NATO Expansion and the Future of European Security

 A pathfinder created by CPT Robert Crouch, United States Army
Spring 2000

Scope

This Pathfinder is designed to help U.S. Military members, students in the Political Science and International Relations disciplines, and other interested individuals in finding and assimilating available information regarding the expansion of the North Atlantic Treaty Organization (NATO).

Background

For 40 years during the Cold War (1949-1989), the North Atlantic Treaty Organization and its member states stood as the guardians of freedom in Western Europe, preventing conflict with members of the USSR-led Warsaw Pact.  The focus of European Security was clearly defined: prevent aggression from the Warsaw Pact states at all costs.  However, the fall of the Berlin Wall in 1989, the reunification of Germany in 1990, and the disintegration of the USSR in 1991 significantly altered European Security concerns and focus. 

In 1993, NATO began developing plans to integrate former Warsaw Pact nations into NATO, under a program known as Partnership for Peace.  Currently, three nations (Hungary, Poland, and the Czech Republic) have been admitted into NATO; several other countries are striving to meet specified membership requirements before they are considered for membership.  However, the addition of new members has not been as smooth as predicted; in particular, no one imagined the economic costs of integration, or the political costs of selling the idea of an expanded NATO to Russia.  This pathfinder will provide the researcher with views from both sides of the argument for enlargement.

Vocabulary

There are many ways to search for information on NATO Expansion; several of these means include online library catalogs, databases, and both academic and commercial search engines.  Below are a few recommended locations for researching NATO Expansion.

 Library Catalogs

 Many libraries, especially those from colleges and universities, offer their document catalogs online.  Recommended catalogs for international security and military affairs include the Library of Congress (http://www.lcweb.loc.gov/catalog) and the Berkeley (California) University Library (http://www.lib.berkeley.edu/gssi).

Use the following Library of Congress subject headings which can be used for the best search results:

- North Atlantic Treaty Organization              - NATO-Armed Forces
- NATO-Membership                                      - European Union (EU)
- National Security-Europe                            - National Security-Eastern
- National Security-Caucasus                       -Europe          
- Europe-Politics and Government               - Europe-Defenses
- Europe-Foreign Relations                           - Europe-Military Policy
- Security, International                                    - Political Stability
- International Cooperation                             - Russia (Federation)-Foreign Relations 
- Russia (Federation)-Military Policy           

Keyword/phrase searches are not as successful as subject heading searches, but may provide some information.  Recommended keywords/phrases include:

- NATO                                                              - NATO Expansion
- NATO Enlargement                                       - Warsaw Pact
- European Union                                            - Partnership for Peace (PFP)
- European Security                                         - Democratization of Russia
- Former Soviet States                                    - Balkan Instability
- Organization for the Security and Cooperation of Europe

Most libraries organize their documents using either the Library of Congress or Dewey Decimal methods of classification.  Below is a list of LC call numbers relating to NATO Expansion.

- JZ 5930                                                        - UA 646.3
- JX 1393                                                       - UA 770
 

Web Search Engines

A significant amount of valuable information about NATO Expansion is available through several academic and commercial search engines.  The biggest concern with using information from a web document is the validity and reliability of the information contained.  Researchers must ensure the source of information is credible before using the information. One of the best ways to validate credibility is to identify the extension on the page’s URL; usually, URLs with an .edu (education), .mil (military), or .org (organization) are reliable.  URLs with a .com (commercial) extension are questionable, due to the vast potential for bias.  Regardless of URL extension, the researcher should strive to confirm information contained in web pages from multiple sources before using the information in any type of research.

The following web search engines are especially helpful in researching NATO Expansion and other International Relations topic areas:

Metacrawler (http://www.metacrawler.com/)

This “meta-engine” accesses the databases of several other online search engines (including Webcrawler, About.com, Excite, et. al.).  It provides possibly the largest information access of any commercial engine.

Argus Clearinghouse (http://www.clearinghouse.net/)

An excellent academic engine that sorts available information into broad categories and guides.  Very easy navigation.

 Infomine (http://lib-www.ucr.edu/)

 Huge collection (15,000+) of databases, journals, guides, and textbooks.  This academic engine has an excellent search function.

 Research Resources for the Social Sciences (http://www.socsciresearch.com/)

 Created by McGraw-Hill, this academic engine has an excellent interface and well-developed subject categories that allow the researcher to quickly go from a broad to a narrow topic search.

