Courtesy Reuters

The new world order envisioned by Presidents Bush and Gorbachev would be founded on the rule of law and on the principle of collective security. That principle necessarily entails the possibility of military enforcement measures by the United Nations. Twice in its history the Security Council has authorized such action. The first instance was in the Korean War in 1950; the second was in the Persian Gulf in 1990. More occasions are likely to follow.

The U.N. Charter gives the Security Council the authority "to maintain or restore international peace and security," and to enforce the will of the council on a state that has broken the peace. Use of military force by the council for these purposes was foreseen by the founders of the United Nations. Indeed it was seen almost half a century ago as an essential element in the world order that the United Nations was intended to establish. Should the need arise, countries would be protected from aggression by forces provided to the Security Council by member states, serving as a U.N. army at the council's will. Military forces, however, have not been available to the council on this basis and improvisation has therefore been required. The action taken by the Security Council in response to the Iraqi invasion of Kuwait amounted to just that-an improvisation to permit enforcement of the council's will without the specific means provided in the charter for that purpose.

Military force has much more frequently been used by the United Nations for the purpose of peacekeeping, something not foreseen in the charter at all. This improvisation was first devised in haste to facilitate an end to the 1956 hostilities in the Middle East. Since that beginning, which amply demonstrated the value of the technique, U.N. use of military and civilian personnel provided by member states for peacekeeping has become a well-established practice now supported by all the major powers.

The use of military force by the United Nations for both of these purposes-enforcement and peacekeeping-is surely essential to a world order in which international security is heavily dependent on the Security Council. The experience of the Gulf War and of the more distant past offers important lessons and raises trenchant questions as to how this can most effectively be done in the gulf (as action moves from military victory to the maintenance of peace in the region) and wherever else peace may be endangered.

II

Since the Suez crisis of 1956, the United Nations has developed a notable elasticity in using peacekeeping forces, to the point that it is now difficult to formulate a precise definition-or the limits-of what peacekeeping functions may be. The original role of standing between hostile forces has been expanded to encompass, among other functions, the maintenance of security or stability within a given area (as in southern Lebanon), the monitoring of elections (Namibia, Haiti), the provision of humanitarian assistance (Cyprus) and the disarmament of insurgents (Nicaragua). This flexibility greatly increases the value of peacekeeping forces as an instrument available to the Security Council in dealing with potential or existing conflicts. For example, the permanent members of the Security Council have recently developed a plan to bring peace to Cambodia that would use peacekeeping forces-both military and civilian-for broad purposes of pacification, stabilization and administration.

Three limitations on the use of peacekeeping have been consistently honored: (1) peacekeeping has been interpreted, as originally articulated by U.N. Secretary General Dag Hammarskjöld, as a provisional measure under the U.N. Charter, that is, as a measure undertaken without prejudice to the rights, claims or positions of the parties concerned; (2) peacekeeping operations have been undertaken only with the consent of all the parties concerned; (3) peacekeeping forces may use arms only in self-defense. Again in accordance with the original decision by Hammarskjöld, U.S. and Soviet troops have never been included in peacekeeping forces.

In domestic conflicts the consent of all the parties is likely to remain a compelling requirement. It was clearly shown in non-U.N. peacekeeping undertakings, in Lebanon in 1983-84 and more recently in Liberia, that without the consent of the parties grave risks are involved and the results can be disastrous. This may not, however, be the case in interstate conflicts. When peacekeeping forces are deployed between hostile forces after a truce or ceasefire has been achieved, an essential purpose is to deter a renewal of hostilities. In this sense deterrence is already an accepted function of peacekeeping. Yet in interstate conflicts a situation could well arise in which peacekeeping forces are needed for deterrence purposes but the consent of one of the parties is not obtainable. This should not, a priori, preclude a Security Council decision to deploy them if the other characteristic limitations are maintained.

The situation in the gulf could present the council with precisely such a need, as a long-term settlement of hostilities is sought. Some sort of convincing deterrent force will be needed to prevent renewed threats against Kuwait and, conceivably, to monitor any demilitarized zones that may be established. For the near term, further military adventures are unlikely. But in the long run, neither Iraqi motives and potential for revenge nor the ambitions of one or more of its neighbors can be ignored. Whatever misgivings some parties may have about the U.S.-led gulf operation, they have excellent reasons to converge on some sort of substantial U.N. presence in the gulf in the future. The emergence of the United Nations as an important institution for promoting international security can moderate any revival of Soviet-American tensions that might stem from disagreements regarding the gulf or other regions.

