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A. Maintaining the Effectiveness of the Alliance to
Perform its Core Functions and New Missions
- In enlarging its membership, the Alliance
will want to ensure that it maintains its ability to
take important decisions quickly on the basis of
consensus and that enlargement results in an Alliance
fully able to carry out both its core functions and
its new missions. In addition to being fundamentally
important in its own right, the Alliance's ability to
act quickly, decisively and effectively is crucial to
its role in the European security architecture and to
its ability to integrate new members into it.
- On joining the Alliance, new members must
accept the full obligations of the Washington Treaty.
This includes participation in the consultation
process within the Alliance and the principle of
decision-making by consensus, which requires a
commitment to build consensus within the Alliance on
all issues of concern to it. New members must also
be prepared to contribute to collective defence under
Article 5, to the Alliance's new evolving missions
and to Alliance budgets. This may include
appropriate contributions to the Alliance's military
force and command structures and infrastructure. New
members must accept and conform with the principles,
policies and procedures adopted by all members of the
Alliance at the time that new members join. In this
respect, new members deciding to participate in the
integrated military structure must accept the
applicable policies and procedures.
- NATO must ensure that all Alliance military
obligations, particularly those under Article 5, will
be met in an enlarged Alliance. This will require a
case-by-case assessment of the military factors,
including preparation time for NATO to take on new
Article 5 commitments, for each prospective new
member, taking into account the strategic
environment, possible risks faced by potential new
members, the capabilities and interoperability of
their forces, their approach and that of the allies
to the stationing of foreign forces on their
territory, and the relevant reinforcement
capabilities of Alliance forces, including strategic
mobility. The Alliance will also have to ensure the
accessibility of its forces to new members' territory
for reinforcement, exercises, crisis management and,
if applicable, stationing. This issue will need to
be considered in the context of deciding individual
new members' accession.
- The Alliance will have to take a number of
elements into account to ensure that NATO maintains
its military credibility when it enlarges. Many of
these elements may require further analysis and
development by the Alliance in the course of the
enlargement process. The Alliance bears the
responsibility for determining the measures taken to
maintain military credibility within each of these
elements. These elements, which are developed
further in later sections of this chapter and in
chapter 5, fall into the following categories :
- Collective Defence
- A key principle of the
enlargement process is that new members will be
expected not only to benefit from, but also to
contribute to, the Alliance's collective defence.
They should also be prepared to contribute to other
Alliance missions;
- Command Structure
- All new members should
participate in an appropriate way in the command
structure of the Alliance. New members joining the
integrated structure will need to be integrated into
existing NATO headquarters. The Alliance will have
to consider whether a limited number of new
headquarters may be needed and any need for existing
headquarters to cover new Areas of Responsibility.
NATO operations will be controlled by existing or new
NATO headquarters or, as appropriate, future CJTF
headquarters;
- Conventional Forces
- Training and
Exercises New members will need to participate in
NATO exercises, including those designed to ensure
the common defence. Exercises should be held
regularly on new members' territory;
- Nuclear Forces
- The supreme guarantee of
the security of the Allies is provided by the
strategic nuclear forces of the Alliance. New
members will share the benefits and responsibilities
from this in the same way as all other Allies in
accordance with the Strategic Concept. New members
will be expected to support the concept of deterrence
and the essential role nuclear weapons play in the
Alliance's strategy of war prevention as set forth in
the Strategic Concept;
- Force Structure
- It is important for NATO's
force structure that other Allies' forces can be
deployed, when and if appropriate, on the territory
of new members. The Alliance has no a priori
requirement for the stationing of Alliance troops on
the territory of new members. New members should
participate in the Alliance's force structure. How
this will be achieved may require additional
considerations to include: whether new members should
develop specially-trained units capable of
reinforcing NATO forces and of being reinforced by
NATO units; the prepositioning of materiel in
critical areas; how to ensure that infrastructure is
adequate to meet planned missions; and whether there
is a need to increase strategic and intra-theatre
mobility;
- Intelligence
- New members will have the
opportunity to participate to the fullest extent
possible in the NATO intelligence processes;
- Finance
- New members will be expected to
contribute their share to NATO's commonly funded
programmes. They should also be aware that they
face substantial financial obligations when joining
the Alliance;
- Interoperability
- All new members will be
expected to make every effort to meet NATO
interoperability standards, in particular for
command, control and communication equipment. New
members will have to incorporate NATO standard
operational procedures in selected areas, including
for their national headquarters.
