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U.S. Department of State

Diplomacy in Action

06. Regional Stability


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The President's national security strategy is based on diplomatic leadership, a strong military, and effective intelligence.  Traditional diplomacy conducted through alliances and country-to-country relations contributes significantly to national security.  But U.S. interests may require more determined action to prevent, manage, and resolve ethnic conflicts, civil wars, territorial disputes, and humanitarian disasters anywhere in the world, and to counter terrorist threats.  In some cases, the United State may be the only nation capable and ready to respond, with or without the support of other countries.

To build effective working relationships with leading regional states, we further cooperation and defense trade controls, we want to more effectively further our cooperation through alliances, military assistance, and defense trade controls.  To decrease the likelihood of future conflicts, the United States may seek imposition of multilateral sanctions on violators of international norms of behavior.  Building a consensus with foreign partners that the United States is an important participant in the international peacekeeping process is also essential for resolving regional conflicts.  Efforts to increase global economic growth and stability play a role in fostering regional stability.  We have also built a structure of arms control, such as Conventional Forces in Europe, and Confidence and Security Building Measures, such as Open Skies, the Vienna Document, and humanitarian demining, that further underpins stability around the world.

Regional instability can result from a variety of causes.  Ethnic or tribal animosities, religious discord, and competition and confrontation over scarce natural resources have been the sources of conflicts and a threat to regional stability throughout the ages.  Overly ambitious, or weak political leaders or policies, the lack of economic development, and the unequal distribution of wealth, influence or power are some of the other conditions that may potentially result in localized conflict, either within the borders of a single state or throughout a relatively limited geographic region. 

The Department of State has a wide variety of tools that may be used to prevent or resolve conflict and contribute to stability around the world.  In FY '01, we promoted regional stability through a number of diplomatic strategies—economic and development assistance, humanitarian relief efforts, regional management of transboundary resources such as water, military security assistance, preventive diplomacy, confidence building measures, and international information sharing.

Diplomacy has been the vanguard of U.S. efforts to establish, maintain, and strengthen close stable ties with our neighbors, friends, and allies around the world.  The September 11 terrorist attacks on the United States clearly demonstrated the value of our diplomatic relationship with traditional friends and allies and sparked a search for new allies in the war on terrorism and.  Our NATO Allies agreed immediately to invoke Article V for the first time in the Alliance's history, making it plain to our enemies that the attack on the United States constituted an attack on all NATO members.  Likewise, in the Western Hemisphere the Rio Treaty was invoked, making the international solidarity we have even more clear.  Australia invoked our Mutual Defense Treaty to declare that the attacks on the U.S. were attacks on Australia, and Japan enacted a new law to enable its forces to participate in an international military campaign for the first time since World War II.  We received significant military cooperation as well as offers of humanitarian assistance from nations around the world.  At the United Nations, the Security Council condemned the September 11 attacks as a threat to international peace and stability and imposed obligations on all UN members to take concrete action to fight terrorism.

Diplomacy, along with economic assistance, humanitarian relief efforts, and military security assistance, promotes a sense of stability, security, and independence in foreign countries.  The United States provided foreign assistance totaling more than $6 billion in FY '01 to assist recipient countries in fostering democracy, development and global stability.  Military security assistance of almost $3.9 billion is a critical U.S. foreign policy tool for promoting U.S. interests around the world.  It ensures that coalition partners and friendly foreign governments are equipped and trained to provide for their own security and are increasingly interoperable with U.S. forces.  This allows them to work with us toward common security goals and to share the burden of joint missions.  The Department also contributed $40 million to humanitarian demining and actively managed demining programs around the world.  This resulted in a reduction in deaths and injuries, created safe conditions for the return of hundreds of thousands of internally displaced persons and refugees, and enabled significant social and economic reconstruction to take place in former areas of conflict.

In addition to contributing to the stability and security of the recipients, the Department's economic and military security assistance provides tools that the countries can use to prevent or resolve local regional conflicts.  One particularly effective program is the Enhanced International Peacekeeping Capabilities (EIPC) program initiative, a program that the Department of State funds and for which it provides policy oversight.  The EIPC program is a grant aid program ($5.97 million in FY '01) designed to assist countries in building up their peacekeeping capabilities.  This is a small, but extremely cost-effective use of assistance funds through which we promote interoperability in peacekeeping operations and increase the pool of countries able to undertake these operations all over the world.

The Department uses diplomacy, as well as assistance, in efforts designed to resolve regional conflicts and maintain the peace.  With U.S. diplomatic backing for many of its provisions, the UN endorsed key peacekeeping reforms, including improvement of the UN's ability to attract and deploy qualified military and civilian personnel, and restructuring and strengthening the UN's Department of Peacekeeping Operations (DPKO).  The UN approved funding for 93 new positions in DPKO, enhancing planning and operational capabilities.  The UN's efforts to reform and strengthen its peacekeeping capabilities, particularly the capacity to plan, rapidly deploy, and manage peacekeeping operations, will reinforce our own efforts to resolve regional conflicts in order to enhance regional stability.

