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NATO-Russia Tensions:
Putin Orders Invasion of Ukraine
With the European Security Order in Shambles, Further Escalation Must Be Prevented
Wolfgang Richter
After military maneuvers near the borders, Moscow started a full-scale invasion of
Ukraine on 24 February 2022. Before that, it has denied such an intent. It had been
accusing Kiev of escalating the situation in the Donbas and the West of encouraging
Ukraine to do so by taking sides in a biased manner. In mid-December 2021, it made
clear in two draft treaties what it is after, namely preventing a further expansion of
NATO to the east and obtaining binding assurances to this end. In doing so, it is in-
voking the NATO-Russia agreements of the 1990s. Moscow voiced fears that Ukraine’s
accession to NATO in particular would endanger Russia’s security and the strategic
balance with the US. The US and NATO had signaled a willingness to engage in dia-
logue on arms control issues, but they were not prepared to revise the principles of
the European security order. Obviously, Moscow did not accept this and resorted to
the use of force. It ignored the chance to embark on a new dialogue as an opportunity
to de-escalate the situation and restore military predictability through arms control
without abandoning principles.
SWP Comment 16
March 2022
2
logistics that must be transported by rail. a nuclear strategic balance based on a
Regional concentrations of forces weaken mutually assured destruction capability. It
the troop presence elsewhere and cannot is anchored in bilateral arms control trea-
be sustained for long. ties, most recently in the New Start Treaty,
The large-scale attack by Moscow on which both sides extended by five years in
Ukraine carries high military and political February 2021. It limits the number of
risks, despite clear Russian air superiority. those nuclear weapons and carriers with
After eight years of war, the Ukrainians’ intercontinental range that can be used to
will for national self-assertion has grown, threaten targets in the territories of the two
especially since the parts of the population potential adversaries from their own terri-
with an affinity for Russia live predomi- tory or from submarines. The agreed bal-
nantly in Crimea and the Donbas. The ance is intended to guarantee the nuclear
Ukrainian armed forces are more battle- second-strike capability of both sides and
hardened and morally more stable than in thus deter a strategic nuclear attack (“first
2014, so the Kremlin is facing high-inten- strike”).
sity battles, guerrilla operations, and street The agreed “strategic stability” has been
fighting in cities, which is slowing opera- threatened by recent developments. These
tions and causing heavy casualties. Also, include new delivery systems not governed
the question of political responsibility for a by the New Start Treaty, long-range con-
war among “brother nations” carries explo- ventional precision and hypersonic weap-
sive force in Russian domestic politics. ons, strategic missile defense, and anti-
In foreign policy terms, the Russian lead- satellite weapons. Both sides fear that the
ership now has to prepare itself for world- combined application of this potential
wide isolation, harsh sanctions, and the could undermine second-strike nuclear
further deployment of NATO troops on Rus- capabilities and enable a disarming first
sia’s borders. More of Russia’s European strike. This is being discussed in bilateral
neighbors feel threatened and could seek strategic stability talks.
protection in NATO. Moscow will achieve From Washington’s perspective, moreo-
the opposite of what it wants, which is to ver, China’s growing nuclear capabilities
protect its own security from further NATO have altered the strategic balance and the
advances. regional balance in the East Asia-Pacific
region. They challenge the “extended deter-
rent” of the US that benefits its East Asian
Moscow’s Strategic Goals allies. Washington therefore wants to
engage Beijing in arms control.
Russia sees its security being threatened With the US far from the theater of con-
above all by NATO’s expansion to the east. flict in Europe, Moscow finds itself at a dis-
Moscow already demonstrated in 2014 that advantage, that is, it is facing additional
Ukraine has a key role to play in this. The security risks in Europe. These include the
annexation of Crimea was less about “pro- nuclear weapons of France and the UK, as
tecting Russian compatriots” than about well as the deployment of US sub-strategic
securing the bases of the Black Sea Fleet. In nuclear weapons in Europe and NATO’s
the Donbas, by contrast, the Kremlin, while conventional forces on Russia’s borders.
strengthening the rebels, had been sticking Moscow also fears a future threat from
to the Minsk Agreement for the past eight new US intermediate-range weapons in
years. Moscow had assumed that the vic- Europe. They could reach strategic targets
torious Maidan movement would seek in the European part of Russia should
Ukraine’s rapid accession to NATO – a Washington and NATO partners decide
goal that now has constitutional status. to deploy them.
