BASIC RESEARCH REPORT

A Risk Reduction Strategy for NATO

Endnotes

¹ NATO Secretary General Javier Solana, quoted in The Independent, 18 January 1999.

²Comprised of 55 participating states, the Organization for Security and Cooperation in Europe (OSCE) is one of the principal vehicles for early warning, conflict prevention, crisis management and post-conflict rehabilitation in Europe. Its comprehensive approach to security is reflected in issues ranging from preventive diplomacy to peacekeeping to election monitoring. Decisions are made on the basis of consensus in OSCE activities among all participating states. Since its inception, the OSCE has developed increasingly close ties with NATO, particularly in Bosnia and Herzegovina, and in monitoring the implementation of sanctions and the verification of arms control agreements. OSCE and NATO officials regularly participate in each other's appropriate meetings and exchange information on confidence and security-building measures. See http://www.osce.org.

³Partnership for Peace (PfP) is an initiative introduced by NATO at the January 1994 Brussels Summit. The aim of the Partnership is to enhance stability and security throughout Europe. It focuses on defense-related cooperation, and is addressed to all OSCE states able and willing to contribute to this program. The Partnership serves as the means to expand and intensify political and military cooperation throughout Europe, increase stability, diminish threats to peace, and build strengthened relationships by promoting the spirit of practical cooperation and commitment to democratic principles that underpin the Alliance. See http://xs4all.freenet.kiev.ua/NATO/docu/facts/ePfP.htm

⁴ The Euro-Atlantic Partnership Council (EAPC) was created in May of 1997 and builds upon the success of NACC and PfP. It is a framework for an expanded political dimension of Partnership and for practical cooperation under PfP. See http://xs4all.freenet.kiev.ua/NATO/docu/comm/m970708/bg-eapc.htm

⁵The Stability Pact is a package of some 125 agreements between the countries of the region designed to reduce potential tensions and avert crises. The agreements covered such topics as border disputes, minority rights, water rights, citizenship requirements and other vital, but often overlooked, matters.

⁶ The Alliance's Strategic Concept, Agreed by the Heads of State and Government participating in the meeting of the North Atlantic Council in Rome on 7th-8th November 1991, Paragraph 16. Available on the web at: http://www.nato.int/docu/comm/c911107a.htm

⁷ Ibid.

⁸Protocols to the North Atlantic Treaty of 1949 on the Accession of Poland, Hungary, and the Czech Republic, Congressional Record, 4 May 1998, (Senate), p.S4217-S4220.

⁹ "Collective defense will remain the Alliance's fundamental task, but we hope the 1999 edition [of the Strategic Concept] will make clear that NATO is not just about defending territory, but defending the common interests of its members. We think the alliance should be the 'instrument of choice' for defending those common interests, whenever there is a consensus to act." US Ambassador to NATO Alexander Vershbow, Speech at NATO Defense College, 9 November 1998.

¹⁰ The Activation Order under which NATO forces would receive permission to begin military action.

¹¹ Vershbow, Op. Cit.

¹² Quoted in Royal United Services Institute Newsbrief Vol. 18:4 (April 1998) p.26.

¹³ Speech by President Jacques Chirac of France to the Mexican Congress, Mexico, 12 November 1998 (unofficial translation).

¹⁴ Tomas Valasek, "At NATO, Actions Speak Louder Than Words", Weekly Defense Monitor, Center for Defense Information, Volume 2, Issue #45, 12 November 1998. An electronic publication, available on the web at: http://www.cdi.org

¹⁵ Article 42, Chapter VII of the UN Charter.

¹⁶ Ibid.

¹⁷ Secretary of State Madeleine K. Albright, Statement to the North Atlantic Council, Brussels, 8 December 1998.

¹⁸ From a speech by Foreign Minister Axworthy to the World Affairs Council in Los Angeles, CA, 14 March 1997.

¹⁹ "US Presses Case Against War Court," International Herald Tribune, 16 July 1998.

²⁰ US Mission to NATO, Security Issues Digest No. 242, "Two Senior US Officials on Background at NATO," 17 December 1998.

