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.
Access this chapter
Tax calculation will be finalised at checkout
Purchases are for personal use only
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.
Auerswald, D. P., & Saideman, S. M. (2014). NATO in Afghanistan: Fighting Together, Fighting Alone. Princeton, NJ: Princeton University Press.
Bennett, D. A., & MacDonald, A. F. (1995). Coalition Rules of Engagement. Joint Force Quarterly, Summer(8), 124–125.
Bergen, P. L. (2011). The Longest War. New York, NY: Free Press.
Bird, T. (2007). The European Union and Counter-Insurgency: Capability, Credibility, and Political Will. Contemporary Security Policy, 28(1), 182–196.
Bliss, T. H. (1922). The Evolution of the Unified Command. Foreign Affairs, 1, 1–30.
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.
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.
Chopra, J., Eknes, Å., & Nordbø, T. (1995). Peacekeeping and Multinational Operations. Oslo: Norwegian Institute of Foreign Affairs.
Clark, W. K. (2001). Waging War: Bosnia, Kosovo, and the Future of Combat. New York, NY: Public Affairs.
Clarke, M., & White, B. (1989). Understanding Foreign Policy: The Foreign Policy Systems Approach. Aldershot: Edward Elgar.
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.
Deni, J. R. (2004). The NATO Rapid Deployment Corps: Alliance Doctrine and Force Structure. Contemporary Security Policy, 25(3), 498–523.
Dorman, A. M. (2012). NATO’s 2012 Chicago Summit. International Affairs, 88(2), 301–312.
Driver, D. (2016). Burden Sharing and the Future of NATO: Wandering Between Two Worlds. Defense & Security Analysis, 32(1), 4–18.
Dworken, J. T. (1994). Rules of Engagement—Lessons from Restore Hope. Military Review, 74(September), 26–34.
Feldman, R. L. (2008). Problems Plaguing the African Union Peacekeeping Forces. Defense and Security Analysis, 24(3), 267–279.
Fermann, G. (2010). Strategisk ledelse i utenrikspolitisk perspektiv. I Gjert Lage Dyndal (Ed.), Strategisk ledelse i krise og krig (pp. 9–61). Bergen: Fagbokforlaget.
Fermann, G. (Ed.). (2013). Utenrikspolitikk og norsk krisehåndtering. Oslo: Cappelen Damm Akademika.
Findlay, T. (2002). The Use of Force in UN Peace Operations. Oxford: Oxford University Press.
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.
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.
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.
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.
Hill, C. (2003). The Changing Politics of Foreign Policy. London: Palgrave Macmillan.
Hirsch, J. L., & Oakley, R. B. (1995). Somalia and Operation Restore Hope—Reflection on Peacemaking and Peacekeeping. Washington: United States Institute of Peace.
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.
Hudson, V. M. (2007). Foreign Policy Analysis: Classical and Contemporary Theory. Boulder, CO: Rowman and Littlefield.
Humphries, J. G. (1992). Operations Laws and the Rules of Engagement in Operations Desert Shield and Desert Storm. Airpower Journal, 11(3), 25–41.
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.
Høiback, H. (2009). The Noble Art of Constructive Ambiguity. Oslo Files on Defence and Security, 3, 19–39.
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.
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.
Knudsen, E., & Klingenberg, S. (2013). Cooperating in War—Coalition Warfare in Afghanistan. Copenhagen: Forsvarsakademiet.
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.
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.
Kubálková, V. (Ed.). (2001). Foreign Policy in a Constructed World. London: M.E. Sharpe.
Lakatos, I. (1978). The Methodology of Scientific Research Program. Cambridge, UK: Cambridge University Press.
Lambeth, B. S. (2001). NATO’s Air War for Kosovo: A Strategic and Operational Assessment. Santa Monica: RAND Cooperation.
Lombardi, B. (2008). All Politics Is Local: Germany, the Bundeswehr, and Afghanistan. International Journal, 63(3), 587–605.
Lorenz, F. M. (1995). Forging Rules of Engagement: Lessons Learned in Operation United Shield. Military Law Review, 75 (November/December), 17–25.
Marten, K. (2007). Statebuilding and Force: The Proper Role of Foreign Militaries. Journal of Intervention and State-Building, 1(2), 231–247.
Mello, P. A. (2014). Democratic Participation in Armed Conflict. Basingstoke: Palgrave Macmillan.
Meyer, T. (2013). Flipping the Switch: Combat, State-Building, and Junior Officers in Iraq and Afghanistan. Security Studies, 22(2), 222–258.
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.
Noetzel, T., & Rid, T. (2009). Germany’s Options in Afghanistan. Survival, 51(5), 71–90.
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.
Palin, R. H. (1995). Multinational Military Forces: Problems and Prospects. Adelphi Papers 294. Oxford: Oxford University Press.
Parker, G. (Ed.). (2005). The Cambridge History of Warfare. New York: Cambridge University Press.
Phillips, G. R. (1993). Rules of Engagement: A Primer. The Army Lawyer, July(4), 4–27.
Putnam, R. D. (1988). Diplomacy and Domestic Politics: The Logic of Two Level Games. International Organization, 42(4), 427–460.
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.
Riley, J. P. (2007). Napoleon and the World War of 1813—Lessons in Coalition War-Fighting. London: Routledge.
Ringsmose, J. (2010). NATO Burden-Sharing Redux: Continuity and Change After the Cold War. Contemporary Security Policy, 31(2), 319–338.
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.
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.
Rynning, S. (2012). NATO in Afghanistan—The Liberal Disconnect. Stanford, CA: Stanford University Press.
Saideman, S. M., & Auerswald, D. P. (2012). Comparing Caveats. International Studies Quarterly, 56(1), 67–84.
Sky, E. (2007). Increasing ISAF’s Impact on Stability in Afghanistan. Defense and Security Analysis, 23(1), 7–25.
Snidal, D. (1985). Coordination Versus Prisoners’ Dilemma: Implications for International Cooperation and Regimes. American Political Science Review, 79(4), 923–942.
Soeters, J., & Manigart, P. (Eds.). (2008). Military Cooperation in Multinational Peace Operations—Managing Cultural Diversity and Crisis Response. London: Taylor & Francis.
Soeters, J., von Fenema, P. C., & Beeres, R. (Eds.). (2010). Managing Military Organizations—Theory and Practice. Oxon: Routledge.
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.
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.
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.
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.
Von Clausewitz, C. (1976 [1832]). On War. Oxford: Oxford University Press.
Von Hippel, K. (2000). Democracy by Force—US Military Intervention in the Post-Cold War World. Cambridge: Cambridge University Press.
Weitsman, P. A. (2014). Waging War: Alliances, Coalitions, and Institutions of Inter-State Violence. Stanford: Stanford University Press.
Webber, M., & Smith, S. (2002). Foreign Policy in a Transformed World. Harlow, Essex: Prentice Hall.
Williams, M. (2011). The Good War—NATO and the Liberal Conscience in Afghanistan. New York: Palgrave Macmillan.
Young, T.-D. (2003). The Revolution in Military Affairs and Coalition Operations: Problem Areas and Solutions. Defense and Security Analysis, 19(2), 111–130.
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.
Author information
Authors and Affiliations
Corresponding author
Rights and permissions
Copyright information
© 2019 The Author(s)
About this chapter
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
DOI: https://doi.org/10.1007/978-3-319-92519-6_1
Published:
Publisher Name: Palgrave Macmillan, Cham
Print ISBN: 978-3-319-92518-9
Online ISBN: 978-3-319-92519-6
eBook Packages: Political Science and International StudiesPolitical Science and International Studies (R0)