Select Committee on Defence Third Special Report


ANNEX B

The North Atlantic Alliance's Strategic Concept

Part IV ­ Guidelines for the Alliance's Forces

Principles Of Alliance Strategy

41.The Alliance will maintain the necessary military capabilities to accomplish the full range of NATO's missions. The principles of Allied solidarity and strategic unity remain paramount for all Alliance missions. Alliance forces must safeguard NATO's military effectiveness and freedom of action. The security of all Allies is indivisible: an attack on one is an attack on all. With respect to collective defence under Article 5 of the Washington Treaty, the combined military forces of the Alliance must be capable of deterring any potential aggression against it, of stopping an aggressor's advance as far forward as possible should an attack nevertheless occur, and of ensuring the political independence and territorial integrity of its member states. They must also be prepared to contribute to conflict prevention and to conduct non­Article 5 crisis response operations. The Alliance's forces have essential roles in fostering cooperation and understanding with NATO's Partners and other states, particularly in helping Partners to prepare for potential participation in NATO­led PfP operations. Thus they contribute to the preservation of peace, to the safeguarding of common security interests of Alliance members, and to the maintenance of the security and stability of the Euro­Atlantic area. By deterring the use of NBC weapons, they contribute to Alliance efforts aimed at preventing the proliferation of these weapons and their delivery means.

42.The achievement of the Alliance's aims depends critically on the equitable sharing of the roles, risks and responsibilities, as well as the benefits, of common defence. The presence of United States conventional and nuclear forces in Europe remains vital to the security of Europe, which is inseparably linked to that of North America. The North American Allies contribute to the Alliance through military forces available for Alliance missions, through their broader contribution to international peace and security, and through the provision of unique training facilities on the North American continent. The European Allies also make wide­ranging and substantial contributions. As the process of developing the ESDI within the Alliance progresses, the European Allies will further enhance their contribution to the common defence and to international peace and stability including through multinational formations.

43.The principle of collective effort in Alliance defence is embodied in practical arrangements that enable the Allies to enjoy the crucial political, military and resource advantages of collective defence, and prevent the renationalisation of defence policies, without depriving the Allies of their sovereignty. These arrangements also enable NATO's forces to carry out non­Article 5 crisis response operations and constitute a prerequisite for a coherent Alliance response to all possible contingencies. They are based on procedures for consultation, an integrated military structure, and on co­operation agreements. Key features include collective force planning; common funding; common operational planning; multinational formations, headquarters and command arrangements; an integrated air defence system; a balance of roles and responsibilities among the Allies; the stationing and deployment of forces outside home territory when required; arrangements, including planning, for crisis management and reinforcement; common standards and procedures for equipment, training and logistics; joint and combined doctrines and exercises when appropriate; and infrastructure, armaments and logistics cooperation. The inclusion of NATO's Partners in such arrangements or the development of similar arrangements for them, in appropriate areas, is also instrumental in enhancing cooperation and common efforts in Euro­Atlantic security matters.

44.Multinational funding, including through the Military Budget and the NATO Security Investment Programme, will continue to play an important role in acquiring and maintaining necessary assets and capabilities. The management of resources should be guided by the military requirements of the Alliance as they evolve.

45.The Alliance supports the further development of the ESDI within the Alliance, including by being prepared to make available assets and capabilities for operations under the political control and strategic direction either of the WEU or as otherwise agreed.

46.To protect peace and to prevent war or any kind of coercion, the Alliance will maintain for the foreseeable future an appropriate mix of nuclear and conventional forces based in Europe and kept up to date where necessary, although at a minimum sufficient level. Taking into account the diversity of risks with which the Alliance could be faced, it must maintain the forces necessary to ensure credible deterrence and to provide a wide range of conventional response options. But the Alliance's conventional forces alone cannot ensure credible deterrence. Nuclear weapons make a unique contribution in rendering the risks of aggression against the Alliance incalculable and unacceptable. Thus, they remain essential to preserve peace.

