NATO LEGAL DESKBOOK

Second Edition

2010

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Disclaimer

The content of this publication represents research by its authors and is not an official

statement of NATO.

Re-production and use of the whole document or portions are permitted for official

training purposes provided that attribution is made to the original document.

This publication contains no classified information.

The NATO reference documents quoted in this publication may not always be

available to non-NATO readers.

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Foreword to the Reader

Dear Reader,

This is the Second Edition of the NATO Legal Deskbook, a revised, updated and re-

structured version of the 2008 Edition.

We try to provide as much information as possible realizing that the Deskbook needs

continuous review.

In the next edition, expected in 2011, we plan to include among others the following

topics: interpretation of Article 5, maritime operations, counter-insurgency, targeting, direct

participation in hostilities, private military and security companies, gender issues, etc.

Your suggestions, proposals, corrections, and updates are most welcome. Please send

them to the following email addresses:

Mr Sherrod Lewis Bumgardner Sherrod.bumgardner@shape.nato.int Legal Adviser ACT Staff Element Europe B-7010 SHAPE Belgium

LTC Zoltn Hegeds zoltan.hegedus@shape.nato.int Assistant Legal Adviser ACT Staff Element Europe

Mrs Dominique Palmer-DeGreve dominique.degreve@shape.nato.int Legal Assistant ACT Staff Element Europe B-7010 SHAPE Belgium

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Authors and contributors

of the Second Edition of the NATO Legal Deskbook:

Mr Sherrod Lewis Bumgardner (co-editor, Part I, II, III)

Cmdr Giorgio Cassatella (Part IX)

Mr Ian Clark (proofreading)

Ms Andre Clemang (Part VIII)

Mr Monte DeBoer (Part VII)

Mr Jason Scott Duey (proofreading, formatting)

Ms Susi Frschler (overall review)

Mr Sylvain Fournier

Mr Bjrn Griebel (overall review)

Mr Ulf-Peter Haeussler

LTC Zoltn Hegeds (Editor-in-Chief,

Part I, III, V, VI, X, XI, XII, XIII, Annexes)

LTC Stein W. Johannessen (Part XIII)

Mr Sylvain Lavoie

Col Kevin Luster

Ms Janine Miltz (Part III, V)

Mr Andrs Muoz Mosquera

Mr Frederik Naert (Part XV)

Mrs Dominique Palmer-DeGreve (co-editor)

Mrs Mette Prass Hartov (Part IV, V, XIV)

Mr Stephen A. Rose (Part VII)

Ms Nicoline Swinkels (Part II, III, V, VI, XII, XIV, XVII, Annexes)

Ms Annabelle Thibault (overall review)

Ms Klara Tothova (Part III, V, VI, X, and overall review)

Ms Katharina Ziolkowski

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SUMMARY OF TABLE OF CONTENTS

INTRODUCTION

ABBREVIATIONS USED IN THE DESKBOOK

PART I THE DEVELOPMENT AND ORGANIZATION OF NATO AND THE OVERVIEW OF NATO BODIES

PART II DECISIONMAKING AND DOCUMENT MANAGEMENT

PART III INTRODUCTION TO THE LAW OF INTERNATIONAL ORGANIZATIONS AND TO KEY NATO LEGAL DOCUMENTS

PART IV KEY NATO LEGAL DOCUMENTS ON THE STATUS OF FORCES AND HEADQUARTERS

PART V TREATY LAW, INTERNATIONAL AGREEMENTS AND NATO PRACTICE

PART VI LEGAL SUPPORT IN NATO

PART VII PERSONNEL

PART VIII OVERVIEW OF NATO PROCUREMENT, LOGISTICS OR SERVICE ORGANIZATIONS

PART IX NATO RESOURCES AND FINANCIAL MATTERS

PART X LOGISTICS

PART XI LEGAL FRAMEWORK AND LEGAL BASIS OF MILITARY OPERATIONS

PART XII INTRODUCTION TO THE LAW OF ARMED CONFLICT AND RULES OF ENGAGEMENT

PART XIII ISSUES IN OPERATIONS: SPECIAL OPERATIONS FROM A LEGAL PERSPECTIVE

PART XIV ISSUES IN OPERATIONS: CLAIMS

PART XV EU CRISIS MANAGEMENT OPERATIONS AND THEIR RELATIONS WITH NATO OPERATIONS

PART XVI HUMAN RIGHTS IN MILITARY OPERATIONS

PART XVII ENVIRONMENTAL PROTECTION

ANNEX I LIST OF NATO TREATIES

ANNEX II TREATIES AND CONVENTIONS IN THE LAW OF ARMED CONFLICT

ANNEX III LINKS FOR LOAC WEBSITES

ANNEX IV DETAILED LAW OF ARMED CONFLICT & OTHER ISSUES ORGANIZED BY OPORD ANNEXES

ANNEX V RECOMMENDED FORMAT FOR LEGAL ADVISERS AFTER ACTION REPORT

ANNEX VI EXAMPLES OF THE USE OF FORCE BASED ON OF SELF-DEFENCE

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TABLE OF CONTENTS

Introduction ............................................................................................................... 21

Why a NATO Legal Deskbook? ..................................................................................... 21

What this Deskbook is not: ............................................................................................ 22

What this Deskbook is: ................................................................................................... 22

Abbreviations ............................................................................................................ 25

PART I THE DEVELOPMENT AND ORGANIZATION OF NATO AND THE OVERVIEW OF NATO BODIES ................................................................... 31

A. A BRIEF HISTORY OF NATO ............................................................................ 33

B. NORTH ATLANTIC COUNCIL (NAC) AND THE INTERNATIONAL STAFF (IS) ........................................................................................................................ 34

1. Organizational Structure ................................................................................................. 35 2. NATO Staff ........................................................................................................................ 35 3. National Staffs and Representatives .............................................................................. 36

C. MILITARY COMMITTEE (MC) AND INTERNATIONAL MILITARY STAFF (IMS) .................................................................................................................... 36

1. Military Committee (MC) ................................................................................................ 36 2. The Role of the Chairman ................................................................................................ 37 3. International Military Staff (IMS) ................................................................................... 37

D. THE LEVELS OF INTERNATIONAL MILITARY HEADQUARTERS (IMHQs) ........................................................................................................................... 38

1. Supreme Headquarters .................................................................................................... 38 2. Allied Headquarters ......................................................................................................... 40 3. Other NATO Military Headquarters ............................................................................. 40

E. OTHER TYPES OF ENTITIES IN THE NATO STRUCTURE ...................... 42 1. The NATO School ............................................................................................................. 43 2. Centres of Excellence ........................................................................................................ 43

PART II DECISIONMAKING AND DOCUMENT MANAGEMENT ........... 45

DECISION MAKING .................................................................................................... 47

DOCUMENT MANAGEMENT ................................................................................... 50

A. BACKGROUND ..................................................................................................... 50

B. NATO HQ ON THE WIDE-AREA NETWORK ............................................... 50 1. NATO HQ Home page on the NATO Wide-Area Network (WAN) ........................ 50 2. Identifying and Obtaining Copies of Pertinent NATO HQ Documents ................... 51

C. THE NATO DOCUMENT MANAGEMENT SYSTEM (DMS) .................... 51

D. DOCUMENTS ........................................................................................................ 52 1. NAC and International Staff (IS) Documents ............................................................... 52 2. Military Committee (MC) and International Military staff (IMS) Documents ......... 55 3. IMS Generated Documents ............................................................................................. 55 4. Military Committee Generated Documents .................................................................. 56 5. IMS support documents .................................................................................................. 56 6. Status of IMS documents ................................................................................................. 56

