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Appendices APPENDICES Fiscal Year 2002 Performance and Accountability Report Appendices APPENDICES ANNUAL PERFORMANCE GOAL RESULTS 1999-2002 or each annual performance goal, the Appendix shows results through FY 2002 Fusing a baseline of 1999, or later if applicable. For each reported 2002 result, the Appendix provides details pertaining to the following elements: Data sources and availability Data reliability Reasons for a reported performance shortfall Nature and depth of collaboration with other agencies 267 Strategic Goal 1 Regional Stability Annual Performance Goal 1 U.S. Ties With Neighbors and Key Allies are Close, Strong, Utilized, and Effective PERFORMANCE INDICATOR: EUROPEAN SECURITY RELATIONSHIPS 1999 BASELINE 2000 RESULTS 2001 RESULTS 2002 RESULTS 1999 Washington Summit Allies revised Trans-Atlantic Framework ESDI resolved non-European Union 1 Seven new members invited at Prague. Berlin Plus would allow the EU to borrow approved Strategic Concept for Strategic Concept, ESDI elements, allies’ participation and EU-NATO links. NATO assets and capabilities for European-led operations; it is not yet agreed. endorsing partners and and Open Door Policy. [On Target] enhancing European Security NATO recommitted to Open Door Policy Defense Initiative (ESDI). Membership Action Plan (MAP) with enlargement round in November 2 Allied Heads of State and Government committed at Prague to enhance military launched. 2002. capabilities by filling key shortfalls through the New Capabilities Initiative (NCI). The NCI will focus on filling key shortfalls, encouraging pooling and specialization, NATO-Russian relationship expanded Nations utilized MAP to prepare for introducing the NATO Response force (NRF) and reforming NATO’s Command Structure. beyond Stabilization Force (SFOR) and NATO membership. U.S. export controls with key European allies streamlined to promote transatlantic Kosovo Force (KFOR). defense industrial integration. [On Target] 3 NATO-Russia Council and 2002 work plan established in May 2002. [On Target] Overall Indicator and title modified from original 2002 Performance Plan language to reflect more accurately progress toward the annual performance goal Details Data reliability: The data are a matter of public record and are reliable. of 2002 Result 1 Data sources/availability: Data are the result of the commitments made by Allied Heads of State and Government at the Prague Summit in November 2002. Berlin Plus data Results are the result of a NATO meeting in Berlin in 1996, and the NATO Summit in Washington in 1999. Partners: Department, OSD, and JCS prepare joint guidance for USNATO. USNATO itself is a joint State/DOD mission and is a model of interagency cooperation. Result 2 Data sources/availability: Data collection on the results of the NCI will continue as Allies implement their commitments in principle. We have seen encouraging progress in the development of European consortia to fill critical shortfalls through polling and specialization. Partners: Assessment of results will be tracked in close coordination with OSD and Joint Staff. APPENDICES Result 3 Data sources/availability: Data are the result of the 2002 NATO-Russia Council work plan and the 2002 NATO-Russia Ministerials in Rome (May) and Prague (November). Partners: Department, OSD, and JCS prepare joint guidance for USNATO. USNATO itself is a joint State/DOD mission and is a model of interagency cooperation. PERFORMANCE INDICATOR: BILATERAL SECURITY COOPERATION WITH JAPAN 1999 BASELINE 2000 RESULTS 2001 RESULTS 2002 RESULTS Japan revised Defense Guidelines Japan identified replacement site for Japan came close to final decision on Japanese authorities on July 29, 2002, adopted a Basic Plan for the relocation of implementing legislation. U.S. military facilities at Futenma. location and construction method. Futenma Marine Corps Air Station. This Basic Plan reflected U.S. and Japanese Special Measures Agreement (SMA) SMA ratified and operations began. agreement on the key parameters for the new facility. [On Target] negotiations completed. Details Overall Validity: Indicator discontinued during FY2002 in favor of tracking status of U.S.-South Korean relations to reflect more accurately recent regional stability improvements of 2002 in East Asia. Result Data sources/availability: Adoption of the Basic Plan was a formal, public act of the Japanese government and local Japanese authorities. Results Data reliability: As adoption of the Basic Plan was a public act of the Japanese government and local authorities, it is an official act and therefore entirely reliable as a source of data. Partners: The Department coordinated closely with the Department of Defense in the work that led to the successful adoption of the Basic Plan by the Japanese government and local authorities. 