After an exhaustive, year-long effort, the U.S. achieved a major reform goal in December 2000 when the United Nations (UN) membership adopted revisions to the scales of assessment for both the UN regular and peacekeeping budgets.  These reforms resulted in a lowering of the ceiling (the maximum amount paid by any UN member) in both budgets.  This achievement set the stage for ultimate release to the UN (in early FY2002) of the largest piece of arrears -- $582 million in UN peacekeeping arrears authorized under Helms-Biden.

The Department of State, using all the tools at its disposal and through a variety of strategies, is working diligently to improve the abilities of organizations and countries to combat the problems of lax security, terrorism, natural disasters and regional wars.  We reinforce relations with old friends and allies and build bridges to new partners to enhance their stability and to help provide them with the capacity to achieve common security goals, and to participate in joint missions to contain and defuse security crises and to respond to humanitarian emergencies. The world is not conflict free.  It never has been and never will be.  The Department of State, however, has endeavored throughout FY '01 and will, in the future, continue to strive to make it a better, safer, and more secure place for America and its friends.

National Interest
Regional Stability
Performance Goal #
RS-01
Strategic Goal

Ensure that local and regional instabilities do not threaten the security and well-being of the United States or its allies.

Performance Goal

Close, stable ties with U.S. neighbors and key allies exist.

FY '01 RESULTS AS OF 9/30/01

FY '01 clearly demonstrated the degree to which the United States has used diplomatic tools and key diplomatic relationships to develop close, stable ties with its neighbors and key allies.  The fact that nations around the world quickly offered humanitarian and military assistance to the United States in the aftermath of the terrorist attacks of September 11 is a visible sign of the strong durable ties that the United States has developed around the world.

In addition to achieving the FY '01 targets for both of the performance indicators for this performance goal, there are numerous other indicators of the success the United States has had in developing close stable ties.  Turkey and Greece remain committed NATO Allies and rapprochement between them continues.  Initiatives included military confidence building measures such as downscaling annual military exercises, government-to government contacts to include regular exchange visits by their foreign ministers and meetings at the technical level to help Turkey with European Union accession issues, and people-people contacts.  There is Greek cooperation in the Balkans, including promotion of the implementation of the framework agreement.  In addition, the United States and Greece concluded a Cooperative Technical Agreement that will be the cornerstone for a 21st century defense partnership.  Senior State Department officials encouraged Turkey and the U.K. to reach agreement on European Security and Defense Policy and Department personnel have participated in a series of meetings that resulted in a text.  Turkish Prime Minister Ecevit has confirmed Turkey's support for the agreement that is now pending EU approval.  An agreement between Turkey and the European Union would represent a significant step forward on EU-NATO cooperation. 

In Central Asia, the United States has sought to dramatically enhance our engagement and cooperation with the Governments of Uzbekistan and Tajikistan and used a strategy of bilateral assistance, high-level visits, and sustained working-level dialog to encourage both governments to explore new areas of substantive cooperation.  In Uzbekistan, their Government's high degree of support for Operation Enduring Freedom (OEF) demonstrates the effectiveness of U.S. efforts to build these relations.  In the case of Tajikistan, our initial lack of a full-time diplomatic presence, and therefore less regular, established contact, meant that more time was required to develop support for OEF but still resulted in remarkable cooperation.  In Asia, close consultations with treaty allies resulted in cooperation on a range of regional security issues.  Australia, Japan, the Republic of Korea, and New Zealand have deployed military forces to support the anti-terrorism campaign in Afghanistan.  Thailand and the Philippines have shown special efforts to keep in close consultation and cooperation during OEF.  After detailed negotiations, the Department concluded a Special Measures Agreement with the Republic of Korea that more fairly distributes the burden of basing U.S. troops in Korea.

Secretary Powell has noted that diplomacy is now understood to be the United States first line of offense, as well as its most cost-effective means of promoting regional stability.