E. MC AND IMS STAFF PROCEDURES ............................................................... 57 1. Issue Consideration .......................................................................................................... 57 2. Military Committee Actions Common Military Committee actions on an issue or proposal are: ............................................................................................................................... 57

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F. EXAMPLES OF NATO HQ STAFFING ............................................................. 57

G. MILITARY COMMAND DIRECTIVES AND POLICIES ............................. 61

H. STANDARDIZATION PROCEDURES............................................................. 63 1. STANAG Features ............................................................................................................ 63 2. Allied Publication (AP) Features: ................................................................................... 64 3. Standardization Publications on the NATO WAN ...................................................... 65

PART III INTRODUCTION TO THE LAW OF INTERNATIONAL ORGANIZATIONS AND TO KEY NATO LEGAL DOCUMENTS ................ 67

A. GENERAL INTRODUCTION TO THE LAW OF INTERNATIONAL ORGANIZATIONS ........................................................................................................ 69

1. Internal law........................................................................................................................ 69 2. External law ....................................................................................................................... 69 3. General international law ................................................................................................ 70 4. National law ...................................................................................................................... 70

B. OVERVIEW OF NATO LEGAL FRAMEWORK .............................................. 70

C. THE TREATY PILLARS: ....................................................................................... 72 1. First pillar Agreements attached to the Washington Treaty .................................... 72 2. Second pillar - Status of NATO and the national representatives ............................. 72 3. Third pillar Status of forces and headquarters .......................................................... 73 4. Fourth Pillar Partnership for Peace ............................................................................. 73

D. GENERAL INTRODUCTION TO THE LEGAL PERSONALITY OF INTERNATIONAL ORGANIZATIONS ................................................................... 74

1. Legal personality on international level ........................................................................ 74 2. Legal personality on non-international level ................................................................ 76

PART IV KEY NATO LEGAL DOCUMENTS ON THE STATUS OF FORCES AND HEADQUARTERS .......................................................................................... 79

A. INTRODUCTION .................................................................................................. 81

B. NATO SOFA ........................................................................................................... 82 1. Preamble ............................................................................................................................ 82 2. Article I ............................................................................................................................... 83 3. Article II ............................................................................................................................. 86 4. Articles III VI .................................................................................................................. 88 5. Article VII Criminal jurisdiction [to be developed] .................................................. 90 6. Article VIII Claims [to be developed] ......................................................................... 90 7. Articles IX XI Support to be provided by the receiving State and fiscal privileges ..................................................................................................................................... 90 8. Article XII XV Cooperation regarding customs and fiscal regulations ............... 95 9. Articles XVI XX Final clauses and territorial application ...................................... 95 10. Signature of the Agreement ............................................................................................ 98

C. PARIS PROTOCOL ............................................................................................... 99 1. Purpose and preamble ..................................................................................................... 99 2. Key Definitions and Terms Articles 1 - 3 .................................................................. 100 3. Rights and Obligations of International Military Headquarters Article 4 ........... 101 4. ID cards Article 5 ......................................................................................................... 102 5. Claims Article 6 ............................................................................................................ 102 6. Taxation Articles 7 and 8 ............................................................................................ 103 7. Disposal of International Military Headquarters Assets .......................................... 105 8. Juridical Personality and Immunities .......................................................................... 105 9. Budget and Currency Matters Article 12 .................................................................. 106 10. Other Provisions ............................................................................................................. 106

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D. SUPPLEMENTARY AGREEMENTS ................................................................ 108

E. AGREEMENTS IN THE PARTNESRHIP FOR PEACE FRAMEWORK ... 109

PART V TREATY LAW, INTERNATIONAL AGREEMENTS AND NATO PRACTICE ............................................................................................................... 111

A. INTRODUCTION TO THE TREATY LAW .................................................... 113 1. Definition of treaty ......................................................................................................... 113 2. States and international organizations ........................................................................ 114

B. TREATY MAKING POWER OF INTERNATIONAL ORGANIZATIONS 115

C. TREATY EXAMPLES IN THE NATO CONTEXT AND IN THE DEFENCE FIELD ............................................................................................................................... 116

D. CONCLUSION AND ENTRY INTO FORCE OF TREATIES ..................... 117 1. Adoption of the text of a treaty ..................................................................................... 117 2. Consent to be bound by a treaty ................................................................................... 117 3. Signature .......................................................................................................................... 117 4. Reservations .................................................................................................................... 120 5. Declarations ..................................................................................................................... 120 6. Entry into force ............................................................................................................... 121 7. Key events in a multilateral treaty ............................................................................... 122

E. AMENDMENTS ................................................................................................... 122

F. TERMINATION OF TREATIES ....................................................................... 123 1. Withdrawal or denunciation ......................................................................................... 123 2. Termination ..................................................................................................................... 123

G. REGISTRATION .................................................................................................. 124

H. DEPOSITING AN INTERNATIONAL TREATY .......................................... 125

I. APPLICATION OF TREATIES ......................................................................... 125

J. INVALIDITY OF TREATIES ............................................................................. 126

K. MEMORANDA OF UNDERSTANDING ....................................................... 127

L. DIFFERENTIATION BETWEEN TREATIES AND MOUs ......................... 127

M. SUMMARY OF THE BI-SC DIRECTIVE 15-3 ON THE PREPARATION AND CONTROL OF INTERNATIONAL AGREEMENTS .................................. 129

N. STRUCTURE OF THE AGREEMENTS, MOUs AND SOURCES OF TEMPLATE MOUs ....................................................................................................... 130

1. Structure of an agreement ............................................................................................. 130 2. Other templates............................................................................................................... 131

O. DIFFERENT LEVELS OF AUTHORITY OF NATO ENTITIES TO ENTER INTO INTERNATIONAL AGREEMENTS ............................................................. 131

P. RESPONSIBILITIES OF THE LEGAL ADVISER ......................................... 132

PART VI LEGAL SUPPORT IN NATO ............................................................. 135

LEGAL ADVISERS WITHIN NATO ........................................................................ 137

A. BACKGROUND ................................................................................................... 137

B. SUMMARY ON THE BI-SC DIRECTIVE 15-23 POLICY ON LEGAL SUPPORT (23 July 09) .................................................................................................. 138

C. NATOs LEGAL ADVISER STRUCTURE ...................................................... 139

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1. Legal Adviser in the International Staff (IS) ............................................................... 139 2. Legal Adviser in the International Military Staff (IMS) ............................................ 139 3. Legal Advisers at the Strategic Commands ................................................................ 139 4. Legal Advisers at the Component and Subordinate Commands ............................ 139

D. COORDINATION BETWEEN NATO LEGAL OFFICES ............................ 139

E. MISSION OF THE LEGAL ADVISER ............................................................. 140 1. NATO Legal Advisers ................................................................................................... 140 2. Roles of Legal Advisers ................................................................................................. 141 3. Operating Environment ................................................................................................. 141

F. FUNCTIONS AND TASKS ................................................................................ 142 1. Policy ................................................................................................................................ 142 2. Adviser Functions and Tasks of Legal Advisers ........................................................ 142 3. Functions and Tasks of Strategic Command Legal Advisers ................................... 144

LEGAL ADVISERS ROLE IN OPERATIONAL PLANNING AND EXECUTION .................................................................................................................. 145

TRAINING OF LEGAL ADVISERS IN GENERAL ............................................... 148

A. REQUIREMENTS ................................................................................................ 148

B. COLLECTIVE TRAINING AND EXERCISES ............................................... 148

C. COURSES AND OTHER TRAINING WITHIN NATO ............................... 149 1. Courses at the NATO School ........................................................................................ 149 2. Other recommended NATO School courses ............................................................... 149 3. Other training events ..................................................................................................... 149

