Skip to main content

Making Sense of the Politics of Caveats

  • Chapter
  • First Online:
Coping with Caveats in Coalition Warfare
  • 203 Accesses

Abstract

Why do states make substantial military contributions to coalition operations, while at the same time apply national reservations, caveats, to how the coalition can use the military contributions? Caveats signal reluctant participation and are a continuous challenge to the effective use of coalition forces. The application on national reservations on the use of force in the context of UN, NATO, and coalition-of-the-willing operations after the Cold War have stimulated research on the politics of caveats. However, much remains to do. The present study adds to the political study of caveats by reasoning the conceptual, analytical, theoretical, and methodological tenets of an empirical research program founded on the process-tracing and multi-level approach of Foreign Policy Analysis (FPA). An empirical research program engages in the formulation of substantive research problems, grounded in analytical frameworks of interpretation and explanation, and gives direction on methods to gather data and analyze empirical relationships.

This is a preview of subscription content, log in via an institution to check access.

Access this chapter

Chapter
USD 29.95
Price excludes VAT (USA)
  • Available as PDF
  • Read on any device
  • Instant download
  • Own it forever
eBook
USD 69.99
Price excludes VAT (USA)
  • Available as EPUB and PDF
  • Read on any device
  • Instant download
  • Own it forever
Softcover Book
USD 89.99
Price excludes VAT (USA)
  • Compact, lightweight edition
  • Dispatched in 3 to 5 business days
  • Free shipping worldwide - see info
Hardcover Book
USD 89.99
Price excludes VAT (USA)
  • Durable hardcover edition
  • Dispatched in 3 to 5 business days
  • Free shipping worldwide - see info

Tax calculation will be finalised at checkout

Purchases are for personal use only

Institutional subscriptions

References

  • Auerswald, D. P. (2004). Explaining Wars of Choice: An Integrated Decision Model of NATO Policy in Kosovo. International Studies Quarterly, 48(3), 631–662.

    Article  Google Scholar 

  • Auerswald, D. P., & Saideman, S. M. (2014). NATO in Afghanistan: Fighting Together, Fighting Alone. Princeton, NJ: Princeton University Press.

    Book  Google Scholar 

  • Bennett, D. A., & MacDonald, A. F. (1995). Coalition Rules of Engagement. Joint Force Quarterly, Summer(8), 124–125.

    Google Scholar 

  • Bergen, P. L. (2011). The Longest War. New York, NY: Free Press.

    Google Scholar 

  • Bird, T. (2007). The European Union and Counter-Insurgency: Capability, Credibility, and Political Will. Contemporary Security Policy, 28(1), 182–196.

    Article  Google Scholar 

  • Bliss, T. H. (1922). The Evolution of the Unified Command. Foreign Affairs, 1, 1–30.

    Google Scholar 

  • Brophy, J., & Fisera, M. (2010). National Caveats and Its Impact on the Army of the Czech Republic. http://user.unob.cz/fisera/files/clanky/National_Caveats_Short_Version_version_V_29JULY.pdf.

  • Carlsnaes, W. (2002). Foreign Policy. In W. Carlsnaes, T. Risse, & B. A. Simmons (Eds.), Handbook of International Relations. London: Sage.

    Google Scholar 

  • Carlsnaes, W. (2008). Actors, Structures, and Foreign Policy Analysis. In S. Smith, A. Hadfield, & T. Dunne (Eds.), Foreign Policy: Theories, Actors, Cases (pp. 83–100). Oxford: Oxford University Press.

    Google Scholar 

  • Chopra, J., Eknes, Å., & Nordbø, T. (1995). Peacekeeping and Multinational Operations. Oslo: Norwegian Institute of Foreign Affairs.

    Google Scholar 

  • Clark, W. K. (2001). Waging War: Bosnia, Kosovo, and the Future of Combat. New York, NY: Public Affairs.

