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A. Introduction - NATO Enlargement in its Broad Context
- NATO plays an essential role within the
developing European Security Architecture. NATO's
membership of like-minded Allies dedicated to working
together has, over the course of its forty-five year
existence, helped fundamentally improve the nature of
relations between member states. Moreover, the
commitment by all Allies to defend one another's
territory has proven its value, over more than four
decades, as an anchor of stability and confidence in
Europe. This commitment has helped Allied countries
develop powerful and flexible military capabilities,
firmly under political control. NATO's reliance on
collective defence has ensured that no single Ally is
forced to rely upon its own national efforts alone in
dealing with basic security challenges. Sharing
these benefits with new members can help extend
security and stability in Europe. NATO's enlargement
will occur as one element of the broader evolution of
European cooperation and security currently underway.
NATO's enlargement must be understood as only one
important element of a broad European security
architecture that transcends and renders obsolete the
idea of "dividing lines" in Europe.
- The current discussion on enlargement is
taking place in very different circumstances than
those which prevailed during the Cold War. In this
context, the decision to admit new members must
reflect the fact that the security challenges and
risks which NATO faces now are different in nature
from those faced in the past. In 1991, the Strategic
Concept stated, "The threat of a simultaneous,
full-scale attack on all of NATO's European fronts
has effectively been removed ....". Since then, the
risk of a re-emergent large-scale military threat has
further declined. Nevertheless, risks to European
security remain, which are multi-faceted and
multi-directional and thus hard to predict and
assess. NATO must be capable of responding to such
risks and new challenges as they develop if stability
in Europe and the security of its members, old and
new, are to be preserved. For their part, numerous
countries aspire to NATO membership in the wider
context of becoming part of existing European and
Euro-Atlantic structures and strengthening their
security and stability.
- Stability and security in Europe will be
strengthened through an evolutionary process, taking
into account political and security developments in
the whole of Europe. NATO enlargement will be part
of that process, threaten no-one and contribute to a
developing broad European security architecture based
on true cooperation throughout the whole of Europe,
enhancing stability and security for all.
- The architecture of European security is
composed of European institutions (such as the
European Union (EU) and the Western European Union
(WEU)) and transatlantic institutions (NATO). It
also includes the OSCE, whose membership comprises
all European as well as North American countries and
is thus the most inclusive European security
institution, in whose framework agreements of
particular importance for European security (the CFE
Treaty and the Pact on Stability) have been
concluded. For its part, NATO has developed
cooperation arrangements: the NACC and PfP. NACC/PfP
cooperation will continue to play an important role
in the European security architecture both in
enlarging the Alliance and in strengthening Alliance
relations with partner countries which may not join
the Alliance early or at all. This is addressed in
Chapter 3.
- Enlargement will have implications for all
European nations, including states which do not join
NATO early or at all. It will be important to
maintain active, cooperative relations with countries
which do not join the Alliance, in order to avoid
divisions or uncertainties in Europe and to ensure
broad, inclusive approaches to cooperative security.
The Alliance should underline that there can be no
question of "spheres of influence" in the
contemporary Europe. NATO's relations with other
European states, whether cooperation partners or not,
are important factors to consider in taking any
decision to proceed with the enlargement process as
is building security for states which may not be
prospective NATO members. Any such decision will
have a significant impact on the European security
environment and its timing, therefore, will require
careful consideration.
Implementation of Russia's Individual Partnership
Programme under the PfP and of our dialogue and
cooperation with Russia beyond PfP will together
renew and extend cooperation between the Alliance and
Russia which we believe will enhance stability and
security in Europe, as part of our broad approach to
developing a cooperative security architecture in
Europe. Equally, we want to develop further our
relations with all newly independent states, whose
independence and democracy constitute an important
factor of security and stability for Europe. In this
context, we attach particular importance to our
relations with Ukraine which we will further develop,
especially through enhanced cooperation within the
PfP.
B. NATO Enlargement and Other European Security
Institutions, in articular the OSCE, EU and WEU
- There are several institutions with a
critical role to play in the emerging European
security architecture. It is important to assess
NATO's enlargement in terms of how it can contribute
to stability and security in conjunction with these
other institutions.
- As the most inclusive institution in the
European security architecture, the OSCE has a key
role to play in maintaining security and transcending
divisions in Europe and should continue to be
strengthened independently of enlargement of NATO. A
strengthened OSCE will help to provide reassurance to
states which may not join NATO either early or at
all. The OSCE has developed unique capabilities in
its 20-year history to contribute to security and
stability in such areas as early warning, conflict
prevention and crisis management, confidence and
security-building measures, economic cooperation and
the advancement of democracy and human rights.