- A smooth and effective decision-making
process in an enlarged Alliance will be key to
preserving its effectiveness. Maintenance of the
consensus principle will be essential in the
political, military and defence areas. All Allies
must therefore be willing to work constructively
towards this. To this end, it will be important that
prospective new members become familiar with the
Alliance decision-making process, and the modalities
and traditions of consensus and compromise, before
joining. The highest priority should be given to a
new member's involvement in the appropriate elements
of the decision-making processes and military
commands.
B. The Military and Defence Implications of Enlargement
(I) Collective Defence
- As stated in paragraph 38 of the Strategic
Concept, "the collective nature of Alliance defence
is embodied in practical arrangements that enable the
Allies to enjoy the crucial political, military and
resource advantages of collective defence, and
prevent the renationalisation of defence policies,
without depriving the Allies of their sovereignty.
These arrangements are based on an integrated
military structure as well as on cooperation and
coordination agreements. Key features include
collective force planning; common operational
planning; multinational formations; the stationing of
forces outside home territory, where appropriate on a
mutual basis; crisis management and reinforcement
arrangements; procedures for consultation; common
standards and procedures of equipment, training and
logistics; joint and combined exercises; and
infrastructure, armaments and logistics cooperation".
- There are currently three forms under which
Allies contribute to NATO collective defence: full
participation in the integrated military structure
and the collective defence planning process;
non-membership of the integrated military structure
but full participation in the collective defence
planning process together with a series of
coordination agreements providing for cooperation
with the integrated military structure in certain
defined areas; and non-participation in the
integrated military structure and collective defence
planning but cooperation with the integrated military
structure in more limited defined areas under
agreements between the Chief of Defence and the Major
NATO Commanders (MNCs). As a general principle, we
should avoid new forms of contribution to NATO
collective defence which would complicate
unnecessarily practical cooperation among Allies and
the Alliance's decision-making process.
- Against the background of existing
arrangements for contributing to collective defence,
Allies will want to know how possible new members
intend to contribute to NATO's collective defence and
will explore all aspects of this question in detail
through bilateral dialogue prior to accession
negotiations. In this context, the ability to
contribute and the manner in which a possible new
member intends to contribute to collective defence
will be important criteria for Allies in deciding
whether such a potential new member is capable and
willing to contribute to security and stability in
the trans-Atlantic area within the meaning of Article
10 of the Washington Treaty.
- The Alliance will adopt a flexible approach
to assimilating new members into its defence and
military structures and its planning processes. The
approach taken will ensure that an enlarged NATO
maintains a credible military posture.
(ii) Command Structure
- NATO's command structure must be prepared
for the probability that new members will want to
join the integrated military structure. If
enlargement takes place consecutively, considerable
military flexibility will be required with regard to
the establishment of new areas of responsibility and
the related command structure. A broad plan will
therefore be needed to ensure the maximum
effectiveness and flexibility of the command
structure following the accession of new members,
bearing in mind the potential effect of the CJTF
concept and of any structural adjustments.
- NATO headquarters may be required on the
territory of new members to cover the revised tasks
and AORs resulting from their accession. Although it
may be possible to upgrade new members' existing
headquarters if necessary to meet an as yet undefined
NATO requirement, existing command, control and
communications equipment and infrastructure is
unlikely to meet minimum NATO standards. The
establishment of headquarters on the territory of new
members may also have implications for NATO's
existing command structure. The building of new
headquarters and/or the upgrading of existing
headquarters to NATO standards would involve
significant costs although progress on the
development of the CJTF concept may have a bearing on
Alliance headquarters requirements. A
country-specific review of the requirements and costs
should be undertaken prior to a new member joining
the integrated military structure.
