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U.S.

AGENCY FOR INTERNATIONAL DEVELOPMENT


U.S. DEPARTMENT OF DEFENSE
U.S. DEPARTMENT OF STATE

SECURITY SECTOR
REFORM
PREFACE
This paper provides Department of State, Department • Improvement of civilian management, leadership,
of Defense (DoD), and United States Agency for oversight, planning, and budgeting capacities,
International Development (USAID) practitioners • Enhancement of coordination and cooperation
with guidelines for planning and implementing Security among security-related and civil institutions; and,
Sector Reform (SSR) programs with foreign partner • Management of the legacies and sources of past or
nations. SSR refers to reform efforts directed at the present conflict or insecurity.
institutions, processes, and forces that provide security
and promote the rule of law. Over the past decade, Experience suggests that integrating these different
the U.S. Government (USG), along with like-minded lines of operation into a comprehensive package–in
bilateral and multilateral donors, has begun to develop support of U.S. and partner nation priorities–
a more comprehensive approach to SSR by better ultimately proves more successful and sustainable.
integrating its defense, development, and diplomatic Where we have pursued more holistic approaches–
tools and resources. The objective of this new for example, in supporting the democratization of
approach is to assist partner governments to provide countries such as Poland, Hungary, or Czech Republic;
effective, legitimate, and accountable security for their through U.S. security and development assistance
citizens. In so doing, SSR assists these governments to in support of Plan Colombia; or in post-conflict
respond appropriately to threats within and outside reconstruction efforts such as in El Salvador–we have
their borders. helped partners to transform their security sectors in
ways that have had a direct, positive, and sustainable
This paper is designed to guide practitioners at impact.
the Department of State, DoD, and USAID in
their implementation of current foreign assistance The guidance contained in this document draws on a
approaches to security and development. Forces range of diplomatic, defense, and development assets
enhanced through traditional security assistance to support SSR in partner governments and reflects
comprised of equipment and training can better international best practices. Although this paper
carry out their responsibilities if the institutional and applies to the Department of State, DoD, and USAID,
governance frameworks necessary to sustain them are SSR is a whole-of-government effort and requires the
equally well-developed. Development assistance also full support of all Federal departments and agencies
benefits from being fully coordinated with security- with an SSR role. This document complements related
related assistance, as development is at risk without efforts such as implementation of NSPD-44 and
basic security. The increasingly complex threats facing Transformational Diplomacy by clarifying guidance
our partners and our own nation urgently require that for the reform, restructuring, and re-establishment
we address the linkages among security, governance, of partner security and justice institutions. The most
development, and conflict in more comprehensive and successful outcomes will result only if the activities
sustainable ways. of other USG departments and agencies are fully
integrated in a comprehensive approach to support
In addition to building professional security forces, SSR SSR. The complex and enduring characteristics of SSR
programs support the: demand an approach that capitalizes on the strengths
of collective expertise in the USG. This document is
• Establishment of relevant legal and policy a first step toward ensuring the success of our SSR
frameworks, efforts as well as the success of our partners.