The Alliance's Force Posture

The Missions of Alliance Military Forces

47.The primary role of Alliance military forces is to protect peace and to guarantee the territorial integrity, political independence and security of member states. The Alliance's forces must therefore be able to deter and defend effectively, to maintain or restore the territorial integrity of Allied nations and ­ in case of conflict ­ to terminate war rapidly by making an aggressor reconsider his decision, cease his attack and withdraw. NATO forces must maintain the ability to provide for collective defence while conducting effective non­Article 5 crisis response operations.

48.The maintenance of the security and stability of the Euro­Atlantic area is of key importance. An important aim of the Alliance and its forces is to keep risks at a distance by dealing with potential crises at an early stage. In the event of crises which jeopardise Euro­Atlantic stability and could affect the security of Alliance members, the Alliance's military forces may be called upon to conduct crisis response operations. They may also be called upon to contribute to the preservation of international peace and security by conducting operations in support of other international organisations, complementing and reinforcing political actions within a broad approach to security.

49.In contributing to the management of crises through military operations, the Alliance's forces will have to deal with a complex and diverse range of actors, risks, situations and demands, including humanitarian emergencies. Some non­Article 5 crisis response operations may be as demanding as some collective defence missions. Well­trained and well­equipped forces at adequate levels of readiness and in sufficient strength to meet the full range of contingencies as well as the appropriate support structures, planning tools and command and control capabilities are essential in providing efficient military contributions. The Alliance should also be prepared to support, on the basis of separable but not separate capabilities, operations under the political control and strategic direction either of the WEU or as otherwise agreed. The potential participation of Partners and other non­NATO nations in NATO­led operations as well as possible operations with Russia would be further valuable elements of NATO's contribution to managing crises that affect Euro­Atlantic security.

50.Alliance military forces also contribute to promoting stability throughout the Euro­Atlantic area by their participation in military­to­military contacts and in other cooperation activities and exercises under the Partnership for Peace as well as those organised to deepen NATO's relationships with Russia, Ukraine and the Mediterranean Dialogue countries. They contribute to stability and understanding by participating in confidence­building activities, including those which enhance transparency and improve communication; as well as in verification of arms control agreements and in humanitarian de­mining. Key areas of consultation and cooperation could include inter alia: training and exercises, interoperability, civil­military relations, concept and doctrine development, defence planning, crisis management, proliferation issues, armaments cooperation as well as participation in operational planning and operations.

Guidelines for the Alliance's Force Posture

51.To implement the Alliance's fundamental security tasks and the principles of its strategy, the forces of the Alliance must continue to be adapted to meet the requirements of the full range of Alliance missions effectively and to respond to future challenges. The posture of Allies' forces, building on the strengths of different national defence structures, will conform to the guidelines developed in the following paragraphs.

52.The size, readiness, availability and deployment of the Alliance's military forces will reflect its commitment to collective defence and to conduct crisis response operations, sometimes at short notice, distant from their home stations, including beyond the Allies' territory. The characteristics of the Alliance's forces will also reflect the provisions of relevant arms control agreements. Alliance forces must be adequate in strength and capabilities to deter and counter aggression against any Ally. They must be interoperable and have appropriate doctrines and technologies. They must be held at the required readiness and deployability, and be capable of military success in a wide range of complex joint and combined operations, which may also include Partners and other non­NATO nations.

53.This means in particular:

Characteristics of Conventional Forces

54.It is essential that the Allies' military forces have a credible ability to fulfil the full range of Alliance missions. This requirement has implications for force structures, force and equipment levels; readiness, availability, and sustainability; training and exercises; deployment and employment options; and force build­up and mobilisation capabilities. The aim should be to achieve an optimum balance between high readiness forces capable of beginning rapidly, and immediately as necessary, collective defence or non­Article 5 crisis response operations; forces at different levels of lower readiness to provide the bulk of those required for collective defence, for rotation of forces to sustain crisis response operations, or for further reinforcement of a particular region; and a longer­term build­up and augmentation capability for the worst case ­­ but very remote ­­ scenario of large scale operations for collective defence. A substantial proportion of Alliance forces will be capable of performing more than one of these roles.