²¹ Zbigniew Brzezinski, The Grand Chessboard: American Primacy and its Geostrategical Imperatives, BasicBooks 1997, p.40.

²² Rob de Wijk, NATO on the Brink of the New Millennium, Brasseys, London and Washington, 1997, p.141.

²³ "Working Paper Presented by the Members of the Movement of Non-Aligned Countries Parties to the Treaty", Preparatory Committee Meeting for the Year 2000 Review Conference of the NPT, 28 April 1998.

²⁴ Congressional Record, S3863, 30 April 1998. The amendment was Executive Amendment no. 2326.

²⁵ Letter from Ambassador Thomas Graham Jr., to NATO Heads of State, 2 November 1998. For a full copy of the letter, see Appendix A.

²⁶ Quoted in Ian Taylor, "Bonn wants Nato pledge on no first nuclear use", Guardian, 19 November 1998.

²⁷ The quote is from Der Spiegel, cited in William Drozdiak, "Bonn Proposes That NATO Pledge No-First-Use of Nuclear Weapons," Washington Post, 23 November 1998.

²⁸ Canada and the Nuclear Challenge: Reducing the Political Value of Nuclear Weapons for the Twenty-First Century, Report of the Standing Committee on Foreign Affairs and International Trade, Bill Graham, M.P. Chair, December 1998, Recommendation 15. See: http://www.parl.gc.ca/InfoComDoc/36/1/FAIT/Studies/Reports/faitrp07-e.htm.

²⁹Michael Evans, "Nato rejects call to cut nuclear arms," Times of London, 9 December 1998.

³⁰ Department of Defense News Briefing, 24 November 1998, Presenter: Minister of Defense Rudolf Scharping, FRG. Available on the web at: http://www.defenselink.mil/news/Nov1998/t11241998_t124gmod.html

³¹ The Atlantic Charter, signed by President Franklin D. Roosevelt and Prime Minister Winston Churchill, August 14, 1941.

³² NATO Secretary General Javier Solana, "Securing Peace in Europe: A Speech to the Symposium on the Political Relevance of the 1648 Peace of Westphalia," 12 November 1998.

³³ Vershbow, Op. Cit.

³⁴Patricia Chilton, Otfried Nassauer, Dan Plesch, Jamie Whitaker, NATO, Peacekeeping, and the United Nations, BASIC/BITS Report 94.1, September 1994.

³⁵ Javier Solana, "NATO beyond enlargement," remarks at the UK Atlantic Council, London, 19 November 1997.

³⁶ Resolution of Ratification to Treaty Document No. 105-36, Protocols to the North Atlantic Treaty of 1949 on the Accession of Poland, Hungary and the Czech Republic, 30 April 1998.

³⁷ National Security Concept of the Russian Federation Novosti Daily Review 09 January 1998 p. 2. See: http://www.ria-novosti.com/products/dr/1998/01/09-02-1.htm

³⁸ Jeremy Rosner, Special Assistant to the President for NATO enlargement (US), quoted in Jack Mendelsohn "The NATO Russia Act," Arms Control Today, May 1997.

³⁹ For the full text of the Founding Act see: http://www.nato.int/docu/basictxt/fndrus.htm

⁴⁰ Statement, NATO-Russia permanent joint council meeting at ministerial level, 9 December 1998.

⁴¹ MC400 is the still secret military strategy paper. It was also agreed at the November 1991 NATO Summit. It was the successor to the 1967 MC14/3. The Strategic Concept is the public version of MC400.

⁴² NATO Fact Sheet The Mediterranean Dialogue.

⁴³ SFOR - the NATO-led Stabilization Force deployed in Bosnia in support of the Dayton Accords.

⁴⁴ The African Nuclear Weapon Free Zone Treaty, also known as the Treaty of Pelindaba, establishes a nuclear weapon free zone in Africa. Signature of the Treaty culminates a 32-year quest for a nuclear free Africa, beginning when the Organization of African Unity formally stated its desire for a Treaty ensuring the denuclearization of Africa at its first Summit in Cairo in July 1964. The Treaty was opened for signature on 11 April 1996.

