Preserving Ukraine’s Independence,

Resisting Russian Aggression:

What the United States and NATO Must Do
Ivo Daalder, Michele Flournoy, John Herbst, Jan Lodal, Steven Pifer, James Stavridis,
Strobe Talbott and Charles Wald
© 2015 The Atlantic Council of the United States. All rights reserved. No part of this publication may be reproduced or
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ISBN: 978-1-61977-471-1
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This report is written and published in accordance with the Atlantic Council Policy on Intellectual Independence. The authors are
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February 2015
PREFACE

This report is the result of collaboration among the Donbas provinces of Donetsk and Luhansk.
scholars and former practitioners from the A stronger Ukrainian military, with enhanced
Atlantic Council, the Brookings Institution, the defensive capabilities, will increase the pros-
Center for a New American Security, and the pects for negotiation of a peaceful settlement.
Chicago Council on Global Affairs. It is informed When combined with continued robust Western
by and reflects mid-January discussions with economic sanctions, significant military assis-
senior NATO and U.S. officials in Brussels and tance to bolster Ukraine’s defensive capabilities
senior Ukrainian civilian and military officials in will make clear that the West will not accept
Kyiv and at the Ukrainian “anti-terror operation” the use of force to change borders in Europe.
headquarters in Kramatorsk. President Putin may hope to achieve glory
through restoring, through intimidation and
The report outlines the background to the force, Russian dominion over its neighbors. But
crisis over Ukraine, describes why the United a peaceful world requires opposing this through
States and NATO need to engage more actively decisive action.
and urgently, summarizes what the authors
heard in discussions at NATO and in Ukraine, We fully endorse the analysis and recommen-
and offers specific recommendations for steps dations contained in the report and urge the
that Washington and NATO should take to Obama Administration and NATO governments,
strengthen Ukraine’s defenses and thereby with support from the U.S. Congress and Allied
enhance its ability to deter further Russian parliaments, to move rapidly to implement the
aggression. recommendations.

Such action would contribute to helping Ukraine

restore control over its border and territory in

Ivo Daalder, President, the Chicago Council on Global Affairs, and former U.S. Permanent
Representative to NATO

Michele Flournoy, Chair, Center for a New American Security, and former Under Secretary of Defense

John Herbst, Director, Dinu Patriciu Eurasia Center, the Atlantic Council, and former U.S. Ambassador
to Ukraine

Jan Lodal, Distinguished Fellow and former President, the Atlantic Council, and former Principal
Deputy Under Secretary of Defense

Steven Pifer, Senior Fellow, the Brookings Institution, and former U.S. Ambassador to Ukraine

James Stavridis, Member of the Board, the Atlantic Council, Dean, Fletcher School of Law and
Diplomacy, Tufts University, and former Supreme Allied Commander Europe

Strobe Talbott, President, the Brookings Institution, and former Deputy Secretary of State

Charles Wald, Member of the Board, the Atlantic Council, and former Deputy Commander, U.S.
European Command
TABLE OF CONTENTS

Executive Summary................................................................................................................................................................... 1

Background: A Putin-Manufactured Conflict................................................................................................................. 2

The Case for Increased U.S. Military Assistance Now................................................................................................ 2

Providing Military Support to Deter Further Aggression.......................................................................................... 3

Recommendations for Specific Military Assistance.................................................................................................... 4

Supporting Recommendations............................................................................................................................................ 5

Conclusion.................................................................................................................................................................................... 6

Appendix 1: September 5 Minsk Ceasefire Protocol.................................................................................................... 7

Appendix 2: Russian/Separatist Military Advantages................................................................................................ 8

Appendix 3: Key Elements of the Ukraine Freedom Support Act of 2014......................................................... 9

Appendix 4: Discussions in Brussels, January 12, 2015............................................................................................ 10

Appendix 5: Discussions in Ukraine, January 13-16, 2015..........................................................................................11

Preserving Ukraine’s Independence, Resisting Russian Aggression: What the United States and NATO Must Do

EXECUTIVE SUMMARY

We face a critical juncture in Ukraine. There is no real possible in 2015, followed by additional tranches of $1
ceasefire; indeed, there was a significant increase in billion in FY 2016 and FY 2017.
fighting along the line of contact in eastern Ukraine in
mid-January, with Russian/separatist forces launching Additional non-lethal assistance should include: counter-
attacks on the Donetsk airport and other areas. Instead battery radars, unmanned aerial vehicles (UAVs),
of a political settlement, Moscow currently seeks to electronic counter-measures for use against opposing
create a frozen conflict in eastern Ukraine as a means UAVs, secure communications capabilities, armored
to pressure and destabilize the Ukrainian government. Humvees and medical support equipment.
Russians continue to be present in the Donetsk and
Lethal defensive military assistance should include light
Luhansk oblasts in substantial numbers and have
anti-armor missiles, given the large numbers of armored
introduced significant amounts of heavy weapons. This
vehicles that the Russians have deployed in Donetsk and
could be preparation for another major Russian/
Luhansk and the abysmal condition of the Ukrainian
separatist offensive.
military’s light anti-armor weapons.
Russian success would fatally undermine Ukraine’s
Other NATO members should provide military assistance
stability and embolden the Kremlin to further challenge
as well. Of particular use to the Ukrainian military would
the security order in Europe. It might tempt President
be equipment and weapons from NATO members who
Putin to use his doctrine of protecting ethnic Russians
operate former Soviet equipment compatible with the
and Russian speakers in seeking territorial changes
arms currently in the Ukrainian inventory.
elsewhere in the neighborhood, including in the
Baltic States, provoking a direct challenge to NATO. Assisting Ukraine to deter attack and defend itself
Maintaining Western sanctions are critical but not is not inconsistent with the search for a peaceful,
by themselves sufficient. The West needs to bolster political solution—it is essential to achieving it. Only if
deterrence in Ukraine by raising the risks and costs to the Kremlin knows that the risks and costs of further
Russia of any renewed major offensive. military action are high will it seek to find an acceptable
political solution. Russia’s actions in and against Ukraine
That requires providing direct military assistance—in
pose the gravest threat to European security in more
far larger amounts than provided to date and including
than 30 years. The West has the capacity to stop Russia.
lethal defensive arms—so that Ukraine is better able
The question is whether it has the will.
to defend itself. The U.S. government should provide
Ukraine $1 billion in military assistance as soon as