Performance Indicator

FY '99 Baseline

FY '00 Actual

FY '01 Target

FY '01 Actual

Strong European security relationships

Heads of State and Government at 1999 Washington Summit approved and revised Strategic Concept that endorses new Missions, outreach to partners, enhances European Security Defense Identity (ESDI), transforms defense capabilities, and responds to weapons of mass destruction (WMD) threats.  NATO outlines strategy implementing defense capabilities, WMD and ESDI initiatives

Allies make progress on Summit-approved initiatives, including the revised Strategic Concept, ESDI elements, and Open Door.  Membership Action Plan (MAP) launched.  NATO-Russia relationship renewed and expanded beyond Stabilisation Force (SFOR) and Kosovo Force (KFOR).  Initial work begins on Summit commitments to define and adopt necessary arrangements for ready access by EU and NATO assets and capabilities in EU-led operations. Start up of NATO WMD Center

NATO-EU links to assure effective mutual consultation, cooperation, and transparency.  Appropriate mechanisms for participation of non-EU Allies within security deliberations.  MAP process continues; groundwork laid for Open Door decisions.  NATO Information Office and Military Liaison Office open in Moscow.  Ukraine begins defense reform

ESDI participation issue resolved, ensuring appropriate mechanisms for participation of non-EU Allies in ESDI and opening door to final arrangements for NATO-EU links.

Aspirants continue to use the MAP effectively to prepare for NATO membership.  NATO heads of state and government reinforce commitment to Open Door, agreeing to launch another round of enlargement at their November 2002 Prague Summit.

Progress toward new NATO-Russia relationship.  NATO Information Office opened.  Arrangements for Military Liaison near completion.

Ukraine makes some progress on defense reform; continues to seek closer engagement with NATO.

Verification

Source:  Mission reporting, open sources

Storage:  Department of State files


Performance Indicator

FY '99 Baseline

FY '00 Actual

FY '01 Target

FY '01 Actual

Bilateral security cooperation with Japan

Japanese Diet approved Revised Defense Guidelines implementing legislation

Japanese Government identifies replacement site for U.S. military facilities at Futenma; Special Measures Agreement  (SMA) negotiations completed.

U.S. and Japanese Governments determine type of replacement facility to build, including sea, land, or a combination of options; SMA ratified and implementation begins.

Both sides moved to resolve the Futenma replacement facility issue, with the Japanese close to a final decision on a location and construction method for the replacement facility to be constructed at Nago.  Progress was made because both sides understood that resolution of the issue was important and that basic decision-making could not be further delayed.  However, the Japanese Government must now respond to the local community's concerns.  This process is ongoing and should be completed in due course.

Current SMA in operation after completion of negotiations in 2000.  The successful conclusion of negotiations resulted from the need perceived on both sides to conclude negotiations in a timely and effective manner in order to assure mutually acceptable financing of our base presence and thereby avoid disrupting base operations over financial issues.

Verification

Source:  Mission, Department of State/EAP, PM, U.S. Agency for International Development, Department of Defense

Storage:  Department of State/EAP Bureau files

Countries

Worldwide

Lead Agency

Department of State

Partners

Department of State:  AF, EAP, EUR, NEA, SA, WHA, H, AC, DRL, EB, ECA, IIP, IO, INL, NP, OES, PA, PM, PRM, S/P, PICW, S/WCI, VC, and INR

Other U.S. Government:  Commerce, Drug Enforcement Administration, Department of Defense, Department of Energy, Environmental Protection Agency, Federal Bureau of Investigation, Peace Corps, Treasury, U.S. Agency for International Development, U.S. Trade Representative

Multilateral:  Association of South East Asian Nations, European Union, Organization of American States, Organization for Economic Cooperation and Development, Organization for Security and Cooperation in Europe, North Atlantic Treaty Organization, United Nations, World Trade Organization, Gulf Cooperation Council

Nongovernment Organizations:  International financial institutions, media, and corporations


National Interest
Regional Stability
Performance Goal #
RS-02
Strategic Goal

Ensure that local and regional instabilities do not threaten the security and well-being of the United States or its allies.

Performance Goal



Stable and secure regional partners.

FY '01 RESULTS AS OF 9/30/01

Stability and security depend as much on economic development as it does on conflict avoidance.  In addition to achieving the specific targets established for both of this goal's performance indicators, the United States has successfully used diplomatic efforts to contribute to the stability and security of our partners throughout the world in a variety of other ways. 

One example can be found in the Caspian Region.  U.S. Caspian Basin energy diplomacy is predicated on the need to help countries in the Caspian Region ensure their continued independence, sovereignty, and sustainable economic growth.  While many factors will affect regional stability in the Caspian, the availability of export routes for oil and natural gas will allow the countries to gain needed foreign exchange and investments that can provide a basis for economic development in other spheres.  Crucial to this development will be the implementation of economic sector reforms, including measures to combat corruption, stabilize the banking system, rationalize taxation and tariff regimes, and support the rule of law and respect for contractual rights.  State is working on multiple fronts to further these related objectives.  The President's Coordination Committee (PCC) on Caucasus and Central Asia's Caspian Seniors Group meets regularly (2-3 times per month) to review progress and assess follow-up options.  For example, working with the Department of Defense, we have developed a program to address the physical security of the new pipelines in Georgia — this program will provide additional benefits in helping Georgia rationalize its military and security forces.  In addition, the U.S. has held discussions with the European Union to review possible and practical multilateral approaches in the region.  The State Department pursued a policy of intensive engagement with Kazakhstan in order to further its aims of promoting multiple pipeline routes and regional energy interdependence.  This goal was partially achieved.  In November 2001, Kazakhstan and Russia formally opened the Caspian Pipeline Consortium, with U.S. Government and private-sector support.  Kazakhstan still has not taken concrete steps to commit the transfer of Caspian oil through the Baku-Tbilisi-Ceyhan pipeline, but has recently indicated it will be willing to do so.  During senior-level visits and through daily Embassy contact, we continue to encourage Kazakhstan to take these steps. 