Moscow is fixated on the US as the lead- NATO’s expansion has created more
ing NATO power. With it, Russia maintains potential deployment areas in Central and
SWP Comment 16
March 2022
3
Eastern Europe. For the Kremlin, therefore, sian) troops would be withdrawn. Thus, no
NATO is primarily an instrument of the military eastward shift of NATO took place.
US to advance geopolitical interests to the As agreed, Russian forces left Germany
detriment of Russia’s security. To this end, by 1994 and, beyond that, Poland, Czecho-
according to Moscow, the West had broken slovakia, Hungary, and the Baltic states.
earlier agreements and now wants to rem- To achieve this historic change of para-
edy this with new draft agreements. digm, arms control played a key role. It
The West sees the drafts as an attempt by ensured respect for mutual security inter-
Moscow to change the European security ests through a network of intertwined arms
order. It counters this by invoking the right control treaties. As early as 1987, the US
of states to freely choose their alliances. and the Soviet Union stipulated in the bi-
However, European security arrangements lateral Intermediate-Range Nuclear Forces
are more complex. They also bind alliances. (INF) Treaty that they would eliminate their
land-based intermediate- and shorter-range
ballistic and cruise missiles with a range of
European Security Order between 500 and 5,500 km. By 1991, all of
the approximately 2,700 intermediate-range
In the 1975 Final Act of the Conference on systems had been destroyed in accordance
Security and Cooperation in Europe (CSCE with the treaty.
Final Act), all states of NATO, the then War- Based on an informal understanding,
saw Pact, and the neutral and non-aligned Russia and the US also reduced a large por-
states of Europe agreed on principles for tion of their tactical nuclear weapons stock-
implementing obligations relating to inter- pile. Russia withdrew them completely
national law under the conditions of the from the stationing countries; the US left a
Cold War in Europe. These include the re- small amount in NATO Europe in order to
nunciation of force and the peaceful settle- ensure extended deterrence, including by
ment of conflicts; respect for the sovereignty means of “nuclear sharing” with four Euro-
and territorial integrity of states; non-inter- pean states.
ference in their internal affairs and the in- Under the 1990 multilateral Treaty on
violability of borders; as well as the com- Conventional Armed Forces in Europe (CFE
mitment to the right of peoples to self- Treaty), member states of NATO and the
determination. then Warsaw Pact pledged to establish a
After the Cold War and the unification military balance at lower levels and elimi-
of Germany, the CSCE states agreed in 1990 nate collective capabilities for regional sur-
on the Charter of Paris as the basis for a prise attacks or large-scale aggression. By
new European security order. There, they 1996, nearly 60,000 major weapons systems
committed themselves to common political had been dismantled. Thus, the reduction
norms, democracy, and the rule of law, as commitments had already been largely
well as to comprehensive security coopera- fulfilled. The main burden was again borne
tion. The members of NATO and the then by Russia, followed by Germany.
Warsaw Pact promised to no longer regard The CFE Treaty had only come into force
each other as adversaries, but for the future in 1992, after the Warsaw Pact and the
to seek a security partnership for a common Soviet Union had dissolved. But even from
Europe. Moscow’s point of view, it continued to
In the Two plus Four Treaty of 12 Septem- have strategic importance for the stability
ber 1990, it was agreed that the unification of Europe because it limited NATO to its
of Germany should not lead to a geopoliti- geopolitical status of 1990 and safeguarded
cal zero-sum game. Therefore, Germany its geographical distance from Russia.
committed itself not to station nuclear This changed only after the withdrawal
weapons or foreign troops in Berlin and the of Russian troops from Germany, when
new federal states, from which Soviet (Rus- NATO began negotiating membership pros-
SWP Comment 16
March 2022
4
pects for Poland, the Czech Republic, Slo- European Security. In it, they reaffirmed
vakia, and Hungary. Moscow initially saw their commitment to the goal of creating
this as a breach of earlier agreements and a common area of equal and indivisible
feared a return to geopolitical rivalry. NATO security. No state or organization could
denied this, stressed the importance of a claim primary responsibility for the pres-
stable political anchoring for the four acces- ervation of European security or assert
sion candidates, and offered Moscow assur- special zones of influence. Nevertheless,
ances that military restraint would be main- every state had the right to join an alliance
tained. or to remain neutral. However, states
In the NATO-Russia Founding Act of May should respect their mutual security inter-
1997, the Allies and Russia pledged to deepen ests and not strengthen their security at the
their security cooperation, strengthen the expense of other states.
