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CFE : Conventional Forces in Europe Treaty

On November 19, 1990, delegates from 22 countries gathered in Paris to sign the Treaty on Conventional Armed Forces in Europe (CFE). The agreement, which took over 20 months to negotiate, is designed to reduce the threat of a massive conventional offensive strike through the heart of Europe. The CFE Treaty accomplishes this by limiting five types of conventional weapons: tanks, armored combat vehicles, artillery, attack helicopters and combat aircraft.

The legally-binding treaty places limits on two groups of states in Europe. The first, known as the Western Group, is comprised of those countries that were members of the North Atlantic Treaty Organization (NATO) at the time of the Treaty's negotiation. The second, known as the Eastern Group, is comprised of those countries that were members of the former Warsaw Pact. Each group is permitted 30,000 armored combat vehicles, 20,000 artillery pieces, 20,000 battle tanks, 2,000 attack helicopters and 6,800 combat aircraft. These group limits are further subject to zonal limits formed by concentric circles extending outward from the center of Europe. The Treaty requires each group to determine how to divide its respective allocation up among group members. A politically-binding side agreement known as CFE-1A also places limits on combat manpower in Europe.

Implementation Progress

The CFE Treaty provisionally entered into force on July 17, 1992; complete entry into force followed on November 9, 1992. Despite dramatic political changes since the Treaty was signed, such as the dissolution of the Warsaw Pact and the Soviet Union, implementation of the CFE Treaty by its now 30 States Parties has been relatively smooth. Using treaty-defined reduction methods, States Parties were required to eliminate treaty-limited equipment (TLE) in three distinct phases: 1) 16 months after entry into force, at least 25 percent of each signatory's TLE above its numerical limitations had to be eliminated; 2) after 28 months, a 60 percent reduction of necessary TLE was required; and 3) after 40 months, 100 percent of necessary TLE had to be reduced.

Treaty provisions also include a multilayered verification system consisting of national or multinational technical means and on-site inspections during four time periods following entry into force: a 120-day baseline validation period; a 3-year reduction period; a 120-day residual level validation period; and a residual period for the duration of the Treaty. The on-site inspections include declared site, challenge, certification and reduction inspections.

The CFE Treaty obligates signatories to accept, without a right of refusal, a quota of passive declared site inspections during each phase. Each Party's quota is determined by a percentage of their objects of verification (OOV). An OOV is any formation at the brigade, wing, independent battalion, or squadron level holding TLE in service of the armed forces of any signatory, any TLE storage site or any TLE reduction site. Established passive declared site quotas for each State Party were 20 percent of OOVs during the first 120-day period, 10 percent during the 3-year reduction period, and 20 percent during the 120-day residual level validation period. Every year following the 120-day residual level validation period, established passive declared site quotas are 15 percent of OOVs for the duration of the Treaty.

Additionally, signatories conducted challenge inspections during the 120-day baseline validation period, the reduction period and the 120-day residual validation period with a quota up to 15 percent of the declared site inspections which that signatory was obliged to receive. For each year thereafter, the challenge inspection quota increases to 23 percent of the number of declared site inspections each signatory is obliged to accept. At a minimum, the Treaty requires each signatory to receive at least one declared site inspection per year and at least one challenge inspection per year. However, the inspected party has the right of refusal for any challenge inspection.

Certification of recategorization inspections and reduction inspections was also part of the CFE verification regime. Signatories did not have the right to refuse these inspections, which did not count against the quotas for declared site or challenge inspections. Increased numbers of East-on-East inspections, as a result of the dissolution of the Warsaw Pact, had negative implications for the Western Group. Because each signatory had to accept only a fixed quota of inspections, every East-on-East inspection reduced opportunities for West-on-East inspections. In order to remedy this problem, in July 1993, the Western Group (NATO) began permitting Eastern states to join in West-on-East declared site inspections and reduction inspections. A reciprocal offer by Eastern states to have Western states join Eastern-led inspections was initially declined by NATO in order to discourage East-on-East inspections. Only after achieving some success in reducing East-on-East inspections did NATO decide to allow Western states to participate in Eastern-led inspections.

The duration of CFE Treaty implementation is unlimited. Forty-six months after entry into force (May 1996), the signatories convened the first CFE Treaty Review Conference during which they agreed to begin the process of adapting the Treaty to the new security situation in Europe. The States Parties defined the "scope and parameters" of Treaty adaptation in setting out the terms of reference for the CFE adaptation negotiations which began in January 1997. Among the various changes that could result are: bloc-to-bloc ceilings being replaced by national ceilings (indigenous forces) and territorial ceilings (indigenous and stationed forces); reductions in NATO ground TLE and TLE in storage sites; sub-ceilings involving the states recently invited to join NATO (Poland, Hungary and the Czech Republic); and enhanced verification and transparency measures that have not yet been defined. On July 23, 1997, the CFE Joint Consultative Group reached an agreement in principle concerning CFE adaptation. If formalized, the agreement could lead to lower national ceilings, a new round of baseline validation inspections, and additional reduction and certification inspections.