268 269 APPENDICES Strategic Goal 1 Regional Stability Annual Performance Goal 2 Foster Stable and Secure Regional Partners PERFORMANCE INDICATOR: CHINESE COOPERATION ON REGIONAL SECURITY IN CROSS STRAIT RELATIONS AND IN ENGAGING NORTH KOREA 1999 BASELINE 2000 RESULTS 2001 RESULTS 2002 RESULTS Dialogue was initiated but Cooperation on regional security Progress slow; continued concern with 1 China continued to urge Pakistan and India to avoid conflict and reduce tensions. subsequently suspended. selective and episodic. China’s arms buildup across the Taiwan China encouraged North Korea to reform, and limited discussions on other regional Strait. issues including the South China sea. China’s public statements at APEC were helpful in maintaining a nuclear weapons free Korean Peninsula. [On Target] China cooperated in encouraging North Korean openness and dialogue. 2 There is a continuing impasse on Cross-Strait dialogue [Slightly Below Target] Details Overall Indicator modified in subsequent plans to reflect more accurately progress toward the performance goal through reduced geographic restrictions: of 2002 Chinese Cooperation on Regional Stability. Results Result 1 Data sources/availability: China’s cooperation on these issues is a matter of public record. Result 2 Data sources/availability: The lack of progress on Cross-Strait dialogue is a matter of public record. Impact of Performance Shortfall: Will continue to encourage China to use dialogue to resolve Cross-Strait issues with Taiwan. PERFORMANCE INDICATOR: IMPLEMENTATION OF ADAPTED CONVENTIONAL FORCES IN EUROPE (CFE) TREATY 1999 BASELINE 2000 RESULTS 2001 RESULTS 2002 RESULTS CFE adaptation negotiations CFE adaptation negotiations Successful Review Conference Russia has fulfilled its Istanbul commitment on the Flank Issue, has reduced its flank continued. successfully completed. advanced U.S. and NATO interests. equipment to adapted Treaty levels and has discharged its Istanbul commitments relating Russia made serious moves toward to CFE equipment in Georgia and Moldova. However, Russia must reach agreement with Circumstances not ready for Entry into compliance increasing the possibility Georgia on remaining issues regarding the Gudauta base and its future use and the duration Force (EIF). of NATO’s ratification of CFE Treaty in of Russian presence at Batumi and Alkhalkalai. Russia also needs to continue the 2002. destruction/removal of munitions and small arms in Moldova. Therefore, conditions for U.S. ratification of adapted CFE Treaty have not yet been met. [Slightly Below Target] Details Result Data sources/availability: Data regarding Russia’s flank levels comes from Russia, inspection reports, and U.S. and NATO national sources. of 2002 Data reliability: The data are complete and reliable concerning concrete actions, but not on intentions. Results Impact of Performance Shortfall: Russia’s failure to fulfill all its commitments regarding Georgia and Moldova delays entry into force of the adapted CFE Treaty, which updatesPerformance the current CFE Treaty Indicator: for post-Cold War Chinese application. While Cooperation the current CFE Treaty on is adequateRegional for ensuring Security security and confidence through data exchanges and inspections, the long delayin in getting Cross the adaptedStrait Treaty Relations in place undermines and confidence in Engaging and stability. Russia’sNorth failure Korea to fulfill all these commitments also raises questions about Russia’s intentions in this region. The U.S. and many allies have contributed toward an OSCE voluntary fund for assisting Russia, Georgia and Moldova to finish the tasks remaining. NATO states will continue to impress upon Russia the importance of completing all Istanbul commitments. Partners: The Department worked closely with the Department of Defense, NSC and the Intelligence Community in developing USG positions, and coordinates with NATO. Strategic Goal 1 Regional Stability Annual Performance Goal 3 Develop and Utilize Effective Conflict Prevention/Conflict Resolution Tools PERFORMANCE INDICATOR: CONFLICT RESOLUTION, PEACEKEEPING, AND REGIONAL STABILITY EFFORTS IN AFRICA 1999 BASELINE 2000 RESULTS 2001 RESULTS 2002 RESULTS Organization of African Unity Cooperation on regional security OAU continued to support South Africa, a member of the African Union (AU), provided leadership and facilitation for (OAU) participation in Congo selective and episodic. peacekeeping efforts in Congo and the Democratic Republic of the Congo (DRC) peace process and the AU provided personnel peacekeeping. Ethiopia-Eritrea. to the Joint Military Commission responsible for working with the UN Observation Mission in the DRC. The war in Sierra Leone was effectively over. Program activities like the West
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