⁴⁵At the Madrid Summit in 1997 NATO decided to admit Poland, Hungary and the Czech Republic as new members. These three nations will join NATO by the time of the Washington Summit.

⁴⁶ NATO General Secretary Javier Solana "Final Communiqu‚" NATO Summit, Madrid, 9 July 1997.

⁴⁷ Albright, Op. Cit.

⁴⁸ Reuters, "Military Spending is too low for NATO's needs, Polish Aide says," Boston Globe, 9 July 1998; and "NATO invitees Emphasize Alignment on C3I," Brooks Tigner, Defense News, June ? 1998.

⁴⁹Jorgen Dragsgahl, "NATO Resists Pressures to Militarize Central Europe," BASIC Paper No. 28, July 1998.

⁵⁰ Question for the Record Submitted by Senator Harkin to Secretary of State Albright, Senate Appropriations Committee, October 21, 1997.

⁵¹ Jeffrey Ulbrich "Albright praises Czechs, stresses NATO obligations," Washington Times, 15 July 1997.

⁵² Letter From President Clinton to Senators Harkin and Baily-Hutchison, 19 September 1997.

⁵³ "Russia has threatened to withdraw from the newly established NATO-Russia Permanent Joint Council if NATO is enlarged to include the Baltic States. Former Secretary of Defense James Schlesinger has testified before the Senate that the Baltic States can be defended only by US nuclear weapons" Jonathan Dean "Why Not Include Everyone in NATO" Global Beat (March 1998), see: http://www.nyu.edu/globalbeat/nato/dean030398.html

⁵⁴ Partnership for Peace, Framework Document, 10 January 1994.

⁵⁵ Remarks as Prepared for Secretary of Defense William S. Cohen, to the Conference on Transforming NATO's Defense Capabilities, Norfolk, Virginia, November 13, 1998

⁵⁶ Stephan De Spiegeleire, "From Mutually Assured Debilitation to Flexible Response: A New Menu of Options for European Crisis Management," WEU at Fifty, The Institute for Security Studies, Western European Union, Paris. 1998. p20.

⁵⁷ Robbin Laird, Defense News, November 30 - December 6, 1998, p.23.

⁵⁸ Albright, Op. Cit.

⁵⁹ The creation of the Multinational Peace Force Southeastern Europe in January 1999 is a good example.The Multinational Peace Force Southeastern Europe was set up in January,1999 by the Defense Ministers of Greece, Italy, Turkey, Albania, Bulgaria, Macedonia and Romania. It is a brigade sized force which will play humanitarian roles such as aid-relief and truce-keeping. From "Balkans States Create Peacekeeping Force," European Stars and Stripes, 13 January 1999.

⁶⁰The Final Communique of Berlin North Atlantic Council meeting (3-4 June 1996) outlined the procedures for the release of NATO assets to the WEU for European only missions, including Combined Joint Task Forces:

As an essential element of the development of this identity, we will prepare, with the involvement of NATO and the WEU, for WEU-led operations (including planning and exercising of command elements and forces). Such preparations within the Alliance should take into account the participation, including in European command arrangements, of all European Allies if they were so to choose. It will be based on:

identification, within the Alliance, of the types of separable but not separate capabilities, assets and support assets, as well as, in order to prepare for WEU-led operations, separable but not separate HQs, HQ elements and command positions, that would be required to command and conduct WEU-led operations and which could be made available, subject to decision by the NAC;
elaboration of appropriate multinational European command arrangements within NATO, consistent with and taking full advantage of the CJTF concept, able to prepare, support, command and conduct the WEU-led operations. This implies double-hatting appropriate personnel within the NATO command structure to perform these functions. Such European command arrangements should be identifiable and the arrangements should be sufficiently well articulated to permit the rapid constitution of a militarily coherent and effective operational force.

