Security Cooperation: Joint Publication 3-20

Joint Publication 3-20
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Security Cooperation
23 May 2017
PREFACE
1. Scope
This publication provides joint doctrine for planning, executing, and assessing security
cooperation activities.
2. Purpose
This publication has been prepared under the direction of the Chairman of the Joint
Chiefs of Staff (CJCS). It sets forth joint doctrine to govern the activities and performance
of the Armed Forces of the United States in joint operations, and it provides considerations
for military interaction with governmental and nongovernmental agencies, multinational
forces, and other interorganizational partners. It provides military guidance for the exercise
of authority by combatant commanders and other joint force commanders (JFCs), and
prescribes joint doctrine for operations and training. It provides military guidance for use
by the Armed Forces in preparing and executing their plans and orders. It is not the intent
of this publication to restrict the authority of the JFC from organizing the force and
executing the mission in a manner the JFC deems most appropriate to ensure unity of effort
in the accomplishment of objectives.
3. Application
a. Joint doctrine established in this publication applies to the Joint Staff, commanders
of combatant commands, subordinate unified commands, joint task forces, subordinate
components of these commands, the Services, and combat support agencies.
b. The guidance in this publication is authoritative; as such, this doctrine will be

followed except when, in the judgment of the commander, exceptional circumstances
dictate otherwise. If conflicts arise between the contents of this publication and the
contents of Service publications, this publication will take precedence unless the CJCS,
normally in coordination with the other members of the Joint Chiefs of Staff, has provided
more current and specific guidance. Commanders of forces operating as part of a
multinational (alliance or coalition) military command should follow multinational
doctrine and procedures ratified by the United States. For doctrine and procedures not
ratified by the US, commanders should evaluate and follow the multinational command’s
doctrine and procedures, where applicable and consistent with US law, regulations, and
doctrine.
For the Chairman of the Joint Chiefs of Staff:
KEVIN D. SCOTT
Vice Admiral, USN
Director, Joint Force Development
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Preface
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TABLE OF CONTENTS
EXECUTIVE SUMMARY .................................................................................................v
CHAPTER I
SECURITY COOPERATION IN STRATEGIC CONTEXT
 Introduction ................................................................................................................. I-1

 Security Cooperation Purposes ................................................................................... I-2
 Security Cooperation and the Instruments of National Power.................................... I-4
 Strategic Direction and Guidance ............................................................................... I-5
 Security Sector Assistance and United States Foreign and Defense Policies ............. I-6
 Theater Strategy and Estimate .................................................................................... I-9
 Internal Defense and Development ........................................................................... I-10
 Information Sharing and Foreign Disclosure ............................................................ I-11
CHAPTER II
SECURITY COOPERATION RELATIONSHIPS
 Introduction ................................................................................................................II-1
 Security Cooperation Related Activities and Operations ..........................................II-1
 Security Cooperation and Joint Operations ...............................................................II-9
 Security Cooperation Authorities and Programs .....................................................II-14
 Security Cooperation Roles and Responsibilities ....................................................II-15
CHAPTER III
SECURITY COOPERATION PLANNING
 Introduction .............................................................................................................. III-1

 Security Cooperation Planning Characteristics ....................................................... III-5
 Theater-Wide Security Cooperation Planning ....................................................... III-10
 Identifying Resources and Authorities................................................................... III-16
 Timeline for Funding and Authorities ................................................................... III-18
 Interagency Coordination....................................................................................... III-22
 Execution Authorities and Approvals .................................................................... III-23
CHAPTER IV
SECURITY COOPERATION EXECUTION
 General ..................................................................................................................... IV-1

 Services .................................................................................................................... IV-2
 Combatant Commands ............................................................................................. IV-3
 Service Component Commands ............................................................................... IV-5
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CHAPTER V
SECURITY COOPERATION ASSESSMENT, MONITORING, AND
EVALUATION
 Introduction ............................................................................................................... V-1

 Initial and Follow-On Assessment ............................................................................ V-2
 Monitoring ................................................................................................................ V-4
 Functional Evaluation ............................................................................................... V-4
 Operation Assessment ............................................................................................... V-5
 Assessment, Monitoring, and Evaluation Considerations ........................................ V-7
APPENDIX
A Security Cooperation: Related Programs and Authorities................................ A-1

B Security Force Assistance..................................................................................B-1
C Notional Security Cooperation Activity Checklist ............................................C-1
D References ........................................................................................................ D-1
E Adminstrative Instructions ................................................................................ E-1
GLOSSARY
Part I Abbreviations, Acronyms, and Initialisms .............................................. GL-1

Part II Terms and Definitions ............................................................................. GL-5
FIGURE
I-1 Interagency Coordination Processes for Security Sector Assistance

and Integrated Country Strategy Objectives ............................................... I-8
II-1 Notional Operations Across the Conflict Continuum ................................II-8
III-1 Security Cooperation Planning Framework ............................................. III-9
III-2 Notional Timeline for Security Cooperation Planning
and Execution ......................................................................................... III-19
A-1 Security Cooperation Categories with Related Programs
and Authorities .......................................................................................... A-2
B-1 Security Force Assistance Coordination ....................................................B-2
B-2 Executive, Generating, and Operating Functions.......................................B-6
B-3 Security Force Assistance Activities ........................................................B-10
B-4 Foreign Security Force Assessment (Workflow) .....................................B-17
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EXECUTIVE SUMMARY
COMMANDER’S OVERVIEW
• Presents Security Cooperation in Strategic Context
• Describes Security Cooperation Relationships
• Covers Security Cooperation Planning
• Explains Security Cooperation Execution
• Discusses Security Cooperation Assessments
Security Cooperation in Strategic Context
Security cooperation (SC) provides Security cooperation (SC) encompasses all

ways and means to help achieve Department of Defense (DOD) interactions,
national security and foreign policy programs, and activities with foreign security
objectives. forces (FSF) and their institutions to build
relationships that help promote US interests;
enable partner nations (PNs) to provide the US
access to territory, infrastructure, information,
and resources; and/or to build and apply their
capacity and capabilities consistent with US
defense objectives. It includes, but is not limited
to, military engagements with foreign defense
and security establishments (including those
governmental organizations that primarily
perform disaster or emergency response
functions), DOD-administered security
assistance (SA) programs, combined exercises,
international armaments cooperation, and
information sharing and collaboration.
SC Purposes SC helps develop partnerships that encourage

and enable PNs to act in support of aligned US
strategic objectives. SC activities often
complement other United States Government
(USG) foreign assistance to provide stability,
help mitigate drivers of conflict, and assure key
partners and allies. Additionally, SC supports
US military campaign and contingency plans
with necessary access, critical infrastructure,
and PN support and enables the achievement of
strategic objectives, such as deterring
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adversaries, preventing conflict, and enhancing

the stability and security of PNs.
SC and the Instruments of National SC programs and activities are normally

Power integrated and synchronized with the other
instruments of national power depending upon
how other interagency partners implement the
national strategy (e.g., national security
strategy) to achieve strategic objectives.
Security Sector Assistance and United In accordance with foreign policy direction
States Foreign and Defense Policies established by the Department of State (DOS),
DOD leads on defense policy issues that involve
national security interests with military or
defense equities. Presidential Policy Directive
(PPD)-23, Security Sector Assistance, details the
USG effort to implement security sector
assistance (SSA) more efficiently, including the
strategy to build security relationships, partner
capacity, and capabilities to achieve national
security objectives. PPD-23 establishes the
integrated country strategy (ICS) as the core
organizing document for USG foreign
assistance activities supporting a particular PN.
ICSs link goals for the PN to US national
security priorities, SSA objectives, and if
appropriate, to regional security objectives.
Theater Strategy and Estimate Theater strategy outlines a geographic

combatant commander’s (GCC’s) vision for
integrating resources and synchronizing military
Theater strategy bridges national activities and operations in conjunction with the
strategic guidance and joint planning. application of other instruments of national
power to achieve theater objectives and
Guidance for Employment of the Force-directed
strategic objectives. GCCs’ theater strategies,
as reflected in their theater campaign plans
(TCPs), typically emphasize military
engagement, SC, and deterrence through routine
shaping activities. The strategic estimate, which
is continually updated, helps to determine the
missions, objectives, and potential activities
required in the campaign plan.
Internal Defense and Development Internal defense and development is the full
range of measures taken by a nation to promote
its growth and protect itself from subversion,
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lawlessness, insurgency, terrorism, and other

threats to its security. It focuses on both security
and building viable civic, social, and economic
institutions that respond to the needs of that
nation’s population.
Security Cooperation Relationships
SC Related Activities and Operations SC uses a combination of programs and

activities by which DOD, in coordination with
DOS, encourages and enables countries and
Department of Defense (DOD) policy organizations to partner with the US to achieve
supports SC activities that enable strategic objectives. Foreign assistance
building security relationships, consists of a number of legally authorized
building partner capacity, and programs that can be grouped into the general
gaining/maintaining access. categories of development assistance,
humanitarian assistance, and SA with the
strategic purpose of promoting long-term host
nation (HN) and regional stability. SA is a
group of programs the USG uses to provide
defense articles, military training, and other
defense-related services by grant, loan, credit, or
cash sales to advance national policies and
objectives. SA is generally overseen by DOS,
and in many cases administered by DOD as SC.
SC is the group of programs or activities
employed by DOD in cooperation with PNs to
achieve US security objectives, and some SC is
foreign assistance, but not all. Security force
assistance is the set of DOD SC activities that
contribute to unified action by the USG to
support the development of the capacity and
capabilities of FSF and their supporting
institutions, whether of a PN or an international
organization (e.g., regional security
organization), in support of US objectives.
Security sector reform (SSR) is a
comprehensive set of programs and activities
that an HN government undertakes with USG
assistance to improve the way it provides safety,
security, and justice. Defense institution
building (DIB) is a primary form of DOD
support to SSR. DIB comprises SC typically
conducted at the ministerial/department,
military staff/service headquarters, and related
agency/supporting entity level to develop the
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strategic and operational aspects of a PN’s

defense institutions. Other SC-related activities
and programs include military engagements;
joint combined exchange training; Regional
Defense Combating Terrorism Fellowship
Program; combined exercises for training, train-
and-equip initiatives, and international military
education and training (IMET); and
international armaments cooperation.
SC and Joint Operations A significant number of SC activities are

conducted as a part of the GCCs’ TCPs, but
limited contingencies, crises responses, or major
operations can also involve some form of SC.
The foreign internal defense program is the
participation by civilian and military agencies of
a government in any of the action programs
taken by another government, or other
designated organization, to free and protect its
society from subversion, lawlessness,
insurgency, terrorism, and other threats to their
security. Counterinsurgency (COIN) is the
comprehensive civilian and military effort
designed to simultaneously defeat and contain
insurgency and address its root causes. COIN is
primarily a political struggle and incorporates a
wide range of activities by the HN government
of which security is only one, albeit an important
one. Counterterrorism are those activities and
operations conducted to neutralize terrorists and
their organizations and networks in order to
render them incapable of using violence to instill
fear and coerce governments or societies to
achieve their goals. Countering weapons of
mass destruction, across the three lines of
effort (prevent acquisition, contain and reduce
threats, and respond to crises), includes
activities conducted across the USG to counter
efforts to coerce or attack the US, its Armed
Forces, allies, partners, and interests with
chemical, biological, radiological, or nuclear
weapons. Counterdrug operations are those
civil or military actions taken to reduce or
eliminate illicit drug trafficking. Stability
activities include military missions, tasks, and
activities conducted outside the US in
coordination with or in support of other
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instruments of national power to maintain or

reestablish a safe and secure environment, and
provide essential governmental services,
emergency infrastructure reconstruction, and
humanitarian relief. Foreign humanitarian
assistance consists of DOD activities conducted
outside the US and its territories to directly
relieve or reduce human suffering, disease,
hunger, or privation. Peace operations
normally include international efforts and
military missions to contain conflict, reestablish
the peace, shape the environment to support
reconciliation and rebuilding between two or
more factions within the indigenous population,
and facilitate the transition to legitimate
governance. Civil-military operations are the
activities of a commander performed by
designated civil affairs or other military forces
that establish, maintain, influence, or exploit
relations between military forces, indigenous
populations, and institutions, by directly
supporting efforts for stability within an HN or
a region. Military information support
operations are planned operations to convey
selected information and indicators to foreign
audiences to influence their emotions, motives,
objective reasoning, and, ultimately, the
behavior of foreign governments, organizations,
groups, and individuals in a manner favorable to
the originator’s objectives. Countering threat
networks is the aggregation of activities across
the USG that identify, analyze, neutralize,
disrupt, or destroy threat networks. Personnel
recovery is the sum of military, diplomatic, and
civil efforts to affect the recovery and
reintegration of isolated personnel.
SC Authorities and Programs SC activities are conducted with DOD funds,

forces, and authorities, and with DOS SA funds
and authorities, administered by DOD.
DOD SC Roles and Responsibilities The Under Secretary of Defense for Policy
(USD[P]) oversees, integrates, and coordinates
DOD policies and plans for coordination of SC
policies, goals, and priorities for the Secretary of
Defense (SecDef) with the Military
Departments (MILDEPs), DOS, and other
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interagency partners to enable greater unity of

effort in activities that support national security
objectives. The Defense Security Cooperation
Agency (DSCA) represents the interests of
SecDef and USD(P) in SC matters and is
charged to direct, administer, and provide DOD-
wide guidance to DOD components and
representatives to execute DSCA-managed SC
programs. The Under Secretary of Defense
for Acquisition, Technology, and Logistics is
responsible for establishing and maintaining
policies for the effective development of
international acquisition, technology, and
logistics programs, including international
armaments cooperation (e.g., science and
technology collaboration, logistics support), to
support SC priorities. In conjunction with
USD(P), the Joint Staff reviews the SC
activities included in combatant command
(CCMD) campaign plans to ensure the planning
guidance has been met. Geographic CCMDs
are the primary organizations for SC planning
and integrating SC activities into their TCPs.
Functional CCMDs prepare campaign plans
that integrate their forces, resources, and
funding for SC activities in coordination with
the geographic CCMDs, their Service
components, international organizations and,
when appropriate, the affected security
cooperation organizations (SCOs). US Special
Operations Command coordinates SC
activities to be executed by special operations
forces (SOF) with the geographic CCMDs
through their theater special operations
commands, including the deployment of special
operations liaison officers, as well as SOF
Service components. MILDEPs and Services
support combatant commander (CCDR)
campaign plans and simultaneously pursue
Service-specific SC objectives consistent with
national and theater strategic objectives. SCOs
work under the authority of the chief of mission
(COM). The SCO is responsible for assessing
whether a PN can build and sustain capacity and
has the greatest visibility over the execution
of SC activities. The senior defense
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official/defense attaché (SDO/DATT) serves

as the diplomatically accredited defense attaché
and chief of the SCO (if an SCO is present). The
SDO/DATT, or a designated member of the
SCO, is the point of contact for SC planning and
development of the country plan with the GCC
planners. Subject to COM approval, the
SDO/DATT is the lead integrator for SC
activities with the PN. The National Guard may
appoint an officer to serve at the US mission
under the SDO/DATT as the State Partnership
Program liaison for the partner state’s National
Guard with the GCC and HN.
Department of State SC Roles and DOS maintains interagency coordination with

Responsibilities respective counterparts in DOD concerning
future SA programs and SC activities with PNs.
COMs facilitate the coordination of PN
The chief of mission is the personal security-related requirements that become part
representative of the President to the of the specific SA programs and SC activities
country of accreditation, and is conducted by US military with those PNs. The
responsible to the Secretary of State country team is the senior USG coordinating
for the direction, coordination, and and supervising body in a foreign country. With
supervision of all US Government guidance from DOS and the COM, the country
executive branch employees in that team develops the ICS regarding the PN, which
country (except those under the influences the CCDR’s development of a
command of a US area military country-specific security cooperation section
commander). (CSCS)/country plan for that PN. Bureau of
Political-Military Affairs (PM) is DOS’s
principal link to DOD. PM provides policy
direction in the areas of international security,
SA, military operations, defense strategy and
plans, and defense trade.
Security Cooperation Planning
While SC activities are conducted As planners develop all the plans that
primarily for routine shaping as part operationalize the GCC’s strategy, DOD
of the theater campaign plan, SC can components plan and execute SC activities, such
be conducted in all phases of an as training, exercises, military engagement,
operation and across the range of SSR, experimentation, education, personnel
military operations. exchanges, and armaments cooperation
resourced through Services’ SC funds, SA
programs, and other funding lines and
authorities.
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SC Planning Characteristics ICSs support SC planning by informing the

CCDR’s strategy and the development of
CSCSs/country plans. The CSCSs/country
Global Theater Security Cooperation plans in turn inform the campaign plan and the
Management Information System (G- Service components’ and special operations
TSCMIS) is the overall collaborative components’ campaign support plans, which
tool and authoritative data source for should support CCDR and national objectives.
DOD SC assessment, planning, Routine SC planning is conducted through the
execution, monitoring, and evaluation. joint planning process, but also includes a
Use of G-TSCMIS enhances visibility process of “PN requirements planning” and then
of the range of SC activities “mission planning” once funding and authorities
(completed, planned, and ongoing) are approved. An initial analysis of the PN
across DOD components, facilitates capabilities should identify specific
tracking of resources spent on SC, to opportunities and requirements for successful
include operation and maintenance, SC with the PN and highlight any PN
and promotes the exchange of best interdependencies across the security sector as
practices. well as the PN’s ability to sustain increased
capacity. At some point during the requirements
planning, the execution or fragmentary order for
the TCP and other approvals for funding and
authorities will allow both headquarters and
units to begin mission planning for their SC
activities. TCP guidance and objectives provide
an overarching framework for SC activities, but
the CSCS/country plan should assess the PN’s
willingness and propensity to support or
implement DOD priorities, improve
institutional capacity, and build partner
capacity, all in the context of the DOD
envisioned security role for the PN.
Theater-Wide SC Planning SC planning is required for each PN where the

GCC intends to apply resources, and SCOs
prioritize their PN’s requirements identified for
SC activities/investments. Once coordination
with the Office of the Secretary of Defense
(OSD) and DOS authorizes and funds SC
activities, SC planning for each PN takes the
form of mission planning among the geographic
CCMD, DSCA, the applicable SCO and country
team, the Service and special operations
component(s), and the PN representatives.
Identifying Resources and Authorities CCMD SC planners should be familiar with the
various resources available to support the
anticipated SC activities with the PNs in their
theater. This includes Title 10, United States
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Code (USC), funding for which the country may

be eligible, such as the various DOD SC
programs (e.g., Developing Country Combined
Exercise Program) and other resources provided
by MILDEPs through their theater Service
components. Title 22, USC, funding, such as
foreign military financing and IMET, is another
key resource.
Interagency Coordination While neither the COM nor DOS have formal
approval authority over CCMD CSCSs/country
plans, the plans should be consistent with the
objectives and priorities of the ICSs developed
by the COMs for DOS and should align with the
country plans of DOS, US Agency for
International Development, and other
government agencies working in the security
sector of the PN.
Security Cooperation Execution
General The theater campaign order may be considered

the beginning of the execution phase of the TCP,
which includes the CSCSs/country plans and
supporting components’ plans, but that order
does not necessarily authorize execution of all
SC activities. Collaborative planning among the
SCO, PN, DOD component(s), OSD, DSCA,
COM, DOS, and geographic CCMD results in
the timely release of authorities and orders for
synchronized execution of the approved and
funded SC activities throughout a GCC’s
theater.
Services Various Service-to-Service memoranda of

understanding and memoranda of agreement
govern, inform, or shape Service SC activities
with PNs. Service SC activities may follow
established timelines known years in advance,
such as recurring Service-to-Service staff talks,
or may present more extemporaneously, such as
office calls, port visits, or Service chief or senior
leader attendance at trade shows or regional
conferences.
Combatant Commands Throughout the execution of SC activities,

CCDRs and their staffs continually direct,
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assess, monitor, evaluate, and adjust the SC

activities when possible and the CSCSs/country
plans as required, while the component
commands do the same with their supporting
plans. The CCMD issues annual orders and
fragmentary orders to inform its subordinates
and force providers of the desired objectives and
the assigned tasks that have been identified to
achieve TCP SC objectives.
Service Component Commands Depending on the resources available, the DOD

components, in collaboration with the CCMD,
decide which activities to conduct in the
following year and which activities to modify,
postpone, or cancel.
Security Cooperation Assessment, Monitoring, and Evaluation
Assessment, monitoring, and evaluation of SC

activities inform decision makers as to precisely
where to continue, cut, or change the allocation
of SC applied resources, and why. Moreover,
they inform strategic prioritization by
identifying areas of greatest SC effectiveness in
areas and ways that best serve US interests.
Assessment Assessment informs decision making by helping

to establish information about the conditions
present within a PN that are relevant to planning
a successful SC initiative. Assessments serve at
least two critical functions: providing relevant
information to inform the design of SC activities,
programs, or initiatives; and providing baseline
information to enable accurate measurement of
progress as an activity, program, or initiative
progresses.
Monitoring Monitoring enables planners to understand

changes in the operational environment (OE)
based on the implementation of SC initiatives,
and it further informs a commander’s intent,
guidance for planning, prioritization, and
execution. This includes monitoring individual
tasks, normally using measures of performance
and measures of effectiveness, and functional
evaluation at the strategic level. Task
monitoring includes tracking whether tasks are
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completed as planned, whether tasks are

completed according to the planned timeline,
whether costs are as projected, and other
indicators used to determine whether planned
activities are being executed successfully, and it
informs leaders and decision makers at all levels.
Functional Evaluation Functional evaluations allow planners to

examine the effectiveness of SC activities,
programs, or initiatives at the tactical or
operational level, recognizing that impact may
be difficult to judge in light of broader USG
security-sector efforts and complex variables
associated with PN actions, and at the strategic
level. They are performed to understand the
impact and effectiveness of SC initiatives at the
strategic level and generate lessons learned to
inform future SC planning. Functional
evaluations at all levels should be linked to
clearly stated defense objectives and should be
integrated into program or initiative design from
the outset.
Operation Assessment Similar to functional evaluation, operation

assessment is a continuous process that evaluates
changes in the OE and measures the progress of
executing tasks, creating effects, and achieving
objectives toward attaining the desired end state
of a particular military operation. Operation
assessment informs planning; decision makers
continuously analyze the OE and the progress of
operations, compared to their initial assessment,
understanding, visualization, and intent; and
operation assessment helps them adjust planning
and operations to make efficient use of limited
resources.
CONCLUSION
This publication provides joint doctrine for

planning, executing, and assessing SC activities.
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CHAPTER I
SECURITY COOPERATION IN STRATEGIC CONTEXT
“The US military strengthens regional stability by conducting security
cooperation activities with foreign defense establishments. Such activities
support mutual security interests, develop partner capabilities for self-
defense, and prepare for multinational operations. Strengthening partners is
fundamental to our security, building strategic depth for our national defense.”
National Military Strategy of the United States of America 2015
1. Introduction
The basic nature of war has not changed, but the character of conflict has evolved to
include increasingly transregional, multi-domain, and multi-functional (TMM) threats.
Security cooperation (SC) activities are as likely to be conducted as an element of
contingency operations as they are in a combatant command’s (CCMD’s) daily operations.
TMM challenges will cut across multiple CCMDs, across land, maritime, air, space, and
cyberspace. The strategic environment is fluid, with changing alliances, partnerships, and
national and transnational threats that rapidly emerge, disaggregate, and reemerge. These
factors will demand efficient planning efforts and the sound application of intelligence in
concert with the other joint functions to address the uncertainty and ambiguity of future
strategic and operational environments (OEs) and will significantly affect how the joint
force conducts SC. SC strengthens and expands the existing network of US allies and
partners, which improves the overall warfighting effectiveness of the joint force and
enables more effective multinational operations.
a. SC provides ways and means to help achieve national security and foreign policy
objectives. Department of Defense (DOD) strategic guidance emphasizes the importance
of defense relationships with allies and partner nations (PNs) to advance national security
objectives, promote stability, prevent conflicts, and reduce the risk of having to employ US
military forces in a conflict. SC activities, many of which are shaping activities within the
geographic combatant commanders’ (GCCs’) theater campaign plans (TCPs), are deemed
essential to achieving national security and foreign policy objectives. Accordingly,
Department of Defense Directive (DODD) 5132.03, DOD Policy and Responsibilities
Relating to Security Cooperation, requires SC activities to be planned, programmed,
budgeted, and executed with the same high degree of attention and efficiency as other DOD
activities.
b. SC encompasses all DOD interactions, programs, and activities with foreign

security forces (FSF) and their institutions to build relationships that help promote US
interests; enable PNs to provide the US access to territory, infrastructure, information, and
resources; and/or to build and apply their capacity and capabilities consistent with US
defense objectives. It includes, but is not limited to, military engagements with foreign
defense and security establishments (including those governmental organizations that
primarily perform disaster or emergency response functions), DOD-administered security
assistance (SA) programs, combined exercises, international armaments cooperation, and
information sharing and collaboration. Rather than a hierarchical relationship, SC, in its
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Chapter I
numerous forms, has an overarching functional relationship with all other associated
programs, activities, and operations.
c. SC activities are the products of strategic guidance and certain PN requirements

determined through collaboration among the combatant commanders (CCDRs), their
components, the Military Departments (MILDEPs), and applicable chiefs of missions
(COMs). The Under Secretary of Defense for Policy (USD[P]) disseminates the Secretary
of Defense’s (SecDef’s) SC guidance, which has been coordinated with the Department of
State (DOS). USD(P) also leads the review of GCCs’ TCPs, including their country-
specific security cooperation sections (CSCSs)/country plans, to ensure that they are
aligned with policy, objectives, and priorities, and are resource-informed. SC programs
and activities are integrated into the TCPs and executed through the CCMDs,
Services/special operations forces (SOF), and the security cooperation organizations
(SCOs), and with the Defense Security Cooperation Agency (DSCA) providing certain
management, accounting expertise, and delegated oversight. SC activities are coordinated
with DOS and other applicable interagency partners at the department level and through
their country team members. SC planning is discussed in detail in Chapter III, “Security
Cooperation Planning.”
2. Security Cooperation Purposes
a. As summarized above, SC helps develop partnerships that encourage and enable

PNs to act in support of aligned US strategic objectives. SC activities often complement
other United States Government (USG) foreign assistance to provide stability, help
mitigate drivers of conflict, and assure key partners and allies. Effective execution of SC
enables PNs to carry out missions in lieu of, or alongside, US forces. Additionally, SC
supports US military campaign and contingency plans with necessary access, critical
infrastructure, and PN support; and enables the achievement of strategic objectives, such
as deterring adversaries, preventing conflict, and enhancing the stability and security of
PNs. SC also benefits the US military through theater and sociocultural orientation that
improves readiness for training and advising FSF.
b. SC resource investments in programs and activities are driven by scoped and

prioritized campaign objectives and guidance in SecDef’s Guidance for Employment of
the Force (GEF), the Joint Strategic Campaign Plan (JSCP), and certain objectives in each
COM integrated country strategy (ICS). Those objectives are consolidated in the TCP and
the CSCSs/country plans nested within the TCP. The TCP and CSCSs/country plans
implement that strategic guidance and articulate the desired PN roles in one or more of
three categories.
(1) Apply Capacity and Capabilities. As our national policy acknowledges, the
US will rarely conduct unilateral military operations. Capability refers to the PN’s ability
to execute a given task while capacity refers to the PN’s ability to self-sustain and self-
replicate a given capability. Building partner capacity and capabilities through SC requires
a long-term mutual commitment to improve PN capacity and capabilities in support of US
strategic objectives. For example, the PN:
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(a) Joins a US-backed multinational force.
(b) Deploys a peacekeeping force to support a United Nations (UN) or

another international organization mission.
(c) Builds counterterrorism (CT) capacity to counter local and transnational

terrorist networks.
(d) Conducts personnel recovery (PR) or foreign disaster relief (FDR) with
regional neighbors to include chemical, biological, radiological, and nuclear (CBRN)
incident response activities.
(e) Counters the ability of transnational criminal organizations and their

associated networks to conduct illicit activities through the country.
(f) Pursues mutually beneficial objectives and/or increased interoperability

with the US and multinational forces (e.g., increase capacity for ballistic missile defense,
develop undersea warfare capability, or expand irregular warfare capabilities).
(g) Supports US countering weapons of mass destruction (CWMD) efforts.
(2) Provide Access. National security requires the US to maintain operational

access across the globe. Operational access promotes flexibility in the US defense posture,
provides freedom of movement, and supports freedom of action during military operations.
Access also facilitates other means of support to include information/intelligence sharing
and technology. SC activities promote the PN’s willingness to provide various types of
military access that supports US strategic requirements in a theater. For example, the PN:
(a) Provides a forward basing agreement, including access, permissions, and

overflight to sovereign territory, airspace, territorial waters, bases, and facilities (e.g., a
secure port or airfield) to include enabling host nation (HN) reception and onward
movement distribution processes.
(b) Shares information on internal security challenges.
(c) Provides permission for entry of US forces through a defense cooperation

agreement, diplomatic note, or status of forces agreement with USG.
(d) Shares resources and technology via DOD international armaments

cooperation programs.
(e) Supplies intelligence in support of US intelligence requirements.
(f) Provides access to a training facility for US military forces.
(g) Coordinates the use of HN electrical power, fuels, and other sources of
energy in support of US SC activities and joint operations.
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(h) Signs an acquisition and cross-servicing agreement (ACSA) to enable

logistics process integration and interoperability.
(3) PN Support of US Interests. The US requires a wide range of security

relationships with PNs and allies across the globe to shape the security environment and
protect US interests. SC activities should encourage and enable certain PNs to provide
tangible diplomatic-related activities in support of US objectives. Because building PN
support for US interests is primarily a diplomatic mission, the application of SC activities
for such purposes should be rare, but there are circumstances when SC activities may help
a PN support specific DOD interests, or at the direction of DOS, broader USG interests.
For example, the PN:
(a) Supports US in UN and regional forums or bilateral relationships.
(b) Leadership publicly condemns acts of violent extremism.
(c) Leadership publicly champions civilian control of the military, human

rights, rule of law, and law of war.
(d) Supports US to reduce conventional arms and weapons of mass

destruction (WMD) proliferation.
3. Security Cooperation and the Instruments of National Power
a. SC represents an application of the military instrument of national power in

coordination with the other instruments of national power (diplomatic, informational, and
economic) through which the USG shapes the theater and global OEs and helps prevent
conflicts. SC programs and activities are normally integrated and synchronized with the
other instruments of national power depending upon how other interagency partners
implement the national strategy (e.g., national security strategy [NSS]) to achieve strategic
objectives. DOS leads USG efforts in foreign affairs while DOD shares a primary
responsibility for implementing national security policy and strategy. At the PN level, the
COM, who is the senior US diplomat and represents the President of the United States,
coordinates all USG activities (including SC activities) in that country, supported by the
country team, which includes the senior defense official/defense attaché (SDO/DATT)
who represents DOD.
b. SC by itself generally cannot prevent conflict, but it provides a security aspect that
complements the reduction of other drivers of conflict (e.g., social, informational,
economic, and political factors). TMM threats require adaptive planning to integrate allies
and partners as an element of national strategy. SC strengthens the US network of allies
and partners that can improve the overall warfighting effectiveness of the Joint Force and
enable more effective coalition operations. This may necessitate key leader engagement
with foreign dignitaries; application of effective information-related capabilities (IRCs) as
part of commander’s communication synchronization; encouragement to leverage capital
and economic investment for growth or utilization of sanctions; and, when necessary,
application of military force, including SC activities with a PN. Therefore, it is important
I-4 JP 3-20
to understand the strategic direction and guidance (and statutory authorities) applicable to
SC, which will be discussed in later paragraphs.
c. Often, prerequisite improvements in a nation’s security sector, which comprises

those military and civilian partners and institutions responsible for safety and security of
the state and its population at home or abroad, enable the effective use of US instruments
of national power to advance the stability of the PN through foreign assistance. Security
sector reform (SSR) and defense institution building (DIB), discussed later in Chapter II,
“Security Cooperation Relationships,” may involve restructuring these institutions or
require only building capacity within the security sector. Requirements for collaboratively
planned, budgeted, and coordinated whole-of-government efforts to improve the security
sectors of PNs led to the establishment of Presidential Policy Directive (PPD)-23, Security
Sector Assistance, which will be discussed in paragraph 5, “Security Sector Assistance and
United States Foreign and Defense Policies.”
For additional details regarding the application of the instruments of national power, see
Joint Publication (JP) 1, Doctrine for the Armed Forces of the United States.
4. Strategic Direction and Guidance
a. The GEF issues Presidential and SecDef politico-military guidance that serves as
the basis for the Chairman of the Joint Chiefs of Staff’s (CJCS’s) JSCP. The GEF and
JSCP provide principle source guidance to planning efforts by all DOD components. The
GEF translates strategic priorities into policy guidance and strategic objectives essential to
the planning of CCMDs’ campaign and contingency plans, as well as theater distribution
plans (TDPs). Contingency plans tasked by the President in the Contingency Planning
Guidance are considered branches to the JSCP-guided campaign plans that integrate
CCMD activities, which include ongoing operations, SC, and other shaping or preventive
activities. CCMD campaign plans should include all activities and requirements to achieve
US objectives, as well as those associated with shaping for contingency plans for which
the CCMD is responsible. GCCs develop TCPs to satisfy those requirements, and Service
component commands develop their campaign support plans (CSPs) for the GCCs.
b. CCDRs may participate in strategy discussions with the President and SecDef, as
well as the CJCS, and may engage with PNs through coordination with the COMs. A
CCDR’s guidance relates to both the US national strategy and operational-level activities
within a theater. Based on theater and functional objectives and anticipated resources,
CCDRs provide SC requirements to USD(P) through the CJCS. DOS joint regional
strategies and ICSs inform, and are informed by, the various CCDRs’ theater strategies,
TCPs, and CSCSs/country plans, thus influencing planned SC activities.
c. DOS produces two key documents, derived from national-level guidance (e.g., NSS
and PPDs), that indirectly influence CCDRs’ planning and SC activities. The Strategic
Plan, developed jointly by DOS and the United States Agency for International
Development (USAID), contains the strategic-level framework that guides all planning and
budgeting throughout both organizations, and the Quadrennial Diplomacy and
Development Review defines the strategic and institutional priorities, provides a
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Chapter I
framework for allocating DOS resources, and directs improvements to interagency

collaboration among other things.
d. Through the above interactions and influences, campaign plans operationalize

