Lessons still to be learned Interoperability between Swedish authorities in northern Afghanistan

Lessons still to be learned Interoperability between Swedish authorities in northern Afghanistan Sanna Svensson Spring 2011 Bachelor Thesis Global Development Studies School of Global Studies University of Gothenburg Supervisor: Kersti Larsdotter

ABSTRACT Title: Lessons still to be learned Interoperability between Swedish authorities in northern Afghanistan Author: Sanna Svensson Supervisor: Kersti Larsdotter Finalized: August 2011 Based on the Swedish Comprehensive Approach in northern Afghanistan, the purpose of the thesis is to assess the degree of interoperability in four dimensions of civil- military interaction between Swedish authorities at field level in the Provincial Reconstruction Team Mazar- of the humanitarian principles affect interoperability. The thesis further investigates the perceived importance of interoperability in civil- military interaction at field level in PRT MeS between national actors, with a particular focus on MSB. of interaction. In the case study, interviews are carried out with The Senior Civilian Representative and representatives from The Swedish Armed Forces, The Swedish Civil Contingencies Agency, The Swedish International Development Cooperation Agency and The Folke Bernadotte Academy. The results of the study are that there is a joint attitude to three of the four dimensions of interaction: information, materiel and execution. The interviewees perceive planning as the most central dimension. It is also the dimension where the biggest differences in attitude have been identified. There is further uncertainty about how and when the humanitarian principles should be implemented. It appears to be a grey zone whether and how the humanitarian principles should be implemented in reconstruction and disaster risk reduction in a transition phase. The results also indicate that focus on the Swedish mission in a Comprehensive Approach facilitates the development of a joint view and a broad goal. Key words: Afghanistan, civil- military interaction, interoperability, Provincial Reconstruction Team, the humanitarian principles 1

ACKNOWLEDGEMENTS I would like to thank The Swedish Civil Contingencies Agency (MSB) for granting me the opportunity to discuss my ideas for the thesis and giving me the opportunity to conduct the investigation. I would also like to thank all of you who have generously contributed with your knowledge and experience in the interviews. Last but not least, I would like to express my sincere gratitude to my supervisor Kersti Larsdotter for valuable discussions, encouragement and comments. Sanna Svensson Stockholm, August 2011 2

Abbreviations ANA CA CIMIC CMCO COIN DRR FBA FOI FS- 19 GOP IASC ISAF MeS MSB NGO OEF PRT PSO QIP SCR Sida UNOPS UNAMA Afghan National Army Comprehensive Approach Civil- Military Cooperation Civil- Military Coordination Counter Insurgency Operations Disaster Risk Reduction Folke Bernadotte Academy Swedish National Defence Research Agency The Swedish Armed Forces Unit 19 in Afghanistan Guidelines for Operational Planning The United Nations Permanent Committee for Humanitarian Issues, Inter- Agency Standing Committee International Security Assistance Force Mazar- e Sharif Swedish Civil Contingencies Agency Non Governmental Organization Operation Enduring Freedom Provincial Reconstruction Team Peace Support Operation Quick Impact Project Senior Civilian Representative Swedish International Development Cooperation United Nations Office for Project Services United Nations Assistance Mission in Afghanistan 3

TABLE OF CONTENTS 1. Introduction... 5 1.1. The Swedish contribution to the international mission in Afghanistan... 5 1.2. Purpose... 7 1.2.1. Questions... 7 1.3 Disposition... 7 2. Theory and definition of concepts... 8 2.1 Civil- military interaction... 8 2.2. Joining military and civilian efforts a Comprehensive Approach... 9 2.3. The theory of interaction for effectiveness... 10 2.4. Interoperability challenges the successful use of interaction... 12 2.5. Earlier investigations on implementation of interaction in the PRT- model... 13 2.6. The instrument of analysis... 13 3. Method and material... 16 3.1. Method informant interviews and text analysis... 18 3.1.1. Interview procedure... 20 4. Results and analysis... 21 4.1. Question 1 Views of civil- military interaction... 21 4.1.1. Planning... 22 4.1.2. Exchange of information... 27 4.1.3. Materiel... 29 4.1.4. Execution... 30 4.2. Question 2 - The importance of the humanitarian principles in interaction... 32 4.3. Question 3 Views of the importance of a joint view of interaction... 35 5. Conclusions... 40 5.1. Further research... 44 References... 45 Interviews... 49 4