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Preserving Ukraine’s Independence, Resisting Russian Aggression: What the United States and NATO Must Do

economy—particularly as oil prices have dropped

Background: substantially, sharply reducing export earnings. But
A Putin-Manufactured Conflict they have not yet achieved their principal political
goal: effecting a change in Russian policy toward
Ukrainian President Yanukovych’s November 2013 Ukraine. Western leaders have stated that sanctions will
decision, apparently under great pressure from Putin, remain in place until the Kremlin’s policy changes in a
not to sign an association agreement with the European significant way.
Union triggered massive demonstrations and an
intense political crisis within Ukraine. The Ukrainian Although there have been numerous diplomatic
crisis became a major Ukraine-Russia conflict in late exchanges since the September 5 ceasefire agreement,
February 2014, when Yanukovych abandoned his little real progress has been made toward a broader
position and Russian military forces seized Crimea. Just settlement. The Russians have done little to implement
weeks after Russia’s annexation of Crimea, armed the ceasefire terms. They have not withdrawn their
separatists—with support, funding and leadership forces and equipment; indeed, NATO and Ukrainian
from Moscow—seized government buildings in the sources report a significant influx of Russian heavy
eastern Ukrainian oblasts of Donetsk and Luhansk. By equipment in December and January. By all appearances,
May, the Russian-supported separatists had occupied a as of mid-January, the Russian government does not seek
significant portion of the Donbas. a genuine settlement in eastern Ukraine but intends
to create a frozen conflict as a means to pressure and
Once a Ukrainian counteroffensive started to make destabilize the Ukrainian government.
progress in June, Russia began supplying the separatists
with heavy weapons, such as tanks, armored personnel Russian and separatist forces currently operating in
carriers, artillery and advanced anti-aircraft systems, eastern Ukraine enjoy significant advantages over the
apparently including the BUK (NATO designator Ukrainian armed forces in air superiority, intelligence,
SA-11/17) surface-to-air missile system that shot electronic warfare, command and control, artillery and
down Malaysia Air flight 17 in July. Russia also sent in rockets, supply and logistics, and sanctuary in Russia
large numbers of “volunteers.” When Ukrainian forces (see Appendix 2 for more detail). These advantages
continued to make progress in August, regular Russian have significantly contributed to losses suffered by
army units entered the Donbas, and attacked and Ukrainian forces since the September 5 ceasefire. These
inflicted heavy casualties on the Ukrainian military and capabilities most likely render Ukrainian forces unable
Ukrainian volunteer battalions. The Ukrainian military to prevent, and unlikely to halt on favorable terms, a
reportedly lost well over half of its deployed armor. major offensive by Russian and separatist forces to take
additional territory in the Donetsk and Luhansk oblasts
A ceasefire was reached in Minsk on September 5, or to create a land bridge through Mariupol to Crimea.
which significantly reduced the number of deaths
from the fighting (see Appendix 1 for the twelve points
of the ceasefire). But the ceasefire never fully took
hold. In some areas, including around the Donetsk The Case for Increased U.S. Military
airport, fighting continued almost unabated. There Assistance Now
was a significant improvement in compliance with the
ceasefire beginning on December 8, but shellings across The situation in eastern Ukraine is urgent and
the line of contact between Ukrainian and separatist/ deteriorating. In recent weeks, the flow of heavy
Russian forces in the Donbas increased markedly around weapons has grown markedly, and Moscow is no longer
January 11, and the situation again deteriorated. Since taking steps to hide this support from overhead
the ceasefire, the Russian-backed separatists have seized imagery. Fighting along the line of contact increased
an additional 500 square kilometers of territory. significantly during the week of January 19. Aleksandr
Zakharchenko, leader of the self-proclaimed “Donetsk
The United States, European Union and other countries People’s Republic,” indicated on January 23 that the
imposed increasingly severe economic sanctions separatists would seek to take all of the Donetsk oblast.
on Russia over the course of 2014. They began with Large numbers of Russian forces remain deployed along
sanctions targeted at individuals but in July and the border, ready to enter Ukraine on very short notice.
September applied much broader and more robust
sanctions targeting a range of Russian entities in Russian and separatist forces clearly have the capacity
the financial, energy and defense sectors. Sanctions for further offensive military action—whether to
appear to be having a significant impact on the Russian gain control of the entire Donbas region or, worse, to