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SECURITY SECTOR REFORM (SSR)
services; community security; and
disarmament, demobilization, and
PURPOSE reintegration (DDR). Program
design–including sequencing and
prioritization–should be undertaken
This document provides Department of State,
with full consideration of country
DoD, and USAID practitioners with guidelines context and circumstance.
for coordinating, planning, and implementing SSR
programs with foreign partner nations. The objective The USG is not alone in its
of this paper is to provide guidance on how best to pursuit of comprehensive
approaches to SSR. The United
design, develop, and deliver foreign assistance such
Nations (UN) is integrating SSR
that it promotes effective, legitimate, transparent, and across different UN offices and
accountable security sector development in partner agencies, including the United
states. Nations Development Program
(UNDP) and the United Nations
Department of Peacekeeping
Operations (UNDPKO).2 The
assistance providers to respond North Atlantic Treaty Organization
INTRODUCTION to national strategic guidance (NATO), the European Union (EU),
and transform our approaches the Organization for Economic
SSR emerged as a discipline over
towards cooperation, partnership Cooperation and Development
the last decade in recognition of
capacity building, stabilization and (OECD), and major bilateral
the changing international security
reconstruction, and engagement. donors have advanced a more
environment and the limitations
Accordingly, the principles holistic SSR concept through
of existing donor approaches. SSR
contained in this paper guide combined funding mechanisms and
builds on the USG’s longstanding
relevant actors to conduct security- enhanced collaboration among
tradition of working in partnership
related engagement in more defense and development agencies.
with foreign governments holistic, integrated ways.
and organizations to support In April 2004, USAID endorsed the
peace, security, and democratic OECD/Development Assistance
The U.S. foreign assistance
governance globally. Committee’s publication, Security
framework1 identifies SSR as a
System Reform and Governance: Policy
key program area in support of
The 2006 U.S. National Security the Peace and Security foreign and Good Practice on behalf of the
Strategy stated that the goal of policy objective and security U.S. Government.3
U.S. statecraft is “to help create a sector governance as a program
world of democratic, well-governed element in support of the
states that can meet the needs Governing Justly and Democratically
OBJECTIVE
of their citizens and conduct foreign policy objective. SSR is
themselves responsibly in the The Department of State, DoD, and
an ongoing process and may be
international system.” SSR can help USAID should pursue integrated
an appropriate engagement for
achieve that objective, reinforce countries in each of the foreign SSR strategies and programs. The
U.S. diplomatic, development, and assistance country categories. SSR objective is to design, develop, and
defense priorities, and reduce long- may include activities in support deliver foreign assistance such that
term threats to U.S. security by of security force and intelligence it promotes effective, legitimate,
helping to build stable, prosperous, reform; justice sector reform; transparent, and accountable
and peaceful societies beyond our civilian oversight and management security and development in
borders. SSR enables U.S. foreign of military and intelligence partner states.

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ROLES AND agencies in Washington, D.C. as and armed forces reform; civilian
well as through country teams management and oversight; justice;
RESPONSIBILITIES consistent with Chief of Mission police; corrections; intelligence
authority. reform; national security planning
The Department of State and strategy support; border
leads U.S. interagency policy While the Department of State management; disarmament,
initiatives and oversees policy and has lead responsibility, it, along with
demobilization and reintegration
programmatic support to SSR DoD and USAID, offer different
(DDR); and/or reduction of armed
through its bureaus, offices, and competencies, capabilities, and
overseas missions as directed by violence.
approaches. Although there may be
NSPD-1, and leads integrated USG scenarios in which these respective
reconstruction and stabilization competencies may overlap– The security sector includes both
efforts as directed by NSPD- particularly in non-permissive military and civilian organizations,
44. The Department of State’s environments–SSR programs and personnel operating at the
responsibilities also include benefit most from full cooperation international, regional, national,
oversight of other USG foreign between institutions and should and/or sub-national level. Security
policy and programming that may be designed to capitalize on the actors may include the following:
have an impact on the security comparative advantages of each.
sector. • State Security Providers.
Equally important, each department Military forces; civilian police;
DoD’s primary role in SSR or agency’s engagement is specialized police units; formed
is supporting the reform, undertaken consistent with U.S. police units; presidential guards;
restructuring, or re-establishment laws, regulations, and funding intelligence services; coast
of the armed forces and the mechanisms, within the funding guards; border guards; customs
defense sector across the resources available to each authorities; highway police;
operational spectrum. agency for such purposes.5 reserve or local security units;
SSR planners should routinely civil defense units; national
USAID’s primary SSR role consult their general counsel guards and government militias,
is to support governance, and budget resource managers and corrections officers, among
conflict mitigation and response, prior to and during SSR program others.
reintegration and reconciliation,
implementation.
and rule of law programs aimed at
building civilian capacity to manage, • Governmental Security
Management and Oversight
oversee, and provide security and DEFINITIONS Bodies. The office of the
justice.
AND TERMS Executive (e.g., President, Prime
Effective SSR programs should Minister); national security
draw on the capabilities existent Security Sector Reform6 is advisory bodies; ministries of
across the USG, where appropriate. the set of policies, plans, programs, defense, public administration,
In addition to the Department and activities that a government interior, justice, and foreign
of State, DoD, and USAID, other undertakes to improve the way affairs; the judiciary; financial
USG departments and agencies it provides safety, security, and management bodies (e.g.,
provide important capabilities in justice. The overall objective is to finance ministries, budget offices,
the conduct of SSR programs. In provide these services in a way comptrollers general, and financial
particular, the Departments of that promotes an effective and audit and planning units); the
Justice (DoJ), Homeland Security, legitimate public service that is legislature; local government
Energy, and Treasury may play transparent, accountable to civilian authorities (e.g., governors and
substantial or leading roles in the authority, and responsive to the municipal councils); institutional
development and execution of SSR needs of the public. From a donor professional standards authorities,
and rule of law programs.4 These perspective, SSR is an umbrella auditing bodies, and official public
programs should be coordinated term that might include integrated complaints commissions; among
among the departments and activities in support of: defense others.