CCDR strategies (i.e., strategic direction and guidance).
5. Security Sector Assistance and United States Foreign and Defense Policies
a. DOD and DOS share primary responsibility for several of the goals outlined in the
NSS, including security and international order. On behalf of the President, DOS conducts
and coordinates foreign affairs, which refers to actions the USG takes abroad on behalf of
its national interests to ensure the security and well-being of Americans and the strength
and competitiveness of the US economy. In accordance with foreign policy direction
established by DOS, DOD leads on defense policy issues that involve national security
interests with military or defense equities. PPD-23, Security Sector Assistance, details the
USG effort to implement security sector assistance (SSA) more efficiently, including the
strategy to build security relationships, partner capacity, and capabilities to achieve
national security objectives. As defined in PPD-23, SSA should not be confused with
SSR, which is the assisted operational application of programs and activities to improve
the way an HN provides safety, security, and justice from ministerial level down to tactical
units. Per PPD-23, SSA refers to the strategic policies, programs, and activities the USG
uses to:
(1) Engage with foreign partners and help shape their policies and actions in the
security sector;
(2) Help foreign partners build and sustain the capacity and effectiveness of
legitimate institutions to provide security, safety, and justice for their people; and
(3) Enable foreign partners to contribute to efforts that address common security
challenges.
b. Security sector actors include nation-state governmental agencies and social

institutions, as well as international organizations that may be tasked to provide justice and
security in a failing/recovering nation-state. PPD-23, Security Sector Assistance, requires
a collaborative approach aimed at strengthening the ability of the US to help PNs build
their security capacity. Unity across the USG is essential and requires multiyear
investments and a targeted approach to the PN to ensure assistance is in line with USG
broader foreign policy and national security objectives.
c. DOS is the lead agency responsible for the policy, supervision, and management of
USG SSA, as well as the congressional appropriations that fund programs used for SA,
with the exception of those appropriations that fund DOD programs used for SA. PPD-23,
Security Sector Assistance, provides an approach to align strategic goals and guidelines
with comprehensive strategic planning and budgeting across the USG, primarily enabled
through the collaborative efforts of DOS and DOD with the other interagency partners.
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d. DOD ensures defense strategies and policies are synchronized with US foreign
policy and overall SSA efforts and may provide assistance in coordination with the DOS.
DOD assumes the lead SSA integrator role in specific cases that are appropriate and
consistent with authority granted by Congress, particularly when related to strategic
planning, assessment, program design, and implementation of SSA programs.
e. SSA provides the process for the USG to strengthen its own capacity with an
effective and deliberate whole-of-government approach to planning and budgeting for
activities, develop resources, and help to achieve national security objectives. According
to PPD-23, Security Sector Assistance, with DOS as the lead federal agency, DOD and the
Department of the Treasury, Department of Justice (DOJ), Department of Homeland
Security (DHS), and USAID will participate in interagency coordination at the department
level to approve SSA strategic objectives and to ensure collaborative planning, assessment,
program design, and implementation processes. DOS convenes the Interagency SSA
Oversight Board, co-chaired with DOD, on a biannual basis to review the USG SSA
processes, coordination, authorities, resourcing, and reporting, as well as to ensure SSA is
executed in a timely and effective manner. See Figure I-1 to understand the level of
interagency coordination required in the whole-of-government approach to SSA and
developing ICSs.
For additional details regarding SSA, see PPD-23, Security Sector Assistance.
f. ICSs. PPD-23, Security Sector Assistance, establishes ICS as the core-organizing

document for USG foreign assistance activities supporting a particular PN. The ICS
promotes unity of effort and a more proactive and efficient strategic approach to meeting
USG objectives. At DOS, the multi-year ICS, the joint regional strategy, and the functional
bureau strategy collectively frame and inform the two components of the DOS and USAID
annual budget request: the mission resource request and the bureau resource request, which
focus on resources required to implement the priorities outlined in these strategies. The
ICS also provides the foundation for US mission-level performance management and
informs each individual agency’s SSA planning to orchestrate the overall USG SSA effort
in countries with significant SSA programming. The SSA portions of ICSs follow a
common framework and include, at minimum: overall SSA goals and subordinate
objectives; assumptions; potential programs, activities, and action plans; key partners and
opportunities for collaboration with other stakeholders; and measures of success. ICSs link
goals for the PN to US national security priorities, SSA objectives, and if appropriate, to
regional security objectives. The ICS articulates priorities for a given country such as SA
as part of a foreign assistance program. The primary audiences for each ICS are the country
team, DOS bureaus, DOS resource and policy analysts, and senior leaders in the USG.
However, SSA engenders strategic-level collaboration between DOS and DOD that drives
integration of DOS planning (ICSs) with DOD planning (CSCSs/country plans) for
activities and resources at the country level. This interagency coordination enables
identification of specific PNs for which to develop an ICS. Tailored interagency country
assessments for each PN precede planning or implementation of programs through SSA
and may enable a PN to better understand its own capacity shortfalls and capability gaps.
Ultimately, the country team, with participation from relevant agencies and both CCMD
and Service component subject matter experts (SMEs), conducts SSA planning at the
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Interagency Coordination Processes for Security Sector Assistance

and Integrated Country Strategy Objectives
TCP – 2-5 Years CCMDs Draft

GEF – 2 Years DOD Country USD(P)
Coordinate Post to Department
ICS – 3 Years “Goals and
G-TSCMIS Review Approves
Objectives”
Who: CCMD Planners Who: GCCs, Who: CCMDs Who: OSD, Joint Who: OUSD(P)
How: Informed by Services, Level: GO/FO Staff, Services, Level: Regional
GEF, JSCP, Components, How: Post to MILDEPs, DASDs
theater strategy, Country Teams, G-TSCMIS CCMDs, and How: Post to
ICS, and TCP (SCO), DOD Agencies G-TSCMIS
Functional Level: GO/FO
CCMDs, Joint How: JSAP/Action
Staff Memo
Level: AO/Planner
How: CCMD Staffing
Process
CCMDs USD(P) Joint

Staff
DOS for
Country Team Washington Washington COM
SCO Develops ICS Approves
Review Review
How: Coordinated NSC and

with CCMD Interagency
and its Partners
components
Legend
AO action officer ICS integrated country strategy
CCMD combatant command JSAP joint staff action package
COM chief of mission JSCP joint strategic capabilities plan
DASD Deputy Assistant Secretary of Defense MILDEP Military Department
DOD Department of Defense NSC National Security Council
DOS Department of State OSD Office of the Secretary of Defense
GCC geographic combatant commander OUSD(P) Office of the Under Secretary of Defense
GEF Guidance for Employment of the Force for Policy
GO/FO general officer/flag officer SCO security cooperation organization
G-TSCMIS Global Theater Security Cooperation TCP theater campaign plan
Management Information System USD(P) Under Secretary of Defense for Policy
Figure I-1. Interagency Coordination Processes for Security Sector Assistance and
Integrated Country Strategy Objectives
country level; the DOS’s ICS support team facilitates the ICS planning process; and,
following a formal Washington review that specifically includes DOD, the COM
approves an ICS. Based on the ICS and coordination with the PN, SCOs and Service
component SC planners support development of the CCDR’s country plan for each PN.
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6. Theater Strategy and Estimate
Theater strategy bridges national strategic guidance and joint planning. It outlines a
GCC’s vision for integrating resources and synchronizing military activities and operations
in conjunction with the application of other instruments of national power to achieve
theater objectives and GEF-directed strategic objectives. The GCC’s analysis of changing
events in the OE influences theater strategy. Theater strategy must be adaptable and
flexible to react to the changing environment; prepare for, prevent, or mitigate
contingencies; seize opportunities; and mitigate risk. GCCs’ theater strategies, as reflected
in their TCPs, typically emphasize military engagement, SC, and deterrence through
routine shaping activities. SC activities are specifically suited for building partnerships
and partner capacity in coordination with DOS and other interagency partners through
COMs and country teams. See Chapter III, “Security Cooperation Planning,” for additional
information about the effects of theater strategy on SC planning and activities.
a. The Policy-Strategy Dynamic. Strategy is shaped by and subordinate to policy,

and SC is not a strategy. There is a three-way functional relationship with policy, strategy,
and SC. To accomplish the mission, the US military inherently relies on the commander’s
guidance and intent, based on a dynamic between policy aims and a strategy that provides
a clear, attainable, and flexible military objective that can be modified with changes in
policy. US policy may change in reaction to unanticipated opportunities or challenges.
The policy may evolve as the strategy is implemented and may be influenced by effects
created by SC activities and programs. The functionality of SC is that it can provide both
ways and means in accordance with policy to reach strategic objectives and end states that
are based on strategy and policy. For example: USG strategy is to build partnerships and
build partner capacity using SC, complemented by stability activities, with a strategic
objective of stability in the region, while avoiding any violent conflicts.
b. Coordination and Collaboration. In addition to DOD coordination and approval

processes for campaign plans, CCDRs coordinate their strategies and synchronize
implementation activities with those of other stakeholders, to include other interagency
partners, multinational partners, international organizations, and select nongovernmental
organizations (NGOs). DOS provides guidance and resources (e.g., SA) to implement and
support GCCs’ theater strategies and the SC activities with PNs. DOS also coordinates,
supports, and maintains situational awareness of similar activities between US allies and
their foreign partners. With PPD-23, Security Sector Assistance, emphasis on the whole-
of-government approach to collaborative processes for planning, budgeting, and
programming for SSA, CCDRs coordinate with COMs, their country teams, and other
appropriate stakeholders during the DOS development of ICSs and DOD development of
CSCSs/country plans to ensure compatibility of objectives between DOS and DOD for
PNs. Similarly, other agencies, such as USAID, routinely conduct developmental activities
worldwide, sometimes in conjunction with SC activities so CCDRs have to maintain
situational awareness of those activities affecting their areas of responsibility (AORs) or
functional responsibilities. SC activities that include SA authorized by DOS and
administered by DOD normally require coordination through DSCA as a primary manager
within the SCO, which is discussed in Chapter II, “Security Cooperation Relationships.”
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c. Elements of a Theater Strategy. A theater strategy is a broad statement of the

GCC’s vision for the AOR that aligns and focuses efforts and resources to mitigate and
prepare for conflict and contingencies, advance US interests, and support achievement of
national strategic and theater objectives. A theater strategy consists of a description of key
factors of the OE that provide context for the strategy and could affect the attainment of
the desired objectives. It includes a description of the desired objectives and strategic end
state (ends), a strategic approach that may include some sequence of activities and lines of
effort (LOEs) to apply military power in concert with the other instruments of national
power to attain the desired ends (ways), a description of the resources needed to accomplish
the strategic approach (means), and a description of the risks in implementing the chosen
strategic approach.
d. Strategic Estimate. The CCDR and staff (with input from subordinate commands
and supporting commands and agencies) prepare a strategic estimate by assessing and
describing the broad political, military, economic, and social factors, as well as threats and
opportunities, that determine strategic objectives and, ultimately, facilitate or hinder
attainment of the strategic end state. This estimate, which is continually updated, helps to
determine the missions, objectives, and potential activities required in the campaign plan.
For additional information on the strategic estimate, see JP 5-0, Joint Planning, and
Chairman of the Joint Chiefs of Staff Manual (CJCSM) 3130.01, Campaign Planning
Procedures and Responsibilities.
7. Internal Defense and Development
Internal defense and development (IDAD) is the full range of measures taken by a
nation to promote its growth and protect itself from subversion, lawlessness, insurgency,
terrorism, and other threats to its security. It focuses on both security and building viable
civic, social, and economic institutions that respond to the needs of that nation’s
population. Ideally, IDAD represents a preemptive strategy. A foreign nation establishes
an IDAD strategy in collaboration with the USG to combine internal defense with other
needed developmental efforts and then implements that strategy through an IDAD
program. US involvement may vary from simple military engagement and routine SC
activities up to a complex foreign internal defense (FID) program. For example, SC
activities for security force assistance (SFA) to build a PN’s capacity for CT support the
US global campaign against transnational terrorists or SC activities for SSA to build
capacity for counterinsurgency (COIN) developing a PN’s executive, generating, and
operating functions in anticipation of an identified insurgency. If SC activities are not
enough and the threat to a PN becomes overwhelming, then a USG FID operation may be
required. In any case, execution of an IDAD program requires a collaborative effort by the
US and PN governments. Likewise, foreign assistance can support routine SC activities or
a FID program for HN IDAD.
For more information regarding an IDAD and FID, see JP 3-22, Foreign Internal Defense.
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8. Information Sharing and Foreign Disclosure
SC programs and activities may require the release of controlled unclassified or

classified information to PNs.
a. The release of classified information to multinational partners is governed by the

national disclosure policy (NDP). Detailed guidance must be provided to the senior US
commander by the chain of command in accordance with National Security Decision
Memorandum 119, Disclosure of Classified United States Military Information to Foreign
Governments and International Organizations, and NDP-1, National Policy and
Procedures for the Disclosure of Classified Military Information to Foreign Governments
and International Organizations. Detailed written guidance may be supplemented with
limited delegation of disclosure authority where appropriate (e.g., combined force
protection purposes). Early in the SC planning process, SC planners must ensure there is
a common understanding with the SDO/DATT, Service components, and CCMD foreign
disclosure officers of all anticipated information sharing and intelligence disclosure
requirements for their SC programs and activities.
b. The NDP is implemented within DOD by DODD 5230.11, Disclosure of Classified

Military Information to Foreign Governments and International Organizations, and
Chairman of the Joint Chiefs of Staff Instruction (CJCSI) 5221.01, Delegation of Authority
to Commanders of Combatant Commands to Disclose Classified Military Information to
Foreign Governments and International Organizations. Other participating interagency
partners may implement disclosure policies that are similar, but different, so each partner
should follow their principal disclosure authorities.
JP 2-01, Joint and National Intelligence Support to Military Operations, contains a detailed
discussion of sanitization and foreign disclosure procedures.
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CHAPTER II
SECURITY COOPERATION RELATIONSHIPS
“The only way human beings can win a war is to prevent it.”
General George C. Marshall, United States Army (1880-1959)
1. Introduction
a. SC supports the implementation of national and theater strategies and is a key

element of global and theater shaping activities that support stabilization, as well as
building security relationships, building partner capacity, and providing access. SC
activities typically include DOS-funded and authorized SA programs administered by
DOD, SFA activities, joint combined exercises for training, and other Service training
opportunities with PNs and other friendly FSF. SC is a primary tool for shaping activities
for all GCCs’ TCPs.
b. Services have Title 10, United States Code (USC), responsibilities to organize,
train, and equip US forces to maintain readiness and support GCC theater objectives, which
include funds for SC activities by the Services. Service components posture forces to
conduct SC activities and to execute theater campaigns and operations, as directed. These
activities help shape the OE and produce the conditions necessary for a joint force
commander (JFC), when directed, to seize the initiative, dominate, and establish stability
within the operational area during a joint operation/campaign. Conducting sustained SC
activities in an AOR typically requires a combination of assigned and attached forces,
composed of conventional forces (CF) and SOF. Those forces may include DOD civilian
personnel and contractors. A number of permanent and temporary funding authorities are
used for SC and are briefly discussed in paragraph 4, “Security Cooperation Authorities
and Programs.” Provisions of Title 10, USC, are permanent authorities, while annual
authorities (e.g., National Defense Authorization Act for Fiscal Year 2015) are often used
for temporary authorities and funding. The two can be used to authorize certain military
engagements, multinational exercises, military-to-military exchanges, advising defense
institutions, and similar SC activities.
2. Security Cooperation Related Activities and Operations
SC uses a combination of programs and activities by which DOD, in coordination with

DOS, encourages and enables countries and organizations to partner with the US to achieve
strategic objectives. SC involves an overarching functional relationship rather than a
hierarchical relationship with its associated activities/programs. The definition of SC
deliberately encompasses a multitude of actions, programs, and missions. Many SC
activities are functionally related and dependent upon DOD-administered and DOS-funded
SA as part of DOS foreign assistance, in addition to Service funds.
a. SC can be conducted across the range of military operations and during all phases
of an operation or campaign. DOD policy supports SC activities that enable building
security relationships, building partner capacity, and gaining/maintaining access.
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Chapter II
(1) Building Security Relationships. An initial step in building a security

relationship includes some form of partnership. Also characterized as building
partnerships, it involves developing long-term security and defense relationships with
selected countries, designated as PNs, around the globe. With rare exception, building a
security relationship should be considered a way to achieve other objectives, rather than an
objective unto itself. The implementation of SSA refines the USG processes and programs
for building security relationships with PNs. Essential to international armaments
cooperation activities and SC activities (especially SA programs), security relationships
help CCDRs support shaping of the strategic security environment by:
(a) Strengthening USG global network of partner relationships.
(b) Promoting PN stability, and in turn, theater and global stability.
(c) Demonstrating USG support for PN sovereignty.
(d) Providing compelling messages for stabilization and deterrence.
(e) Influencing partners to support US foreign policy objectives and, when

appropriate, military operations/campaigns. For example, the PN:
1. Supports US interaction to affect national perceptions; behavior; and

will to build effective, legitimate, interoperable, and self-sustaining partner.
2. Leadership publicly condemns violent extremist organizations.
3. Refrains from committing human rights violations, especially during

military operations.
4. Likely supports US positions in UN and regional forums such as

reducing arms proliferation, CWMD, and supporting US-sponsored multinational force.
(2) Building Partner Capacity. Developing specific PN capabilities and

capacity for security and defense addresses their internal security and their participation or
coordination in operations with US forces or multinational operations. Building partner
capacity in the security sector includes FSF and their supporting institutions. When
directed, DOD can also support appropriate PN civilian authorities to strengthen civil-
sector capacity at the local and national levels. Building partner capacity can range from
individual education and training to ballistic missile defense, dependent upon the USG-PN
relationship. Partner capacity can be described as an extant yet limited capability (e.g.,
forces, skills, or functions) within a PN’s security or civil sector that can be improved and
employed on a national level. Building partner capacity requires a long-term, mutual
commitment to improve capacity, interoperability, and when necessary, the employment
of that PN capacity in support of USG strategic objectives. For example, the PN:
(a) Accepts SA and SFA for some aspect of SSR.
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(b) Shares expense with USG for updating PN ballistic missile defense
forces.
(c) Provides support to control, defeat, disable, or dispose of WMD in a

neighboring country.
(d) Shares resources and technology via DOD international armaments

cooperation programs.
(e) Updates and sustains a credible CT force to support USG CT efforts.
(f) Shares information with the US to deny, disrupt, destroy, or defeat

finance systems and networks that negatively affect US or PN security interests.
(g) Effectively protects classified and export-controlled information

technology.
(3) Gaining/Maintaining Access. Access facilitates US defense posture,

provides for freedom of movement and supports freedom of action during military
operations by enabling US forces to access PN territory, resources, or leadership. It
provides USG forces with peacetime and contingency access to permanent or temporary
forward staging or basing facilities, airports, or seaports; the ability to obtain overflight
rights, passage through territorial waters, shared information, intelligence, or other
resources; and opportunities for forward stationing of forces. It also enhances DOD
distribution, reception, and retrograde capabilities. For example, the PN:
(a) Provides contingency access to a secure port.
(b) Supplies actionable intelligence in support of US operations.
(c) Provides a site for a forward US military base.
(d) Provides electrical power and other essential fuels and utilities as host-
nation support (HNS) of a US contingency operation.
(e) Provides overflight or free passage through territorial waters or exclusive

economic zone.
b. SC activities can be executed discretely or overtly by US forces and members of

the DOD civilian expeditionary workforce (CEW) or in support of joint operations. The
GEF contains DOD guidance for resource prioritization, theater posture planning, and SC
activities for specific theaters and regions. The JSCP guides both campaign and
contingency planning to integrate SC activities into GCCs’ TCPs with other stabilizing
activities. SC activities generally provide the means (resources) and the ways (methods)
for routine shaping efforts as part of TCPs, potentially complementing other USG foreign
assistance. SC activities can also support joint operations during a limited contingency or
crisis response such as specific SA and SFA activities to build partner capacity for
operations with joint forces such as FID, CT, COIN, counterdrug (CD), foreign
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humanitarian assistance (FHA), PR, and other stability activities. SC also can be used by
the USG to help PNs develop or sustain capabilities to operate with the US and other
partners in multinational operations (e.g., Operation DESERT STORM). In cases where
the SC effort is large-scale and enduring, the GCC may establish an additional subunified
command or joint task force in a particular country or region. Examples include Combined
Joint Task Force-Horn of Africa and the Combined Joint Task Force One. Other
interagency partners normally focus on improving/reforming those PN forces assigned to
other ministries (or their equivalents) such as interior, justice, or intelligence services.
However, DOD maintains capabilities for these other requirements, in addition to SFA,
should the security environment limit participation of other interagency partners.
c. Foreign Assistance. Foreign assistance consists of a number of legally authorized

programs that can be grouped into the general categories of development assistance,
humanitarian assistance, and SA with the strategic purpose of promoting long-term HN
and regional stability. DOD supports the DOS lead in stabilization, which includes a
whole-of-government approach to minimizing economic and sociopolitical drivers of
conflict, establishing sustainable development and growth of responsive civic, social, and
economic institutions in selected “priority” PNs around the globe. In general, DOS and
USAID manage the programs for development assistance and humanitarian assistance,
while DOS manages the SA programs. In many cases, DOD administers SA programs
managed by DOS. DOS receives an annual appropriation for foreign assistance (also
referred to as foreign aid), and those funds are normally allocated each year by program
and by country (e.g., $5.0 million of development assistance funds to Country X). Foreign
assistance is normally based on agreements mutually concluded between the USG and the
assisted nation. Other countries, including US adversaries, and international organizations
such as the UN may also provide forms of assistance to selected recipients. Important for
theater and campaign planning, an awareness of these other sources of aid can prevent
duplication of efforts, interference, and false claims of credit, which could negatively affect
US partnerships. Many SC activities are directly dependent upon SA.
For data on US foreign assistance and foreign assistance-related programs available to

the public, see www.foreignassistance.gov.
d. SA. SA is a group of programs the USG uses to provide defense articles, military
training, and other defense-related services by grant, loan, credit, or cash sales to advance
national policies and objectives. SA includes programs authorized by the Foreign
Assistance Act (FAA) of 1961 (Title 22, USC, Chapter 32), as amended; the Arms Export
Control Act (AECA) of 1976 (Title 22, USC, Chapter 39), as amended; and other related
authorities and statutes such as Title 22 (Foreign Relations and Intercourse), USC. SA
programs and funding are coordinated by DOS and, as authorized by DOS, some SA
programs are administered by DSCA for DOD. Those SA programs that are administered
by DOD or DSCA for DOD are considered part of SC by DOD.
(1) SA includes foreign military sales (FMS), foreign military financing (FMF),
international military education and training (IMET), peace operations (PO), and excess
defense articles (EDA). DOS also provides financial support to international peacekeeping
operations (PKO), a subset of PO, through a PKO fund. The US uses these tools, combined
II-4 JP 3-20
with the Economic Support Fund and commercial sales licensed under the AECA, to
further its national interests. They may also be used to complement, or be complemented
by, development assistance. Generally, SA is subject to legal and funding authorities,
through which the US provides articles, training, and other defense-related services such
as those provided through SFA activities; and in many cases, the funding authority may
require a PN to pay for SA, so it is not always an expense to the USG.
(2) Those SA programs named above, that are administered by DOD for
implementation through DSCA, are summarized as follows:
(a) FMF is an annual program of congressionally appropriated grants and

loans administered by DSCA that enables selected, eligible PNs to purchase US defense
articles, services, and training through either FMS or direct commercial sales. FMF may
be used in lieu of, or in addition to, other PN funds. FMF is one of the largest USG SA
(and foreign assistance) programs.
(b) FMS is the sale of defense articles, military training, and defense-related
services to eligible foreign governments and international organizations. The majority of
FMS cases are paid with national funds from the PN. The FMS program is measured in
billions of dollars of sales annually and is the largest of the SA programs under DOS
direction that are administered by DSCA.
(c) IMET provides training to selected foreign military and defense-

associated civilian personnel on a grant basis. Training occurs at US military facilities in
the US and overseas, as well as through the use of mobile training teams. Contract
technicians and contractors may also provide training, including instruction at civilian
institutions or via correspondence courses. The IMET Program is authorized by the FAA.
(d) Defense articles can also be leased to friendly governments and

international organizations for up to five years (renewable). Leased articles must not be
needed for US public use during the lease period, and the US retains the right to terminate
the lease at any time.
(e) EDA involves the transfer, either on a grant basis or by FMS, of defense
articles no longer needed by the USG. EDA may allow for the transfer of USG articles to
countries at no cost. Transfer of EDA occurs on an “as is, where is” basis and the recipient
nation typically pays for any associated costs, including transportation, repair,
refurbishment, spares, and training, through an FMS case.
e. SSR. SSR is a comprehensive set of programs and activities that an HN

government undertakes with USG assistance to improve the way it provides safety,
security, and justice. The objective is to promote an effective and legitimate public service
that is transparent, accountable to civilian authority, and responsive to the needs of the
public. SSR improves or develops institutions, processes, and forces to provide security
under the rule of law. This includes the military, police, intelligence services, border
guards, and services responsible for the security of ports of entry. SSR assists an HN
government in appropriately responding to threats within and from outside its borders.
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Chapter II
Unless directed otherwise, DOD’s primary role in SSR is supporting the reform,
restructuring, or re-establishment of the armed forces and defense and security institutions
within the security sector, from the highest ministerial/department level, down to the
tactical unit level. Other interagency partners assist in the reform of institutions of justice
and safety. DOD can support SSR using SFA activities and SA as part of routine SC for
shaping as part of a TCP or, for example, through FID as a contingency operation
supporting an HN IDAD program. Normally, SFA activities and SA are used in any unified
action for SSR. SFA activities can support an SSR program by creating effects for a PN
to achieve transformational objectives and sustain them. As noted in Chapter I, “Security
Cooperation in Strategic Context,” SSR should not be confused with the term SSA. SSA
refers to the overarching USG policy, processes, programs, and activities that integrate and
synchronize DOS and DOD strategies, planning, programming, and budgeting for foreign
assistance involving the security sectors of PNs. The development, restructuring, or reform
of a PN’s defense institutions at the ministry/department or joint/Service military
headquarters level is more specifically characterized as DIB, whether conducted as part of
a larger SSR effort, or not.
For additional information regarding SSR, see JP 3-07, Stability.
f. DIB. DOD policy states that defense institutions include the people, organizations,
policies, rules, regulations, values, and behaviors that enable oversight, governance,
management, and the functioning of the defense establishment within a nation-state’s
security sector. DIB comprises SC typically conducted in the form of SFA activities
focused on building capacity at the ministerial/department, military staff/service
headquarters, and related agency/supporting entity level to develop the strategic and
operational aspects of a PN’s defense institutions. DIB may be conducted through routine
SC activities or as part of a more comprehensive program for SSR. DIB may complement
building partner capacity and capability at tactical and operational levels as delivered
through SFA and SA-supported SC programs including train-and-equip and military-to-
military exchanges performed by CCMDs, Services, and their component
organizations/headquarters.
DEFENSE INSTITUTION BUILDING
Department of Defense (DOD) policy defines defense institution building

(DIB) as security cooperation activities that empower partner nation
defense institutions to establish or re-orient their policies and structures
to make their defense sector more transparent, accountable, effective,
affordable, and responsible to civilian control. DIB improves defense
governance, increases the sustainability of other DOD security
cooperation programs, and is carried out in cooperation with partner
nations pursuant to appropriate and available legal authority. It is
typically conducted at the ministerial, general, joint staff, military service
headquarters, and related defense agency level, and when appropriate,
with other supporting defense entities.
Department of Defense Directive 5205.82,

Defense Institution Building (DIB)
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(1) DIB empowers PN defense institutions to establish or reorient policies and

structures to be more transparent, accountable, effective, affordable, and responsive to
civilian control. The result improves defense governance and increases the sustainability
of other DOD SC programs in full coordination with interagency partners, and when
applicable, multinational partners. DIB may include developing or increasing a PN’s
military capacity to support and work in coordination with civilian agencies responsible
for disaster management and response.
(2) DIB is conducted pursuant to appropriate legal authority. GCCs are required
to annually prioritize DIB requirements to the USD(P) through the Joint Staff (JS) to ensure
DIB efforts align with current defense and foreign policy strategies for efficient and
effective use of relevant DIB resources. DIB mentors, trainers, and advisors should be of
sufficient rank, position, and experience to be a credible and positive influence on the PN’s
defense institutions. GCCs are responsible for recording all DIB activities in the Global
Theater Security Cooperation Management Information System (G-TSCMIS).
For additional information on DIB, see DODD 5205.82, Defense Institution Building
(DIB).
g. SFA. SFA is the set of DOD activities that contribute to unified action by the USG
to support the development of the capacity and capabilities of FSF and their supporting
institutions, (i.e., building partner capacity and capabilities), whether of a PN or an
international organization (i.e., regional security organization). SFA offers a means by
which SC activities support shaping as part of a GCC’s TCP or a means of building
capability and capacity of FSF while conducting crisis response or a contingency operation
in support of a PN. DOD policy describes SFA as a subset of SC initiatives designed to
build capacity and capability; SC activities that only serve to gain access, or influence other
actions that do not enhance the FSF capacity or capabilities, or that are outside the security
sector fall outside the scope of SFA. Other interagency partners focus on
improving/reforming PN forces assigned to non-defense ministries (or their equivalents)
such as interior, justice, or intelligence services. If the OE limits participation of other
interagency partners, DOD may be required to develop capabilities of non-defense PN
forces as part of SFA. For example, a FID operation includes the FSF and other HN
government and civilian institutions; the focus of SFA activities is just with the FSF, and
the other interagency activities support specific FID objectives shared by the HN and the
USG. See Figure II-1 for the role of SC activities, which include SFA, among notional
operations across the conflict continuum. SFA can be used during all military operations
and during all phases of an operation/campaign. Normally, SFA activities are part of any
unified action by the USG to include multinational or international organization forces
conducting SFA-equivalent activities.
(1) FSF are all organizations and personnel under PN control with the mission of
securing the PN’s population and protecting its sovereignty from internal and external
threats. FSF generally include military, paramilitary, police, and constabulary forces such
as border police, coast guard, and customs organizations, as well as prison guards and
correctional personnel and their supporting institutions. SFA activities may occur in
situations not immediately recognizable as SC, such as ad hoc arrangements made by local
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Chapter II
Notional Operations Across the Conflict Continuum

Peace Conflict Continuum War
Large-Scale Combat Operations
Range of
Crisis Response and Limited Contingency Operations Military
Operations
Military Engagement, Security Cooperation, and Deterrence
Security force assistance, among other security cooperation activities, may be conducted continuously
across the conflict continuum alongside a wide variety of operations and activities that span the range of
military operations.
Figure II-1. Notional Operations Across the Conflict Continuum

US military commanders with nearby PN forces. Institutions that support FSF include
government ministries or departments, academies, training centers, logistics centers, and
similar local through national-level activities. These institutions provide the supporting
doctrine, organization, training, materiel, leadership and education, personnel, facilities,
and policy (DOTMLPF-P) for the FSF.
(2) SFA activities are conducted to organize, train, equip, rebuild/build, and
advise (OTERA) FSF from the ministerial/department level down to the tactical unit level.
DOD maintains capabilities for SFA in SOF, CF, the DOD CEW and, when necessary,
contractor personnel. SFA activities are most effective when conducted by carefully
selected, properly trained, and well experienced personnel (as trainers or advisors). In
addition to being SMEs, they should also have the sociocultural understanding, language
skills, and seasoned maturity to relate more effectively with and train FSF. Ideally, SFA
activities help build the FSF’s capacity to manage and maintain their own forces
independent of sustained USG efforts.
With, through, and by. Describes the process of interaction with foreign
security forces (FSF) that initially involves training and assisting
(interacting “with” the forces). The next step in the process is advising,
which may include advising in combat situations (acting “through” the
forces). The final phase is achieved when FSF operate independently
(act “by” themselves).
Department of Defense Instruction 5000.68,

Security Force Assistance (SFA)
(3) GCCs incorporate SFA requirements into plans and must maintain a record
in the G-TSCMIS of all subordinate commands and DOD entities conducting SC activities
in their respective AORs. GCCs forecast their annual SFA requirements based on
collaborative assessments of the needs of FSF and in coordination with the JS. The Office
II-8 JP 3-20
of the Secretary of Defense (OSD) considers these requirements to prioritize, coordinate

for funding as applicable, and meet priority global requirements.
For additional information on SFA, see Appendix B, “Security Force Assistance.”
3. Security Cooperation and Joint Operations
A significant number of SC activities are conducted as a part of the GCCs’ TCPs, but
limited contingencies, crises responses, or major operations can also involve some form of
SC. For example, an HN reforming or upgrading its security and defense institutions with
SC activities supporting SSR could discover a significant and emerging internal threat,
which could lead the USG to determine that a contingency FID operation is warranted. In
situations that have deteriorated to the point of potentially overwhelming the HN, US
forces committed in the third category of FID (US combat operations) for a US COIN
operation could continue training and equipping (indirect support) the HN security forces
until they are fully capable of taking over all combat operations. The following represent
the most likely US joint operations in an affected HN that could also require concurrent
and related SC support.
a. FID. FID is the participation by civilian and military agencies of a government in

any of the action programs taken by another government, or other designated organization,
to free and protect its society from subversion, lawlessness, insurgency, terrorism, and
other threats to their security. USG conducts FID through a whole-of-government
approach to enhance an HN’s IDAD strategy and program by focusing specifically on an
anticipated or existing internal threat. There are three categories of FID: indirect support,
direct support (does not include combat), and US combat operations with or in place of HN
forces. The COM in the HN typically leads the FID effort on behalf of DOS and in
coordination with the designated JFC. Depending on the severity of the threat(s), the JFC
may have to lead the unified action for the FID effort until the COM is able to assume the
USG lead within the HN. The HN, in coordination with the US country team and the JFC,
will determine if multinational partners can participate. Of those multinational force
partners that do participate, not all will make a military contribution; some may be more
inclined to support development of sociopolitical or economic institutions.
(1) While FID is a legislatively mandated core activity of special operations, CF

should be capable of conducting SFA to support a FID operation. SFA support to FID
focuses on training and advisory assistance to HN security forces including collaborative
planning with interagency and multinational partners, as well as HN authorities. Also, if
an HN has an SSR requirement as part of its IDAD program, SFA activities can support
SSR as part of FID or routine SC. FID requires a whole-of-government approach which
involves interagency partners providing various forms of security and developmental
assistance; SFA provides many, but not necessarily all, of the activities through which FID
can be accomplished.
(2) Other SC initiatives dedicated to the security sector that may support FID,
such as bilateral meetings or civil affairs activities, fall outside the scope of SFA.
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Chapter II
For additional information regarding FID, see JP 3-22, Foreign Internal Defense.
b. COIN Operations. COIN is the comprehensive civilian and military effort

designed to simultaneously defeat and contain insurgency and address its root causes.
COIN is primarily a political struggle and incorporates a wide range of activities by the
HN government of which security is only one, albeit an important one. Unified action is
required to successfully conduct COIN operations and should include all HN, US, and
multinational partners. The HN government, in coordination with the COM and the
designated JFC, should lead the COIN efforts. When the OE is not conducive to a civilian
agency lead for the COIN effort within a specific area, the JFC must be cognizant of and
able to lead the unified action required for effective COIN. Also, in addition to local
anarchists, terrorists, and violent criminal enterprises, certain insurgents will solicit, or be
offered, external support from state or non-state actors, which can include transnational
terrorists and criminal organizations. A major COIN operation may require SC activities
to enable or enhance the HN’s COIN capabilities and to enable the transition and transfer
of all internal security responsibilities from the JFC and COM to the HN government and
to a new routine SC relationship with the affected HN. During US COIN operations in
support of an HN, the efforts to build HN security forces occur through FID using SFA
activities.
For additional information regarding COIN operations, see JP 3-24, Counterinsurgency.
c. CT. CT are those activities and operations conducted to neutralize terrorists and
their organizations and networks in order to render them incapable of using violence to
instill fear and coerce governments or societies to achieve their goals. If necessary for
national defense, the President or SecDef may approve a unilateral CT operation by US
forces against transnational violent extremist organizations and their associated terrorist
organizations in other countries. Improving a PN’s CT capacity and capabilities will
enable a PN to ultimately defeat terrorism within its borders with minimal, if any, US
assistance. Ultimately, the goal is to make countries more self-sufficient and reduce the
need for US intervention in support of US interests.
For additional information regarding CT, see JP 3-26, Counterterrorism.
d. CWMD Operations. CWMD, across the three LOEs (prevent acquisition, contain
and reduce threats, and respond to crises), includes activities conducted across the USG to
counter efforts to coerce or attack the US, its Armed Forces, allies, partners, and interests
with chemical, biological, radiological, or nuclear weapons. This includes efforts against
WMD actors of concern to curtail the conceptualization, development, possession,
proliferation, use, and effects of WMD, as well as related expertise, materials, technology,
and means of delivery. SC activities to build a PN’s CWMD capacity enhance collective
regional and national capabilities to receive timely warnings, track materiel of concern,
secure illicit WMD materials and stockpiles, respond to and defeat WMD threats and, when
necessary, respond to effects of an attack using WMD. CWMD SC-related activities,
programs, and training promote common threat awareness; develop CWMD self-
sufficiency, military interoperability, military and civilian preparedness; mitigate WMD
risk; and assist PN forces to conduct CWMD operations, alone or with the assistance of
II-10 JP 3-20
US forces. Examples include training PN forces to use CBRN detection equipment at ports
of entry (e.g., airfields, border crossings, seaports); participating in maritime, land, and air
interdiction exercises; and CBRN response tabletop exercises.
For additional information regarding CWMD, see JP 3-40, Countering Weapons of Mass
Destruction.
e. CD Operations. CD operations are those civil or military actions taken to reduce

or eliminate illicit drug trafficking. In addition to routine support for federal, state, and
local (including territorial and tribal) law enforcement agencies in their efforts to disrupt
the transport and transfer of illegal drugs into the US, DOD, as part of a whole-of-
government effort, continuously assists our PNs in their CD efforts. Close financial,
political, and operational linkages connect illicit drug trafficking with smuggling, and the
regional and global movement of violent extremists. Although DOD manages only a small
portion of the overall federal CD effort, DOD’s responsibilities encompass a broad and
vital array of support activities, many of which are conducted as SC activities under DOS
foreign assistance or DOD funding. This includes training and equipping PN security
forces to counter illicit trafficking. Illicit drug traffickers and terrorists often use the same
methods to smuggle money, people, information, weapons, and substances, and in many
cases, illicit drug traffickers and terrorists are one and the same. Looking beyond terrorism,
the illegal drug industry fuels violence and corruption to levels which are overwhelming
governments, threatening the stability of countries, or creating ungoverned spaces.
For additional information regarding CD operations, see JP 3-07.4, Counterdrug