1. Introduction 1.1. The Swedish contribution to the international mission in Afghanistan As a direct effect of the terrorist attack on September 11, 2001, the US launched what was eventually named Operation Enduring Freedom (OEF), which took the form of an invasion of Afghanistan on October 7, 2001. 1 In December 2001 the UN Security Council approved, in accordance with chapter VII in the UN Charter, the foundation of an International Security Assistance Force (ISAF), which since 2003 is led by NATO. 2 mission was to assist the government of Afghanistan in maintaining security in Kabul. In 2003 extended to include the entire territory of Afghanistan and to assist in the establishing of the Afghan National Army (ANA). 3 A civil support mission, United Nations Assistance Mission in Afghanistan (UNAMA), was initiated in 2002. 4 The ISAF mission is carried out with Provincial Reconstruction Teams (PRT). The tasks of these teams are to improve security, to enable Security Sector Reforms (SSR) and to facilitate reconstruction. The NATO Counter Insurgency (COIN) strategy requires vast civilian resources. The PRT concept is described by ISAF as a joint civil- military unit operating at the provincial level and led by an ISAF member nation. 5 Sweden has military presence under NATO command in Afghanistan as of 2002. Since 2006 the Swedish Armed Forces are in command of PRT Mazar- e Sharif (MeS), consisting of four provinces in northern Afghanistan. 6 In addition to the military operation, a Swedish embassy was established in Kabul in 2008. 7 Afghanistan is also a significant recipient of Swedish development cooperation, one fourth of which funding shall be directed to PRT MeS. 8 The highest chief of PRT MeS is the military chief, who reports to the ISAF chain of command. 9 However, since 2010 a Senior Civilian Representative (SCR) is in charge of the civilian team of PRT. 10 The SCR reports to the 1 Eronen (2008), p. 1 2 UNSCR 1386 3 UNSCR 1510 4 UNSCR 1401 5 ISAF (2007), p. 4 6 FÖ2005/3020/MIL, Fö2005/3050/MIL, 2005/2873/MIL 7 Prop. 2008/09:69, p. 12 referring to UD2007/45731/PLAN 8 UF2009/56364/ASO, p. 1f, Prop. 2010/11:35, p. 22 9 UF2010/74937/SP, p. 2, UF2009/56364/ASO, p. 20, prop. 2010/11:35, p. 20 10 UF2010/29439/PLAN 5

Swedish embassy in Kabul 11 and should be on a par with the military chief. In the and Security Support Activities, civil- military interaction is highlighted as an important component for an integrated and joint Swedish engagement. 12 In the Swedish Comprehensive Approach for Afghanistan the government further accentuates interaction as one of five central elements in the execution of the strategy for Swed international engagement in Afghanistan. 13 policy for humanitarian aid, 14 interaction related to humanitarian assistance shall always consider the humanitarian principles. 15 The essential guidelines on the humanitarian principles, the Oslo Guidelines, furthermore states that civil- military interaction in humanitarian assistance is a last resort. 16 While the theories of civil- military interaction have focused on the general benefits, there is a lack of theoretical understanding of the problems that often arise in this interaction. The present thesis investigates the notion that in order to elaborate a functional model for civil- military interaction, an inclusive theoretical perspective is needed. According to new institutional theory, interaction projects are facilitated by a common purpose and goal as well as by a clear division of responsibilities. 17 This idea can also be discerned in the theory of broad interoperability for resource effectiveness, a concept primarily employed in multinational military missions. 18 If the actors do not agree on what to interact about, the effective execution of a mission with distinctive actors can become problematic. The international mission in Afghanistan has been questioned since its initiation and has despite vast military and development assistance not reached the posed goals. Interoperability theory claims that effective international missions need interoperable actors. Are the actors interoperable in Afghanistan? The Swedish engagement in 11 UF2010/29439/PLAN, p. 1 12 Skrivelse 2007/08:51, p. 8 13 UF2009/56364/ASO, p. 17 14 Regeringskansliet (2011) 15 Skrivelse 2007/08:51, p. 16 16 The Oslo Guidelines, p. 5 17 Grape, p. 55ff in Grape et al (2006) 18 Boyer & Lindley- French (2007) 6

Afghanistan has implied a deepened civil- military interaction. 19 It is important to study the lessons learned in this interaction, especially from an interoperability perspective. In this investigation it is relevant to include the Swedish Civil Contingencies Agency (MSB). MSB is actively working with policy issues of civil- military interaction, conducts assistance of a more humanitarian character and is planning to expand its engagement in PRT MeS. If MSB, the Swedish Armed Forces and other Swedish authorities in Afghanistan understand and embrace that common broad goals and purpose are crucial for interaction, this indicates that interoperability could be valid for elaborating the causal mechanisms of successful interaction. 1.2. Purpose Based on the Swedish engagement in northern Afghanistan, the thesis will investigate the level of interoperability in civil-military interaction between national authorities at field level in an international mission and how their views of the humanitarian principles affect interoperability. The thesis further investigates the perceived importance of interoperability in civil-military interaction at field level in the Provincial Reconstruction Team Mazar-e Sharif (PRT MeS) between national actors, with a particular focus on MSB. 1.2.1. Questions 1. How do the national actors view civil- military interaction at field level in PRT MeS within the framework of the Swedish Comprehensive Approach in Afghanistan? 2. What importance do the actors attach to the humanitarian principles when designing interaction? 3. What importance do the actors attach to a joint view of civil- military interaction in PRT MeS, especially regarding the activities of MSB? Based on the findings from the investigation, the thesis will discuss the relevance of interoperability in PRT MeS and the interoperability challenges for the Swedish authorities in Afghanistan. 1.3 Disposition In chapter 2, the distinctive views of civil- military interaction are analysed and crucial concepts for the investigation are defined. The theory of interaction for effectiveness is scrutinized from the theory of interoperability and the PRT- concept is reviewed. The 19 RiR 2011:14, p. 74, 77 7

