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Responsibility Sharing Report July 2003

Annex A. Data Notes

The assessments presented in this Report are only as good as the data upon which they are based. The Department has every confidence that the data used for the assessments in this Report are as complete, current, and comprehensive as they can be, given the deadlines established in the legislation.

Data Sources

War on Terrorism data have been obtained from a wide variety of Unclassified sources including U.S. embassies, the U.S. Defense and State Departments, allied armed forces and defense ministry web pages, and the open press.

Defense spending data have been obtained from a variety of sources. NATOís 20 December 2002 Press Release: Financial and Economic Data Relating to NATO Defence (available on NATOís website at http://www.nato.int/docu/pr/2002/p02-139e.htm) is the primary source for past and current defense spending data for the NATO nations, including the United States. Sources of defense spending data for Japan, the Republic of Korea, and the GCC nations include U.S. embassies in these nations, recent national defense white papers (where available), and the International Institute for Strategic Studiesí (IISS) The Military Balance 2002-2003.

For purposes of standardization and comparability, this Report presents defense spending figures using the NATO definition wherever possible. According to this approach, defense expenditures are defined as outlays made by national governments specifically to meet the needs of the armed forces. In this context, the term "national government" limits "defense expenditures" to those of central or federal governments, to the exclusion of state, provincial, local, or municipal authorities. Regardless of when payments are charged against the budget, defense expenditures for any given period include all payments made during that period. In cases where actual 2002 defense outlays are not available, final defense budget figures are substituted. War damage compensation, veteransí pensions, payments out of retirement accounts, and civil defense and stockpiling costs for industrial raw materials or semi-furnished products are not included in this definition of defense spending. Defense spending figures depicted in this Report for the United States are based on the NATO definition and therefore may differ somewhat from other U.S. defense spending figures provided to Congress or used within the Department of Defense. NATOís definition of defense spending includes spending on programs funded outside of the Department of Defense, namely, the Department of Stateís International Security Assistance Programs, and the defense-related portions of the Coast Guard and the Department of Energy.

GDP data for NATO members, Australia, the Republic of Korea, and Japan are taken from the Organization for Economic Cooperation and Development (OECD). GDP data for the GCC countries (which are not reported by OECD) are drawn from The Economist Intelligence Unit (EIU).

Multinational peace operations data includes a) 2002 funding contributions to UN peacekeeping operations and b) contributions of personnel (troops, military observers, and international police) to both UN and major non-UN peace operations as of November 2002. UN personnel contributions data have been obtained from the December 2002 Monthly Troop Contributors List prepared by the UNís Department of Peacekeeping Operations, while those for the NATO-led peace operations in Bosnia and Kosovo (i.e., SFOR and KFOR) are based upon classified sources provided by the Department of Defenseís Balkans Task Force. Funding data for UN peace operations have been obtained from the Status of Contributions as at 31 December 2002 produced by the United Nationsí Secretariat.

Combat forces data (ground, naval, and air) are based on information provided by nations under the Conventional Forces Europe (CFE) data exchange (for those forces limited by CFE), supplemented with data from responses to NATOís Defense Planning Questionnaire (for those nations that participate in NATOís integrated defense planning process), open sources (such as Janeís Defense publications and magazines and IISSí The Military Balance 2002-2003), and DoD sources.

Ground combat capability data includes major combat systems, including tanks, artillery, and attack helicopters for army and marine units. Armored vehicles, anti-tank weapons, mortars, small arms, and transport and combat service support assets are not included in this assessment. The quantity and quality of nationsí equipment holdings are assessed using widely accepted static measures.

Naval combat, and mine countermeasures tonnage data includes aircraft carriers, attack submarines (non-strategic), principal surface combatants (cruisers, destroyers, frigates, and larger corvettes), mine warfare ships and craft (including mine layers), and patrol combatant ships for the combat, strike and defense category.

Combat aircraft capability data includes fixed-wing combat aircraft (air force, naval, and marine assets) in the following categories: fighter/interceptor, fighter/bomber, conventional bomber, and tactical fighter reconnaissance aircraft (including combat-capable trainer and electronic warfare aircraft). Not included are maritime patrol aircraft (MPA), anti-submarine warfare (ASW) aircraft, transports, air-to-air refueling aircraft, or any support or special mission aircraft. The quantity and quality of nationsí equipment holdings are assessed using widely accepted static measures.

Military Mobility and Logistics Forces data (naval, and air) are based on information provided by nations under the Conventional Forces Europe (CFE) data exchange (for those forces limited by CFE), supplemented with data from responses to NATOís Defense Planning Questionnaire (for those nations that participate in NATOís integrated defense planning process), open sources (such as Janeís Defense publications and IISSí The Military Balance 2002-2003), and DoD sources.