Executive Summary

TREATY PURPOSE: To strengthen stability and security in Europe through the establishment of a secure and stable balance of conventional armed forces at lower levels.

DISCUSSION:

  • 20 months of negotiation culminated in the November 20, 1990 signing of the CFE Treaty at the CSCE Summit in Paris.
    • Original signatories from the two "groups of states parties": the 22 members of NATO and the former Warsaw Treaty Organization.
    • Following the breakup of the Soviet Union, the reunification of Germany, and the division of Czechoslavakia, the number of States Parties increased to 30.
      • Eight successor states of the USSR in the area of application assumed Treaty obligations on June 5, 1992 (Armenia, Azerbaijan, Belarus, Georgia, Kazakhstan, Moldova, Russia, Ukraine).
  • Treaty entered provisional application on July 17, 1992. Formal entry-into-force (EIF) occurred on November 17, 1992.


TREATY PROVISIONS:

  • Area of Application (AOA): Atlantic Ocean to the Ural Mountains (ATTU).
    • Encompasses the land territory of the participating European states, including their major island groups.
    • ATTU divided into sub-zones to further restrict geographically the distribution of offensive military equipment in the AOA.
      • Designed to prevent destabilizing concentrations of forces in any one region of Europe.


  • Original CFE Zones

Zone 4.4Zone 4.3 Zone 4.2Zone 4.1
CZECH REP
GERMANY
HUNGARY
LUXEMBOURG
NETHERLANDS
POLAND
SLOVAK REP 		Zone 4.4 Plus
DENMARK
FRANCE
ITALY
UK
BALTIC MD
BELORUSSIAN MD
CARPATHIAN MD
KIEV MD 		Zone 4.3 Plus:
PORTUGAL
SPAIN
MOSCOW MD
URAL MD
VOLGA MD 		Zone 4.2 Plus:
BULGARIA
GREECE
ICELAND
NORWAY
ROMANIA
TURKEY
LENINGRAD MD
ODESSA MD
TRANS CAUC MD

  • Sub-Zone Limits

4.4
4.3
4.2
Flanks
Active
Tanks
7500
10300
11800
4700
16500
Artillery
5000
9100
11000
6000
17000
ACVs
11250
19260
21400
5900
27300

  • Equipment Ceilings
    • Limits on five categories of weapons necessary for the conduct of offensive operations:
      • Battle tanks, armored combat vehicles (ACVs), artillery pieces, combat aircraft, and attack helicopters.

Treaty Limited Equipment (TLE)
Alliance Ceiling
Single Country Ceiling
US Entitlements
US Holdings at Signature
Tanks
20,000
13,300
4,006
5,904
Artillery
20,000
13,700
5,372
5,747
ACVs
30,000
20,000
2,492
2,601
Attack Helicopters
2,000
1,500
518
279
Combat Aircraft
6,800
5,150
784
704

  • Reductions
    • Equipment in excess of treaty limits must be destroyed.
    • Exemptions to destruction are allowed for conversion to civilian use (tanks and armored personnel carriers), reclassification (combat-capable trainer aircraft), or recategorization (helicopters).
    • Must be completed within a 40-month period following EIF (Jul 92 - Nov 95).

Reduction Liabilities
Tanks
ACVs
Artillery
Helicopters
Combat Aircraft
NATO
5,480
7,511
2,646
114
118
WTO
12,646
12,803
5,836
0
1,638
US
1,898
375
109
0
0
FSU
8,508
10,862
1,843
0
1,461
  • Notification and Data Exchange
    • Requirement for comprehensive reporting of organization and holdings of conventional armed forces.
      • All organizations down to brigade/wing level.
    • Provides baseline for comparison of equipment subject to verification during on-site inspection.
    • Annual updates: Due December 15 with information effective as of January 1 of the following year.
    • Extensive notification requirements for such activities as intent to inspect, changes in force structure or holdings of TLE, and reduction events.

  • On-Site Inspection
    • Two inspection regimes: declared site and challenge.
    • Declared site inspections:
      • Inspection of unit/formation routinely or permanently holding TLE.
      • No right of refusal at individual site.
      • Quotas based on number of units holding TLE - objects of verification (OOV).
      • 48 hours to inspect.
    • Challenge inspections:
      • Inspection of any territorial area, not to exceed 65 sq. km or allow entry onto any declared site.
      • Country owning territory has right of refusal for specified area.
      • Number limited to percentage of declared site quotas for all sites (host nation and stationed) in the host nation.
        • Inspection counts against the host nation quota only.
        • US has no challenge quota because we own no territory in ATTU.
      • 24 hours to inspect.
    • Inspections allow entry into any building capable of holding TLE.
      • No entry if entrance to structure is less than 2m wide.
      • Inspected party can declare sensitive point -- access can then be delayed, limited or refused.
    • Inspections continue throughout the life of the Treaty.
    • Inspection timelines:

  • Personnel limits
    • Declared national manpower limits negotiated in CFE1A, a politically binding associated agreement.
      • US limit is 250,000 in the AOA. Supports residual force and reinforcement.
    • Notification requirements for active duty land, air, and air defense forces.
    • Numbers included in annual information exchange.