    Google Scholar 

  • Clarke, M., & White, B. (1989). Understanding Foreign Policy: The Foreign Policy Systems Approach. Aldershot: Edward Elgar.

    Google Scholar 

  • De Borchgrave, A. (2009). Commentary: NATO Caveats. UPI. Retrieved from http://www.upi.com/Top_News/Analysis/de-Borchgrave/2009/07/10/CommentaryNATO-caveats/47311247244125/.

  • De Nevers, R. (2007). NATO’s International Role in the Terrorist Era. International Security, 31(4), 34–66.

    Google Scholar 

  • Deni, J. R. (2004). The NATO Rapid Deployment Corps: Alliance Doctrine and Force Structure. Contemporary Security Policy, 25(3), 498–523.

    Article  Google Scholar 

  • Dorman, A. M. (2012). NATO’s 2012 Chicago Summit. International Affairs, 88(2), 301–312.

    Article  Google Scholar 

  • Driver, D. (2016). Burden Sharing and the Future of NATO: Wandering Between Two Worlds. Defense & Security Analysis, 32(1), 4–18.

    Article  Google Scholar 

  • Dworken, J. T. (1994). Rules of Engagement—Lessons from Restore Hope. Military Review, 74(September), 26–34.

    Google Scholar 

  • Feldman, R. L. (2008). Problems Plaguing the African Union Peacekeeping Forces. Defense and Security Analysis, 24(3), 267–279.

    Article  Google Scholar 

  • Fermann, G. (2010). Strategisk ledelse i utenrikspolitisk perspektiv. I Gjert Lage Dyndal (Ed.), Strategisk ledelse i krise og krig (pp. 9–61). Bergen: Fagbokforlaget.

    Google Scholar 

  • Fermann, G. (Ed.). (2013). Utenrikspolitikk og norsk krisehåndtering. Oslo: Cappelen Damm Akademika.

    Google Scholar 

  • Findlay, T. (2002). The Use of Force in UN Peace Operations. Oxford: Oxford University Press.

    Google Scholar 

  • Frost-Nielsen, P. M. (2011). Politisk kontroll av militær deltakelse i internasjonale operasjoner: Restriksjoner på bruk av norske kampfly i Afghanistan. Internasjonal Politikk, 69(3), 359–386.

    Google Scholar 

  • Frost-Nielsen, P. M. (2013). Norske kampfly i Afghanistan 2006. In G. Fermann (Ed.), Utenrikspolitikk og norsk krisehåndtering (pp. 267–298). Oslo: Cappelen Damm Akademika.

    Google Scholar 

  • Frost-Nielsen, P. M. (2016). Betingede forpliktelser. Nasjonale reservasjoner i militære koalisjonsoperasjoner. Ph.D. Dissertation in Political Science, Department of Sociology and Political Science, Norwegian University of Science and Technology (NTNU), Trondheim.

    Google Scholar 

  • Frost-Nielsen, P. M. (2017). Conditional Commitments: Why States Use Caveats to Reserve Their Efforts in Military Coalition Operations. Contemporary Security Policy, 38(3), 371–397.

    Article  Google Scholar 

  • Hill, C. (2003). The Changing Politics of Foreign Policy. London: Palgrave Macmillan.

    Google Scholar 

  • Hirsch, J. L., & Oakley, R. B. (1995). Somalia and Operation Restore Hope—Reflection on Peacemaking and Peacekeeping. Washington: United States Institute of Peace.

    Google Scholar 

  • Hoehn, A. R., & Harting, S. (2010). Risking NATO—Testing the Limits of the Alliance in Afghanistan. Santa Monica: RAND Corporation. https://www.rand.org/content/dam/rand/pubs/monographs/2010/RAND_MG974.pdf.

  • Hudson, V. M. (2005). Foreign Policy Analysis. Actor-Specific Theory and the Ground of International Relations. Foreign Policy Analysis, 1(1), 1–30.