U.S. and Soviet forces could be usefully included in such an operation to ensure, through its size and composition, maximum credibility. But to be acceptable to the majority of U.N. members such a force must retain an indisputable U.N. identity and must not be dominated by one member state. In other border disputes-of which many exist-a comparable need for deterrence may arise, preferably under circumstances that would permit deployment of peacekeeping forces before hostilities actually occur. Indeed, if at the request of Kuwait a peacekeeping force had been deployed on its border with Iraq in August 1990, the Gulf War might have been avoided.

It is worth emphasizing that nothing in the charter prohibits the Security Council from deploying peacekeeping forces without the consent of all the parties, or from including troop contingents from the permanent members of the council in such forces where the need for deterrence arises. (U.S. and Soviet military personnel already serve in U.N. military observer missions.) Such action would still fall under the definition of a provisional measure to be taken by the council "to prevent an aggravation of the situation" before deciding on enforcement action as foreseen in Articles 41 and 42 of the U.N. Charter. The provision of troops by member states for such deterrence operations would remain voluntary, as in other peacekeeping missions, with financing determined on an ad hoc basis by the council, either through assessment of all members or through payment of the cost by the countries requesting the deployment, as could be the case in a situation like the gulf where wealthy states are involved as parties.

The command structure need be no different from other peacekeeping operations: a commander of the U.N. force is appointed by the secretary general after the peacekeeping operation has been authorized by the Security Council for a defined mission. Troop contingents provided by member states serve under their national officers-a battalion commander, for example-who in turn receives orders from the U.N. force commander. The U.N. force commander reports to the secretary general from whom he receives operational guidance. The secretary general reports to the Security Council and obtains its concurrence if any change in the mission of the peacekeeping force is contemplated.

One can question whether it will be logistically feasible for the United Nations to mount, and maintain over a period of time, peacekeeping operations of sufficient size to provide a credible deterrent. It can only be said that where the need for peacekeeping has been evident, as in Namibia, the magnitude of required support has not inhibited action.

A good number of countries might well oppose in principle the idea of deploying peacekeeping forces without the consent of all the parties concerned, fearing that it would open the way to action contrary to their own national interests. Unlike the United States and the other four permanent members of the Security Council, they would not enjoy the protection of the veto. When a similar idea was put forward some years ago, in the course of confidential consultations in the Security Council on how its effectiveness might be enhanced, there was little response. The Gulf War has served, however, to heighten interest in effective deterrence using multilateral means not under the domination of one or several U.N. members. There is certainly now a broad recognition that adequate means of deterrence will be essential to a peaceful world order.

III

The second broad purpose for the Security Council's use of military force falls largely under the heading of compellence, or coercion, rather than simply deterrence. In the context of the Security Council such action is best understood as enforcement action. Use of "air, sea or land forces" for enforcement is specifically foreseen in Chapter VII, Articles 39-46 of the U.N. Charter, in which all members undertake to make available to the Security Council "on its call and in accordance with a special agreement or agreements, armed forces, assistance and facilities, including rights of passage, necessary for the purpose of maintaining international peace and security."

Since no such special agreements have been concluded, no standing multilateral force has been available to the Security Council. Therefore the Security Council authorized the use of ad hoc forces to restore international peace in Korea and the Persian Gulf. When the North Korean attacks on South Korea were formally brought to the Security Council's attention, the council's resolution of July 7, 1950-adopted in the temporary absence of the Soviet Union-called on member states to assist South Korea in resisting the North Korean aggression. It recommended "that all members providing military forces and other assistance pursuant to the aforesaid Security Council resolutions make such forces and other assistance available to a unified command under the United States." It requested further that the United States designate the commander of such forces. The same resolution authorized use of the U.N. flag.