method and the material used in the investigation are presented in chapter 3. In chapter 4 the results from the collection of data are presented and analysed. In chapter 5 the findings of the thesis are presented and further research outlined. 2. Theory and definition of concepts 2.1 Civil- military interaction During the Second World War the concept of civil- military cooperation emerged when the US established a Civil Affairs unit, interacting with civilian actors and responsible for reconstruction of liberated areas. 20 Other early civil- military projects are those of the British du War. 21 With the end of the Cold War and the rise of intra- state conflicts, the concept regained attention. The experiences in the Balkan War made many governments rethink the management of civil- military relations. One problem in civil- military interaction relates to problems of interoperability, e.g. in the missions in the Balkans, is the difference in concepts used by military and civilian actors. 22 The military actors tend to use the concept CIMIC (Civil- Military Cooperation), defined by NATO as: "CIMIC: The co- ordination and co- operation, in support of the mission, between the NATO Commander and civil actors, including national population and local authorities, as well as international, national and non- governmental organisations and agencies." 23 NATO further states that the long- term purpose of CIMIC is military strategy goals. 24 The CIMIC concept thus qualifies as a doctrine. The EU CIMIC doctrine is similar to the NATO doctrine, but interpreted as less rigid in the focus on military ends. 25 The United Nations Permanent Committee for Humanitarian Issues, the Inter- Agency Standing Committee (IASC), uses the concept civil- military interaction but bases it upon the humanitarian principles. 26 Because of these differences, the elaboration of a concept that is relevant to both civilian and military actors is needed. This has brought the Crisis Management 20 Kristoffersen (2006), p. 7 21 Rosén (2009), p. 609, Eriksson (1998), p. 16, 57f 22 Mockaitis (2004), p. 28 23 ISAF(2007), p.1 referring to NATO MC411/1 24 Ibid., art. 9 25 Kristofferson (2006), p. 11 26 MacDermott (2008), p. 7f 8

Structures of the EU to define CIMIC as an integrated part of Civil- Military Coordination (CMCO). 27 Måns Hanssen, researcher at the Swedish National Defence Research Agency (FOI), has presented a useful perspective where interaction at cumulative levels is presented: Coexistence: Communication: Collaboration: existing in the same time and space sharing information working together but not necessarily with shared purposes Coordination: synchronizing efforts for agreed shared purposes 28 In this thesis civil- military interaction is defined as at least reaching the level of communication. 29 The reason for this is that the level of coexistence implies only sharing an area of mission in time and space, but without interaction. 2.2. Joining military and civilian efforts a Comprehensive Approach The integration of civil- military units in the PRTs is in line with the Comprehensive Approach (CA), proceeding from the idea of unanimity in complex systems. 30 CA is a multifunctional attitude rather than a tool or method for interaction. According to Claes Nilsson, the idea of CA is to look beyond organizational boundaries and focus on the total result of the Peace Support Operations. 31 The government of Sweden and other Western countries, military actors, and the EU and NATO have taken a positive stance towards this policy development. This differs from the UN and NGOs in war zones, whom have taken a more reluctant position. Interaction is often, especially in Afghanistan, seen as forced by military actors and as endangering the humanitarian principles in humanitarian aid. 32 A challenging set of norms for the Comprehensive Approach is the humanitarian principles. While the limitation of civil- military interaction is not very clear in development assistance, humanitarian assistance is notably limited in this aspect. A crucial international agreement regarding the humanitarian principles is the Oslo 27 European Parliament Directorate- General for External Policies (2010) p. 3 28 Hanssen (2010), p. 12 29 Ibid, p. 13 30 Nilsson et al (2009), p. 30 31 Ibid p. 7 32 Cornish & Glad (2008), p. 5ff, BAAG & ENNA, p. 4 9

Guidelines 33. These state that humanitarian aid is to be pursued in line with the humanitarian principles, i.e.: 1) neutrality: humanitarian assistance must be provided without engaging in hostilities or taking sides in controversies of a political, religious or ideological nature; 2) humanity: human suffering must be addressed wherever it is found, without discrimination; 3) impartiality: humanitarian aid is only to be guided by needs. The guidelines developed for UN humanitarian activities states that civil- military interaction is only to be used where there is no comparable civilian alternative and the use of military assets can meet a critical humanitarian need. 34 An interesting remark by Richard Barrett is that the NGOs emphasise the humanitarian principles as causal mechanisms for ensuring their safety in dangerous environment, while military actors tend to regard these as one set of principles to be balanced with other principles. 35 activities has threatened the nature of the humanitarian principles through blurring the lines between military, political and humanitarian missions. 36 Even so, many NGOs in Afghanistan are looking to military forces for protection. 37 This can be interpreted as a paradox; because of the somehow forced interaction the NGOs have become military targets and are thus pushed to interact in order to acquire security. 2.3. The theory of interaction for effectiveness Peace and Developmental theorists, e.g. Mark Duffield 38, have often taken a reluctant position to the nexus of development and security, the premise for civil- military interaction. 39 Civil- military interaction has mainly been investigated in War studies. 40 Based on the dilemma of the state setting up an organization that could take over the state itself, a field referring to the classics of Samuel P. Huntington 41 and Morris Janowitz 42 sprung up with theories of civilian control of the military and the protection 33 Oslo Guidelines 34 MCDA Guidelines 35 Barrett (2010), p. 12, 15 36 Ibid, p. 20 37 Ibid, p. 23 38 Duffield (2007) 39 Youngs (2007), p. 3, 21f 40 Kersti Larsdotter, researcher at the Swedish National Defence College, argues that research in War Studies and Peace Studies should not be separated when analysing the conduct of military interventions, Larsdotter (2011), p. 6, 12 41 Huntington (1959) 42 Janowitz (1960) 10