D. COURSES AND OTHER TRAINING PROVIDED BY OTHER THAN NATO INSTITUTIONS ............................................................................................... 150

E. PARTICIPATION IN TRAINING AND EXERCISES .................................. 151 1. Background ..................................................................................................................... 151 2. External Legal Support to Exercise Phases ................................................................. 152 3. Sourcing Legal Support to Exercises ............................................................................ 153 4. Preparing the Legal Community for Exercise Support ............................................. 155

F. TRAINING THE LAW OF ARMED CONFLICT: THE NATO PERSPECTIVE ............................................................................................................... 155

1. Introduction ..................................................................................................................... 155 2. Applicable Standardization Agreements .................................................................... 156 3. NATO Rules of Engagement, MC 362/1 ..................................................................... 157 4. NATO Doctrine ............................................................................................................... 158 5. Conclusion ....................................................................................................................... 159

THE ROLE OF LEGAL ADVISERS IN CIVIL-MILITARY COOPERATION (CIMIC) ORGANIZATIONS ...................................................................................... 160

1. Introduction ..................................................................................................................... 160 2. Rule of Law Operations ................................................................................................. 160 3. Legal Advice and Services ............................................................................................. 161 4. LEGAD Core Competencies and Operational Law ................................................... 161 5. Specialized Knowledge and Skills for Rule of Law Operations ............................... 161

PART VII PERSONNEL ....................................................................................... 163

A. OVERVIEW OF CIVILIAN PERSONNEL ...................................................... 165 1. References ........................................................................................................................ 165 2. Personnel Categories ...................................................................................................... 165

B. STANDARDS OF CONDUCT FOR CIVILIAN PERSONNEL .................. 168

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1. Overview ......................................................................................................................... 168 2. General Guidelines ......................................................................................................... 169 3. Political Activities ........................................................................................................... 169 4. Communicating with the Media .................................................................................. 170 5. Outside Employment ..................................................................................................... 170 6. Proprietary Rights .......................................................................................................... 170

C. MILITARY PERSONNEL ................................................................................... 170 1. Disciplinary Authority ................................................................................................... 170 2. Administrative Authority .............................................................................................. 170

D. NATO INTERNATIONAL CIVILIANS .......................................................... 170 1. Recruitment and Separations ........................................................................................ 171 2. Basic requirements for NATO international civilians ............................................... 171 3. Deployment of Civilians ................................................................................................ 172 4. Discipline ......................................................................................................................... 173 5. Complaints ...................................................................................................................... 173 6. Complaints Committee Membership .......................................................................... 176 7. Role of the Complaints Committee .............................................................................. 176 8. Timelines .......................................................................................................................... 176 9. Petition to the Head of NATO Body ............................................................................ 177 10. Appeals ............................................................................................................................ 178 11. Appeals Board Hearing ................................................................................................. 180 12. Privileges ......................................................................................................................... 181 13. Investigations .................................................................................................................. 183

PART VIII OVERVIEW OF NATO PROCUREMENT, LOGISTICS OR SERVICE ORGANIZATIONS .............................................................................. 185

A. INTRODUCTION ................................................................................................ 187

B. NATO CHARTER DOCUMENTATION C-M(2009)0079 .......................... 188 1. NATOs legal position based upon the Ottawa Agreement ..................................... 188 2. Charter ............................................................................................................................. 188 3. The Regulations .............................................................................................................. 188 4. Contracting ...................................................................................................................... 188 5. Arbitration clause ........................................................................................................... 189 6. Organizational ................................................................................................................ 189 7. Advisory Committees .................................................................................................... 190 8. Agency ............................................................................................................................. 190 9. General Manager ............................................................................................................ 190 10. Relationship NPLSO-NATO ......................................................................................... 190 11. Dissolution ....................................................................................................................... 191

C. RELATIONS WITHIN NATO ........................................................................... 192

D. SEAT AGREEMENTS ......................................................................................... 193 1. Immunities and privileges............................................................................................. 193 2. Social security .................................................................................................................. 193 3. Labour .............................................................................................................................. 193

PART IX NATO RESOURCES AND FINANCIAL MATTERS ...................... 195

A. NATO FINANCIAL FRAMEWORK ................................................................ 197

B. SOURCE OF INTERNATIONAL FUNDS ...................................................... 199

C. TYPES OF NATO FUNDING ............................................................................ 199 1. National Funding ........................................................................................................... 199 2. Multinational Funding ................................................................................................... 199 3. Multinational Funding: (Proper) .................................................................................. 200 4. Joint Funding ................................................................................................................... 200

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5. Common Funding .......................................................................................................... 201 6. The NATO Security Investment Programme (NSIP) ................................................. 203 7. The Civil Budget ............................................................................................................. 203 8. The Military Budget ....................................................................................................... 204 9. Non-Appropriated Funds (NAF) ................................................................................. 205 10. Ad Hoc Arrangements ................................................................................................... 205

D. NATO POLICY FOR CONTINGENCY OPERATIONS ............................... 206 1. Traditional funding eligibility under PO(2000)16 ...................................................... 206 2. Expanded common funding eligibility under PO(2005)0098 ................................... 207

E. OTHER RELEVANT NATO DOCUMENTS REGARDING FINANCIAL MATTERS ...................................................................................................................... 208

1. NATO SOFA ................................................................................................................... 208 2. Paris Protocol .................................................................................................................. 209 3. Ottawa Agreement ......................................................................................................... 209

F. HOST NATIONS SUPPORT ARRANGEMENTS ........................................ 209

G. FINANCIAL APPROVAL REQUIREMENTS ................................................ 211

H. MOU APPROVAL PROCEDURES ................................................................... 212

I. AVAILABLE TEMPLATES ................................................................................ 212

J. USING EXISTING MULTINATIONAL ARRANGEMENTS AS TEMPLATES .................................................................................................................. 213

K. NATO NEGOTIATION POLICY ...................................................................... 213

L. NEGOTIATING PRACTICE .............................................................................. 214 Appendix 1 to Part II (Financial Issues) - ACO Directives (Financial) ............................. 215 Appendix 2 to Part II (Financial Issues) - ACT Directive 60-1 ........................................... 216 Appendix 3 to Part II (Financial Issues) - New Cost Share Percentages........................... 217 Appendix 4 to Part II (Financial Issues) Host Nation Support Services the CAOC deal ........................................................................................................................................... 218

PART X LOGISTICS ............................................................................................. 219

A. INTRODUCTION ................................................................................................ 221

B. AGREEMENT HIERARCHY SUPPORTING HOST NATION SUPPORT (HNS) ............................................................................................................................... 222

1. The Planning Process in General .................................................................................. 222 2. The Planning Process Stages ......................................................................................... 223

C. LEGAL ISSUES IN THE PLANNING PROCESS .......................................... 224

D. LEGAL ISSUES IN THE EXECUTION PHASE ............................................. 225 1. Customs, Border Controls and Taxes .......................................................................... 225 2. Claims............................................................................................................................... 226

E. CONTRACTOR ISSUES ..................................................................................... 226 3. Status of Contractors in military operations ............................................................... 227 4. Financial Issues ............................................................................................................... 228 5. Negotiation Issues .......................................................................................................... 228

PART XI LEGAL FRAMEWORK AND LEGAL BASIS OF MILITARY OPERATIONS ......................................................................................................... 229

A. WHAT LAW TO BE APPLIED? ......................................................................... 231 1. International law ............................................................................................................. 231 2. Domestic law ................................................................................................................... 231 3. Host nation law ............................................................................................................... 232

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4. Law of third States .......................................................................................................... 232 5. Special regulations of the mission ................................................................................ 232