- The activities of the OSCE and of NATO are
complementary and mutually reinforcing. NATO
provides an important forum for political
consultations among like-minded Allies as well as
unique military capabilities to respond to security
challenges. NATO's commitments to support, on a
case-by-case basis and in accordance with Alliance
procedures, peacekeeping activities under the
responsibility of the OSCE and peacekeeping
operations under the authority of the UN Security
Council, will remain valid after enlargement. An
enlarged Alliance would have greater capacity to
support such peacekeeping activities and operations.
OSCE discussions on a European security model for the
21st century should reflect the process of NATO
enlargement but not delay it. A strengthened OSCE,
an enlarged NATO, an active NACC and PfP would,
together with other fora, form complementary parts of
a broad, inclusive European security architecture,
supporting the objective of an undivided Europe.
- The Pact on Stability in Europe, which was
entrusted to the OSCE and comprises numerous
bilateral agreements and treaties between European
countries, is a fundamental underpinning for
security and stability in the whole of Europe. The
Pact on Stability is aimed at developing good
neighbourly relations, advancing respect for the
human rights, including those of persons belonging to
national minorities, and resolving disputes between
European states. As noted in Chapter 1, the
resolution of such disputes would be a factor in
determining whether to invite a state to join the
Alliance. Implementation of the Pact on Stability as
well as of other international agreements already
concluded can contribute to creating the conditions
necessary for enlargement of NATO. In turn,
enlargement of NATO's membership will also facilitate
the implementation of existing agreements and full
compliance with the obligations they contain.
- Enlargement of the Alliance is aimed at
extending stability in the Euro-Atlantic area and
enhancing long-term security for all NATO member
countries and others as well. The enlargement of NATO
is a parallel process with and will complement that
of the European Union. Both NATO and the EU share
common strategic interests as well as a broad
approach to stability and security encompassing
political, economic, social and environmental
aspects, along with the defence dimension. Both
enlargement processes will contribute significantly
to extending security, stability and prosperity
enjoyed by their members to other, like-minded,
democratic European states. Through the conclusion
of Euro-agreements, the EU has given a number of
European states a perspective of eventual EU
membership and integration into EU structures.
The enlargement of the two organizations will proceed
autonomously according to their respective internal
dynamics and processes. This means they are unlikely
to proceed at precisely the same pace. But the
Alliance views its own enlargement and that of the EU
as mutually supportive and parallel processes which
together will make a significant contribution to
strengthening Europe's security structure. Thus,
each organization should ensure that their respective
processes are in fact mutually supportive of the goal
of enhancing European stability and security. While
no rigid parallelism is foreseen, each organization
will need to consider developments in the other.
- European Union members are committed to a
Common Foreign and Security Policy which shall
include all questions related to the security of the
Union, including the eventual framing of a common
defence policy, which might in time lead to a common
defence compatible with that of the Atlantic
Alliance. The WEU is an integral part of the
development of the Union. In its dual role as
defence component of the EU and European pillar of
the Atlantic Alliance, the WEU brings an important
additional dimension to European security.
Acknowledging this dual role, and wishing to
contribute to its further development, NATO Heads of
State and Government, in January 1994, expressed
their readiness to make collective assets of the
Alliance available, on the basis of consultations in
the North Atlantic Council, for WEU operations
undertaken by the European Allies in pursuit of their
Common Foreign and Security Policy.
- All full members of the WEU are also
members of NATO. Because of the cumulative effect of
the security safeguards of Article V of the modified
Brussels Treaty and of Article 5 of the Washington
Treaty, the maintenance of this linkage is essential.
Both enlargement processes should, therefore, be
compatible and mutually supportive. At the same
time, the WEU is being developed as the defence
component of the European Union, which strengthens
the relationship between the two organisations. An
eventual broad congruence of European membership in
NATO, EU and WEU would have positive effects on
European security. The Alliance should at an
appropriate time give particular consideration to
countries with a perspective of EU membership, and
which have shown an interest in joining NATO, in
order to consider, on the basis indicated in this
study, how they can contribute to transatlantic
security within the Washington Treaty and to
determine whether to invite them to join NATO.
- All CFE States Parties acknowledge the
Treaty's continued fundamental role in building and
maintaining European stability and security. This is
also shared by all other OSCE participating states.
NATO Allies consider the CFE Treaty as the
cornerstone of European security. Therefore, it is
of fundamental importance to preserve the Treaty's
integrity and to ensure its full and timely
implementation. NATO as such is not a signatory of
the CFE Treaty, nor of any other arms control
agreement. Therefore, from a legal point of view,
NATO's enlargement per se has no impact on the
Treaty. In any case, possible implications of NATO's
enlargement for the CFE Treaty can only be assessed
when the actual enlargement is taking place. Since
there is no decision as yet on the timing and the
scope of NATO's enlargement, it would be premature to
draw any conclusions at this stage.
- The existing confidence-building,
disarmament and arms control agreements are
fundamental underpinnings for security and stability
in the whole of Europe. NATO must contribute to
their continuing validity and relevance in the course
of its enlargement process. Enlargement could
strengthen the Alliance's ability to promote further
arms control and disarmament measures and ways to
control proliferation of WMD.