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Preserving Ukraine’s Independence, Resisting Russian Aggression: What the United States and NATO Must Do

establish a land bridge between Russia and the Crimea East and the strategic challenge posed by the rise of
through effective control of southeastern Ukraine. Any China, Washington and other capitals have not devoted
such offensive move would set back the prospect for sufficient attention to the threat posed by Russia and its
a peaceful settlement and further destabilize Ukraine. implications for Western security. This must change.
The costs to the West of maintaining an independent
Ukraine would then only grow, and Moscow might be If the United States and NATO do not adequately support
emboldened to take further actions. While these actions Ukraine, Moscow may well conclude that the kinds of
may not seem likely, they certainly are not unthinkable. tactics it has employed over the past year can be applied
Few analysts at the end of 2013 would have considered elsewhere. Of particular concern would be Russian
a Russian military seizure of Crimea or invasion of the actions to destabilize Estonia or Latvia, each of which
Donbas “thinkable.” has a significant ethnic Russian minority and both of
which are NATO members to whom the United States
The post-World War II effort to create a safer Europe is and allies have an Article 5 commitment. The Kremlin
under serious threat. The 1975 Conference on Security has already demonstrated aggressive intent in the Baltics
and Cooperation in Europe Final Act, in which Russia by kidnapping an Estonian security official the day the
agreed to respect the “inviolability of borders” in Europe, NATO Wales summit ended.
has been blatantly violated. The United States, moreover,
is a signatory to the 1994 Budapest Memorandum on To be sure, there are issues on which the interests of the
Security Assurances for Ukraine. In that document, the United States and the West, on the one hand, and Russia,
United States, Britain and Russia committed to respect on the other, coincide. These include preventing Iran
Ukraine’s sovereignty, independence and territorial from acquiring nuclear arms, avoiding a return of the
integrity, and not to use or threaten to use force against Taliban or chaos in Afghanistan, the broader counter-
Ukraine. Russia has grossly violated those commitments, terrorism struggle, and controlling nuclear weapons and
which were key to Kyiv’s decision to eliminate its materials. But these interests should not outweigh the
nuclear weapons. The United States and Britain should, West’s interest in blocking Russian aggression that poses
in response, do more to robustly support Ukraine and a threat not just to Ukraine, but also to the security of
penalize Russia. broader Europe and the transatlantic community.

This is not just a question of honoring U.S. commitments The world has faced this kind of challenge before.
under international agreements. It is important for History makes clear that the only way to stop such
preserving the credibility of security assurances for aggression from precipitating a regional or even world-
the future, when they might play a role in resolving wide conflagration is to deter and defend against it as
other nuclear proliferation cases, such as Iran and early as possible and not to be fooled by protestations of
North Korea. innocent motives or lack of further ambitions.

Above and beyond Ukraine—and more important in

strategic terms for the United States and NATO—is
the need to respond to the challenge to European and Providing Military Support to Deter
Eurasian security posed by the Kremlin’s aggressive Further Aggression
policies. Russia has broken the cardinal rule of post-
war European security, i.e., states must not use The Ukrainian military appears capable of limited
military force to change international borders. Putin military operations, such as the January 19 counter-
and the Kremlin have proclaimed a unique and legally attack on the Donetsk airport (the airport reportedly
dubious right to “protect” ethnic Russians and Russian has since been lost). Given the experience of August,
speakers, wherever they are located and whatever however, Kyiv is most unlikely to launch a major
their citizenship. This was the justification that Putin military effort to try to regain control of Donetsk
belatedly offered for Russia’s illegal annexation of and Luhansk; President Poroshenko has said there
Crimea, despite the fact that there was no credible threat can be no military solution and has sought a negotiated
to ethnic Russians in Crimea. settlement.

If not constrained, such Russian policies represent a There remains, however, the question of Kyiv’s ability
clear danger to European security, the North Atlantic to defend itself against further Russian attacks. Even
community, as well as to Russia’s neighbors in Eurasia. with enormous support from the West, the Ukrainian
Given the many other world challenges confronting the army will not be able to defeat a determined attack by
United States, especially problems in the broader Middle the Russian military. This point is well understood in