B. LEGAL BASIS OF MILITARY OPERATIONS .............................................. 232 1. Prohibition of use of force ............................................................................................. 232 2. Self defence ...................................................................................................................... 233 3. UN Security Council authorization .............................................................................. 234

C. OTHER FORMS OF LEGAL BASIS FOR THE USE OF FORCE ................ 235 1. Protection of nationals / Non-Combatant Evacuation Operations ......................... 235 2. Consent / invitation of host nation .............................................................................. 236 3. Humanitarian Intervention ........................................................................................... 236

D. CHARACTERIZATION OF THE OPERATION ............................................ 237

E. PEACE OPERATIONS ........................................................................................ 237 1. Peacekeeping Operations .............................................................................................. 238 2. Peace-enforcement Operations ..................................................................................... 240

F. THE NATO CONTEXT ....................................................................................... 241 1. Non Article 5 operations ............................................................................................ 242 2. The decision making process ........................................................................................ 242 3. The example of ISAF ...................................................................................................... 243

PART XII INTRODUCTION TO THE LAW OF ARMED CONFLICT AND RULES OF ENGAGEMENT .................................................................................. 245

A. INTRODUCTION TO THE LAW OF ARMED CONFLICT AND RULES OF ENGAGEMENT ...................................................................................................... 247

1. Sources and Principles of Law of Armed Conflict ..................................................... 247 2. Enforcement of LOAC Principles ................................................................................. 251 3. Criminal Responsibility ................................................................................................. 251 4. Command Responsibility .............................................................................................. 252

B. NATO RULES OF ENGAGEMENT ................................................................. 254 1. ROE in NATO framework: ............................................................................................ 255 2. Terms and Definitions ................................................................................................... 255 3. Self Defence ..................................................................................................................... 256 4. Defence of Property ........................................................................................................ 257 5. Legal Effect of ROE ........................................................................................................ 257

C. PLANNING RULES OF ENGAGEMENT ....................................................... 258 1. Background ..................................................................................................................... 258 2. Basic Principles of LOAC .............................................................................................. 258 3. Rules of Engagement (ROE) .......................................................................................... 258 4. ROE Procedures .............................................................................................................. 260 5. Plain Language ROE ...................................................................................................... 261 6. National ROEs and NATO ROEs ................................................................................. 261 7. Training and dissemination .......................................................................................... 261

PART XIII ISSUES IN OPERATIONS: SPECIAL OPERATIONS FROM A LEGAL PERSPECTIVE .......................................................................................... 263

A. SPECIAL OPERATIONS CHARACTERISTICS ......................................... 265

B. SOF CONDUCT TACTICAL ACTIONS FOR STRATEGIC EFFECTS .... 265

C. SOF TASKS ........................................................................................................... 266

D. THE NATO SPECIAL OPERATIONS HEADQUARTERS (NSHQ) ......... 266

E. LEGAL CONSIDERATIONS ............................................................................. 267

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PART XIV ISSUES IN OPERATIONS: CLAIMS ............................................. 271

A. BOSNIA-HERZEGOVINA AND CROATIA .................................................. 273

B. KOSOVO ............................................................................................................... 275

C. AFGHANISTAN .................................................................................................. 277

D. PAKISTAN ............................................................................................................ 279

E. CURRENT POLICY ............................................................................................. 279

PART XV EU CRISIS MANAGEMENT OPERATIONS AND THEIR RELATIONS WITH NATO OPERATIONS ....................................................... 281

A. THE BASIC FEATURES AND INSTITUTIONAL FRAMEWORK OF THE EUS COMMON SECURITY AND DEFENCE POLICY ....................................... 283

1. Basic features ................................................................................................................... 283 2. Institutional framework ................................................................................................. 286

B. EU NATO RELATIONS ................................................................................... 289 1. The establishment of the WEU and its relations with NATO .................................. 289 2. The development of the EUs security and defence policy with the WEU as defence component of the EU and European pillar of NATO ......................................................... 290 3. The development of a security and defence policy within the EU and direct EU NATO relations ........................................................................................................................ 291 4. The founding decisions of the CSDP ........................................................................... 292

C. LEGAL ASPECTS OF CSDP OPERATIONS .................................................. 294 1. The scope of CSDP operations ...................................................................................... 294 2. List of CSDP operations: ................................................................................................ 294 3. Council decision (previously Council joint action) and launching decision .......... 295 4. Planning, decision-making and command and control ............................................ 295 5. Operation Plan, Rules of Engagement and other operational documents ............. 295 6. Political and Security Committee decisions ................................................................ 296 7. International agreements and arrangements, including on the status of forces/mission .......................................................................................................................... 296 8. The law of armed conflict (LOAC) and human rights law ....................................... 297 9. Financing ......................................................................................................................... 299 10. Transparency ................................................................................................................... 299

D. RELATIONS BETWEEN CSDP OPERATIONS AND NATO .................... 299 1. Operations under the Berlin plus arrangements ........................................................ 299 2. Autonomous operations ................................................................................................ 300

PART XVI HUMAN RIGHTS IN MILITARY OPERATIONS ........................ 301

A. INTRODUCTION ................................................................................................ 303 1. Applicability of Human Rights in Time of Armed Conflict ..................................... 303 2. Extraterritorial Applicability of HR Deriving From International Treaty Obligations ................................................................................................................................ 306 3. Accountability for HR Breaches ................................................................................... 309 4. Concluding Remarks ...................................................................................................... 310

PART XVII ENVIRONMENTAL PROTECTION ............................................. 311

A. INTRODUCTION ................................................................................................ 313

B. LEGAL BASIS ....................................................................................................... 313

C. NATO PRINCIPLES AND POLICIES FOR ENVIRONMENTAL PROTECTION ............................................................................................................... 313

1. Principles ......................................................................................................................... 313

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2. Policies ............................................................................................................................. 314

D. THE NATO ENVIRONMENTAL PROTECTION DOCTRINE ................. 314 1. Planning Guidelines for Military Activities ................................................................ 315 2. Environmental Risk Management ................................................................................ 316 3. Commanders Environmental Responsibilities .......................................................... 316

E. SOLID WASTE MANAGEMENT DURING NATO-LED MILITARY ACTIVITIES ................................................................................................................... 316

1. Principles of Waste Management ................................................................................. 317 2. Waste Management Requirements .............................................................................. 317 3. Responsibilities ............................................................................................................... 318 4. Waste Management Plan ............................................................................................... 318 5. Hazardous Waste ........................................................................................................... 318 6. Health Care Waste .......................................................................................................... 319

F. PETROLEUM, OIL AND LUBRICANTS (POL) ............................................ 319

G. INTERNATIONAL TREATIES ......................................................................... 320 1. The Basel Convention on the Control of Transboundary Movements of Hazardous Wastes and Their Disposal ..................................................................................................... 320 2. The Stockholm Convention on Persistent Organic Pollutants ................................. 320 3. The Convention on International Trade in Endangered Species of Wild Fauna and Flora 321 4. Armed Conflict and the Environment ......................................................................... 321

H. CONCLUSION ..................................................................................................... 322

ANNEX I List of NATO Treaties ......................................................................... 323

ANNEX II Treaties and Conventions in the Law of Armed Conflict ............ 325

ANNEX III Links for LOAC websites ................................................................ 329

ANNEX IV Detailed Law of Armed Conflict & Other Issues Organised by OPORD Annexes ..................................................................................................... 333

ANNEX V Recommended Format for Legal Advisers After Action Report . 343

ANNEX VI Examples of the use of force based on of self-defence .................. 347

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Introduction

NATO leads efforts to bring stability in its ongoing missions in the Balkans,

Afghanistan, and Iraq.