Operations.
f. Stability Activities. Stability activities include military missions, tasks, and

activities conducted outside the US in coordination with or in support of other instruments
of national power to maintain or reestablish a safe and secure environment and provide
essential governmental services, emergency infrastructure reconstruction, and
humanitarian relief. Stability activities typically occur during all phases of an
operation/campaign in balance with offensive and defensive operations. Normally, civil-
military operations (CMO) and civil affairs operations are essential to stabilization efforts,
especially for larger and more complex operations.
(1) Led by DOS, and normally coordinated within each HN through the COM
and country team, the USG conducts stabilization efforts worldwide. Military support of
routine USG stabilization efforts is normally part of the shaping activities of a CCDR’s
campaign plan for security sector issues to prevent conflict and may occur as SC activities
or joint combined exercises for training conducted by Service/SOF component units.
(2) Leading up to and during transitions from a US lead to an HN lead through

the stabilize and enable civil authorities phases of a joint operation, SC activities may
become more prominent to facilitate the seamless transfer of responsibilities and authorities
from the military to DOS and the HN. For example, SC, as part of SSR, may provide
equipment and training to FSF as well as the supporting ministerial-level institution, which
would enable the HN to accept security responsibilities.
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Chapter II
(3) Post-conflict, after the required transfers of authorities and responsibilities to

the HN, stability activities also facilitate the transition back to a new SC relationship
between the HN and the USG.
For additional information regarding stabilization and stability activities, see JP 3-07,
Stability.
g. FHA. FHA consists of DOD activities conducted outside the US and its territories
to directly relieve or reduce human suffering, disease, hunger, or privation. Various
statutes and policies govern these activities, which range from routine military
engagements to limited contingency operations. US forces normally conduct FHA
operations in support of another USG department or agency, including FDR operations and
international CBRN response. US forces also conduct FHA activities as part of a GCC SC
program and/or to achieve specific TCP objectives. SC activities can be used to support
USG efforts to build partner capacity of FSF to conduct or support humanitarian assistance
activities, with a focus on civilian institutions.
For additional information regarding FHA, see JP 3-29, Foreign Humanitarian Assistance.
h. PO. PO are crisis response and limited contingency operations that can involve all
instruments of national power. PO normally include international efforts and military
missions to contain conflict, reestablish the peace, shape the environment to support
reconciliation and rebuilding between two or more factions within the indigenous
population, and facilitate the transition to legitimate governance. The UN or another
international organization typically sponsors PO, but a coalition or unilateral US mission
may also conduct PO. Examples of SC activities in PO include establishment of an
indigenous security force to help enforce peacekeeping and other PO, or development of a
third-party nation’s military capacity and capabilities to participate in a multinational PO
force. Upon completion of the PO mission, and with reasonable certainty of stabilization,
the USG may choose to enter a new routine SC relationship with the established HN
government as part of the TCP.
For additional information regarding PO, see JP 3-07.3, Peace Operations.
i. CMO. CMO are the activities of a commander performed by designated civil

affairs or other military forces that establish, maintain, influence, or exploit relations
between military forces and indigenous populations and institutions by directly
supporting efforts for stability within an HN or a region. CMO not only enables and
enhances the integration of US, HN, multinational, or international organization
capabilities and forces, but also the interaction of the military forces with NGOs, civilian
authorities, the private sector, and the indigenous population in general. CMO are key
to joint force engagement in all forms of irregular warfare and the conduct of stability
activities in all joint operations. Whether conducted in a joint operation or in support of
SC activities under foreign assistance, CMO, with integrated civil affairs operations,
include a wide range of activities such as civil administration support, populace and
resources control, civil information management, and FHA. SC may also be used for
civil affairs to train PN forces to conduct CMO.
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For additional information regarding CMO, see JP 3-57, Civil-Military Operations.
j. Military Information Support Operations (MISO). MISO are planned

operations to convey selected information and indicators to foreign audiences to influence
their emotions, motives, objective reasoning, and, ultimately, the behavior of foreign
governments, organizations, groups, and individuals in a manner favorable to the
originator’s objectives. MISO can be used to amplify or publicize the effects of the
application of diplomatic, military, economic, and other informational instruments of
national power. MISO apply to a wide range of military operations such as stability
activities, PR, maritime interdiction, FHA, CD, force protection, counter-trafficking,
counter-propaganda, FID, COIN, and CT operations. MISO may support the COM and
country team by facilitating the conduct of US embassy programs when properly requested.
Service members who specialize in MISO can advise and assist HN personnel with civil
programs (e.g., health and sanitation awareness, ethnic tolerance, and reconciliation), that
align with USG objectives or build partner capacity in the effective conduct of MISO when
specifically authorized. Disciplined employment of other IRCs can complement the
effectiveness of MISO. Whether conducted in a joint operation or in conjunction with
another activity, MISO can significantly impact the achievement of the objectives of SC
activities by shaping the information environment in all phases.
For additional information regarding MISO, see JP 3-13.2, Military Information Support
Operations.
k. Countering Threat Networks (CTN). CTN is the aggregation of activities across

the USG that identify, analyze, neutralize, disrupt, or destroy threat networks. These
activities may occur continuously and simultaneously at multiple levels (tactical,
operational, and strategic) and may employ capabilities in a direct or indirect manner.
Threat networks are those human networks that present a threat to stability in the
operational area or the theater approaches. The underlying informational, financial,
logistical, and political sub-networks enable these networks to function. These networks
are a primary adversary target against which commanders can use SC activities to support
CTN. Based on coordination with appropriate interagency partners, CCMD planners
should incorporate SC program considerations within their campaign plan for CTN
capabilities. Within their planning process, SC planners should conduct rigorous
assessments of partner capacity and trustworthiness to inform SC programs that support
CTN. Also, adequate security and vetting must be conducted to ensure transferred
knowledge and capabilities do not weaken DOD operational advantages in current and
future operations. Throughout the development of SC programs that support CTN, SC
planners should conduct continuous, active, and robust coordination with interagency
partners (e.g., DOS, Department of the Treasury, and DOJ). They also should consider
US- and HN-applicable laws that affect collection, data retention, and access, as well as
network disruption (e.g., prosecution) early in the planning process.
For more information on CTN, see JP 3-25, Countering Threat Networks.
l. Counter Threat Finance (CTF). CTF activities and capabilities are employed to
deny, disrupt, destroy, or defeat finance systems and networks that negatively affect US
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Chapter II
interests in compliance with all existing authorities and procedures. It includes those
activities and capabilities undertaken with other USG departments and agencies or PNs.
DOD CTF counters financing used to enable terrorist activities and illicit networks that
traffic narcotics; WMD; improvised explosive devices; other weapons, persons, precursor
chemicals; and related activities that support an adversary’s ability to negatively affect US
interests.
m. PR. PR is the sum of military, diplomatic, and civil efforts to affect the recovery
and reintegration of isolated personnel. Commands conducting SC activities within a PN
should ensure appropriate coordination with the supported CCMD, their Service
component command, and the SCO within the HN to facilitate PR of deployed individuals.
SC activities also present opportunities to establish relationships with HN forces that could
facilitate PR mechanisms for future situations.
For additional information regarding PR, see JP 3-50, Personnel Recovery.
4. Security Cooperation Authorities and Programs
Legal authority to propose certain SC activities/programs is not necessarily the

funding authority required to actually conduct those activities/programs.
a. SC activities are conducted with DOD funds, forces, and authorities, and with DOS
SA funds and authorities, administered by DOD. In many cases, SC activities complement
foreign assistance of other USG departments and agencies and those efforts of
multinational partners in support of a friendly nation. Thus, multiple sources may support
the planning, coordination, funding and other authorities that link USG strategy to SC
activities. Examples include:
(1) Joint Combined Exchange Training (JCET). The primary purpose of the
JCET authority (Title 10, USC, Section 2011) is to foster the training of US SOF in
essential skill sets by training with FSF in their indigenous environments. JCET uses SOF
Major Force Program 11 funds to build the capability of US SOF by conducting combined
operations in unfamiliar environments in order to develop language, instructional, and
advisory skills, as well as familiarity with PN geography and sociocultural factors. JCET
must clearly link the training provided to the PN with the SOF unit’s mission-essential task
list. Although JCET usually provides some benefits to PN forces, it does not fall within
the scope of SFA because the intent is not to develop an enduring FSF capacity or
capability, but to provide training for US SOF. However, since JCET improves
interoperability between the US and PN forces and supports both CCDR campaign plan
and COM ICS objectives, it should be recognized during campaign and country planning
for its coincidental benefit to SC.
(2) Regional Defense Combating Terrorism Fellowship Program (CTFP).

CTFP is a program managed by DSCA to assess, plan, and develop an enterprise for
training and educating mid-to-senior-level defense and security officials of PNs to combat
transnational terrorism and counter ideological support for terrorism. Funded through
annual appropriations, CTFP builds and strengthens a global CT network of PNs with
II-14 JP 3-20
capabilities to collaborate on combating terrorism. The Assistant Secretary of Defense for

Special Operations/Low-Intensity Conflict (ASD[SO/LIC]) provides oversight.
(3) Combatant Commander Initiative Fund (CCIF). The CJCS may use the
CCIF (Title 10, USC, Section 166a) to provide the CCDR funds for a wide variety of
activities, including joint exercises (including participation by PNs or other foreign
countries), humanitarian and civic assistance (HCA), IMET to foreign military and related
civilian personnel (including transportation, translation, and administrative expenses), and
personnel expenses by defense personnel for bilateral or regional cooperation programs.
For further details, see CJCSI 7401.01, Combatant Commander Initiative Fund (CCIF).
b. Legal Authorities for SC. The primary statutory authorizations for SA are the
FAA of 1961, as amended (Title 22, USC, Section 2151), and the AECA of 1976, as
amended (Title 22, USC, Section 2751), which are typically used for SC activities.
Additionally, the National Defense Authorization Act for Fiscal Year 2017 consolidates
multiple SC authorities into a single, dedicated chapter (Title 10, USC, Chapter 16) on SC.
Various sections therein provide authorizations spanning military-to-military
engagements, training with foreign forces, support for operations and capacity building,
and educational and training activities, among other limitations, administrative, and
miscellaneous matters. These statutory authorities are subject to changes in USC and
through subsequent national defense authorization act (NDAA) adjustments related to SC
(similarly the annual DOS, foreign operations, and related programs appropriations acts
may adjust SA authorizations). DOS has the primary responsibility, authority, and funding
to conduct foreign assistance, including SA programs that may be administered by DOD
as a part of SC, on behalf of the USG.
For more specific information about SC programs and authorities, see Appendix A,
“Security Cooperation: Related Programs and Authorities.”
5. Security Cooperation Roles and Responsibilities
SC involves planning and interagency coordination by a myriad of organizational

entities from the departmental level down to the SCO in an HN, as well as participating US
military units. The following have significant roles and responsibilities for SC activities:
a. DOD. The USD(P) oversees, integrates, and coordinates DOD policies and plans
for coordination of SC policies, goals, and priorities for SecDef with MILDEPs, DOS, and
other interagency partners to enable greater unity of effort in activities that support national
security objectives. DODD 5132.03, DOD Policy and Responsibilities Relating to Security
Cooperation, details USD(P) responsibilities for SC. USD(P) and DOS counterparts are
responsible for the approvals, the funding, and other authorities required by CCDRs and
the Services for planning and executing SC activities in support of PN requirements and
US security objectives. USD(P) typically designates/delegates certain responsibilities for
SC to assistant or deputy assistant secretariat levels. USD(P) also oversees the
development of policy governing the use of the G-TSCMIS to support the resourcing,
assessment, planning, and monitoring of SC activities.
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(1) DSCA. DSCA is a separate agency of DOD under the direction, authority,
and control of USD(P). DSCA represents the interests of SecDef and USD(P) in SC
matters and is charged to direct, administer, and provide DOD-wide guidance to DOD
components and representatives to execute DSCA-managed SC programs. DSCA serves
as the resource sponsor for G-TSCMIS and oversees the development and continued
sustainment of the enterprise system. DSCA conducts SC and sales negotiations with
foreign countries in accordance with USD(P) and DOS guidance and negotiates and
concludes SC-related international programs. DSCA delegates the administration of SC
programs, as appropriate, to either the MILDEPs, CCMDs, DOD agencies, or DOD field
activities. DSCA establishes appropriate agreements and procedures with CCMDs and the
Defense Intelligence Agency (DIA) for the respective SDOs/DATTs, to provide guidance
and oversight of SC programs for which DSCA is responsible. DSCA advises the Defense
Technology Security Administration (DTSA) of proposed transfers of significant new
technologies and/or weapons systems and determinations of whether significant items or
specific sales must be sold exclusively through FMS.
(2) DTSA. DTSA is a DOD field activity under the authority, direction, and
control of the USD(P) that serves as the point of contact for development and
implementation of DOD policy concerning technology security, export controls, and
certain non-proliferation for military and dual-use items. DTSA identifies and mitigates
national security risks associated with the international transfer of advanced technology
and critical information. DTSA provides new and emerging partners with technological
awareness via bilateral and multilateral engagements and negotiations, thereby ensuring
applicable PNs have the agreements and security mechanisms in place to properly protect
US technology. This assistance facilitates DOD objectives to build partnership capacity
and capability and enhance interoperability. Additionally, DTSA responsibilities include
managing the Space Launch Monitoring Program; DOD’s patent security review process;
the development of DOD policy on technology security and foreign disclosure processes;
and advising DOD leadership on the development of policy and procedures governing the
disclosure and protection of classified military, and controlled unclassified information, to
international partners.
(3) Under Secretary of Defense for Acquisition, Technology, and Logistics

(USD[AT&L]) is responsible for establishing and maintaining policies for the effective
development of international acquisition, technology, and logistics programs, including
international armaments cooperation (e.g., science and technology collaboration, logistics
support), to support SC priorities. In coordination with USD(P), USD(AT&L) supports
the development of policies and procedures for foreign transfer of defense-related articles,
services, and technologies. In coordination with USD(P) and DOS, USD(AT&L)
identifies, prioritizes, and pursues defense agreements required to facilitate the transfer of
defense-related articles, services, and technologies to partners.
(4) In coordination with USD(P), the Under Secretary of Defense for

Intelligence (USD[I]) provides guidance for and oversight of intelligence-related SC,
including programs and resources, to build PN intelligence capabilities in support of SC
priorities. USD(I) also ensures defense intelligence collection and analysis is sufficient to
support SC planning, execution, and assessment, monitoring, and evaluation efforts.
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(5) JS. The JS assists the CJCS regarding statutory responsibilities for the unified
strategic direction of the US Armed Forces. However, the JS exercises no executive
authority. The JS represents CJCS’s implementation guidance for military plans and
programs and provides the CJCS with military advice concerning SC. In conjunction with
USD(P), the JS reviews the SC activities included in CCMD campaign plans to ensure the
planning guidance has been met. The JS also reviews allocation recommendations prior to
SecDef approval of forces and other resources for the execution of military activities in
campaign plans and operation orders. The JS produces the annual DOD campaign plan
assessment template in consultation with USD(P) to integrate and coordinate Service
support of CCMD campaign plans, as required. The JS recommends force and activity
designators for priorities in the distribution of defense articles, defense services, and
military education and training between and among PNs, organizations, and the US Armed
Forces and recommends priorities for allocation of materiel and equipment for PNs when
competing needs cannot be resolved by Director, DSCA. The JS collects and reviews the
CCDRs’ campaign plans and the CCDRs’ assessments and evaluations, and advises the
CJCS on the effectiveness of DOD SC efforts.
(6) CCMDs. Geographic CCMDs are the primary organizations for SC planning
and integrating SC activities into their TCPs. Functional CCMDs prepare campaign plans
that integrate their forces, resources, and funding for SC activities in coordination with the
geographic CCMDs, their Service components, international organizations and, when
appropriate, the affected SCOs. United States Special Operations Command (USSOCOM)
coordinates SC activities to be executed by SOF with the geographic CCMDs through their
theater special operations commands (TSOCs), including the deployment of special
operations liaison officers, as well as SOF Service components. US Transportation
Command coordinates movement within the Defense Transportation System, including
integration of DOD and PN cargo distribution into existing force flow and global
synchronization activities, as well as TDPs. CCMD planners should coordinate with
COMs, through the SDO/DATTs, during the development of ICSs. These ICSs should, in
turn, inform CCMD SC planners in the development of their required CSCSs/country
plans. SC planning is typically led by the plans directorate of a joint staff (J-5) and
supported by the other directorates (e.g., logistics directorate of a joint staff [J-4] for
building PN logistic capacity). CCMD desk officers often lead country planning and work
directly with the SDO/DATTs in their AORs and their counterparts in the Service
component commands to develop country-level plans and identify forces and resource
requirements. These desk officers are also the principal link between DOD-level staffs
(OSD and JS) and the SDO/DATTs and their applicable country teams. CCMDs review
their campaign plans by objectively and subjectively assessing, monitoring, and evaluating
the effects of their SC activities in achieving desired objectives relative to attaining the
intended end state. CCDRs must prioritize and approve the SC requirements of PNs
established through coordination by the SDO/DATTs (as DOD members of COMs’
country teams) and Service component commands. CCMDs integrate SC activities into
their CSCSs/country plans and campaign plans as necessary.
(7) TSOC. TSOCs are subordinate unified commands established by

USSOCOM to plan, coordinate, conduct, and support joint special operations. These
commands, and SOF, are under the combatant command (command authority) of
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USSOCOM, and under the operational control of the GCCs. Normally, GCCs exercise
operational control of SOF through the TSOCs when operating within their AORs. TSOCs
coordinate SOF integration and Service component support of SOF for FID, SFA, COIN,
CT, FHA, unconventional warfare, and other special operations core activities in all
campaigns and operations. TSOCs support SOF conducting SFA activities and other SC
activities in support of the GCCs’ TCPs.
(8) MILDEPs, Services, and Service Component Commands. MILDEPs and

Services support CCDR campaign plans and simultaneously pursue Service-specific SC
objectives consistent with national and theater strategic objectives. MILDEPs, Services,
and USSOCOM, in its Service-related responsibilities, support the CCMDs in shaping of
the strategic security environment by enabling security conditions favorable to US
objectives and interests. The Services may prepare Service CSPs at the discretion of the
Service chief. Service CSPs integrate Title 10, USC, programs to support CCMD
campaign and Service institutional objectives. If developed, and when appropriate,
Services may synchronize CSPs with CCMD campaign plans through their respective
component commands. The US Marine Corps and the US Navy each submit independent
Service CSPs via the Department of the Navy. The US Army and the US Air Force submit
their CSPs via their respective MILDEPs. Services are also responsible for executing sales
made through SA. The Service component commands prepare supporting objectives and
plans at the discretion of the component commander, CCDR, or Service chief to satisfy the
requests or requirements of the supported commander’s plan. Supporting plans should be
coordinated with the MILDEPs and may include organize, train, and equip responsibilities
such as exercises, readiness, interoperability, augmentation, joint enablers, and capabilities
development. Service components should also coordinate with SDO/DATTs on the
country teams to determine potential military capabilities that could be made available to
PNs through SC.
(9) SCO. This organization includes all DOD elements located in a foreign
country with assigned responsibilities for carrying out SA/SC management functions. An
SCO works under the authority of the COM. SCOs may be referred to as military
assistance advisory groups, military missions and groups, offices of defense and military
cooperation, liaison groups, and defense attaché personnel who have been designated to
perform SA/SC functions. Military units conducting SC activities in an HN normally work
closely with and coordinate with the SCO, but their lines of authority are through their
Service components and the supported CCDR, not through the SDO/DATT to the COM.
The SCO is responsible for assessing whether a PN can build and sustain capacity and has
the greatest visibility over the execution of SC activities. Generally, the SCO is responsible
for evaluating the results of SC activities and investments for the COM and GCC. Title
22, USC, Section 2321i (FAA) outlines the seven legislated SCO SA functions as follows:
(a) Equipment and services case management (i.e., FMS case management).
(b) Training management.
(c) Program monitoring.
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(d) Evaluation and planning of the host government’s military capabilities

and requirements.
(e) Administrative support.
(f) Promoting rationalization, standardization, interoperability, and other

defense cooperation measures.
(g) Liaison functions exclusive of advisory and training assistance.
(10) SDO/DATT. The SDO/DATT serves as the diplomatically accredited

defense attaché and chief of the SCO (if an SCO is present). As the COM’s principal
military advisor on defense and national security issues and the senior DOD military officer
assigned to a US diplomatic mission, the SDO/DATT serves as the single point of contact
for all DOD matters involving the US mission or DOD elements assigned to or working
from the US mission. All DOD elements under COM authority are within the coordinating
authority of the SDO/DATT, except for the Marine security guard detachment and naval
support units. The SDO/DATT operates under the authority of the COM and is the key
figure within the US mission for establishing and fostering an SC relationship with the HN.
The SDO/DATT, in collaboration with the GCC and other DOD components, provides
DOD input to the ICS. The SDO/DATT, or a designated member of the SCO, is the point
of contact for SC planning and development of the country plan with the GCC planners.
Subject to COM approval, the SDO/DATT is the lead integrator for SC activities with the
PN. For SC purposes, the SDO/DATT normally maintains coordination with Service/SOF
components and their SMEs when assessing the HN for building partner capacity. The
SDO/DATT, in coordination with the supported GCC, serves under the joint oversight and
administrative management of the USD(P) and USD(I) through the Directors of DSCA and
the DIA.
(11) The National Guard may appoint an officer to serve at the US mission under
the SDO/DATT as the State Partnership Program (SPP) liaison for the partner state’s
National Guard with the GCC and HN. The National Guard officer is nominated by the
partner state’s adjutant general, approved by the National Guard Bureau (NGB), and
accepted by the supported GCC. The National Guard officer coordinates all SPP events
and activities among the NGB, US partner state, the specific country team, and the HN to
facilitate the supported GCC SC policies, plans, and objectives. Also, the National Guard
officer may assist in coordinating required support for bilateral and/or multilateral military
engagements between the US and the HN, including activities not under SPP.
b. DOS. DOS maintains bureaus and offices (e.g., Office of US Foreign Assistance
Resources, Bureau of East Asia and Pacific Affairs) functionally and/or geographically
aligned with interagency partners (especially DOD), international organizations, and
foreign nations to coordinate effective execution of the diplomacy, development, and
defense aspects of US foreign policy. DOS analyzes the requirements for security-related
assistance as part of USG foreign assistance. DOS maintains interagency coordination
with respective counterparts in DOD concerning future SA programs and SC activities
with PNs.
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(1) COM. The COM, typically the US ambassador, is the principal officer in
charge of a US diplomatic facility abroad. The COM is the personal representative of the
President to the country of accreditation, and is responsible to the Secretary of State
(SECSTATE) for the direction, coordination, and supervision of all USG executive branch
employees in that country (except those under the command of a US area military
commander). As statutorily mandated, the COM directs and supervises all activities in
country and coordinates the resources and programs of the USG through the country team.
COMs approve the ICSs developed through their country teams in coordination within
DOS and through interagency coordination with DOD and other interagency partners at
the national level. COMs, through the SDO/DATTs on their country teams, coordinate on
the CCDRs’ CSCSs/country plans that will become part of the campaign plans. COMs
facilitate the coordination of PN security-related requirements that become part of the
specific SA programs and SC activities conducted by US military with those PNs.
(2) Country Team. The country team is the senior USG coordinating and
supervising body in a foreign country. Headed by the COM, it includes the SDO/DATT,
heads of all US embassy sections, and the senior member of each of the other represented
USG departments or agencies, as desired by the COM. The country team issues directives
to consulates, tasks action items for DOS offices and bureaus, and works to
deconflict/balance all agency programs and priorities within the context of the COM’s ICS
for that country. Depending on the size of a US embassy and the nature of US interests in
a country, each country team may be configured differently—and some may include more
than 40 interagency representatives, in addition to section chiefs and the head of the local
USAID mission. With guidance from DOS and the COM, the country team develops the
ICS regarding the PN, which influences the CCDR’s development of a CSCS/country plan
for that PN.
(3) Bureau of Political-Military Affairs (PM). PM is DOS’s principal link to

DOD. PM provides policy direction in the areas of international security, SA, and defense
trade. PM’s primary counterpart in DOD is the Office of the Assistant Secretary of Defense
for Strategy, Plans, and Capabilities. Joint force and Service planners may coordinate with
PM through OSD and the JS.
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CHAPTER III
SECURITY COOPERATION PLANNING
“Principles and rules are intended to provide a thinking man with a frame of
reference.”
Carl von Clausewitz

1780-1831
Prussian General
1. Introduction
This chapter provides planners with an approach to planning SC activities through the
development and execution of TCPs and CSCSs/country plans, subordinate and supporting
plans, and posture plans. As planners develop all the plans that operationalize the GCC’s
strategy, DOD components plan and execute SC activities, such as training, exercises,
military engagement, SSR, experimentation, education, personnel exchanges, and
armaments cooperation resourced through Services’ SC funds, SA programs, and other
funding lines and authorities. While SC activities are conducted primarily for routine
shaping as part of campaign plans, SC can be conducted in all phases of an operation and
across the range of military operations. Conducting SC activities in the midst of an
insurgency or major combat operation has proven a difficult challenge for US forces and
other interagency partners. The inherent cultural, political, leadership, and other
complexities associated with any SC activity demand careful and deliberate attention from
planners, especially at the component level. SC activities should be an essential
consideration of strategic and operational level contingency planning from the beginning,
including OE shaping during GCC’s theater strategy and theater campaign and contingency
planning. SC should be integrated into the specific operation or campaign plans in all
phases, not just as an afterthought for the stabilize and enable civil authority phases
following combat operations. Early planning should involve all relevant interagency
partners, whenever possible, to marshal and focus US and HN capabilities. Military
oversight and administration of SC during routine activities (as part of a campaign plan)
and in initial phases of an operation (such as deploying flexible deterrent or flexible
response options) are normally conducted by the SCO in the HN, or a designated JFC. A
JFC, or a designated Service or functional component commander, typically conducts
military oversight and administration of SC activities during combat operations and
through the transitions and transfers of authorities. As the transition progresses, oversight
and administration transfers back to the SCO. This chapter will not discuss how to develop
ICSs, TCPs (or other campaign plans), country plans, component support plans, posture
plans, or contingency plans, but will discuss how some of those strategies and plans relate
to SC planning and activities.
a. Theater Strategy. A theater strategy prioritizes the GCC’s efforts to satisfy

functional, theater, and global responsibilities. It also considers all authorities, means, and
capabilities available for the planning of the operations, activities, and investments to
achieve DOD objectives and complement related USG efforts. Informed by ICSs,
functional strategies, other forms of strategic guidance, and the CSCSs/country plans, a
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GCC’s TCP operationalizes the theater strategy, as do the supporting plans of all DOD
components. NOTE: The term “all DOD components” means: OSD, the MILDEPs,
CJCS and the JS, CCMDs, the Office of the Inspector General of DOD, DOD
agencies, DOD field activities, and all other organizational entities in DOD.
(1) USAID missions prepare a country development cooperation strategy for

each country in which a USAID mission is posted. These development strategies are
integrated with the ICSs and influence a GCC’s theater strategy, and in turn, the TCP and
CSCSs/country plans.
(2) During strategy and plans development, GCCs coordinate with country teams
to integrate the COM’s guidance for each country involved. In the case of a conflict
between guidance by the COM and the GEF/JSCP, SecDef, normally through USD(P),
facilitates further coordination between DOD and DOS and may provide additional or
clarifying guidance to the GCC. Complementary strategies among interagency partners
are key to planning effective interactions with PNs that include SC activities.
(3) The initial strategic estimate is a prerequisite to preparing theater strategy that
provides an understanding of the factors and trends that influence the CCMD’s strategic
environment and informs the ends, ways, means, and risk involved in pursuit of GEF- and
National Military Strategy-directed objectives. The operational approach outlines the
missions, operational concepts, tasks, and activities needed to achieve TCP objectives and
describe the priorities for shaping, force posture and access, building partner capacity, and
routine operations support. This process may also identify intermediate objectives and the
milestones that must be met over time to reach the strategic end state and introduce LOEs.
b. TCPs
(1) The CJCS directs deliberate preparation of campaign plans, as well as

contingency, posture, and supporting plans via the JSCP, which translates broad guidance
in the GEF into specific strategic and operational planning directives to CCDRs, Service
chiefs, and select DOD agency directors. Strategic objectives outlined in the GEF are
broad in scope, prioritized to inform resourcing decisions, and focus two to five years into
the future. The JSCP provides direction for developing campaign plans and expands on
global defense posture, force management, and SC guidance found in the GEF. Annually,
GCCs must forecast SFA requirements to the CJCS and the Services to ensure those
requirements can be met or to assess the risk. The TCP includes a discussion about the
resources—especially forces and funding—assigned to and required by the CCMD, and
addresses the impact of resource shortfalls in terms of strategic and operational risk on
achievement of theater objectives.
(2) TCPs, with their nested CSCSs/country plans, are the primary documents
used to plan, organize, integrate, and execute SC activities in the GCCs’ AORs. TCPs
implement the GCCs’ theater strategies and provide a comprehensive framework for
integrating SC activities for routine shaping (“setting the theater”) to achieve US national
objectives and as required by the GCC’s contingency plans and other military stabilizing
activities that complement ongoing DOS diplomacy and USAID development efforts in
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support of USG foreign policy. TCPs have a programmatic dimension and articulate the
GCC’s rationale for sufficient resources to fund and authorize SC activities. TCPs provide
LOEs to the objectives that establish SC activities and resource investments as well as to
integrate and synchronize operations throughout the theater. When applicable, lines of
operation (LOOs) may also be established in the TCP for specific objectives. The joint
planning process guides the development of TCPs. The SC aspect of a TCP requires a
planning process that is iterative and often requires assembling various resources and
funding streams into a coherent, actionable plan. TCPs provide an important link to the
resources necessary to implement the theater strategy; they should anticipate threats and
assess risks associated with limited resources to execute the TCP. SC planning and
execution are conducted in four stages and are conducted concurrently as part of the TCP.
Unlike joint planning, SC planning and execution follow programmatic timelines for USG
budget cycles and are based on US-assessed PN requirements presented as SC activities
and investments that must be approved and resourced (i.e., funds and forces) before
mission planning by the tasked DOD components.
(3) A CSCS is nested with the TCP for each PN where the GCC intends to apply
significant time and resources. At a minimum there should be a CSCS/country plan for
each ally and PN identified in campaign objectives in the GEF. The CSCS/country plan
provides PN focused objectives and resources and should be linked to the campaign plan
objectives, which directly link to the GEF-directed prioritized objectives, as well as
resources that should be outlined in the TCP. Accordingly, geographic CCMD planners
and desk officers should coordinate each CSCS/country plan and associated resource
requirements to reflect inputs from applicable DOD components.
(4) Resourcing SC. TCPs require a strong programmatic dimension that

articulates the GCC’s rationale for sufficient resources to conduct the SC activities
necessary to achieve the campaign’s SC objectives. TCPs also provide an important link
to the other resources necessary to implement the theater strategy. The TCP should
highlight what can be accomplished within existing resources and what will require
additional resources over time. GCCs sponsor SC, but they control very few of the
resources applied in conducting SC activities in their AORs. DOD components are
responsible for the vast majority of SC activities, which are not conducted as joint
operations. The TCP is a reference for the Services and other agencies to justify their
funding and resource requirements to include development of their program objective
memorandums (POMs). See paragraph 4, “Identifying Resources and Authorities.”
c. Posture Plan. USD(P) manages the global defense posture that supports DOD
activities worldwide. SecDef provides posture planning direction to the CCDRs in the
GEF; the CJCS implements planning guidance specified in the GEF via the JSCP and tasks
CCDRs to submit annual theater posture plans to include pending overseas force structure
changes, which require coordination with DOS and the affected COMs. The CCDR’s
posture strategy links campaign objectives with the means to achieve them and identifies
posture requirements and initiatives (i.e., forces, footprints, and agreements). Posture
planning includes an analysis of how force structure will affect access arrangements and
the values and relative risks with respect to operation planning and warfighting capability,
SC activities/presence, force management, force protection, and PR. Posture plans align
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basing and forces to ensure theater and global security, respond to contingency scenarios,
and provide strategic flexibility. Theater posture planning is an important consideration as
CCMD planners determine the resources their command has available and begin to develop
the operational approach to a TCP. Posture initiatives may also alter the requirement for
certain kinds of forces and increase the need for others. Annually, GCCs submit theater
posture plans; integrated into TCPs, they support contingency plans and influence SC
planning. SC planners within the theater CCMDs and theater Service/SOF component
commands should be involved in the coordination of theater posture planning.
d. CSCSs/Country Plans. Developed by the CCMD, a CSCS/country plan, also

known as a country cooperation plan or country SC plan, provides the roadmap of specific
military objectives a CCDR intends to achieve over a minimum of one to three years. It
describes how the CCMD will work with the country team to conduct SC with the PN to
achieve both US and PN security objectives. A CSCS/country plan must articulate the
security roles envisioned for the PN and describe how the PN has agreed to pursue its
objectives with the US consistent with the bilateral security agreements that govern the
US-PN relationship. CSCSs/country plans must also articulate country-specific defense
objectives in a manner that is specific, measurable, achievable, relevant, and time-bound.
ICSs and applicable USAID country development cooperation strategies inform
CSCSs/country plans, and the SDO/DATT in the applicable PN coordinates them.
Analyses of PN requirements that will stimulate specific SC activities/investments also
inform the development of the CSCS/country plan. The TCP implements the
CSCS/country plan, including integration and synchronization of anticipated SC activities.
These activities include day-to-day presence missions, military-to-military exchanges, and
combined exercises. As appropriate, reviewing a CSCS/country plan with the PN during
development of the TCP facilitates alignment of US and PN goals.
e. Contingency Plans. Contingency plans are branches of campaign plans

deliberately planned for designated threats, catastrophic events, and contingent missions
without a crisis at hand. TCPs may provide support for shaping for contingency plans. Per
strategic guidance, contingency plans are nested within an overarching TCP by planning
the campaign to contribute to the prevention, preparation, and mitigation of the
contingency by using SC activities. Analysis of risks and challenges associated with
contingency plans should inform SC planning. Examples involve developing the
capabilities of multiple PNs to help deter an emerging or near-peer competitor, building
the capacity of a PN to support stabilization by generally preventing conflict and promoting
good governance or building partner capacity and capabilities to provide logistics support
or intelligence to mitigate risk to a contingency plan. SC programs and activities that
support USG stabilization efforts to mitigate a potential contingency normally are
complemented by some form of developmental or humanitarian assistance by DOS or
USAID.
f. DOD Component Support Plans. Appropriate DOD components may develop

supporting plans to a CCDR’s campaign plan and other campaign and contingency plans.
Service components and TSOCs use their supporting plans to develop and identify the
details regarding forces and resources, to include funding for tasked SC activities and their
need to anticipate and gain CCMD and DOD support for SC funding through their POMs
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for the out-years. See paragraph 5, “Timeline for Funding and Authorities,” regarding the
“SC planning timeline” on the importance of DOD components projecting SC requirements
for the future.
2. Security Cooperation Planning Characteristics
SC planning is the process by which planners understand the USG’s security strategy
and the relationship with a PN, where they want that relationship to lead, and how to get
there. The willingness and ability of the PN to cooperate with the US shapes the objectives
the CCMD pursues with that country—and with countries in the region and theater as a
whole. SC planning determines mutually agreed-upon PN capabilities for which assistance
is required, then applies the necessary resources (e.g., funding, materiel, and training) that
will be provided through SC.
a. SC Planning. ICSs support SC planning by informing the CCDR’s strategy and

the development of CSCSs/country plans. The CSCSs/country plans in turn inform the
campaign plan and the Service components’ and special operations components’ CSPs,
which should support CCDR and national objectives. The CCDR’s contingency plans
normally support specific objectives, and the campaign plan includes the shaping activities
that support those contingency plans. Campaign plan objectives, priorities, LOEs, etc.,
sometimes informed by other strategic or statutory guidance, identify PN requirements
(i.e., desired capabilities) for potential support by specific SC activities. Those PN
requirements, determined through collaboration among the SCO, Services/SOF, and the
PN, and approved by the COM, become the basis for specific SC activities that must be
planned. In the case of conflict between COM and GEF/JSCP guidance, SecDef, normally
through USD(P), may provide additional or clarifying guidance to the CCDR. Typically,
the cycle for PN requirements resulting in executed SC activities can require up to five
years. Routine SC planning is conducted through the joint planning process, but also
includes a process of “PN requirements planning” and then “mission planning” once
funding and authorities are approved. SC planning directly supports the strategies of
building security relationships, building partner capacity and access; it also supports USG
stabilization efforts within a PN. SC supporting execution of a limited contingency or
major operation would be planned and executed as part of that operation without the
lengthy programming and budgeting aspects.
b. TCP Characteristics. The TCP (and other plans) should identify the ends-ways-
means-risk questions that help structure the planning for the respective campaign or
operation. The TCP establishes a known point of departure with agreed-upon objectives.
SC planners must understand the differences in US-PN relationships for all countries in
theater that are covered by the TCP objectives. As a mechanism for SC planning, the TCP
typically addresses various levels of conflict that involve operations, activities, and
investments that may include the following:
(1) Contingency shaping or deterrence conducted unilaterally.
(2) SC activities—whether bilateral or multinational; require planning with the