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Kyiv. The more appropriate goal of Western military to ensure that Congressional authorizations are written
assistance should be to give the Ukrainian military in a way that allows the government to make quick and
additional defense capabilities that would allow it efficient use of the assistance.
to inflict significant costs on the Russian military,
should the Russians launch new offensive operations, Some of us traveled January 12-16 to Brussels for
sufficient enough that Moscow will be deterred from discussions with senior NATO leaders, to Kyiv for
further aggression. discussions with senior Ukrainian civilian and
military leaders, and to Kramatorsk to meet with the
The United States and NATO should seek to create a commanding general of the “anti-terror operation”
situation in which the Kremlin considers the option of and his staff.1 According to both NATO and Ukrainian
further military action in or against Ukraine too costly officials, Russian military personnel are in the Donbas,
to pursue. The combination of closing off that option and there has been a significant influx of additional
plus the cumulative impact of Western economic Russian heavy equipment in December and January.
sanctions could produce conditions in which Moscow The Ukrainians reported that the Russians make heavy
decides to negotiate a genuine settlement that allows use of unmanned aerial vehicles (UAVs) for surveillance
Ukraine to reestablish full sovereignty over Donetsk and reconnaissance and combine those with long-range
and Luhansk. (The West cannot lose sight of the status artillery and rocket strikes with devastating effect. (See
of Crimea, though Kyiv has said that that is an issue for Appendices 4 and 5 for details on discussions in Brussels
the longer term; it correctly attaches priority to the and Ukraine.)
Donbas situation.)
The following recommendations, based on what we
Putin’s aggression in Ukraine and self-proclaimed heard in Brussels, Kyiv and Kramatorsk, constitute a
right to protect ethnic Russians and Russian speakers minimum immediate response. Washington should
wherever they are pose the gravest security threat urgently consult with Kyiv on provision of the following
to the transatlantic community and Eurasia since the types of military assistance, with a view to rapid
end of the Cold War. The United States and NATO must procurement—or provision from existing U.S. defense
recognize this danger and adjust policies and allocate stocks—and delivery:
resources accordingly. A firm Western response can
bolster Kyiv’s ability to deter further Russian attacks. • Counter-battery radars that can detect and locate
Moreover, if confronted by a strong Western response in the origin of multiple launch rocket system (MLRS)
support of Ukraine, the Kremlin will be far less tempted launches and artillery firings out to a range of 30-40
to challenge the security or territorial integrity of other kilometers. These will enable the Ukrainian military to
states, including NATO members Estonia and Latvia. identify ceasefire violations and potentially to target
the Russian/separatist weapons that have thus far
caused the greatest number of Ukrainian casualties.
(Approximately 70 percent of Ukrainian casualties are
Recommendations for Specific Military from rocket and artillery fire.)
Assistance • Medium altitude/medium range UAVs. These will
Bolstering Ukraine’s defense capabilities will require a assist the Ukrainian military to increase its tactical
commitment of serious resources. The U.S. government situational awareness, identify opposing troop
in 2014 pledged $120 million in non-lethal military deployments, and locate opposing MLRS and artillery.
assistance, of which about half has been delivered. The
• Electronic counter-measures for use against opposing
Ukraine Freedom Support Act of 2014 authorized—but
UAVs. This will give the Ukrainian military capabilities
did not appropriate—$350 million in military
to disrupt opposition UAVs conducting missions
assistance (non-lethal and lethal) over three years (see
against Ukrainian forces.
Appendix 3 for key provisions of the Act).
• Secure communications capabilities. Much Ukrainian
This is a beginning. But a much more substantial effort
tactical communication currently is conducted over
is required. The administration should request, and
non-secure radios or cell phones and thus is extremely
Congress should immediately authorize and appropriate,
vulnerable to interception by Russian intelligence-
$1 billion in assistance to bolster Kyiv’s defense and
gathering systems.
deterrence capabilities as rapidly as possible in 2015,
with additional tranches of $1 billion to be provided
in FY 2016 and FY 2017. Congressional staff should
1 Daalder, Herbst, Lodal, Pifer and Wald traveled to Brussels and
coordinate with the Departments of Defense and State
Ukraine.

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• Armored Humvees. With Russian UAVs patrolling the to provide equipment and weapons from their stocks to
skies and the persistent threat of Russian precision Ukraine. For the longer term, U.S. military experts should
rocket and artillery fire, Ukrainian forces require consult with the Ukrainian military on steps to build a
all-weather mobility, speed, reliability and a measure stronger national air defense. As part of this discussion,
of protection as they move between positions on the United States should not rule out the possibility of
the battlefield. helping provide advanced air defense systems.

• Medical support equipment. Ukrainian casualties are The U.S. government should approach Poland, the Baltic
greater because of their relatively underdeveloped States, Canada and Britain regarding their readiness
and severely under resourced military medical system. to provide lethal military assistance. Such assistance
The provision of field hospitals would greatly improve should be coordinated to avoid duplication of efforts.
their soldiers’ survival rate. Poland, in particular, as a former Warsaw Pact member,
should be able to help with consumables and spare
• In addition to the above non-lethal items, the U.S. parts, as well as compatible equipment, since the bulk of
government should immediately change its policy Ukraine’s equipment is Soviet in origin.
from prohibiting lethal assistance to allowing
provision of defensive military assistance, which may Some in the West are concerned that provision of
include lethal assistance, most importantly, light anti- military assistance, particularly of lethal arms, would
armor missiles. Ukrainian light anti-armor capabilities cause Russia to escalate the crisis. We vehemently
are severely lacking at a time when the Russians have disagree. Russia has already continuously escalated:
moved large numbers of tanks and armored personnel seizing and annexing Crimea, encouraging and aiding
carriers into the Donbas (70 percent of their existing separatists in eastern Ukraine, providing the separatists
stocks of light anti-armor weapons reportedly do not with heavy arms, and ultimately invading the Donbas
work). Any major Russian/separatist advance beyond with regular Russian army units. Although NATO and
the line of contact would presumably make heavy use Ukraine differ over whether Russian regular units have
of tanks and armored personnel carriers. Anti-armor been withdrawn, there is no dispute that a significant
missiles would give the Ukrainian army the capability number of Russian officers and a large amount of
to impose heavier costs and support the disruption of Russian military equipment remain in the Donbas.
such attacks. Raising the risks and costs will help deter Enhanced military assistance would increase Kyiv’s
further Russian offensive operations. capability to deter further Russian escalation.