 Search these engines with the following terms for the best results:

 - NATO                                                            - NATO Expansion
- NATO Enlargement                                      - European Union 
- Partnership for Peace (PFP)                      - European Security         

Indexing and Abstracting Services

Below are several databases below that contain information about NATO Expansion and other general International Relations topics.  Most of the databases are focused toward journal articles, but they may contain some literature in other forms of media, including thesis and dissertations.  One thing to note is that the subject/keyword terms used to find appropriate literature are rather limited, unlike the online libraries and search engines.  For the topic of NATO Expansion, use the following subject terms/keywords in these indexing services.

Terms:

- Political Science                                             - International Law and Relations
- History, US                                                       - History, Modern
- History, Europe                                                - International Security

Keywords:

- NATO                                                                - NATO Expansion
- NATO Enlargement                                         - European Security

The following databases proved to be the best source of information on NATO Expansion.

University Microfilms International (UMI) Digital Library of Dissertations/Thesis (http://wwwlib.umi.com/).

This database contains over 1.5 million thesis/dissertations.  Due to the relative newness of NATO Expansion as a subject area, this database provided the most current perspectives on the subject.

WorldCat. 

 This database contains over 40,000K items cataloged by Online Computer Library Center (OCLC) members.

Article 1st. 

This database contains over 4,200k records, primarily journals covering science, technology, social science, business, humanities, and popular culture.

 Net 1st. 

 This database contains over 105k records, including bibliographic citations, abstracts, subject headings, and classification codes.

The WorldCat, Article 1st, and Net 1st databases are generally available only to individuals/libraries through library-licensed access to the FirstSearch service (http://firstsearch.oclc.org/) 

Print Resources

Although NATO Expansion is a relatively new topic, there is a significant amount of excellent information available in various printed media.  Some of this media is only available in hardcopy, through libraries or commercial bookstores; however, a few examples of this media are available in digital format via the Internet.

 Books

Books included in this section were published between 1995 and 1999.  Although this list is not all-inclusive, it represents a sizeable portion of the books published on NATO Expansion.

David, Charles-Philippe and Levesque, Jacques. The Future of NATO: Enlargement, Russia, and European Security. Montreal: McGill-Queen’s University Press, 1999.  LC: JZ5930.F88 1999

Blank, Steven J. NATO After Enlargement: New Challenges, New Missions, New Forces. Carlisle Barracks, PA: US Army War College, 1998.  LC: UA 646.3.N226 1998

Brenner, Michael J. NATO and Collective Security.  New York: St. Martin’s Press, 1998.  LC: JZ5930.N38 1998

Clemens, Clay. NATO and the Quest for Post-Cold War Security. New York: St. Martin’s Press, 1997.  LC: UA646.3.N229 1997

Carpenter, Ted G. and Conry, Barbara. NATO Enlargement: Illusions and Reality. Washington D.C.: Cato Institute, 1998.  LC: UA646.3.N2425 1998

Simon, Jeffrey. NATO Enlargement: Opinions and Options. Washington D.C.: National Defense University Press, 1995.  LC: UA646.3.N2462 1995

Gordon, Philip H. NATO’s Transformation: The Changing Face of the Atlantic Alliance. Lanham, MD: Rowman and Littlefield, 1997.  LC: UA646.3.N2459 1997

Barry, Charles L. Reforging the Trans-Atlantic Relationship. Washington D.C.: National Defense University Press, 1996.  LC: JX1393.N67.R434 1996

Black, J.L. Russia Faces NATO Expansion: Bearing Gifts or Bearing Arms?. Lanham, MD: Rowman and Littlefield, 1999.  LC: UA770.B577 1999

Thompson, Kenneth W. NATO Expansion.  Lanham, MD: University Press of America, 1998.  LC: UA646.3.N24255 1998

McGwire, Michael. NATO Expansion and European Security. London: Brassey’s, 1997. 

Dissertations and Thesis

The dissertations and thesis listed below provide several different perspectives on the success of current NATO Expansion efforts, and theories for improving such efforts in future rounds of enlargement.

Auerbach, M.P. “A Partnership for a New Era: Addressing Security in Post-Cold War Europe”. Thesis. Boston College, 1999.

