[Senate Executive Report 114-16]
[From the U.S. Government Publishing Office]


114th Congress     }                               {       Exec. Rept.
                                 SENATE
 2d Session        }                               {            114-16

======================================================================



 
               PROTOCOL TO THE NORTH ATLANTIC TREATY OF 
                  1949 ON THE ACCESSION OF MONTENEGRO

                                _______
                                

                December 7, 2016.--Ordered to be printed

                                _______
                                

          Mr. Corker, from the Committee on Foreign Relations,
                        submitted the following

                                 REPORT

                   [To accompany Treaty Doc. 114-12]

    The Committee on Foreign Relations, to which was referred 
the Protocol to the North Atlantic Treaty of 1949 on the 
Accession of Montenegro, opened for signature at Brussels on 
May 19, 2016, and signed that day on behalf of the United 
States of America, having considered the same, reports 
favorably thereon subject to seven declarations and two 
conditions for the Protocol, as indicated in the resolution of 
advice and consent for the treaty, and recommends the Senate 
give its advice and consent to ratification thereof, as set 
forth in this report and the accompanying resolution of advice 
and consent.

                                CONTENTS

                                                                   Page

  I. Purpose..........................................................1
 II. Background.......................................................2
III. Qualifications of Montenegro for NATO Membership.................2
 IV. Entry Into Force.................................................3
  V. Committee Action.................................................3
 VI. Committee Recommendation and Comments............................4
VII. Text of Resolution of Advice and Consent to Ratification.........6

                               I. Purpose

    This Protocol is a vehicle for inviting Montenegro to 
accede to the North Atlantic Treaty (the ``Treaty'') in 
accordance with Article 10 of the Treaty and thus become a 
member of the North Atlantic Treaty Organization (``NATO''), 
with all of the privileges and responsibilities that apply to 
current Allies. The core commitment made among the Allies is 
embodied in the text of the Treaty, including the collective 
defense provision in Article 5.

                             II. Background

    The North Atlantic Treaty entered into force on August 24, 
1949, with twelve states having ratified the Treaty. The 
original parties of the Treaty, and thus the original members 
of NATO, were the United States, Canada, the United Kingdom, 
France, Italy, the Netherlands, Belgium, Portugal, Denmark, 
Norway, Iceland, and Luxembourg. The alliance has expanded six 
times: in 1952, Greece and Turkey became members; in 1955, West 
Germany; in 1982, Spain; in 1999, Poland, Hungary and the Czech 
Republic; in 2004, Bulgaria, Estonia, Latvia, Lithuania, 
Romania, Slovakia, and Slovenia; and in 2009, Albania, and 
Croatia.
    The process leading to the enlargement of the alliance has 
been refined since the Cold War. NATO remains a military 
alliance, but also became an agent of peace, holding new 
members to higher democratic and economic standards and 
creating a secure space for newly free nations to develop. 
Military reform and achieving interoperability with NATO 
remains essential, but the character of the new allied country 
is also important. The debate over the last three enlargements 
has centered on what standard of political or economic 
development is adequate for accession to the alliance.
    In the 1990s, Secretary of Defense William Perry 
established benchmarks used to assess new members. These are 
democratic elections, individual liberty, and the rule of law; 
commitment to economic reform and a market economy; adherence 
to the norms of the Organization for Security and Cooperation 
in Europe (OSCE) in the treatment of ethnic minorities and 
social justice; resolution of territorial disputes with 
neighbors; and the establishment of democratic control of the 
military. Montenegro has attempted to address these issues in 
the course of its NATO membership applications and the 
committee has examined the results.
    Engagement with NATO to assist a country's democratic and 
economic development is not the end of reform. The experience 
of previous NATO enlargements suggests that countries continue 
the reform process after admission, and Montenegro must 
similarly continue this process.