Given the urgency of the situation—some fear that a new

offensive could be launched once the spring arrives in
April/May—consideration should be given to drawing Supporting Recommendations
equipment from U.S. stocks and using assistance funds to
replenish U.S. inventories. There exists a clear gap between NATO and Ukrainian
intelligence estimates with regard to the number and
Bolstering Ukraine’s defenses should not be a U.S.-only organization of Russian military personnel in eastern
responsibility. NATO members should also increase Ukraine. NATO and Ukrainian intelligence analysts
their military assistance to Ukraine, with a view to should consult with a view to developing a common
meeting the priority needs identified above. NATO allies picture of the Russian presence. It appears that there
who have former Soviet/Warsaw Pact equipment and are significant gaps in U.S. and NATO intelligence on
weapons systems similar to or compatible with those Russian activities in and near eastern Ukraine. Given
now operated by the Ukrainian military should consider the grave nature of the danger posed by the Kremlin’s
contributing those to Kyiv’s defense capabilities. aggression in Ukraine, the United States and NATO
should increase intelligence coverage of the relatively
Ukraine has a significant need for improved air defenses. small Ukrainian area of operations. Closing this
While Russian resort to large-scale air strikes would intelligence gap requires an immediate shift of more
remove any veneer from Moscow’s claim that its military intelligence assets to the Ukraine/Russia theater.
is not engaged in operations in/against Ukraine, such
action cannot be excluded. Procuring advanced U.S. air U.S. military equipment should be provided to the
defense weapons would be expensive, and integrating Ukrainian army only, not to the Ukrainian volunteer
them into the existing Ukrainian air defense system battalions. The U.S. Defense Attaché Office in Kyiv should
would take time. A quicker solution would be for NATO be tasked to monitor the equipment’s employment in
members who operate similar former Soviet air defenses order to ensure its effective and appropriate use.

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As a condition of this assistance, the U.S. government and, if necessary, defending against further aggression
should require the Ukrainian government to develop and will strengthen Ukraine’s sovereignty, but that may
implement a plan to integrate the volunteer battalions matter little unless the Ukrainian government moves
into—and place them under command of—regular army forward with serious reforms.
units and the National Guard as rapidly as possible. That
would enhance the effectiveness of Ukrainian military The robust political and economic sanctions currently
operations. imposed on Russia with the full support of our
European allies, and with the strong leadership of
In providing military equipment, the United States and German Chancellor Merkel, are having an impact on
its NATO partners should steer clear of equipment that the Russian economy and appear to have taken the
is of such technological sophistication that it would Russian leadership by surprise. If Kyiv can deter further
require U.S. or NATO personnel to operate or maintain. Russian military aggression while the sanctions have
Ukraine’s defense and deterrence posture can be further impact on the Russian economy, there is a
bolstered without a direct U.S. or NATO presence on chance that Moscow will alter its course and seek a
the ground, and we would not support such a presence peaceful settlement in eastern Ukraine. In the meantime,
under current circumstances. however, Ukraine finds itself in a perilous state, and
the Kremlin’s aggression presents the transatlantic
community with its most serious security threat in more
than 30 years.
Conclusion
The United States and NATO must respond, both to
The West should work with Ukraine to create a support Ukraine and to push back against Russia’s
successful and prosperous democratic state that is unacceptable challenge to the post-war European
capable of choosing its own foreign policy course. The security order. This will require more military
Ukrainian government has stated that it will institute assistance, some of it lethal but none of it offensive.
economic and political reforms, as well as institute Should we delay action, the West should expect that the
anti-corruption measures. Ukraine will need more price will only grow. Should we not act more robustly, we
financial support from international financial can expect to face further Russian incursions, possibly
institutions, such as the International Monetary Fund, including attempts to redraw borders elsewhere, and
and the West. Others have made recommendations for efforts to intimidate former Soviet states into accepting
such additional support, provided that Ukraine does Russian dominance.
indeed move forward on reform. Success in deterring

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APPENDIX 1:
September 5 Minsk Ceasefire Protocol

Following is an informal translation of the Russian 10. Remove illegal military formations, military
language text of the ceasefire protocol signed on equipment, and militants and mercenaries from the
September 5, 2014: territory of Ukraine.