of democratic values in the military. 43 Given the complexity and asymmetrical dimensions in contemporary war, the civil- military dimension has regained scientific interest in counter- insurgency doctrine. 44 Frederik Rosén suggests that civil- military relations in contemporary warfare, with the security sector reform carried out by PRTs in Afghanistan, are moving towards a constructive approach where interaction is truly amalgamated. 45 In line with these thoughts, but a less outspoken radical is Robert Egnell, researcher in War studies at the Swedish National Defence College. Based on counter- insurgency theory and US versus British conduct in Iraq and Afghanistan, Egnell argues that civil- military interaction is necessary for effective military conduct in Peace Support Operations both on strategic and tactical level. 46 According to Egnell, interaction enables the military operation to be part of a Comprehensive Approach to achieve far- reaching political aims. 47 Even though including the tactical level in his theory, main focus is the strategic level and its impact on the tactical level. He states that further testing of the theory of civil- military interaction for effective military operations is needed. Sweden is mentioned as an interesting and extreme case, due to the divided civil- military structures combined with a cooperative political structure and its neutral position. 48 An interoperability problem in civil- military interaction is the different use of concepts for carrying out operations and to coordinate the strategic goals with the means to accomplish the operational results. 49 The tactical level, as means to accomplish the operational results 50, is a concept nearly exclusively used by military actors. The civilian actors stay away tend not to differentiate the execution of the strategy at field level with the means for this execution. 51 Consequently, the use of operational level is different in civilian and military organization. To handle these differences, execution of mission and its means 43 Burk (2002), p. 10ff 44 Egnell (2009), p. 184 45 Rosén (2009), p. 598ff 46 Egnell (2009) 47 Ibid, p. 171 48 Ibid, p. 178 49 Compare with Fors & Larsson (2007), p. 8 50 Widén & Ångström (2004), p. 91 51 Information, MSB, 2011-04- 14 11

will be referred to as field level in this thesis. The concept is foremost used by civilian actors, but understood by military actors. 2.4. Interoperability challenges the successful use of interaction According to the theory of interoperability, to achieve resource effectiveness operability requires common objectives and a common acting as well as a clear division of roles and responsibilities. It also requires the same criteria for performance measurement. 52 Research on interoperability often refers to the Defence researcher Michael Codner, who identifies four major dimensions of interoperability; organization, behaviour, logistics and technology. 53 The commonly used definition of interoperability is that of NATO: Interoperability: The ability of systems, units and forces to provide services to and accept services from other systems, units and forces and to use these services so exchanged to enable 54 Interoperability is also used in a wider sense, especially acknowledging the advantages of the EU in this respect compared to NATO. 55 interoperability is stated to include the ability of armed forces to act in conjunction with civilian instruments. 56 The War researchers Yves Boyer and Julian Lindley- French argue that broad interoperability include cognition and technology, as well as doctrine and organization. In contrast to Codne - French can be interpreted as to include behaviour as an element in cognition, while separating doctrine from behaviour as an own dimension. 57 However, the theoreticians neither relate directly to one another, nor do Boyer and Lindley- French develop their concepts in detail. Even so, they argue that civil- military cooperation is a crucial dimension of interoperability in multinational operations. 58 Cooperation is needed to accomplish the required shared norms for the construction of a common understanding of the conditions and characters of the (military) operations. 59 Interoperability does, however, not imply homogenization but rather joint norms of the effective use of the different 52 Boyer & Lindley- French (2007), p. 2 53 Codner (2003), p. 31 54 NATO Standardization Agreement, AAP- 6, quoted in Boyer & Lindley- French (2007), p. 7 55 Boyer & Lindley- French (2007), p. 5f 56 European Council (2004), p. 2:note 1 57 Boyer & Lindley- French (2007), p. 7 58 Ibid, p. 36 59 Boyer & Lindley- French (2007), p. 7 12

strengths of the actors. Interoperability is a key concept for quick and effective action of a coalition. 60 In ISAF, the scholars point to the lack of interoperability between different PRTs and between regions. The result is a high degree of ad hoc approaches. 61 In accordance with the theory of interoperability for resource efficiency Boyer and Lindley- French oppose the national approach to civil- military interaction in PRTs, as this tends to result in tension with the broader ISAF- mission. 62 2.5. Earlier investigations on implementation of interaction in the PRT- model The PRT concept has been implemented in Afghanistan by the distinctive lead nations with large variety of organizations and emphasis. Oskari Eronen, advisor at the Ministry for Foreign Affairs in Finland, joins the interoperability criticism of Boyer and Lindley- French and stresses that the flexibility between units is confusing for the population and the Afghan government. 63 According to Eronen, various PRTs have overstretched their reconstruction element and have undertaken elements that fall in the mandate of UNAMA. 64 The PRT Handbook 2007 states that humanitarian assistance should only be performed by the military in extreme circumstances and never to win hearts and minds. Only when requested by UNAMA or the Afghan government, PRTs may conduct humanitarian activities. 65 Although not always practised 66, this formal separation of responsibilities can be seen as a lesson learned in civil- military interaction. 2.6. The instrument of analysis Codner and other theoreticians of interoperability have tended to focus on military actors, consequently emphasizing technology compatibility of weapon systems and their use. 67 From a civilian perspective, with experience from the Balkan War and the difficult security situation for civilian actors in Afghanistan, the present author has identified four vital interoperability dimensions. Firstly, planning dimension. 68 Planning has been identified by Hura to be of particular importance and a dimension where there are often different views although the actors may agree on the 60 Ibid, p. 10 61 Ibid, p. 30 62 Ibid, p. 31 63 Eronen (2008), p. 31 64 Ibid, p. 9 65 ISAF 2007, 3, 66 Eronen (2008), p. 31 67 Boyer & Lindley- French (2007), p. 5, Codner (2003), p. 20 68 Codner (2003), p. 31 13