C. Relations with Russia
- Russia has an important contribution to
make to European stability and security. We have
agreed that constructive, cooperative relations of
mutual respect, benefit and friendship between the
Alliance and Russia are a key element for security
and stability in Europe. In June 1994, we agreed
that such relations should be developed in a way that
reflects common objectives and complements and
reinforces relations with all other states, is
transparent and is not directed against the interests
of third countries. Cooperative NATO-Russia
relations are in the interest not only of NATO and
Russia, but of all other states in the OSCE area.
- NATO and Russia have agreed to pursue a
broad, enhanced dialogue and cooperation in areas
where Russia has unique and important contributions
to make, commensurate with its weight and
responsibility as a major European, international and
nuclear power.
- In June 1994, NATO and Russia agreed to set
in train the development of a far-reaching,
cooperative NATO-Russia relationship aimed at
enhancing mutual confidence and openness. At that
time Russia signed the PfP Framework Document. By
December, agreement had been reached on Russia's
Individual Partnership Programme and areas for
pursuance of a broad, enhanced NATO-Russia dialogue
and cooperation beyond PfP, which were formally
accepted by Russia on 31 May 1995.
- The Alliance considers that it is desirable
to develop the NATO-Russia relationship even further
as part of our broad approach to developing a
cooperative security architecture in Europe. NATO
and Russia have initiated a dialogue, to be pursued
in our newly established relationship beyond the PfP,
on the future direction our relationship should take,
with the aim of achieving by the end of this year a
political framework for NATO-Russia relationselaborating basic principles for security cooperation
as well as for the development of mutual political
consultations. A stronger NATO-Russia relationship
should form another cornerstone of a new, inclusive
and comprehensive security structure in Europe.
NATO-Russia cooperation can help to overcome any
lingering distrust from the Cold War period, and help
ensure that Europe is never again divided into
opposing camps. This further development of the
NATO-Russia relationship, and its possible eventual
formalization, should take place in rough parallel
with NATO's own enlargement, with the goal of further
strengthening stability and security in Europe. The
substance and form of this enhanced relationship will
be developed through a NATO-Russia dialogue.
- NATO-Russia relations should reflect
Russia's significance in European security and be
based on reciprocity, mutual respect and confidence,
no "surprise" decisions by either side which could
affect the interests of the other. This relationship
can only flourish if it is rooted in strict
compliance with international commitments and
obligations, such as those under the UN Charter, the
OSCE, including the Code of Conduct and the CFE
Treaty, and full respect for the sovereignty of other
independent states. NATO decisions, however, cannot
be subject to any veto or droit de regard by a
non-member state, nor can the Alliance be
subordinated to another European security
institution.
- Russia has raised concerns with respect to
the enlargement process of the Alliance. The
Alliance is addressing these concerns in developing
its wider relationship with Russia and the Alliance
has made it clear that the enlargement process
including the associated military arrangements will
threaten no-one and contribute to a developing broad
European security architecture based on true
cooperation throughout the whole of Europe, enhancing
security and stability for all.
D. Effects of the decision-making process on
European security and stability
- The decision-making process on enlargement
will be in accordance with the Washington Treaty.
Each invitation will be decided on its own merits,
case by case, and in accordance with the principles
identified in this study, taking into account
political and security related developments in the
whole of Europe. It will be important, particularly
in the meantime, not to foreclose the possibility of
eventual Alliance membership for any European state
in accordance with Article 10 of the Washington
Treaty.
- Countries could be invited to join
sequentially or several countries could be
simultaneously invited to join, bearing in mind that
all Allies will decide by consensus on each
invitation, i.e. new Allies must join consensus for
subsequent invitations. There could be two or more
sets of simultaneous invitations. Sequential
accession could reduce the implication that others
might be excluded and make it easier to begin with
one or more countries but could also risk extending
the calendar of accessions and thereby diverting
attention from other important Alliance business.
Simultaneous accessions would avoid the possibility
of veto by new members on others joining at the same
time; any decision on simultaneous accession should
take into account relations among the prospective new
members concerned and the impact on other states,
including their relationship with NATO.
Legislative/ratification considerations in Allied
countries related to the accession of new member(s)
to the Washington Treaty should also be taken into
account.
Concerns have already been expressed in the context
of the discussion of the enlargement of NATO that a
new member might "close the door" behind it to new
admissions in the future of other countries which may
also aspire to NATO membership. Such a situation
must be avoided; the Alliance rests upon commonality
of views and a commitment to work for consensus; part
of the evaluation of the qualifications of a possible
new member will be its demonstrated commitment to
that process and those values. We will invite
prospective new members to confirm that they
understand and accept this and act in good faith
accordingly. The Alliance may require, if
appropriate, specific political commitments in the
course of accession negotiations.
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