The economic and political costs of expanding NATO have yet to be determined, even after the admission of Poland, Hungary, and the Czech Republic. This paper analyzes a cost effective, low-risk   alternative in the Partnership for Peace (PfP) to facilitate further enlargement.  This thesis is available in Portable Document Format (PDF) at http://wwwlib.umi.com/diss/fullcit?p1394725

Stille, Anthony P.L. “NATO Enlargement: Domestic Divergence and the Ambiguity of Enlargement”. Thesis. University of Western Ontario, 1997.

"NATO’s enlargement objectives are wrought with ambiguity and a general sense of uncertainty.  This study examines why NATO’s enlargement objectives have become so ambiguous, and how this ambiguity has affected the overall enlargement debate” [from ProQuest Digital Dissertations Abstract]

Kuball, Richard K. “NATO’s Future and Past: Built on American Leadership”. Thesis. California State University-Fresno, 1996.

“The Partnership for Peace has marked the reemergence of American leadership in NATO, and barring problems with Russia and her reticence to cooperate with NATO Expansion, offers promise as ensuring the future for NATO” [from ProQuest Digital Dissertations Abstract]

Kay, Sean I. “NATO and the Future of European Security”. Dissertation. University of Massachussettes, 1997.

 “This project draws from realist and institutionalist approaches to the study of international relations to assess what institutional characteristics of NATO have developed over time which may contribute to national security into the 21st Century” [from ProQuest Digital Dissertations Abstract].  This dissertation is available in Portable Document Format (PDF) at http://wwwlib.umi.com/diss/fullcit?p9737549.

Harris, James R. “The Defence and Security of the European Union in the 21st Century”. Thesis. United States International University, 1996.

“The Europeans should continue to develop the Western European Union as the European Union’s pillar of NATO, and in time, the WEU will be absorbed into the Union to provide for the defence and security of the European Union in the 21st Century”  [from ProQuest Digital Dissertations Abstract].  This thesis is available in Portable Document Format (PDF) at http://wwwlib.umi.com/diss/fullcit?p1383079.

 Government Documents

Oddly enough, there are relatively few available government documents relevant to the study of NATO Expansion; the majority of these documents are congressional hearing transcripts that provide little historical perspective or current status of the expansion efforts.  Two sources of government publications are listed below that are relative to NATO Expansion; the first, the McNair Papers, are possibly the best available resource for studying NATO Enlargement.

 1.    McNair Papers/National Defense University Studies

“The McNair Papers are an ongoing series of papers published at Fort Lesley J. McNair, home of the Institute for National Strategic Studies (INSS) and the National Defense University (NDU).  The purpose of the McNair Papers is to provide historic significance of U.S. defense policy from an international perspective” [from the INSS web site].  Several of the authors of these works (including Jeffery Simon, S. Nelson Drew, and Gregory Foster) are considered among the premier subject matter experts in the areas of National Defense Policy and International Security.  Listed below are the McNair Papers relevant to NATO Expansion.  The McNair Papers are available on the World Wide Web at http://www.ndu.edu/ndu/inss/macnair/macnain.html. 

Clyatt, Oscar W. Jr. “Bulgaria’s Quest for Security After the Cold War”. McNair Paper #15, 1993

Foster, Gregory D. “In Search of a Post-Cold War Security Structure”. McNair Paper #27, 1994

Drew, S. Nelson. “NATO from Berlin to Bosnia: Trans-Atlantic Security in Transition”. McNair Paper #35, 1995

Simon, Jeffrey. “Central European Civil-Military Relations and NATO Expansion”. McNair Paper #39, 1995

Morrison, James W. “NATO Expansion and Alternative Future Security Alignments in Europe”. McNair Paper #40, 1995

Sloan, Stanley R. “NATO’s Future Beyond Collective Defense”.  McNair Paper #46, 1995

Kramer, Steven and Kyriakopoulos, Irene. “Trouble in Paradise? Europe in the 21st Century”.  McNair Paper #49, 1996

Lewis, William H. and Marks, Edward. “Searching for Partners: Regional Organizations and Peace Operations”. McNair Paper #58, 1998

Simon, Jeffrey. “NATO Enlargement”. Strategic Forum, 1995

Binnendijk, Hans, and Simon, Jeffrey. “Baltic Security and NATO Enlargement”. Strategic Forum, 1995