overall objective. 69 Since the Swedish civilian actors in PRT MeS neither constitute a part of the military planning model Guidelines of Operational Planning (GOP) nor of the NATO command chain, there could prevail a lack of interoperability in planning. Secondly, information is a relevant dimension. Research on civil- military interaction in the Balkans has shown that civilian actors frequently experienced difficulties to obtain relevant information from military actors. 70 Due to the complicated security and political situation in Afghanistan, exchange of information is crucial for security analysis tion exchange is not directly addressed, but referred to in the dimension behaviour regarding national policies. 71 Thirdly, use of materiel, a sub dimension 72, is relevant in civil- military interaction in relation to the humanitarian principles, security and effectiveness. Fourthly, shared views of common execution, highlighted by Hura, Lindley- French and Hunter, is a basic feature of interoperability for effective use of resources and a Comprehensive Approach. 73 Common execution can be interpreted as a part of tactics, a sub dimension 74 Earlier research on international missions further indicates that different views of the humanitarian principles, as causal mechanisms or not, is a current problem for humanitarian actors in Afghanistan. 75 Accordingly, shared understanding of the humanitarian principles might facilitate civil- military interaction. 76 Different views of the humanitarian principles may lead to limited interoperability. The importance attached to the humanitarian principles when designing interaction is hence included in the framework of analysis as a variable that might affect the level of interoperability. The present author does not attempt to measure the interaction outcome, which would be necessary to decide upon the importance of interoperability for a functioning interaction. It is important to acknowledge that both the theory of interaction for effectiveness and the theory of interoperability depart from a positivist stand. From a c 69 Hura et al (2000), p. 20 70 Eriksson (1998), p. 22, 30 71 Codner (2003), p. 53 72 Ibid, p. 31 73 Hura et al (2000), p. 11ff, Lindley- French & Hunter (2008), p. 5 74 Codner (2003), p. 65 75 Barrett (2010), p. 12,15, 25f 76 Ibid, p. 12, 15 14

of the importance of interoperability in interaction. 77 Accordingly, this variable is also included in the framework of analysis. Given the results of these variables, the relevance of interoperability in PRT MeS and interoperability challenges ahead will be discussed. In the form of a matrix, the final instrument of analysis is shown in Figure 1: 77 Compare with Larsdotter (2010), p. 3f 15

Figure 1. The matrix of the study Degree of proximity in attitude to interaction Degree of Degree of Degree of Degree of proximity proximity in proximity proximity in attitude to in attitude in attitude attitude interaction to interaction to to interaction on on interaction on information materiel on planning execution Importance attached to the humanitarian principles when designing interaction Degree of proximity in attitude to the importance of the humanitarian principles in designing interaction The outcome of interaction is perceived to be related to a joint view of interaction If interaction is perceived as successful/not relates to a joint view of interaction Within the Civilian team in PRT Within PRT Civilian team and MSB PRT and MSB High/Low High/Low High/Low High/Low High/Low Related/not related High/Low High/Low High/Low High/Low High/Low Related/not related High/Low High/Low High/Low High/Low High/Low Related/not related High/Low High/Low High/Low High/Low High/Low Related/not related 3. Method and material The case of interaction between Swedish authorities in PRT MeS can be motivated by several reasons. The Nordic model is highlighted by the Finnish Government advisor 16

Eronen as a reference for an ideal PRT- model where the leadership is not military centred, development aid is channelled through civilian institutions and CIMIC- projects are not carried out to win hearts and minds. 78 The appraisal of the Nordic model by a representative from the Finnish government might be biased. Even so, it indicates that the civil- military relations in PRT MeS are interesting to study for the development of the PRT- model. From an interoperability perspective the Swedish lead PRT is interesting since earlier research has identified a problem with a Comprehensive Approach employing a division between civil and military structure of ministries and authorities. 79 The Swedish embassy in Kabul is tasked to be the hub of the Swedish mission in Afghanistan. 80 With regard to interoperability between Swedish actors, it would therefore be relevant to study the embassy relations with both the civilian and the military chief in PRT MeS. In order to conduct a more in depth investigation of the chosen variables, this dimension has not been included. One Swedish authority active in PRT MeS, the National Swedish Police did not respond to the invitation to participate in the investigation. To sum up, a case study was carried out on the level of interoperability in civil- military interaction between national actors in an international mission and in particular on how views of the humanitarian principles affect interoperability and the perceived importance of interoperability in this interaction. The case selected for the study was the Swedish authorities in PRT MeS, with a particular focus on the Swedish Civil Contingencies Agency (MSB). To answer the research questions (chapter 1.2.1), the applied research design set out to (i) assess the degree of proximity in attitude in the four dimensions of interaction identified in interoperability theory (question 1) and to asses how view of the humanitarian principles affect interoperability in interaction (question 2). It also set out to (ii) capture the understanding of the importance of a joint view for successful interaction (question 3). The units of analysis were the Swedish authorities in PRT MeS. The main method used was semi- structured interviews with officers that through experience had acquired profound knowledge of how the authority views interaction. Based on the similarities and differences in interoperability 78 Eronen (2008), p. 32, 41f 79 Egnell (2009), p. 178 80 UF2010/36396/ASO, p. 26 17