Legal Advisers serve as key members of a Commanders staff in the complex

legal and political environment that NATO operates. The challenges NATO

Commanders and legal adviser face to fulfil mandates, accomplish missions, and

support the rule of law in embryonic and fragile democratic governments requires

discussion, understanding and the documentation of practical solutions.

The NATO Legal Deskbook is published by the Office of the Legal Adviser,

Allied Command Transformation Staff Element Europe (Mons) with the active

support and help of the Office of the Legal Adviser, Headquarters Allied

Commander Transformation (HQ SACT, Norfolk, USA) and the Office of the Legal

Adviser, Supreme Headquarters Allied Powers Europe (SHAPE, Mons, Belgium), as

well as many legal advisers in NATO and in the Member States or in other official or

academic positions outside NATO.

Why a NATO Legal Deskbook?

Two re-occurring themes surface in after-action reports from exercises and

operations. The first is that NATO Commanders and staffs naturally and increasingly

turn to the Legal Advisers to help plan, execute, coordinate, evaluate, and support

the assigned mission. The second is that no single doctrinal resource exists in NATO

to assist legal practitioners in the fulfilling of this task. Although several Alliance

members have produced such guides, before the NATO Legal Deskbook none

existed for Legal Advisers and legal personnel assigned to NATO commands.

Whether doctrinally ready or not, the Alliance calls upon NATO Legal

Advisers and staffs to advise and, often, help direct the execution of the legal

component of a mission or mandate. NATO owes these attorneys, paralegals, and

legal personnel, who work under often austere and demanding conditions, practical

guidance in the form of a comprehensive resource that provides an overview and

insight on the legal regime that forms NATO practice. Fulfilling this need is the

genesis, purpose and rational for this practitioners guide.

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What this Deskbook is not:

This Deskbook is not NATO policy or military doctrine for legal support to

operations.

The Deskbook intends to reflect as closely as possible the policies and practice

of NATO in legal matters, however, the Deskbook is not a formally approved NATO

document and therefore shall not be deemed as reflection of the official opinion or

position of NATO.

The practitioners guide is not intended to offer guidance or advice to other

military professionals involved in operations. It was written by Legal Advisers for

Legal Advisers and legal staff. Its scope and purpose is limited to providing the

military legal subject matter experts assistance in the accomplishment of the mission.

While others may find the guide helpful, they should understand it is not a tutorial.

Fundamental legal principles, standard practices of interpretation, and basic legal

practices are assumed as matters already known by its intended audience: the Legal

Adviser, legal assistant, or paralegal.

This practitioners guide does not offer an all-inclusive formula on how to

advise a NATO commander on any particular aspect of the law, nor is it intended to

supplant national guidance. Instead, the guide pre-supposes that Legal Advisers will

continue to find themselves providing legal support to operations and missions in a

variety of different circumstances, environments, and locations. The guide and its

contents must therefore be flexible and geographically universal in application.

What this Deskbook is:

There was much debate and discussion among the authors of its first edition

(2008) on the final form and content. Was it to use the typical pilots checklist type

of format popular in military circles? Should it follow the traditional after-action

report format and only provide a brief summation of issues faced and the reasons for

the successes and failures of Legal Advisers who have participated in particular

operations? Should it be an introduction and synopsis of the key issues and overall

themes on the current status of the law from the perspective of the national military,

government, and academic circles?

In the end it was decided to combine all three of the above formats. Although

the checklist approach has great utility for the time sensitive and result oriented

military officer acting in accordance with standard procedures or well-known

23

doctrine, the use of such checklists and matrixes, success could not be ensured

without practitioners understanding why they were implementing the measures on

the list.

It was also determined that it would be insufficient to produce a work that

was a mere recitation of recent lessons learned from Legal Advisers who had

participated in operations. While useful for understanding what we have

accomplished (and failed to accomplish) to date standing alone such lessons

identified reports often lack the refinement and comprehensive analysis to truly

assist the legal practitioner.

It was also decided that it would be impractical to make the Deskbook a legal

text to academically debate the pros and cons of the different types and approaches.

While a solid foundation in legal theory is necessary for the insightful and innovative

practitioner, theory without practice is faith without works empty and

meaningless.

It is hoped that the NATO Legal Deskbook will serve as an educational

resource for Legal Advisers and staff who are preparing to practice in the field. Even

if the guide only serves as an introductory resource to further their professional

education on the topic it will have served a vital purpose.

Finally, it is also hoped that the introduction of this guide will serve as a

catalyst to begin a more meaningful debate within NATO on the resourcing,

responsibility, and doctrinal development of the NATO legal community. An explicit

goal is to build a community identity and ethos. It is hoped that in ten years there

will exist a comprehensive body of NATO legal doctrine and publications that will

build upon the suggestions, ideas, and principles put forth in guides such as this.

However, even if such forthcoming doctrine and guidance are completely different

from those presented in this publication it is hoped that the publishing and the

disseminating of a regularly updated Deskbook may lead in some small way to the

eventual true azimuth.

~ The Editors ~

24

25

Abbreviations

used in the Deskbook

AAP Allied Administrative

Publication

AAR after-action review

AC (North) Atlantic Council--prefix - committees subordinated to the NAC are identified by a code beginning with AC

ACE Allied Command Europe

ACE DIR Allied Command Europe Directive (before renamed for ACO)

ACHR American Convention on Human Rights

ACLANT Allied Command Atlantic

ACO Allied Command Operations

ACOS Assistant Chief of Staff

ACT Allied Command Transformation

AOR Area of Responsibility

AP Allied Publication

AP Additional Protocol to the Agreement among the States Parties to the North Atlantic Treaty and the Other States Participating in the Partnership for Peace regarding the Status of their Forces. Done at Brussels June 19, 1995.

AP I Additional Protocol I to the Geneva Convention of 1949, Relating to the Protection of Victims of International Armed Conflicts (Protocol I), adopted at Geneva 8 June 1977

AP II Additional Protocol II to the Geneva Convention of 1949, Relating to the of Non-International Armed

Conflicts (Protocol II), adopted at Geneva 8 June 1977

APOD airport of debarkation

BICES Battlefield Information,

Collection and Exploitation

Systems

Bi-SC Directive Strategic Command

Directive signed by both

Strategic Commander

(SACEUR and SACT)

BOD Board of Directors

BUDFIN Budget and Finance

C2 command and control

CAOCs Combined Air Operations Centres

CAS close air support

CBC Civil Budget Committee

CC component command

CE Crisis Establishment

CEPMA Central Europe Pipeline

Management Agency

CFSP Common Foreign and Security Policy (EU)

CHOD Chiefs of Defence

CIMIC Civil-Military Cooperation

CITES Convention on International Trade in Endangered Species of Fauna and Flora

CIVCOM Committee for Civilian Aspects of Crisis Management (EU)

CJFSOCC Combined Joint Special Operations Component Command

CJTF Combined Joint Task Force

C-M Council Memorandum

26

CMC Chairman of the Military Committee

CMCM / DCMCM

(Deputy) Chairman of the Military Committee Memorandum

CMPD Crisis Management and Planning Directorate (EU)

COE Centre of Excellence

CONOPS Concept of Operation

COR Concept of Requirements

COR Concept of Requirements

COREPER Committee of Permanent Representatives (EU)

CPCC Civilian Planning and Conduct Capability (EU)

CSDP Common Security and Defence Policy (EU)

DESIG Designated (person, object, target referred to in ROE)

DGE Directorate General External Relations (EU)

DIMS Director of the International Military Staff

DIMS/BUS DIMS Business Letter

DJTF Deployable Joint Headquarters

DMS Document Management System

DO/DIMS Demi-Official DIMS Letter

DPC Defence Planning Committee

DPP Defence Planning Process

(for NATO nations )

EAPC Euro-Atlantic Partnership Council

ECHR European Convention for the Protection of Human Rights and Fundamental Freedoms

ECtHR European Court of Human Rights

ENMOD Convention on the

Convention Prohibition of Military or Any Other Hostile Use of Environmental Modification Techniques

EOL Exchange of Letters

ESDP European Security and Defence Policy

EU European Union

EUMC EU Military Committee

EUMS EU Military Staff

EUNAVFOR European Union-led naval force

EXCON Exercise Control

FAP Further Additional Protocol to the Agreement among the States Parties to the North Atlantic Treaty and the Other States Participating in the Partnership for Peace regarding the Status of their Forces. Done at Brussels December 19, 1997. / Further Additional Protocol

FC Financial Controller

FRAGO fragmentary order

FRP financial rules and

procedures

FYROM Former Yugoslav Republic of Macedonia (Turkey recognizes the former Yugoslav Republic of Macedonia under its constitutional name.)