PN(s) or international organization, and may have shaping or deterrent effects.
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Chapter III
(3) Ongoing operations or crisis response, conducted as part of a joint operation,

with possible SC activities (e.g., advising, equipping, and training).
(4) Other operations, activities, and investments conducted unilaterally without

SC characteristics.
c. Organizing SC Planning. The country plan for each PN is based on an analysis

of a PN’s capabilities, sustainability, and security objectives, and how they correlate with
USG objectives. Once determined through a collaborative assessment, the PN
requirements for building partner capacity (or partnership or access) must be vetted and
funded before investments are made and/or tasked units can mission plan and execute SC
activities.
(1) SC Guidance and Objectives. A TCP, with nested CSCSs/country plans

supports the achievement of theater objectives and the GCC’s share of responsibilities for
achieving national security objectives through shaping activities with the intent to prevent,
prepare for, or mitigate contingencies. Normally conducted out of urgent necessity,
contingency and crisis response plans generally have more focused objectives with LOOs
and LOEs designed to achieve them. The operational approach for the TCP should provide
a clear and logical explanation of how the CCMD will use the available ways and means
(especially SC) to move toward its objectives over a five-year period that informs and
shapes the Future Years Defense Program. The importance of achieving objectives and
supporting objectives should be delineated in terms of time, resources, and military
necessity. GCC-sponsored CSCSs/country plans, developed in coordination with the
SCOs, align objectives and LOEs with PN requirements and capabilities. TCP guidance
and objectives provide an overarching framework for SC activities, but the CSCS/country
plan should assess the PN’s willingness and propensity to support or implement DOD
priorities, improve institutional capacity, and build partner capacity, all in the context of
the DOD-envisioned security role for the PN. PN requirements and objectives also help
DOD components if they develop support plans for the TCP and other plans. Generally
speaking, year-to-year, short-term SC objectives are based on the longer-term GCC and
national objectives. Similarly, agreements between the USG and PNs facilitate planning
and execution of SC activities. As such, strategic guidance requires the TCP to identify
objectives rather than an end state as the “ends” in the ends-ways-means-risk analysis.
(2) SC Initial or Baseline Assessment. Planners at each echelon need to assess

the current level of operational and institutional capacity and capabilities against what is
required by the PN to perform each desired role. Initial or baseline assessments should be
accomplished by personnel with expertise in the functional areas being assessed. This is
especially important at institutional levels that generally fall outside of CCDR and SCO
expertise. The CCMD assesses the theater wide and country specific strategic and political
environment to plan for the achievement of GEF objectives. At the DOD component
(execution) level, the baseline assessment depends more on technical and tactical
considerations: the required (or desired) PN capacity, the capability gaps, and the tasks the
DOD component can execute to bridge the two. An initial analysis of the PN capabilities
should identify specific opportunities and requirements for successful SC with the PN and
highlight any PN interdependencies across the security sector, as well as the PN’s ability
III-6 JP 3-20
to sustain increased capacity. SCO analysis, in collaboration with the Service/SOF

components’ and other relevant SMEs, and coordinated with other members of the country
team and the COM, as appropriate, facilitates development of the country plan. Also, it
should account for the sociocultural, economic, and politico-military factors in the OE to
include regional threats and influences (e.g., transnational terrorists, and adversarial,
friendly, or benign neighbors). Similarly, the SCO should provide an assessment of third-
party activities with the PN to inform DOD planning. A third partner or ally may be better
suited to build a PN’s capacity. The SCO must coordinate with the CCMD planners
responsible for the CSCS/country plan to leverage their expertise and perceptions and, as
necessary, facilitate coordination between those planners, the country team, Service/SOF
component, and other relevant SMEs. As discussed in Chapter V, “Security Cooperation
Assessment, Monitoring, and Evaluation,” subsequent assessments should reference the
baseline assessment as further SC activities are planned and executed. Normally, the SCO
is central to any SC assessment of the PN on behalf of the COM and GCC.
(3) Plan Implementation. As part of SC planning, plan implementation can be

described as moving from understanding USG objectives and identifying PN security
requirements to planning specific SC activities to be conducted with the PN. With a shared
understanding of objectives, normally articulated through the TCP, and knowledge of PN
requirements, the SCO, Service/SOF components, and other applicable stakeholders in the
joint planning and execution community can collaboratively develop, list, and prioritize
SC activities (and SC investments) as approved by the COM. The proposed SC activities
must be vetted by the GCC for further coordination and programming action. The CCMD
will vet each SCO’s requested (and collaborated) SC activity and investment, and
coordinate with the JS and OSD for funding and other authorities. Concurrently, the
planning team identifies required forces and capabilities necessary to accomplish the
specified and implied tasks of the SC activities. Once an SC activity is approved and
execution planning is initiated, specific units are identified to fill those force requirements.
DOD components program for funds and resources to support their SC activities and should
also endorse funding of DOS SA programs. DOD components’ support plans to the TCP
and CSCSs/country plans are typically more detailed to facilitate synchronizing the SC
activities and the required forces and resources in conjunction with the formal budget
programing timelines for Title 22, USC (Foreign Relations and Intercourse); Title 10, USC
(Armed Forces); and other funding authorities. Identifying resources and authorities will
be discussed later in the chapter.
(4) SC Monitoring. A critical part of implementation of SC is monitoring for

the purpose of evaluation. Monitoring involves collecting and reporting data as programs
are implemented and SC activities are executed, and enables DOD to track progress toward
stated objectives. SC monitoring may be focused at different levels, including output of
specific deliverables such as goods and services to document progress as well as outcome
SC monitoring to assess whether desired results are occurring in the timeframe anticipated.
SC monitoring, which may also include site visits, should also review and identify any
changes in the OE since the initial assessment and identify any unforeseen challenges that
impact execution and implementation. Each level of authority from OSD down to the
employed military unit that expects a qualifying evaluation (or follow-on assessment)
III-7
Chapter III
should clarify their requirements to the subordinate entity and develop an evaluation (or
follow-on assessment) plan during SC planning.
(5) Mission Planning. At some point during the requirements planning, the
execution or fragmentary order for the TCP and other approvals for funding and authorities
will allow both headquarters and units to begin mission planning for their SC activities.
Mission planning requires predeployment interorganizational coordination and
establishment of working relationships to finalize most of the details before the SC
activities are executed. Mission planning also requires certain authorities to expend funds
for site surveys and meetings with the SCO and PN counterparts, coordinate for logistics,
establish contracts and agreements, etc. In all cases, SC is executed subject to the bilateral
agreements that govern the US-PN security relationship. The individuals, units, and
organizations, especially those certified for SFA, and identified SA programs provided for
mission planning provide the means aspect of the SC part of the planning process.
d. G-TSCMIS. G-TSCMIS is the authoritative data source for DOD SC. G-TSCMIS
is a collaborative tool that can be used to comprehensively track, plan, forecast, monitor,
assess, and evaluate SC resources, programs, and activities around the globe. It enables
US under secretaries of defense, CCDRs, combat support agencies, Service chiefs, and
directors of DOD agencies/field activities to prioritize, support, and synchronize SC
activities with defense strategy objectives. It also provides commands the ability to link
associated SC activities through the use of key SECRET Internet Protocol Router Network
(SIPRNET) or Non-classified Internet Protocol Router Network databases to foster
transparency, prevent duplication, and drive DOD toward greater SC activity-strategy
alignment. In addition, G-TSCMIS enables users to identify gaps in SC authorities,
programs, and resources. DOD guidance mandates G-TSCMIS as the system of record for
DOD SC reporting requirements. Each organization using G-TSCMIS should establish
business rules consistent with USD(P) and Joint Staff J-5 [Strategic Plans and Policy]
business rules and policy guidance.
e. SC Planning Framework. Figure III-1 depicts a summary of the SC planning

framework with the following actions that correspond to their number (1–12) in the figure:
(1) The country team (including the SCO) develops an ICS for a PN from national
and DOS strategies and policies with COM guidance. Upon approval by COM and
following coordination at the department level (DOS-OSD), DOS approves the ICS.
(2) CCMD develops CSCSs/country plans for PNs based on ICSs and other
strategic guidance (e.g., GEF, JSCP, and theater strategy) in coordination with the SCOs
and DOD components (e.g., Services/SOF components and other relevant SMEs).
(3) CSCSs/country plans are nested within TCP, which also is informed by ICSs
and other national and defense strategies and policies.
(4) TCP provides objectives and priorities with LOEs that include SC activities
and investments.
III-8 JP 3-20
Security Cooperation Planning Framework
National Strategic Direction (Policy and Strategy)
Authorities and Funding 11

(Title 22 US Code)
10 Defense Security
Cooperation Agency
Manages Security
Cooperation (SC) for OSD Authorities
Department 9 and
Funding
of State Office of the 8
Secretary of
Defense
Coordination
(OSD) Geographic Combatant

Commander
(Titles 10 and 22 US
Theater Campaign Code, and other
Plan (TCP) 4 Statutes)
7 objectives and
Integrated Country Strategy priorities 7
3
Country Plans
Chief of
1 Mission and SCO Service/Special
2 Operations
Country Team
Forces
TCP Supporting Plans
Senior Defense Official/Defense Coordination and Tentative Mission
Attache leads Security Cooperation Planning for SC Activities 6
Organization (SCO) as part of
country team. with Partner Nation
Partner Nation Requirements
(expressed as specific SC 5 Components
activities)
Requirements planning for security Security cooperation activities conducted by

cooperation activities for a partner nation 12 Services/special operations forces and other
supports the TCP and country plan. Department of Defense components.
Figure III-1. Security Cooperation Planning Framework
(5) SCO and Service/SOF component SMEs develop PN requirements,

expressed as specific SC activities, in coordination with CCMD planners and DSCA. They
must support USG objectives in conjunction with the CSCS/country plan and TCP.
(6) DOD components develop TCP supporting plans and anticipate their force,
resource, and funding requirements to plan and execute specific SC activities with PN
based on requirements planning. Components support parts of their POMs, based on SC
planning requirements.
(7) SCO and Service/SOF components coordinate with CCMD to vet and
forward SC activities to OSD and DOS for authorities and funding.
(8) Geographic CCMD coordinates with OSD for authorities and funding and
with DSCA for management and administration of certain SA and other statutory
authorities and funding.
(9) OSD coordinates with DOS for SA authorities and funding.
III-9
Chapter III
(10) DOS provides certain authorities and funding (Title 22, USC) to OSD for
administration by DOD/DSCA.
(11) OSD provides authorities and funding to CCMD and Service/SOF

components and provides planning support to CCMDs on the appropriate and effective
uses of such authorities (Titles 10 and 22, USC, and other statutory authorities).
(12) Service/SOF and other DOD components complete mission planning and,
upon approval by the President or SecDef, execute SC activities in coordination with SCO
(and PN) and DSCA; CCMD and OSD monitor and evaluate SC activities.
3. Theater-Wide Security Cooperation Planning
SC planning requires an understanding of the strategic security environment and the

role the USG expects the PN to play in the theater. SC planning is required for each PN
where the GCC intends to apply resources, and SCOs prioritize their PN’s requirements
identified for SC activities/investments. The geographic CCMD SC planners must justify
the prioritization of SC activities for the collective group of PNs in the AOR. Some PNs
may receive more SC assistance than others across the theater. The funding process is the
more challenging aspect of long-term SC planning since most SC funding is short term by
statute. Once coordination with OSD and DOS authorizes and funds SC activities, SC
planning for each PN takes the form of mission planning among the geographic CCMD,
DSCA, the applicable SCO and country team, the Service and special operations
component(s), and the PN representatives. Of note, the disclosure of classified military
information to international partners is a factor for planning and execution of all SC
activities. It is critical for the planning of any SC activities to take foreign disclosure
considerations into account as early as possible.
For more information on foreign disclosure, see NDP-1, National Policy and Procedures
for the Disclosure of Classified Military Information to Foreign Governments and
International Organizations, and DODD 5230.11, Disclosure of Classified Military
Information to Foreign Governments and International Organizations.
a. Analyze OE. To gain insight into the OE, geographic CCMD planners use their
strategic estimate, the annually produced Joint Intelligence Estimate, biennially produced
Joint Strategic Assessment, intelligence estimates produced through the joint intelligence
preparation of the OE process, and relevant reports and sources to analyze the OE of the
AOR. They may also request and utilize DIA-produced theater intelligence estimates.
Additionally, for each country considered for PN status and SC, the CCMD and
Service/SOF component planners should develop specific information in coordination with
the SCO and, when possible, with PN representatives. At a minimum, planners should
identify:
(1) Current and projected threats to US interests.
(2) Current and projected threats to PN interests and neighboring countries as

well as the operational demands the threats impose on their national security capabilities.
III-10 JP 3-20
(3) USG departments and agencies on the country team and how their efforts
impact the CSCS/country plan.
(4) Treaties and agreements with a PN such as the status-of-forces agreement,

general security of military information agreement, HNS agreement, and ACSA that affect
the CSCS/country plan.
(5) The willingness and capability of the PN to support US interests and

objectives as a regional partner or regional leader.
(6) The capabilities and resources of the PN, such as force structure, defense
budget, and expenditures on weapon systems; the ability to absorb and sustain building
capacity and capabilities efforts; and institutional ability to sustain and retain USG efforts.
(7) The PN’s role in an international organization or in a multinational force.
(8) Anticipated PN changes in governance and participation, and risks of

instability, corruption, and other factors which may undermine the success of the SC
program.
(9) Friendly and neutral actors who may mitigate the actions of those opposed to
USG efforts.
(10) Security, diplomatic, and economic actors with interests and strategic goals
in the country and their relationships.
(11) Transportation and logistics infrastructure, particularly limitations and

vulnerabilities.
(12) Adversarial or competitive actors who may counter, oppose, or otherwise

interfere with USG efforts.
(13) Potential effects on regional balance of power.
(14) Opportunities for international organization or multinational support for a

regional approach to building capacity of one or more PNs.
b. Framing PN Requirements. At the theater level, the JFC initially assesses the
PN’s strategic and political situation in coordination with the SCO and component
commands. At the operational level (component commander or subordinate JFC), the
initial or baseline assessment by Service/SOF SMEs depends more on technical and tactical
considerations: the required (or desired) capability, the capability gaps, and the tasks the
components can execute to mitigate those gaps. Any initial CCMD-led collaborative
assessment efforts should identify a PN’s capability gaps in the context of an institutional
perspective, that is, from the ministerial/department level down to the tactical unit level.
This process should use a recognized methodology to analyze PN DOTMLPF-P, and it will
serve as a baseline assessment for all follow-on assessments.
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Chapter III
(1) Political Will and Capability for Partnership. Upon the identification of a
PN’s security role (i.e., the particular behavior or activity required of the PN), additional
analysis is performed to assess the PN’s political will and capability required to perform
the desired role(s). Planners should answer three main questions: Does the PN have
enough popular support for partnership with the US, and is the necessary degree of
consensus among the political leadership and, more broadly, among civil society, available
for the country to perform these roles? What operational capacity and capabilities does the
PN require for it to perform their role efficiently? What institutional capacity is needed to
sustain the required operational capability and capacity? Specific institutional factors to
consider include degree of legitimacy and legal status; capability of planning and
leadership; effectiveness of decision making; quality of resource management; availability
of human resources; status of equipment and logistics; consistency of essential services
such as clean water, waste management, electrical power generation, and availability of
fuels; and local civilian-military and integrating mechanisms.
(2) PN Institutional Capacities. The following are examples of institutional

capacities that should be considered and assessed:
(a) Constraints and restraints associated with PN security sector institutions,

legal framework, and individual political actors, and whether they can be narrowed to a
specific part of that sector (e.g., military forces, border forces, provincial police, or justice).
This may require determination of the extent of, if any exists, civilian control of the
military, and to what levels of accountability checks and balances exist in the PN security
sector.
(b) Strengths and weaknesses of existing security and justice sector

institutions and actors as well as relevant civil society organizations.
(c) The extent to which the PN is capable of defense strategic planning and
resource management processes (e.g., processes to convert resources to military capability,
evidence of a national defense strategy and the role of the PN defense ministry in resource
allocation, separation of branches of Service and their roles, role of the legislative branch
in the government.)
(d) Relationships between security forces and communities and the

responsiveness of the security and justice sectors to the distinct needs and perspectives of
the population.
(e) Complicity of security forces in past human rights abuses, manner and
extent to which past abuses have been addressed, and degree to which the human rights of
the population are currently respected and protected.
(f) Status of the PN’s defense sector human resource processes and efficacy
of military education and training programs; source of military manpower, volunteer or
conscripted; quality of life for military members (barracks, food, pay, medical care);
existence of a noncommissioned officer corps; provisions for systematic career
III-12 JP 3-20
advancement and retirement; effectiveness of personnel accountability system; and ability

of manpower management system to get the right person to the right place at the right time.
(g) Macroeconomic and financial management capacity of the PN to absorb

sustained assistance in the security sector.
(h) Procurement policies and practices—the PN’s ability to plan, program,

budget, and implement FMS, security and military assistance programs (e.g., FMF), and
direct commercial sales. For example, this includes the country’s ability and willingness
to plan for and implement measures to protect sensitive technologies.
(i) PN’s logistics capacity to sustain and support current military

technologies and platforms, including status of maintenance for major end items, as well
as maintenance training programs and life cycle management programs.
(j) Other third-party donor activity in the security sector.
(3) Access Considerations. Questions to consider regarding access include, but

are not limited to, the following:
(a) Does the US desire continued access to the region or country?
(b) Will the PN provide access to US personnel, and what restrictions are
imposed on them?
(c) What is the current state of security in country?
(d) Is there popular support within the PN for US access with or without
meeting certain conditions?
(4) A qualifying analysis of the will, capacity, and access should be done for all
PNs to begin or continue SC activities and likely would be addressed with each iteration
of an ICS (every three years by DOS), or with a change to the CSCS/country plan or TCP
by the COM.
c. Determine Potential SC Activities. SC activities must be based on DOD strategic

requirements, as well as a PN’s capability gaps and capacity to absorb and sustain
new/additional capabilities. Through the application of appropriate defense guidance and
with a shared understanding of a PN’s capacity, a SCO and CCMD identify potential PN
capabilities for provision or enhancement. Should a PN desire such capabilities, the SCO,
in collaboration with Service/SOF component and other relevant SMEs, will assess the
inputs required to develop the capabilities, the potential for specific SC activities to address
those inputs, the supportability of providing those inputs given available Service/SOF
capabilities and resources, and how those activities would advance the role of the PN with
regard to US national security interests. Those potential SC activities (and investments)
will be prioritized as part of the list of PN requirements recommended by the SCO to be
approved by the COM. PN requirements (as potential SC activities) will be further
prioritized with other PN requirements from across the AOR and within the context of the
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Chapter III
TCP objectives and available forces and resources. Concurrently, GCC’s CSCSs/country
plans will summarize PN requirements and detail the GCC’s approach to addressing the
prioritized gaps assessed across four areas of concern: political will, institutional capacity
and capabilities, operational capacity and capabilities, and access.
d. Service/SOF components plan their direct support of SC activities iteratively (and

some may also develop CSPs) in collaboration with their counterparts at the CCMD, SCO,
TSOC, Service component command, USSOCOM, and DSCA. LOEs in TCPs with nested
CSCSs/country plans and any completed component support plans and TSOC theater
strategy should cover the potential SC activities. DOD components work to match PN
requirements with their capabilities in the following categories of SC activities, many of
which have formal SC or SA programs of the same or similar titles that may be funded:
(1) Defense contacts and familiarization, especially military engagement,

whether a single event or on a periodic basis with PN personnel, facilitate the exchange of
best practices, the development of combined operating concepts, and the conduct of
planning discussions. Activities in this category include military staff talks, SME
exchanges, conferences, planning workshops, and similar events.
(2) Personnel exchange involves the assignment of defense personnel,

reciprocal or not, to PN defense ministries, military units, and other organizations.
Activities include exchange of civilian and military personnel and may be used to advance
a range of objectives, such as promoting interoperability or contributing to capacity-
building.
(3) Combined exercises and training involve bilateral or multilateral exercises

and/or training of US forces in tandem with PN forces, and unlike most SC activities, the
primary purpose of combined exercises and training is generally to enhance or maintain
US force readiness. As an example, programs such as JCET, primarily a training venue
for SOF, have a cumulative effect of improving interoperability between the US and PN
forces that may coincidentally support both CCDR campaign plan and COM ICS
objectives when conducted in priority countries. CCMD planners should consider the
manner by which SOF authorities for JCET, or similar exercises or training, complement
other DOD and DOS activities, authorities, and funds.
(4) Train-and-equip/provide defense articles allows the USG to provide PN

militaries with training, defense articles, and defense services through a variety of Title 22,
USC, SA and Title 10, USC, SC programs. Availability of such articles and services is
generally subject to foreign disclosure and technology security review, and should be
planned to address both these concerns and the absorptive capacity of the intended recipient
PN. While all categories of SC should be integrated in order to maximize impact, it is
particularly important that planners integrate the provision of defense articles with other
activities, such as DIB and education, in order to enhance prospects for the sustainability
and effective deployment of the articles.
III-14 JP 3-20
(5) DIB comprises SC typically conducted at the ministerial/department, military

staff/service headquarters, and related agency/supporting entity level to develop the
strategic and operational aspects of a PN’s defense institutions.
(6) Operational support entails the provision of defense articles, services, and
logistical support to PN military forces to enable them to conduct or sustain active military
operations. Operational support may include activities such as the provision of fuel,
maintenance of aircraft, or resupply of munitions, or may involve rapid capacity-building
to enable PN forces to operate within a coalition. In many cases, operational support is
provided under the auspices of a bilateral ACSA.
(7) The USG facilitates the participation of FSF personnel in US professional

military education institutions through both Title 22, USC, SA and Title 10, USC, SC
programs. Such programs provide for PN personnel participation in US Service
academies, senior military colleges, special programs such as the Western Hemisphere
Institute for Security Cooperation and the Aviation Leadership Program, and targeted
education programs at public and private universities. For example, the Regional Defense
CTFP is a program managed by DSCA to assess, plan, and develop an enterprise for
training and educating mid-to-senior-level defense and security officials of PNs to combat
transnational terrorism and counter ideological support for terrorism. Funded through
annual appropriations, CTFP builds and strengthens a global CT network of PNs with
capabilities to collaborate on combating terrorism.
(8) International armaments cooperation entails activities with PN defense

sectors involving cooperative research, acquisition, development, test, and evaluation of
defense technologies, systems, or equipment; joint production and follow-on support of
defense articles or equipment; and procurement of foreign technology, equipment, systems
or logistics support. Such cooperation may include government-to-government
coordination, as well as activities between nongovernment stakeholders, such as industry
organizations and scientific communities. International armaments cooperation is often
guided by PN-focused objectives (such as improving interoperability), as well as US-
focused objectives (such as reducing acquisition costs).
For more information, refer to Department of Defense Guidance for Security Cooperation.
e. Not always military in nature, SC objectives may be oriented to the security sector
or defense support to civilian authority, to support law enforcement, justice, emergency
management, disaster response, and other PN security reforms. Any SC objective must
support the TCPs and nested CSCSs/country plans. In such cases, other interagency partner
involvement and support are essential to making progress. CCMD planners should focus
on the role of DOD organizations and document what needs to be done by non-DOD
organizations. It is possible to have a CCMD SC objective that depends heavily (or totally)
on DOS—or other government agency—resources (e.g., Title 22, USC, funding and
authority) and also for DOD efforts to complement those of other government agencies
that are working toward the same goal. However, DOD involvement in some law
enforcement-related activities requires specific direction through statutory or
Presidential/SecDef authority and may require strict DOD/DOS oversight.
III-15
Chapter III
f. CCMD and component planners document the campaign’s SC activities in the

campaign plan, the posture plan, or the CSCS/country plan. The output of SC planning
manifests in the ways and means of those plans. An iterative process provides the
Services/SOF component commands the ability to articulate their priorities and rationale
for Service-centric activities within the AORs and integrate those activities with the
CCDR’s overall strategy implementation objectives.
g. CCMD and component planners identify how they expect the actual SC activity to
support theater and national objectives. They define assessment, monitoring, and
evaluation criteria that identify both how they will determine if the event results in the
expected outcome (e.g., trained PN forces) and how that outcome supports the broader
theater and national objectives.
4. Identifying Resources and Authorities
SC requires a commitment of USG resources and funds to execute SC activities that

benefit PNs and the US in their achievement of mutual foreign and defense policy
objectives. DOD should expect Congress, the Office of Management and Budget (OMB),
and others to ask where and for what purpose the SC funding is being spent, the risk
incurred in the absence or shortfall of funding, and whether the projected return on
investment justifies the expenditure. This requires CCMD-level analysis and cooperation
with DSCA and other DOD components to capture DOD-wide resourcing by country and
region and the manner in which that funding supports achievement of a GCC’s theater
objectives.
a. Planning for SC activities should inform global force management (GFM), program
and budget review (PBR), the Annual Joint Assessment (and CJCS’s Risk Assessment),
CCMD integrated priority lists, and the DOD Legislative Program.
(1) SC planning should integrate the CCMD’s directorates and offices when
developing and submitting CCMD inputs into DOD resource allocation processes. For
example, the operations directorate of a joint staff may be the lead for submitting rotational
and emergent force requirements through the GFM process; the force structure, resource,
and assessment directorate of a joint staff may be the lead for developing funding
requirements in the PBR; and the J-4 or J-5 may develop posture requirements.
(2) As planners develop a TCP, they identify discrepancies between current or

projected resource availability and what is needed to implement the plan. CCMDs should
then communicate the need for additional resources, and the risks associated with resource
shortfalls, through appropriate venues. These include in-progress reviews and department
and interagency resourcing processes, such as GFM, the DOD Legislative Program,
Service POM development, and DOS SA (e.g., FMF). Shortfalls in the projected budget
can be integrated into submissions such as the GCC’s integrated priority list.
b. Authorities and Funding
(1) One of the most significant aspects of SC planning involves gaining the
funding and authorities to identify resources for mission planning and execution of SC
III-16 JP 3-20
activities. CCMD SC planners should be familiar with the various resources available to
support the anticipated SC activities with the PNs in their theater. This includes Title 10,
USC, funding for which the country may be eligible, such as the various DOD SC programs
(e.g., Developing Country Combined Exercise Program) and other resources provided by
MILDEPs through their theater Service components. Theater Service components and
TSOCs normally have knowledgeable SC planners for their levels of participation. Title
22, USC, funding, such as FMF and IMET, is another key resource. Other interagency
partners and other countries may also provide resources that support CSCS/country plan
implementation coordinated through the TCP. Planners should also take into account
defense spending and other resources allocated by the PN toward its national security.
(2) SC authorities and funding of potential SC activities (and investments) for PN

SC requirements enable CCMDs, SCOs, and Service/SOF components to conduct SC
mission planning activities, including conferences, site surveys, seminars, formal SA
training, and pay for certain expenses associated with executing these activities. Funding
sources have certain intended purposes. Most Title 10, USC, funds are meant for DOD
missions. Special funds, such as CD and counterproliferation, address objectives specific
to the act that authorized the programs. Funding cannot be directed to uses not covered by
the authorization, but can be redirected within the scope of the authorization. Statutory
implications of SC funding and authorities typically require trained SC personnel in offices
throughout OSD, the JS, DOD agencies, DSCA, and the Services to manage these SC
programs, often with counterparts at the CCMD headquarters.
c. Forces. Posture planning influences force availability. The assignment tables

contained in the Global Force Management Implementation Guidance (GFMIG) and, in
years the GFMIG is not updated, the Forces for Unified Commands Memorandum convey
the SecDef’s direction for the assignment of forces from the Secretaries of the MILDEPs
to the CCDRs. When appropriate, SecDef provides allocated forces and resources not
already assigned to a CCDR for the execution of an approved military activity and
according to the Global Force Management Allocation Plan.
For additional details regarding GFM, see JP 5-0, Joint Planning, and CJCSM 3130.06,
Global Force Management Allocation Policies and Procedures.
d. If CCMDs determine that new or modified authorities are required, they can pursue
changes through the DOD Legislative Program. DOD authorities beyond those codified in
Title 10, USC, are established each year in the NDAA. OSD’s Office of Legislative
Counsel conducts the DOD Legislative Program to develop DOD’s annual request for
authorities in the NDAA for the program year (FY3), which is designated in a fiscal
planning cycle as FY3 (see paragraph 5, “Timeline for Funding and Authorities”). CCMDs
submit legislative proposals for new authorities through this process.
e. Following budget approvals and resources allocations to the CCMDs, CCMD

planners, desk officers, and operations officers, as well as the local SCOs need to determine
how newly available resources will be apportioned. Thorough documentation of planned
and executed SC activities into G-TSCMIS, including resourcing information, facilitates
such determinations. Rarely does a CCMD receive resourcing for all its proposed SC
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programs and activities. Modified, postponed, or cancelled plans, programs, and activities
need to be fed back into the planning process so the CCMD can evaluate the actual
resourcing’s impact on its plan and accomplishment of its theater objectives (and possible
impact on achieving national objectives).
f. In addition to US statutory authorities, the terms and conditions under which SC

can be conducted with a specific PN normally are governed by the bilateral agreements
either in place or which may be necessary to establish. In some cases, SC planning requires
the consent and settlement of a USG-PN bilateral security agreement, for example.
5. Timeline for Funding and Authorities
Each year, SC planners at all levels work at least four iterations of planning and
executing specific SC activities: evaluating and reporting on the last fiscal year (FY),
planning and executing SC in the current fiscal year (FY1), developing PN requirements
and mission planning for the next budget year (FY2), and coordinating and negotiating
DOD-DOS support of FY3. Some SC planners also project PN requirements and desired
SC activities through the out years (FY4 and FY5 or longer) to justify a continuing fiscal
investment in the approved security strategy and objectives for each PN. Figure III-2
graphically depicts FY1 through FY5 periods with notional SC activities in a simple
format. Such a timeline provides a graphic presentation to synchronize SC activities at one
or more levels (i.e., strategic, operational, and tactical) that, for example, may correspond
with an LOE in a TCP CSCS/country plan.
a. SC planning enables the GCC and staff to articulate the risk associated with
resource availability. The long lead times inherent in USG funding cycles mean GCCs
must provide funding requirements sufficiently early to influence budget decisions and
help direct resources to the GCC’s priorities. CCMDs must focus on establishing clear and
compelling narratives for the type of SC activities required to achieve the theater objectives
and by extension the resources to do this—at least two to three years ahead of
implementation (FY2, FY3, and FY4).
(1) The CCMD has greater influence in the resource picture in FY4 and FY5
when it clearly articulates the essential link between its resource requirements and the
implementation of its strategy. It is in the CCMD’s interest to map out a clear long-term,
time-phased plan of action with near-term and mid-term objectives so resource providers
can understand what the command is attempting to accomplish.
(2) If resource availability is highly constrained in the near-term, the scope of

campaign objectives and activities will likely have to be limited. In the mid- and long-
term, planners have greater latitude in identifying activities that require additional
resources because those resources can be requested. Thus, TCPs and CSCSs/country plans
can influence force allocation, authorities, funding, posture, and other resources toward
future CCMD activities.
(3) Developing this mid- and long-term framework allows planners to provide
the commander with the analytic underpinnings and justification for required resources.
III-18 JP 3-20
Notional Timeline for Security Cooperation