    Google Scholar 

  • Hudson, V. M. (2007). Foreign Policy Analysis: Classical and Contemporary Theory. Boulder, CO: Rowman and Littlefield.

    Google Scholar 

  • Humphries, J. G. (1992). Operations Laws and the Rules of Engagement in Operations Desert Shield and Desert Storm. Airpower Journal, 11(3), 25–41.

    Google Scholar 

  • Hunter, R. E. (2008). NATO Caveats Can Be Made to Work Better for the Alliance. European Affairs, 9(1–2). https://www.europeaninstitute.org/index.php/42-european-affairs/winterspring-2008/68-nato-caveats-can-be-made-to-work-better-for-the-alliance.

  • Husby, G. (2015). Fra hull I luften, til hull I Gaddafis bunker. Bruk av politiske reservasjoner på norsk militærmakt I flernasjonale koalisjonsoperasjoner. En komparativ studie av F-16 bidragene i Kosovo, Afghanistan og Libya. Master Thesis in Political Science, Department of Sociology and Political Science. Norwegian University of Science and Technology (NTNU), Trondheim.

    Google Scholar 

  • Høiback, H. (2009). The Noble Art of Constructive Ambiguity. Oslo Files on Defence and Security, 3, 19–39.

    Google Scholar 

  • Johnson, G. G. (2004). Examining the SFOR Experience. NATO. http://www.nato.int/docu/review/2004/Historic-Changes-Balkans/Examining-SFOR-experience/EN/index.htm.

  • Jones, J. L. (2004). Prague to Istanbul: Ambition Versus Reality. Global Security: A Broader Concept for the 21st Century. Center for Strategic Decision Research 21st International Workshop on Global Security—Berlin, 7–10 May. http://csdr.org/2004book/Gen_Jones.htm.

  • Joyner, J. (2009). Afghanistan Caveats Coming to End. Atlantic Council. 10 July. http://www.atlanticcouncil.org/blogs/new-atlanticist/afghanistan-caveats-coming-to-end.

  • Kay, S. (2013). No More Free-Riding: The Political Economy of Military Power and the Transatlantic Relationship. In J. H. Matlary & M. Petersson (Eds.), NATO’s European Allies—Military Capability and Political Will (pp. 97–120). Hampshire: Palgrave Macmillan.

    Google Scholar 

  • Kennedy, P. (1983). Military Coalitions and Coalition Warfare Over the Past Century. In K. Neilson & R. A. Prete (Eds.), Coalition Warfare—An Uneasy Accord (pp. 1–15). Waterloo: Wilfrid Laurier University Press.

    Google Scholar 

  • Knudsen, E., & Klingenberg, S. (2013). Cooperating in War—Coalition Warfare in Afghanistan. Copenhagen: Forsvarsakademiet.

    Google Scholar 

  • Koschut, S. (2014). Transatlantic Conflict Management Inside-Out: The Impact of Domestic Norms on Regional Security Practices. Cambridge Review of International Affairs, 27(2), 339–361.

    Article  Google Scholar 

  • Kreps, S. (2008). When Does the Mission Determine the Coalition? The Logic of Multilateral Intervention and the Case of Afghanistan. Security Studies, 17(3), 531–567.

    Article  Google Scholar 

  • Kubálková, V. (Ed.). (2001). Foreign Policy in a Constructed World. London: M.E. Sharpe.

    Google Scholar 

  • Lakatos, I. (1978). The Methodology of Scientific Research Program. Cambridge, UK: Cambridge University Press.

    Book  Google Scholar 

  • Lambeth, B. S. (2001). NATO’s Air War for Kosovo: A Strategic and Operational Assessment. Santa Monica: RAND Cooperation.

    Google Scholar 

  • Lombardi, B. (2008). All Politics Is Local: Germany, the Bundeswehr, and Afghanistan. International Journal, 63(3), 587–605.