3
• Civil Society. Professional
organizations; civilian review
boards; policy analysis
organizations (e.g., think tanks
and universities); advocacy GUIDING PRINCIPLES
organizations; human rights
commissions and ombudsmen; » Support Host Nation Ownership
non-governmental organizations
(NGOs); media; and other » Incorporate Principles of Good
actors. In addition to monitoring Governance and Respect for
security actor performance, Human Rights
civil society actors articulate
the public demand for safety
and security. In some cases,
» Balance Operational Support with
particularly where a national
Institutional Reform
government’s capacity may be
limited, civil society and other » Link Security and Justice
non-state actors may also
serve functions that provide » Foster Transparency
some degree of security and
justice to local communities or » Do No Harm
constituents.

• Non-State Providers of
Justice and Security. This
category encompasses a broad
range of actors with varying
degrees of legal status and effective, equitable, responsive, GUIDING
legitimacy. Unaccountable non- transparent, and accountable
state actors or illicit power management of public affairs and PRINCIPLES
structures may engender human resources – and the rule of law are
rights abuses and facilitate essential to an effective security Effective U.S. SSR programs
inappropriate links between sector. Democratic and effective with foreign partner nations
the private and public security require unity of effort and vision
security sector governance expands
sector and political parties, across all agencies, organizations,
the concept of civilian “control” to
state agencies, paramilitary institutions, and forces contributing
include administration, management,
organizations, and organized to the reform process. SSR is
crime. Local actors, such as
fiscal responsibility, policy
a cooperative activity, which is
informal and/or traditional formulation, and service delivery.
conducted with agencies of the
justice systems or community USG, international organizations
watch groups, may conversely Rule of Law is a principle under
(IOs), non-governmental
offer a stabilizing effect in which all persons, institutions, and
organizations (NGOs), multinational
conflict and post-conflict entities, public and private, including partners, and the host nation.
settings. the state itself, are accountable to Holistic programs that consider the
laws that are publicly promulgated, contributions of all actors and the
Security Sector Governance equally enforced, and independently connections among organizations,
is the transparent, accountable, adjudicated, and which are sectors, and actors can increase the
and legitimate management and consistent with international human chances of success, minimize the
oversight of security policy and rights law.7 The desired outcome impact of unforeseen developments,
practice. Fundamental to all SSR of SSR programs is an effective and and ensure the most effective use
engagement is the recognition legitimate security sector that is of scarce U.S. resources for these
that good governance – the firmly rooted within the rule of law. purposes. The following principles