Planning and Execution
Near-Term Mid-Term
Year of Execution Objective Objective
FY1 FY2 FY3 FY4 FY5
Collective Exercise
Training FMS Case 2
FMS Case 1 Collective Training
Build Required Collective

Infrastructure Exercise DIRI
Training
Conduct Negotiate Negotiate Negotiate Formal Renew Basing SA

Assessment Landing Rights Basing SOFA
Negotiate Negotiate Port

Overland Transit Access
Mil-to-Mil Regional Mil-to-Mil Regional Mil-to-Mil Mil-to-Mil Regional

Conference Conference Conference
Establish Intel and Info Armaments Joint Coalition

Sharing Agreement Cooperation wrt to Operations (ISAF)
FMS Case
Communication Strategies
Current Country Planning Window Adjusting Proposed Extension to Country Planning

to the Resource Picture Window Shaping the Resource Picture
Legend
DIRI Defense Institution Reform Initiative Info information
FMS foreign military sales Intel intelligence
FY1 current fiscal year ISAF International Security Assistance Force
FY2 budget year Mil-to-Mil military-to-military
FY3 program year SA security assistance
FY4 out year SOFA status-of-forces agreement
FY5 out year wrt with respect to
Figure III-2. Notional Timeline for Security Cooperation Planning and Execution
Resource constraints will drive a CCMD to phase its objectives in such a way that
succeeding objectives cumulatively build upon preceding ones. Each LOE should tell its
own “sub-narrative” that contributes to the broader narrative related in the CCMD’s
operational approach.
(4) Planners should be aware that within the planning timeline, future SC
activities are dependent on current year execution. As such, planning for anticipated SC
activities should be flexible, based on the monitoring and evaluation of activities that
require synchronized completion. CCMDs should be prepared to change their SC planning
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and justify proposed changes in FY1 and FY2 programs based on evaluations of previous
years’ activities and realize the effects created by SC activities could lag by several years.
b. DOD allocates or re-allocates funding across existing programs and establishes

new programs through the PBR. The PBR is a concurrent review of the POM (DOD’s six-
year program) and the Budget Estimate Submission (DOD’s two-year budget), conducted
annually from August through December. The PBR provides a venue for CCMDs to seek
additional funding for FY3.
c. DOS SA programs, such as FMF grants and IMET, that directly support efforts to
build the capacity of and strengthen relationships with partners require lead time for
programming and planning, thus FY4 and FY5 coordination/negotiation for funding. A
process managed by DSCA develops FMF and IMET requirements for FY3. Because of
the size and scope of those SC activities, SCOs and CCMD staffs develop specific
recommendations for FMF and IMET funding and submit these recommendations to OSD,
DSCA, and the JS for coordination and eventual submission to DOS.
d. The availability of DOD resources will vary over time as a result of the
Department’s resource allocation processes and political and budgeting decisions. In FY1,
a CCMD will have limited ability to obtain additional funds or forces, except what may
become available when other commands do not use the resources allocated to them.
However, allocation of funding for certain SC programs may occur in FY1 or FY2. Even
in such cases, resources may not be identified until late in the year, the amount may be
limited, as multiple contenders compete for these resources.
e. Planning for FY3, FY4, and FY5 focuses on identifying forces, resources, and
capabilities. The apportionment tables, located on the Joint Staff J-8 [Joint Staff
Directorate for Force Structure, Resource, and Assessment] SIPRNET website, inform
planning by providing the quantities of forces reasonably expected to be available along
general timelines. During planning, forces are input into a time-phased force and
deployment list which sequences the forces required to execute the plan. SC planners
should collaborate funding issues with the respective stakeholders regarding the PBR;
submissions to the DOD Legislative Program; the Future Years Defense Program; and the
construction, acquisition, and research requirements of DOD.
f. SC planners should identify all the viable options that could be used to resolve
funding requirements and select those that achieve the best balance between being effective
and being cost efficient. For example, a PN capability gap may be rooted in a lack of
training, sustainment capability, or doctrine rather than an equipment shortfall, but fielding
new equipment might be the most expedient solution. Rectifying a training, sustainment,
or doctrine shortfall will usually be less expensive than solving a problem with an
equipment solution. While this approach may take more time to effect the desired change,
it may also provide a more sustainable solution. If the timeline for a PN to gain a capacity
is critical to US objectives, planners should consider what a third-party partner, such as an
ally or a capable regional PN, might be able to offer as an alternative to US SC. However,
there could be significant future interoperability and national policy considerations with
this approach, dependent upon the specific type of SA that is required (e.g., buy US Army
III-20 JP 3-20
weapons and systems). Accordingly, OSD policy and COM coordination with DOS would
be required.
g. Planners and resource managers should work together to determine creative ways
to plan and execute SC activities, as governed by policy and law. Historically, several
funding sources were used to support single events, and several programs were used to
support broader initiatives. This required the CCMDs to examine considerable challenges,
internally and externally, to planning, resourcing, assessing, monitoring, and evaluating SC
activities. The National Defense Authorization Act for Fiscal Year 2017 facilitates DOD
EXAMPLE SECURITY COOPERATION CONSIDERATIONS
Example security cooperation elements for consideration regarding the

notional provision of a counterterrorism (CT) capability for Country X
include, but are not limited to:
Programs and authorities (not exhaustive):
(a) Title 22, United States Code (USC), Section 2348 (Foreign Assistance
Act, Sections 571-574).
(b) Title 10, USC, Section 127c (Purchase of weapons overseas: force
protection).
(c) Title 10, USC, Section 333 (Foreign security forces: authority to build
the capacity).
(d) Title 10, USC, Section 345, (Regional Defense Combating Terrorism
Fellowship Program).
Resources (related to above programs and authorities):
(a) CT assistance funding (Department of State [DOS]/CT).
(b) Multinational partner support funds.
(c) Operations and maintenance training budgets.
Processes and organizations (examples):
(a) Foreign military sales case procedures and foreign disclosure

processes.
(b) Compliance with published guidance, directives, instructions, etc.
(c) Routine coordination among responsible offices and commands.
(d) The National Security Council, the DOS, the Department of Justice,
National Counterterrorism Center, National Joint Terrorism Task Force,
Department of Defense components, partner nations, and indigenous or
surrogate entities.
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planning, resourcing, implementation, and evaluation of SC activities by consolidating

DOD’s primary SC authorities into a more streamlined and rationalized set of six
authorities and repealing many legacy authorities. Despite improved predictability in SC
planning, execution, and assessment, not all SC objectives can be satisfactorily achieved
with DOD authorities and resources alone. Often, an interorganizational approach is
needed to achieve such objectives. This involves incorporation of SSR authorities and
programs (see Appendix A, “Security Cooperation: Related Programs and Authorities”)
from DOS, DHS, DOJ, and others to maximize the effectiveness of limited US resources.
6. Interagency Coordination
a. The primary conduit for interagency coordination during SC planning is the country
team and its DOD representatives, the SCO. At the country level, DOD is in a supporting
role to the COM. While neither the COM nor DOS have formal approval authority over
CCMD CSCSs/country plans, the plans should be consistent with the objectives and
priorities of the ICSs developed by the COMs for DOS and should align with the country
plans of DOS, USAID, and other government agencies working in the security sector of
the PN. Ultimately, the CCMD plans and DOS strategies both serve to achieve US strategic
objectives for the country and region. DOD’s participation through the SCO in country
team planning informs interagency partners’ plans.
b. SCO staff should brief their interagency counterparts on DOD planning guidance,
objectives, and priorities for the country. As the SCO and CCMD work to develop a
CSCS/country plan, the SCO should conduct targeted interaction with various members of
the country team and COM if necessary. For example, when developing elements of the
plan that could involve DOD humanitarian assistance or exercise-related construction
activities, the SCO should consult the USAID mission director to ensure USAID
development objectives, priorities, and activities inform the DOD CSCS/country plan.
Similarly, planners should coordinate elements of the CCMD plan related to building PN
security capacity with DOS counterparts responsible for SA programs.
c. With regard to future year activities, interagency counterparts should understand

that actual execution will likely differ from what is planned. Nevertheless, visibility on
planned activities (especially in the FY3+ timeframe) can help inform DOS’s planning and
resource allocation processes.
d. Promote cooperation events provide an opportunity for CCMD planners and staff
to meet with representatives from interagency partners. Meetings are typically conducted
in the Washington, DC area and held at various levels of authority from action officer or
planner-level up to general officer/flag officer/senior executive service, and include
plenary sessions, panel discussions, and staff visits to individual partner agencies. These
events should be viewed as two-way discussions designed to generate synergy and
synchronization of activities. CCMDs request these events through the JS J-5, which will
organize a promote cooperation event. Promote cooperation events are required for TCPs
and can be scheduled at any point in the planning process. A promote cooperation event
provides the opportunity to synchronize the theater strategy with US foreign policy for the
region, as established by DOS, and obtain interagency input at the beginning of TCP
III-22 JP 3-20
development. Usually, they are more successful when planned earlier rather than later, in
particular after the initial concept development and identification of LOEs/focus areas but
before the concept is fully developed. Finally, CCMDs can address country-level issues
and plans with interagency partners at a promote cooperation event. Because DOS,
USAID, and other interagency partners conduct their overseas activities primarily on a
bilateral basis, examining issues with interagency partners at the country level may be
easier and more productive than reviewing them at the regional level.
e. Regardless of when a promote cooperation event is conducted, CCMD planners

should identify the specific inputs sought from interagency partners in advance of the event
and likewise should be prepared to provide inputs to their planning efforts (see the DOS
3D Planning Guide: Diplomacy, Development, Defense). Subsequently, CCMD requests
for information should be communicated to interagency partners through the JS J-5.
CCMD staff also should make materials available to participating partner agencies well in
advance of promote cooperation meetings so representatives are correctly identified and
prepared to participate in the events.
f. Many resource streams come from non-DOD agencies other than DOS and USAID.
Federal departments and agencies such as the Department of the Treasury’s Office of
Foreign Assets Control; the DOJ’s Drug Enforcement Administration and Federal Bureau
of Investigation; and the DHS’s Immigration and Customs Enforcement, Customs and
Border Protection, and United States Coast Guard (USCG) provide specialized functions
and capabilities to inform country planning. These agencies routinely have objectives,
programs, and resources in the same countries as DOD. The GEF provides consultation
procedures for instances when these organizations’ interests, goals, or activities overlap
with DOD’s. SSA provides the processes to focus interagency coordination of plans,
priorities, objectives, and budgeting affecting the security sector of a PN.
g. All geographic CCMD headquarters normally have resident liaison representatives

from DOS, USAID, and other USG departments and agencies. Unlike US military liaison
officers, these liaison representatives typically do not have the authority to obligate their
organizations; they do provide the capability for reachback to regional or functional SMEs
and, in some situations, may be able to speak for their organizations. They can also provide
input based on their own expertise and knowledge of their agency’s perspective, policies,
and activities, thus making them valuable to SC planning and potential integration with
other interagency activities with a PN.
7. Execution Authorities and Approvals
a. OSD, in conjunction with DSCA, coordinates at the department level to introduce

policies and determine the specific funding and authorities DOS makes available for SC
planning. SecDef, CJCS, CCDRs, subordinate JFCs, and the Service chiefs establish
procedures to promulgate the approvals and authorities for their components to use funds,
forces, and other resources to conduct the mission planning aspect of SC planning for the
approved and agreed upon SC activities with PNs. Coordinating instructions should
describe the mechanisms to be used among the SC participants (e.g., DOS, USAID, OSD,
JS, CCMDs, SCOs, Services, TSOCs, and PNs) and may also describe the authorities,
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necessary agreements, operational limitations, and other considerations that govern or

influence the cooperation and coordination required to plan and execute SC activities.
b. Theater Campaign Order. CCDRs may issue an order initiating the execution of
their campaign plans; if issued, this order is called a theater campaign order. A theater
campaign order may be issued annually or as deemed appropriate by the CCDR, but all
such orders should be issued at a consistent point in time each FY, and up to a year before
execution, to allow the CCMD staff, subordinate commands, components, and supporting
agencies time to synchronize their planning, execution, evaluation, and assessment cycles
and activities with the strategic planning cycles in DOD. For coordination and
accountability, orders and authorities must be promulgated to all concerned DOD
components, especially DSCA, which has DOD responsibilities for accounting and
management of certain statutory programs for SC, to include those Title 22, USC, funds
from DOS to be administered by DOD for SC. Thus informed, the SCOs will normally
coordinate with their country teams and the PNs in support of the tasked individuals and
units, to include facilitation of contracting requirements for US military with PN entities.
Normally, execution of specific SC activities requires additional and separate orders or
authorities for the individuals and units through their appropriate chain of command in
coordination with the SCOs for the participating PNs.
c. SC Activity Approval. A CCDR’s theater campaign order (or fragmentary orders)

may provide general or specific authorities to plan and execute SC activities and may
delegate certain authorities to component commanders who must coordinate with SCOs
(and PNs when appropriate) to finalize the execution of tasked SC activities. SC activities
may be conducted across the GCC’s theater throughout the calendar year and may require
months of lead time for mission planning and coordination with each SCO and PN after a
general theater campaign order is issued. Specific SC activity approvals should be
controlled and acknowledged procedurally. All planned SC activities must be entered in
G-TSCMIS. Because SC activities normally depend upon statutory authorities and
accountability, selection and training for designated SC community members, particularly
those assigned to SCOs, occurs in accordance with DODD 5132.13, Staffing of Security
Cooperation Organizations (SCOs), and the Selection and Training of Security
Cooperation Personnel. MILDEPs, CCMDs, NGB, and Service/SOF components should
have procedures for SC requirements planning and mission planning with SCOs and PNs
and other supporting organizations.
d. Execution of SC activities follows mission planning and generally begins with

deployment of the tasked individual(s), unit(s), and organization(s) to the PN for the SC
activity.
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CHAPTER IV
SECURITY COOPERATION EXECUTION
“Global engagement is fundamental to US leadership and influence. The US
military forward and rotationally deploys forces—which routinely provide
presence and conduct training, exercises, and other forms of military-to-
military activities—to build security globally in support of our national security
interests.”
Quadrennial Defense Review 2014
1. General
This chapter describes execution of the SC plan, which includes combined exercises,
joint interoperability training, individual and small unit training of fielded forces, and
HCA.
a. The theater campaign order may be considered the beginning of the execution phase
of the TCP, which includes the CSCSs/country plans and supporting components’ plans,
but that order does not necessarily authorize execution of all SC activities. Collaborative
planning among the SCO, PN, DOD component(s), OSD, DSCA, COM, DOS, and
geographic CCMD results in the timely release of authorities and orders for synchronized
execution of the approved and funded SC activities throughout a GCC’s theater. As stated
in the previous chapter, certain aspects of SC planning may be considered part of the
execution phase. Planning conferences and site surveys require authorities and funds to
finalize plans for deployment and redeployment, movement, sustainment, protection,
command and control (C2), and other preparations months before the actual SC activities
begin with the PN.
b. Annual fragmentary orders issued by the GCC or a designated component

commander can update or adjust execution of a TCP and its supporting component plans.
GCCs should work with the other DOD components who provide forces, funds, and other
resources, in coordination with the SCO and DSCA. The GCCs provide necessary
direction, assessment, monitoring, evaluation, and, when possible, any adjustments to the
planned SC activities. The executing component and the SCO keep the supported CCMD
and DSCA informed. The COM, JFC, and component commanders normally use the SCO
as a point of contact for coordinating with the PN representatives until direct coordination
is approved for the US and PN participants. The supported and supporting JFCs and
component commanders ensure a chain of command with appropriate command
relationships and reporting procedures. Once granted direct liaison authority by the CCMD
through the component commands, the forces executing SC activities will normally work
directly with the PN and SCO, keeping their parent and/or Service headquarters informed.
At the tactical level, forces plan and execute SC under the coordination authority of the
SCOs, which will coordinate with the supported CCMD and keep the COM and country
team informed. Forces will likely provide situation reports to and through their units and
higher headquarters to the component command headquarters and the supporting CCMD,
as required. The G-TSCMIS is the mandated system of record for SC and is a tool for
collaborative planning, executing, evaluating, and assessing of SC activities.
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Chapter IV
c. Institutional Perspective. The GCC and COMs normally share a common

understanding of objectives and priorities, but they have institutional perspectives on how
to do things, and that can strain their relationships. The COM focuses primarily on the PN,
while the GCC focuses on the entire theater; coordination for the planning and execution
of SC activities must consider a balance of these perspectives and interests. The CCMD
should coordinate SC efforts, to include planning and execution timelines, at least annually
among the country teams with the SCOs, the component commands, PNs, and others who
may contribute to SC-related activities (e.g., allies and international organizations).
d. The components’ support plans to the CSCSs/country plans outline plans of action,
required resources, milestones, and necessary military engagements to support TCP
objectives. Implementing organizations execute SC activities under the direction of the
component command plans in support of the TCP objectives. Implementing organizations
may be individuals or any component element or combination of elements of a joint
force—military forces from the Active Component or Reserve Component, USG civilians,
and contractors. While implementing organizations may plan and coordinate their
activities with the component command headquarters and/or the CCMD, they will
normally work directly with the SCO during execution.
2. Services
a. The Services’ Title 10, USC, responsibilities to organize, train, equip, and resource
Service component commands enable and support the conduct of SC activities. The
Services support Service component commands’ execution of SC activities in support of
GCC objectives based on the available Service capabilities and resources and may also
support institutional objectives consistent with national strategic and theater objectives.
Institutional objectives should align with national strategic and theater guidance, and
provide a Service-specific focus that allows for more efficient and effective allocation of
resources in support of global SC priorities. The Services and GCCs should work together
to ensure Service institutional objectives and priorities are considered in the development
of the TCP. These activities include senior leader defense contacts and familiarization,
foreign participation or attendance at Service schools, cooperative research and
development programs, foreign comparative testing, and equipping activities.
b. Various Service-to-Service memoranda of understanding and memoranda of

agreement govern, inform, or shape Service SC activities with PNs. These include
agreements governing exchange or liaison officers, charters for Service-led staff talks, or
other activities. Service SC activities may follow established timelines known years in
advance, such as recurring Service-to-Service staff talks, or may present more
extemporaneously, such as office calls, port visits, or Service chief or senior leader
attendance at trade shows or regional conferences.
c. Services’ CSPs outline these activities, as well as Service support for theater and
global objectives. A Service CSP further explains how the Service, according to their Title
10, USC, responsibilities, organizes, trains, and equips forces to support GCC theater
objectives, maintain readiness, and execute SC activities. Service CSPs should be
coordinated with CCMDs through the Service component commands and should address
IV-2 JP 3-20
topics such as exercises, readiness, interoperability, and capabilities development, as they

may impact the TCPs. Service execution of SC is important in order to shape, build, train,
and equip forces capable of operating in coalition environments, as needed, to augment
CCDR efforts.
d. Service efforts should be coordinated with the GCCs within whose theater the SC
activity is executed, as well as with their respective Service component commands.
3. Combatant Commands
Throughout the execution of SC activities, CCDRs and their staffs continually direct,
assess, monitor, evaluate, and adjust the SC activities when possible and the
CSCSs/country plans as required, while the component commands do the same with their
supporting plans. However, once resourced, execution of specific SC activities occurs as
planned unless a crisis affecting US forces and/or the PN precludes completion of those
SC activities. SC activities normally take place through bilateral agreements that constitute
binding legal obligations for both the USG and PN. As a result, any deviation from the
terms of a bilateral agreement likely requires the consent of both governments.
Consequently, major changes are unlikely during the execution of a specific SC activity.
However, in the absence of a governing bilateral agreement and with several FYs of SC
activities at various stages of planning, programming, and budgeting during any given
calendar year, this process can make changes for the future.
a. Direct
(1) The supported GCC may use assigned or attached forces for SC activities that
require operational forces for training and military exercises. In coordination with the
MILDEPs, USSOCOM, and Reserve Component, the CCMD and theater component
commands will determine who supports the SC requirements and agrees to the necessary
command authorities, relationships, and necessary C2.
(2) The CCMD issues annual orders and fragmentary orders to inform its
subordinates and force providers of the desired objectives and the assigned tasks that have
been identified to achieve TCP SC objectives. The CCMD aligns and coordinates
operations and activities based on the dynamic situation, resources available, assessment,
and evaluation.
b. Assess. The Department of Defense Guidance for Security Cooperation involves

initial or baseline and follow-on assessment of this DOD-wide process that is not to be
confused with the operation assessment framework described in JP 5-0, Joint Planning,
which is integral to the execution of any operation or campaign and more functionally
supplements the subsequent evaluation of SC. Assessment in SC is a systematic analysis
to provide an understanding of the context, conditions, partner capabilities, and
requirements to inform SC planning and implementation.
(1) DOD guidance mandates that SC activities be preceded by initial assessments

of baseline conditions in PNs, including capability gaps, absorptive capacity, political
stability, and other opportunities and risks. Initial assessments provide a baseline against
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Chapter IV
which to monitor progress and provide detailed analysis to identify and inform
requirements, resources, and program planning. Assessment should also be repeated to
update analysis and identify mid-course corrections of SC activities.
(2) As long-term SC activities progress, follow-on assessments and mid-cycle

functional evaluations may be used to update a CCMD’s understanding of the PN’s
environment and the dynamics affecting the implementation of the SC activities.
c. Monitor. Monitoring provides situational awareness of the status and progress of

SC activities. Monitoring focuses on implementation of the SC activity. It requires
continuous participation by the PN’s country team in the PN and CCMD intelligence
capabilities and may include information from the COM, DOS, allies, and partners, as
appropriate.
(1) Monitoring is an essential C2 function for the CCDR and staff during the
execution of SC activities. CCMD monitoring of SC activities should include:
(a) Conducting continuous intelligence operations.
(b) Communicating and maintaining the commander’s critical information

requirements.
(c) Coordinating, controlling, and accounting for the employment of joint

capabilities.
(d) Coordinating, synchronizing, or integrating SC activities with the

operations and activities of non-DOD partners.
(e) Measuring and reporting progress toward accomplishing assigned SC

tasks and achieving objectives.
(2) The CCMD continually monitors the political and military situations relevant
to SC activities and other operations in execution and may integrate this information into
its common operational picture. CCMD monitoring of SC activities facilitates analysis
required for follow-on assessment and functional evaluation.
d. Evaluate. Evaluation is a systematic process that analyzes the overall

effectiveness of investing USG resources into building a partner’s capacity or capability.
Numerous tailored evaluation processes, supplemented by operation assessment where
applicable, are planned and conducted for the wide range of activities and operations
being planned and executed within the GCC’s AOR. Because of the capacity building
nature of many SC activities, evaluation, like follow-on assessment, helps guide planning
of future SC activities. Evaluation is conducted through an interagency partnership and
framework to support the planning needs of all applicable members of the country team.
Evaluation helps determine if effects created by the SC activities will support
achievement of desired objectives.
IV-4 JP 3-20
(1) The CCMD functional evaluation process helps determine whether an

objective is achievable or warrants reconsideration. At the CCMD level, a single SC
activity rarely achieves an objective; SC requires multiple activities executed over time to
make progress towards an objective. Often, causal relationships are difficult to discern,
making it difficult to determine the extent to which an SC activity influenced a PN. For
these reasons, it usually is more practical for component organizations, including those
from other applicable interagency partners, to evaluate the effectiveness of an SC activity
based on the organization’s incremental goals and measures as one factor contributing to
the effectiveness in achieving CCMD objectives. Those evaluations can be forwarded for
consolidation and review by the SCO and supported CCMD during their evaluation relative
to the achievement of the larger objectives. Service- or functional component-level
analysis facilitates evaluating individual SC activities and objectives as part of the larger
theater or functional campaign objectives.
(2) CCMD analysis of Service component evaluations should consist of, but is
not limited to, the following:
(a) Monitoring the activity for current information.
(b) Evaluating progress towards achieving objectives.
(c) Recommending and directing action for improvement.
For additional information on assessment, monitoring, and evaluation, see Chapter V,

“Security Cooperation Assessment, Monitoring, and Evaluation.”
4. Service Component Commands
a. At the end of the resourcing process, components should know which resource
requests were funded and which were not. If all component resource requests were
approved, the country plan can be executed without any changes. However, the more likely
scenario is that one or more of the resource requests has been denied or only partially
funded. In this scenario, the first step in the execution process would be to modify the
country plan based on available resources.
b. Depending on the resources available, the DOD components, in collaboration with

the CCMD, decide which activities to conduct in the following year and which activities
to modify, postpone, or cancel. Modifications may involve combining activities or
reducing the scale or scope of the original activity. Examples include combining a US Air
Force exercise with a US Navy exercise or turning a face-to-face seminar into a virtual
meeting. It is important for component planners to document how the gap between the
resources they requested and the resources they received affected the country plan and,
specifically, the achievement of component objectives. This is an important part of the
processes discussed in Chapter V, “Security Cooperation Assessment, Monitoring, and
Evaluation.”
c. The next step is executing the SC activity. The primary role of the component
planner is to ensure appropriate tasking of activities to organizations within the component
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Chapter IV
and appropriate coordination of activities with organizations outside of the executing

component/agency. Early coordination of the SC activity during planning helps facilitate
coordination during execution. With the activities properly assigned and coordinated, the
component planner monitors execution and can help deconflict activities as necessary.
Many components and most SCOs maintain a calendar to help them keep track of activities
and other important events in their countries. For example, G-TSCMIS can be utilized to
document, track, and synchronize SC events and activities.
See Appendix C, “Notional Security Cooperation Activity Checklist.”
IV-6 JP 3-20
CHAPTER V
SECURITY COOPERATION ASSESSMENT, MONITORING, AND
EVALUATION
1. Introduction
SC activities conducted by DOD entities with other nations’ defense organizations range
from the very visible—training, equipping, and exercising together—to those less obvious,
such as holding bilateral talks, workshops, and conferences and providing education. Often,
it is challenging to determine if these activities have contributed to US objectives—whether
at the level of national security, department or agency, Service, or CCMD—and if so, by
how much or in what ways. Because SC activities are dispersed and generally support long-
term objectives, the impacts can be difficult to immediately measure above the tactical and
operational levels (i.e., operation assessments and Service or functional component-level
evaluations). Those who plan and execute SC intuitively know whether they have gained
ground with the respective PNs as a result of individual programs and activities. However,
SC can be conducted in conjunction with a larger whole-of-government effort of interrelated
activities for the security sector. Therefore, it may be more difficult to validate a general
sense of accomplishment empirically, especially to decision makers across several
collaborating departments and agencies. For these reasons, a conglomeration of initial
interagency assessments should provide the basis upon which to foster a PN’s strategy
development (e.g., ICSs), encourage unity of effort by interagency partners, focus resources,
and better anticipate a PN’s overall needs. Moreover, monitoring throughout the
implementation of an SC activity or initiative enables regular feedback on the extent to which
expected objectives are being achieved on expected timelines to inform decisions or
corrective actions. Finally, functional evaluations at the strategic level involve systematic
collection and analysis of information and evidence about the characteristics and outcomes
of an ongoing or completed initiative, its design, implementation, and results. Supplemented
by operation assessment where applicable, such evaluations determine the relevance, value,
effectiveness, efficiency, sustainability, and impact of activities, and help planners
understand the impacts of tactical and operational activities in the context of broader
interagency efforts in the security sector. Progress toward established goals (e.g., one year
intermediate objectives or five year objectives) may be updated regularly or at a period
defined by a statute, or the CCDR, in coordination with the COM. Recurring assessment,
monitoring, and evaluation help determine whether resources have been effectively allocated
and used, and allows for program and activity adjustments.
a. Assessment informs decision making by helping to establish information about

the conditions present within a PN that are relevant to planning a successful SC
initiative. Assessments serve at least two critical functions: providing relevant
information to inform the design of SC activities, programs, or initiatives; and
providing baseline information to enable accurate measurement of progress as an
activity, program, or initiative progresses. JFCs perform assessments of SC activities
in close collaboration with participating military units, their Service component
commanders and the US country team. Therefore, it is important for SC planners to
be involved in assessment working groups to improve the overall effectiveness of SC
activities. Initial or follow-on SC assessments should precede all major SC initiatives
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or adjustments by measuring the progress of the three fundamental and interrelated

considerations for SC: the level of progress towards building a security relationship;
PN capacity and capabilities; and US operational access within the PN, including
anticipated freedom of action, that results from a US and PN relationship.
b. Monitoring enables planners to understand changes in the OE based on the

implementation of SC initiatives, and it further informs a commander’s intent, guidance
for planning, prioritization, and execution. This includes monitoring individual tasks,
normally using measures of performance (MOPs) and measures of effectiveness (MOEs),
which can directly inform both operation assessment at the tactical and operational levels,
and functional evaluation at the strategic level. Task monitoring focuses on “are we doing
things right,” while operation assessment and functional evaluation focus on “are we
efficiently and effectively doing the right things” to create the effects to achieve SC
objectives, which typically support theater campaign and other strategic objectives. Task
monitoring includes tracking whether tasks are completed as planned, whether tasks are
completed according to the planned timeline, whether costs are as projected, and other
indicators used to determine whether planned activities are being executed successfully,
and it informs leaders and decision makers at all levels.
c. SC activities are incrementally conducted over time and aligned to CCDR

objectives to make progress towards strategic end states. Normally, the cause and effect
are spread over a long term. Functional evaluations allow planners to examine the
effectiveness of SC activities, programs, or initiatives at the tactical or operational level,
recognizing that impact may be difficult to judge in light of broader USG security sector
efforts and complex variables associated with PN actions and at the strategic level. They
are performed to understand the impact and effectiveness of SC initiatives at the strategic
level and generate lessons learned to inform future SC planning. Functional evaluations at
all levels should be linked to clearly stated defense objectives and should be integrated into
program or initiative design from the outset.
2. Initial and Follow-On Assessment
Assessment entails systematic analysis to provide an understanding of the context,

conditions, partner capabilities, and requirements to inform SC planning and
implementation. Initial assessments should precede all major SC activities or initiatives,
and the results should inform planning. Assessments are generally conducted in advance
of SC activities, but follow-on assessments may be repeated to update analysis and identify
mid-course corrections. Assessments identify potential risks to SC initiative success to
help planners develop or adjust risk mitigation strategies.
a. Initial and follow-on assessments describe PN willingness and ability to

implement and sustain assistance; improve institutional capacity; build capabilities in the
context of country or other relevant objectives; and identify requirements, gaps, and
potential risks.
b. For SC activities, the sponsoring CCMD staff, DSCA, Service component

commands, and the affected country team may participate in conducting initial
V-2 JP 3-20
INITIAL AND FOLLOW-ON ASSESSMENT
Analysis derived from an initial assessment should directly inform an

initiative design document and related country plans in appropriate
sections. Initial assessments should include the following elements:
(1) The extent to which an allied or partner nation shares relevant

strategic objectives with the United States, as well as a partner’s current
ability to contribute to missions that address such shared objectives,
and gaps in partner ability to contribute to shared interests, including
capability shortfalls based on detailed and holistic analysis of relevant
partner capabilities such as through application of the doctrine,
organizational structure, training, materiel, leadership and education,
personnel, facilities, and policy framework referenced in Chairman of the
Joint Chiefs of Staff Instruction 3170.01, Joint Capabilities Integration
and Development System (JCIDS).
(2) Analysis of potential risks, including assumptions and possible

consequences of implementing and not implementing the initiative,
program, or activity.
(3) Information to inform initiative design, including available contextual

data, baselines, suggested objectives, indicators and milestones, as
well as recommendations on what can be achieved within a given
timeframe with anticipated resources.
(4) Analysis of relevant environmental, economic, political,

sociological, cultural, and other conditions that may directly impact the
implementation of the initiative in a specific country.
(5) The feasibility of achieving objectives based on a partner’s political

willingness to pursue them; its absorptive capacity, including the extent
to which a partner can support, employ, and sustain assistance
independently; its political stability; and its respect for rule of law and
human rights.
(6) Analysis of other related United States Government,

nongovernmental, and international organizations, and other
stakeholder efforts that are underway or planned, including how the
security cooperation initiative may complement or compete with other
programs or activities.
(7) Other relevant information, assessments, completed evaluations

and related documents that provide context for the initial assessment
process.
Department of Defense Instruction 5132.14, Assessment, Monitoring,

and Evaluation Policy for the Security Cooperation Enterprise.
assessments. Moreover, interorganizational coordination is normally required among

participating interagency partners and the affected PN organizations. During planning, the
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CCDR develops an initial assessment supported by inputs from supporting commanders,

SMEs, PNs, and other stakeholders.
3. Monitoring
Monitoring is a continuous process of collecting and reporting of data designed to

track implementation of milestones and provide regular feedback on the extent to which
expected objectives of an SC activity, program, or initiative are being achieved to inform
decisions or corrective actions. In general, results measured in monitoring are the direct
and near-term consequences of initiative activities, which provide opportunities to validate
planning assumptions throughout implementation and an early indication of the likelihood
that end state will be attained within anticipated timeframes. Indicators and milestones
used for monitoring purposes should be derived from initial assessments.
a. Monitoring may be focused at different levels and be of different types:
(1) At the implementation level, output monitoring of specific deliverables such

as goods and services to document progress during initiative implementation (e.g., number
of trainings delivered). Output monitoring may use MOPs to determine progress relative
to the accomplishment of tasks.
(2) At the leadership or management level, outcome monitoring of the results of

