a fair 

Ukrainian presidential election. He was witness to the Orange Revolution while in 

Kyiv. Prior to that, Ambassador Herbst was the U.S. Ambassador to Uzbekistan, 

where he played a critical role in the establishment of an American base to help conduct 

Operation Enduring Freedom in Afghanistan. He also promoted improved U.S.-Uzbek 

relations, in part by encouraging the government in Tashkent to improve its human 

rights record. Ambassador Herbst has previously served as U.S. Consul General in 

Jerusalem; Principal Deputy to the Ambassador at Large for the Newly Independent 

States; and the Director of the Office of Independent States and Commonwealth 
 About the Authors

316

Affairs. He has been presented with both the Presidential Distinguished Service 

Award and the State Department’s Distinguished Honor Award.

Dr. Richard L. Hughes is the transformation chair at the U.S. Air Force Academy. 

He was head of the academy’s Department of Behavioral Sciences and Leadership 

for 10 years, and before becoming the transformation chair in 2007, he served for 12 

years with the Center for Creative Leadership. His research interests include strategic 

leadership and organizational culture change, and he is senior author of a widely used 

university textbook on leadership, and coauthor of a book on strategic leadership. He 

has a Ph.D. in clinical psychology from the University of Wyoming.

Colonel Hans-Jürgen Kasselmann is the Director of the Civil Military Co-operation 

Centre of Excellence (CCOE) in Enschede, The Netherlands since 18 June 2009. 

Previous to this assignment he was the Deputy Director and Chief of Staff of the 

CCOE. From February 2008 until July 2008 he had an assignment in the Regional 

Command North in Afghanistan working as Branch Chief in the CJ9 CIMIC section. 

In October 2004 he became the division head of the RSC division within the 1 GE/

NL Corps. During the NRF 4 stand-by period of the 1 GE/NL Corps he acted as 

Commander RSC in the exercise NOBLE JAVELIN on Fuerteventura and in the 

exercise IRON SWORD in Norway. In these exercises the RSC was responsible for 

the real live “Reception, Staging and Onward Movement Process” for up to 5,500 

soldiers and 2,700 vehicles. On 1 April 2005 he was promoted to Colonel during the 

exercise NOBLE JAVELIN on Fuerteventura. In July 1972 he joined the Federal 

Armed Forces as an officer candidate of the supply corps and was subsequently trained 

as supply officer. In September 1976, he graduated from the Bundeswehr University 

Hamburg with an academic degree in economics. Following the promotion to First 

Lieutenant he held various posts in the army supply corps, namely as teacher for officer 

candidates at the Army Ordinance School in Bremen, as platoon leader in the supply 

company 130 in Wetzlar and as company commander in the Supply Battalion 10 in 

Sigmaringen. In September 1986, he graduated from the 27th Command and General 

staff officer course at the Command and Staff College in Hamburg. General staff assignments as G4 of the 21st Armoured Brigade Augustdorf, G3 Operations of the 7th

Armoured Division in Unna and Arms Control Officer at SHAPE in Mons/Belgium 

followed. In October 1992 he assumed the post of the commander of the Supply 

Battalion 1 in Hannover and was promoted to Lieutenant Colonel. After two years he 

took up the position as principal staff officer for movement and transportation of the 

Federal Armed Forces Staff in the Ministry of Defence in Bonn. This was followed 

by an assignment as Branch Chief CIMIC at the Multinational Corps Northeast in 

Szczecin/Poland. Thereafter he was appointed Study Officer in the newly founded 

Federal Armed Forces Centre for Transformation in Waldbröl, being responsible for 

the reorganisation of the Federal Armed Forces master planning process.
About the Authors

317

Ms. Elizabeth Lape serves as the Lead of the Joint Education Coordination branch for 

DDJ7 JCW. Ms. Lape completed a 23 year career in the United States Navy after serving in a wide variety of shore management and joint billets retiring as a Joint Specialty 

Officer. Raised in Indiana, she graduated from the Purdue University NROTC 

program where she earned her Bachelor’s Degree in Organizational Supervision and 

Management. Leadership tours included Assistant Officer in Charge of the Personnel 

Support Detachment, Naval Station Norfolk; Officer in Charge of the COMSEC 

Material Issuing Office; and as the Executive Officer for the Navy Recruiting District 

Ohio. Entering the Civil Service in 2009, Ms. Lape worked in Doctrine and Education 

Group of the Joint Warfighting Center/JFCOM J7 as the Chief of the Education/

Individual Training Branch. Her responsibilities include coordinating Individual 

Training efforts through the certification of institutional and online course as Joint, 

and influencing the professional military education community through participation in the Military Education Coordination Council related efforts. She is currently 

a PhD student in the Higher Education Administration program at Old Dominion 

University.