2. Government Agencies/Other Government Documents

United States General Accounting Office. “NATO Enlargement.  NATO and US Actions Taken to Facilitate Enlargement: Report to the Chairman, Committee on International Relations, House of Representatives”. Washington D.C.: GAO, 1996

United States Department of State. “The Enlargement of NATO: Why Adding Poland, Hungary, and the Czech Republic to NATO Strengthens American National Security”. Washington D.C.: US Department of State, 1998

Bostick, T.P. “NATO Enlargement - Balancing Economic and Military Objectives”. Carlisle Barracks, PA: Army War College, 1997

Journal Articles

The articles below, from several prominent and well-respected journals, provide the researcher with several perspectives on NATO Expansion; possibly the most interesting perspectives are those presented by individuals who are anti-expansion.

Carpenter, Ted G. “The Future of NATO”. Journal of Strategic Studies 17.4 (1994)

Lieven, Anatol. “New Iron Curtain”. Atlantic Monthly (January 6, 1994). 

Discusses the effect of NATO Expansion on Russia.
Available online at http://www.theatlantic.com/issues/96jan/nato/nato.htm

Moses, Alfred H. “Romania’s NATO Bid”. SAIS Review: A Journal of International Affairs 18.1 (1998)

“Romania is one of the strongest candidates for NATO membership in the second round of expansion.  The democratically - elected Ciorbea government continues to push through economic reforms to secure their bid” [from Article 1st abstract]

Daniels, Robert V. “The Danger of NATO Expansion”. The New Leader 80.12 (1997)

Straus, Ira. “NATO, Go East”. National Review 49.15 (1997)

Dean, Jonathan. “The NATO Mistake”. The Washington Monthly 29.7 (1997)

            “Expansion for all the wrong reasons” [from Article 1st abstract]

Online Resources

Although the search engines listed above may provide the researcher with numerous online sources of information, the web sites listed below are well known for their reliable presentation of information.  A few of the sites (the NATO and EUCOM sites in particular) may have a slight bias in the reporting of some information; however, this effect of this bias is rather limited regarding reliability of the information contained therein.

North Atlantic Treaty Organization (NATO) Homepage (http://www.nato.int/)

 A central information source for all things NATO-related, it offers a site search feature, descriptions of the organization, an online library of NATO publications, and links to other sub-sites hosted by NATO.  Available in English and French

International Relations and Security Network (http://www.isn.ethz.ch/)

“A Swiss contribution to Partnership for Peace” [from the ISN website], coordinated and developed by the Center for Security Studies and Conflict Research at the ETH Zurich.  Includes the ISN publishing house, facts database, and information on current world affairs

The Cato Institute (http://www.cato.org/)

“A nonpartisan public policy research foundation that seeks to broaden parameters of public policy debate” [from the Cato website]. Provides a menu of policy research areas (defense studies,             foreign policy studies, etc.) and a library of publications

 Radio Free Europe/Radio Liberty (http://www.rferl.org/)

 “Promotes democratic values and institutions by disseminating factual information and ideas” [from the Radio Free Europe/Radio Liberty mission statement].  Provides objective worldwide news and reports on multiple international relations topic areas

Globalbeat (http://www.nyu.edu/globalbeat)

"Resource service for the global journalist” [from the Globalbeat website].  Sponsored by the Center for War, Peace, and the News Media at NYU’s Department of Journalism and Mass Communications

Federation of American Scientists (http://www.fas.org/)

“Conducts analysis and advocacy on science, technology, and public policy, including National Security, nuclear weapons, arms sales, biological hazards, secrecy, and space policy” [from the FAS web site].  The board of sponsors includes half of America’s living Nobel Laureates.  Founded as the Federation of Atomic Scientists

United States European Command (US EUCOM) Homepage (http://www.eucom.mil/)

US EUCOM is the highest US military command in Europe; it is a Joint Command, made up of US Army forces (USAREUR), US Air Forces (USAFE), US Navy forces (NAVEUR), and US Marine force (MARFOREUR).  EUCOM is subordinate in NATO to the Supreme Allied Commander, Europe (SACEUR), who, in addition to being NATO’s senior military leader, also is dual-hatted as the EUCOM commander.  EUCOM is the United States’ spearhead for all military-related efforts in integrating new countries into NATO through the Partnership for Peace