Defense Institution Building in Africa An Assessment Michael J. McNerney, Stuart E. Johnson, Stephanie Pezard, David Stebbins, Renanah Miles, Angela O’Mahony, Chaoling Feng, Tim Oliver C O R P O R A T I O N For more information on this publication, visit www.rand.org/t/RR1232 Library of Congress Cataloging-in-Publication Data is available for this publication. ISBN: 978-0-8330-9240-3 Published by the RAND Corporation, Santa Monica, Calif. © Copyright 2016 RAND Corporation R® is a registered trademark. Cover: U.S. Air Force photo by Staff Sgt. Christopher Ruano. Limited Print and Electronic Distribution Rights This document and trademark(s) contained herein are protected by law. This representation of RAND intellectual property is provided for noncommercial use only. Unauthorized posting of this publication online is prohibited. Permission is given to duplicate this document for personal use only, as long as it is unaltered and complete. Permission is required from RAND to reproduce, or reuse in another form, any of its research documents for commercial use. For information on reprint and linking permissions, please visit www.rand.org/pubs/permissions.html. The RAND Corporation is a research organization that develops solutions to public policy challenges to help make communities throughout the world safer and more secure, healthier and more prosperous. RAND is nonprofit, nonpartisan, and committed to the public interest. RAND’s publications do not necessarily reflect the opinions of its research clients and sponsors. Support RAND Make a tax-deductible charitable contribution at www.rand.org/giving/contribute www.rand.org Preface Many African governments are beset with challenges stemming from fragile security environments and governance institutions. The U.S. Department of Defense identifies building strong defense institu- tions as a priority for the region. Defense institution building (DIB) includes activities that promote effective, accountable, transparent, and responsive defense institutions. This report assesses U.S. DIB efforts in Africa and provides insights on possible improvements to planning and execution. This research was sponsored by the U.S. Department of Defense and conducted within the International Security and Defense Policy Center of the RAND National Defense Research Institute, a federally funded research and development center sponsored by the Office of the Secretary of Defense, the Joint Staff, the Unified Combatant Com- mands, the Navy, the Marine Corps, the defense agencies, and the defense Intelligence Community. For more information on the RAND International Security and Defense Policy Center, see www.rand.org/nsrd/ndri/centers/isdp or contact the director (contact information is provided on the web page). iii Contents Preface ............................................................................. iii Figures and Tables ...............................................................vii Summary .......................................................................... ix Acknowledgments .............................................................. xxi CHAPTER ONE Introduction ....................................................................... 1 Purpose .............................................................................. 1 Background: What Is DIB and Why Is It Relevant to Africa? ............... 2 Approach ............................................................................ 5 How This Report Is Organized ................................................... 6 CHAPTER TWO DIB Best Practices and Their Relevance to U.S. Strategic Objectives in Africa ......................................................... 9 DIB: History and Purpose ........................................................ 9 DIB Lessons from Recent History ..............................................18 How Is DIB Relevant to U.S. Strategic Objectives in Africa? ...............21 CHAPTER THREE DIB Programs in Africa: Challenges and Responses .....................25 From DIB Guidance to Execution: The Roles of OSD, AFRICOM, and African Partners .........................................................25 Identifying DIB Programs Applicable to Africa ...............................31 A Structured Approach to Partner Country Selection ........................51 Conclusion ........................................................................ 60 v vi Defense Institution Building in Africa CHAPTER FOUR Two Africa Case Studies ........................................................61 Liberia Case Study ............................................................... 64 Libya Case Study ..................................................................81 CHAPTER FIVE Findings and Recommendations ..............................................95 Findings and Recommendations from Our Review of DIB-Related Best Practices and Official Guidance for Africa ..........................95 Findings and Recommendations from Our Review of DIB Programs in Africa .......................................................... 97 Findings and Recommendations from Liberia and Libya Case Studies ....................................................................... 100 Findings from Analysis of AFRICOM Assessment Process, Regional Centers, and U.S. Allies ................................................... 101 Conclusion ....................................................................... 103 APPENDIXES A. AFRICOM Assessment Process .......................................... 105 B. DoD’s Regional Centers as DIB Providers ............................ 109 C. Allied Experience in DIB ................................................. 119 Abbreviations ................................................................... 157 Bibliography .................................................................... 161 Figures and Tables Figures 2.1. Security Sector Governance: SSR/DIB Interaction ..............12 2.2. Three Main Types of DIB Efforts ..................................15 2.3. U.S. DIB Objectives Serve as Stepping Stones to Other Strategic Objectives ................................................. 23 3.1. African Governance Scores .........................................55 3.2. Map of Northern and Western African Governance Scores ................................................................. 56 A.1. FY 2012–2016 AFRICOM Planning and Assessment Process ............................................................... 106 Tables 2.1. Africa-Related Documents Surveyed ..............................21 2.2. U.S. Strategic Objectives for Africa ............................... 22 3.1. Resources Dedicated to AFRICOM Activities ...................29 3.2. Number of Global and Africa-Relevant DIB Programs According to Type of Activities ................................... 34 3.3. Africa-Relevant Defense Management (Type 3) Programs .....35 3.4. DIRI Country Engagements FYs 2012–2014 ....................37 3.5. DIILS Country Engagement, by Fiscal Year .....................39 3.6. U.S. States and African Partner Nation .......................... 42 3.7. Africa Military Education Program Country Engagements, FYs 2013–2015 ..................................... 43 3.8. Comparison of DEEP and AMEP ................................ 44 3.9. Africa-Relevant Defense Education (Type 2) Programs ....... 44 3.10. Programs with a DIB Component for Regions Other than Africa ............................................................52 vii viii Defense Institution Building in Africa 3.11. Risk Spectrum, by Country Category .............................57 3.12. IIAG Governance Categories .......................................58 3.13. IIAG Governance Categories: Scores by Country ...............59 B.1. Comparison of the Regional Centers and DIB Programs (DIILS, DIRI, MoDA) ............................................ 113 C.1. Structural and Operational Cooperation ....................... 124 C.2. French Security Cooperation Activities of Relevance to DIB .................................................. 125 C.3. Specialties and Locations of the 16 ENVRs .................... 126 Summary Defense institutions play a critical role sustaining military forces and ensuring that those forces are accountable to and supportive of civilian institutions. Any country can find sustaining such institutions a chal- lenge, but the challenge is particularly acute for many African nations, where democratic governance, economic and social well-being, and security, as well as the resources to address these issues, can be lim- ited or simply not exist. Such challenges notwithstanding, the 2014 Quadrennial Defense Review noted that, in Africa, “there is also sig- nificant opportunity to develop stronger governance institutions and to help build professional, capable military forces that can partner with the United States to address the full spectrum of regional security challenges.”1 This report assesses U.S. efforts in defense institution building (DIB) in Africa and suggests possible improvements to planning and execution. It first defines DIB and reviews some best practices from DIB and security sector reform (SSR) experiences. It also highlights how DIB activities serve U.S. official strategic guidance for Africa. The report then examines how DIB is currently planned and executed in Africa and describes the range of programs that are available to U.S. planners for that purpose. It also provides a structured approach to aid in the prioritization of such programs. The report