Commodore Richard T. Menhinick joined the Royal Australian Navy in January 

1976. After graduating in 1980 he undertook practical sea-training culminating in the 

award of his Bridge Watchkeeping Certificate in 1982. Postings such as Aide-de-Camp 

to the Governor of Tasmania, Assistant Warfare Officer in HMAS DERWENT and 

Air Intercept Controller in HMAS PERTH followed. In 1987 he undertook the 

Principal Warfare Officer’s course. He then served on exchange at sea in the Royal 

Navy for two years in HMS CARDIFF. This posting to the UK included a deployment to the Persian Gulf as part of the “Armilla Patrol” monitoring Iran and Iraq. 

On return to Australia he served in HMAS BRISBANE in the 1990/91 Gulf War. 

After this he spent two years as Fleet Direction Officer at Maritime Headquarters 

in Sydney, prior to being appointed as Executive Officer of the destroyer HMAS 

HOBART from 1993-1995. On promotion to Commander he was posted firstly 

as head of the Operational Design Group at the Navy Combat Data System Centre 

and then as Deputy Director Surface Warfare Development at Australian Defence 

Headquarters. Commander Menhinick assumed Command of the new Anzac frigate 

HMAS WARRAMUNGA on 24 January 2000. Following promotion to Captain 

he became Director of the Sea Power Centre, Australia in February 2002. He then 

commanded the Anzac frigate HMAS ANZAC from December 2003 to December 

2005. After this he served as Chief of Staff to the Vice Chief of the Defence Force and 

Chief of Joint Operations throughout 2006 before being promoted to Commodore and 

posted as Director General Military Strategy in Strategic Policy Division in December 

of that year. In November 2008 he became DG Navy Transformation and Innovation 

leading the New Generation Navy Initiative. He was appointed Commander of the 

Combined Task Force 150 in the Middle East Area of Operations from December 

2009 to April 2010 and Commandant of the Australian Command and Staff College 
 About the Authors

318

in May 2010. He holds a Bachelor of Arts Degree, majoring in International Relations 

and Strategic Studies, and a Master’s Degree in Maritime Studies.

Professor Derrick J. Neal is professor of defence strategic change with Cranfield 

University at the Defence Academy of the United Kingdom. He has an engineering 

background with a Ph.D. in fluid mechanics and an M.B.A. from Cranfield University. 

Professor Neal has 20 years of industrial experience in a variety of roles and has been 

at Cranfield University since 1998. He teaches, researches, and publishes in the areas 

of strategic/change management within a defense context.

Mr. Terry J. Pudas is Deputy Director and Senior Research Fellow at the U.S. 

National Defense University Center for Technology and National Security Policy, 

where his work is focused on transformation and related national security issues. In 

September 2001 he was appointed the deputy director of the newly created Secretary 

of Defense Force Transformation Office. He retired from the U.S. Navy in September 

2001 with over 32 years of service after serving as the deputy and executive assistant to 

the president of the Naval War College in Newport, Rhode Island. He was designated 

a naval aviator in May 1971 and served in numerous fighter squadrons.

Mr. Ted Rybeck, Chair and CEO of Benchmarking Partners, has led Benchmarking 

Partners since founding the firm in 1994. Rybeck is best known for spearheading WalMart’s successful Internet-based collaboration system with its trading partners—a 

system that evolved into the first major standard for business-to-business Internet 

commerce. As part of the Benchmarking Partners team, Rybeck has supported supply and demand chain initiatives for more than 700 multinational manufacturers, 

distributors, retailers, government organizations, non-profits, utilities, healthcare institutions, financial services firms, and technology providers. Outside of Benchmarking 

Partners, Rybeck co-created and taught a graduate course on Value Networks and 

Championship Mobilization at MIT, the University of Pennsylvania’s Wharton 

School, and the University of Chicago. In conjunction with the U.S. Department 

of Defense and U.S. Department of Homeland Security, he also chairs a Security 

Best Practices Committee of international leaders from the public and private sector. 