The United States continues to coordinate with allies and other countries to agree upon and implement a new system of sanctions to prevent the Iraqi regime from obtaining weapons of mass destruction.  The U.S. made progress toward this goal in FY '01 and will work for final agreement in the coming year.


Performance Indicator

FY '99 Baseline

FY '00 Actual

FY '01 Target

FY '01 Actual

Chinese cooperation on regional security in Cross-Strait relations and in engaging North Korea

Dialog was initiated and subsequently suspended.

Cooperation on regional security selective and episodic (e.g., helpful on South Asia, grudging on Iraq; Cross-Strait dialog suspended; efforts with regard to North Korea positive, although limited and opaque. Chinese pledge not to assist in any way Missile Technology Control Regime (MTCR) class missile programs, including in regions of instability (e.g., South/ Southwest/ Northeast Asia

Regional security cooperation and coordination increased; resume Cross-Strait dialog.  Increased Chinese efforts to elicit North Korean cooperation; greater People's Republic of China willingness to share information.  More active Chinese role in restraining South Asia arms race and restart Indo-Pakistani dialog.

Continued concern with the PRC arms buildup across the Taiwan Strait.  The United States continues to support Cross-Strait dialog, but progress has been slow because the PRC views U.S. arms sales to Taiwan as threatening and China has attempted to link it with other nonproliferation goals.

The PRC has cooperated in encouraging North Korean openness, North-South dialog, and a peaceful resolution to issues on the Korean Peninsula because the PRC shares our interest in a peaceful and stable Korean Peninsula — its geographic back door — and will likely continue to do so.

There are continued concerns about PRC missile-related transfers to Pakistan. Pakistan is a long-time strategic ally of the PRC and concerns about missile-related transfers led to the September 1, 2001 missile sanctions.  We continued to use high-level meetings and other conversations to seek authoritative Chinese clarification of its nonproliferation-related commitments.

Chinese support for peaceful resolution of South Asian issues.  China shares the goal of a stable South Asia and remains concerned about a conflict breaking out between its nuclear neighbors.  Continued Chinese support for a stable and cooperative Pakistan in the war on terrorism will be crucial.

Verification

Source:  Mission reporting, open sources

Storage:  Department of State/EAP Bureau files


Performance Indicator

FY '99 Baseline

FY '00 Actual

FY '01 Target

FY '01 Actual

Conventional Armed Forces in Europe (CFE) Treaty

CFE adaptation negotiations continue.

CFE adaptation negotiations successfully completed; Adapted Treaty and Final Act concluded; circumstances not ready for Entry into Force (EIF).

EIF of Adapted CFE Treaty; Review Conference successfully concluded/advances U.S. and North Atlantic Treaty Organization (NATO) interests

We made good progress toward the first target, in part by successful achievement of the second target.  Russia moved toward compliance with its 1999 Istanbul Commitments regarding flank levels and Russian forces in Georgia and Moldova.  During the year, the United States and its NATO Allies declared, in several NATO Communiqués, that verifiable Russian compliance with its Istanbul Commitments was a precondition for their ratification of the Adapted CFE Treaty.  NATO solidarity remained strong at the Second Review Conference of the CFE Treaty, making its position clear in the Formal Conclusions despite Russian resistance.  The United States and its NATO Allies will maintain this position, because while the Adapted Treaty will contribute to greater security and stability in Europe, that benefit is realizable only in the context of full and verifiable compliance with obligations and commitments.  It appears that NATO firmness and solidarity, coupled with intensive diplomatic efforts with Russia, Georgia, and Moldova might be paying off.  The Russians are making some serious moves toward compliance.  If these moves can be verified, there is a good possibility that NATO countries will be able to consider ratification of the Adapted CFE Treaty in 2002.