Thus in the case of Korea the Security Council requested one member state to lead a combined effort on behalf of the United Nations to resist aggression. Notwithstanding his designation as commander of U.N. forces in Korea, General Douglas MacArthur, the commander named by the United States, never reported directly to the Security Council. (Routine, unclassified status reports were provided by the United States.) Neither the Military Staff Committee-a body composed of military representatives of the five permanent members intended to advise the council on military matters-nor the council itself had any role in directing military operations of the unified command. The General Assembly did, however, establish a three-nation ceasefire committee that sought a formula to end the war, and the secretary general suggested the procedure of direct talks between the military commanders that was ultimately followed and through which an armistice was achieved.

The advantages offered by this procedure were:

-Expeditious action to resist aggression. Only the United States had troops deployed in South Korea capable of taking quick military action.

-The unambiguous command structure needed for large-scale field operations.

-A practical way to meet the responsibilities of the United Nations under the charter in the absence of a multilateral force under the Security Council for which the necessary agreements with member states had not been reached.

-Validation of the concept of collective security, since states acted jointly in response to Security Council (and subsequently General Assembly) decisions.

The disadvantages of this procedure (which became more evident in the course of time) were:

-The United Nations lacked control or influence over the course of military action or the precise purposes for which it was exercised (e.g., to repel and punish aggression, to reunify the country).

-The military operation became identified with the policy of the nation leading the effort rather than with the United Nations.

-Divisive forces within the United Nations were encouraged by the dominant role of one member state pursuing goals not universally shared.

-Opportunities were afforded the aggressor to identify the struggle with one country, the United States, rather than with the international community as a whole.

All of these disadvantages were intensified in the Korean case by the bitter disagreements that prevailed at the time between the Soviet Union and the United States. Under conditions of harmony among the permanent members of the Security Council, these various disadvantages could have considerably less force.

In the Persian Gulf crisis the Security Council authorized, albeit in oblique language, the use of force for enforcement in another interstate conflict. After imposing a comprehensive embargo in order to bring about Iraqi withdrawal from Kuwait and the restoration of its legitimate government, the council called upon "those member states cooperating with the government of Kuwait which are deploying maritime forces to the area to use such measures commensurate to the specific circumstances as may be necessary under the authority of the Security Council . . . to ensure strict implementation" of the provisions laid down in the resolution relating to economic sanctions. Then, in Resolution 678 of November 29, 1990, the Security Council authorized "member states cooperating with the government of Kuwait . . . to use all necessary means to uphold and implement Security Council Resolution 660 and all subsequent relevant resolutions and to restore international peace and security in the area." All states were requested to provide appropriate support for "the actions undertaken."

This action, with specific reference to Chapter VII of the charter, constituted a new approach to implementation of the collective security concept. As in the earlier enforcement action in Korea, when there was no reference to Chapter VII, a basis for the council to mobilize a U.N. force for military enforcement action did not exist. Therefore the council again turned to member states to act in its behalf through such measures as might be necessary. But this time no unified command was established, and the use of the U.N. flag was not authorized.

The gulf action became possible because the permanent members of the Security Council cooperated on a matter of peace and security in the way originally foreseen when the United Nations was founded. Representatives of the United States and the Soviet Union have repeatedly suggested that such action is an important element in a new world order; that is, a world in which nations will be secure because of the capacity of the United Nations to guarantee their security through collective measures. This fundamental goal of the United Nations is unquestionably brought closer through the sustained cooperation and a notably increased commonality of interests among the major powers, evident not only in the Gulf War but also in other conflicts such as Cambodia and Angola. Two questions nonetheless warrant careful examination: Is the approach that was taken to enforce the council's decisions with regard to the Iraq-Kuwait crisis necessarily a viable model for implementing collective security in the future? Is there a realistic alternative that would offer greater advantages?

IV

With regard to the first question, it is clear that the Security Council, in deciding on action to counter the Iraqi aggression, prescribed action for all member states. While it authorized individual states to take "the necessary action," it requested "all states to provide appropriate support for the actions undertaken." Thus all states were called on to assist in defending one state, Kuwait, from aggression. Actions to be taken for this purpose would seem clearly to constitute "effective collective measures for the prevention and removal of threats to the peace, and for the suppression of acts of aggression" as foreseen in Article 1 of the charter.