found in the investigation, conclusions are drawn on the interoperability of the actors in northern Afghanistan. Further, based on the similarities and differences in view of the humanitarian principles related to civil- military interaction, conclusions are drawn on how these principles affect interoperability in interaction. Then conclusions are drawn on the perceived importance of interoperability in interaction. The investigation results are discussed with regard to the importance of interoperability in civil- military interaction between the Swedish authorities in northern Afghanistan. The thesis is consuming theory since it uses the theory of interoperability to study the of interaction within four dimensions. It also studies how view of the humanitarian principles can affect interaction and sets out own perspectives of the importance of a joint view of interaction. This approach advocates the focus on the empirical case, PRT MeS. 81 The ambition to understand is described by Sköldberg as abducation, consisting of cross- reference and reciprocal action between theory and the empirical case. According to Sköldberg, this is a common method in case studies to identify underlying mechanisms. 82 On an overarching level the thesis pursues to problematize the theory of interaction for resource effectiveness. Since the thesis does not intend to decide the outcome of interaction, but to understand the attitudes of the actors, it would be wrong to claim that the thesis has a theory testing or theory developing ambition. However, the thesis can have a modest contribution with an elaboration of the causal mechanisms for the outcome of interaction, which can be tested in a later study. 83 3.1. Method informant interviews and text analysis To make deep- seated attitudes within authorities visible, interviews of centrally placed representatives was a relevant procedure. 84 To increase the knowledge of the government decisions and a recent published evaluation of the Swedish National Audit Office on government control of Swedish contributions to international missions 85 were 81 Esaiasson et al (2010), p. 42 82 Sköldberg et al. (2008), p. 54, Sköldberg (1991), p. 20 83 Compare with Esaiasson et al (2010), p. 26 84 Ibid, p. 257f, 284, 291 85 RiR 2011:14 18

also studied. Due to resource shortage, a field visit to PRT MeS was not possible. 86 A valid source would have been the protocols of the working group for interaction. These protocols are, however, not official and were therefore difficult to access. 87 Security classified information precluded an observation of the meeting of the working group in May 15 2011. 88 The main purpose of the interviews was that the informants should contribute with information on the attitude of the authority on how and why interaction shall be practised in PRT MeS. Hence, the material of the interviews was used as a source. Accordingly, information that emerged could be tested and perused in line with the principles of criticism of the sources. 89 A first selection of informants was made, which later was complemented with field representatives from the Swedish Armed Forces (the Armed Forces) and the Swedish International Development Cooperation Agency (Sida) as well as the Senior Civilian Representative (SCR), MSB officers in charge of programs in Afghanistan and a officer from the Humanitarian Aid Unit at Sida. 90 To study the degree of interaction that the authorities agree on in accordance with the matrix (Figure 1), the investigation needed to have as big variety as possible in attitude to interaction. 91 According to investigations and reports on interaction in Afghanistan, development agencies have taken a more sceptical attitude to civil- military interaction in contrast to the promotion by the military actors. The Swedish authorities did not seem to represent any substantial differences regarding this tendency. 92 Due to the role of The Folke Bernadotte Academy (FBA) that includes the developing of methods of civil- military interaction 93, the authority was believed to be the civilian actor that had taken the most positive stand to interaction. To avoid a spurious relation 94 it was important that the units of analysis in other relevant factors than attitudes to interaction were as similar as possible. Therefore, it was suitable to study representatives of the authorities that worked at the same level in the organizations. In this most similar system design the 86 Information, the Armed Forces, 2011-06- 14, 2011-06- 15 87 Information, MSB, 2011-04- 14 88 E- mail, MSB, 2011-05- 14 89 Esaiasson et al (2010), p. 258 90 Ibid, p. 258, 291 91 Ibid, p. 102 92 Eriksson (1998), p. 36ff 93 SFS 2007:1218 1 94 Esaiasson et al (2010), p. 94 19

cases were, accordingly, chosen from the assumed value of the independent variable, attitude to interaction. 95 3.1.1. Interview procedure A first round of interviews focused on the representatives in the working group for interaction within the Swedish mission in Afghanistan. MSB emailed the representatives in the working group. After a reminder email, all authorities except the Swedish Police answered to the request. Interviews were carried out with the delegates from the selected authorities, officers responsible for interaction. Since MSB is planning to put up a disaster risk reduction project in northern Afghanistan, the officer in charge of this project were also interviewed in order to compare the view of interaction within MSB with the other selected authorities. As the working group has been active since the end of 2009 with meetings every six weeks, the belief was that the group was more unanimous on interaction than the field representatives where the rotation cycles are shorter. On the recommendation of the interviewees, a second round of interviews with representatives with in depth experience of civil- military interaction was carried out. This round consisted of an interview with the deputy assistant chief of the CIMIC- section G9 in FS- 19, individual telephone interviews with the Senior Civilian Representative of PRT and two of Sida Sida officer at the Humanitarian Aid Unit responsible for the contact with MSB was also interviewed. An FBA- officer in PRT was contacted, but did not attain any interview. The interviews were based on an interview guide with themes 96, in accordance with the questions of the thesis. The interviews were taped and carried out at the office of the interviewees. Telephone interviews with the representatives in PRT were also taped. The informants were not offered anonymity, since this would have reduced the possibilities of the analysis. This was due to the small size of the group where the positions of the informants were relevant for the analysis. To maintain true anonymity would, therefore, have implied a severe reduction of the specification and diminished the analytic possibilities. 97 To balance the need of confidentiality, informed consent and 95 Ibid, p. 114 96 Appendix I 97 Esaiasson et al (2010), p. 290 20