Verification

Source:  Department of State/AC Bureau, USOSCE reporting

Storage:  Department of State files

Countries

Worldwide

Lead Agency

Department of State


Partners

Department of State:  AF, EAP, EUR, NEA, SA, WHA, H, AC, DRL, EB, ECA, IIP, IO, INL, NP, OES, PA, PM, PRM, S/P, PICW, S/WCI, VC, INR

Other U.S. Government:  Commerce, Drug Enforcement Administration, Department of Defense, Department of Energy, Environmental Protection Agency, Federal Bureau of Investigation, Peace Corps, Treasury, U.S. Agency for International Development, U.S. Trade Representative

Multilateral: Association of South East Asian Nations, Economic Community of West African States, European Union, Organization of American States, Organization for African Unity, Organization for Economic Cooperation and Development, Organization for Security and Cooperation in Europe, North Atlantic Treaty Organization (NATO), Southern African Development Community, United Nations, World Trade Organization [Nongovernmental organizations:]

International financial institutions, media, and corporations



National Interest
Regional Stability
Performance Goal #
RS-03
Strategic Goal

Ensure that local and regional instabilities do not threaten the security and well-being of the United States or its allies.

Performance Goal

Develop conflict prevention/conflict resolution tools.

FY '01 RESULTS AS OF 9/30/01

The Department of State used a wide variety of strategies to provide nations with the tools necessary to prevent or resolve conflicts.  FY '01 targets for five of the six performance indicators in the performance goal were met.  Although resistance to a new mandatory arms reporting category in the Wassenaar Arrangement crumbled, one country continued to oppose the initiative.  The Department exceeded the target concerning the Organization of American States Arms Acquisition Transparency Convention.  In addition, there are numerous additional indicators of the Department's success toward this performance goal.

On the diplomatic front, primary responsibility for U.S. oversight/participation in the Northern Ireland peace process moved from the White House back to the State Department.  In March, President Bush appointed Ambassador Richard Haass as the administration's "point person" on Northern Ireland.  Ambassador Haass immediately established a working relationship with the Governments of Ireland and the United Kingdom, with the Northern Ireland Office, and with the key political parties in Belfast.  He was successful in clearly delineating the role of the Department of State in the process and in implementing that role.  The Department has contributed to conflict prevention and conflict resolution through the United Nations as the United Nations Interim Administration in Kosovo (UNMIK) planned and implemented the first Kosovo local elections in FY '01 and, later in the year, laid groundwork for successful province-wide elections.  The UN Security Council reached agreement gradually to downsize UNIFIL, laying the basis for a conversion to a more effective monitoring force following Israel's withdrawal from southern Lebanon.  And finally, the Department developed a "smart" sanctions proposal to revitalize existing Security Council controls against Iraq and continued efforts to build Security Council consensus in support of more effective controls.

Reducing the availability of small arms and light weapons (SA/LW) for terrorists, organized criminals and violent insurgent groups is another effective conflict prevention tool.  The successful conclusion of the UN Conference on the Illicit Trade in SA/LW in July 2001 and the OSCE Document on SA/LW in November 2000 mark significant progress in this area.  The UN Program of Action mandates controls on exports and imports of SA/LW and international cooperation to curb illicit trafficking.  The Declaration by the European Union and the United States on the Responsibilities of States and Transparency Regarding Arms Exports is an important step toward developing an international code of conduct on arms transfers.  At the December 2000 Plenary, Wassenaar Arrangement Participating States agreed to adopt U.S.-proposed controls on exports of Man-Portable Air Defense Systems.  However, despite near-consensus, the additional reporting category of Small Arms/Light Weapons was not approved at the 2000 Plenary.  The Department has also negotiated and financed the destruction of over 115,000 surplus and collected Small Arms and Light Weapons and associated ammunition in Southern Africa and the Balkans.  The destruction of these weapons prevents their continued illegal circulation in regions of conflict, promoting stability and helping to protect civilians and peacekeepers.  As an international information tool, the Department produced an Electronic Journal on Small Arms and Light Weapons for the UN Conference on Small Arms in July and has created a Web Page on Conflict Resolution and Peacekeeping for use as an informational resource for overseas Missions and clients.

FY '01 RESULTS AS OF 9/30/01 (cont'd)

The Department has also actively promoted peacekeeping.  All countries that have received funding under the Enhanced International Peacekeeping Capabilities (EIPC) initiative are taking decisive steps to increase their involvement in international un-mandated peacekeeping operations and contribute to the prevention and resolution of regional conflicts.  Argentina developed the pre-eminent PKO training center in Latin America, which trains its officers and units for UN PKO deployment and also trains officers from neighboring countries.  As a result of EIPC funding and country assessment, Nepal established a permanent training course.  Mongolia, a country that had no peacekeeping program 4 years ago, has established peacekeeping as its military's first goal and has set up two battalions.  Mongolia has offered its forces to the UN and has engaged with U.S. Pacific Command to participate in joint exercises.  The Defense and Foreign Ministers have cited EIPC as the impetus for their country's peacekeeping program.  Thailand deployed significant forces to the UN mission in East Timor and invested substantial national capital to establish a permanent training center.  Chile's Defense Minister cited EIPC as the key reason that Chile decided to send helicopters and support personnel to the UN PKO in East Timor (their most ambitious commitment to date).  The Department of State also funds the participation of more than 800 U.S. civilian police who promote the civilian aspects of operations and conflict resolution in various locations around the world.