  • Recent Activity and Current Implementation Status
    • 40-month reduction period ended November 1995 with significant accomplishment.
      • Implementation of most provisions considered smooth.
      • States Parties reduced over 50,000 pieces of TLE.
      • States Parties conducted and accepted over 2,300 intrusive on-site inspections.
    • First Review Conference held May 1996.
      • States Parties reaffirmed the role of the Treaty as a cornerstone of European security.
      • Agreement reached on the contentious issue of excess equipment in the Russian and Ukrainian flank zone.
        • States Parties realigned the CFE map to exclude certain territory from the Russian and Ukrainian flank regions (thus excluding TLE in those areas from counting against flank limits)
        • Russia and Ukraine accepted additional numerical restraints on TLE in those areas removed from the flank zone, along with additional transparency measures.
      • States Parties deferred a number of additional implementation issues to the Joint Consultative Group (JCG) for further consideration and resolution.
      • States Parties agreed to enhance the viability and effectiveness of the Treaty in a changing post-Cold War European security environment.
    • CFE adaptation talks
      • On the margins of the December 1996 OSCE Summit in Lisbon, States Parties approved the text of a document on the scope and parameters for CFE adaptation negotiations.
      • Talks began in January 1997.
        • Will focus on such issues as national versus group limits, the zonal structure, accession to the Treaty by non-members, and possible new TLE limits.
      • In February 1997, NATO formally tabled an adaptation proposal calling for:
        • Reductions in overall equipment entitlements throughout the AOA.
        • A system of national and territorial equipment ceilings to replace the current group limits structure.
        • Modification of the category of "designated permanent storage sites (DPSS)."
        • Additional measures to provide stability and greater transparency.
      • At the Helsinki Summit in March 1997, the US and Russia agreed to accelerate adaptation negotiations with a view to concluding a framework agreement setting forth the basic elements of an adapted treaty by late spring or early summer 1997.
      • July 1997: All 30 States Parties formally approved the text of a paper on the "Basic Elements for Treaty Adaptation" to guide further adaptation negotiations. Key elements:
        • Bloc-to-bloc structure to be replaced by national and territorial limits.
        • No increase in total TLE in the AOA.
        • New verification transparency measures likely.
        • Flank Agreement remains in effect.
        • Open to accession by new parties.


CFE Member States (red)

CFE: Reporting Requirements

Type of Data

Data Required
Structure of land, air, and air defense forces in ATTU
  • Down to brigade/regiment, wing/air regiment, and separate battalion/squadron level
Overall holdings of TLE
  • By type in each category
  • By type of ground vehicles in each sub-zone
Equipment in service
  • By location, number, and type including TLE and other equipment down to brigade/regiment, wing/air regiment, and separate battalion/squadron level
  • In service, but not with land or air forces
  • Storage sites
  • Destruction sites
Equipment not in service
  • By location, number, and type including TLE and other equipment down to brigade/regiment, wing/air regiment, and separate battalion/squadron level
  • Decommissioned
  • Awaiting export
  • Reduced awaiting conversion
  • Research & Development
Objects of verification (OOV) and declared sites (DS) For each declared site:
  • Designation of each OOV
  • Locations of DS with number and type of equipment
  • Equipment not in service or with paramilitary units
  • Points of entry/exit
Sites from which TLE and other equipment have been withdrawn If site remains in use by conventional forces, notified for 3 years after withdrawal

  • Notification requirements
    • Within the body of the Treaty and its supporting protocols, there are 69 different notification requirements. The specific requirements associated with each separate notification vary significantly. Some are annual reporting requirements; some require reports in advance of an event; some as the event occurs; others upon completion. Each notification is reported through an approved standardized reporting format.
    • There are specific notification requirements covering changes to TLE data, the reduction process, the inspection process, updating the Protocol on Existing Types, and for various administrative purposes.
    • The following notifications are required under the Protocol on Notification and Exchange of Information:

    Type of Data

    Notification Timetable
    Changes in organizational structure
    • at least 42 days in advance
    Changes in 10 percent or more in force levels
    • no later than 5 days after such a change
    TLE that entered into service within the AOA during the previous 12 months
    • at annual information exchange
    TLE removed from service within the AOA during the previous 12 months
    • at annual information exchange
    TLE that entered the AOA within the previous 12 months
    • at annual information exchange
    TLE removed from the AOA within the previous 12 months
    • at annual information exchange

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