         III. Qualifications of Montenegro for NATO Membership

    Since the mid-1990's, NATO has been heavily involved in 
peacekeeping operations in the Western Balkans, a region that 
has been beset by instability and conflict for the past two 
decades. NATO has also worked hard to strengthen institutional 
ties with the fledgling democracies of the region, in the hope 
that full integration with Euro-Atlantic institutions such as 
NATO and the European Union (EU) would ensure long-term 
stability and security.
    Since gaining independence from its union with Serbia in 
2006, Montenegro's key foreign policy goals have been EU and 
NATO membership. Former Prime Minister Milo Djukanovic has said 
that a fundamental reason for Montenegro's efforts to join NATO 
is that the alliance serves as a stabilizing force in the 
region.
    NATO invited Montenegro to begin formal accession talks in 
December 2015, having concluded that the government had made 
sufficient progress in implementing the reforms called for in 
its Membership Action Plan (MAP). Since 2009, Montenegro has 
adopted a wide range of laws aiming to bolster the 
effectiveness and transparency of government institutions, and 
the independence of the judiciary, among other things. 
Nevertheless, it is noted that Montenegro continues to face 
challenges in the following areas: rule of law, especially 
judicial reform and the fight against organized crime and 
corruption; security matters, including intelligence and 
security sector reform, arms control, and the fight against 
terrorism; and military matters, including removal of 
unnecessary military infrastructure and surplus arms.
    In its 2015 annual progress report on Montenegro, the 
European Union noted that the government had made ``good 
progress'' in improving the legislative framework for 
increasing the independence of the judiciary and fighting 
corruption. However, the EU also underscored that Montenegro 
had yet to establish a track record of prosecuting corruption 
cases and achieving convictions. Observers have welcomed the 
establishment in 2015 of a Special Public Prosecutor's Office, 
but its effectiveness remains to be seen. Some outside experts 
have raised doubts as to whether Montenegrin authorities are 
sufficiently committed to taking steps to prevent corruption 
and promote an independent judiciary, suggesting that such 
actions could implicate high-ranking political figures.
    As a condition of advancing accession talks, NATO officials 
consistently pushed for further reform of Montenegro's security 
sector. Areas of particular concern have been the intelligence 
sector and arms control issues. Montenegro has taken steps to 
address deficiencies in its intelligence sector, specifically 
within its National Security Agency (ANB). NATO appears to have 
concluded that Montenegro has since taken the steps necessary 
to ensure the independence of its intelligence sector, but the 
committee urges continued vigilance to ensure that NATO's 
security standards are met.

                          IV. Entry Into Force

    The Protocol will enter into force when all of the current 
Parties to the North Atlantic Treaty have notified the 
Government of the United States of America, which is the 
depositary for the North Atlantic Treaty, of their acceptance 
of the Protocol. Once the Protocol has entered into force, the 
Secretary General of NATO shall extend an invitation to 
Montenegro to accede to the North Atlantic Treaty and in 
accordance with Article 10 of the Treaty, Montenegro shall 
become a Party to the Treaty on the date it deposits its 
instrument of accession with the Government of the United 
States of America.

                          V. Committee Action

    The committee held a public hearing on the accession of 
Montenegro to NATO on September 14, 2016, and testimony was 
received from Mr. Hoyt Yee, Deputy Assistant Secretary, Bureau 
of European and Eurasian Affairs at the Department of State; 
and Dr. Michael Carpenter, Deputy Assistant Secretary of 
Defense for Russia, Ukraine, And Eurasia at the Department of 
Defense. A transcript of this hearing is forthcoming in S. Hrg. 
479.
    On December 6, 2016, the committee considered this protocol 
and ordered it favorably reported by voice vote, with a quorum 
present and without objection.

               VI. Committee Recommendation and Comments

    The Committee on Foreign Relations believes that Montenegro 
has the potential to make contributions as a member of NATO. 
Montenegro has already demonstrated this potential through its 
participation in recent years in NATO combat and peacekeeping 
operations in Afghanistan. The admission of Montenegro to the 
alliance will have a stabilizing effect on Southeastern Europe. 
Montenegro's membership will encourage the continued spread of 
peace and democracy in the region, and its willingness to 
contribute to ongoing NATO operations will augment NATO's 
resources.
    It will take some time for Montenegro to cement the 
political and economic gains made during the past decade of 
independence. Montenegro still needs to make greater efforts 
enhance the rule of law, fight corruption and organized crime, 
meet NATO standards in security sector reforms, and build 
public support for NATO membership. The committee believes, 
however, that Montenegro's commitment to NATO membership is 
strong and that its addition to the alliance is warranted.

