STABILITY OPERATIONS AND STATE-BUILDING: CONTINUITIES AND CONTINGENCIES Colloquium Report Dewey A. Browder Colloquium Organizer Greg Kaufmann Editor October 2008 Visit our website for other free publication downloads http://www.StrategicStudiesInstitute.army.mil/ To rate this publication click here. This publication is a work of the U.S. Government as defined in Title 17, United States Code, Section 101. As such, it is in the public domain, and under the provisions of Title 17, United States Code, Section 105, it may not be copyrighted. ***** The views expressed in this report are those of the authors and do not necessarily reflect the official policy or position of the Department of the Army, the Department of Defense, or the U.S. Government. 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ISBN 1-58487-364-7 ii CONTENTS Foreword ...................................................................................... v Introduction ............................................................................... .ix How America Realigns Itself to the Current Geostrategic Landscape Thomas P. M. Barnett .............................................................1 Panel 1. INTELLECTUAL AND CULTURAL FOUNDATIONS .......................................................... 3 The Enlightenment Quest for Peace Richard P. Gildrie.................................................................... 3 Ethical Principles for State-Building Jordy Rocheleau......................................................................18 State-Building and the Double-Edged Sword of Religion Albert B. Randall .................................................................. 33 Panel 2. HISTORICAL EXAMPLES ...................................... ..59 State-Building in Post-World War II Germany Dewey A. Browder................................................................ 59 Planning for Reconstruction and Transformation of Japan after World War II Peter F. Schaefer and P. Clayton Schaefer.............................69 Panel 3. POSSIBLE MODELS .................................................. 89 Postwar Nation-Building Peter F. Schaefer ....................................................................89 What To Know Before You Go: 10 Questions To Ask Before, and During, a Mission Marc W. D. Tyrrell .............................................................106 Learning from the Past and Leaning Forward: Principles for Action in Undertaking Complex Activities James J. Carafano............................................................ 166 iii Economic Empowerment Tasks for Stability Operations George S. Dunlop................................................................ 180 Panel 4. CHALLENGES OF ACTUALITY ..........................215 Tailoring a U.S. Embassy for Stability and Reconstruction Operations Glen A. Crowther……........................................................ 215 Managing Provincial Reconstruction Activities Raymond A. Millen .......................................................... 230 KEYNOTE: THE FUTURE OF GLOBAL TERRORISM John Robb ............................................................................249 CONCLUSION Dewey A. Browder.............................................................. 253 Appendix I: Roster of Participants and Specialties ............255 Appendix II: Initial Submitted Lists of “Principles to Win the Peace” .................. 257 Appendix III: Breakout Groups’ Results ..............................261 Appendix IV: Final Plenary-Approved List of “Principles to Win the Peace” ..................263 Appendix V: Policies and Procedures Underpinning the Principles ....................................................265 Appendix VI: Colloquium Presenters, Speakers, and Moderators ..............................................267 iv FOREWORD State-building is nothing new for the U.S. military. The current age of state-building may be traced back at least to U.S. involvement in the various Balkan conflicts. But with the advent of the Global War on Terror and the subsequent interventions in Afghanistan and Iraq, the U.S. military, especially the Army and the Marines Corps, has been faced with an unprecedented challenge to reestablish entire countries and rebuild their institutions. It is no secret that our forces have suffered through a significant learning process to achieve the success and continued movement towards functioning states which currently marks our involvement in Iraq and Afghanistan. With the publication of Department of Defense (DOD) Directive 3000.05, Military Support for Stability, Security, Transition, and Reconstruction (SSTR) Operations, in November 2005, the Defense establishment addressed this area of state-building and stability operations. The process of arriving at this point, however, indicates that no consistent view of the state-building mission area exists as yet. The Strategic Studies Institute’s collaboration with Austin Peay State University allowed for academics, governmental and nongovernmental practitioners, and military personnel to step back and review the entire spectrum of state- building needs as theorized and practiced by modern societies. Uniquely, this colloquium began with a review of principles from the Enlightenment period, philosophy, and religion to identify those enduring intellectual and cultural foundations which underpin the successful establishment of the modern Western world as we know it today. Then, by examining historical examples of successful state-building, the panelists engaged pos- v sible models, policies, and procedures which can contri- bute to the success of this mission area. Finally, select- ed military experts, with knowledge and experience in the two theaters, addressed the challenges our forces face in Iraq and Afghanistan. The colloquium was capped by a future-oriented presentation on global terrorism and the challenges to be expected in the future. Next the attendees worked through an exhaustive list of possible principles to win the peace. Over 70 principles were nominated. Six principles which the group believed capable of guiding future state-building activities were identified. Interestingly, in the process of refining these principles, the group also identified 15 specific policies and procedures which will serve to assist in implementing the principles. Two keynote speakers, Thomas P. M. Barnett and John Robb, acted as “bookends” for the colloquium. Barnett opened the event with a futures-oriented presentation spanning multiple levels of interpretation, such as economic, social, commerce, and military. Robb, as the concluding speaker, limited his presentation to the future of global terrorism. The elements of his presentation provided the attendees with alternative models of possible future terrorist activity and means for mitigating such activity. Both speakers provided attendees a substantive framework in which to place the results of the colloquium. This volume contains the full range of intellectual theorizing, historical examinations, and practical en- gagement challenges which were so richly presented. In addition, the appendices contain not only the final principles, policies, and procedures determined by the plenary, but also the full list of nominated principles with which the attendees worked. The Strategic Studies vi Institute and Austin Peay State University are pleased to offer this important compilation of knowledge on the most immediate challenge facing our forces in Iraq and Afghanistan today. DOUGLAS C. LOVELACE, JR. Director Strategic Studies Institute vii INTRODUCTION During February 13-15, 2008, the Strategic Studies Institute and Austin Peay State University conducted an academic colloquium titled, “Stability Operations and State-Building: Continuities and Contingencies.” The event took place on the campus of Austin Peay State University in Clarksville, TN. The purpose of this academic colloquium was to identify principles and supporting policies of state-building that will enhance America’s ability “to win the peace” while stabilizing chaotic regions. Basic to the concept of the colloquium was the idea that just as there are acknowledged principles of war that enhance the possibility of victory on the battlefield, there should be principles that, if applied during the state-building process, will enhance the chances of “winning the peace.” The idea that principles should comprise the foundation of state-building and that supporting policies and procedures then flow from those principles was fundamental to the colloquium’s process. The participants included scholars from a wide range of