The African Crisis Response Initiative (ACRI) has also significantly enhanced the capacity of African states to conduct effective peacekeeping and humanitarian relief operations by virtue of successfully completing ACRI's first multinational brigade-level training exercise on the continent.  Ghana, Kenya, and Senegal have all successfully deployed on peacekeeping missions.  Long-term programs were initiated to professionalize the Nigerian Army and to strengthen the South African Defense Force and other key partners, facilitating their increased capacity for crisis response.  Nigeria and South Africa have successfully deployed on peace support missions.  ECOWAS, EAC and Southern African Development Community staffs have received increased human and funding resources and have responded with enhanced capabilities in the areas of planning and conflict prevention and resolution. Professional militaries in several African countries contribute to local and regional stability, setting a critical example for others.

Performance Indicator

FY '00 Actual

FY '01 Target

FY '01 Actual

Conflict resolution, peacekeeping, and regional stability efforts in Africa

Organization of African Unity (OAU) participation in Democratic Republic of the Congo (DRC) conflict resolution, peacekeeping and regional stability efforts, as well as working on Eritrea-Ethiopia mediation; Economic Community of West African States (ECOWAS) participation in peacekeeping and conflict resolution efforts in Sierra Leone; Southern African Development Community (SADC) participation in DRC conflict resolution efforts; Inter-Governmental Authority on Development involvement in similar efforts in Somalia and Sudan.

Continued participation by all of these regional and sub-regional organizations in conflict resolution, peacekeeping, and regional stability efforts in these crises and others that may arise.

OAU/African Union's Joint Military Commission continues to support DRC conflict resolution efforts, as well as collaboration with UN efforts in Ethiopia-Eritrea—progress toward peace is being made in both conflicts.  Further stabilization of West Africa through training of battalions for United Nations Mission in Sierra Leone (UNAMSIL) service and support for Guinean armed forces and the UK-led effort to professionalize the Sierra Leone Army.  ECOWAS strengthens defense and security staff, runs exercises, and plays increased role in conflict prevention/resolution.

Verification

Source:  Mission reporting, United Nations, Dept. of Defense

Storage:  Department of State/AF, IO, PM, USUN, Dept. of Defense


Performance Indicator

FY '00 Actual

FY '01 Target

FY '01 Actual

Reduction of tension in South Asia

South Asia Task Force holds initial working group meetings on potential confidence building measures  (CBMs) for India and Pakistan

Encourage India/Pakistan dialog on CBMs and restraint measures

India and Pakistan held summit meeting at Agra in July, agreed to meet at South Asian Association for Regional Cooperation Summit in January 2002, generally maintained cease-fire across the Line of Control in Kashmir

Verification

Source:  Post reporting

Storage:  Department of State/SA

Performance Indicator

FY '00 Actual

FY '01 Target

FY '01 Actual

Implementation of Organization for Security and Cooperation in Europe (OSCE) Summit Initiatives

Agreement on Security Model at 1999 OSCE Summit consistent with U.S. ideas.  Heightened awareness of OSCE role in the Balkans and certain states of the New Independent States.  Assistance Group (AG) returned to Chechnya, its value recognized as interlocutor on assistance and humanitarian issues.  Progress toward making Rapid Expert Assistance and Cooperation (REACT) fully operational

Successful municipal elections in Kosovo and Bosnia with OSCE oversight lead to functioning democratic institutions, more complete plans for Mission downsizing, including eventual Mission closure in the Baltic States.  More active, broadened Missions in Central Asia and the Caucasus.  REACT fully operational

•         Successful elections in Kosovo, including increased participation by Serbs.  No elections were scheduled for Bosnia in 2001.

•         Decision to close missions in Estonia and Latvia expected in December 2001.

•         The Bishkek Conference on Counterterrorism, to be held in December, will focus on efforts to get all states to implement elements of the Financial Action Task Force, training to address the illicit Small Arms and Light Weapons (SA/LW) trade and perhaps new economic initiatives in Tajikistan.

•         U.S. portion of REACT fully operational by mid-year.

•         Concluded OSCE Document on SA/LW.  First information exchange on SA/LW completed pursuant to this document

Verification

Source:  Mission reporting, open sources

Storage:  Department of State/EUR

Organization of American States (OAS) Arms Acquisition Transparency Convention

Convention adopted at OAS General Assembly and opened for signature by states' parties.

Two states' parties ratify the convention.