SC initiatives to gauge success (e.g., was capacity built based on our training? Did the PN
successfully employ the DOD-provided system in support of the intended mission?).
Outcome monitoring may use MOEs to determine effects created, objectives achieved, and
progress toward end states attained.
b. Monitoring, which may also include site visits, should also review and identify any
changes in the OE since the initial assessment and identify any unforeseen challenges that
impact initiative execution and implementation. Monitoring should be used for early
identification of where plans must be adjusted or canceled.
c. Certain SC activities and monitoring data should be tracked using G-TSCMIS,

which is the primary system of record used by DOD and sponsored by DSCA.
4. Functional Evaluation
Evaluations may be conducted at the tactical, operational, or strategic levels and

involve systematic collection and analysis of information and evidence about the
characteristics and outcomes of an ongoing or completed SC initiative, its design,
implementation, and results. They determine relevance, value, effectiveness, efficiency,
sustainability, and impact as a basis for improving effectiveness and to inform decision
makers regarding future plans, programs, and activities. Evaluation, distinct from initial
or follow-on assessment and monitoring, focuses on documenting the achievement of
objectives, the attainment of end states, and in some cases the value of continuing the SC
investment. Evaluations at the strategic level should depend on operation assessment as
well as component- and unit-level evaluations, which are critical to explain why certain
efforts succeed or fail.
V-4 JP 3-20
a. Functional evaluations should be conducted according to internationally recognized

standards in order to ensure the integrity and credibility of results. In line with standards
set forth by the American Evaluation Association and the Development Assistance
Committee of the Organization for Economic Cooperation and Development, evaluation
should be conducted in line with the principles of usefulness, independence,
methodological and analytical rigor, and cost effectiveness as identified in Department of
Defense Instruction (DODI) 5132.14, Assessment, Monitoring, and Evaluation Policy for
the Security Cooperation Enterprise.
PRINCIPLES OF EVALUATION
1. Usefulness: The information, ideas, and recommendations

generated by evaluations should serve a need or answer specific
strategic questions for the Department of Defense.
2. Independence: Evaluators should be able to gather and analyze data

and information freely and follow rigorous and scientifically valid
methodologies. All evaluations should be free from any interference
from the commissioning unit or management.
3. Methodological and Analytical Rigor: Evaluations should be

evidence-based, relying on verifiable data and information gathered
using the standards of professional evaluation organizations. Both
quantitative and qualitative methods can be rigorous and are usually
required to answer evaluation questions.
4. Cost Effectiveness: The expected benefits from an SC evaluation

should be of value greater than, or equal to, the resources expended on
the evaluation. Cost effectiveness should also be weighed in
determining how the evaluation will be used.
Department of Defense Instruction 5132.14, Assessment, Monitoring,

and Evaluation Policy for the Security Cooperation Enterprise
b. Evaluations should always result in reports that identify clear observations and
recommendations to inform future SC planning. These reports should always be
disseminated to all relevant stakeholders, including CCDRs, relevant SCOs and country
teams, SC program managers, and DSCA. These reports should be uploaded to G-
TSCMIS.
5. Operation Assessment
Similar to functional evaluation, operation assessment is a continuous process that

evaluates changes in the OE and measures the progress of executing tasks, creating effects,
and achieving objectives toward attaining the desired end state of a particular military
operation. Operation assessment informs planning; decision makers continuously analyze
the OE and the progress of operations, compared to their initial assessment, understanding,
visualization, and intent; and operation assessment helps them adjust planning and
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Chapter V
operations to make efficient use of limited resources. All key participants in a particular
activity or operation should be involved in development of the operation assessment plan,
collection of relevant data, and reporting.
a. As with initial or follow-on assessment, operation assessment should enable the

stakeholders from the sponsoring CCMD staff, DSCA, Service component commands, and
the affected country team to identify key factors that can influence tasks and operations to
inform functional evaluations and provide the GCC and COM with timely and accurate
information needed for decisions. When possible, the commander should leverage
operation assessment as part of the communications synchronization plan. Likewise,
foreign disclosure procedures and a tailored and responsive information-sharing process
should be part of the operation assessment plan for dissemination with interagency partners
and a broad PN or multinational audience.
b. While there is no one set formula for developing operation assessments, this chapter
provides an approach to qualify them according to commander’s insight. Operation
assessment will inform (and be informed by) the commander’s personal assessment and
evaluation and supports functional assessment at the CCMD level as to whether or not SC
activities and objectives are supporting theater-strategic or campaign objectives (objective-
oriented). Based on these determinations, commanders may recommend adjustments to
ensure continued progress. DOD, through the GCCs and CJCS, also conducts long-term
strategic evaluations focused on SC objectives, PN conditions, and application of available
resources to achieve objectives while the operation assessment process begins during
mission analysis and continues throughout all phases. Both involve, but are not limited to,
the following:
(1) Continuously monitoring progress of SC activities.
(2) Using MOPs to determine progress relative to the accomplishment of tasks

and using MOEs to qualify effects created, objectives achieved, and end states attained.
(3) Analyze changes in PN conditions (e.g., overall effectiveness of SC with PN,

including specific capacity or capabilities, strengthening or weakening partnership, and PN
attitude and will to continue cooperation and sustainment of enhanced capacity).
(4) Adjusting plan execution or developing recommendations and seeking

guidance for improvement of the plan itself.
c. Operation assessments of joint operations involving SC are different than the initial
or follow-on assessments preceding those SC activities, especially with SC activities
conducted for shaping as part of a GCC’s TCP. SC activities typically focus on building
partnerships and improving the capacity and capabilities of security or civil sectors within
PNs for stabilization and to prevent conflict. Because SC requires stringent DOD
oversight, some aspects of operation assessments, as well as the functional evaluations they
may support, will be qualitative in nature to comply with policy guidance, and funding and
other resource accountability. GCCs, in coordination with the CJCS (to assist USD[P] and
Director, DSCA), should establish all operation assessment, evaluation, and reporting
V-6 JP 3-20
requirements through their TCP and theater SC guidance. Service component commanders
should establish related guidance in their supporting plans, including guidance as required
by their supported GCC; MILDEPs; and Commander, USSOCOM, when applicable.
6. Assessment, Monitoring, and Evaluation Considerations
Assessment, monitoring, and evaluation of SC activities help to inform decision

makers as to precisely where to continue, cut, or change the allocation of SC applied
resources and why. Moreover, they inform strategic prioritization by identifying areas of
greatest SC effectiveness in areas and ways that best serve US interests. Determining the
value of what are essentially qualitative activities, and where the correlation among
activities is not always apparent, is difficult.
a. CCMDs provide SC through various SC mechanisms according to the capability or

purpose against which they are utilized and the activity they help execute. The
underpinning military capability or purpose is closely related to the threat or problem a
CCMD is trying to solve. Examples include building partner capacity for CT or CWMD.
Activities may be grouped as military-to-military contacts, training, equipping, cooperative
activities, or military-to-civilian contacts. SC mechanisms are composed of various
elements such as programs, resources, authorities, processes, and organizational
relationships. A program encompasses a group of activities that has an established set of
objectives, resources, and a management structure. Resources refer to the funding,
personnel, and facilities associated with the SC activities or programs. Authorities are the
rules governing the use of programs and resources. Processes include the management,
execution, and oversight functions for planning, resourcing, executing, and assessing SC
activities. Finally, organizations and organizational relationships are the entities involved
in the planning, resources, execution, and assessment of SC activities. These can fall
within DOD and can also involve outside entities such as DOS. CCMDs employ multiple
SC mechanisms to achieve a single objective or even to conduct a single activity. Thus,
SC professionals assemble multiple mechanisms to enhance a PN’s security through SC
activities.
b. Different level headquarters will likely have different focuses for the assessment,
monitoring, and evaluation of SC activities. Consider the following:
(1) Tactical-level commanders focus more on task accomplishment and

performance management, whether they are performing assigned or implied tasks to
standard (using MOPs) answering if they’re “doing things right.” MOPs answer the
questions “was the task completed?” and “was it completed to standard?” (e.g., delivery of
equipment, construction of contingency bases, construction of a school, or seizure of an
objective to specified standards) to assist the unit in improving future performance.
(2) Operational-level headquarters focus on operation assessment, monitoring,

and evaluation that addresses whether the command is creating the necessary effects and
achieving objectives (MOEs-oriented) within the OE for mission success (e.g., progress in
gaining support of populace or decrease in enemy activity) answering if they are “doing
the right things.” As distinguished in paragraph 2, “Initial and Follow-on Assessment,”
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Chapter V
and paragraph 5, “Operation Assessment,” DOS and other interagency partners that work
security sector issues, often use the term assessment when referring to an initial analysis of
the OE prior to planning or project execution. This use of assessment should not be
confused with the DOD usage of the term operation assessment, which refers to the planned
and continuous analysis of the efficacy of activities that are already underway. The
following describes four basic considerations:
(a) Reporting. SC activities garner continuous scrutiny, often through real-

time reporting. CCDRs assess, monitor, and evaluate reports on SC activities, as well as
other exercises and operations supported by subordinate commanders and country teams
as they individually analyze developments in the OE. For example, the participating
military unit(s) at the tactical level may report through the SDO/DATT on the country team
(for the COM) and through situation reports through their higher headquarters to the
Service component command and the CCMD’s SC office. The SDO/DATT may also send
reports to the CCMD and DSCA. Established in coordination with COM and DOS and
other SCO members, CCDR and DSCA requirements dictate the formats necessary to
evaluate and deliver information, as required. Reports focus on the facts but may also
provide a qualitative contextualization of progress.
(b) Progress Toward Objectives. CCDRs should develop assessment,

monitoring, and evaluation plans concurrently with the development of SC activity,
program, or initiative plans and objectives to ensure objectives are specific, measurable,
achievable, results-oriented, and time-bound. If an objective does not meet these
criteria, then it should be redefined. An international best practice for the provision of
capacity-building and other assistance is the development of a program or initiative design
document at the outset of a program or initiative, which should articulate the objective; the
details of the planned program or initiative; and a specific assessment, monitoring, and
evaluation plan. The CCDR’s battle rhythm includes periodic review of SC assessment,
monitoring, and evaluation outcomes, as well as other exercises and operations progress
reports. Information in CCMD assessments, monitoring, and evaluation processes may be
derived from interagency and multinational partners, PNs, subordinate commands,
international organizations, NGOs, and various intelligence sources, to include open-
source reporting. Of note, data limitations severely hinder these efforts.
(c) Effects on PN Conditions. The initial assessments that form a baseline

for establishing the objectives (and an end state) and that describe expected changes in PN
conditions, are likely to be both quantitative and qualitative. MOPs and MOEs will help
monitor progress toward objectives and the desired end state, along with evaluation inputs
from a variety of organizations, to include the participating military unit(s), SDO/DATT
(and other country team members, including the COM), DSCA and other SCO direct-
participants, and the sponsoring CCMD. Often tactical-level commanders are well-
positioned to identify or evaluate changes in the capacities of specific partnered tactical-
level units in addition to PN will, sentiment, and attitude toward participation in SC tasks.
DOD and other USG analysts may compile a combination of open and official sources.
The changes may range from specific capability changes (the coast guard of Country X is
trained to perform littoral patrols) to broad capacity changes (Country X defends its
borders) to mutual goals (Country X willingly and effectively participates with US or other
V-8 JP 3-20
nations to combat transnational terrorist organizations). The assessment, monitoring, and

evaluation outcomes must strive to describe the relationship between the status in the
country and the CCMD and COM objectives for that country. These outcomes serve as
the basis for all decisions regarding a continued USG commitment to SC activities.
(d) Adjust. The CCDR decides when to modify plans and operations,
typically based on guidelines in the assessment, monitoring, and evaluation plans, but may
also be required by changes in a TCP (or another campaign or contingency plan) driven by
changes in the OE or strategic security environment that, in turn, may result in policy or
strategy changes. Adjustments do not change end states that are established through policy
and strategy. Changes in SC activities should be anticipated, because SC activities are
typically associated with an end state that requires a long-term US and PN commitment
and eventual sustainment of capacity by the PN.
1. Modify SC Activities. Assessment, monitoring, and evaluation

inform the CCDR (and country team) to continue as planned or to make adjustments when
tasks are not creating desired effects or objectives cannot be achieved as planned. Changes
to SC activities must be coordinated through the SCO and acknowledged through DSCA,
which manages the statutory and funding aspects of SC for DOD in coordination with DOS.
In this context, such modifications do not necessarily imply the planned objectives are
flawed, but that the tasks and desired effects, resources, or associated timelines require
adjustment. Considerations should include whether to:
a. Modify assumptions regarding PN condition.
b. Adjust priorities.
c. Reallocate resources within statutory constraints.
d. Modify specific SC activities.
e. Adjust timelines and decision points.
f. Modify operation assessment plan.
2. Plan Changes May Require SC Modification. SC activities with a

given PN may have to be changed to accommodate changes to the overarching TCP or
another campaign or contingency plan, perhaps despite favorable indications from the
assessment, monitoring, and evaluation of ongoing SC activities. Such changes would be
coordinated by the supported CCDR with SecDef through the CJCS and would likely
include policy/strategy changes based on changes to the OE or strategic security
environment. Planners make plan changes based on commander’s intent and guidance;
DSCA and the affected CCDRs and COMs will provide appropriate direction to the SCO.
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Intentionally Blank
V-10 JP 3-20
APPENDIX A
SECURITY COOPERATION: RELATED PROGRAMS AND AUTHORITIES
1. Introduction
This appendix describes DOD and DOS programs that have been used to support a
variety of SC activities. This appendix is not all inclusive and provides only an overview
of the programs. In most cases, planners should consult with legal advisors to identify the
proper USC section, regulation, or directive prior to any expenditure of resources. As a
matter of fiscal law, funds may only be expended for the purpose for which they were
authorized. Consequently, the planners and appropriate commander must ensure any
expenditure of funds for an SC activity complies with the associated fiscal mandates.
Failure to do so can result in a violation of the Anti-Deficiency Act.
For additional information see the most current version of the Defense Institute of Security
Assistance Management’s handbook, Security Cooperation Programs.
2. Department of Defense: Security Cooperation Programs and Authorities
The National Defense Authorization Act for Fiscal Year 2017 enacted significant
reforms to DOD SC authorities, and established a dedicated chapter within Title 10, USC
(Chapter 16, Security Cooperation). Title 10, USC, Chapter 16 contains specific DOD
authorities for conducting military-to-military engagements, training with foreign forces,
support for operations and capacity building, and educational and training activities. DOD
authorities for conducting activities under the category of international armaments
cooperation are found elsewhere in Title 10, USC. In addition, Title 10, USC, contains
several targeted, niche, or temporary authorities for conducting SC under particular
circumstances. These DOD authorities closely reflect the capabilities-based categories of
SC activities identified in Chapter III, “Security Cooperation Planning:” defense contacts
and familiarization, personnel exchange, combined exercises and training, train-and-
equip/provide defense articles, DIB, operational support, education, international
armaments cooperation (see Figure A-1 for a partial list of these categories of SC activities
alongside their associated SC programs and authorities).
a. Military-to-Military Engagements (Title 10, USC, Sections 311-313)
(1) SecDef is authorized to enter into international agreements for the exchange
of US defense personnel and foreign personnel. Under this authority, exchanges may be
conducted on a reciprocal or non-reciprocal basis; US personnel may include military or
civilian personnel. Exchanges may be conducted with personnel of foreign defense
ministries or, with the concurrence of SECSTATE, foreign non-defense security ministries
or international or regional security organizations.
(2) SecDef may pay certain personnel expenses of foreign personnel as necessary
for theater SC. Eligible expenses include travel, subsistence, and similar personnel
expenses, administrative services, and support for foreign liaison officers who are assigned
A-1
Appendix A
Security Cooperation Categories with Related

Programs and Authorities
Security Cooperation
Category Related Programs and Authorities
Title 10, USC, Section 312

Military-to-Military African Partnership Station (Navy)
Southern Partnership Station (Navy)
Contacts African Partnership Flight (Air Force)
American, British, Canadian, Australian, and New Zealand Armies' Program (US Army)

Personnel Exchanges Military Personnel Exchange Program
Defense Personnel Exchange Program
Combined Exercises Title 10, USC, Sections 321-322

Joint Combined Exchange Training
and Training Combatant Commanders Exercise and Engagement Training Transformation (OSD P&R)
Train-and-Equip/ Title 10, USC, Section 333

Foreign Military Financing Program (FMF; Title 22, USC, Sections 2763-4)
Provision of Defense Foreign Military Sales
Articles Peacekeeping Operations (Foreign Assistance Act, Section 2348)

Defense Institution Defense Institution Reform Initiative
Building Wales Initiative Fund
Ministry of Defense Advisors
Defense Institute for International Legal Studies

Acquisition and Cross-Servicing Agreements
Operational Support Coalition Support Fund
Coalition Readiness Support Program
Personnel Recovery
International Military Education and Training (IMET; Title 22, USC, Section 2347)
Education Combatting Terrorism Fellowship Program (Title 10, USC, Section 345)
Regional Centers for Security Studies
Western Hemisphere Institute for Security Cooperation
Acquisition and Cross-Servicing Agreements

International Armaments Engineer and Scientist Exchange Program
Cooperation Information Exchange Program
Test and Evaluation Program
Humanitarian and Civic Assistance (Title 10, USC, Section 401)

Humanitarian Overseas Humanitarian, Disaster, and Civic Aid (Title 10, USC, Sections 401 and 2561)
Assistance and Disaster Continuing Promise
Commanders Emergency Response Program (Title 10, USC, Section 2333)
Relief Defense Health Programs
Legend
FMF foreign military financing P&R Personnel and Readiness
OSD Office of the Secretary of Defense USC United States Code
Figure A-1. Security Cooperation Categories with Related Programs and Authorities
to any headquarters in the DOD, or travel, subsistence, and medical care for such liaison
officers.
(3) This authority is commonly used to support the participation of foreign

personnel in conferences, seminars, and similar meetings; such meetings must be
A-2 JP 3-20
Security Cooperation: Related Programs and Authorities
conducted in direct support of enhancing interoperability for planning bilateral or

multilateral exercises, training, or operations. The authority may be used to pay the
expenses of foreign defense personnel or, with the concurrence of SECSTATE, foreign
non-defense government personnel and nongovernmental personnel.
b. Training with Foreign Forces (Title 10, USC, Sections 321-322). The US Armed
Forces are authorized to train with military forces or other security forces of foreign PN in
cases where SecDef determines it is in the national security interests of the US. Under this
authority, the US Armed Forces may conduct training with, or bilateral or multilateral
exercises with, counterpart forces, and may pay the incremental expenses of a country
(except under certain circumstances, a developing country) to participate in such training.
Authorized expenses include the travel, subsistence, and other personnel expenses of the
developing countries defense personnel. Combined training and exercises may be
conducted with nonmilitary security forces only by specialized forces of the US Armed
Forces; US CF may only train with the military forces of a PN.
c. Support for Operations and Capacity Building (Title 10, USC, Sections 331-333)
(1) Support for Operations (Title 10, USC, Section 331). SecDef, with the
concurrence of SECSTATE, may provide support to friendly foreign countries in the
context of specifically designated operations. Such support may include logistics support,
supplies, and services; procurement of equipment for the purposes of loaning such
equipment to enhance capabilities and interoperability; provision of specialized training;
and small-scale construction to enable countries to participate or continue participating in
designated operations. Under this authority, SecDef may provide support to military forces
or, if it directly benefits US Armed Forces, nonmilitary forces who are participating in a
combined operation with US forces or in a military operation or stability activity that
benefits the US. For operations in which the US is not participating, SecDef and
SECSTATE must jointly certify to Congress that the operation is in the national security
interests of the US prior to the provision of assistance under this authority.
(2) Defense Institution Capacity Building (Title 10, USC, Section 332).
SecDef, with the concurrence of SECSTATE, may provide programs for training and
training support programs and may assign DOD civilian employees as advisors to the
ministries of defense (or security agencies serving a similar defense function) to provide
institutional, ministerial-level advice, and other training in support of stabilization or post-
conflict activities or assist in building core institutional capacity, competencies, and
capabilities to manage defense-related processes. Programs should enhance civilian
oversight; establish responsible defense governance; assess and address shortfalls; and
enhance overall ministerial, general, or joint staff or service-level core management
competencies. See the DIB policy discussion in Chapter II, “Security Cooperation
Relationships,” for further information. DOD applications of this authority include the
following programs:
(a) Defense Institution Reform Initiative (DIRI). Effective military

capability requires defense and/or security ministries and supporting organizations such as
joint or general staffs, capable of organizing, training, equipping, and sustaining armed forces
A-3
Appendix A
appropriate to the national context and within a framework that supports transparency and
accountability. Established in 2010, DIRI is one of DOD’s primary SC tools to support a
PN’s efforts to develop its defense institutions’ ability to perform these functions and direct
their use in a legitimate manner. Ultimately, PNs that are able to maintain their own security
and join the US in supporting international peacekeeping and security operations are
important to US interests and to international and regional stability. This approach requires
close coordination and cooperation between the DOS, DOD, and the PN. The Office of the
Deputy Assistant Secretary of Defense directs DIRI in close coordination with CCMDs and
country teams. DSCA is responsible for program and fiscal management.
(b) Wales Initiative Fund (WIF). In January 1994, the North Atlantic
Treaty Organization (NATO) launched the Partnership for Peace (PfP) program to increase
stability, diminish threats to peace, and build strengthened security relationships among
individual nations in Europe and the former Soviet Union and with NATO. The US
established the Warsaw Initiative Fund shortly thereafter to provide support to developing
nations that are members of the PfP. The program’s primary objectives are to improve
NATO/PfP partner interoperability, advance PfP partner DIB/defense reform, and support
PfP partner integration with NATO. During the NATO summit in Wales in September
2014, SecDef renamed the Warsaw Initiative Fund as WIF and opened eligibility for the
program to include not just the PfP countries of Eastern Europe and Central Asia, but all
developing NATO partners, including the Mediterranean Dialogue and Istanbul
Cooperation Initiative countries. Eligible activities will strengthen partner defense
institutions and promote interoperability through military-to-military contacts, exchanges,
workshops, conferences, and advisory efforts. This approach requires close coordination
and cooperation between DOS, DOD, and the PN. WIF is directed by the Office of the
Deputy Assistant Secretary of Defense for Security Cooperation, in close coordination with
CCMDs and SDO/DATTs. DSCA is responsible for program and fiscal management.
WIF may be used in conjunction with other types of funding, to include CCIF, traditional
CCDR activity, Official Representation Funds, Emergency Extraordinary Expense, FMF,
IMET, and NATO funds.
(c) Ministry of Defense Advisor (MODA) Program. Under MODA,

SecDef may assign DOD employees as advisors to ministries of defense (or security
agencies serving a similar defense function) of foreign countries in order to provide
institutional, ministerial-level advice and other training to personnel of the ministry to
which assigned in support of stabilization or post-conflict activities or assist such ministry
in building core institutional capacity, competencies, and capabilities to manage defense
related processes. Deployment of a MODA requires the approval and support of DOS,
OSD, CCMD, the country team, and PN, and close coordination with other DIB programs.
The MODA Program is overseen by the Office of the Deputy Assistant Secretary of
Defense for Security Cooperation, which reviews/approves/coordinates nominations.
DSCA is responsible for program and fiscal management. Advisors are typically assigned
to the SCO under coordination authority of the SDO/DATT.
(3) Building Capacities (Title 10, USC, Section 333). SecDef, with the
concurrence of SECSTATE, is authorized to build the capacity of a foreign country’s
national security forces to conduct CT operations, CWMD operations, CD trafficking
A-4 JP 3-20
operations, counter transnational organized crime operations, maritime and border security
operations, military intelligence operations, and other operations or activities that
contribute to multinational operations that benefit the national security interests of the US.
Programs may include the provision of equipment, supplies, training, defense services, and
small-scale military construction. Sustainment support may be provided for a period
extending up to five years after the provision of equipment under the authority. Any
assistance provided under this authority must be accompanied by parallel assistance
programs aimed to address institutional capacity-building and respect for human rights.
Assistance will generally be provided to foreign military forces, but may be provided to
other security forces under certain circumstances.
d. Educational and Training Activities (Title 10, Sections 341-350)
(1) Regional Defense CTFP (Title 10, USC, Section 345). CTFP seeks to
educate and train mid- and senior-level partner defense and security officials in threats,
strategies, and operations relating to CT. Through such education, it builds and strengthens
a global network of combating terrorism (CbT) experts and practitioners at the operational
and strategic levels, and reinforces the CbT capabilities of PNs. CTFP also invests to create
new curricula and training modules to address emerging CbT areas of interest to fill gaps
in existing academic programming.
(2) Regional Centers for Security Studies (Title 10, USC, Section 342). DOD
maintains five regional centers for security studies: the Africa Center for Security Studies,
the Near East and South Asia Center for Security Studies, and the William J. Perry Center
for Hemispheric Defense Studies, each located at Fort McNair in Washington, DC; the
Daniel K. Inouye Asia-Pacific Center for Security Studies, located in Honolulu, HI; and
the George C. Marshall European Center for Security Studies, located in Garmisch,
Germany and co-sponsored by the Government of Germany. Regional centers offer
platforms for convening leaders from across assigned regions for training, education, and
discussion. These unique academic forums build strong, sustainable international networks
of security leaders. The regional centers support defense strategy objectives and policy
priorities through:
(a) Offering executive-development strategic-security studies, research, and

outreach in rigorous outreach programs that foster long-term collaborative relationships;
(b) Developing and sustaining relationships and communities of interest

among security practitioners and national security establishments, especially in defense,
throughout the region; and
(c) Enhancing enduring partnerships among the nations of the region. The
regional centers accomplish their mission primarily through resident and in-region
programs including seminars and courses, as well as through bilateral workshops, alumni
outreach events, and research publications.
(3) SPP (Title 10, USC, Section 341). SecDef, with the concurrence of
SECSTATE, is authorized to establish a program of activities, known as a “State
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Appendix A
Partnership” and described to support the achievement of US SC objectives, between

members of the National Guard of a state or territory and any of the following:
(a) The military forces of a foreign country.
(b) The security forces of a foreign country.
(c) Governmental organizations of a foreign country whose primary

functions include disaster response or emergency response.
e. International Armaments Cooperation (Title 10, USC, Sections 2350a, 2350,

2358). International Armaments Cooperation encompasses defense-related international
research, development, production, and support activities involving cooperation between
the USG and governments/industries of allied and friendly nations. These efforts are
directly linked to the development and support of urgently needed military capabilities for
US and multinational forces. International Armaments Cooperation is intended to
strengthen alliances and other relationships with friendly countries; encourage
willingness to act collectively; promote international legitimacy in multinational
operations; achieve interoperability that facilitates combined operations, reduces
operational hazards, and minimizes operations security (OPSEC) compromises; ensure
access to the best global technologies; help minimize capabilities gap with multinational
partners; share (reduce) costs for new system development; and bolster domestic and
allied defense industrial bases. International Armaments Cooperation includes the
following programs:
(1) Information Exchange Program.
(2) Engineers and Scientists Exchange Program.
(3) Foreign Comparative Testing Program.
(4) Cooperative research, development, and production.
(5) No-cost equipment loans for research, development, testing, and evaluation.
(6) Cooperative Threat Reduction Program.
(7) Israeli Cooperative Programs.
(8) United States-Israel Anti-Tunnel Cooperation.
(9) International air and trade shows.
f. ACSA (Title 10, USC, Sections 2341-2350)
(1) Purpose. Under this authority, DOD may enter into bilateral agreements
for the reimbursable mutual exchange of logistical support, supplies, and services with
NATO countries, NATO subsidiary bodies, other designated-eligible countries, the UN,
A-6 JP 3-20
and other international organizations. The purchase and sale of logistic support does not
extend to major end items of equipment (e.g., trucks, weapons systems). Per Title 10,
USC, Section 2350, the term “logistic support, supplies, and services” includes temporary
use of general purpose vehicles and other nonlethal items of military equipment which
are not designated as significant military equipment on the US Munitions List. Examples
include vehicles, communications equipment, and training aids. This authority allows
DOD to acquire or transfer logistic support outside the AECA channels. This is a limited,
DOD-specific authority to both acquire logistic support without resorting to commercial
contracting procedures and to transfer logistic support outside of AECA channels.
However, pursuant to Title 10, USC, Section 2341, the authority to acquire logistic
support, services, and facilities may only be used to support US forces deployed outside
of the US. Pursuant to Title 10, USC, Section 2342, cross-servicing agreements may not
be used to procure any goods or services from any foreign government or international
organization when those are reasonably available from US commercial sources.
(2) Procedures. After consulting with DOS, DOD may enter into agreements
with NATO countries, NATO subsidiary bodies, and other designated-eligible countries
for reciprocal logistic support, supplies, and services. However, major end items are
excluded. Acquisitions and transfers are on a cash, replacement in kind (RIK), or equal
value exchange (EVE) basis. RIK or EVE must be accomplished within 12 months after
the date of delivery of the logistic support, supplies, or services. After 12 months,
reimbursement must be on a cash basis. OSD is the policy and legal authority for the use
of ACSA authorities and may only delegate down to the CCMD the authority to negotiate
new ACSA orders.
For further details, see CJCSI 2120.01, Acquisition and Cross-Servicing Agreements.
3. Department of Defense: Humanitarian Assistance and Disaster Relief Programs
a. Humanitarian Assistance, Title 10, USC, Section 2561
(1) Purpose. This provision authorizes appropriated funds to be used by DOD

for humanitarian assistance (i.e., Overseas Humanitarian, Disaster, and Civic Aid), and
DSCA manages those funds. Funds should be used for Defense Transportation System-
managed transportation of USG-procured humanitarian relief supplies on a case-by-case
basis (DOD Funded Transportation Program) and for other authorized humanitarian
purposes worldwide, such as training, equipping, and/or limited construction to build
partner capacity to deliver humanitarian assistance and essential services to the civilian
population.
(2) Procedures. The SCO typically forwards requests through the supported
GCC for review and approval by DSCA in coordination with the Deputy Assistant
Secretary of Defense for Stability and Humanitarian Affairs. Upon DSCA approval, or
CCMD approval, if below the “minimal cost” threshold, the CCMD determines if and when
to fund approved projects, and execution is typically delegated to the project submitter
(e.g., SCO or a civil affairs team). Projects require USAID coordination. For urgent
disaster relief, DOD typically proves support after receipt of a DOS Executive Secretariat
A-7
Appendix A
request for DOD assistance to further the USG response whereby tasking the affected GCC
to provide assistance. DSCA provides funding to the GCC as authorized by SecDef.
For more information, refer to JP 3-29, Foreign Humanitarian Assistance, and DSCA
Manual 5105.38-M, Security Assistance Management Manual.
b. Transportation of Humanitarian Relief Supplies to Foreign Countries, Title

10, USC, Section 402
(1) Purpose. This statute authorizes military transportation of nongovernmental,

privately donated humanitarian relief supplies, subject to certain conditions and on a space-
available basis. This section commonly refers to assistance as the “Denton Program,”
which is jointly administered by DSCA (for DOD), USAID, and DOS.
(2) Procedures. Private aid donors apply for transportation via the web
(https://hatransportation.ohasis.org). DOD is also authorized to transport donated supplies
from NGOs and international organizations intended for humanitarian assistance purposes.
This transportation is authorized without charge but on a space-available basis. Before
supplies can be transported, DOD must determine their transportation is consistent with
US foreign policy, they are suitable for humanitarian purposes and in usable condition, a
legitimate humanitarian need exists for them by the people for whom they are intended,
they will be used for humanitarian purposes, and adequate arrangements have been made
for their distribution in the destination country by the NGO or international organization.
DSCA manages the program and the funds. Requests should be forwarded by the
supported CCDR to the JS for approval by DSCA.
c. HCA Provided in Conjunction with Military Operations, Title 10, USC,

Section 401
(1) Purpose. This authority allows the Service components to carry out HCA
activities abroad. Projects must promote US and HN security interests, as well as enhance
readiness skills of the US forces that participate. These projects are to be conducted in
conjunction with authorized military operations and can complement, but not duplicate,
other assistance provided by the USG. HCA is confined to four general areas which are
defined by statute: medical, dental, surgical, and veterinary care provided in rural or
underserved areas of a country, including education, training, and technical assistance
related to the care provided; construction of rudimentary surface transportation systems;
well drilling and construction of basic sanitation facilities; and rudimentary construction
and repair of public facilities. HCA projects cannot benefit any individual or organization
engaged in military or paramilitary activity.
(2) Procedures. HCA projects must be approved by the HN government and

must be supported by the US embassy, DOS, USAID, and DOD. Indirect costs of Section
401 activities such as the temporary duty expenses of DOD personnel completing the HCA
project are funded from the Services’ operation and maintenance accounts. Any direct
costs of providing HCA must be paid from funds specifically appropriated for the provision
of humanitarian assistance. ASD(SO/LIC) provides oversight within DOD.
A-8 JP 3-20
(3) Unless expressly authorized in an appropriations act, the Defense Health

Program (DHP) appropriation may not be used to fund HCA activities. The purpose of the
DHP appropriation is to create and maintain high morale in the uniformed Services by
providing an improved and uniform program of medical and dental care for members and
certain former members of those Services and for their dependents (Title 10, USC, Section
1071). Further, sums appropriated to the DHP account may be obligated or expended for
purposes of conducting programs and activities under Title 10, USC, Chapter 55. From
time to time, Congress will authorize limited DHP amounts be expended on specific HCA
efforts.
d. Foreign Disaster Assistance, Title 10, USC, Section 404
(1) Purpose. This section provides the President with the authority to direct
SecDef to provide disaster assistance outside the US to prevent loss of lives or serious harm
to the environment. It enables DOD to utilize its unique airlift and rapid deployment
capabilities to address humanitarian problems caused by natural or man-made disasters
worldwide. Assistance provided under this section may include transportation, supplies,
services, and equipment, and possibly humanitarian daily rations, which are managed by
DSCA. Foreign disaster assistance requirements are validated by USAID, Office of US
Foreign Disaster Assistance. The military mission should be clearly defined, as military
assets are provided primarily to supplement or complement the relief efforts of the affected
country’s civil authorities or humanitarian relief community. Any assistance provided
under this section must be reported to Congress within 48 hours of commencement of the
assistance activities. As appropriate, DOD may also support USG FDR efforts under Title
10, USC, Section 2561.
(2) Procedures. Typically, DOD support to USG FDR efforts is provided in

response to a DOS Executive Secretariat request for assistance. DOD will provide a
response to DOS advising of the actions DOD will take in response to the request and the
affected CCDR tasked to provide assistance. DSCA provides funding to the CCMD, in
accordance with the funding authorized by SecDef.
For additional information see JP 3-29, Foreign Humanitarian Assistance, and DSCA
Manual 5105.38-M, Security Assistance Management Manual.
e. Humanitarian Mine Action (HMA) Program, Title 10, USC, Section 407
(1) Purpose. The HMA program assists countries in developing an indigenous

mine action capability while promoting US interests. HMA activities include the
furnishing of education, training, and technical assistance to a PN, with respect to detection,
clearance, and physical security and stockpile management of land mines and other
explosive remnants of war (ERW). ERW includes landmines, unexploded ordnance (i.e.,
mortar rounds, artillery shells, bomblets, rockets, sub-munitions, rocket motors and fuel,
grenades, small arms ammunition), and abandoned ammunition storage and cache sites. In
support of national security interests, the goal of the HMA program is to relieve human
suffering and the adverse effects of landmines and ERW on noncombatants. By law, DOD
personnel may not engage in the physical detection, lifting, or destruction of landmines or
A-9
Appendix A
other ERW (unless the member does so for the concurrent purpose of supporting US
military operations). To a limited degree, supplies, services, and equipment are provided
to assist in the conduct of training. Total cost of supplies, services, and equipment provided
to foreign governments may not exceed 10 million dollars per FY (all participating
countries).
(2) Procedures. SCO identifies, plans, coordinates, and submits HMA requests
through the supported GCC for review and approval by DSCA in coordination with Deputy
Assistance Secretary of Defense for Stability and Humanitarian Affairs. All projects must
be coordinated with the PM’s Office of Weapons Removal and Abatement. Additional
information on HMA can be found in DSCA Manual, 5105.38-M, Security Assistance
Management Manual; CJCSI 3207.01, Department of Defense Support to Humanitarian
Mine Action; JP 3-29, Foreign Humanitarian Assistance; and JP 3-15, Barriers, Obstacles,
and Mine Warfare for Joint Operations.
f. Excess Property (EP) Program, Title 10, USC, Section 2557
(1) Purpose. Allows for the provision of surplus DOD equipment (excluding
weapons, ammunition, or other equipment or material that is designed to inflict serious
bodily harm or death) for the purpose of building partner capacity to deliver essential
services to the civilian population in support of TCP objectives. The EP program supports
the same areas as humanitarian assistance activities executed under Title 10, USC, Section
2561, and may be used to provide equipment that improves a PN’s ability to respond to
disasters or deliver health or education services. The EP program is designed for civilian
use. However, EP may be provided to an HN military unit by exception, as long as the
unit is responsible for performing a humanitarian mission and the HN’s civilian population
remains the ultimate beneficiary.
(2) Procedures. EP projects are generally identified, planned, and coordinated

by DOD personnel in country (i.e., SCO), via the Overseas Humanitarian Assistance
Shared Information System project nomination module and submitted to the DSCA for
approval, via the appropriate geographic CCMD. Upon DSCA approval, the CCMD
determines if and when a project will be executed, in coordination with the SCO, or other
country-level DOD entity, and the assigned EP Warehouse. EP is normally shipped via
Defense Transportation System surface modes, so transportation timeframes vary.
Alternate Defense Transportation System shipment modes may be considered based on
funding considerations and the urgency of the requirement. All EP must be transferred to
a DOS or USAID representative prior to donation to the recipient country. All projects
require USAID coordination.
For additional information, refer to DSCA Manual 5105.38-M, Security Assistance

