NATO Defense College 3 Collège de Défense de l’OTAN NATO and International Organizations by David S. YOST FORUM PAPER FORUM PAPER FORUM PAPER FORUM PAPER Research Division • Rome, September 2007 NATO DEFENSE COLLEGE COLLEGE DE DEFENSE DE L’OTAN Research Division Division Recherche NATO and International Organizations by David S. Yost Forum Papers Series Edited by Cees M. Coops Rome, September 2007 NATO DEFENSE COLLEGE NATO Defense College Cataloguing-in-Publication-Data: NATO and International Organizations by David S. Yost. Editor: Cees M. Coops. p. cm. (NATO Defense College “Forum Papers Series”) Publications Assistant: Laurence Ammour The views expressed in this Forum Paper are the responsibility of the author and do not necessarily reflect the opinions of the NATO Defense College or the North Atlantic Treaty Organisation. Extracts of this Forum Paper required for academic purposes may be quoted or reprinted without special permission, provided that a standard source credit line is included. It may not be copied, republished or posted on the world wide web without the permission of the NATO Defense College. © NDC 2007 all rights reserved Copies of this Forum Paper may be obtained direct from the NATO Defense College, Research Division Via Giorgio Pelosi, 1 - 00143 Rome, Italy Fax +39-06-50 52 57 97 E-mail: [email protected] Web site: http://www.ndc.nato.int Printing: 1000 copies Printed and bound by CSC. GRAFICA s.r.l. – Via Meucci, 28 - 00012 Guidonia, Roma Zona industriale S.Sinforosa Tel 0774 353308 - 0774 354410 Fax 0774 578014 3 TABLE OF CONTENTS ACKNOWLEDGEMENTS.................................................................... 5 EXECUTIVE SUMMARY..................................................................... 9 CHAPTER 1 INTRODUCTION................................................................................. 19 Increasing cooperation with international organizations......................... 20 Concepts for inter-institutional cooperation............................................ 23 NATO in transition.................................................................................. 27 CHAPTER 2 NATO AND THE UNITED NATIONS............................................... 31 The North Atlantic Treaty in relation to the UN Charter ........................ 31 Mutual needs and planning dilemmas..................................................... 41 Difficulties encountered and operational lessons learned ....................... 46 NATO Reporting to the UN Security Council ........................................ 54 Prospects for formalization of the relationship ....................................... 57 Room for improvement ........................................................................... 64 CHAPTER 3 NATO AND THE EUROPEAN UNION............................................. 72 Working out the “Berlin Plus” arrangements.......................................... 74 NATO and EU-led operations................................................................. 78 Institutional and national rivalries........................................................... 81 Berlin Plus in reverse?............................................................................. 88 Formal NATO-EU deliberations............................................................. 90 The participation problem ....................................................................... 92 Informal meetings of NATO and EU foreign ministers.......................... 96 The scope problem .................................................................................. 98 Room for improvement ......................................................................... 103 4 CHAPTER 4 NATO AND THE ORGANIZATION FOR SECURITY AND COOPERATION IN EUROPE.......................................................... 112 NATO-OSCE cooperation .................................................................... 113 The informal NATO caucus in the OSCE............................................. 120 Prospects for formalization of the relationship ..................................... 122 Russia and the OSCE ............................................................................ 124 Room for improvement ......................................................................... 128 CHAPTER 5 AN EMERGING SECURITY ARCHITECTURE? ........................ 131 Issues of autonomy, hierarchy, and primacy......................................... 133 Classified information........................................................................... 140 Institutionalization of bilateral relations................................................ 141 National political factors constraining cooperation............................... 