FY '01 Target was exceeded.  Three states, Ecuador, Guatemala, and Uruguay ratified the OAS Arms Acquisition Transparency Convention.

Verification

Source:  Mission reporting, open sources

Storage:  Department of State

Conclude effective multilateral Arms Transfer Code of Conduct

Conduct discussions with major arms producers on the likely nature of the International Arms Sales Code of Conduct Act of 1999 that instructs our President to attempt to negotiate an international regime to promote transparency, and limit, restrict, or prohibit arms transfers.

Develop draft text based on joint U.S.-EU views with broader international participation.

A draft text for a multilateral Arms Transfer Code of Conduct was developed, but because arms sales reflect national foreign policies, we do not foresee significant non-European adherence to the code in the near-to-long term.

Verification

Source:  Mission reporting,

Storage:  Department of State/NP


Performance Indicator

FY '00 Actual

FY '01 Target

FY '01 Actual

Strengthen arms transparency in the UN Review and update Wassenaar Arrangement control lists.

The Wassenaar Arrangement agrees to a modest increase in arms transfer reporting requirements beyond the categories covered by the UN Conventional Arms Register. UN Register participation increases to more than 90 states; China continues to not participate; Egypt drops counter-resolution at UN.

Add at least one new category to Wassenaar Arrangement mandatory reporting and continue to discuss new categories. UN Register participation remains stable at 90-100 states.

Agreement in Wassenaar to add reporting on two new sub-categories of military vehicles.  The United States continues to overcome opposition to establishing a new Small Arms/Light Weapons category, to revise the ship tonnage category, and otherwise enhance arms transparency in Wassenaar.  We have also pressed harder for timely and thorough reporting of arms and other transfers subject to national reporting requirements.  U.S. goals were advanced through discussions in the three working-level groups (licensing/enforcement, control lists, and policy).  The Wassenaar Arrangement Information System should be on-line in early 2002 and will enable us not only to submit more complete reporting, but also to analyze the reported transfers of other participating states

Verification

Source:  Wassenaar Arrangement documents, intelligence sources, Mission reporting, Reports on UN Register; post reporting

Storage:  Department of State/NP/ECNP, intelligence community, Wassenaar Secretariat, interagency working groups, State/AC


Countries

Worldwide

Lead Agency

Department of State

Partners

Department of State:  AF, EAP, EUR, NEA, SA, WHA, H, AC, DRL, EB, ECA, IIP, IO, INL, NP, OES, PA, PM, PRM, S/P, PICW, S/WCI, VC, INR

Other U.S. Government:  Commerce, Drug Enforcement Administration, Department of Defense, Department of Energy, Environmental Protection Agency, Federal Bureau of Investigation, Peace Corps, Treasury, U.S. Agency for International Development, U.S. Trade Representative

Multilateral:  Association of South East Asian Nations, Economic Community of West African States, European Union, Organization of American States, Organization of African Unity, Organization for Economic Cooperation and Development, Organization for Security and Cooperation in Europe, North Atlantic Treaty Organization, Southern African Development Community, East African Community, United Nations, World Trade Organization

Nongovernmental organizations:  International financial institutions, media, and corporations


National Interest
Regional Stability
Performance Goal #
RS-04
Strategic Goal
Ensure that local and regional instabilities do not threaten the security and well-being of the United States or its allies

Performance Goal

Resolution of outstanding regional conflicts.

FY '01 RESULTS AS OF 9/30/01

Along with providing tools to others to help prevent or resolve conflicts, the Department has been actively engaged in direct efforts to resolve regional conflicts.  We met the FY '01 Targets for both indicators for this performance goal, and the Department has made progress in a number of other areas. 

In FY '01, the peace process in Northern Ireland has experienced the normal fits and starts since the Good Friday Agreement was signed in 1998.  However, the overall trend has been positive.  As a result of negotiations held during the summer, the republican paramilitary (PIRA) moved closer to historic movement on arms decommissioning (which effected in October), a new police service was established (which was inaugurated on November 4) and Her Majesty's Government moved toward further demilitarization (which began in October following the decommissioning announcement).  The Department supported the UN Good Offices Mission in trying to bring both sides on Cyprus to a mutually acceptable settlement of their long-term conflict.  State has also consistently sought to promote the resolution of the civil conflict in the Abkhazia Region of Georgia through support for a UN-mediated peace process.  This goal was partially achieved.  In part through U.S.-led efforts, this year witnessed the most significant advances in moving toward a peace process since the 1994 cease-fire agreement.  By working in cooperation with other members of the Friends of Georgia, the U.S. and the UN were able to secure Russian agreement on a framework document for future peace talks.  The Abkhaz side has not yet endorsed this framework, but efforts are beginning in earnest to secure their agreement.

