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OEA/Ser.G
CP/RES. 829 (1342/02)
6 November 2002
Original: Spanish |
CP/RES. 829 (1342/02)
ADOPTION OF THE
GUIDELINES ON DEVELOPING
NATIONAL DEFENSE POLICY AND DOCTRINE PAPERS
THE PERMANENT COUNCIL OF THE ORGANIZATION OF AMERICAN STATES,
RECALLING:
That, through resolution AG/RES. 1801 (XXXI-O/01), "Confidence- and
Security-Building in the Americas," the General Assembly requested the
Permanent Council to hold, through the Committee on Hemispheric Security,
"a seminar on preparing defense policy and doctrine papers, in
coordination with the Inter-American Defense College and other institutions
that specialize in this subject, and to present a report which will serve as
the basis for the development of general guidelines for said papers";
That in resolution AG/RES. 1879 (XXXII-O /02), "Confidence- and
Security-Building in the Americas," the General Assembly again referred to
these Guidelines prepared by the Permanent Council and requested it to transmit
them "for the consideration of the Fifth Conference of Defense Ministers
of the Americas, to be held in Santiago, Chile, in November 2002";
CONSIDERING that, on April 22, 2002, the Committee on Hemispheric Security held
the seminar mandated by the General Assembly and that this Committee has
continued its deliberations on this topic with a view to completing its
development of the Draft Guidelines prior to the aforementioned Fifth
Conference of Defense Ministers of the Americas;
BEARING IN MIND that the conferences of Santiago and San Salvador on confidence-
and security-building measures, held in 1995 and 1998, respectively, recognized
fostering the development and exchange of information on national defense
policies and doctrine as a confidence- and security-building measure; and
HAVING SEEN the report of the Chair of the Committee on Hemispheric Security
regarding the Guidelines on Developing National Defense Policy and Doctrine
Papers,
RESOLVES:
1. To adopt the Guidelines on Developing National
Defense Policy and Doctrine Papers presented by the Committee on Hemispheric
Security, attached to this resolution.
2. To transmit these Guidelines to the Fifth Conference
of Defense Ministers of the Americas.
3. To urge member states to implement these Guidelines
and to report thereon to the Organization.
4. To ask the General Secretariat to lend support to
member states requesting assistance in implementing these Guidelines.
5. To request the General Secretariat to transmit this
resolution and the adopted Guidelines to the United Nations Secretary-General
and to the Chairman of the Inter-American Defense Board and Inter-American
Defense College.
APPENDIX
GUIDELINES ON DEVELOPING NATIONAL DEFENSE POLICY AND DOCTRINE PAPERS
("WHITE PAPERS")
The countries of the Americas have identified the development and sharing of
national Defense White Papers as a useful confidence- and security-building
measure for the promotion of security in the Hemisphere. This paper is intended
to provide a brief outline of essential characteristics of Defense White Papers
and to explain the rationale and the process for their development. A listing
of elements commonly contained in White Papers is also provided.
It is important to note that there is no agreed standard format for White Papers
in the Americas. This is perhaps a logical reflection of the differing
historical, geographical, cultural, political and fiscal contexts in which the
countries of the Americas define their security threats and defense objectives,
capabilities and constraints. However, there are elements which are common to
many White Papers. This paper focuses on basic principles and raises issues
that Governments could usefully consider in the formulation of their own White
Papers, based on the experience of OAS Member States which have already
undertaken that process.
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The Defense White Paper: Essential Characteristics
A Defense White Paper is a key policy document which provides the Government's
vision for defense. It is a public document which outlines the broad strategic
policy framework for defense planning, with a medium term outlook. It is not
intended to be re-drafted every year or two, but rather to provide sufficient
perspective to enable multi-year budgeting and planning. It should be designed
to be flexible enough to take into account minor changes in the security
environment. A new White Paper is normally prepared in response to major
changes in the strategic environment or to signal important shifts in
Government priorities.
A Defense White Paper is produced after extensive consultation both within and
outside Government. It aims to reflect a broadly based consensus about the
appropriate role for the defense forces for that country, within the context of
that country's national priorities, legal framework, and resources.
A White Paper sets out the Government's analysis of the country's security
environment, both domestically and internationally. This may include an
assessment of both traditional and non-traditional security threats and
factors. The document highlights issues of greatest priority for that country,
and provides an overview of how defense policy will be implemented to meet
those security challenges. It also describes, in broad terms, current and
planned capabilities and roles of the defense forces.