Management Manual.
4. Department of State Programs
a. FMS Authorizations (Title 22, USC, Sections 2761-2767)
A-10 JP 3-20
(1) Purpose. FMS is the primary authority to sell and lease defense articles and
services (procured with DOD appropriations) to foreign allies, friendly nations, and
international organizations; the other authority comes through ACSAs.
(2) Procedures. The international organizations or another country can enter

into an FMS contract with DOD through a letter of request. Ordinarily, the contracting
country pays DOD in advance for all costs plus an administrative surcharge. Leases are
generally processed on a reimbursable basis. However, leases of defense articles may be
made on a non-reimbursable basis if the article has passed three quarters of its normal
service life. The leases only cover rental charges. Any additional costs, including
transportation, refurbishment, spares, and training, must be reimbursed on an FMS case.
b. IMET (FAA, Sections 541-545 and Title 22, USC, Sections 2347-2347h)
(1) Purpose. The IMET program provides training and education opportunities,
on a grant basis, to students from allied and friendly countries. It is a key component of
US SA that is an investment in ideas and people and has an overall positive effect on the
numerous foreign military students educated and trained under the program. For a
relatively modest investment, it presents democratic alternatives to key foreign military
and civilian leaders.
(2) Procedures. DOS obtains a request for training from the PN government and
passes the request to DOD. If the GCC desires to provide military education or training to
countries in the AOR, usually this is arranged through the country team at the embassy.
The GCC may also submit the proposal to the JS J-5 for interagency review. Once
approved by DOS, DOD through DSCA will attempt to provide the services directly. If
DOD is unable, then DSCA will authorize the use of contracted training to meet the
requirement.
c. FMF Program (FAA Section 503; AECA, Section 23 [Title 22, USC, Section
2763]; and appropriated under DOS Foreign Operations and Related Programs
Appropriations Act: Title IV)
(1) Purpose. This program provides grants for non-reimbursable military

assistance to friendly foreign countries or international organizations for the purchase of
defense articles or services through either FMS or direct commercial sales.
(2) Procedures. DOS’s PM initiates the annual budget development process for
the FY plus three future years. Annual FMF strategic budget guidance is issued to US
embassies and DOD stakeholders to develop program requests which are based on
established national and country-specific SA objectives. CCMDs forward their prioritized
and consolidated submissions to the JS. The JS then forwards the consolidated input to
DSCA, for coordination with the Office of the Under Secretary of Defense for Policy and
DOS. Accompanying OSD policy and JS, the CCMDs also have the opportunity to defend
their recommendations to DOS staff during the annual SA roundtable meetings. The Office
of US Foreign Assistance Resources will then develop and compile the final DOS budget
request to the White House OMB and Congress and approves the release of all foreign
A-11
Appendix A
assistance funds. The program requests are reviewed by the OMB and Congress. Once
approved through the President’s budget, DOS PM will process execution notifications to
Congress and funding releases from the Department of the Treasury to DSCA.
d. EDA (Title 22, USC, Section 2321j)
(1) Purpose. EDA authority provides for the sale or no-cost transfer of EDA no
longer needed by DOD, which is deemed excess and includes property of the USCG.
Delivery priority is given to eligible NATO members, major non-NATO allies on the
southern and southeastern flank of NATO, and to the Philippines. This excess equipment
is offered at reduced or no cost to eligible foreign recipients on an “as is, where is” basis.
EDA recipients are responsible for packaging, crating, handling, and transportation costs,
as well as refurbishment work and follow-on support. The EDA program works best for
assisting friends and allies to augment current inventories of like items with a support
structure already in place. Numerous statutory authorizations govern the transfer of EDA.
A summary of the legal references can be found in Chapter 11 of DSCA
Manual 5105.38-M, Security Assistance Management Manual,
(http://www.samm.dsca.mil/chapter/chapter-11#C11.3).
(2) Procedures. The PN, or an international organization, identifies their

requirements by responding to a survey message, submitting a letter of request, or locating
items via a Defense Logistics Agency website. SCO coordinates for an EDA transfer
consideration by the COM and GCC. SCO responses should include a transfer
justification, as well as an assessment of the proposed recipient’s capabilities to fund
follow-on operational, maintenance, and training requirements. The SCO must ensure the
country understands the receipt of EDA is not a promise for future support of any sort, and
any modification or transportation expense for the EDA must be reimbursed to the USG.
The MILDEPs determine if EDA exists. DSCA coordinates with DOS and Department of
Commerce to determine eligibility and allocation among the requirements. DSCA
completes Congressional notification for grant EDA, transfer of significant military
equipment, or any transfer of any equipment whose original acquisition value exceeding
seven million dollars. EDA sale transfers are reported to Congress per Section 516(f)(1)
of the FAA, but if the support case for the EDA transfer breaches the notification
thresholds, then EDA notifications are in accordance with AECA Section 36(b) (Title 22,
USC, Section 2776), with the FMS letter of offer and acceptance process used for the
transfer by sale. USD(P)/DSCA approves the transfer for implementation by the applicable
MILDEP or DOD agency The President is provided the authority to transfer EDA based
on an annual justification to Congress for military assistance, and a myriad of statutory
limitations to transfers based on an annual aggregate value, total annual military aid,
funding, weight, transportation, and an assessment on the effect of the transfer based on
technology and the industrial base versus the sale of new or used equipment. There are
statutory limitations outside of Title 22, USC.
5. Drawdown Authorities
This authority provides DOD articles, equipment, military education, and training to
respond to unforeseen emergencies or requirements. It can also provide DOD services.
A-12 JP 3-20
Examples include military transportation and military personnel offloading ships. This
authority cannot be used for new contracting or procurement. It can be cited by DOD to
contract for commercial air- or sealift if more economical. However, it cannot be used to
provide housing and food under a logistic civil augmentation program contract to members
of a foreign country or an international organization. There are three drawdown authorities
contained within the FAA of 1961. All three require a Presidential determination and
report, in advance, to Congress that it is in the national interest to execute the drawdown.
They are available for use within each FY up to a specified dollar amount. The calculation
of costs for all goods and services provided under these authorities, and reported to
Congress, is on the basis of “full cost to the government.” The calculation of costs includes
the full cost of all military and civilian labor associated with the drawdown. Although
these authorities are limited to existing defense stocks, a reduction of items from inventory
below the reorder point may cause a new procurement action to replenish stocks. Such
authority generally does not have funding attached. Drawdown authority does not draw a
distinction between stocks that are at the retail or wholesale level. When drawdown
authority is granted, there are very specific statutes that require the President to report to
Congress the extent that stocks and services are drawn down. DSCA is the DOD agency
responsible for reporting this information. DSCA must account for how much drawdown
authority has been used and establish the reporting requirements for this type of support.
Using this authority, DSCA normally directs the provision of supplies in two ways. First,
DSCA may assemble a push package to be sent to the appropriate foreign contingent.
Second, DSCA may direct, through an execute order, that certain stocks be provided to a
specific foreign contingent.
a. Drawdown for an Unforeseen Emergency (FAA, Section 506[a][1] and Title

22, USC, Section 2318[a][1])
(1) Purpose. Under Section 506(a)(1) of the FAA, military assistance (defense
articles and defense services, and military education and training) can be furnished to a
foreign country or international organization on a non-reimbursable basis due to an
unforeseen emergency. It requires a Presidential determination and report in advance to
Congress that an unforeseen emergency exists that cannot be met under the AECA or any
other law. Peacekeeping is a recognized purpose for use of this drawdown authority.
(2) Procedures. Normally, requests are initiated by the US embassy in the

concerned country and forwarded to DOD. The CCDR may also identify needs to the J-5
for forwarding to DOS or the National Security Council. Once the concept is approved,
DOS initiates documentation for the President to approve and to notify Congress. Once
drawdown authority has been approved, DSCA manages the program for DOD and
provides detailed accounting procedures.
b. Drawdown in National Interests (FAA, Section 506[a][2] and Title 22, USC,
Section 2318[a][2])
(1) Purpose. The President can draw down DOD stocks for CD, disaster relief,
antiterrorism, nonproliferation assistance, and refugee and migrant assistance purposes.
This authority provides articles, equipment, and military equipment and training. It can
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Appendix A
also provide DOD services. Examples include military transportation and military
personnel offloading ships.
(2) Procedures. The same as Drawdown for an Unforeseen Emergency.
c. Drawdown for PKO (FAA, Section 552[c] and Title 22, USC, Section 2348)
(1) Purpose. The President can drawdown commodities and services from any
USG department or agency for unforeseen emergencies to support peacekeeping activities.
This authority can be used for new contracting or procurement and it can be cited by DOD
to contract for commercial air- or sealift if more economical. However, it cannot be used
to provide housing and food. It requires a Presidential determination and report, in
advance; to Congress that an unforeseen emergency exists that requires the immediate
provision of assistance.
(2) Procedures. The same as Drawdown for an Unforeseen Emergency.
For additional guidance on drawdown procedures, see DSCA Manual 5105.38-M,

Security Assistance Management Manual, paragraph C11.2, and DSCA Handbook for
FAA Drawdown of Defense Articles and Services.
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APPENDIX B
SECURITY FORCE ASSISTANCE
1. Overview of Security Force Assistance
a. SFA activities are often used to shape the OE or assist a PN in defending against
internal and transnational threats to security or stability (i.e., supporting FID, CT, COIN,
or other stability activities). SFA activities may be used to assist a PN to defend against
external threats or help contribute to multinational operations and help develop or reform
another country’s security forces or supporting institutions. SFA also contributes to DOD’s
role in USG efforts to support PN SSR, whether through routine SC activities or a FID
operation.
b. The Range of Military Operations
(1) SFA activities are conducted across the range of military operations and
across the conflict continuum (i.e., from peace through war) supporting Service and joint
operations/missions. Significant SC activities and military engagements are routinely
conducted worldwide for peacetime theater and global shaping through the GCCs’ TCPs.
Some of those SC activities are likely to include, for example, SFA activities or an SSR
effort in the lower range of the conflict continuum. Timely and effective execution of
relevant SFA activities as part of SC for shaping in the theater campaign may contribute to
stabilization and perhaps a measure of deterrence to prevent the requirement for US forces
having to conduct a contingency operation. These activities can develop effective PN
security forces supporting US or US-led multinational operations.
(2) Joint forces must have the ability to conduct SFA and associated OTERA
tasks throughout the conflict continuum. Planners should address SFA requirements
throughout all phases of an operation/campaign.
For more information on the range of military operations, refer to JP 3-0, Joint Operations.
2. Organization and Responsibilities
Congress provides oversight of SFA activities and allocates resources under strict
guidelines and implementation instructions. CCDRs are required to provide annual
estimates to SecDef for SFA requirements. As a result, the funding authorities for SFA
activities must be prioritized within each theater and then for global application by DOD
in coordination with DOS. For contingencies, funding for SFA would be made available
based on the priority of the requirement. Figure B-1 depicts SFA coordination.
3. Planning Considerations for Security Force Assistance
a. SFA Activities. Typically planned and executed like other SC activities in support
of a GCC’s TCP, or in conjunction with a contingency plan, SFA activities will generally
focus on building the capacity or capability of PN military forces. However, under certain
conditions, SFA activities may have to support the development of nonmilitary security
B-1
Appendix B
Security Force Assistance Coordination
United President
States
Congress
Funding
Authorities
Allied Nation/
Department of Department of Coalition
Defense State Government
Country
Team
United States Army
Component Command
United States
Marine Corps Partner Nation
Component Command Combatant Allied Nation/
Commanders Security Force Coalition
United States Navy Security Assistance Security
Component Command Force Program Force
Assistance Assistance
United States Air Force Activities Activities
Component Command
Unified Commands
Legend
lines of coordination lines of communication
Figure B-1. Security Force Assistance Coordination
forces and their supporting institutions; and to the extent authorized by law, DOD shall be
prepared to provide capabilities to do the following:
(1) Support and coordinate with other USG departments and agencies that are
leading USG efforts to support non-defense ministry security forces and their supporting
institutions.
(2) Advise and support the training of foreign paramilitary security forces such
as border and coastal control forces, counterterrorist forces, and paramilitary or special
police forces at all levels, in conjunction with other USG departments and agencies.
(3) Support the training of PN civil police in individual and collective tasks in
hostile or uncertain environments when other USG department or agency trainers and
advisors are unable to do so. Coordinate the transition of responsibilities for such training
and advisory duties to other USG departments and agencies as conditions allow.
B-2 JP 3-20
Security Force Assistance
b. SFA Imperatives. SFA activities strive to create FSF that are competent,
capable, sustainable, committed, confident, and support the security of the PN and
regional stability. The following imperatives enable SFA activities and have universal
application for the numerous SC activities and larger-scale Service/joint operations and
missions supported by SFA activities.
(1) Understand the OE. Understanding the OE is fundamental to operations

and SC, and essential to SFA activities. An in-depth understanding of the OE includes
the size, organization, capabilities, disposition, roles, functions, and mission focus of PN
forces, threats, and especially the sociocultural factors of the indigenous and other
relevant populations. Identifying all actors influencing the environment and their
motivations will help planners and practitioners define the goals and methods for
developing PN security forces and their institutions. To prioritize and focus the SFA
effort, it is equally important to understand the regional players and transnational actors
who may influence the OE. The basis for a holistic view and understanding of the OE
are products of the joint intelligence preparation of the OE process, integrated with the
separate intelligence preparation of the battlespace products of the component commands
and Service intelligence centers. Joint/Service planners can employ a number of
processes and tools to evaluate environmental factors such as areas, structures,
capabilities, organizations, people and events, and political, military, economic, social,
information, and infrastructure.
See JP 2-01.3, Joint Intelligence Preparation of the Operational Environment, for

additional details.
(2) Ensure Unity of Effort. The SFA effort may include multinational partners
or an international organization. Effective command organizational and stakeholder
relationships warrant special consideration. Unity of command is typically preferable,
but often impractical. Unity of effort is imperative to successful SFA efforts. Command
relationships and organizational relationship agreements may range from simple to
complex and military commanders may answer to nonmilitary personnel such as a COM.
Regardless of the relationship, clear delineation and understanding of authorities is
essential to avoid confusion. Additionally, establishing coordinating boards or centers
assists unity of effort among US and multinational partners.
(3) Leadership. SFA should consistently provide and instill leadership

qualities and capabilities as part of training and advisory activities at all appropriate
levels of the FSF organization. Depending on the circumstances, the US may execute an
SFA mission unilaterally or as part of a multinational force. In any case, leadership is
especially important in the inherently dynamic and complex environment associated with
SFA. SFA normally requires the personal interaction of trainers/advisors and trainees,
military, and civilians, from the tactical level to the strategic level, so a high premium is
placed on effective leadership at all levels. Leadership must fully comprehend the OE
and be prepared, fully involved, and supportive for SFA activities to succeed. Productive
SFA requires leadership on both the provider and the recipient sides throughout the
operation or campaign.
B-3
Appendix B
(4) Support Legitimacy. SFA develops FSF that should contribute to the
legitimate governance of the PN population. This is done by developing FSF that are
competent, capable, committed, and confident, not only in the eyes of the US, other
countries, and PN governments, but more critically, in the eyes of the PN population.
(a) Legitimacy of the PN government and of the forces providing SFA may
be tenuous during some phases of a complex operation, but it is an essential consideration
for achieving the SC or contingency objective(s). A PN’s security policies and practices
should be founded upon the rule of law and linked to the broader justice sector to facilitate
resolution of potential conflict drivers. SFA should aim to ensure all FSF operate within
the bounds of domestic and international laws, respect human rights, and they support
wide-ranging efforts to enforce and promote the rule of law, thus supporting legitimacy
and transparency. Legitimacy fosters transparency and confidence among PN government,
FSF, PN population, and USG departments and agencies. Another aspect of legitimacy is
supporting PN ownership in the SFA effort, because it facilitates sustainability for building
a capacity or security reform through acceptance and expectation by the PN population.
SFA should put a PN face on all forms of success and positive reinforcement and properly
mitigate any negatives, so the FSF appears righteous even when mistakes are made.
(b) The police in particular should operate as an integral part of the justice
system and directly support other parts of the justice sector, including the courts and
corrections institutions. This is particularly important in rebuilding countries where legacy
of abuse by security personnel may have eroded public confidence in the sector overall.
SFA programs should include accountability and oversight mechanisms, including
thorough direct collaboration with civil society, to prevent abuses of power and corruption,
and to build public confidence. Assistance to the police and other state security providers
may need to be complemented with other efforts to strengthen these institutions, to avoid
unintended consequences, and to ensure the security forces operate according to the law.
In addition, although the tendency may be to focus on criminal justice systems, civil justice
reform may have important implications for law and order, particularly with respect to the
resolution of potential conflict drivers, such as land disputes, and provides another avenue
for the redress of government malfeasance. Leaders, planners, and practitioners at all
levels who integrate SFA activities into SC planning efforts must consider how each action
may affect popular perceptions, and focus activities that enable the legitimacy of the PN
government and FSF, not just make them technically competent. While it is important to
assist PN forces to develop professionally, a mirror image US model may not be the
optimum solution for some FSF, because of sociocultural or other factors. Legitimacy may
be difficult to measure objectively.
(5) Manage Information. Information is a powerful enabler and weapon in the

complex and dynamic OE normally involving SFA activities. Forces conducting SFA are
integrated as part of the overarching operation or campaign (e.g., FID, COIN, or stability
activities), but they may be physically separated through distributed operations with FSF.
Unit commanders, or the SDO/DATT, must ensure an appropriate information
management plan is developed for SFA in coordination with interagency partners, whether
through a country team, a joint force, or component headquarters. SFA advisors/trainers
must work with the FSF to give a positive context and narrative to the FSF’s
B-4 JP 3-20
professionalization efforts and capacity to secure the population. Coordination of the

information themes and messages among the US, FSF, and the PN government, and the
presentation or availability of information to the indigenous population can limit or
mitigate the propaganda efforts of insurgents or hostile forces. This may serve to mitigate
the potential for destabilizing influences of hostile forces or criminal elements to
propagandize SFA efforts and damage the PN government’s credibility and legitimacy.
(6) Sustainability. Providing sustainability consists of two major components:

the ability of the US and other partners to sustain the SFA activities successfully through
all phases of the operation or campaign and the ability of PN security forces to sustain their
capabilities independently over the long term. The first component may be predicated on
the PN maintaining legitimacy while the second component should be considered
holistically when working with the PN to build their security forces. It is important to
consider the sociocultural factors, infrastructure, and education levels of prospective FSF
when fielding weapons systems and maintaining organizations.
(7) “Do No Harm.” In complex operations, SFA, as part of a unified action by

the USG, can become a part of the conflict dynamic serving either to increase or reduce
tension. As with any activity that involves changes to the status quo, and risks, SFA
planners and trainers/advisors must be sensitive to and maintain an awareness for adverse
effects in the security sector and on the local population and community institutions and
structures. Periodic assessment and collaboration with interagency partners (e.g., the
country team) should provide situational awareness of the wider political, social, and
economic effects. This includes not only the immediate effects created by SFA activities,
but also any second- and third-order effects. The supported JFC and COM should agree
on the responsibilities for maintaining and sharing information for situational awareness of
various actors and activities. A shared understanding of the security sector for which
change is sought, and the actual needs that exist, are prerequisites for the success of any
SFA activity, and to avoid, minimize, or mitigate any harmful effects. Practitioners should
conduct a complete assessment prior to implementation and, based upon continuous
follow-on assessments, be prepared to adjust SFA activities over the duration of the joint
operation or SC activities.
c. Security Force Functions
(1) Security forces perform three generic functions: executive, generating, and
operating. The executive function includes strategic direction that provides oversight,
policy, and resources for the FSF generating and operating functions. FSF generating
forces refer to the capacity and capabilities of the FSF to organize, train, equip, and build
operating force units. FSF operating forces form operational capabilities through the use
of concepts similar to the US joint functions to achieve FSF security objectives. Of note,
specific generating and operating forces will likely have some overlap of requirements and
responsibilities. In some FSF, a single organization may perform all three functions.
(2) The SFA planners require knowledge of how their own organization
distributes these functions as well as how the FSF implement them in their system in order
to identify the SFA tasks that will support the FSF’s model rather than simply importing a
B-5
Appendix B
US model to the FSF organization. Figure B-2 shows the primary duties of each function
and identifies the relationship of the OTERA tasks.
(3) Executive Function. All security forces apply some level of executive
function which empowers the generating and operating functions. The entities that perform
this function direct and develop national policy and resources for their security forces. The
executive organization justifies, authorizes, and directs parameters for the generating and
operating forces. The OSD, the JS, and the Service staffs perform this function for the US.
The duties associated with the executive function are:
(a) Formulate Policy. The executive organization establishes the regulation

of SFA in the context of the political purpose that department, agency, organization,
Service, or unit serves. This includes forecasting and budgeting for current and future
requirements in both the operating and generating functions and requests or allocating
resources to meet the anticipated priorities.
(b) Advise Political Leadership. The executive organization provides an

understanding of problems and solutions in relation to security force issues. These may
Executive, Generating, and Operating Functions
Executive Functions Generating Functions Operating Functions

 Formulate policy.  Direct subordinates and
Organizing
 forces for military
Advise political  Doctrine operations, training,
leadership.  Recruiting and logistics.
 Administering
 Strategic planning.
  Prescribe the chain of
Mobilizing
 Assess readiness.  command.
Demobilizing
 Servicing
 Review and analysis.  Assign command
 Supplying

functions to subordinate
Coordinate with other  Maintaining commanders.
departments.
Training and Education  Task organize the
 Supervise force
command and forces.
intelligence activities. Equipping
 Employ the command’s
 Constructing military
forces.
equipment
 Outfitting military equipment  Coordinate and approve
 Repairing military equipment administration, support,
and discipline.
Rebuilding/Building
 Select command staff,
Buildings, Structures,
Utilities, Real Property subordinate
commanders; suspend
 Constructing real property subordinates and
 Maintaining real property convene courts-martial.
 Repairing real property
 Acquiring real property
Advise
Figure B-2. Executive, Generating, and Operating Functions
B-6 JP 3-20
include, but are not limited to, force employment options, operational requirements, or
military and political consequences of pending decisions.
(c) Strategic Planning. The executive supports formulation of security

force plans to develop an understanding of a desired political end state and then determine
the objectives that should be achieved to attain that end state. Strategic planning
encompasses not only the delivery and employment of operational forces, but also
considers the required capabilities that should be generated and sustained to create the
effects to achieve those objectives, as well as the associated second and third order effects
that may be created. Objectives should be within a reasonable strategic planning horizon
while some end states may be well into the future.
(d) Assess Readiness. The executive organization identifies the gaps in

capacity or capabilities as they relate to the functions, roles, and missions that security
forces and their organizations and institutions should successfully perform to achieve the
strategic objective(s) required to reach an envisioned end state normally related to a
political purpose.
(e) Review and Analysis. The executive provides insights into current or
future capability and capacity gaps as they relate to fulfilling known or anticipated roles
and missions for the security force. As a function, it requires the capability to collect and
process relative information from operations, exercises, or experiments and then package
and distribute the analysis in a manner useful to decision makers.
(f) Coordinate with Other Departments. The executive coordinates with

departments, agencies, ministries and organizations that are external to the security
organization to ensure effective, efficient, economical administration and to reduce
duplication.
(g) Supervise Force Intelligence Activities. Military organizations have

intelligence capability. The executive function controls these efforts to ensure they support
the objectives of national security.
(4) Generating Function. The generating function develops and sustains the
capabilities of the operating forces. In the US, the generating function is primarily
performed by the Services and is performed by military schools, training centers, and
arsenals. The duties associated with the generating function are:
(a) Organizing. Supports recruiting, mobilization/demobilization, force

management, resourcing, distribution, or other efforts to form or reform units and
supporting organizations required to generate and sustain capabilities that meet operational
requirements.
(b) Training and Education. Supports the development and sustainment of

systems that provide the resources (e.g., doctrine, materiel, funds, terrain, time, personnel,
regulations) required to identify, achieve, and sustain a level of training readiness to meet
operational requirements.
B-7
Appendix B
(c) Equipping. Develops, tests, fields, distributes, and maintains the

materiel required for security force personnel and organizations to train and execute those
tasks associated with their roles and missions.
(d) Rebuilding/Building. Develops and maintains the physical

infrastructure required to generate forces. This may include installations, ranges, buildings,
road networks, airfields, shipyards, or other security force-related infrastructure.
(5) Operating Function. The operating function employs military capabilities

through application of joint functions of movement and maneuver, intelligence, fires, force
protection, sustainment, and C2 during actual operations. Operating, as it applies to police
security forces, may include training and actual operations with the integration of
patrolling, forensics, apprehension, intelligence, investigations, incarceration,
communications, and sustainment. Operating forces are responsible for collective training
and performing missions assigned to the unit. In the US, operating forces are normally
employed by the CCDRs to achieve US security objectives.
(a) US operating forces are typically better suited to develop FSF operating
forces or operational capabilities than they are to developing FSF generating forces or
generating capabilities. Typically, they are tasked to train and/or advise FSF operating
forces.
(b) Employing operational forces to fill SFA capabilities associated with

developing the FSF’s generating function (FSF tasks such as “develop FSF doctrine” or
“stand up a staff officer’s college”), and possibly in the FSF’s executive function (e.g.,
ministries), would likely be beyond the inherent capability of the operating force and would
likely require special training or augmentation by SMEs drawn from US generating
organizations.
d. FSF Development Tasks. SFA activities normally use the tasks of OTERA to
develop the functional capabilities required by the FSF. OTERA tasks are a tool to
develop, change, or improve the capacity and capabilities of FSF. Through a baseline
assessment of the subject FSF, and considering US interests and objectives, planners can
determine which OTERA tasks will be required to build the proper capability and capacity
levels within the various units of the FSF. Assessments of the FSF against a desired set of
capabilities will assist in developing an OTERA-based plan to improve FSF. The
following are basic descriptions of the OTERA tasks:
(1) Organize. All activities taken to create, improve, and integrate doctrinal
principles, organizational structures, capability constructs, and personnel management.
This may include doctrine development, unit or organization design, command and staff
processes, and recruiting and manning functions.
(2) Train. All activities taken to create, improve, and integrate training, leader
development, and education at the individual, leader, collective, and staff levels. This may
include task analysis, the development and execution of programs of instruction,
implementation of training events, and leader development activities.
B-8 JP 3-20
(3) Equip. All activities to design, improve, and integrate materiel and
equipment, procurement, fielding, accountability, and maintenance through life cycle
management. This may also include fielding of new equipment, operational readiness
processes, repair, and recapitalization.
(4) Rebuild or Build. All activities to create, improve, and integrate facilities.
This may include physical infrastructures such as bases and stations, lines of
communication, ranges and training complexes, and administrative structures.
(5) Advise/Assist. All activities to provide subject matter expertise, guidance,

advice, and counsel to FSF while carrying out the missions assigned to the unit or
organization. Advising may occur under combat or administrative conditions, at tactical
through strategic levels, and in support of individuals or groups.
4. Security Force Assistance Activities
a. General
(1) Discussion of SFA in the previous sections has generally centered on strategic
and operational levels. This section transitions to a more focused examination of
employment principles, techniques, and procedures used in conducting SFA activities.
(2) SFA activities that are part of unified action by the GCC require interagency
coordination. Even small tactical operations usually require interagency coordination,
most often through the SCO with the country team as a part of the CCMD’s routine
activities (as part of a campaign plan) and in initial phases of an operation (such as
deploying flexible deterrent or flexible response options) campaign and through a
joint/multinational force or Service component headquarters organization during combat
operations and again through the SCO as operations transition back to civilian control.
(3) Interagency coordination for SC such as SFA activities is led by the COM
and coordinated through the country team. In the rare circumstance there is a complete
absence of a COM, the senior USG official may be the JFC who would lead the interagency
coordination, and if required, interorganizational coordination for all participants.
Civilian-military teaming is a product of interagency coordination, and an example is the
provincial reconstruction teams used in Iraq and Afghanistan. The strategic and
operational level coordination results in planning and resources for effective tactical level
application. SFA activities may be conducted with FSF through large joint/Service task
forces, as well as through smaller civilian-military teams. Figure B-3 depicts a model for
SFA activities.
b. Employment Factors. As in planning, several areas deserve special attention

when discussing employment of US forces in SFA activities.
(1) Intelligence Support. Intelligence provides an assessment of PNs’ and

potential adversaries’ capabilities, capacities, and shortfalls. It involves understanding
sociocultural factors, information and intelligence sharing, and intelligence training.
Information sharing between the US and PNs must be an early consideration for planners.
B-9
Appendix B
Security Force Assistance Activities
Resources/ Security Force Foreign Security Purpose

Funding/ Assistance Force Missions/
Programs (SFA) Operations
Security Major Combat  Deter/defeat

Cooperation Operations external threat
Title 22, USC – Foreign Internal  Deter/defeat

Foreign Relations Defense internal threat
FMS
IMET Counterinsurgency  Defeat
FMF insurgency
SFA
Counterterrorism  Disrupt/defeat
Title 10, USC – Activities terrorists
Armed Forces
PEP Counternarcotics  Disrupt/degrade
PfP Organize ilicit drug
trafficking
Train
Other Unconventional  Defeat enemy/
Title 10, USC, Section 333 – BPC Warfare illegitimate
Title 10, USC, Section 284 – CNT Equip
NDAA FY 15 Section 1209, as authority
amended
Rebuild/ Stability Activities  Provide security
Build and essential
services
USG Advise
Humanitarian  Save lives
Assistance
Federal Law
Enforcement
Peace Operations  Separate
Title 28, USC threats
(DOJ, FBI) Maritime Security
Title 14, USC
 Provide security
Operations in the maritime
(USCG)
domain
Means Ways Ends
Legend
BPC building partner capacity IMET international military education and training
CNT counter narcoterrorism NDAA national defense authorization act
DOJ Department of Justice PEP personnel exchange program
FBI Federal Bureau of Investigation PfP Partnership for Peace
FMF foreign military financing USC United States Code
FMS foreign military sales USCG United States Coast Guard
FY fiscal year USG United States Government
Figure B-3. Security Force Assistance Activities
A continuous intelligence effort will gauge the reaction of the local populace and determine
the effects on the infrastructure of US efforts, as well as evaluate strengths, weaknesses,
and disposition of opposition groups in the area. Ultimately, intelligence supports the US
B-10 JP 3-20
and PN leaders’ decision-making processes and supports the protection of friendly forces
and assets.
(2) Force Selection. US forces have some inherent ability to assess, train, advise,
and assist foreign forces. The degree to which they can be tasked depends on their
preparation in terms of cultural knowledge, language, functional skills, and the ability to
apply these skills within the OE. Employing operational designs that provide a
combination of CF while leveraging the unique capabilities of SOF will assist in achieving
objectives. The planning for and selection of the appropriate mix of CF, SOF, CEW, and/or
civilian personnel and contractors should be a deliberate decision based on thorough
mission analysis and a pairing of available capabilities to requirements. Important factors
to consider in these decisions include the nature of the PN force, the nature of the skills or
competencies required by the PN force, and the nature of the situation and environment
into which US forces will deploy.
(a) USCG training teams, personnel, and platforms are well suited to support
the development of stable, multi-mission maritime forces to respond to many transnational
threats. USCG SFA activities reach beyond normal military to military relations to a
broader maritime audience, including, but not limited to, law enforcement agencies,
maritime administrations, and transport ministries.
(b) SFA for non-defense ministry security forces and their supporting
institutions. If required to support the development of the capacity and capabilities of
non-defense ministry security forces, such as the police and their supporting institutions,
and to the extent authorized by law, DOD is prepared to employ the requisite task-
organized capabilities to affect the following:
1. Support and coordinate with other interagency partners leading and

supporting USG efforts to support development of the capacity and capabilities of non-
defense ministry security forces and their supporting institutions.
2. Advise and support the training of foreign paramilitary security forces

such as border and coastal control forces, counterterrorist forces, and paramilitary or
special police forces at all levels.
3. Support the training of PN civil police in individual and collective

tasks in hostile or uncertain OEs when trainers and advisors from other interagency partners
are unable to do so.
4. Coordinate the transition of responsibilities for such training and

advisory duties to other interagency partners when conditions allow.
(3) OE and Employment Tasking of SFA-Qualified Forces. A key element of

planning and employment of forces addresses the environment in which DOD is directed
to conduct SFA activities. Regardless of the operational context, there are three potential
environments that GCC’s planners should consider when integrating SFA activities into
strategy and plans to determine the optimal force capabilities and the proper combinations
of SOF, CF, CEW personnel, and contractors.
B-11
Appendix B
(a) Diplomatically/politically sensitive environments where a large-

scale, highly-visible US presence is unacceptable to the PN government. This
environment traditionally lends itself to a primarily SOF solution. The GCC’s planners
should assess the specific skills and competencies required to accomplish the mission and
tailor the force using the appropriate combination of personnel and contractors.
(b) Environments where a limited, overt US presence is acceptable to the

PN government. This condition lends itself to either a SOF or CF-led combination, based
upon the capabilities required and the purpose of the operation. A small to mid-sized team
or element composed of a mix of SOF, CF, CEW personnel and contractor capabilities may
be optimum. The balance of US capabilities required, operational footprint, and duration
of the activity, as well as the availability of US resources should be considered to determine
the most effective operational and strategic solution.
(c) Environments where a large-scale US presence is considered

necessary and acceptable by the PN government. In this case, the solution may be a CF
activity, with SOF integrated to accomplish specific tasks or work with PN SOF. The
GCC’s planners should direct their assessments toward those capabilities and requirements
that are, or may be, CF- or SOF-specific and consider the FSF to develop options for the
integration of forces. The primary considerations are the PN requirements, type of FSF
assisted, CF- or SOF-unique expertise required, and the strategic priorities and objectives
of the supported JFC.
(4) Public Information. Public information is key during all phases of any
mission with SFA activities. While it is important to support the USG effort through IRCs
such as MISO, it is also important to employ effective public affairs (PA) programs,
coordinated with the COM and PN, to inform the US and PN populations of current SFA
activities and USG objectives. Without popular support it may be impractical to fully
develop and sustain missions that require USG support for FSF. The supported JFC’s PA
activities will seek to disclose the appropriate amount of information in accordance with
USG PA guidelines and applicable security restrictions. Coordination is important
between the PA staff and the media, the country team, the MISO unit, and other information
agencies within the PN and region.
(5) Logistics Support. Logistics support of SFA activities might include support
of both US and PN forces to conduct operational missions (e.g., supporting PN civilians or
military forces with medical, construction, power generation, maintenance, supply, or
transportation capabilities). There are several general guidelines for logistic issues in
support of US forces conducting SFA activities.
(a) There may be a ceiling imposed on the number of US military personnel

authorized in the HN for agreed upon SFA activities. Commanders should determine how
external or sea-basing of some forces affects that situation. Maximum use should be made
of HNS capabilities, but where reliance on the HN is not feasible, minimizing logistic
support requirements is essential. SFA and supporting activities may include contractor
personnel, which could complicate legal, diplomatic, administrative, budgetary, and
logistical issues. Efficient use of throughput of supplies (an average quantity that can pass
B-12 JP 3-20
through a port on a daily basis), airlift resupply, and inter-Service support agreements
should also be considered.
(b) Commanders should carefully balance the advantages of using HNS with
the risks of establishing dependency on potentially unreliable sources.
(c) The type of mission determines logistics operations. Services’ logistics

support elements may be integrated into the overall joint force. However, logistics support
for deployed forces, remains a Service responsibility.
(d) Other supporting multinational forces may require support beyond their
organic logistic capabilities. Accordingly, if there is a need for the USG to establish
logistic support agreements with multinational partners providing SFA-like capabilities
that –should occur during the planning phase and be finalized –prior to beginning SFA
activities. ACSAs negotiated with multinational partners are beneficial, as they allow US
forces to exchange most common types of support. SecDef typically delegates authority
to negotiate these agreements to the supported GCC.
For further information on multinational logistics, refer to JP 4-08, Logistics in Support

of Multinational Operations.
(6) Force Protection
(a) It is incumbent upon the commander to fully understand the threat

environment in the operational area. By having access to fused intelligence from local,
regional, and national resources, commanders can accurately assess threats and employ
measures to safeguard SFA personnel and facilities. Force protection planning
considerations should address additional support requirements for quick reaction forces,
emergency procedures, PR, or the requirement to integrate SFA personnel into the PN
protection plan.
For further information on PR, refer to JP 3-50, Personnel Recovery.
(b) Insider attacks are a threat in any operational area. Commanders should
ensure personnel are trained to identify behavioral indicators of possible insider threats and
understand the means to apply prevention tools to mitigate this threat. Cultural awareness
yields situational awareness and leads to increased force protection for SFA personnel.
(7) OPSEC. A significant challenge during SFA activities is the need to deny
critical information about friendly intentions, capabilities, and activities to hostile
elements. The nature of SFA implies that many PN officials and the populace will know
of certain US activities as they occur. Criminal and insurgent groups may have members
or sympathizers within PN institutions acting as informants. US and foreign personnel
involved in SFA activities and programs should be provided extensive OPSEC training to
ensure effectiveness of their operations.
For further information on OPSEC, see JP 3-13.3, Operations Security.
B-13
Appendix B
(8) Communications Security. Communications security is essential

throughout planning and execution of SFA activities. SFA personnel should be trained in
the protection of sensitive communications equipment and cryptographic materials.
For further information on communications security, see JP 6-0, Joint Communications