Protocol on the results of the consultations of the 11. Approve a program for economic development of the
trilateral contact group regarding joint steps towards Donbas and renew the vital functions of the region.
implementation of the peace plan of President of 12. Give guarantees of personal security for participants
Ukraine Petro Poroshenko and the initiatives of in the consultations.
President of Russia Vladimir Putin
Members of the trilateral contact group:
As a result of consideration and discussion of the
proposals by members of the consultations in Minsk Ambassador Heidi Tagliavini (Signed)
on September 1, 2014, the trilateral contact group
Second President of Ukraine L. D. Kuchma (Signed)
composed of representatives from Ukraine, the Russian
Federation and the Organization for Security and Ambassador of Russian Federation to Ukraine M. Yu.
Cooperation in Europe, an understanding was reached Zurabov (Signed)
regarding the need to take the following steps: A. V. Zakharchenko (Signed)
1. Provide for an immediate and bilateral ceasefire. I. V. Plotnitskiy (Signed)
2. Provide OSCE monitoring and verification of the
ceasefire.
3. Conduct decentralization of power, including through
approval of the law of Ukraine “On the temporary
order of local self-government in certain districts of
the Donetsk and Luhansk oblasts” (the law on special
status).
4. Provide permanent monitoring at the Ukrainian-
Russian state border, and verification by OSCE, with
creation of a safety zone in the areas adjacent to the
border in Ukraine and the Russian Federation.
5. Immediately free all hostages and persons being held
illegally.
6. Approve a law to prevent the persecution and
punishment of persons in regard to events that took
place in certain districts of the Donetsk and Luhansk
regions of Ukraine.
7. Continue an inclusive national dialogue.
8. Take measures to improve the humanitarian
situation in Donbas.
9. Conduct early local elections in accordance with
the law of Ukraine “On the temporary order of local
self-government in certain districts of the Donetsk
and Luhansk oblasts” (law on special status).

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APPENDIX 2:
Russian/Separatist Military Advantages

Russian and separatist forces enjoy significant • Electronic warfare: Russian/separatist forces employ
military advantages over the Ukrainian armed advanced systems to jam communications and GPS
forces, including the following: signals, disrupting Ukrainian C2, maneuver of forces,
air operations and targeting.
• Air superiority: Russian/separatist forces have
denied Ukrainian forces the ability to attack, collect • Artillery and rockets: Russian/separatist forces
intelligence, maneuver and resupply their forces employ long-range artillery and multiple launch rocket
in Ukraine’s sovereign airspace. Ukrainian forces systems such as the GRAD, with capacity to put large
have halted all flight operations in eastern Ukraine amounts of munitions into a target area at ranges up
due to effective Russian/separatist employment of to 30-40 kilometers.
shoulder-fired man-portable air defense systems
(MANPADS), which have downed numerous Ukrainian • Supply and logistics: Russian/separatist forces
fixed and rotary-wing aircraft, and advanced radar- receive supplies from Russia into the Donetsk and
guided surface-to-air missiles, such as the BUK (NATO Luhansk oblasts through the unsecured Ukraine-
designator SA-11/17) which is widely believed to have Russia border.
downed Malaysia Air 17 in July 2014.
• Sanctuary: Russia provides advisors, training,
• Intelligence, surveillance and reconnaissance: weapons, equipment and safe haven for separatists
Russian/separatist forces employ unmanned aerial and their Russian partners bound for operations
vehicles, including the Aesop 100 and 4-post, to inside Ukraine. Ukrainian forces are prohibited from
overfly Ukrainian forces, often coinciding with attacking targets in Russia.
artillery and rocket attacks, likely collecting video/
imagery intelligence to aid targeting and to assess
attack effectiveness as well as collecting signals
intelligence to monitor the mostly unencrypted
Ukrainian communications.

• Command and control (C2): Russian/separatist

forces use secure/encrypted communications systems
and their own cell phone network, while Ukrainian
forces lack signals intelligence collection or jamming
systems to collect or disrupt these capabilities.

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APPENDIX 3:
Key Elements of the Ukraine Freedom Support Act of 2014

Statement of Policy (Section 3):

“It is the policy of the United States to further assist

the Government of Ukraine in restoring its sovereignty
and territorial integrity to deter the Government of
the Russian Federation from further destabilizing and
invading Ukraine and other independent countries.”

Increased Military Assistance for the Government of

Ukraine (Section 6):

“The President is authorized to provide defense articles,

defense services, and training to the Government of
Ukraine for the purpose of countering offensive weapons
and reestablishing the sovereignty and territorial
integrity of Ukraine, including anti-tank and anti-armor
weapons, crew weapons and ammunition, counter-
artillery radars to identify and target artillery batteries,
fire control, range finder, and optical and guidance and
control equipment, tactical troop-operated surveillance
drones, and secure command and communications
equipment.”

Presidential Report to Congress Required

February 18, 2015:

“Not later than 60 days after the date of the enactment

of this Act, the President shall submit a report detailing
the anticipated defense articles, defense services, and
training to be provided pursuant to this section and
a timeline for the provision of such defense articles,
defense services, and training.”

$350 million authorized (but not appropriated) for

fiscal years 2015-2017:

“There are authorized to be appropriated to the

Secretary of State $100,000,000 for fiscal year 2015,
$125,000,000 for fiscal year 2016, and $125,000,000 for
fiscal year 2017.”