But the procedure adopted is not without its difficulties. The Security Council has no means of controlling when, how or in what degree the collective measures are applied. In the gulf case, the states concerned were only requested "to keep the council regularly informed"; some measures taken might not have had majority support in the Security Council or the General Assembly. The state that is in command may have from the outset an interpretation of U.N. goals different from that of other Security Council members, or its aims may become more expansive in the course of the operation. The latter happened in Korea with the U.S. decision to cross the 38th parallel and try to reunify the country by force. It would have been the case in the gulf had the United States pursued military action beyond the Kuwaiti theater of operations.

If the measures taken cease to have the endorsement of the majority of the Security Council, can they still be considered collective measures taken in the council's behalf? This problem is inherent in a procedure in which action is taken on behalf of the council but without any council control over the nature, timing or extent of the action. The major danger is that the entire undertaking will be identified with the country or countries actually involved in military action rather than with the United Nations. In any case, many U.N. members will not view the military action as an appropriate application of collective security if the action appears to conflict with the Security Council's goals.

The gulf operation and the terms for ending military action against Iraq offer a case in point. None of the 12 Security Council resolutions called for eliminating Iraq's war-making capability or deposing Saddam Hussein. But the former clearly became a goal of some coalition members, and the latter was widely suspected. President Bush and the coalition partners felt free to give their own interpretation to the Security Council resolutions. Those members, including the Soviet Union, that interpreted the resolutions more narrowly may be reluctant next time to give such unconstrained authority to member states acting on the council's behalf. In any operation, if the Security Council has asserted no control over the military action authorized, will it be possible for it to assert control over the terms of peace?

Such questions indicate the problems that can arise when a procedure such as that developed for the Gulf War is followed. Moreover the approach adopted in the gulf case is not likely to be viable unless vital interests of one or more major military powers are at risk. For example, the United States might not be interested in deploying substantial forces, even if authorized to do so by the Security Council, to deter or repel an Egyptian attack on Libya.

V

There are alternative procedures that might in the future be followed by the Security Council, ones that would offer the prospect of effective enforcement action without the disadvantages and problems associated with according responsibility to individual member states.

One would be a variant of the procedure followed in Korea. National forces could be brought together in ad hoc fashion under a unified U.N. command, with the commander designated by whichever happened to be the major troop-contributing country. The problems that arose in the Korean case could conceivably be alleviated if the unified commander were required to consult with the Security Council, or with some form of military authority appointed by the council, on the mission of the military operation and the basic strategy to be followed in achieving it. The country supplying the major troop contingent can be expected to resist such a procedure as inhibiting unacceptably the freedom of action of the commander and subjecting its forces to perilous uncertainties. But if favorable relations among the permanent members of the Security Council persist, such a consultative, though not command, procedure might be feasible. It would have the distinct advantage of maintaining a close U.N. identification with all action taken and of giving the Security Council some influence, if not control, over any military action.

The other alternative is the procedure defined in Articles 42 and 43 of the U.N. Charter, according to which all members of the United Nations undertake "to make available to the Security Council on its call in accordance with a special agreement or agreements, armed forces, facilities and assistance." In the Korean War, the "uniting for peace" resolution of 1950 recommended that each member maintain within its armed forces earmarked units so trained that they could promptly be made available for service "as a United Nations unit or units."

The hostile relations between the United States and the Soviet Union were long perceived as the major obstacle to implementing such provisions. If after the Gulf War the two countries remain in accord on using the United Nations, that obstacle may be lifted. The willingness of member states to commit themselves in advance to provide troops and facilities at the request of the Security Council for enforcement purposes has never been tested. It can be argued that such commitment is inherent in U.N. membership, a condition for which is acceptance of the obligations contained in the charter and ability and willingness to carry out those obligations. For such a commitment to be reliable, however, it must be embodied in agreements between the Security Council and those member states prepared to assume the obligations. Such commitments will not be undertaken lightly.

The subject was discussed in detail in 1945 in the U.S. Senate when the U.N. Charter was under consideration. John Foster Dulles, a member of the U.S. delegation to the San Francisco conference at which the charter was signed, told the Senate Foreign Relations Committee that an agreement with the United Nations on the provision of troops should be regarded as a treaty requiring approval of a two-thirds majority of the Senate. The recorded comments of the senators indicate wide agreement with that interpretation. It was also discussed whether the president would need to obtain the consent of Congress to provide troops, when called upon by the United Nations after completion of an agreement. No consensus emerged on the question, but one senator suggested at the time that the size of the force requested could be decisive. Two or three thousand troops for "police action" would not need congressional approval, whereas a battle force would.