OSCE as a joint security organization, and Arms control and confidence-building
adapt the CFE Treaty to the new geopolitical measures were core elements in ensuring
situation. The obsolete military bloc bal- security and stability in the OSCE area.
ance was to be replaced by national and Their “cornerstone” was the CFE Treaty.
territorial ceilings for each state party. They Its adaptation would take into account
would also limit the number of stationed the change in basic geopolitical conditions,
troops. NATO would not undertake any enable the accession of further European
“additional permanent stationing of sub- states to the treaty, and thus contribute to
stantial combat forces.” In addition, NATO improving military stability in Europe. Mos-
noted it had no reason, no intention, and cow is accusing NATO of expanding east-
no plan to deploy nuclear weapons in the ward without complying with the agree-
accession countries or to prepare logistically ments.
to do so.
These agreements overlaid oral statements
made in 1990 by US Secretary of State James Erosion of the Agreements
Baker and German Foreign Minister Hans-
Dietrich Genscher that NATO did not intend The ACFE has not entered into force,
to expand further eastward after German although Russia ratified it in 2004. Within
unification. These statements reflected the the alliance, the US blocked ratification of
situation at the time of the Two plus Four the ACFE after George W. Bush took office
Treaty, when the end of the Warsaw Pact as president in 2001. He wanted to secure
and the Soviet Union was not yet in sight. the withdrawal of Russia’s remaining sta-
Russia agreed to the first NATO enlarge- tioned forces from Georgia and Moldova in
ment of 1999 under the conditions set out preparation for the accession of Ukraine
in the 1997 NATO-Russia Founding Act. and Georgia to NATO.
Despite disgruntlement over NATO’s The US justified this on the basis of Rus-
Kosovo war against Serbia, these agree- sia’s bilateral supplementary agreements
ments were initially implemented. After with Georgia and with the OSCE, which
a brief interruption, the Permanent Joint were brought to the attention of the CFE
Council of NATO and Russia (renamed States Parties during the OSCE summit in
NATO-Russia Council in 2002) discussed a Istanbul and referred to in the CFE Final
broad range of issues in the common secu- Act. However, there was no consensus with-
rity interest. The two sides cooperated on in NATO as to whether the withdrawal com-
the implementation of the Dayton accords mitments also applied to Russian peace-
on arms control in the former Yugoslavia. keepers in the conflict areas of Abkhazia
At the 1999 OSCE Istanbul Summit, the and Transnistria, since they had UN and
CFE States Parties signed the CFE Adapta- OSCE mandates. Even when Russia had
tion Agreement (ACFE). In parallel, all OSCE withdrawn all CFE-relevant weapons sys-
participating States adopted the Charter for tems from Transnistria in 2002 and all
SWP Comment 16
March 2022
5
stationed troops from Georgia in 2007, the Moscow criticized the US attack against
US position on the ACFE did not change. Iraq in 2003 as a breach of international
Germany did not share this view, but it did law. Although there was no consensus in
not want to break alliance solidarity. NATO for the war, Washington was able to
Although the ACFE had not entered into rely on a “coalition of the willing,” which
force because of the US blockade, states that consisted primarily of the new Eastern
did not belong to the CFE Treaty regime European allies. As early as 1999, Moscow
joined NATO starting in 2004. This created had denounced NATO’s war against Serbia
potential alliance deployment areas on as an illegal war of aggression and a viola-
Russia’s borders, namely in the Baltic states, tion of the ban on the use of force.
which are not subject to legally binding At the Munich Security Conference in
arms control rules. February 2007, President Vladimir Putin
Furthermore, the US prevented the com- criticized this development as a breach of
mitment not to permanently station addi- the 1997 and 1999 agreements and accused
tional “substantial combat forces” from be- the US of engaging in geopolitics to Russia’s
ing defined jointly with Russia. This would detriment. At the end of 2007, he suspend-
be important, however, if only because ed the CFE Treaty, whose bloc balance of
Russia had agreed to identical commit- forces concept had become obsolete.
ments for the border areas with the Baltic When Western states recognized Koso-
states, Poland, and Finland. vo’s unilateral declaration of independence
Instead, the US created a permanent in February 2008, borders in Europe were
military presence on the Black Sea in 2007 changed for the first time since the Charter
without prior consultations in the alliance or of Paris and the Dayton Peace Accord after
the NATO-Russia Council. The US described prior use of force and without Security
its “rotating” combat forces in Romania Council approval. Moscow responded by
and Bulgaria as “not substantial.” However, upgrading its informal relations with Ab-
both states are part of the “flank area of khazia and South Ossetia. Their political
the Eastern Group” of CFE States Parties, to status has been negotiated under the lead
which special limitations and consultation of the UN and the OSCE since the 1990–
obligations apply. 1994 wars.