                               RESOLUTION

    The committee has included in the proposed resolution for 
the Protocol seven declarations and two conditions, which are 
discussed below.

                              DECLARATIONS

Declaration 1: Reaffirmation that Membership in NATO Remains a Vital 
        National Security Interest of the United States

    Declaration 1 restates that NATO membership is a vital 
national security interest for the United States. For over 
sixty years, NATO has served as the foremost organization to 
defend the territory of the countries in the North Atlantic 
area against all external threats. NATO prevailed in the task 
of ensuring the survival of democratic governments throughout 
the Cold War, and NATO has established a process of cooperative 
security planning that enhances the security of the United 
States and its allies, while distributing the financial burden 
of defending the democracies of Europe and North America among 
the Allies.

Declaration 2: Strategic Rationale for NATO Enlargement

    Declaration 2 lays out the strategic rationale for the 
inclusion of Montenegro in NATO. NATO members have determined 
that, consistent with Article 10 of the North Atlantic Treaty, 
Montenegro is in a position to further the principles of the 
North Atlantic Treaty and to contribute to the security of the 
North Atlantic area, and that extending membership to 
Montenegro will enhance the stability of Southeast Europe, 
which is in the interests of the United States.

Declaration 3: Support for NATO's Open Door Policy

    Declaration 3 supports NATO's Open Door Policy for any 
European country that expresses interest in the alliance and is 
able to meet the obligations of membership.

Declaration 4: Future Consideration of Candidates for Membership in 
        NATO

    Declaration 4 declares that the consideration of future 
members in NATO provided for under Article 10 of the Senate-
approved North Atlantic Treaty is subject to the requirement 
for advice and consent under Article II, Section 2, Clause 2 of 
the United States Constitution. Article 10 of the North 
Atlantic Treaty provides for an open door to the admission into 
NATO of other European countries that are in a position to 
further the principles of the Treaty and that can contribute to 
the security of the North Atlantic area. The United States will 
not support any subsequent invitation for admission to NATO if 
the prospective member cannot fulfill the obligations and 
responsibilities of NATO membership in a manner that serves the 
overall political and strategic interests of the United States. 
The Senate emphasizes that no state will be invited to become a 
member of NATO unless the Executive Branch fulfills the 
Constitutional requirement for seeking the advice of the 
Senate, a consensus decision to proceed is reached in NATO, and 
ratification is achieved according to the national procedures 
of each NATO member, including the consent to ratification by 
the Senate.

Declaration 5: Influence of Non-NATO Members on NATO Decisions

    Declaration 5 states that non-NATO members shall not have 
the ability to impact the decision-making process of the 
alliance in relation to NATO enlargement. Some outside 
observers have alleged that outside forces have attempted to 
interfere in domestic Montenegrin politics and build opposition 
to Montenegro's inclusion in NATO. The Senate notes such 
concerns and emphasizes that non-NATO members shall not have 
the ability to influence the decision-making process of NATO 
enlargement.

Declaration 6: Support for 2014 Wales Summit Defense Spending Benchmark

    Declaration 6 reaffirms support for the collection 
contribution to the resource commitments of the alliance 
outlined in the 2014 Wales Summit Declaration. These 
commitments obligate each NATO member to spend a minimum of two 
percent of GDP on defense and twenty percent of their defense 
budget on major equipment, including research and development. 
The Senate notes that at this time only five members of the 
alliance meet the obligation for overall defense spending and 
encourages all members to address this disparity at the soonest 
opportunity.

Declaration 7: Support for Montenegro's Democratic Reform Process

    Declaration 7 affirms that Montenegro has made appropriate 
progress in implementing reforms to address corruption, but 
recognizes that Montenegro must continue to progress in 
ensuring rule of law, particularly in the area of corruption.

                               CONDITIONS

Condition 1: Presidential Certification

    Condition 1 requires the President to certify, prior to the 
deposit of the instrument of ratification for the Protocol, 
that (1) the inclusion of Montenegro in NATO will not have the 
effect of increasing the overall percentage share of the United 
States in the NATO common budget; and (2) the inclusion of 
Montenegro in the alliance will not detract from the ability of 
the United States to meet or fund its military requirements 
outside the North Atlantic Area.