GC I Convention (I) for the Amelioration of the Condition of Wounded and Sick in Armed Forces in the Field, signed at Geneva on 12 August 1949

GC II Convention (II) for the Amelioration of the Wounded, Sick and Shipwrecked Members of Armed Forces at Sea, signed at Geneva on 12 August 1949

GC III Convention (III) relative to the Treatment of Prisoners

27

of War, signed at Geneva on 12 August 1949

GC IV Convention (IV) relative to the Protection of Civilian Persons in Time of War, signed at Geneva on 12 August 1949

GFAP Dayton General Framework Agreement for Peace

GM General Manager

HICON higher control

HNS Host Nation Support

HNSA Host Nation Support

Agreement

HONB Head of NATO body

HQ SACT Headquarters Supreme Allied Commander Transformation

HR Human Rights

HRO Human Rescue Operations

HSG Headquarters Support Group

IBAN International Board of

Auditors of NATO

IC Infrastructure Committee

ICC International Criminal Court

ICCPR International Covenant on Civil and Political Rights

ICRC International Committee of the Red Cross

ICTR International Criminal Tribunal for Rwanda

ICTY International Criminal Tribunal for the former Yugoslavia

IEO initial-entry operations

IFOR NATO-led Implementation

Force (IFOR - Operation

Joint Endeavour - 20 Dec.

1995 - 20 Dec. 1996) in

Bosnia and Herzegovina

IG Inspector General

IHL International Humanitarian Law

IHR / HR international human rights

law

IMHQs International Military Headquarters

IMS Staff Memorandum

IMSTAM

IMS) International Military Staff

International Military Staff Memorandum

IMSM

International Military Staff Working Memorandum

IMSWM

IS International Staff

ISAF International Security Assistance Force

JALLC Joint Analysis & Lessons Learned Centre

JFCs Joint Force Commands

JFTAGs Joint Functional Area

Training Guides

JFTC Joint Force Training Centre

JIA Joint Implementation Arrangement

JIA Joint Implementation

Agreement

JWC Joint Warfare Centre

KFOR Kosovo Force

LIVEX live exercises

LoA NATO Level of Ambition

LOAC law of armed conflict

LWR Local Wage Rates

MBC Military Budget Committee

MBC Military Budget Committee

28

MC Military Committee

MC Military Committee document

MCM Military Committee Memorandum

MEL/MIL main events/incidents lists

MILREPs Military Representatives

MMR Minimum Military

Requirement

MOU Memorandum of

Understanding

MSDS Material Safety Data Sheets

NA5CROs Non-Article 5 Crisis Response Operations

NAC North Atlantic Council

NACMA NATO Air Command and

Control Management

Agency

NAF Non-Appropriated Funds

NAHEMA NATO Helicopter Design

and Development

Production and Logistics

Management Agency

NAMA NATO Airlift Management

Agency

NAMEADSMA NATO Medium Extended

Air Defence System Design

and Development,

Production and Logistics

Management Agency

NAMSA NATO Maintenance and

Supply Agency

NAPMA NATO Airborne Early

Warning and Control

Production Management

Agency

NATO IMHQ NATO International Military Headquarters

NBA NATO Battlefield

Information, Collection and

Exploitation Systems

Agency

NC3A NATO Consultation,

Command and Control

Agency

NCPR NATO Civilian Personnel

Regulations

NCS NATO Command Structure

NCSA NATO Communications

and Information Systems

(CIS) Services Agency

NEO non-combatant evacuation

operations

NETMA NATO European Fighter

Aircraft and Tornado

Development, Production

and Logistics Management

Agency

NFR NATO Financial

Regulations

NGO non-governmental

organization

NHMO NATO HAWK

Management Office

NIC NATO International

Civilians

NID NAC Initiating Directive

NIMP NATO Information

Management Policy

NNAG NATO Naval Armaments Group

NOA Note of Accession

NPG Nuclear Planning Group

NPLSOs NATO Procurement,

Logistics or Service

Organizations

NRF NATO Response Force

NSA NATO Standardization

Agency

NSCC NATO SPECIAL OPERATIONS COORDINATION CENTRE

29

NSHQ NATO SPECIAL OPERATIONS HEADQUARTERS

NSIP NATO Security Investment

Programme

NSO NATO School Oberammergau

OCE Officer Conducting the Exercise ODE* Officer directing the Exercise

ODE Officer directing the Exercise

OSE Officer Scheduling the Exercise

OPCOM operational command

OPCON operational control

Operational and

Maintenance

O&M

OPLAN Operations Plan

OPLAN operation plan

OPLAW operational law

OPP operational planning

process

OPRs Office of Prime

Responsibility

OPSEC operations security

OSCE; Organization for Security and Cooperation in Europe

OT observer/trainer

Ottawa Agreement

Agreement on the Status of the North Atlantic Treaty Organisation, National Representatives and International Staff (Ottawa, 20 Sep. 1951) This agreement on the status of NATO headquarters and subordinate civilian entities is often referred to as the.

Paris Protocol Protocol on the Status of International Military Headquarters set up pursuant to the North Atlantic Treaty (Paris, 28

August 1952)

PARP Partnership for Peace (PfP)

Planning and Review

Process (for PfP nations)

PE Peace Establishment

PERMREPs Permanent Representatives

PfP Partnership for Peace

PfP SOFA Agreement among the States Parties to the North Atlantic Treaty and the other States participating in the Partnership for Peace regarding the Status of their Forces / Brussels, 19 June 1995 / PfP Status of Forces Agreement

PK Peacekeeping

PMG Political-Military Group (EU)

PMSCs Private Military and

Security Companies

PO(201x)xxx Private Office paper

POLAD Political Advisers

POPs Persistent organic pollutants

POW Prisoner of War

PSC Political and Security Committee (EU)

PSO Peace Support Operations

ROE Rules of Engagement

ROEAMPS amplification of ROE

ROEAUTH ROE authorization

ROEIMPL ROE Implementation message (a communication implementing the ROE in a specific operational context)

ROEREQ ROE Request message

ROESUMS summaries of ROE which have already been approved or modified.