In response, Russia has declared its own The breaking point in NATO’s relations
flank limitations obsolete, which limit the with Russia proved to be its Bucharest
size of Russian forces in the High North and decision in April 2008 to offer Ukraine and
the Caucasus. Moscow had already been Georgia the prospect of joining the alliance.
eyeing with suspicion the development of With the support of Eastern European
Georgian-American military cooperation states, President George W. Bush wanted to
(Train and Equip Program) since 2002, which achieve this goal quickly, but Germany and
established a US military presence on Rus- France prevented a concrete Membership
sia’s unstable Caucasus border. Whereas Mos- Action Plan. They doubted that the candi-
cow had initiated sanctions against the sepa- dates’ domestic political conditions would
ratist regime in Abkhazia as recently as 1996, meet NATO standards. They also feared a
it now began to informally prop up the re- destabilization of Ukraine, since the major-
publics that had broken away from Georgia. ity of the population rejected joining the
Moscow viewed the US withdrawal from alliance. In addition, they warned not to
the Anti-Ballistic Missile Treaty in 2002 as a cross Moscow’s “red lines” so as not to en-
threat to strategic stability. That intensified danger regional stability and the security of
when the US bilaterally agreed with Poland Europe and the alliance.
and the Czech Republic in 2007 to deploy Nevertheless, Georgian President Mikheil
missile defense systems there. Washing- Saakashvili felt emboldened by his strategic
ton’s rationale of having to counter the Ira- partnership with the US to attack Ossetian
nian threat was questioned by Moscow. militias and Russian peacekeepers in the
SWP Comment 16
March 2022
6
South Ossetian town of Tskhinvali on ders and deploying missiles and nuclear
7 August 2008. The Russian counterattack weapons within striking distance. In this
drove the Georgian army out of South Osse- regard, Moscow is fixated on the strategic
tia and opened a second front in Abkhazia. balance with the US. However, the geo-
Moscow’s recognition of the two breakaway political asymmetry between the insularity
regions as “states” after the ceasefire was of the US and Russia’s centrality in the
seen by the West as an illegal change of Eurasian continent posed political and con-
borders by force and a violation of Georgia’s ceptual challenges to negotiations. The fact
sovereignty. that the Kremlin subordinates the security
With Moscow’s annexation of Crimea in interests of its European neighbors to its
violation of international law and its sup- own security needs is unacceptable from a
port for the rebels in the Donbas, the ero- European perspective.
sion of the European security order reached Thus, the question arose as to how the
its culmination. With Russia’s invasion of principles of the European security order
Ukraine, it has collapsed. But the erosion could be implemented in such a way that
had already begun in 2002 with the grow- both Russia’s security and that of its neigh-
ing potential for conflict between Washing- bors and their right to choose their own
ton and Moscow. The geopolitics of Presi- alliance could be preserved. This was
dent George W. Bush played a considerable achieved in 1990–1999, when stationing
role in this. His successor, Barack Obama, limits were agreed upon for the accession
was unable to heal this, despite the partial countries. But the security guarantees were
successes of his “reset” policy. not implemented. Thus, neither arms con-
trol was adjusted nor was the OSCE strength-
ened as the center of the European security
A Lost Chance: order.
Negotiated Solutions The Russian treaty proposals therefore
suggested two sets of negotiations that dif-
The erosion of security arrangements for fer fundamentally in their political quality:
Europe points to a deeper root cause of the A revision of the agreed principles of the
Ukraine conflict. Moscow is concerned with European security order, such as the free
strategic parity with the US and with pre- choice of alliances, would never be agree-
venting geopolitical disadvantages that able. However, reciprocal security guaran-
might result from NATO enlargement. In tees, especially through arms control, are
particular, Ukraine’s NATO accession would also part of the agreed security order.
rupture traditional ties with pro-Russian Therefore, deployment limitations would
ethnic groups in the east of the country, have been certainly negotiable, provided
create more NATO stationing areas in close they do not create zones of diminished
proximity to Central Russian regions, and security.
expand the US military presence in the On the other hand, Moscow’s demand
Black Sea region to the Don River. Moscow that the alliance retract its 2008 declaration
sees its actions as legitimized, like those of holding out the prospect of NATO member-
the US in the 1962 Cuban missile crisis, to ship to Ukraine and Georgia is unrealistic.
protect strategic security interests. However, the Allies may find that a de facto
Russia’s December 2021 draft treaties accession moratorium has been in place
also served this purpose, with Moscow since then and that it will continue for the
seeking to prevent new NATO accessions foreseeable future because the accession
that would allow the alliance, and the US criteria – political maturity of the candi-
in particular, to create additional station- dates, increased security for the alliance,
ing areas on Russia’s borders. Moscow is and consensus within it – are not being
also demanding assurances that NATO will met. The alliance, however, cannot guar-
refrain from stationing troops near its bor- antee that this situation will never change.