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should assist practitioners to design confidence.Vetting is routinely should operate as an integral part
and coordinate effective, holistic done prior to giving provisional of the justice system and directly
SSR programs. assistance or training to security support other parts of the justice
forces. Likewise, SSR programs sector, including the courts and
Support Host Nation must incorporate an explicit focus corrections institutions. Assistance
Ownership. The principles, on security sector governance. to the police and other state
policies, laws, and structures that Strengthening the overall legal, security providers may need to be
form an SSR program must be policy, and budgetary frameworks complemented with other efforts
informed by the host nation’s should be an important component to strengthen these institutions, to
history, culture, legal framework, of any country’s SSR agenda. avoid unintended consequences
and institutions. As a result, the and to ensure that the security
needs, priorities, and circumstances Balance Operational Support
forces operate according to the
driving SSR will differ substantially with Institutional Reform.
law. Experience demonstrates, for
from one country to another. Incentives, processes, resources,
example, that police assistance
Accounting for the basic security and structures must be put in
undertaken absent efforts to
concerns of the host nation place so that externally supported
reforms, resources, and capacities strengthen other parts of the
population is essential for attaining
buy-in and is essential to the are sustained after assistance justice system can lead to increased
success of SSR programs. To ensure ends. Equal emphasis should be arrests without the necessary
the sustainability of reforms, placed on how the forces and means to adjudicate cases, or
assistance should be designed actors that U.S. and international defend, incarcerate, or rehabilitate
to meet the needs of the host assistance strengthen through suspected offenders. In addition,
nation population and to support capability building programs will although the tendency may be to
host nation actors, processes, and be financed, managed, monitored, focus on criminal justice systems,
priorities. To accomplish this, SSR deployed, and supported by civil justice reform may have
programs generally should be partner nation governments. important implications for law and
developed to serve longer-term Training platforms and materiel order, particularly with respect to
goals. assistance must be coordinated the resolution of potential conflict
with efforts to develop host nation drivers, such as land disputes.
Incorporate Principles of Good infrastructure, personnel and
Governance and Respect for administrative support systems, Foster Transparency. Effective
Human Rights. Accountability, logistical and planning procedures, SSR programs should be conducted
transparency, public participation, and an adequate and sustainable transparently and openly whenever
respect for human rights, and resource base. Success and possible. Program design should
legitimacy must be mainstreamed sustainability depend on developing include a robust communications
in security force development. the institutions and processes that component to foster awareness
Security forces – be they military support security forces as well as
of reform efforts among host
or civilian – must carry out their the human capacity to lead and
nation officials and the population,
core functions in accordance with manage them.
neighboring countries, the
these principles.
donor community, and other
Link Security and Justice. A
country’s security policies and actors with a potential stake in
This is particularly important
in rebuilding countries where practices must be founded upon program outcomes. Likewise, the
the legacy of abuse by security the rule of law and linked to the Department of State, DoD, and
personnel may have eroded public broader justice sector. Security USAID practitioners should engage
confidence in the sector overall. sector assistance should aim to in broad consultation with other
SSR programs should include ensure that all security forces USG Executive Branch practitioner
accountability and oversight operate within the bounds of stakeholders, Congress, NGOs
mechanisms, including through domestic and international law, and and IOs, international donors, and
direct collaboration with civil that they support wide-ranging the media, to enhance program
society, to prevent abuses of power efforts to enforce and promote the development and program
and corruption, and to build public rule of law. The police in particular execution.

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Do No Harm. In complex
environments, donor assistance
can become a part of the conflict
dynamic serving either to increase PROGRAM IMPLEMENTATION
or reduce tension. As with any
program activity that involves » Assessment
changes to the status quo, SSR
planners and implementers
» Planning
must pay close attention to
minimize adverse effects on the
local population and community
» Training
structures, the security sector,
or the wider political, social, and » Implementation
economic climate in unanticipated
or unintended ways. Developing » Monitoring
a thorough understanding of the
system for which change is sought, » Evaluation
and the actual needs that exist, is a
prerequisite for the success of any
SSR-related activity. Practitioners
should conduct a risk assessment should conduct the assessment. A yo prioritize and sequence the
prior to implementation and be thorough assessment will combine activities of each contributing
prepared to adjust activities over desktop study with field work and agency into a coherent SSR strategy.
the lifetime of the SSR program. will map institutions and actors, Interagency planning should be
identify capacity strengths and conducted both in the field and
gaps, and prioritize entry points at the appropriate Washington
PROGRAM for SSR programs and activities. and regional headquarters level
Assessment teams should consider to ensure adequate resources
IMPLEMENTATION U.S. foreign policy objectives; are made available to support
partner government capabilities, the effort. Although this paper
Effective SSR requires coordinated requirements, and resources; the applies only to the Department
assessment, planning, training, possible contribution of other of State, DoD, and USAID, other
implementation, and monitoring and members of the international departments and agencies of the
evaluation. The following guidelines community; and community and USG may be engaged in security or
are designed to assist with the individual security needs. Wherever justice activities in a given country
execution of this statement, possible, assessment teams should and should be included in planning
which is resource-neutral. Specific consider vulnerable groups and efforts. Equally important, other
implementation guidance for USG the security and justice issues that donors are likely to be engaged
departments and agencies will be affect them. in security and justice programs,
developed in accordance with the and should be consulted early
principles outlined herein. Planning Coordinated in the planning process to avoid
interagency planning is required duplication of effort. Planning
Assessment Ideally, interagency to ensure balanced development should also be consistent with and
analysis should be the basis for of the entire security sector. incorporated into existing agency
USG-wide programming decisions. Imbalanced development can planning processes and should be
Interagency SSR assessments may actually undermine the long- reviewed to ensure the availability
be initiated by the U.S. Chief of term success of SSR efforts. of sufficient resources and for
Mission in country or by any of Coordination of U.S. strategic compliance with applicable law.
the contributing USG agencies. and operational objectives Training Since SSR requires
Where possible and appropriate, through integrated planning a multidisciplinary focus, USG
an interagency team comprised of that synchronizes USG program departments and agencies should
relevant USG agencies and offices and budget execution will help incorporate SSR modules into

