National Security Archive Briefing Book: “NATO Expansion: What Gorbachev Heard”

Source: The National Security Archive, George Washington University Date Published: 12 December 2017

This briefing book from the National Security Archive at George Washington University compiles declassified documents from U.S., Soviet, German, British, and French sources that shed light on the discussions surrounding NATO expansion in 1990 and 1991. The documents reveal that multiple Western leaders gave assurances to Soviet leader Mikhail Gorbachev and other Soviet officials that NATO would not expand eastward beyond the borders of a reunified Germany.

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Key Points from the Declassified Documents

• “Not one inch eastward”: U.S. Secretary of State James Baker’s famous assurance to Gorbachev on February 9, 1990, was part of a “cascade” of similar assurances from Western leaders.

• Broad Consensus: The documents show that leaders from the U.S., West Germany, the UK, and France were all involved in conveying this message to the Soviet Union. This includes President George H.W. Bush, Chancellor Helmut Kohl, Foreign Minister Hans-Dietrich Genscher, Prime Minister Margaret Thatcher, and French President Francois Mitterrand.

• Context of German Reunification: These assurances were given in the context of the negotiations over German reunification, which the Soviet Union had the legal right to block. The assurances were a key factor in securing Soviet agreement to a unified Germany remaining in NATO.

• Beyond German Territory: The discussions were not limited to the territory of the former GDR. The documents show that the prospect of Central and Eastern European countries joining NATO was considered and rejected by Western leaders in their discussions with the Soviets.

• Soviet Complaints Vindicated: The documents support the later complaints from Gorbachev, Yeltsin, and Putin that the West had violated its promises. They show that Soviet and Russian leaders were led to believe that NATO would not expand.

• No Formal Treaty: It is important to note that these assurances were not codified in a formal treaty. However, the declassified records show a clear and consistent pattern of communication from the highest levels of Western governments that created a specific expectation on the Soviet side.

• NATO Secretary-General’s View: As late as July 1991, NATO Secretary-General Manfred Woerner stated that he and the NATO Council were against NATO expansion.

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This collection of documents provides crucial historical context for understanding the origins of the dispute over NATO expansion and the Russian perception of a broken promise.