Soviet representatives have recently expressed a positive view of a U.N. agreement on the provision of troops for enforcement purposes, but they have emphasized that in no case could the troops be provided without the specific approval of the Soviet parliament.

Once agreements on the provision of troops were completed with a fair portion of member states, the Security Council would have the capacity to call into being a multilateral force (land, sea and air) under a U.N. commander "to maintain or restore international peace and security." In military operations the commander would presumably have full tactical authority but would operate under the guidance of the Security Council or a body established by the council to serve this purpose. Subsequent understandings would be required on command, intelligence, logistics and other more or less centralized functions. The Military Staff Committee could, as foreseen 46 years ago, "advise and assist the Security Council on all questions relating to military requirements." It could do this without acquiring any command authority, which would be inadvisable since it functions on the basis of consensus.

In some ways a U.N. force of this type would be quite similar to a peacekeeping force, since it would be made up of troops provided by member states and would have a U.N. commander. It would differ markedly, however, in mission, armament, composition and command.

A U.N. force of this nature would not entail the problems and disadvantages that the other identified approaches could present. Identification with the United Nations from initiation to end of any operation would be assured, and control could be clearly in the hands of the Security Council. The likelihood of sustained support among U.N. members for the action undertaken would be strong. Yet in this approach, too, likely problems can be identified.

First of all, it is not clear how many states will be willing to conclude the agreements foreseen in the U.N. Charter-or how long this will take. It can only be said that international circumstances, especially in the wake of the Gulf War, appear more favorable than at any time since 1945. It is also questionable whether a force as large and elaborately equipped as one needed to maintain peace in the gulf, for example, could have been organized quickly on this basis. Any very large operation is bound to depend heavily on a major contingent from one or more of the principal military powers; the larger and more sophisticated the contingent provided, the less likely the contributing country will be willing to place it under non-national command.

Organization and deployment of a multilateral force by the Security Council would likely require more time than if action were delegated to one or more member states, especially if a large-scale operation were foreseen. To shorten the lead time, the secretary general might be given authority, not subject to the veto, to send an unarmed observer corps to any international border at any time. According to Article 99 of the U.N. Charter, the secretary general "may bring to the attention of the Security Council any matter which in his opinion may threaten the maintenance of international peace and security." To do so he needs to be informed. An authorization to send observers without specific consent of the parties raises difficulties, but it would allow the Security Council to be forewarned and to make quick preparations if an enforcement action were required. The very presence of observers can have a deterrent effect, possibly avoiding the need for subsequent enforcement.

Then, too, there is a very basic question as to whether a military action can be successfully carried out under multilateral strategic command, or as successfully as under national command. Administrative aspects of managing the use of force by the Security Council have received little attention. Save for peacekeeping and the peculiar conditions permitting the Korean operation, the prospects of using U.N. forces were nil during the Cold War. Nonetheless important multinational dimensions characterized U.S. military plans during the Korean War, in the U.S. commitment to NATO and notably in the Persian Gulf.

The force of the NATO and Korea precedents must not be exaggerated. In both instances there was virtual consensus on the nature of the military threat, decades-long experience of close cooperation and, in Europe, a high degree of cultural and political homogeneity-far more than likely in most future U.N.-sanctioned operations. If the United States should put its forces under another state's commander, one would have to expect a relatively much smaller contribution of U.S. troops and financing than in the gulf operations. By its treaty commitments and geographic deployment, however, the United States stood a great chance of being involved in any military operations in Europe and Korea. Any U.N. enforcement action would have to be authorized by the Security Council and would thus be subject to U.S. veto. This fact should reassure Congress.

One question inherent in any big multilateral action concerns the level at which integration of command of multinational forces would occur. The distinction in U.S. military terminology between command and operational control (OPCON) is useful in this respect. Command applies to such matters as discipline, pay, morale and logistics; most of these (perhaps not logistics) would be carried out at the level of the national military contingents. OPCON is likely to be different. If U.S. troops were involved there would probably have to be, under an overall U.N. commander from some country, a U.S. "component commander" operating with substantial independence. OPCON can be decentralized by confining each member's forces to a specific sector, physically dividing up the ground, as has been done in most U.N. peacekeeping operations.