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Preserving Ukraine’s Independence, Resisting Russian Aggression: What the United States and NATO Must Do

APPENDIX 4:
Discussions in Brussels, January 12, 2015

List of Individuals Met in Brussels and Mons and others from Russia. They also operate the more
sophisticated equipment that Russia has deployed into
• Robert Bell, Defense Advisor, U.S. Mission to NATO the Donbas. In recent weeks, NATO has observed a
• General Sir Adrian Bradshaw, Deputy Supreme Allied large influx of Russian equipment into eastern Ukraine,
Commander Europe, NATO including tanks, armored personnel carriers, artillery,
• General Philip Breedlove, Supreme Allied Commander and air defense systems, with less effort than before to
Europe, NATO conceal those movements.
• Catherine Dale, Senior Advisor to Supreme Allied NATO’s position is that organized Russian army units
Commander Europe, NATO were not present as of about January 12 and that the
• Kurt Donnelly, Political Advisor, U.S. Mission to NATO Russian military personnel there were not operating in
viable military units. They noted that the Russian army
• Ambassador Martin Erdmann, Permanent
had eight to nine battalion tactical groups and 50,000
Representative of the Federal Republic of Germany to
troops deployed close to the Ukraine-Russia border
NATO
on the Russian side. (A significant difference existed
• Rear Admiral Collin Green, Executive Officer, Supreme between the NATO and Ukrainian assessments on the
Allied Commander Europe questions of numbers of Russian troops and presence of
• Alice Guitton, Deputy Permanent Representative of organized Russian army units in Donetsk and Luhansk.)
France to NATO
NATO believes that Russian officers are providing
• Major General Randy “Church” Kee, Director of training on the use of the equipment that Russia
Strategy and Policy, U.S. European Command has moved into the Donbas and that Moscow has
• Lee Litzenberger, Deputy Chief of Mission, U.S. Mission strengthened command and control (C2) over
to NATO the separatist units. This combination of influx of
• Ambassador Douglas Lute, U.S. Permanent equipment, Russian leadership, greater training and
Representative to NATO improved C2 means that the Russians/separatists have
a capability for offensive operations, though NATO
• Håkan Malmqvist, Deputy Chief of Mission of Sweden
believes these units as of about January 12 did not have
to NATO
sufficient logistics for significant operations beyond the
• Ambassador Jacek Najder, Permanent Representative current line of contact with Ukrainian forces in Donetsk
of the Republic of Poland to NATO and Luhansk.
• Ambassador Pia Rantala-Engberg, Head of Mission of
Finland to NATO From the January 12 discussions, it was clear that some
NATO members did not fully appreciate the threat
• Jens Stoltenberg, Secretary General, NATO posed by Russia’s more aggressive policies of the past
• Ambassador Alexander Vershbow, Deputy Secretary year. Conversely, interest remains strong among some
General, NATO in attaining a settlement that would allow for an end to
• Lieutenant General Michel Yakovleff, Vice Chief of sanctions.
Staff, Supreme Headquarters Allied Powers Europe
Some NATO member states—the Baltic States, Poland,
Canada, and perhaps Britain—might be prepared to
NATO believes that a large number of Russian military provide lethal military assistance to Ukraine if the
intelligence (GRU) and military officers—estimates United States were to do so. These states are reluctant to
ranged from 250 to 1000—are in eastern Ukraine as of go first and run the risk of political exposure, however,
about January 12. These officers serve as advisors and when U.S. policy remains one of providing nonlethal
trainers to the separatists, as well as to the “volunteers” assistance only.

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Preserving Ukraine’s Independence, Resisting Russian Aggression: What the United States and NATO Must Do

APPENDIX 5:
Discussions in Ukraine, January 13-16, 2015

List of Individuals Met in Kyiv and Kramatorsk • Anatoliy Pinchuk, Chairman, Civic Assembly of Ukraine

• Michael Bociurkiw, Spokesperson, OSCE Special • Vadym Prystaiko, Deputy Minister of Foreign Affairs of
Monitoring Mission to Ukraine Ukraine

• Boris Boyko, Chairman of the Supervisory Board, • Ambassador Geoffrey Pyatt, U.S. Ambassador to
Charitable Fund for War Veterans and Participants of Ukraine
the Antiterrorist Operation • Oleksiy Ryabchyn, Member of Parliament
• Valeriy Chaliy, Deputy Head, Administration of the (Batkivshchyna)
President of Ukraine • Ostap Semeriak, Member of Parliament (People’s
• Bohdan Chomiak, Board Director, Charitable Fund Front)
for War Veterans and Participants of the Antiterrorist • Major General Oleksandr Sirskiy, Commander, “Anti-
Operation Terror Operation,” Armed Forces of Ukraine
• Colonel Joseph Hickox, Defense Attaché, U.S. Embassy, • Colonel General Ihor Smeshko, Head, Joint Intelligence
Kyiv Committee and Advisor to the President of Ukraine
• General Leonid Holopatiuk, Deputy Chief of Staff, • Serhiy Sobolev, Member of Parliament (Batkivshchyna)
Armed Forces of Ukraine • Wolfgang Sporrer, Political Analyst, OSCE Special
• Oleksiy Honcharenko, Member of Parliament (Bloc of Monitoring Mission to Ukraine
Petro Poroshenko) • Borys Tarasyuk, Member of Parliament
• Volodymyr Horbulin, Head, National Institute of (Batkivshchyna) and former Foreign Minister of
Strategic Studies and Advisor to the President of Ukraine
Ukraine • Oleksandr Turchynov, Secretary, National Security and
• Pavlo Klimkin, Minister of Foreign Affairs of Ukraine Defense Council of Ukraine
• Ivanna Klympush-Tsintsadze, Member of Parliament • Ivan Vinnyk, Member of Parliament and Secretary,
(Bloc of Petro Poroshenko) Parliamentary Committee on National Security and
• Igor Lepsha, Board Director, Charitable Fund for Defense
War Veterans and Participants of the Antiterrorist
Operation Ukrainian interlocutors were understandably concerned
• Petro Mekhed, Deputy Minister of Defense of Ukraine regarding Russian actions in eastern Ukraine and
possible future intentions. They noted that the Russians/
• Sergey Mikhaylenko, Chairman, Charitable Fund for
separatists have steadily expanded the territory under
War Veterans and Participants of the Antiterrorist
their control since the September 5 ceasefire and
Operation
currently occupy about 500 square kilometers more
• Valentyn Nalyvaichenko, Head, Security Service of territory than four months ago. There is some concern
Ukraine that Moscow might aim to take all of the Donetsk and
• Colonel Nozdrachov, Head, Civil-Military Cooperation Luhansk oblasts. There seemed to be less concern about
(CIMIC), Armed Forces of Ukraine a Russian drive to take Mariupol and continue on to
• Major Jason Parker, Air Attaché, U.S. Embassy, Kyiv seize a land bridge to Crimea. Some interlocutors noted
preparations for partisan warfare in the event that
• Serhiy Pashynskyi, Member of Parliament and Head, Russia occupied further Ukrainian territory. One cited
Parliamentary Committee on National Security and the experience learned from Afghan fighters in
Defense the 1980s.