Naval supply, tender and transport tonnage includes amphibious warfare ships, various types of tenders, landing ships, tankers, transports, and other support ships.

Military transport aircraft capacity data includes military fixed wing transport aircraft (air force, army, marine, and naval assets) to include multi-role tanker/transports. Not included are transport aircraft with maximum payload capacity less than 12,000 lbs, aircraft identified as VIP transport, government-owned aircraft operated in civilian markings, and commercial aircraft available under contract or national legislation in a time of war or national emergency. Transport capacity is derived from number and model of aircraft multiplied by cargo capacity measured in short tons (maximum payload in pounds (lbs) (as stated in Janeís All the Worlds Aircraft) divided by 2,000).

Tanker aircraft fuel offload capacity data includes fixed wing air-to-air refueling aircraft (air force, naval, and marine assets) to include multi-role tanker/transports. Fuel offload capacity is derived from number and model of aircraft multiplied by maximum fuel offload capacity measured in pounds (lbs) at a mission radius of 1000 nautical miles.

Defense modernization spending data portrays the percentage of NATO membersí 2002 defense budgets that were devoted to major equipment procurement and research-and-development. These are derived from information contained in NATOís annual Defense Planning Questionnaire.

Cost sharing data have been obtained from U.S. embassies and DoD components, including the military departments and commands. DoD components also provide estimates of U.S. stationing costs by country. Cost sharing data and stationing cost estimates for a given year are collected by the Department during the spring of the following year, and are then evaluated and published as budget exhibits. Due to the Congressional deadline for this Report, the Department provides estimates for 2001 instead of 2002. A cost offset percentage cannot be calculated for Hungary and the United Arab Emirates due to lack of information regarding U.S. stationing costs in those countries. Canada, the Czech Republic, France, the Netherlands, and Poland do not provide host nation support and are thus not included in this analysis.

Bilateral cost sharing is divided into two categories, according to whether the costs are borne by the host nation on-budget (direct cost sharing), or as imputed values of forgone revenues (indirect cost sharing). Direct cost sharing includes costs borne by host nations in support of stationed U.S. forces for rents on privately owned land and facilities, labor, utilities, and vicinity improvements. Indirect cost sharing includes forgone rents and revenues, including rents on government-owned land and facilities occupied or used by U.S. forces at no or reduced cost to the United States, and tax concessions or customs duties waived by the host nation.

Foreign assistance data have been obtained from the OECD. The OECDís Development Assistance Committee (DAC) encourages commitments of international aid, coordinated aid policies, and consistent aid reporting. The DACís definition of official development assistance (ODA) is recognized as the international standard for reporting aid provided to developing countries and multilateral institutions. This is immensely useful, since "aid" is an extremely broad term, and encompasses many different types of assistance, which can make contributions from various nations very difficult to compare directly.

The OECD has a 29-nation membership including all NATO countries, Japan, and the Republic of Korea. The OECD establishes economic and political conditions that nations must meet before receiving assistance (e.g., demonstrated commitment to political reform, and free and fair elections). Subsidies are provided in the form of trade and investment credits, grants, and loan guarantees, and are directed into areas such as food aid, medical supplies, and technical assistance in management training, privatization, bank and regulatory reform, environmental projects, market access/trade, nuclear reactor safety, and democratic institution building. The OECD is also coordinating nuclear safety assistance to the New Independent States of the former Soviet Union (NIS).

Aid to 12 of the 22 emerging economies of Central Europe (including the Czech Republic, Hungary, and Poland) and the NIS does not qualify as official development assistance for OECD purposes, but instead is categorized as official aid (OA). Both categories, ODA and OA, cover identical types of assistance, with the only difference being the recipient nations. Other OA recipient nations include more advanced developing countries (e.g., Kuwait, Qatar, and the United Arab Emirates). Recipient nations move from one aid category to the other depending on their development status. Total foreign assistance evaluated in this Report is the sum of all ODA and OA.

Foreign assistance data in this Report cover the period 1995 through 2001. At this time, complete and reliable foreign assistance data are available only through 2001 due to complexities and delays in the OECD collection and reporting process, and data are still not complete for some countries for 1995-1997. Assistance data are not available for the Czech Republic or Poland for years covered in this Report prior to 1998. This is to be expected since these nations, along with Hungary, are primarily recipients of foreign assistance. This is also the case with Bahrain, Oman, and Qatar, for which no foreign assistance contributions are reported.

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