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existing and new training programs
for U.S. staff. Pre-deployment
training for ambassadors and U.S.
embassy and stabilization personnel CONCLUSION
should highlight the full spectrum of
foreign assistance that is potentially Where appropriate, this document calls upon the
available to support SSR. Department of State, DoD, and USAID to draw upon
the full range of diplomatic, economic, development,
Implementation SSR strategies,
security and defense approaches to support SSR
plans, and programs should
incorporate the guiding principles
efforts with partner nations. This document provides
contained in this document. Given guidance to foreign assistance practitioners and force
the difference in available resources planners in planning and implementing comprehensive
and priorities, as well as missions, SSR programs and assisting partner governments
and related legal authorities to provide effective, legitimate, and democratically
under which each contributing USG
entity operates, implementation
accountable security for their citizens.
will require careful alignment
and synchronization of programs.
Alignment allows participating
agencies to de-conflict activities
while leveraging each other’s
comparative advantages. The
Department of State, DoD, and
USAID should develop agency-
specific implementation guidance
in accordance with the principles … An effective, accountable, and civilian-controlled
outlined in this paper. U.S. embassy security sector delivers a critical public service viewed as
working groups, under the Chief legitimate by the population it serves.We will support the
of Mission’s direction, should
professionalization and accountability of law enforcement
ensure that planning and execution
stay on track and should support institutions, including border security, and internal
coordination with the partner defense and military forces.With other donor nations,
government and other donors. we will pursue a comprehensive approach to security
sector reform in order to harness the capabilities of all
Monitoring and Evaluation SSR
interagency actors involved in such reforms.
programs should be monitored
throughout implementation to
ensure they deliver sustainable
results while minimizing unintended U.S. Department of State/
negative consequences. Program U.S. Agency for International
evaluation at key decision points, Development Strategic Plan:
Fiscal Years 2007-2012
and at the close of specific projects,
will provide important measures
of effectiveness to adjust ongoing
programs and to provide lessons
for future SSR programs. Program
evaluation should identify expected
outcomes and effects.

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APPENDIX:
THE DEPARTMENT OF STATE, DEPARTMENT OF
DEFENSE, AND U.S. AGENCY FOR INTERNA-
TIONAL DEVELOPMENT RESPONSIBILITIES FOR
SECURITY SECTOR REFORM

