The Protocol on Helicopter Recategorization (the Protocol) consists of a Preamble and five sections.

Paragraph 1 of Article VIII of the Treaty provides that one of the ways to achieve the numerical limitations set forth in Articles IV, V, and VI of the Treaty is by reduction in accordance with the Protocol. The Protocol provides for such reductions through the recategorization of multipurpose attack helicopters. As such, the reduction procedures set forth in the Protocol only relate to the category of attack helicopters and, thus, only to the numerical limitations set forth in subparagraph l(E) of Article IV and subparagraph (E) of Article VI of the Treaty.

In addition, the Protocol specifies how a State Party is to categorize its combat helicopters, particularly those individual types that are listed on both the multipurpose attack helicopter list and the combat support helicopter list in the Protocol on Existing Types.

The Protocol first establishes rules by which the States Parties must categorize their combat helicopters as specialized attack, multipurpose attack, or combat support helicopters. The Protocol then establishes how individual helicopters that a State Party has categorized as multipurpose attack helicopters may be recategorized, following certification, as combat support helicopters not subject to the Treaty's limitations. The presence or absence of guided weapon components designated in the Protocol determines whether a multipurpose attack helicopter being recategorized must be converted prior to certification or whether it only requires certification, Finally, the Protocol includes specific provisions on conversion, certification, information exchange and verification.

Pursuant to paragraph 3 of Article I of the Treaty, the Protocol is deemed to be an integral part of the Treaty.

Paragraph 1 of Section I provides that combat helicopters must be categorized as specialized attack helicopters, multipurpose attack helicopters, or combat support helicopters and that they must be listed as such in the Protocol on Existing Types. In this regard, the existing types of specialized attack helicopters are listed in subparagraph 5(A) of Section I of the Protocol on Existing Types; the existing types of multipurpose attack helicopters are listed in subparagraph 5(B) of Section I of that Protocol; and the existing types of combat support helicopters are listed in paragraph 4 of Section II of that Protocol.

Paragraph 2 of Section I provides that all models or versions of specialized attack helicopters must be categorized as specialized attack helicopters. Note that paragraph 2 is subject to the exception described in paragraph 3 below.

Paragraph 3 of Section I grants the Soviet Union, as a unique exception to paragraph 2, special rights with respect to up to 100 of its Mi-24R and Mi-24K helicopters that are equipped for reconnaissance, spotting, or chemical/biological/radiological sampling. Paragraph 3 provides that the Soviet Union may exempt not more than an aggregate total of 100 of such helicopters from the limitations on attack helicopters set forth in Articles IV and VI of the Treaty. Paragraph 3 also provides that such exempted helicopters shall be subject to exchange of information pursuant to the Protocol on Information Exchange and shall be subject to internal inspection pursuant to paragraph 30 of Section VI of the Protocol on Inspection. Finally, paragraph 3 provides that Mi-24R and Mi-24K helicopters in excess of the exempted number are to be categorized as specialized attack helicopters, as required by paragraph 2, without regard to how they are equipped and are to count against the limitations in the Treaty on attack helicopters (i.e., paragraph 1 of Article IV and Article VI). It should be noted that the unique exemption in paragraph 3 constitutes, in effect, a special counting rule in addition to those specified in Article III of the Treaty.

Paragraph 4 of Section I applies to States Parties that have both combat support and multipurpose attack models or versions of the same basic helicopter type. Paragraph 4 provides that such States Parties must categorize as attack helicopters all individual helicopters of the basic type that have any of the features listed in paragraph 1 of Section III of the Protocol. Paragraph 4 further provides that individual helicopters of that same basic type that do not possess any of the guided weapons components listed in paragraph 1 of Section III may be categorized as combat support helicopters. Note that if a State Party so chooses, it may categorize such helicopters as multipurpose attack helicopters. This provides the State Party with the option of categorizing a helicopter model as an attack helicopter even if it does not possess a guided weapon capability.

Paragraph 5 of Section I provides that each State Party that holds only combat support models or versions of a basic helicopter type included on both the Multipurpose Attack Helicopter and the Combat Support Helicopter lists in the Protocol on Existing Types may categorize such helicopters as combat support helicopters.