A Defense White Paper is also an instrument of accountability. It is essential
that the policy and objectives contained in the White Paper make reference to
and are consistent with the resource levels which will be made available to the
defense forces by the Government. White Papers may contain performance
measurements (for example, target dates for the restructuring of the armed
forces, or maximum time-frames for deployment of a specific military asset).
This holds the Ministry of Defense and the Armed Forces accountable to stated
objectives -and also enables them to argue for the budgetary resources required
to attain that level of performance in fulfillment of the Government's defense
policy.
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The Benefits and Advantages of Preparing a Defense White Paper
The preparation of a Defense White Paper is, in and of itself, a fundamental
exercise in democracy. The process requires extensive cooperation across
civil/military lines. The consultation between and among the political
leadership, government ministries, the military, and the public promotes a
broad awareness of the functions and value of the armed forces. The final
product of this process thus confers greater democratic legitimacy on the
national defense policy than if it were created without debate and
consultation.
As a public document, a White Paper explains what roles the armed forces play,
and why these roles are important to citizens. It helps build a public
constituency which will act to support the continued funding of the defense
budget in the face of pressures from competing national policy interests.
As a Government policy, a White Paper gives coherent instruction to the Ministry
of Defense and the military about Government expectations for their roles. It
also provides the rationale and authority for the allocation of resources to
the defense forces, and legitimizes the spending of public funds for that
purpose.
Because of its strategic perspective, a White Paper is an important tool for the
justification of budgetary resources over a multi-year time-frame. The
assurance of predictable funding in turn is a significant aid in ongoing
defense planning processes.
Defense White Papers have also been identified as important confidence- and
security-building measures. The preparation and distribution of White Papers
increase transparency not only in the domestic context, but also
internationally. Consultation with allies, neighbors and regional and other
international partners who may be affected by the White Paper policy is
especially important in terms of ensuring that a country's intentions are not
misinterpreted. Sharing of White Papers also encourages a constructive policy
dialogue on changes in the security environment and the assessment of
traditional and non-traditional threats, as well as on evolving trends in
defense policy and planning among military officers and defense officials from
different nations.
Policy context:
A Defense White Paper is a fundamental expression of national policy. The final
product is a statement of Government policy, not simply of the Ministry of
Defense or the Armed Forces. The White Paper policy must be consistent with the
Government's overall agenda, priorities and objectives, including foreign
policy. Clearly, a White Paper must also respect the country's Constitution and
legal framework.
Budgetary issues are a critical part of the domestic policy debate. A White
Paper must address resource issues, as the availability of funding for capital,
operational and personnel expenditures will determine whether or not the
defense forces will be able to fulfill their stated objectives.
With respect to the international policy context, a White Paper confirms the
country's bilateral, regional and multilateral obligations and commitments.
Again, these functions also have resource implications that must be taken into
account in the budgetary planning process.
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Consultation of key players:
The development of a White Paper is a consultative process which is led by the
Government at the highest levels. The Government-the elected political
executive-has the primary responsibility for setting directions with respect to
national policy. It is therefore the Government which provides the political
leadership for the development of the White Paper and which filters the
interests, demands and pressures of all stakeholders in order to take decisions
on their relative priority within the broader Government agenda.
To make informed choices, the Government may draw on the recommendations and
input from relevant Ministries, as well as on the advice of Parliamentary or
Congressional Committees. The views of the general public, non-governmental
organizations, industry, academia, think-tanks and international partners are
also relevant to the process, and the Government and the Defense Ministry can
take the initiative to engage these groups at several different stages in the
development of the White Paper.
The Defense Minister is central to the development of the defense vision and
agenda. The senior hierarchy of the Ministry and of the Armed Forces provide
the Minister with policy analysis and military advice. Their recommendations
must take into account the Government's assessment of the strategic
environment, the defense needs of the country, the Government's agenda and
priorities, and the available resources. This input is based both on internal
assessments and on consultations with officials from other government
Ministries as well as outside experts. Modern communications technology creates
possibilities for very open consultation, through the creation, for example, of
websites where members of the public can post their views.
The Foreign Ministry is closely consulted throughout the development of the
White Paper, as defense policy must be consistent with and supportive of the
country's foreign policy objectives. The Foreign Ministry often also acts as a
conduit for the views of international partners.
A number of other Ministries or sub-national jurisdictions (states, provinces)
may also have a direct interest in the consultations, particularly in instances
where the armed forces provide a substantive service to those Ministries or
jurisdictions, often in non-traditional fields. For example, the maritime
surveillance capability of the armed forces may be needed to enable other
Ministries to achieve their mandates in fisheries protection, drug
interdiction, humanitarian assistance, or environmental protection.