RTA NATO Research and Technology Agency

30

SACEUR Supreme Allied Commander Europe

SACLANT Headquarters of the Supreme Allied Commander Atlantic

SACT Supreme Allied Commander Transformation

SC (United Nations) Security Council

SCs Strategic Commanders

SECGEN Secretary General

SFOR NATO-led Stabilisation Force (SFOR) in Bosnia and Herzegovina

SG/HR High Representative for the CFSP (EU)

SHAPE Supreme Headquarters Allied Powers Europe

SHAPE Supreme Headquarters Allied Powers in Europe

SHAPE DIR Directive issued by SHAPE

SLA Service Level Agreement

SME Subject Matter Expert

SOF Special Operation Forces

SOFA / NATO SOFA

Agreement between the Parties to the North Atlantic Treaty regarding the Status of their Forces (London, 19 June 1951)

SOFFC Special Operations Forces

Fusion Centres

SOI Statement of Intent

SOI Statement of Intent

SOP Standing Operational Procedures

SOR Statement of Requirements

SpecOps Special Operations

SPOD seaport of debarkation

SRB Senior Resource Board

SRB Senior Resources Board

STANAG Standardization Agreement

TA Technical Arrangement

TCN Troop Contributing Nation

TCSOR Theatre Capability

Statement of Requirements

UNMIK UN Mission in Kosovo

UNPROFOR United Nations Protection Force

UNSC United Nations Security Council

UNSCR United Nations Security Council Resolution

VAT Value Added tax

WAN Wide-Area Network

WEU Western European Union

31

PART I

THE DEVELOPMENT AND ORGANIZATION OF NATO

AND

THE OVERVIEW OF NATO BODIES

32

References and suggested reading:

- 60 Years of NATO http://www.nato-bookshop.org

- Agreement on the Status of the North Atlantic Treaty Organisation, National Representatives and International Staff, signed in Ottawa on 20th September 1951, Ottawa Agreement

- AJP-01Ed. (C), Allied Joint Doctrine

- Bruno Simma (Editor) : The Charter of the United Nations: A Commentary / OUP Oxford; 2 edition (12 Sep 2002)

- Charter of the United Nations, 1945

- Dieter Fleck (ed.) The Handbook of The Law of Visiting Forces Oxford University Press(UK) (July 5, 2001)

- Lawrence S. Kaplan: NATO 1948: The Birth of the Transatlantic Alliance

- Lawrence S. Kaplan: The Long Entanglement: NATO's First Fifty Years

- Dr. Gregory W. Pedlow, SHAPE Historian: The Evolution of NATOs Command Structure, 1951-2009 (http://www.aco.nato.int/page209264641.aspx)

- MCM-236-03 on the Concept for Centres of Excellence

- NATO Declassified , DVD, http://www.nato.int/ebookshop/video/declassified/

- NATO structure including the military side is found at: http://www.nato.int/cps/en/natolive/structure.htm

- North Atlantic Treaty, 1949

- Protocol on the Status of International Military Headquarters set up pursuant to the North Atlantic Treaty (Paris, 28 August 1952), Paris Protocol

- The NATO Handbook (ISBN 92-845-0178-4 - HB-ENG-0406 - NATO 2006)

33

Editorial note:

This part of the Deskbook provides a brief discussion on the development of NATO based on the core documents governing the organisation and the legal status of its primary components. An exhaustive presentation on NATOs civilian and military structures and

supporting organisations and entities can be found in THE NATO HANDBOOK.

A. A BRIEF HISTORY OF NATO

By the adoption of the United Nations Charter in 1945, the basic rules on the law of use of force between states were laid down in an international treaty.

The main purpose of the establishment of the United Nations was to prevent armed conflicts. That is expressly formulated in the preamble and in Article 1:

1. To maintain international peace and security, and to that end: to take effective collective measures for the prevention and removal of threats to the peace, and for the suppression of acts of aggression or other breaches of the peace, and to bring about by peaceful means, and in conformity with the principles of justice and international law, adjustment or settlement of international disputes or situations which might lead to a breach of the peace;

Article 51 of the UN Charter provides the basic rule of self-defence as an exception from the prohibition of the use of force in inter-state relation:

Nothing in the present Charter shall impair the inherent right of individual or collective self-defense if an armed attack occurs against a Member of the United Nations, until the Security Council has taken the measures necessary to maintain international peace and security.

Measures taken by Members in the exercise of this right of self-defense shall be immediately reported to the Security Council and shall not in any way affect the authority and responsibility of the Security Council under the present Charter to take at any time such action as it deems necessary in order to maintain or restore international peace and security.

By this, the notion of individual and collective self-defence that had already existed in customary international law and in state practice was reasserted.

The North Atlantic Treaty was signed in April 1949 by representatives of twelve nations,1 and later ratified by all twelve nations. The North Atlantic Treaty Organisation (NATO) is not mentioned by name in the North Atlantic Treaty. The genesis of the Organisation can be traced to the establishment of the North Atlantic Council in Article 9 of the Treaty, which authorized other subsidiary bodies.

The Parties hereby establish a council, on which each of them shall be represented,

to consider matters concerning the implementation of this treaty. The Council shall be so organised as to be able to meet promptly at any time. The Council shall set up such subsidiary bodies as may be necessary; in particular it shall establish immediately a defence committee which shall recommend measures for the implementation of Articles 3 and 5.

HISTORICAL BACKGROUND

At the first session of the Council it was decided that the Foreign Ministers would comprise the normal membership of the Council. This was soon followed by

creation of the Council Deputies (meaning deputies representing their Foreign Ministers) who were to remain in permanent session. At the time, this was in

1 Belgium, Canada, Denmark, France, Iceland, Italy, Luxembourg, the Netherlands, Norway, Portugal, the United Kingdom, and the United States.

34

London where a permanent international working staff had already been established.

A few years later, as part of reorganization, a Council comprised of Permanent Representatives appointed to it by each member state replaced the Council Deputies. The Council, relocated to the Paris area, was to remain in permanent session with effective powers of decision.

On the military side, several of the NATO countries, particularly the United States, had armed forces serving on the territories of other NATO countries in connection with the operations of the North Atlantic Treaty. It also became clear that the military security of the NATO countries required creation of an integrated military force under a Supreme Commander supported by an international staff. This led to the Council confirming General Eisenhower as Supreme Allied Commander Europe (SACEUR), who chose a site near Paris for the Supreme Headquarters Allied Powers Europe (SHAPE).

B. NORTH ATLANTIC COUNCIL (NAC) AND THE INTERNATIONAL STAFF (IS)

The North Atlantic Council is the principal decision-making body within NATO. It brings together high-level representatives of each member country to discuss policy or operational questions requiring collective decisions. In sum, it provides a forum for wide-ranging consultation between members on all issues affecting their security.

The North Atlantic Council (NAC) has effective political authority and powers of decision. It is the only body that was established by the North Atlantic Treaty under Article 9. The NAC is invested with the authority to establish "such subsidiary bodies as may be necessary" for the purposes of implementing the Treaty.

The NAC, therefore, is the principal decision-making body that oversees the political and military process relating to security issues affecting the Alliance. The Defence Planning Committee and the Nuclear Planning Group have comparable authority for matters within their specific areas of competence.

National Authorities

Permanent Representatives

(Ambassadors to NATO)

Strategic Commands

International Military Staff

Military Representatives

to NATO

Allied Command

Transformation

Allied Command

Operations

Secretary GeneralCommittees

subordinate to the

Council, DPC and NPG

Nuclear Planning

Group (NPG)

Defence Planning

Committee (DPC)North Atlantic

Council (NAC)

Military Committee

(MC)

International Staff

35

Items discussed and decisions taken at meetings of the Council cover all aspects of the Organisation's activities, and are frequently based on reports and recommendations prepared by subordinate committees at the Council's request. Equally, subjects may be raised by any one of the national representatives or by the Secretary General.

To provide a frame of reference regarding the staffing of documents and the decision-making process for both the NAC and the IS, a brief description of the civilian structure at NATO HQ follows.

1. Organizational Structure

NATO Headquarters is the political headquarters of the Alliance and the permanent home of the North Atlantic Council (NAC). The NAC is composed of representatives of Alliance members, called Permanent Representatives (PERMREPs), at Ambassadorial level. The NAC, under the Chairmanship of the Secretary General (SECGEN), discusses and approves NATO policy. At regular intervals the Council and other senior level policy committees (principally the Defence Planning Committee (DPC) and the Nuclear Planning Group (NPG)) meet in Brussels, or in other Alliance capitals, at higher levels involving Foreign Ministers, often called Ministerials.