The Department has also sought to develop multilateral cooperation within the OSCE Minsk Group process in order to further efforts toward conflict resolution between Armenia and Azerbaijan.  This goal was achieved.  The three Minsk Group co-chairs displayed an unprecedented level of coordination and teamwork that led to the Key West Peace Talks in April 2001.  In particular, U.S. efforts helped to convince Russia to take a more active role in mediation efforts.  Russia's effort has been exemplary and is cited as a model for other U.S.-Russia cooperation in the post-Soviet era.

In FY '01, the Department, at the direction of the National Security Council and in coordination with other concerned U.S. Government offices and agencies, authored a framework plan for implementing the peace agreements negotiated by NATO and Ambassador Pardew in the Former Yugoslavian Republic of Macedonia.  Despite some obstacles, peace is on the horizon. Dayton arms control assists our political efforts to create institutions in Bosnia and Herzegovina and offers a mechanism for further reducing heavy weapons in Bosnia and Herzegovina, Croatia, and the Federal Republic of Yugoslavia.

Finally, in an effort to sever the link between diamonds and conflicts while still safeguarding the legitimate diamond trade, the United States has been an active participant in the Kimberley Process.  Through Kimberley, representatives from key diamond producing, trading, and consuming countries, the diamond industry and interested nongovernment organizations began devising a global rough diamond certification system that would exclude conflict diamonds from the trade.  On December 1, 2000, the UN General Assembly adopted a resolution that endorsed the Kimberley Process and urged participants to develop proposals for minimum acceptable standards of certification.  State also organized an interagency working group to vet the positions put forth by the U.S. delegation to the Kimberley plenary meetings.  We have maintained contact with NGO's to keep them informed of our views and have worked with congressional staff to ensure that proposed legislation dovetails with the system being developed by Kimberley participants.  Conflict Diamonds Diplomacy is an important element in the U.S. effort to resolve existing conflicts in Africa and prevent diamond sales from financing weapons purchases for rebel groups in future conflicts.  Its success will be measured by the extent to which conflict diamonds remain outside legitimate channels of trade.


Performance Indicator

FY '00 Actual

FY '01 Target

FY '01 Actual

Dayton Arms Control

Articles II and IV Agreements are being satisfactorily implemented; Article V negotiations proceeding at a deliberate pace.

Improved implementation of Articles II and IV, with successful Review Conference for Article II; Article V agreement reached which protects U.S. equities.

Implementation of Article II continues to improve, marked by increased cooperation between the Bosnian entities.  A major effort was started this year to undertake an international audit of the Federation defense budget, an important step in improving transparency of military budgets in Bosnia. The report was presented to the Organization for Security and Cooperation in Europe (OSCE) in November 2001.  The Review Conference in February 2001 carefully reviewed implementation and took nine decisions to improve it.  We had mixed results in our attempts to improve implementation of the Article IV Agreement.  For the first time, the State of Bosnia-Herzegovina was able to report information on the newly established State Border Service.  However, Republika Srpska refused to allow the State of Bosnia-Herzegovina to conduct inspections.  We will continue to work with the OSCE to improve implementation of both Agreements, since they contribute to security and stability in the Balkans.  The Article V negotiations ended in July 2001.  The Concluding Document is an exhortative document that urges all participants, but particularly the states in Southeast Europe, to cooperate more in a variety of arms control areas.  We succeeded in ensuring that the Concluding Document is essentially a list of suggestions not requirements, thus protecting U.S. interests in the region.

Verification

Source:  Department of State/AC Bureau; OSCE and USOSCE reporting

Storage:  Department of State/AC Bureau files

Performance Indicator

FY '00 Actual

FY '01 Target

FY '01 Actual

The situation along and near the Kashmir Line of Control

Continued military action by both sides along the line of control.

India and Pakistan are honoring a cease-fire along the line of control.

Cease-fire generally held throughout FY '01.

Verification

Reporting of U.S. Missions in Islamabad and New Delhi

Countries

Worldwide

Lead Agency

Department of State


Partners

  • Department of State:  AF, EAP, EUR, NEA, SA, WHA, H, AC, DRL, EB, ECA, IIP, IO, INL, NP, OES, PA, PM, PRM, S/P, PICW, S/WCI, VC
  • Other U.S. Government:  Commerce, Drug Enforcement Administration, Department of Defense, Department of Energy, Environmental Protection Agency, Federal Bureau of Investigation, Peace Corps, Treasury, U.S. Agency for International Development, U.S. Trade Representative
  • Multilateral: Association of South East Asian Nations, Economic Community of West African States, European Union, Organization of American States, Organization of African Unity, Organization for Economic Cooperation and Development, Organization for Security and Cooperation in Europe, North Atlantic Treaty Organization, Southern African Development Community, United Nations, World Trade Organization
  •   Nongovernmental organizations:  International financial institutions, media, and corporations



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