SWP Comment 16
March 2022
7
Nevertheless, the right of states to choose tive of a non-existent Ukrainian nation and
their alliances freely does not establish a its historic impetus of returning to Russia
right to join NATO, because the alliance is the territories of a former empire now
subject to special obligations it has com- seems to superimpose security concerns in
mitted to as part of the strategic balance of order to justify the use of force for domestic
interests. Its nuclear dimension – and the consumption.
leading role of the US in particular – im- However, the Russian president has ob-
poses upon it a special responsibility for viously underestimated the Ukrainian
strategic stability in Europe. determination to resist and the resolve
To this end, it would make sense to agree of the West. He will now achieve what he
© Stiftung Wissenschaft on a moratorium on the deployment of wanted to avoid, namely a more united
und Politik, 2022 new INF weapons in Europe, provided that Ukrainian nation, a more united and
All rights reserved verification of the range of disputed sys- stronger NATO and EU, and an unprece-
tems can be ensured. dented military strengthening of NATO’s
This Comment reflects
Moscow’s demand that the US withdraw eastern flank. In addition, he will have to
the author’s views.
tactical nuclear weapons (TNWs) from face significant economic, financial, and
The online version of Europe is a subject for a New Start follow- political isolation with serious long-term
this publication contains up agreement. In the NATO-Russia Found- effects. If Russian forces get bogged down
functioning links to other ing Act, NATO had pledged not to move in nasty and time-consuming street fighting
SWP texts and other relevant
such weapons eastward. This still carries in Ukraine’s cities while their losses mount,
sources.
some value, provided Russia does not sta- Putin will also face a dramatic loss of repu-
SWP Comments are subject tion TNWs with its dual-capable forces in tation internally, with unpredictable con-
to internal peer review, fact- Europe or Belarus. sequences.
checking and copy-editing. The Founding Act does not justify Mos- At the dawn of a new era, there seems to
For further information on cow’s demand to withdraw from NATO ac- be little prospect for any new agreements.
our quality control pro-
cession countries all those troops that were As long as the future of Ukraine is unclear,
cedures, please visit the SWP
website: https://www.swp- stationed there after May 1997. Rather, the the outlines of a future inclusive European
berlin.org/en/about-swp/ formula of refraining from the “additional security order, its principles, borders, and
quality-management-for- permanent stationing of substantial combat spheres of influence will not appear. How-
swp-publications/ forces” could have been mutually defined ever, a new military confrontation between
and Russia’s reciprocal obligations called in. Russia and the West along a fortified con-
SWP
Stiftung Wissenschaft und
Russian proposals to establish a conven- tact line will carry high risks of military
Politik tional stability regime, to avoid incidents incidents, miscalculations, and further
German Institute for on and over the high seas, and to allow and escalation. Therefore, stabilizing measures
International and verify exercises in border areas only up to such as direct communication between
Security Affairs the maximum size of an army brigade could military headquarters, tight rules for in-
also have been in the interest of the West. cident prevention, as well as de-escalation,
Ludwigkirchplatz 3–4
10719 Berlin transparency, and restrictions of military
Telephone +49 30 880 07-0 movements will be needed even more
Fax +49 30 880 07-100 The End of the Security Order urgently to prevent the worst. This will
www.swp-berlin.org of Paris require new talks and security arrange-
swp@swp-berlin.org
ments once the fog of war has cleared.
ISSN (Print) 1861-1761
With Moscow’s invasion of Ukraine, Putin
ISSN (Online) 2747-5107 has deliberately destroyed these chances
doi: 10.18449/2022C16 for negotiated solutions, and with them
the cooperative European security order of
(Revised and updated Paris. The NATO-Russia Founding Act, the
English version of
European Security Charter, and the Minsk
SWP-Aktuell 11/2022)
Agreement are obsolete. Putin’s new narra-
Colonel (ret.) Wolfgang Richter is a Senior Associate in the International Security Division at SWP.
SWP Comment 16
March 2022