scientific principles, the informants were offered to revise the quotations. 98 All interviews were fully transcribed. 4. Results and analysis The collection of data is presented and analysed by order of the questions; first in 4.1 views of civil- military interaction in four dimensions, then in 4.2. the importance attached to the humanitarian principles when designing interaction and finally in 4.3. the perceived importance of a joint view of interaction. 4.1. Question 1 Views of civil- military interaction A general component of interaction expressed by the officers with staff at PRT was that the joint housing and everyday contact has meant a lot for the development of confidence and a facilitation of civil- military interaction: ffects, not only because you have to but also because you share housing, spend time together, and see each other every day you can open so much more than the formal. You get to 99 The FBA officer, however, noted that it inevitably means that the civilian advisors will be paired with the Armed Forces. It was mentioned that a topical issue in the civilian team was trying to arrange a civilian office in the city of Mazar- e Sharif in order to avoid local Afghan partners staying at the military base. At a joint field visit in January 2011 it was found that certain basic routines for crisis management were missing. In order to clarify roles and responsibilities in a crisis the working group for interaction was now revising the system of crisis management. Furthermore, it was argued that the access to ISAF medical services is very important for MSB. The authority also considered that it would be desirable to be able to get military rescue in a crisis situation in the field. Analysis of other dimensions Everyday contact strengthens confidence and promotes a functioning civil- military interaction. The civilian team has identified a need for a civilian office, so that the local Afghan partners do not need to be at the military base. The establishment of such an office is costly and requires extensive security arrangements. 98 Kvale (1997), p. 109f 99 Interview, the Armed Forces, 2011-05- 09 21

Summarizing analysis of proximities in attitude to other dimensions of interaction: Shared views that everyday contact facilitates civil- military interaction and that the routines for crisis management must be improved. Shared views among the civilian actors that a civilian office should be established in order to avoid the presence of local Afghan partners at the military base. 4.1.1. Planning The investigation has revealed five common attitudes to planning and four attitudes with differences between and within the authorities concerning planning. Common attitudes Firstly, SCR and the Swedish authorities in PRT stressed that planning is an important component of civil- military interaction in PRT. The interviewees from the Armed Forces, FBA and Sida of civilian actors and that the needs of the population are placed at the centre of attention. Sida, however, emphasized that they do not directly work with the COIN strategy. Secondly, both the Armed Forces and Sida development advisors expressed that interaction on planning of operations works better now than it did a few years ago. The civilian advisors enter at an earlier stage in the planning and there is a common will to interact on planning. The Armed Forces stressed that an important part in improving the planning process was the establishment of SCR, who holds together the civilian advisors and is a counterpart to the military chief: ll a clearer management and the SCR also took himself a clearer role. He interacts in general with the chief, the military chief of PRT, so you 100 The G9- representative expressed that the civilian advisors are of importance in the planning process. However, the development advisors emphasized that their expertise should be granted more consideration. Both the G9- representative and the development advisors highlighted the importance of civilian counselling in order to avoid that the Armed Forces Quick Impact Projects (QIP) run counter to the civilian development efforts. 100 Interview, The Armed Forces, 2011-05- 09 22

Thirdly, planning was regarded as being more difficult due to different planning cycles at the Armed Forces and Sida. SCR, Sida and the Armed Forces stated that planning is complicated given the perennial and centrally controlled cycle of Sida the Armed Forces in PRT. The interviewees from Sida stated that the authority is working actively for a more flexible approach. Assistance to minor projects through the Northern Foundation was stated to be important means to increased flexibility in development assistance. This pursuit of development cooperation to achieve greater coordination with other Swedish efforts is something that the government stressed in the revision of the cooperation strategy 2006-2008. 101 Furthermore, a common view was expressed concerning the challenge for the continuity of interaction posed by the rapid rotation of the Armed Forces contingents. Fourthly, SCR and the interviewees from Sida considered that the civilian team lacks a coherent planning, but that this does not constitute any problems. However, SCR and FBA considered that the Ministry for Foreign Affairs needs to establish better planning capabilities. FBA expressed that the Ministry for Foreign Affairs, in contrast to the Ministry of Defence, is unfamiliar with planning since it is not used to have an operational role. FBA argued that the Ministry for Foreign Affairs should strengthen the planning process in order to make things easier for the civilian authorities. Fifthly, the view was shared on the lack of guidelines on planning and the need to put these in place. The interviewees from the Armed Forces pointed out that the guidelines should in particular be clarified for the civilian operations in PRT. The SCR stated that more control of the PRT is required from the ministries and centrally from the authorities. Sida and MSB shared the view that clearer guidelines from the government policy documents and activities of PRT MeS the need for clearer guidelines is strongly emphasized: governing of the Armed Forces and Sida has been pursued in parallel traces without linking the tasks of the respective 102 101 UD2007/23267/ASO, Appendix, p. 2 102 RIR 2011:14, p. 74 23