Condition 2: Annual Report on NATO Member Defense Spending

    Condition 2 requires the submission of an annual report on 
NATO member defense spending for each of the subsequent eight 
years following the entry into force of the protocol. The 
report shall outline the following expenditures for each of the 
previous five years: amount each NATO member spent on its 
national defense, the percentage of GDP each NATO member spent 
on its national defense, and the percentage of national defense 
spending each NATO member spent on major equipment, including 
research and development. The report shall also include a 
detailed accounting of actions taken by each NATO member in the 
previous year to move toward achieving the NATO guideline, 
outlined in the 2014 Wales Summit Declaration, to spend a 
minimum of two percent of GDP on national defense and twenty 
percent of its defense budget on major equipment.

         VII. Resolution of Advice and Consent to Ratification


   PROTOCOL TO THE NORTH ATLANTIC TREATY OF 1949 ON THE ACCESSION OF 
                               MONTENEGRO

    Resolved, (two-thirds of the Senators present concurring 
therein),

SECTION 1. SENATE ADVICE AND CONSENT SUBJECT TO DECLARATIONS AND 
                    CONDITIONS.

    The Senate advises and consents to the ratification of the 
Protocol to the North Atlantic Treaty of 1949 on the Accession 
of Montenegro, which was opened for signature in Brussels on 
May 19, 2016, and signed on behalf of the United States of 
America (the ``Protocol'') (Treaty Doc. 114-12), subject to the 
declarations of section 2 and the conditions of section 3.

SEC. 2. DECLARATIONS.

    The advice and consent of the Senate under section 1 is 
subject to the following declarations:
    (1) Reaffirmation that United States Membership in NATO 
Remains a Vital National Security Interest of The United 
States.--The Senate declares that--
          (A) for more than 60 years the North Atlantic Treaty 
        Organization (NATO) has served as the preeminent 
        organization to defend the countries in the North 
        Atlantic area against all external threats;
          (B) through common action, the established 
        democracies of North America and Europe that were 
        joined in NATO persevered and prevailed in the task of 
        ensuring the survival of democratic government in 
        Europe and North America throughout the Cold War;
          (C) NATO enhances the security of the United States 
        by embedding European states in a process of 
        cooperative security planning and by ensuring an 
        ongoing and direct leadership role for the United 
        States in European security affairs;
          (D) the responsibility and financial burden of 
        defending the democracies of Europe and North America 
        can be more equitably shared through an alliance in 
        which specific obligations and force goals are met by 
        its members;
          (E) the security and prosperity of the United States 
        is enhanced by NATO's collective defense against 
        aggression that may threaten the security of NATO 
        members; and
          (F) United States membership in NATO remains a vital 
        national security interest of the United States.
    (2) Strategic Rationale for NATO Enlargement.--The Senate 
finds that--
          (A) the United States and its NATO allies face 
        continued threats to their stability and territorial 
        integrity;
          (B) an attack against Montenegro, or its 
        destabilization arising from external subversion, would 
        threaten the stability of Europe and jeopardize United 
        States national security interests;
          (C) Montenegro, having established a democratic 
        government and having demonstrated a willingness to 
        meet the requirements of membership, including those 
        necessary to contribute to the defense of all NATO 
        members, is in a position to further the principles of 
        the North Atlantic Treaty and to contribute to the 
        security of the North Atlantic area; and
          (D) extending NATO membership to Montenegro will 
        strengthen NATO, enhance stability in Southeast Europe, 
        and advance the interests of the United States and its 
        NATO allies.
    (3) Support for NATO'S Open Door Policy.--The policy of the 
United States is to support NATO's Open Door Policy that allows 
any European country to express its desire to join NATO and 
demonstrate its ability to meet the obligations of NATO 
membership.
    (4) Future Consideration of Candidates for Membership in 
NATO.--
          (A) Senate finding.--The Senate finds that the United 
        States will not support the accession to the North 
        Atlantic Treaty of, or the invitation to begin 
        accession talks with, any European state (other than 
        Montenegro), unless--
                  (i) the President consults with the Senate 
                consistent with Article II, section 2, clause 2 
                of the Constitution of the United States 
                (relating to the advice and consent of the 
                Senate to the making of treaties); and
                  (ii) the prospective NATO member can fulfill 
                all of the obligations and responsibilities of 
                membership, and the inclusion of such state in 
                NATO would serve the overall political and 
                strategic interests of NATO and the United 
                States.
          (B) Requirement for consensus and ratification.--The 
        Senate declares that no action or agreement other than 
        a consensus decision by the full membership of NATO, 
        approved by the national procedures of each NATO 
        member, including, in the case of the United States, 
        the requirements of Article II, section 2, clause 2 of 
        the Constitution of the United States (relating to the 
        advice and consent of the Senate to the making of 
        treaties), will constitute a commitment to collective 
        defense and consultations pursuant to Articles 4 and 5 
        of the North Atlantic Treaty.
    (5) Influence of Non-NATO Members on NATO Decisions.--The 
Senate declares that any country that is not a member of NATO 
shall have no impact on decisions related to NATO enlargement.
    (6) Support for 2014 Wales Summit Defense Spending 
Benchmark.--The Senate declares that all NATO members should 
continue to move towards the guideline outlined in the 2014 
Wales Summit Declaration to spend a minimum of 2 percent of 
their Gross Domestic Product (GDP) on defense and 20 percent of 
their defense budgets on major equipment, including research 
and development, by 2024.
    (7) Support for Montenegro's Democratic Reform Process.--
Montenegro has made difficult reforms and taken steps to 
address corruption. The United States and other NATO member 
states should not consider this important process complete and 
should continue to urge additional reforms.