- Multinationality remains a key feature of
Alliance policy. Any new NATO headquarters on the
territory of a new member would therefore require
multinational representation; this should reflect
operational needs. New members will also have to be
represented as appropriate at major headquarters (MSC
and above), support elements, commonly-funded NATO
Agencies, and on the International Military Staff.
Enlargement would therefore probably require a review
of the size of staffs at most NATO headquarters and
national representation. This process would
inevitably be complicated if new members join
consecutively.
(iii) Conventional Forces - Training and
Exercises
- The presence of Allied Forces on the
territory of other members contributes to
strengthening the Alliance's ability to perform its
fundamental security tasks, fostering Alliance
cohesion and expressing solidarity and confidence.
This presence could take various forms. The
stationing of Allied forces offers specific military
advantages in relation to collective defence. It
allows a threat or an attack to be countered earlier,
and provides more time to prepare and deploy
reinforcements, enabling the most effective use to be
made of mobility. Moreover, military forces operate
more effectively when they are familiar with the
terrain and conditions. However, the redeployment of
existing Allied forces from their current locations
or the prepositioning of equipment would be
expensive. There also is a risk that it could give
a misleading impression of Alliance concerns. The
regular and frequent presence of Allied forces on
exercise or when other situations demand is another
way to demonstrate NATO's commitment to collective
defence. This option may not be adequate in all
cases. It would in any event require effective rapid
reaction and reinforcement capabilities and planning,
and adequate warning time to allow for political
decision making and the deployment of forces in time
of crisis. Other options might include dual basing
of air assets, or the prepositioning of equipment and
ammunition (e.g., increased prepositioned materiel in
key areas and increased storage sites for such
materiel in key geographical areas).
- Individual Allies' policy on the stationing
of other Allies' forces on their territory in
peacetime varies considerably, taking into account a
range of national and broader factors. For new
members, the peacetime stationing of other Allies'
forces on their territory should neither be a
condition of membership nor foreclosed as an option.
Decisions on the stationing of Allies' conventional
forces on the territory of new members will have to
be taken by the Alliance in the light of the benefits
both to the Alliance as a whole and to particular new
members, the military advantages of such a presence,
the Alliance's military capacity for rapid and
effective reinforcement, the views of the new members
concerned, the cost of possible military options, and
the wider political and strategic impact. All
Allies must of course be prepared in times of crisis
or war to allow other Allies' forces to enter and
operate on their territory, and to provide essential
host nation support as mutually agreed, to enable
NATO to provide effective common defence.
- Individual Allies' policy on stationing
their forces outside their borders in peacetime also
varies considerably. Some Allies are, for example,
legally constrained from doing so. For new members
the peacetime stationing of forces on other Allies'
territory should neither be a condition of membership
nor foreclosed as an option. All Allies are,
however, prepared in principle to deploy their forces
outside their territory in the Treaty area as part of
their contribution to NATO collective defence, taking
into account factors such as operational capabilities
and geographic limitations. New members should be
expected to be similarly prepared.
- Multinational training and exercises on the
territory of new members will contribute
significantly to maintaining Alliance military
capability and effectiveness and enhance the ability
of the Alliance to fulfil its full range of missions.
Such exercising and training would help familiarise
the forces involved with the terrain and operating
conditions, and would contribute directly to
supporting Article 5 commitments. Reinforcement
should also be exercised from time to time. The
terms on which such activities currently take place
vary between Allies and have to take account of
national factors. However, as a general principle,
new members should be ready to host multinational
training and exercises relating to all Alliance
missions.
(iv) Nuclear Forces
- The coverage provided by Article 5,
including its nuclear component, will apply to new
members. There is no a priori requirement for the
stationing of nuclear weapons on the territory of new
members. In light of both the current international
environment and the potential threats facing the
Alliance, NATO's current nuclear posture will, for
the foreseeable future, continue to meet the
requirements of an enlarged Alliance. There is,
therefore, no need now to change or modify any aspect
of NATO's nuclear posture or policy, but the longer
term implications of enlargement for both will
continue to be evaluated. NATO should retain its
existing nuclear capabilities along with its right to
modify its nuclear posture as circumstances warrant.