Further, the Alliance will support the development of the ESDI within NATO by conducting at the request of and in coordination with the WEU, military planning and exercises for illustrative WEU missions identified by the WEU. On the basis of political guidance to be provided by the WEU Council and the NAC, such planning would, at a minimum:

prepare relevant information on objectives, scope and participation for illustrative WEU missions;
identify requirements for planning and exercising of command elements and forces for illustrative WEU-led operations;
develop appropriate plans for submission through the MC and NAC to the WEU for review and approval.

NATO and the WEU should agree on arrangements for implementing such plans. The NAC will approve the release of NATO assets and capabilities for WEU-led operations, keep itself informed on their use through monitoring with the advice of the NATO Military Authorities and through regular consultations with the WEU Council, and keep their use under review.

The final form of these arrangements will be presented to the Washington Summit for approval.

⁶¹ Speech by Prime Minister Tony Blair to the North Atlantic Assembly, International Conference Centre, Edinburgh, 13 November 1998.

⁶² Ibid.

⁶³ Joint Declaration Issued at the British-French Summit, Saint-Malo, France, 3-4 December 1998.

⁶⁴ The others are the European Community, Justice and Home Affairs and the Common Foreign and Security Policy.

⁶⁵ Albright, Op. Cit.

⁶⁶ In regard to intra-state conflict, in this report we are refering to crisis management of low-intensity conflicts.

⁶⁷ Dick Zandee, "Building Blocks for Peace; Civil-Military Interaction in Restoring Fractured Soceities," Clingendael - Netherlands Institute of International Relations , September 1998, p.15.

⁶⁸ "NATO's Strategy and Force Structure," SHAPE Public Information Office, 1997.

⁶⁹Sgt. Gilles Bergner, "A Presentation of CIMIC," SFOR Informer #31, 11 March 1998.

⁷⁰ Dick Zandee, Op. Cit., p.64.

⁷¹ Colonel William Phillips, "Civil-Military Cooperation: Vital to Peace Implementation in Bosnia," NATO Review, Vol. 46, No. 1, Spring 1998, p.22.

⁷²Dick Zandee, Op. Cit., p.68.

⁷³John Kriendler,"PfP Crisis Management Activities: Enhancing Capabilities and Cooperation," NATO Review, Vol. 46 - No. 3, Autumn 1998, p.28.

⁷⁴ Dick Zandee, Op. Cit., p.74.

⁷⁵According to a presentation by Dr. Julie Mertus, who spoke at a conference entitled Myths and Truths about Ethnic Conflict in Kosovo on 17 December 1998 in Washington. The conference was sponsored by Women in International Security and the Carnegie Commission on Preventing Deadly Conflict.

⁷⁶Michael Lund, "Preventing Violent Conflicts: Progress and Shortfall," in Contributing to Preventive Action, edited by Peter Cross, Stiftung Wissenshcaft und Politik; Conflict Prevention Network, CPN Yearbook, 1997/98, p.17.

⁷⁷ Stephan De Spiegeleire, Op. Cit., p.17.

⁷⁸ Carnegie Commission on Preventing Deadly Conflict, "Preventing Deadly Conflict: Final Report," Washington, DC, Carnegie Commission on Preventing Deadly Conflict, 1997, p.xiv.

⁷⁹ Article VI of the Treaty on the Non-Proliferation of Nuclear Weapons (1968)

⁸⁰ Principles and Objectives for Nuclear Non-Proliferation and Disarmament, NPT/Conf.1995/32 (Part I).

⁸¹ "Legality of the Threat of Use of Nuclear Weapons: Request for Advisory Opinion by the General Assembly of the United Nations," International Court of Justice, Communique No. 96/23, 8 July 1996.

⁸² Canberra Commission, Report of the Canberra Commission on the Elimination of Nuclear Weapons, Commonwealth of Australia, August 1996, Canberra. Available on the web at: http://www.dfat.gov.au/cc/cchome.html.

⁸³ "Toward a nuclear-weapon-free world: the need for a new agenda," UN General Assembly A/C.1/53/L.48*, 27 October 1998.