SCR perceived it problematic that the ministries indicate that the actors at the field are to solve the problems themselves. The Swedish model of administration does not for example admit that SCR as a representative of the Ministry for Foreign Affairs directly can control Sida in PRT. Differences in attitudes Firstly, there were different attitudes to what mandate Sida holds concerning civil- military interaction in the planning of military operations; as an advisor or as a dialogue partner. Differences in attitude existed both within Sida among the staff in Stockholm and the field representatives, and between the Armed Forces and Sida. The manager of Sida Afghanistan Unit considered that Sida is not to advise and interact on how the Armed Forces should conduct military operations. The interviewee was of the opinion, however, that a dialogue can be held on what the authorities are doing in the covered areas. Through the participation in various planning groups for the geographic areas, the interviewees at Sida stated that Sida is examining whether the authority can increase assistance there in order to find synergy effects with the Armed Forces. SCR, FBA and Sida dialogue in operational planning can advise on and remind of the importance of taking into account civilian needs, if possible anchor the operations with the local Afghan civilian actors and to plan for the Afghan security forces to take responsibility for maintaining security in the region. The development advisors emphasized that they need more resources for interaction in planning, but that this is not granted the same priority by central authority. Secondly, there were differences in attitude concerning the arrangements of the planning work and the use of the military planning tool GOP. The interviewee from G9 considered that their section is striving towards involving the civilian advisors in the planning process: civilian representatives at PRT to be included in the planning at the staff and also to some extent be their spokesperson in the planning. And also be those who from the military side are pushing them in order to show what we from the military side would like to get 103 103 Interview, The Armed Forces, 2011-05- 09 24

The G9- officer argued that a joint planning in PRT, a plan of operations, for all three lines of operations existed before the establishment of the SCR. When SCR was installed he took over the responsibility for planning of development and governance. However, according to the officer, the overall planning of operations is still led by G5, the planning section, within the planning model of GOP, where the civilian team is responsible for development and governance. The Armed Forces CIMIC handbook states that common goals shall be established for civil- military interaction and that these goals must be integrated into the military planning. Further, military personnel may not command over civilian authorities. 104 The civilians in PRT claimed that their activities are not covered in the military planning model. Thirdly, there were different views regarding whether there exists a resistance from Sida towards interaction or not. SCR considered that the attitude of the authorities hinders the development of interaction; Sida was believed to have fear of contact and to basically dislike working with military actors and the Armed Forces was believed to show impatience. The interviewees from the Armed Forces considered that Sida aff is willing to cooperate, but that there perhaps might be a resistance at the central authority level. The image of a resistance from Sida towards interaction is incorrect, according to the development advisors. Fourthly, MSB and to some extent Sida, emphasized that the planning always takes place in close contact with, or by, the authority at home. One interviewee from MSB stated: need to change projects initiated at the field level, still information will be sent to MSB in Sweden, which will coordinate with the Armed Forces 105 In a PM on future activities in the area of PRT MeS, MSB states that civilian needs always shall guide civil- military interaction and that decision- making shall be independent from military actors. 106 Analysis of planning This dimension is very important in interoperability theory, a significance that is highlighted both by the civilian and military actors in PRT. Interaction on planning has 104 Swedish Armed Forces (2009), p. 22, 49 105 Interview, MSB, 2011-04- 27 106 MSB PM dnr 2009-13005, p. 3 25

developed positively and trust has been built at the field level despite problems such as experience of operational management, limited civilian resources and rapid staff rotation. Important reasons for this are joint housing and offices, the establishment of a civilian chief, the focus of the COIN strategy on the civilian population and mutual effort t mandates and roles. The civilian actors now enter earlier in the military planning of operations, have a dialogue and provide advise on aspects that facilitate a rapid initiation of reconstruction. There are different views of planning within Sida as to whether the authority should be a dialogue partner or provide advise on planning of operations. These different views may also reflect the amount of resources assigned for this type of interaction. The differences in view of appropriate level of interaction can be interpreted as communication versus collaboration. 107 There also appears to be a difference between the Ministry for Foreign Affairs and Sida regarding the extent to which development cooperation should be tied to the military mission. This may remain a problem, especially since the Swedish led PRT has been criticized for not providing adequate results regarding reconstruction. To deal with this dilemma it is important to continue the development of interaction in planning of operations in order to promote the conditions for civilian actors to carry out development projects even in areas with COIN missions. Other important factors are clear guidelines from ministries and authority management, to develop flexibility in the planning cycles of development cooperation and to increase the civilian team resources. A potential problem is the different views of involves a close cooperation with officers in Sweden and that the authority cares about that projects are initiated after a decision from a local partner. To function well in the civilian team of PRT, it might be relevant for MSB to revise its arrangements for planning. The fact that MSB does not perceive it to be within its mandate to act as an advisor to PRT could with an eventual Disaster Risk Reduction (DRR) advisor create confusion in planning within PRT. However, the other actors identify that they over time have found the forms of civil- military interaction in PRT. Therefore, MSB would probably be able to find adequate arrangements for planning in PRT. The need to 107 See chapter 2.1. 26