SEC. 3. CONDITIONS.

    The advice and consent of the Senate under section 1 is 
subject to the following conditions:
    (1) Presidential Certification.--Prior to the deposit of 
the instrument of ratification, the President shall certify to 
the Senate as follows:
          (A) The inclusion of Montenegro in NATO will not have 
        the effect of increasing the overall percentage share 
        of the United States in the common budgets of NATO.
          (B) The inclusion of Montenegro in NATO does not 
        detract from the ability of the United States to meet 
        or to fund its military requirements outside the North 
        Atlantic area.
    (2) Annual Report on NATO Member Defense Spending.--Not 
later than December 1 of each year during the 8-year period 
following the date of entry into force of the Protocol to the 
North Atlantic Treaty of 1949 on the Accession of Montenegro, 
the President shall submit to the appropriate congressional 
committees a report, which shall be submitted in an 
unclassified form, but may be accompanied by a classified 
annex, and which shall contain the following information:
          (A) The amount each NATO member spent on its national 
        defense in each of the previous 5 years.
          (B) The percentage of GDP for each of the previous 5 
        years that each NATO member spent on its national 
        defense.
          (C) The percentage of national defense spending for 
        each of the previous 5 years that each NATO member 
        spent on major equipment, including research and 
        development.
          (D) Details on the actions a NATO member has taken in 
        the most recent year reported to move closer towards 
        the NATO guideline outlined in the 2014 Wales Summit 
        Declaration to spend a minimum of 2 percent of its GDP 
        on national defense and 20 percent of its national 
        defense budget on major equipment, including research 
        and development, if a NATO member is below either 
        guideline for the most recent year reported.

SEC. 4. DEFINITIONS.

    In this resolution:
    (1) Appropriate Congressional Committees.--The term 
``appropriate congressional committees'' means the Committee on 
Foreign Relations and the Committee on Armed Services of the 
Senate and the Committee on Foreign Affairs and the Committee 
on Armed Services of the House of Representatives.
    (2) NATO Members.--The term ``NATO members'' means all 
countries that are parties to the North Atlantic Treaty.
    (3) Non-NATO Members.--The term ``non-NATO members'' means 
all countries that are not parties to the North Atlantic 
Treaty.
    (4) North Atlantic Area.--The term ``North Atlantic area'' 
means the area covered by Article 6 of the North Atlantic 
Treaty, as applied by the North Atlantic Council.
    (5) North Atlantic Treaty.--The term ``North Atlantic 
Treaty'' means the North Atlantic Treaty, signed at Washington 
April 4, 1949 (63 Stat. 2241; TIAS 1964), as amended.
    (6) United States Instrument of Ratification.--The term 
``United States instrument of ratification'' means the 
instrument of ratification of the United States of the Protocol 
to the North Atlantic Treaty of 1949 on the Accession of 
Montenegro.

                                  [all]