    Article  Google Scholar 

  • Lorenz, F. M. (1995). Forging Rules of Engagement: Lessons Learned in Operation United Shield. Military Law Review, 75 (November/December), 17–25.

    Google Scholar 

  • Marten, K. (2007). Statebuilding and Force: The Proper Role of Foreign Militaries. Journal of Intervention and State-Building, 1(2), 231–247.

    Article  Google Scholar 

  • Mello, P. A. (2014). Democratic Participation in Armed Conflict. Basingstoke: Palgrave Macmillan.

    Book  Google Scholar 

  • Meyer, T. (2013). Flipping the Switch: Combat, State-Building, and Junior Officers in Iraq and Afghanistan. Security Studies, 22(2), 222–258.

    Article  Google Scholar 

  • Morelli, V., & Belkin, P. (2009). NATO in Afghanistan: A Test of the Trans-Atlantic Alliance. Washington: Congressional Research Service. https://fas.org/sgp/crs/row/RL33627.pdf.

  • NATO. (2006). NATO Boosts Efforts in Afghanistan. 28 November. http://www.nato.int/docu/update/2006/11-november/e1128a.htm.

  • Neack, L. (2013). The New Foreign Policy: Complex Interactions, Competing Interests. Boulder, CO: Rowman & Littlefield.

    Google Scholar 

  • Noetzel, T., & Rid, T. (2009). Germany’s Options in Afghanistan. Survival, 51(5), 71–90.

    Article  Google Scholar 

  • Noetzel, T., & Scheipers, S. (2007). Coalition Warfare in Afghanistan. Briefing Paper, Chatham House. http://www.comw.org/warreport/fulltext/0710noetzel.pdf.

  • Noetzel, T., & Schreer, B. (2009). Does a Multi-tier NATO Matter? The Atlantic Alliance and the Process of Strategic Change. International Affairs, 85(2), 211–226.

    Article  Google Scholar 

  • Palin, R. H. (1995). Multinational Military Forces: Problems and Prospects. Adelphi Papers 294. Oxford: Oxford University Press.

    Google Scholar 

  • Parker, G. (Ed.). (2005). The Cambridge History of Warfare. New York: Cambridge University Press.

    Google Scholar 

  • Phillips, G. R. (1993). Rules of Engagement: A Primer. The Army Lawyer, July(4), 4–27.

    Google Scholar 

  • Putnam, R. D. (1988). Diplomacy and Domestic Politics: The Logic of Two Level Games. International Organization, 42(4), 427–460.

    Google Scholar 

  • Richter, A., & Webb, N. (2014). Can Smart Defense Work? A Suggested Approach to Increasing Risk- and Burden-Sharing Within NATO. Defense and Security Analysis, 30(4), 346–359.

    Article  Google Scholar 

  • Riley, J. P. (2007). Napoleon and the World War of 1813—Lessons in Coalition War-Fighting. London: Routledge.

    Google Scholar 

  • Ringsmose, J. (2010). NATO Burden-Sharing Redux: Continuity and Change After the Cold War. Contemporary Security Policy, 31(2), 319–338.

    Article  Google Scholar 

  • Ringsmose, J., & Thruelsen, P. D. (2010). NATO’s Counter-Insurgency Campaign in Afghanistan: Are Classical Doctrines Suitable for Alliances? U N I S C I Discussion Papers, 22, 56–77.

    Google Scholar 

  • Ruffa, C., Dandeker, C., & Vennesson, P. (2013). Soldiers Drawn into Politics? The Influence of Tactics in Civil–Military Relations. Small Wars & Insurgencies, 24(2), 322–334.

    Article  Google Scholar 

  • Rynning, S. (2012). NATO in Afghanistan—The Liberal Disconnect. Stanford, CA: Stanford University Press.

    Google Scholar 

  • Saideman, S. M., & Auerswald, D. P. (2012). Comparing Caveats. International Studies Quarterly, 56(1), 67–84.