⁸⁴ "Towards a Nuclear Weapon Free World: The Need for a New Agenda," U.N Resolution 53/77Y, adopted 3 December 1998.

⁸⁵ "Supporting Essay Five: Deterrence, Arms Control, and Proliferation," The Strategic Defence Review, July 1998, Cmnd 3999, The Stationery Office, para. 5, July 1998. Also available on the web at: http://www.mod.uk/policy/sdr/essay05.htm.

⁸⁶ Information conveyed to the authors by Frank von Hippel from discussions he has had with Russian officials.

⁸⁷ Bruce G. Blair, Harold A. Feiveson and Frank N. von Hippel, "Taking Nuclear Weapons off Hair-Trigger Alert," Scientific American, November 1997, p. 76. Available on the web at: http://www.sciam.com/1197issue/1197vonhippel.html.

⁸⁸ Richard Garwin and Aaron Tovish have proposed this type of system. See, for example "Verifying the de-alert status of submarines on patrol," in De-Alerting Alert, No. 2, January 1998. Available on the web at: http://www.fas.org/cusp/alert/dealert2.htm.

⁸⁹ "Final Communique," Ministerial Meeting of the Defence Planning Committee and the Nuclear Planning Group on 11th June 1998, Press Release M-DPC/NPG-1(98)72, 11 June 1998, para. 8. Available on the web at: http://www.nato.int/docu/pr/1998/p98-072e.htm.

⁹⁰ Ibid., para. 9

⁹¹ The Strategic Defence Review, July 1998, Cmnd 3999, The Stationery Office. Also available on the web at http://www.mod.uk/policy/sdr/index.htm.

⁹² Colin Powell, My American Journey, Random House, New York, September 1995.

⁹³ R. Jeffrey Smith, "The Dissenter", The Washington Post, 7 December 1997.

⁹⁴ Letter from Lee Butler, General, USAF (Retired), to NATO Secretaries of Defense, 10 December 1998. For the full text of the letter, see Appendix B.

⁹⁵ Principles and Objectives,Op. Cit., Operative para 4.

⁹⁶ Ibid.

⁹⁷ A useful discussion of these and nuclear arms as well as delivery systems can be found on the Carnegie Commission for Preventing Deadly Conflict website: http://www.ccpdc.org/

⁹⁸ Albright, Op. Cit.

⁹⁹ This proposal is developed in Jonathan Dean, Randall Caroline Forsberg, and Saul Mendlovitz , "Global Action to Prevent War: A Program for Government and Grassroots Efforts to Stop War, Genocide, and Other Forms of Deadly Conflict". It is available on the web at: http://www.idds.org/globact0.html

¹⁰⁰ European Union Code of Conduct on Arms Exports, Adopted by the EU General Affairs Council, 8 June 1998.

¹⁰¹Reuters "Non-EU Members Join Bloc's Arms Code," 3 August 1998.

¹⁰² General Framework Agreement for Peace in Bosnia and Herzegovina, initialed Dayton, 21 November 1995, Annex 1-B: Agreement on Regional Stabilization.

¹⁰³ Johan Peleman, "Light Weapons and the Balkans," paper presented at BASIC Conference Small Arms and Light Weapons: an Issue for the OSCE?, Vienna, 9-10 November 1998.

¹⁰⁴ David deClerq, "Destruction of Unnecessary Military Small Arms and Light Weapons Surpluses," paper presented at BASIC Conference Small Arms and Light Weapons: an Issue for the OSCE?, Vienna, 9-10 November 1998.

¹⁰⁵ Ibid.

¹⁰⁶ Susannah Dyer and Geraldine O'Callaghan, "Combating Illicit Weapons Trafficking: Developments and Opportunities," BASIC Research Report 98.1, January 1998, p.5.

¹⁰⁷ Inter-American Convention Against the Illicit Manufacturing of and Trafficking in Firearms, Ammunition, Explosives and Other Related Material, signed on 13 November 1997.

A Risk Reduction Strategy for NATO Appendices

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