Consultation with the central agencies responsible for the national budget and
expenditures (for example, Privy Council Office or Ministry of the Presidency,
Finance Ministry, Treasury, etc) is essential to defining the resource
constraints within which the defense policy must be accomplished. In this vein,
almost all Ministries will have an indirect interest in the White Paper,
insofar as resources made available to the Defense budget will affect the
amount of resources remaining to fund other Ministries.
Members of Parliament or Congress usually play a strong role in the development
of White Papers. Committees may meet to hear from military leaders and public
officials of different Ministries, as well as from non-governmental defense and
security policy specialists, academics, and members of the public. Committee
members may also travel to different parts of the country or abroad for
consultations, and hold public hearings or town hall meetings. Such mechanisms
encourage not only a wide public debate, but also involve political leaders who
are not in the governing party, to participate in the formulation of the
national policy. Moreover, this process often results in extensive media
coverage, thereby promoting greater national awareness about the policy review.
In addition to participating in consultations initiated by the Government or its
Defense Ministry, representatives of the private sector may also be very
proactive about including their views in the public debate and the policy
process through other channels. Think-tanks, academics, industry
representatives, non-governmental organizations and others may organize
conferences, give interviews, publish articles in the mass media or specialized
press, write to elected officials, and otherwise lobby for a particular
interest in the formulation of the White Paper.
The concerns of international partners which have an interest in or may be
affected by the White Paper should also be taken into account. Consultations
may be carried out with allies or neighbors with which the State has bilateral
or regional treaties or agreements. Further, if the White Paper involves
support to international peace and security objectives of multilateral
organizations, such as the United Nations, these too, should be involved in the
consultative process.
The specific mechanisms for consultations will vary from country to country,
depending on national structures, policies and practices. It is the
Government's responsibility to determine how it will organize and coordinate
the overall consultation processes in order to formulate a coherent Defense
White Paper that adequately addresses the country's domestic and international
security interests.
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The Content: Elements Commonly Contained in White Papers
The following is a compilation of elements which are commonly contained in White
Papers, and provides a suggested outline for organizing those elements.
I. Defense policy and doctrine
A. Assessment of the security environment and the
domestic context:
This includes a description of the global, regional and national security
environment. Increasingly, the assessment is based on a multidisciplinary
concept of security, and includes both traditional and non-traditional threats
and factors affecting the security of the country and its citizens.
A description of the domestic context (overall government priorities, budgetary
issues) may also be included as it provides the framework within which
decisions about defense policy and implementation will be made.
B. Strategy to respond to perceived threats and meet
international commitments
This section lays out the broad policy approach which the Government, through
its Defense Ministry and Armed Forces, will take in order to respond to the
threats and security concerns outlined in its assessment of the security
environment.
C. Roles and missions of the Armed Forces
While the roles and missions of the Armed Forces have traditionally encompassed
the protection of the State, its territory and citizens from outside
aggression, there is now a trend toward inclusion of non-traditional roles as
well, including assistance to other government ministries. For example, aerial
and maritime surveillance capabilities can provide significant support to
enable Ministries responsible for fisheries, environment, immigration, customs,
drug interdiction, search and rescue, etc., to fulfill their mandates.
Another key consideration is whether the Government wishes to use the
capabilities of its Armed Forces to strengthen international peace and
security. Support of this kind may cover a wide range of roles, including, for
example, providing troops for peacekeeping or peace-building initiatives,
operational support for humanitarian assistance in post-conflict or natural
disaster situations, or military advice and expertise to support international
arms control regimes or agreements.
These roles will differ from country to country, depending on the Government's
strategic assessment, legal framework, history, geography, and national
consensus about the appropriate role for the Armed Forces.
II. Capabilities
This section provides a description of the current and planned capabilities of
the Armed Forces. As noted previously, it is useful to include performance
standards in the statement of capabilities, as such indications facilitate
accountability.
III. Budget and resource issues
Financial and human resource considerations are critical to the ability of the
Ministry of Defense and the Armed Forces to achieve the Government's
objectives. For this reason, it is important that the commitment to provide
stated capabilities be supported by a sound financial and personnel plan.
IV. Future directions: Defense force modernization,
major weapons acquisitions, etc.
An indication of any planned major changes -restructuring of the defense forces,
significant increase or decrease in personnel, major weapons acquisitions or
other decisions which will have an important impact on the policies or
capabilities of the defense forces- should be highlighted in the Defense White
Paper. Transparency in these decisions is extremely useful as a confidence and
security building measure.
V. Defense military structure
An outline of the defense military structure is also a useful transparency
measure.
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