Rybeck’s honors include a Kittredge Award for analysis of the relationship between 

technology, company organization, and return-on-investment; a Thomas Watson 

Foundation Fellowship based at IBM-Düsseldorf; and an appointment by the nonpartisan U.S. Congressional Office of Technology Assessment to its review panel on 

electronic commerce and the Internet.

Dr. Velizar Shalamanov assumed the post of Director Sponsor Account–NATO 

and Nations at the NATO C3 Agency in July 2009, leading the development of 

C4ISR projects for NATO Nations and Partner countries, Alliance bodies and other 

international organizations, providing interoperability, coherence and best value for 
About the Authors

319

money in a timely manner. From September 2001 to July 2009, Dr. Shalamanov 

held various positions in the Bulgarian Academy of Sciences as advisor on National 

Security and Defence to the Chairman of the Academy, Head of C4 Department and 

Joint Training Simulation and Analysis Center. In addition he served as a member 

of the NATO Science Committee’s Human Security Dimension Panel, a member 

of the International Advisory Board of Geneva Center for Democratic Control 

of Armed Forces and a member of European Security Research and Innovation 

Forum, Chairman of Integrated Emergency Management and Critical Infrastructure 

Protection panel of National Civil Protection Scientific Coordination Council. In 

the period 1998-2001, Dr. Shalamanov was Deputy Minister of Defence for Policy, 

Planning and Integration, responsible for Defence reform and NATO integration. 

He was a member of the Interagency NATO Integration Council, Security Council 

of the Government and Head of the Interagency Situation Center. Previous to that 

Major Shalamanov served for 14 years in the Armed Forces: C4 Institute, Intelligence 

and Electronic Warfare Division of the Main HQ of the Land Forces.

Colonel Jon Stull is an Associate Professor of Transformation and Interagency 

Initiatives with the Joint Forces Staff College (JFSC) of the National Defense 

University located in Norfolk, Virginia. He is a graduate of Colgate University and 

holds advanced degrees from Salve Regina College and the United States Naval War 

College. Professor Stull is a retired Colonel after 30 years in the United States Marine 

Corps.

Dr. Linton Wells II is the Director of the Center for Technology and National 

Security Policy (CTNSP) at National Defense University (NDU). He is also a 

Distinguished Research Professor and serves as the Transformation Chair. Prior to 

coming to NDU he served in the Office of the Secretary of Defense (OSD) from 1991 

to 2007, serving last as the Principal Deputy Assistant Secretary of Defense (Networks 

and Information Integration). In addition, he served as the Acting Assistant Secretary 

and DoD Chief Information Officer for nearly two years. His other OSD positions 

included Principal Deputy Assistant Secretary of Defense (Command, Control, 

Communications and Intelligence-C3I) and Deputy Under Secretary of Defense 

(Policy Support) in the Office of the Under Secretary of Defense (Policy).

This book integrates papers and discussions from the 

Second International Transformation Conference in Rome, 

Italy, on June 22–23, 2011. The conference was hosted by 

the North Atlantic Treaty Organization (NATO) Defense College 

and co-sponsored by Allied Command Transformation and the 

International Transformation Chairs Network.

In 2008, NATO agreed to develop and implement a 

Comprehensive Approach to address international security 

challenges involving civil and military actors. The growing 

importance of the Comprehensive Approach in NATO, 

and complex operations in individual nations, shaped the 

conference agenda and papers. The papers are grouped in 

five categories associated with the Comprehensive Approach: 

Concepts, Policy, and Organization; Technology; Leadership, 

Management, Education, and Training; Integrated Approaches 

to Capability Development; and Case Studies.

The conference provided valuable insights into how to 

organize capabilities in support of Comprehensive Approach 

situations, and it is hoped that this book will help the Alliance 

as it moves forward in an increasingly complex environment.