    Article  Google Scholar 

  • Sky, E. (2007). Increasing ISAF’s Impact on Stability in Afghanistan. Defense and Security Analysis, 23(1), 7–25.

    Article  Google Scholar 

  • Snidal, D. (1985). Coordination Versus Prisoners’ Dilemma: Implications for International Cooperation and Regimes. American Political Science Review, 79(4), 923–942.

    Article  Google Scholar 

  • Soeters, J., & Manigart, P. (Eds.). (2008). Military Cooperation in Multinational Peace Operations—Managing Cultural Diversity and Crisis Response. London: Taylor & Francis.

    Google Scholar 

  • Soeters, J., von Fenema, P. C., & Beeres, R. (Eds.). (2010). Managing Military Organizations—Theory and Practice. Oxon: Routledge.

    Google Scholar 

  • Stoler, M. A. (2000). Allies and Adversaries: The Joint Chiefs of Staff, The Grand Alliance, and U.S. Strategy in World War II. Chapel Hill: University of North Carolina Press.

    Google Scholar 

  • Trønnes, O. (2012). Mapping and Explaining Norwegian Caveats in Afghanistan from 2001 to 2008. Master-thesis in Political Science, Department of Sociology and Political Science, Norwegian University of Science and Technology (NTNU), Trondheim.

    Google Scholar 

  • United Nations. (2000). Report of the Panel on United Nations Peace Operations (The “Brahimi Report”) (A/55/305-S/2000/809). New York, NY: United Nations.

    Google Scholar 

  • United States Department of Defense/DoD. (2005, February 9). National Caveats’ Among Key Topics at NATO Meeting. http://www.defense.gov/news/newsarticle.aspx?id=25938.

  • Van der Meulen, J., & Kawano, H. (2008). Accidental Neighbours: Japanese and Dutch Troops in Iraq. In J. Soeters & P. Manigart (Eds.), Military Cooperation in Multinational Peace Operations. Managing Cultural Diversity and Crisis Response (pp. 166–179). Oxon: Routledge.

    Google Scholar 

  • Von Clausewitz, C. (1976 [1832]). On War. Oxford: Oxford University Press.

    Google Scholar 

  • Von Hippel, K. (2000). Democracy by Force—US Military Intervention in the Post-Cold War World. Cambridge: Cambridge University Press.

    Google Scholar 

  • Weitsman, P. A. (2014). Waging War: Alliances, Coalitions, and Institutions of Inter-State Violence. Stanford: Stanford University Press.

    Google Scholar 

  • Webber, M., & Smith, S. (2002). Foreign Policy in a Transformed World. Harlow, Essex: Prentice Hall.

    Google Scholar 

  • Williams, M. (2011). The Good War—NATO and the Liberal Conscience in Afghanistan. New York: Palgrave Macmillan.

    Google Scholar 

  • Young, T.-D. (2003). The Revolution in Military Affairs and Coalition Operations: Problem Areas and Solutions. Defense and Security Analysis, 19(2), 111–130.

    Article  Google Scholar 

  • Zinni, A. C., & Lorenz, F. M. (2000). Command, Control, and Rules of Engagement in United Nations Operations. In J. N. Moore & A. Morrison (Eds.), Strengthening the United Nations and Enhancing War Prevention (pp. 203–249). Durham, NC: Carolina Academic Press.

    Google Scholar 

Download references

Author information

Authors and Affiliations

Authors

Corresponding author

Correspondence to Gunnar Fermann .

Rights and permissions

Reprints and permissions

Copyright information

© 2019 The Author(s)

About this chapter

Check for updates. Verify currency and authenticity via CrossMark

Cite this chapter

Fermann, G. (2019). Making Sense of the Politics of Caveats. In: Coping with Caveats in Coalition Warfare. Palgrave Macmillan, Cham. https://doi.org/10.1007/978-3-319-92519-6_1

Download citation

Publish with us

Policies and ethics