Although Section I is phrased in the future tense (e.g., "Combat helicopters shall be categorized . . ."), it reflects the criteria that were used by the negotiators, in conjunction with the definitions set forth in Article II of the Treaty, to develop the helicopter lists of the Protocol on Existing Types (see paragraph 5 of Section I and paragraphs 4 and 5 of Section II of that Protocol) prior to the signature of the Treaty. The use of the future tense was necessary primarily because some helicopter types, such as the Mi-8/Mi-17 and Wessex, were categorized and listed on both the multipurpose attack helicopter list (i.e., Section I(5XB)) and the combat support helicopter list (i.e., Section II(4)) of the Protocol on Existing Types. In the case of such helicopter types, the negotiators agreed that States Parties should be allowed to categorize, by declaration in their information exchanges pursuant to the Protocol on Information Exchange, different individual models of a type as multipurpose attack models or as combat support models on the basis of the criteria established in Section I of the Protocol on Helicopter Recategorization. Thus, the term "categorize" should be viewed as synonymous with "declare." In sum, the categorization requirements set forth in Section I of the Protocol are principally relevant in order to show: (a) how existing types of combat helicopters were categorized in the Protocol on Existing Types; (b) how new types, and new models or versions of existing types of combat helicopters, must be categorized; and (c) how States Parties must categorize, through declaration in their information exchanges, existing individual helicopters of a type listed on more than one list in the Protocol on Existing Types.

Paragraph 1 of Section II provides that recategorization of combat helicopters as combat support helicopters is permitted only for those helicopters that are categorized as multipurpose attack helicopters in accordance with the Protocol.

Paragraph 2 of Section II provides that each State Party has the right to recategorize individual multipurpose attack helicopters that have any of the guided weapon components set forth in paragraph 1 of section III, but only by conversion and certification.

Paragraph 2 also provides that individual multipurpose attack helicopters that do not have any of the guided weapon components set forth in paragraph 1 of Section III do not require conversion and may be recategorized by certification alone.

Paragraph 3 of Section II provides that the States Parties may use whatever technological means each deems necessary to implement the conversion procedures set forth in Section III.

Paragraph 4 of Section II provides that each combat helicopter subject to recategorization must bear its original manufacturer's serial number, permanently stamped in a main airframe structural member. In this regard, the purpose of paragraph 4 is to facilitate inspection and verification.

Paragraph 1 of Section III lists components that must be removed to convert a multipurpose attack helicopter into a combat support helicopter. These are:

Subparagraph (A) of paragraph I also provides that any special hardpoints that are integral to the helicopter, and any special elements of general purpose hardpoints designed for use only by guided weapons, must be rendered incapable of further employment with guided weapons. Finally, subparagraph (A) of paragraph 1 makes clear that the purpose of the removal of these components and hardpoint capabilities is to render converted helicopters incapable of further employment of guided weapons. In this regard, it must be noted that the purpose of the conversion procedures is not to convert multipurpose attack helicopters into unarmed helicopters. The definition of the term "combat support helicopter" in subparagraph l(P) of Article II of the Treaty provides that such helicopters, which do not meet the requirements to qualify as an attack helicopter (i.e., they have no guided weapon capability), may be armed with a variety of self-defense and area suppression weapons.

Paragraph 2 of Section III provides that a State Party must provide a notification with respect to conversion to all other States Parties either:

Paragraph 1 of Section IV provides that each State Party recategorizing multipurpose attack helicopters must comply with the certification procedures set forth in the following paragraphs of Section IV. Paragraph 1 makes clear that the purpose of this requirement is to ensure that such helicopters do not possess any of the features listed in paragraph 1 of Section III of the Protocol.

Paragraph 2 of Section IV provides that each State Party must notify, in accordance with paragraph 3 of Section IX of the Protocol on Inspection, all other States Parties of each certification.

Paragraph 3 of Section IV provides that each State Party has the right to inspect the certification of helicopters in accordance with Section IX of the Protocol on Inspection.

In this regard, Section IX of the Protocol on Inspection sets forth the specific procedures pertaining to certification inspections. The purpose of these inspections is to provide States Parties with an opportunity to ensure that multipurpose attack helicopters have been recategorized into combat support helicopters in accordance with the Protocol. Although States Parties may not inspect the actual process of recategorization, they do have the right under Section IX, in particular paragraphs 4 through 6 thereof, to confirm that such processes were carried out properly as certified by the State Party undertaking the recategorization. These inspection procedures are important because, unlike multipurpose attack helicopters, recategorized multipurpose attack helicopters are not subject to the numerical limitations on attack helicopters set forth in paragraph 1 of Article IV and Article VI of the Treaty. Certification inspections conducted pursuant to Section IX are without right of refusal by the State Party conducting the certification process and are not subject to inspection quotas.