System.
(9) Lessons Learned. Document lessons learned from previous SC activities so

the commander knows what processes and procedures to modify for more effective
programming, planning, and execution of future SC activities involving SFA activities. It
is also important to conduct comprehensive after action reviews and prepare reports,
focusing on the specifics of the SFA activities, to gather this information as soon as
possible after mission execution. The Joint Staff J-7 [Directorate for Joint Force
Development], Joint and Coalition Operational Analysis Branch, CJCS’s Joint Center for
International Security Force Assistance, the Services, and other USG departments and
agencies maintain lessons learned programs, which provide readily available sources of
information to SFA planners and operators. The Joint Lessons Learned Information
System (JLLIS) may provide solutions to planning problems and identify specific tasks to
evaluate. In particular, JLLIS possesses a significant amount of SOF resources providing
additional information on peacetime SFA missions.
For further information for specific reporting procedures, refer to CJCSI 3150.25, Joint
Lessons Learned Program.
c. Human Rights. Absent a waiver for extraordinary circumstances, units of an FSF

may not receive any training, equipment, or other assistance from DOD if there is credible
evidence that the unit has committed a gross violation of human rights (Title 10, USC,
Section 2249e). Foreign personnel must also be vetted prior to training to ensure no
members of the training audience have violated human rights. Title 22, USC, Section 2304,
prohibits the USG from providing funds to a foreign country if DOS has credible evidence
the foreign country or its agents have engaged in a consistent pattern of gross violations of
internationally recognized human rights, unless SECSTATE determines and reports the
government of such country is taking effective measures to bring the responsible FSF unit
to justice. To comply with the requirements of Title 22, USC, Section 2304 (Leahy
Amendment), prior to training, FSF trainees must be vetted through affected COM and
DOS human rights compliance mechanisms. Once a unit or a group of individuals has
been identified to be trained, a request for human rights vetting will be submitted to the
appropriate country US embassy. Per A Guide to the Vetting Process, the DOS reference
guide for human rights vetting, a minimum of 10 working days is required for DOS to vet.
However, more lead time raises the probability of successfully vetting candidates. If there
are derogatory results, DOD will then make its own determination whether or not to
proceed with the training. This language also may be found in the annual DOD
appropriations acts and prohibits such funding unless all necessary steps have been taken
or SecDef, in consultation with SECSTATE, decides to waive the prohibition due to
extraordinary circumstances. A site survey team may assist in gathering this information.
B-14 JP 3-20
d. Countering Insider Threats. Nontraditional threats, such as the insider threat,

can undermine SFA activities, as well as the cohesion of US forces and FSF. Strategically,
they can undermine the overall efforts of the international community. Tactically, the
breakdown of trust, communication, and cooperation between PN and US forces can affect
military capability. Eliminating and/or minimizing the insider threat, especially by proper
preparation and training of forces, is critical to mission success. However, more stringent
force protection controls and measures that are overtly heavy handed must be well balanced
yet culturally sensitive enough to not send the wrong message to the very people and
organizations the US is trying to assist. Adversaries may view attacks against US forces
as a particularly effective tactic, especially when using PN forces to conduct these attacks.
While these types of “insider” or “green on blue” attacks may be context-specific to a
particular theater, JFCs should nevertheless ensure their force protection plans take into
account the potential for these types of attacks and plan appropriate countermeasures. To
reduce the potential for insider attacks, FSF should be further vetted to identify individuals
whose motivations toward the PN and USG are in question.
e. Defense and Non-Defense SC Activities
(1) Defense Activities That Are Not SFA. US forces may also conduct other
activities in the security sector that do not clearly provide a direct contribution to the
capacity and capabilities of the FSF and therefore are not SFA activities. These might
include military-to-military contacts whose purpose is simply to negotiate access or status
agreements. Many key leader engagements, wherein senior US military leaders meet with
senior officers of the PN military, ministry of defense (MOD), or other officers of the PN
government, are military engagement or SC activities, but not SFA activities, because they
establish or reaffirm relationships or enhance US access to PN ports, airfields, or
infrastructure. Despite their classification as something other than SFA activities, it is
important to understand other SC activities are part of comprehensive USG effort to
achieve the military objectives and reach the end state expressed in the TCP, CSCS/country
plan, or a contingency plan.
(2) Non-Defense Security Sector Activities. DODI 5000.68, Security Force

Assistance (SFA), has a provision that “DOD, if required, and to the extent authorized by
law, supports the development of the capacity and capabilities of non-defense ministry
security forces and their supporting institutions.” In general, existing US statutes prohibit
DOD participation in developmental activities. Not all PNs have chosen to organize
themselves in accordance with US organizational structures. Some PNs do not have a
MOD, yet they field security forces. Examples of these non-MOD security forces include
paramilitary police (gendarmerie, carabinieri), border guards, state and national police,
coast guard-type forces or coastal defense forces, customs agents, CD force, and ministry
of interior.
(a) DOD has several capabilities that may be of significant value in

developing the capacity and capabilities of these non-MOD security forces. As GCCs
develop TCPs and CSCSs/country plans to support their theater strategy and objectives,
and, in coordination with the applicable COMs and country teams, GCCs should identify
capacity and capabilities gaps in these non-MOD PN forces and include proposals to
B-15
Appendix B
address them. However, DOD will not execute or support such activities without proper
authority.
(b) In most cases, another interagency partner will have primary

responsibility and legal authority to work with HNs to develop capacity and capabilities of
these non-MOD security forces. With proper coordination and approval, the GCC can
provide DOD personnel and units with unique skill sets not available to other departments
and agencies to assist the lead USG department or agency in this development activity. In
some situations, other interagency partners may have specific skills to develop non-MOD
security force capacity and capabilities, but do not have sufficient personnel available to
meet requirements.
(c) In some situations, other interagency partners may have the appropriate
skills and personnel, but existing security conditions may prevent their use. In those
environments, subject to proper coordination and authorization, DOD may be required to
develop those non-MOD security capabilities or capacity. The GCC should make
provisions for transition of responsibilities to other interagency partners as the security
situation allows.
5. Assessing the Capabilities of a Foreign Security Force
a. FSF Capabilities Assessment. As with any SC baseline assessment, initial

assessment of the FSF should precede development to determine FSF capability gaps and
FSF ability to sustain increased capacity and other changes. Appropriate SMEs should
assess FSF capabilities and capacity based on the USG anticipated objectives. From the
baseline, assessment continues throughout FSF development to measure the effectiveness
of SFA efforts and levels of FSF developmental efforts. FSF assessments are generally
focused on the organizational, operational, environmental, and institutional levels to
establish an understanding of the capabilities, needs, and environment. The MOE for the
generating forces is how well the operating forces perform their assigned tasks. In order
for the generating force to serve its purpose, the operating forces should communicate their
requirements back to the generating forces. Assessments should include all FSF generating
and operating functions in relation to the executive direction function; each provides
insight as to the will and capability of the FSF to generate, employ, and sustain itself.
For additional details regarding FSF assessments, see Army Techniques Publication
(ATP) 3-07.10/Marine Corps Reference Publication (MCRP) 3-33.8A/Navy Tactics,
Techniques, and Procedures (NTTP) 3-07.5/Air Force Tactics, Techniques, and
Procedures (AFTTP) 3-2.76, Multi-Service Tactics, Techniques, and Procedures for
Advising Foreign Security Forces.
b. FSF Assessment Workflow. The FSF assessment enables the SFA organization
to establish the correct developmental objectives. Individual unit specific FSF assessments
of individual FSF units allow for effective alignment of feasible developmental tasks. The
comprehensive FSF assessment provides a thorough understanding of the FSF and presents
a baseline in FSF capability requirements within the context of the OE. The FSF
assessment task workflow consists of five steps (see Figure B-4).
B-16 JP 3-20
Foreign Security Force Assessment (Workflow)
Step 1 Step 2 Step 3 Step 4 Step 5
*Conduct FSF
unit specific
organization
assessment and
*Conduct core observations
analysis and *Form Estimate
scope Foreign hypothesis(s) progress and
Service Force and develop *Conduct institutional
or capability assessment/analysis
(FSF) unit assessment gaps
specific plan
problem(s) *Conduct FSF
unit specific
environmental
assessment and
observations
*Supporting and detailed task flow
Figure B-4. Foreign Security Force Assessment (Workflow)
c. Planners and advisors can apply this FSF assessment process as a primary
developmental tool in day-to-day activities, as well as broader program development to
synchronize development objectives of FSF generating and operating forces. Finally, when
standardized among SFA organizations, the FSF assessment workflow provides a
collective understanding of trends and progress across the FSF.
d. The initial site assessment refines information or mission parameters developed

during previous assessments in the planning process. Site survey and assessment teams
should include a counterintelligence representative, a strategic planner, a force protection
element, and a foreign area officer.
B-17
Appendix B
Intentionally Blank
B-18 JP 3-20
APPENDIX C
NOTIONAL SECURITY COOPERATION ACTIVITY CHECKLIST
1. Enter planned event into G-TSCMIS.
2. Read SC guidance (most likely on SIPRNET).
a. Service component guidance/Service headquarters guidance.
b. Command guidance.
c. Country specific guidance for PN.
d. Department of Defense Guidance for Security Cooperation.
e. Relevant program guidance.
f. Relevant section(s) of the current NDAA.
3. Identify and read relevant operational doctrine and directives for SC activity.
4. Obtain higher headquarters activity guidance.
a. Activity objectives.
b. MOEs and MOPs.
c. Strategic guidance.
d. PA guidance.
5. Review lessons learned from previous operations and exercises.
a. JLLIS.
b. Component lessons learned.
6. Submit request for and obtain unit diplomatic/country clearance.
7. Conduct mission analysis to answer the questions:
a. What tasks must the unit do for mission accomplishment?
b. What is the purpose of the activity?
c. What limitations have been placed on own force’s actions?
d. What forces/assets are available to support the activity?
C-1
Appendix C
e. What additional assets are needed?
8. Develop mission analysis outputs.
9. Identify SC activity funding source.
a. Review associated legal constraints.
b. Identify reporting requirements for expenditures.
10. Identify personnel requirements.
a. Passport/visa/military identification, theater and country clearance, and

customs policy.
b. Required medical screening and immunizations.
c. Complete isolated personnel report, as required.
d. Ensure government charge card authorizations and policies of use are

promulgated.
e. Ensure proper uniforms for geography, weather, and activity.
11. Request staff judge advocate assistance in identifying memorandums of

understanding/status of forces agreements/visiting forces agreements that exist with HN.
(Policy on weapons and uniforms.)
12. Identify HN, interagency, international organizations, and NGO points of contact
for coordination.
13. Arrange for HN liaison officers and interagency/international organization/NGO

representatives to augment tactical/operational units, as appropriate.
14. Contact component/CCMD country desk officer for advisement and coordination.
15. Establish contact with SCO at US embassy in the PN for advisement and
coordination.
16. Contact country team (SCO) for advisement and coordination.
17. Obtain HN licensing/credentialing requirements if required, e.g., medical,

construction.
18. Identify logistics requirements and support.
19. Arrange for cultural awareness training.
C-2 JP 3-20
Notional Security Cooperation Activity Checklist
a. Schedule specific training on customs, cultural sensitivities, and norms for unit
leaders and those who will interact with HN.
b. Ensure language and translation requirements are identified and met by

embassy support and/or augmented personnel.
20. Identify communications requirements.
a. Obtain communications resources for austere locations.
b. Ensure redundant and backup systems are available and tested.
21. Obtain format of situational reports to higher headquarters, frequency of

reporting, and means of reporting. Develop data collection plan to support MOE, MOP,
operation and assessment monitoring, and evaluation.
22. Publish evasion plan of action prior to mission in accordance with JP 3-50,
Personnel Recovery.
23. Depending on time constraints conduct predeployment site survey or advance

command element team to prepare for activity.
24. Draft lessons learned during activity planning and execution. Submit upon
completion or as directed.
25. Draft after action report per higher headquarter direction and update G-TSCMIS
event entry to lessons learned as applicable.
C-3
Appendix C
Intentionally Blank
C-4 JP 3-20
APPENDIX D
REFERENCES
The development of JP 3-20 is based upon the following primary references.
1. Law
a. Title 10, USC.
b. Title 22, USC.
c. National Defense Authorization Act for Fiscal Year 2017.
2. Strategic Guidance and Policy
a. National Security Directive Decision 38, Staffing at Diplomatic Missions and Their
Overseas Constituent Post.
b. National Security Presidential Directive-1, Organization of the National Security

Council System.
c. National Security Presidential Directive-44, Management of Interagency Efforts

Concerning Reconstruction and Stabilization.
d. PPD-23, Security Sector Assistance.
e. NSS.
f. GEF 2015-2017.
g. National Military Strategy of the United States of America 2015.
h. Strategic Plan.
i. National Defense Strategy.
j. NDP-1, National Policy and Procedures for the Disclosure of Classified Military
Information to Foreign Governments and International Organizations.
k. Department of Defense Guidance for Security Cooperation.
3. Department of Defense Publications
a. DODD 3000.07, Irregular Warfare (IW).
b. DODD 5105.65, Defense Security Cooperation Agency (DSCA).
c. DODD 5132.03, DOD Policy and Responsibilities Relating to Security

Cooperation.
D-1
Appendix D
d. DODD 5205.75, DOD Operations at US Embassies.
e. DODD 5205.82, Defense Institution Building (DIB).
f. DODD 5230.11, Disclosure of Classified Military Information to Foreign

Governments and International Organizations.
g. DODD 5240.02, Counterintelligence (CI).
h. DODI 1100.22, Policy and Procedures for Determining Workforce Mix.
i. DODI 2205.02, Humanitarian and Civic Assistance (HCA) Activities.
j. DODI 5000.68, Security Force Assistance (SFA).
k. DODI C-5105.81, Implementing Instructions for DOD Operations at US

Embassies (U).
l. DODI 5132.13, Staffing of Security Cooperation Organizations (SCOs) and the

Selection and Training of Security Cooperation Personnel.
m. DODI 5132.14, Assessment, Monitoring, and Evaluation Policy for the Security
Cooperation Enterprise.
n. DODI 5205.14, DOD Counter Threat Finance (CTF) Policy.
o. Memorandum of Agreement Between DOD and DHS on the Use of the US Coast
Guard Capabilities and Resources in Support of the National Military Strategy.
p. Office of the Undersecretary of Defense for Personnel and Readiness, Guidance on

Common Training Standards for Security Force Assistance.
q. DSCA Manual 5105.38-M, Security Assistance Management Manual.
r. DOD Dictionary of Military and Associated Terms.
4. Chairman of the Joint Chiefs of Staff Publications
a. CJCSI 3110.01, 2015 Joint Strategic Capabilities Plan (JSCP).
b. CJCSI 3121.01B, Standing Rules of Engagement/Standing Rules for the Use of

Force for US Forces.
c. CJCSI 3150.25F, Joint Lessons Learned Program.
d. CJCSI 3520.02B, Proliferation Security Initiative Activity Program.
e. CJCSI 3710.01B, DOD Counterdrug Support.
D-2 JP 3-20
References
f. CJCSM 3130.01A, Campaign Planning Procedures and Responsibilities.
g. CJCSM 3130.06A, Global Force Management Allocation Policies and

Procedures.
h. JP 1, Doctrine for the Armed Forces of the United States.
i. JP 1-0, Joint Personnel Support.
j. JP 2-0, Joint Intelligence.
k. JP 2-01.2, Counterintelligence and Human Intelligence in Joint Operations.
l. JP 2-01.3, Joint Intelligence Preparation of the Operational Environment.
m. JP 2-03, Geospatial Intelligence in Joint Operations.
n. JP 3-0, Joint Operations.
o. JP 3-05, Special Operations.
p. JP 3-07, Stability.
q. JP 3-07.3, Peace Operations.
r. JP 3-07.4, Counterdrug Operations.
s. JP 3-08, Interorganizational Cooperation.
t. JP 3-13, Information Operations.
u. JP 3-13.2, Military Information Support Operations.
v. JP 3-13.3, Operations Security.
w. JP 3-16, Multinational Operations.
x. JP 3-22, Foreign Internal Defense.
y. JP 3-24, Counterinsurgency.
z. JP 3-26, Counterterrorism.
aa. JP 3-29, Foreign Humanitarian Assistance.
bb. JP 3-33, Joint Task Force Headquarters.
cc. JP 3-40, Countering Weapons of Mass Destruction.
dd. JP 3-57, Civil-Military Operations.
D-3
Appendix D
ee. JP 4-0, Joint Logistics.
ff. JP 5-0, Joint Planning.
5. Multi-Service Publications
a. ATP 3-07.10/MCRP 3-33.8A/NTTP 3-07.5/AFTTP 3-2.76, Multi-Service Tactics,

Techniques, and Procedures for Advising Foreign Security Forces.
b. Maritime Security Cooperation Policy: An Integrated Navy-Marine Corps-Coast

Guard Approach.
6. United States Army Publications
a. Army Doctrine Publication (ADP) 3-0, Unified Land Operations.
b. ADP 3-05, Special Operations.
c. ADP 3-07, Stability.
d. ADP 5-0, The Operations Process.
e. Field Manual 3-22, Army Support to Security Cooperation.
f. Field Manual 3-61, Public Affairs Operations.
7. United States Navy Publications
a. Navy Doctrine Publication 1, Naval Warfare.
b. Navy Warfare Publication (NWP) 3-05, Naval Special Warfare.
c. NWP 3-07.20, Navy Support to Security Cooperation.
d. NWP 5-01, Navy Planning.
e. NTTP 3-06.1, Riverine Operations.
f. NTTP 3-54M, Operations Security (OPSEC).
8. United States Marine Corps Publications
a. Fleet Marine Force Reference Publication 12-15, Small Wars Manual.
b. Marine Corps Interim Publication 3-33.01, Small Leader’s Guide to

Counterinsurgency.
c. Marine Corps Interim Publication 3-33.03, Security Cooperation.
D-4 JP 3-20
References
9. United States Air Force Publications
a. Air Force Doctrine Annex 3-2, Irregular Warfare.
b. Air Force Doctrine Annex 3-22, Foreign Internal Defense.
D-5
Appendix D
Intentionally Blank
D-6 JP 3-20
APPENDIX E
ADMINISTRATIVE INSTRUCTIONS
1. User Comments
Users in the field are highly encouraged to submit comments on this publication using the
Joint Doctrine Feedback Form located at: https://jdeis.js.mil/jdeis/jel/jp_feedback_form.pdf
and e-mail it to: [email protected]. These comments should address
content (accuracy, usefulness, consistency, and organization), writing, and appearance.
2. Authorship
The lead agent for this publication is the US Army. The Joint Staff doctrine sponsor
for this publication is the Director for Operations (J-3).
3. Change Recommendations
a. To provide recommendations for urgent and/or routine changes to this publication,

please complete the Joint Doctrine Feedback Form located at:
https://jdeis.js.mil/jdeis/jel/jp_feedback_form.pdf and e-mail it to js.pentagon.j7.mbx.jedd-
[email protected].
b. When a Joint Staff directorate submits a proposal to the CJCS that would change
source document information reflected in this publication, that directorate will include a
proposed change to this publication as an enclosure to its proposal. The Services and other
organizations are requested to notify the Joint Staff J-7 when changes to source documents
reflected in this publication are initiated.
4. Lessons Learned
The Joint Lessons Learned Program (JLLP) primary objective is to enhance joint force
readiness and effectiveness by contributing to improvements in DOTMLPF-P. The Joint
Lessons Learned Information System (JLLIS) is the DOD system of record for lessons
learned and facilitates the collection, tracking, management, sharing, collaborative
resolution, and dissemination of lessons learned to improve the development and readiness
of the joint force. The JLLP integrates with joint doctrine through the joint doctrine
development process by providing lessons and lessons learned derived from operations,
events, and exercises. As these inputs are incorporated into joint doctrine, they become
institutionalized for future use, a major goal of the JLLP. Lessons and lessons learned are
routinely sought and incorporated into draft JPs throughout formal staffing of the
development process. The JLLIS Website can be found at https://www.jllis.mil
(NIPRNET) or http://www.jllis.smil.mil (SIPRNET).
5. Distribution of Publications
Local reproduction is authorized, and access to unclassified publications is

unrestricted. However, access to and reproduction authorization for classified JPs must be
IAW DOD Manual 5200.01, Volume 1, DOD Information Security Program: Overview,
E-1
Appendix E
Classification, and Declassification, and DOD Manual 5200.01, Volume 3, DOD

Information Security Program: Protection of Classified Information.
6. Distribution of Electronic Publications
a. Joint Staff J-7 will not print copies of JPs for distribution. Electronic versions are
available on JDEIS Joint Electronic Library Plus (JEL+) at
https://jdeis.js.mil/jdeis/index.jsp (NIPRNET) and http://jdeis.js.smil.mil/jdeis/index.jsp
(SIPRNET), and on the JEL at http://www.dtic.mil/doctrine (NIPRNET).
b. Only approved JPs are releasable outside the combatant commands, Services, and
Joint Staff. Defense attachés may request classified JPs by sending written requests to
Defense Intelligence Agency (DIA)/IE-3, 200 MacDill Blvd., Joint Base Anacostia-
Bolling, Washington, DC 20340-5100.
c. JEL CD-ROM. Upon request of a joint doctrine development community member,

the Joint Staff J-7 will produce and deliver one CD-ROM with current JPs. This JEL CD-
ROM will be updated not less than semi-annually and when received can be locally
reproduced for use within the combatant commands, Services, and combat support
agencies.
E-2 JP 3-20
GLOSSARY
PART I—ABBREVIATIONS, ACRONYMS, AND INITIALISMS
ACSA acquisition and cross-servicing agreement

ADP Army doctrine publication
AECA Arms Export Control Act
AFTTP Air Force tactics, techniques, and procedures
AOR area of responsibility
ASD(SO/LIC) Assistant Secretary of Defense for Special Operations/
Low-Intensity Conflict
ATP Army techniques publication
C2 command and control

CBRN chemical, biological, radiological, and nuclear
CbT combating terrorism
CCDR combatant commander
CCIF Combatant Commander Initiative Fund
CCMD combatant command
CD counterdrug
CEW civilian expeditionary workforce
CF conventional forces
CJCS Chairman of the Joint Chiefs of Staff
CJCSI Chairman of the Joint Chiefs of Staff instruction
CJCSM Chairman of the Joint Chiefs of Staff manual
CMO civil-military operations
COIN counterinsurgency
COM chief of mission
CSCS country-specific security cooperation section
CSP campaign support plan
CT counterterrorism
CTF counter threat finance
CTFP Combating Terrorism Fellowship Program
CTN countering threat networks
CWMD countering weapons of mass destruction
DHP Defense Health Program

DHS Department of Homeland Security
DIA Defense Intelligence Agency
DIB defense institution building
DIRI Defense Institution Reform Initiative
DOD Department of Defense
DODD Department of Defense directive
DODI Department of Defense instruction
DOJ Department of Justice
DOS Department of State
GL-1
Glossary
DOTMLPF-P doctrine, organization, training, materiel, leadership and

education, personnel, facilities, and policy
DSCA Defense Security Cooperation Agency
DTSA Defense Technology Security Administration
EDA excess defense articles

EP excess property
ERW explosive remnants of war
EVE equal value exchange
FAA Foreign Assistance Act

FDR foreign disaster relief
FHA foreign humanitarian assistance
FID foreign internal defense
FMF foreign military financing
FMS foreign military sales
FSF foreign security forces
FY fiscal year
FY1 current fiscal year
FY2 budget year
FY3 program year
FY4 out year
FY5 out year
GCC geographic combatant commander

GEF Guidance for Employment of the Force
GFM global force management
GFMIG Global Force Management Implementation Guidance
G-TSCMIS Global Theater Security Cooperation Management
Information System
HCA humanitarian and civic assistance

HMA humanitarian mine action
HN host nation
HNS host-nation support
ICS integrated country strategy

IDAD internal defense and development
IMET international military education and training
IRC information-related capability
J-4 logistics directorate of a joint staff

J-5 plans directorate of a joint staff
JCET joint combined exchange training
JFC joint force commander
JLLIS Joint Lessons Learned Information System
GL-2 JP 3-20
Glossary
JP joint publication
JS Joint Staff
JSCP Joint Strategic Campaign Plan
LOE line of effort

LOO line of operation
MCRP Marine Corps reference publication

MILDEP Military Department
MISO military information support operations
MOD ministry of defense
MODA ministry of defense advisor
MOE measure of effectiveness
MOP measure of performance
NATO North Atlantic Treaty Organization

NDAA national defense authorization act
NDP national disclosure policy
NGB National Guard Bureau
NGO nongovernmental organization
NSS national security strategy
NTTP Navy tactics, techniques, and procedures
NWP Navy warfare publication
OE operational environment
OMB Office of Management and Budget
OPSEC operations security
OSD Office of the Secretary of Defense
OTERA organize, train, equip, rebuild/build, and advise
PA public affairs
PBR program and budget review
PfP Partnership for Peace (NATO)
PKO peacekeeping operations
PM Bureau of Political-Military Affairs (DOS)
PN partner nation
PO peace operations
POM program objective memorandum
PPD Presidential policy directive
PR personnel recovery
RIK replacement in kind
SA security assistance
SC security cooperation
SCO security cooperation organization
GL-3
Glossary
SDO/DATT senior defense official/defense attaché

SecDef Secretary of Defense
SECSTATE Secretary of State
SFA security force assistance
SIPRNET SECRET Internet Protocol Router Network
SME subject matter expert
SOF special operations forces
SPP State Partnership Program
SSA security sector assistance
SSR security sector reform
TCP theater campaign plan

TDP theater distribution plan
TMM transregional, multi-domain, and multi-functional
TSOC theater special operations command
UN United Nations
USAID United States Agency for International Development
USC United States Code
USCG United States Coast Guard
USD(AT&L) Under Secretary of Defense for Acquisition, Technology,
and Logistics
USD(I) Under Secretary of Defense for Intelligence
USD(P) Under Secretary of Defense for Policy
USG United States Government
USSOCOM United States Special Operations Command
WIF Wales Initiative Fund

WMD weapons of mass destruction
GL-4 JP 3-20
PART II—TERMS AND DEFINITIONS
defense institution building. Security cooperation conducted to establish or reform the

capacity and capabilities of a partner nation’s defense institutions at the
ministerial/department, military staff, and service headquarters levels. Also called
DIB. (Approved for inclusion in the DOD Dictionary.)
foreign military sales. That portion of United States security assistance for sales programs
that require agreements/contracts between the United States Government and an
authorized recipient government or international organization for defense articles and
services to be provided to the recipient for current stocks or new procurements under
Department of Defense-managed contracts, regardless of the source of financing. Also
called FMS. (Approved for incorporation into the DOD Dictionary.)
international military education and training. Formal or informal instruction provided

to foreign military students, units, and forces on a nonreimbursable (grant) basis by
offices or employees of the United States, contract technicians, and contractors, and
the instruction may include correspondence courses; technical, educational, or
informational publications; and media of all kinds. Also called IMET. (Approved for
incorporation into the DOD Dictionary.)
partner nation. 1. A nation that the United States works with in a specific situation or
operation. (JP 1) 2. In security cooperation, a nation with which the Department of
Defense conducts security cooperation activities. (JP 3-20) Also called PN.
(Approved for incorporation into the DOD Dictionary.)
security assistance. Group of programs authorized by the Foreign Assistance Act of 1961,
as amended; the Arms Export Control Act of 1976, as amended; or other related
statutes by which the United States provides defense articles, military training, and
other defense-related services by grant, lease, loan, credit, or cash sales in furtherance
of national policies and objectives, and those that are funded and authorized through
the Department of State to be administered by Department of Defense/Defense
Security Cooperation Agency are considered part of security cooperation. Also called
SA. (Approved for incorporation into the DOD Dictionary.)
security cooperation. All Department of Defense interactions with foreign security

establishments to build security relationships that promote specific United States
security interests, develop allied and partner nation military and security capabilities
for self-defense and multinational operations, and provide United States forces with
peacetime and contingency access to allied and partner nations. Also called SC.
security cooperation organization. A Department of Defense element that is part of the

United States diplomatic mission located in a foreign country to carry out security
assistance and cooperation management functions under the supervision and
coordination authority of the senior defense official/defense attaché. Also called SCO.
GL-5
Glossary
security force assistance. The Department of Defense activities that support the
development of the capacity and capability of foreign security forces and their
supporting institutions. Also called SFA. (Approved for incorporation into the DOD
Dictionary.)
GL-6 JP 3-20
JOINT DOCTRINE PUBLICATIONS HIERARCHY
JP 1
JOINT
DOCTRINE
JP 1-0 JP 2-0 JP 3-0 JP 4-0 JP 5-0 JP 6-0

COMMUNICATIONS
PERSONNEL INTELLIGENCE OPERATIONS LOGISTICS PLANS SYSTEM
All joint publications are organized into a comprehensive hierarchy as shown in the chart above. Joint
Publication (JP) 3-20 is in the Operations series of joint doctrine publications. The diagram below
illustrates an overview of the development process:
STEP #4 - Maintenance STEP #1 - Initiation

l JP published and continuously l Joint doctrine development
assessed by users community (JDDC) submission to fill
l Formal assessment begins extant operational void
24-27 months following l Joint Staff (JS) J-7 conducts front-
publication end analysis
l Revision begins 3.5 years l Joint Doctrine Planning Conference
after publication validation
l Each JP revision is completed l Program directive (PD) development
no later than 5 years after and staffing/joint working group
signature l PD includes scope, references,
outline, milestones, and draft
authorship
l JS J-7 approves and releases PD to
lead agent (LA) (Service, combatant
Maintenance command, JS directorate)
Initiation
ENHANCED
JOINT JOINT
WARFIGHTING DOCTRINE
CAPABILITY PUBLICATION
Approval Development
STEP #3 - Approval STEP #2 - Development

l JSDS delivers adjudicated matrix to JS J-7 l LA selects primary review authority (PRA) to develop the first
l JS J-7 prepares publication for signature draft (FD)
l PRA develops FD for staffing with JDDC
l JSDS prepares JS staffing package
l FD comment matrix adjudication
l JSDS staffs the publication via JSAP for
signature l JS J-7 produces the final coordination (FC) draft, staffs to
JDDC and JS via Joint Staff Action Processing (JSAP) system
l Joint Staff doctrine sponsor (JSDS) adjudicates FC comment
matrix
l FC joint working group

Security Cooperation: Joint Publication 3-20

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Security Cooperation: Joint Publication 3-20

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Joint Publication 3-20

b. The guidance in this publication is authoritative; as such, this doctrine will be

For the Chairman of the Joint Chiefs of Staff:

 Introduction ................................................................................................................. I-1

 Introduction .............................................................................................................. III-1

 General ..................................................................................................................... IV-1

 Introduction ............................................................................................................... V-1

A Security Cooperation: Related Programs and Authorities................................ A-1

Part I Abbreviations, Acronyms, and Initialisms .............................................. GL-1

I-1 Interagency Coordination Processes for Security Sector Assistance

• Presents Security Cooperation in Strategic Context

• Describes Security Cooperation Relationships

• Covers Security Cooperation Planning

• Explains Security Cooperation Execution

• Discusses Security Cooperation Assessments

Security Cooperation in Strategic Context

Security cooperation (SC) provides Security cooperation (SC) encompasses all

SC Purposes SC helps develop partnerships that encourage

adversaries, preventing conflict, and enhancing

SC and the Instruments of National SC programs and activities are normally

Theater Strategy and Estimate Theater strategy outlines a geographic

lawlessness, insurgency, terrorism, and other

Security Cooperation Relationships

SC Related Activities and Operations SC uses a combination of programs and

strategic and operational aspects of a PN’s

SC and Joint Operations A significant number of SC activities are

instruments of national power to maintain or

SC Authorities and Programs SC activities are conducted with DOD funds,

interagency partners to enable greater unity of

official/defense attaché (SDO/DATT) serves

Department of State SC Roles and DOS maintains interagency coordination with

Security Cooperation Planning

SC Planning Characteristics ICSs support SC planning by informing the

Theater-Wide SC Planning SC planning is required for each PN where the

Code (USC), funding for which the country may

Security Cooperation Execution

General The theater campaign order may be considered

Services Various Service-to-Service memoranda of

Combatant Commands Throughout the execution of SC activities,

assess, monitor, evaluate, and adjust the SC

Service Component Commands Depending on the resources available, the DOD

Security Cooperation Assessment, Monitoring, and Evaluation

Assessment, monitoring, and evaluation of SC

Assessment Assessment informs decision making by helping

Monitoring Monitoring enables planners to understand

completed as planned, whether tasks are

Functional Evaluation Functional evaluations allow planners to

Operation Assessment Similar to functional evaluation, operation

This publication provides joint doctrine for

National Military Strategy of the United States of America 2015

b. SC encompasses all DOD interactions, programs, and activities with foreign

c. SC activities are the products of strategic guidance and certain PN requirements

2. Security Cooperation Purposes

a. As summarized above, SC helps develop partnerships that encourage and enable

b. SC resource investments in programs and activities are driven by scoped and

(a) Joins a US-backed multinational force.

(b) Deploys a peacekeeping force to support a United Nations (UN) or

(c) Builds counterterrorism (CT) capacity to counter local and transnational

(e) Counters the ability of transnational criminal organizations and their

(f) Pursues mutually beneficial objectives and/or increased interoperability

(g) Supports US countering weapons of mass destruction (CWMD) efforts.

(2) Provide Access. National security requires the US to maintain operational