55.Alliance forces will be structured to reflect the multinational and joint nature of Alliance missions. Essential tasks will include controlling, protecting, and defending territory; ensuring the unimpeded use of sea, air, and land lines of communication; sea control and protecting the deployment of the Alliance's sea­based deterrent; conducting independent and combined air operations; ensuring a secure air environment and effective extended air defence; surveillance, intelligence, reconnaissance and electronic warfare; strategic lift; and providing effective and flexible command and control facilities, including deployable combined and joint headquarters.

56.The Alliance's defence posture against the risks and potential threats of the proliferation of NBC weapons and their means of delivery must continue to be improved, including through work on missile defences. As NATO forces may be called upon to operate beyond NATO's borders, capabilities for dealing with proliferation risks must be flexible, mobile, rapidly deployable and sustainable. Doctrines, planning, and training and exercise policies must also prepare the Alliance to deter and defend against the use of NBC weapons. The aim in doing so will be to further reduce operational vulnerabilities of NATO military forces while maintaining their flexibility and effectiveness despite the presence, threat or use of NBC weapons.

57.Alliance strategy does not include a chemical or biological warfare capability. The Allies support universal adherence to the relevant disarmament regimes. But, even if further progress with respect to banning chemical and biological weapons can be achieved, defensive precautions will remain essential.

58.Given reduced overall force levels and constrained resources, the ability to work closely together will remain vital for achieving the Alliance's missions. The Alliance's collective defence arrangements in which, for those concerned, the integrated military structure plays the key role, are essential in this regard. The various strands of NATO's defence planning need to be effectively coordinated at all levels in order to ensure the preparedness of the forces and supporting structures to carry out the full spectrum of their roles. Exchanges of information among the Allies about their force plans contribute to securing the availability of the capabilities needed for the execution of these roles. Consultations in case of important changes in national defence plans also remain of key importance. Cooperation in the development of new operational concepts will be essential for responding to evolving security challenges. The detailed practical arrangements that have been developed as part of the ESDI within the Alliance contribute to close allied co­operation without unnecessary duplication of assets and capabilities.

59.To be able to respond flexibly to possible contingencies and to permit the effective conduct of Alliance missions, the Alliance requires sufficient logistics capabilities, including transport capacities, medical support and stocks to deploy and sustain all types of forces effectively. Standardisation will foster cooperation and cost­effectiveness in providing logistic support to allied forces. Mounting and sustaining operations outside the Allies' territory, where there may be little or no host­nation support, will pose special logistical challenges. The ability to build­up larger, adequately equipped and trained forces, in a timely manner and to a level able to fulfil the full range of Alliance missions, will also make an essential contribution to crisis management and defence. This will include the ability to reinforce any area at risk and to establish a multinational presence when and where this is needed. Forces of various kinds and at various levels of readiness will be capable of flexible employment in both intra­European and transatlantic reinforcement. This will require control of lines of communication, and appropriate support and exercise arrangements.

60.The interaction between Alliance forces and the civil environment (both governmental and non­governmental) in which they operate is crucial to the success of operations. Civil­military cooperation is interdependent: military means are increasingly requested to assist civil authorities; at the same time civil support to military operations is important for logistics, communications, medical support, and public affairs. Cooperation between the Alliance's military and civil bodies will accordingly remain essential.