Department of State: conflict and transitional conditions. combatant commands, which are
Department of State and USAID responsible for planning, directing,
The Assistant Secretary of State foreign assistance funding decisions and implementing SSR activities
for the relevant regional bureau regarding SSR are approved by the within their areas of responsibility,
serves as the Washington lead Director of U.S. Foreign Assistance and with functional combatant
in developing country policy, to (DFA). commands as appropriate. The
include facilitating integrated military departments and defense
approaches to SSR within the Department of Defense: agencies provide forces, materiel,
Department of State and other and other support for SSR activities
USG departments and agencies. Within DoD, the Assistant and programs.
S/he does so in consultation Secretary of Defense for Global
with the appropriate Chief(s) of Security Affairs provides overall SSR U.S. Agency for International
Mission who will lead U.S. Mission guidance for the Under Secretary Development:
contributions to the Washington of Defense for Policy (USDP)
policy process. The regional through the Partnership Strategy Within USAID, the Assistant Admin-
bureau-led efforts are supported office. The Assistant Secretary of istrator for the Bureau for Democ-
by the Bureau of Political-Military Defense for Special Operations, racy, Conflict and Humanitarian
Affairs through the Office of Plans, Low-Intensity Conflict, and Assistance serves as the focal point
Policy and Analysis (PM/PPA), and Interdependent Capabilities for SSR guidance, and is supported
other functional bureaus holding provides guidance for developing by the Office of the Chief Operat-
substantive/lead roles in the U.S. military capabilities to conduct ing Officer’s Policy and Analysis
development and execution of SSR SSR activities through the Stability Coordination Unit (PACU) and
programs, including the Bureau for Operations Capabilities Office. The at the working level through
International Narcotics and Law Assistant Secretary of Defense for the Office of Democracy and
Enforcement Affairs (INL); Homeland Defense and Americas’ Governance (DG). USAID regional
the Bureau of International Security Affairs provides guidance bureaus as well as a number of
Organizations (IO); the Bureau for building partner capacity for functional offices, including the
of Democracy, Human Rights homeland defense and defense Office of Conflict Management and
and Labor (DRL); the Bureau of support to civil authorities. The Mitigation (CMM), the Office of
Diplomatic Security (DS); the regional assistant secretaries play Transition Initiatives (OTI), and the
Bureau of Population, Refugees, and the leading DoD role in setting Office of Military Affairs (OMA),
Migration (PRM); the Office of the regional and country priorities may have substantive/lead roles in
Coordinator for Counter-terorism for SSR. The Director of Strategic the development and execution of
(S/CT); and the Office of the Plans and Policy (J-5) on the Joint SSR and rule of law programs.
Coordinator for Reconstruction Staff is responsible for coordinating
and Stabilization (S/CRS) for post- SSR guidance with the geographic

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ENDNOTES
1 The foreign assistance framework is accessible at http://www.state.gov/f/c23053.htm.

2 See report of the Secretary-General, Securing peace and development: the role of the United Nations in supporting
security sector reform, A/62/659–S/2008/39, 23 January 2008.

3 For more information, see the Policy Brief at http://www.oecd.org/dataoecd/20/47/31642508.pdf.

4 Within DoJ, relevant components may include the Federal Bureau of Investigations (FBI), the Drug Enforcement
Agency (DEA), the U.S. Marshall Service, the Bureau of Alcohol, Tobacco and Firearms (ATF), the Federal Bureau
of Prisons, as well as sections within the Criminal Division (the International Criminal Investigative Training
Assistance Program (ICITAP) and the Office of Prosecutorial Development Assistance and Training (OPDAT)).

5 For example, specific provisions contained in the Foreign Assistance Act of 1961 (FAA) prohibit training, advice,
and financial support for foreign law enforcement forces, while other provisions of the FAA and other statutes
authorize such activities, e.g., by providing limited exceptions to that prohibition. Similarly, neither economic
assistance nor humanitarian assistance funds appropriated to USAID may be used for military purposes, and
DoD military support to civilian policing programs is generally not authorized. The Leahy Law, section 620J of the
Foreign Assistance Act, prohibits the provision of assistance under the Foreign Assistance Act or the Arms
Export Control Act to security force units concerning which the Secretary of State has credible evidence of
gross violations of human rights; a separate amendment in annual DoD appropriations acts (e.g., Section 8062
of the DoD Appropriations Act, 2009) prohibits the use of DoD appropriations to fund training for security
force units concerning which the Secretary of State has credible evidence of gross violations of human rights.
The Department of State is also responsible for implementation of the Arms Export Control Act (AECA) in the
control of the export and temporary import of defense articles and defense services, as well as implementation
of end-use monitoring of defense articles, services, and related technical data licensed for export. While under
certain circumstances there may be special authorities that are available to overcome the restrictions discussed
above in this footnote, in each such case it is essential that SSR planners consult with their general counsel prior
to the exercise of these authorities. In addition, it will be necessary that all applicable policy considerations be
taken into account before any of these authorities is relied upon.

6 Security sector reform is also referred to as security system reform, security sector development, and security
sector transformation.

7 For the complete definition, see Supplemental Reference: Foreign Assistance Standardized Program Structure
and Definitions, Program Area 2.1 “Rule of Law and Human Rights,” U.S. Department of State, October 15, 2007.

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NOTES:

10
Published February 2009

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