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Ukrainian sources said that the total number of Russian Other gaps reported by Ukrainian military officers
troops and separatist fighters in the Donbas came to largely fell into the non-lethal category: secure
36,000, as opposed to 34,000 Ukrainian troops along the communications, counter-jamming equipment,
line of contact. They believed that Russian forces made electronic counter-measures for use against UAVs,
up 8500 to 10,000 of the 36,000 and included eight to UAVs for the Ukrainian military with ranges of 50-80
ten airborne and mechanized battalion tactical groups, kilometers, armored Humvees and medical support
with each battalion tactical group comprising 600 to equipment. They had two primary requests for lethal
800 officers and soldiers. One unofficial interlocutor military assistance: sniper weapons and precision anti-
put the number of Russian troops at 5000 to 6000. armor weapons, specifically the Javelin anti-tank missile.
(The number of Russian troops and the presence/ The current stocks of Ukrainian anti-tank/anti-armor
absence of organized Russian army units in the Donbas weapons are at least 20 years old and reportedly have a
was the biggest difference between the NATO and 70 percent out of commission rate.
Ukrainian briefings.)
One knowledgeable Ukrainian interlocutor noted
When one subtracts the number of Russian soldiers Ukraine’s “strategic” need for modern air defense
from the 36,000 figure, Ukrainian sources believe that systems, given the overwhelming Russian advantage
the majority of the rest are Ukrainian citizens. The in airpower, which he believed would be employed
others include Chechen and Cossack fighters from in any major force-on-force operation by the Russian
Russia. One interlocutor said that approximately 2000 military, e.g., an effort to seize a land bridge to
of the 36,000 are operating in “rogue” units that are not Crimea. He contrasted this with the “tactical” need
under Russian, “Donetsk People’s Republic” or “Luhansk for anti-armor weapons.
People’s Republic” command.
Ukrainian officials maintained that they could quickly
Like NATO, the Ukrainians reported a significant recent learn to operate new equipment and cited their
influx from Russia into Ukraine of armor (T-64 and experience in getting U.S.-provided counter-mortar
T-72 tanks as well as armored personnel carriers), radars into action.
artillery, multiple launch rocket systems (MLRS) such
as the Grad, and sophisticated air defense systems. One While there is some coordination between the regular
Ukrainian estimate put the armor numbers at 250 army and volunteer battalions, it varies with the
tanks and 800 armored personnel carriers; other battalion, ranging from barely satisfactory to poor.
estimates were higher. Military officials suggested that coordination is better
with those battalions that are working with the Ministry
Ukrainians reported significant Russian use of of the Interior.
unmanned aerial vehicles (UAVs) for surveillance
and targeting purposes. The Russians combined this The OSCE Special Monitoring Mission to Ukraine (which
capability with MLRS and artillery with devastating is separate from the OSCE mission that monitors two
effect; one Ukrainian officer stated that 70 percent of crossing points on the Ukraine/Russia border) reported
Ukrainian casualties were from MLRS and artillery a difficult situation in the Donbas. The mission believed
strikes. Ukrainian military officers said that they have no that some 5.2 million people have been affected (the
capabilities to jam or down Russian UAVs. majority, but not all, on the separatist side of the line
of contact) and that, in addition, more than one million
Ukrainian military officials praised the counter-mortar people had been displaced, with slightly more than half
radars provided by the United States and now in use of those relocated in Ukraine while most of the rest
along the line of contact, but they observed that those had gone to Russia. The mission noted that 70 percent
radars have a range of only six to seven kilometers. of the Russian/separatist-controlled area in Luhansk
They expressed very strong interest in acquiring longer oblast was not under control of the “Luhansk People’s
range counter-battery systems that could detect MLRS Republic” but was controlled by rogue groups.
launches and artillery firing out to a range of 30-40
kilometers and enable the Ukrainian military to target
those systems with its own MLRS and artillery. (The
Grad MLRS, which the Russians/separatists have used to
great effect, has a range of 20 kilometers.)

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