61.The Alliance's ability to accomplish the full range of its missions will rely increasingly on multinational forces, complementing national commitments to NATO for the Allies concerned. Such forces, which are applicable to the full range of Alliance missions, demonstrate the Alliance's resolve to maintain a credible collective defence; enhance Alliance cohesion; and reinforce the transatlantic partnership and strengthen the ESDI within the Alliance. Multinational forces, particularly those capable of deploying rapidly for collective defence or for non­Article 5 crisis response operations, reinforce solidarity. They can also provide a way of deploying more capable formations than might be available purely nationally, thus helping to make more efficient use of scarce defence resources. This may include a highly integrated, multinational approach to specific tasks and functions, an approach which underlies the implementation of the CJTF concept. For peace support operations, effective multinational formations and other arrangements involving Partners will be valuable. In order to exploit fully the potential offered by multinational formations, improving interoperability, inter alia through sufficient training and exercises, is of the highest importance.

Characteristics of Nuclear Forces

62.The fundamental purpose of the nuclear forces of the Allies is political: to preserve peace and prevent coercion and any kind of war. They will continue to fulfil an essential role by ensuring uncertainty in the mind of any aggressor about the nature of the Allies' response to military aggression. They demonstrate that aggression of any kind is not a rational option. The supreme guarantee of the security of the Allies is provided by the strategic nuclear forces of the Alliance, particularly those of the United States; the independent nuclear forces of the United Kingdom and France, which have a deterrent role of their own, contribute to the overall deterrence and security of the Allies.

63.A credible Alliance nuclear posture and the demonstration of Alliance solidarity and common commitment to war prevention continue to require widespread participation by European Allies involved in collective defence planning in nuclear roles, in peacetime basing of nuclear forces on their territory and in command, control and consultation arrangements. Nuclear forces based in Europe and committed to NATO provide an essential political and military link between the European and the North American members of the Alliance. The Alliance will therefore maintain adequate nuclear forces in Europe. These forces need to have the necessary characteristics and appropriate flexibility and survivability, to be perceived as a credible and effective element of the Allies' strategy in preventing war. They will be maintained at the minimum level sufficient to preserve peace and stability.

64.The Allies concerned consider that, with the radical changes in the security situation, including reduced conventional force levels in Europe and increased reaction times, NATO's ability to defuse a crisis through diplomatic and other means or, should it be necessary, to mount a successful conventional defence has significantly improved. The circumstances in which any use of nuclear weapons might have to be contemplated by them are therefore extremely remote. Since 1991, therefore, the Allies have taken a series of steps which reflect the post­Cold War security environment. These include a dramatic reduction of the types and numbers of NATO's sub­strategic forces including the elimination of all nuclear artillery and ground­launched short­range nuclear missiles; a significant relaxation of the readiness criteria for nuclear­roled forces; and the termination of standing peacetime nuclear contingency plans. NATO's nuclear forces no longer target any country. Nonetheless, NATO will maintain, at the minimum level consistent with the prevailing security environment, adequate sub­strategic forces based in Europe which will provide an essential link with strategic nuclear forces, reinforcing the transatlantic link. These will consist of dual capable aircraft and a small number of United Kingdom Trident warheads. Sub­strategic nuclear weapons will, however, not be deployed in normal circumstances on surface vessels and attack submarines.

Part V ­ Conclusion

65.As the North Atlantic Alliance enters its sixth decade, it must be ready to meet the challenges and opportunities of a new century. The Strategic Concept reaffirms the enduring purpose of the Alliance and sets out its fundamental security tasks. It enables a transformed NATO to contribute to the evolving security environment, supporting security and stability with the strength of its shared commitment to democracy and the peaceful resolution of disputes. The Strategic Concept will govern the Alliance's security and defence policy, its operational concepts, its conventional and nuclear force posture and its collective defence arrangements, and will be kept under review in the light of the evolving security environment. In an uncertain world the need for effective defence remains, but in reaffirming this commitment the Alliance will also continue making full use of every opportunity to help build an undivided continent by promoting and fostering the vision of a Europe whole and free.


 
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Prepared 21 May 1999