From time to time at summit meetings, heads-of-state appear on behalf of their nations. The decisions taken by each of these bodies fully represent the agreed policy of the member countries, irrespective of the level at which they are taken. Subordinate to these senior bodies are specialised committees, also consisting of officials representing their countries. The committee structure provides the Alliance its consultation and decision-making capability, ensuring that each member nation is represented at every level and in all fields of NATO activity.

2. NATO Staff

NATO Headquarters houses the Secretary General (SECGEN or SG) and the International Staff (IS). The Secretary General is chief executive of NATO, responsible for promoting and directing the process of consultation and decision-making within the Alliance. He is chairman of the NAC, the Defence Planning Committee (DPC), and other senior NATO committees. SECGEN also directs the IS which supports the work of the NAC and its subordinate committees.

Members of the IS, while drawn from member countries, are responsible to the Secretary General and owe their allegiance to the Organisation. The International Staff of about 1,300 civilian members is organized into several divisions, directorates, and subordinate bodies.

The work of the Council is prepared by committees with responsibility for specific areas of policy. Committees play a key role in policy development.2 Most of the primary committees are identified by letter codes, such as DRC for the Defence Review Committee.

There are numerous supporting subordinate committees. Many of the subordinate committees are identified by a code beginning with AC.3 Knowing the committee codes is very useful for searching the Document Management System, for understanding documents codes, and for accessing committee documents on other web sites.

2 The NATO Handbook summarizes the membership, role, primary subordinate committees, and primary source of staff support for nearly 40 principal NATO committees. http://www.nato.int/docu/handbook/2001/hb1301.htm 3 For example, the NATO Security Committee is identified as AC/35. The AC/35 code is used to identify documents originated by the committee. Thus, many of the documents published in the 2002 revision to NATO security documents have identifiers of AC/35-xxx. The Committee index also shows AC/35(AHWG/FRNSP), the Ad Hoc Working Group on the Fundamental Review of NATO Security Policy.

36

Committee names and codes are generally arranged in a hierarchical fashion. For example:

The NATO Naval Armaments Group (NNAG) has the code of AC/141 or AC/141(NNAG).

- Subordinate to the NNAG is Naval Group 1 on Above Water Warfare, with a code of AC/141(NG/1).

- A sub-group of NG/1 is Sub-group 11 on Maritime Aspects of Theatre Ballistic Missile Defence (MTBMB). Following the hierarchical approach, the code is AC/141(NG/1-SG/11).

The best single source for ascertaining committee letter abbreviations and AC/xxx codes is the List of NATO Committees and Working Groups. This listing, about 50 pages long, is accessible directly from the NATO HQ WAN page. It includes committees and groups of the International Staff, the International Military Staff, the NATO Standardization Agency, and Steering Committees.

3. National Staffs and Representatives

Each member nation is represented on the NAC by an Ambassador, often called a Permanent Representative (PERMREP). PERMREPs are supported by a national delegation composed of advisers and officials who represent their country on different NATO committees. The delegations, with permanent offices at NATO HQ, are similar in many respects to small embassies. Examples provided later in this chapter demonstrate the working relationship between national delegations and the NATO staff. This is the civilian or political side of a nations representation, the military side is represented at the Military Committee.

C. MILITARY COMMITTEE (MC) AND INTERNATIONAL MILITARY STAFF (IMS)

As previously mentioned, NATO Headquarters also houses national Military Representatives (MILREPs), the Chairman of the Military Committee (CMC) and the International Military Staff (IMS).

1. Military Committee (MC)

The Military Committee (MC) is the senior military authority in NATO. The MC works under the overall political authority of the North Atlantic Council (NAC), the Defence Planning Committee (DPC) or the Nuclear Planning Group (NPG). The Military Committee assists and advises the NAC, the DPC and the NPG on military matters. The Military Committee also provides military guidance to the NATO Strategic Commanders (SCs), whose representatives attend its meetings. The International Military Staff (IMS) supports the work of the Military Committee, preparing and following up its directions.

The MC comprises the Chiefs of Defence Staff of each member nation that contributes forces to the integrated NATO commands.4

The MC normally convenes three times a year at the level of Chiefs of Defence (CHOD). Two of these meetings occur in Brussels (April/May and November/December) and one (in September) is hosted by NATO members on a rotational basis. The MC meets in

4 France, until its 2009 decision on return despite having not been participating in the military structure, the defence planning and nuclear matters, - has still played a full part in the work of the MC with corresponding rights and responsibilities but with some limitations subject to its position. Iceland, having no military establishment, is represented by a civilian official. In order to function continuously with effective power of decision, each country has appointed in Brussels a permanent Military Representative (MILREP) who represents his Chief of Defence during the year.

37

permanent session in NATO Headquarters, Brussels, at the level of the MILREPs in principal following the weekly NAC meetings.

2. The Role of the Chairman

The Chairman of the Military Committee is elected by the NATO chiefs of defence, normally for a three-year term. He represents their consensus-based views as the principal military adviser to the Secretary General, the North Atlantic Council and other senior NATO organisations. He guides the Committees agenda and deliberations, listening to views and working to reconcile divergent national positions or policy differences to fashion advice that all can agree to.

Each nation possesses an equal voice in the discussion and decisions of the military committee. All member nations provide the personnel and financial resources needed to conduct its operations and other activities. As the Alliances top officer and most senior

military spokesperson the Chairman visits operations and allied and partner countries to explain NATOs role and military work and to maximize NATO military capabilities and efficiencies. The Chairman is assisted by a Deputy Chairman.

3. International Military Staff (IMS)

The International Military Staff is the executive agency of the Military Committee. It provides staff support to the Military Committee and is responsible for the preparation of assessments, studies and other papers on NATO military matters. The IMS, under the Director of the International Military Staff (DIMS), is responsible for planning, assessing and recommending policy on military matters for consideration by the Military Committee, as well as ensuring that the policies and decisions of the Committee are implemented as directed.

The IMS provides the essential link between the political decision-making bodies of the Alliance and the NATO Strategic Military Commanders (SACEUR and SACT) and their staff. The IMS comprises approximately 380 military personnel. It is, therefore, considerably smaller than the IS which has about 1,300 staff members. IMS personnel come from all member nations, with the exception of Iceland, which has no military establishment. The IMS is organised into five functional divisions (plans and policy; operations; intelligence; co-operation and regional security; and logistic, armaments and resources) as well as a number of branches and support offices.

Intelligence

Division

Operations

Division

Plans

& Policy

Division

Cooperation

& Regional

Security

Division

Logistics

Armaments &

Resources

Division

NHQC3S*

Financial Controller

Legal Officer

Support Activities

Personnel

Public Information

AdvisorDirector (DIMS)

Executive

Coordinator

SITCEN

Intelligence

Division

Operations

Division

Plans

& Policy

Division

Cooperation

& Regional

Security

Division

Logistics

Armaments &

Resources

Division

NHQC3S*

Financial Controller

Legal Officer

Support Activities

Personnel

Public Information

AdvisorDirector (DIMS)

Executive

Coordinator

SITCEN

Intelligence

Division

Operations

Division

Plans

& Policy

Division

Cooperation

& Regional

Security

Division

Logistics

Armaments &

Resources

Division

NHQC3S*

Financial Controller

Legal Officer

Support Activities

Personnel

Public Information

AdvisorDirector (DIMS)

Executive

Coordinator

SITCEN

Intelligence

Division

Operations

Division

Plans

& Policy

Division

Cooperation

& Regional

Security

Division

Logistics

Arm