146 Disagreements among the Allies on comprehensive approaches involving civilian instruments............................................ 155 Possible means to promote multilateral interactions involving NATO and other international organizations ........................................ 158 Potential relations with the CSTO and the SCO ................................... 170 CHAPTER 6 CONCLUSION: PURSUING A COMPREHENSIVE APPROACH.......................... 176 Practical “bottom up” cooperation and “high politics” ......................... 178 Prospects for bilateral and multilateral improvements in cooperation.. 180 LIST OF ACRONYMS....................................................................... 184 5 ACKNOWLEDGEMENTS The support and encouragement of several people at the NATO Defense College made this work possible. I would like to express appreciation to the Commandant, Lieutenant General Marc Vankeirsbilck; the Dean, Dr. Samuel Grier; the Director of Management, Major General Nicola De Santis; the Director of Academic Planning and Policy, Brigadier General Dr. Klaus Wittmann; and the former Chief of the Research Division, Rear Admiral Jean Dufourcq. I would also like to thank senior colleagues in the NDC’s Research Division who provided helpful advice and comments, particularly Laure Borgomano-Loup, Cees Coops, Carlo Masala, and Tibor Szvircsev Tresch; the Research Division staff members who supported the completion of this project, Maria Di Martino and Eugenio Mengarini; and two diligent Research Division interns, David Felber and Paulina Potemski. I am grateful as well to Laurence Ammour, who provided great assistance in formatting this paper and preparing it for publication. Likewise I wish to express gratitude to Ferenc Molnár and Şule Nişanci, Faculty Advisers at the NATO Defense College, for their valuable comments. Finally, particular thanks are owed to the staff of the NATO Defense College library. Giuseppe Vitiello took a special interest in the project and offered valuable support. I also appreciate the assistance of Stefania Calabrese, Paola Pudis, and Myriam Winckelmans. This paper is based to a great extent on interviews with expert observers in Berlin, Brussels, London, New York, Paris, Rome, Stockholm, Vienna, and Washington. When no source is given, the information has been derived from interviews granted on a “background” basis — that is, without attribution. Information about matters such as the frequency of meetings, the positions taken by states and organizations 6 in practical deliberations, and the extent to which agreements have been implemented in practice is not always available in published form. Moreover, impressions about the quality of inter-organizational dialogue and cooperation and the apparent motivations of states in such interactions derive to a large extent from judgements expressed in interviews. In several cases, facts and impressions have been cross- referenced with accounts of the same events by expert observers associated with different organizations. The subject matter is current, and authoritative published sources on some behind-the-scenes or little- reported interactions are scarce. I would like to thank the many people who kindly offered advice and assistance by participating in interviews, responding to queries, and/or offering comments on the draft. In Berlin, I especially appreciate the assistance of Hannes Adomeit, Ulrich Brandenburg, Dirk Brengelmann, Karl-Heinz Kamp, Frank Kupferschmidt, Rainer Meyer zum Felde, Volker Pellet, Peter Schmidt, and Benedikta von Seherr-Thoss. In Brussels, I especially appreciate the assistance of Alicia Ambos, Damien Arnaud, Gill Atkinson, Frank Boland, Penny Satches Brohs, Mihai Carp, Robert Cooper, Christophe Cornu, Ludwig Decamps, Dagmar de Mora-Figueroa, Baldwin De Vidts, Pol De Witte, Muriel Domenach, Ilay Ferrier, Walter Flint, Marek Grela, Bianca Haane, David Hall, Maurits Jochems, Clarence Juhl, Thierry Legendre, Eirini Lemos- Maniati, Sherwood McGinnis, Michael Miggins, Alexia Mikhos, Zoltan Nagy, Jonathan Parish, Susan Pond, Ernst Reichel, Guy Roberts, Michael Rühle, Diego A. Ruiz Palmer, Michael C. Ryan, Pierre Séailles, Jamie Shea, Manlio Silvestri, Robert F. Simmons, Colin Stockman, Steven Sturm, Radboud J.H.M. van den Akker, Edgard Vandeputte, and Roberto Zadra. In London, I especially appreciate the assistance of Tom Bonney, Alexander Evans, Robert Grant, Danae Meacock-Bashir, Paul Schulte, and Ajay Sharma. 7 In New York, I especially appreciate the assistance of Anis Bajwa, Fergus Bushell, Sarah Curran, Renate Dwan, Per Arne Five, Jean- Marie Guéhenno, Susan C. Hulton, Christopher Matthews, Michael McDermott, Tommy Paulsen, and Laura Vaccari. In Paris, I especially appreciate the assistance of Yves Boyer, Martin Briens, Colin Cameron,