New members will, as do current members, contribute
to the development and implementation of NATO's
strategy, including its nuclear components; new
members should be eligible to join the Nuclear
Planning Group and its subordinate bodies and to
participate in nuclear consultation during exercises
and crisis. Decisions on the modalities and
specifics of this contribution will be based on
consultations, and agreements among Allies.
(v) Force Structures
- The Alliance's military strength and
cohesion depends on its multinational forces and
structures, and the fair sharing of risks,
responsibilities, costs and benefits. Current force
structures are based primarily on the requirements of
collective defence, but Alliance involvement in
non-Article 5 operations will continue to influence
future capabilities. All Alliance nations have a
high degree of ability to operate together, although
there is room for further improvement.
- Subject to any changes in the security
environment, the main characteristics of current NATO
force structures will remain valid in an enlarged
Alliance. However, the Alliance will need to pay
special attention to the requirements of
inter-regional reinforcement, and their potential
impact on the various force categories. To ensure
continued Alliance military effectiveness, current
and prospective new members must be committed to
developing, manning and supporting NATO's new force
structures. New members' forces would be expected to
take part in the full spectrum of Alliance missions
to the extent appropriate to their capabilities, and
taking into account the need for case by case
consideration of non-Article 5 missions. The further
development of Alliance military structures,
including force levels and readiness, should
facilitate such involvement across the spectrum of
potential Alliance missions.
- Multinational forces have an increased
political and military importance. Thus the
increasing need for mobility, flexibility and
inter-service and multinational interoperability in
undertaking both defence and new missions means that
current Alliance policy on multinationality should
apply when new members' forces join NATO force
structure, consistent with the need to maintain
military effectiveness.
- There is a continuing need to address
current limitations in reaction force capabilities,
which have to be taken into account to ensure that
there is no reduction in military effectiveness. The
principle of multinationality should also apply in
integrating new members' forces into main defence
forces. No change of current policy towards
augmentation forces would seem to be necessary as a
result of enlargement. There will, however, be a
substantial impact, the extent of which has yet to be
determined, on contingency and reinforcement planning
including force requirements and host nation support
arrangements. Prepositioning of equipment, and both
intra-theatre and inter-theatre lift, can contribute
to flexibility and military effectiveness. Further
examination of these elements will be required when
enlargement occurs.
(vi) Intelligence Sharing
- Sharing of intelligence among Allies
contributes to the effectiveness of the Alliance.
New members will bring to the Alliance both increased
requirements and capabilities in the intelligence
field. Intelligence sharing is based on mutual trust
and co-operation. New members must be able tosafeguard NATO information according to Alliance
standards.
C. Security Investment Programme (SIP)
- The NATO Security Investment Programme
should be used to accelerate the assimilation process
of new members. The scope of this will depend upon
the terms under which new members will participate.
Procedurally and organisationally, the incorporation
of new members into the Programme will not present
problems although the process may take time. The
renewed prioritisation and resource allocation
mechanisms are well suited to deal with new
requirements resulting from enlargement.
- Financially, new members would be expected
to contribute their share, as from the start, to all
new programme activities, with a contribution level
based, in a general way, on "ability to pay".
Because of the time needed in an investment programme
to bring activities to implementation, and because of
the limited absorption capacity of new members,
financial implications will be limited in the early
years. Enlarged participation in the programme
should therefore be possible without impact on the
implementation of existing commitments and
programmes. It is important, however, to get
prospective new members involved in the planning and
preparatory processes as soon as possible and to
ensure that they are fully aware of their prospective
liabilities.
D. Administration and Budgets
- Without knowing the number of prospective
new members it is only possible to address management
issues in a general manner. Enlargement will lead to
new activities and a need for increased resources.
Additional office space will be needed at NATO HQ to
accommodate new members and possible increases to the
staffs of the IS and IMS. Operating and capital
costs in the Civil Budget will grow. New members
will be expected to contribute. Cost shares must be
calculated and decisions taken concerning their
obligations. Enlargement will also mean increases in
the Military Budget, but the actual budgetary
consequences will depend in large part on the new
members' level of participation.
- It will be important to ensure that
potential new members are fully aware that they face
considerable financial obligations when joining the
Alliance.
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