Some other functions may be even harder to divide than OPCON. Intelligence gathering, for example, will be dominated by states with vast technological capacities for overhead and electronic surveillance. In the gulf operation other coalition members presumably accepted U.S. control of intelligence, but if there were substantial Soviet participation the Soviets would likely not accept it. Secure communications would be required among participating forces in the field, either through sharing encryption (politically very sensitive) or cumbersome procedures for transmission and delivery. It is likely that some states will be unable or unwilling to provide adequate logistical support for their troops, and that those with the motivation and ability to do so will have to provide for others. Some U.N. "headquarters" personnel and facilities will be required for these functions, probably drawing on the experience and capabilities of the secretary general's staff.

The problem of financing such military actions demands careful attention. The history of financing past peacekeeping efforts by voluntary contribution is, to say the least, not encouraging. The gulf operation was heavily dependent on the willingness and ability of the most deeply involved states-the United States, Saudi Arabia and Kuwait-to pay most of the immediate costs, and in turn their willingness depended upon their ability to control the means and ends of military operations. A future operation that less directly engaged the interests of such states would have to rely on broader support, probably through an assessment of all member governments. Reasonably complete and prompt payment of those assessments would have to be assured.

Such problems may be equally severe for the peacetime maintenance of standing earmarked forces. Unless any additional costs incurred can be covered by the United Nations, Third World states may be unable to participate. Certain central (non-state-specific) services, such as administration, intelligence, command and control, perhaps logistics and transport, must be prepared and institutionalized in advance. Provision in the regular budget of the United Nations might cover such ongoing costs of multilateral readiness, with special assessments made to cover the cost of any enforcement actions undertaken.

VI

The credibility of U.N. action to repel aggression and restore international peace and security, as foreseen in the U.N. Charter, has been profoundly affected by the response to the Iraqi invasion of Kuwait. The Security Council showed itself capable of taking decisive action. Its ability to impose comprehensive sanctions and see them enforced was clearly demonstrated, even though the ultimate effectiveness of the sanctions was not adequately tested. By authorizing the use of military force the council gained compliance with all of its relevant resolutions. The Security Council has shown that it has the capacity to initiate collective measures essential for the maintenance of peace in a new world order.

This development can enhance the United Nations' ability not just to restore the status quo as it existed prior to a breach of the peace, but also to change the parameters of the global order to something more favorable than existed under the prior status quo. In this it may even go beyond the vision of the U.N. founders. Furthermore knowledge that the United Nations has such a capability will also enhance its ability to deter breaches of the peace, and so make actual enforcement or later peacekeeping less necessary. Collective security may suppress incipient acts of aggression as well as defeat or punish those that do emerge.

Nevertheless it should not be assumed that any U.N. role in enforcement during the 1990s will be automatic. It will require a deliberate political judgment that can only be made by members of the Security Council acting collectively, and will depend on some continuing commonality of interests among the five permanent members of the council-the United States and the Soviet Union in particular. The effectiveness of the United Nations in dealing with international security problems, whether by enforcement measures, peacekeeping or mediation, will always be sensitive to the nature of relations between these two superpowers. A United Nations whose credibility in dealing with aggression and threats to peace has been restored, however, can serve to moderate any revival of tension between them by lessening the need for, or likelihood of, unilateral intervention in regional crises.

The manner in which the gulf military action was executed by the United States and its coalition partners will likely limit the willingness of council members to follow a similar procedure in the future-a procedure that leaves council members little control over the course of military operations and over the conclusion of hostilities. Neither the United States nor any other country will be ready to act under all circumstances to preserve or restore peace. Nor will other states always be ready to endorse unilateral actions. Some states may not wish to contribute to an operation, and the council may not always wish to depend disproportionately on a particular state's contribution.

Some U.N. capacity to carry out these functions on a permanent basis will therefore be desirable. For this reason, as well as others previously mentioned, the Security Council should be able to mobilize a force to serve under U.N. command for enforcement purposes. That capacity may be virtually indispensable in an emergent world order. The chance to achieve it should not be missed.

  • Bruce Russett is Dean Acheson Professor of International Relations and Political Science at Yale University. James S. Sutterlin, former Director of the Executive Office of the U.N. Secretary General, is a Fellow at Yale's International Security Programs.
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