Paragraph 4 of Section IV provides that the process of recategorization will be deemed complete upon completion of the certification procedures set forth in Section IV. Paragraph 4 further provides that completion shall be determined without regard to whether any State Party exercises the certification inspection rights described in paragraph 3 of Section IV of the Protocol and Section IX of the Protocol on Inspection. Paragraph 4 makes clear, however, that, if within 30 days of receipt of the notification of completion of the certification and recategorization provided pursuant to paragraph 5 below, any State Party notifies the others that it considers that there is an ambiguity relating to the certification and recategorization process, then the certification and thus recategorization will not be deemed complete until the ambiguity has been resolved. It should be noted, therefore, that a State Party could unilaterally delay and even prevent certification (and thus reduction) of such helicopters by raising, but not resolving, an ambiguity. However, in such a case, the matter could be raised in the Joint Consultative Group for possible resolution.

Paragraph 5 of Section IV provides that the State Party conducting the certification must notify all other States Parties of the completion of the certification and recategorization in accordance with Section IX of the Protocol on Inspection. In this regard, paragraph 9 of Section IX provides that within seven days after completion of the certification, the State Party responsible for the certification must notify all other States Parties of the completion of the certification, specifying the numbers, types, models or versions, and manufacturer's serial numbers of the certified helicopters, the certification site involved, the actual dates of certification, and the units or locations to which the recategorized helicopters will be assigned.

Paragraph 6 of Section IV provides that certification will be conducted within the area of application and that States Parties belonging to the same group of States Parties shall have the right to share locations for certification. In this regard, such certification need not take place at reduction sites. Paragraph 12 of Article VIII of the Treaty permits reduction to be carried out at sites other than reduction sites if so specified in one of the Protocols listed in paragraph 1 of Article VIII (e.g., the Protocol on Inspection). In fact, Section IX of the Protocol on Inspection does provide that certification is to be carried out at "certification sites." The term "certification site" was used expressly in order to avoid having to declare such sites as reduction sites."

Section V provides that all combat helicopters within the area of application shall be subject to information exchange, in accordance with the Protocol on Information Exchange, and to verification, including inspection, in accordance with the Protocol on Inspection. In this regard, paragraph 30 of Section VI of the Protocol on Inspection permits inspectors during declared site or challenge inspections to conduct an internal inspection of combat support helicopters of a type that may be recategorized in accordance with the Protocol on Helicopter Recategorization.

Return to Table of Contents

The Protocol on Information Exchange (the Protocol) consists of a Preamble and 13 sections.

The Protocol arises out of Article XIII of the Treaty. That Article states that, for the purpose of "ensuring verification of compliance" with the Treaty, the States Parties must provide notifications and exchange information pertaining to their force structure and conventional armaments and equipment in the area of application. The Protocol is designed to facilitate the verification process by obligating the States Parties to make self-declarations about their own force structure and conventional armaments and equipment at a level of disaggregation that can be monitored on a relatively cost effective and reliable basis.

The Protocol has several components. The most detailed provisions address the exchange of information and are set forth principally in Sections I through VI and VIII through X. Information is to be provided by each State Party about its own conventional armed forces within the area of application and to all other States Parties. Section XI addresses special provisions for equipment in transit through the area of application. Section XII addresses the Annex on the Format for the Exchange of Information.

Information is to be provided by each State Party to all other States Parties on the following: the command structure of its land forces and air and air defense aviation forces within the area of application (Section I); its overall holdings of conventional armaments and equipment limited by the Treaty (Section II); the locations, numbers, and types of conventional armaments and equipment in service with its conventional armed forces within the area of application (Section III); the locations and numbers of certain conventional armaments and equipment not in service with its conventional armed forces within the area of application (Section IV); its objects of verification and declared sites within the area of application (Section V); the location of some declared sites within the area of application from which all conventional armaments and equipment have been withdrawn (Section VI); changes in the organizational structure of its forces and in the numbers of certain categories of its conventional armaments and equipment within the area of application (Section VIII); entry into and withdrawal from service with its conventional armed forces within the area of application of conventional armaments and equipment limited by the Treaty (Section IX); and entry into and exit from the area of application of certain of its conventional armaments and equipment limited by the Treaty (Section X).

Section VII establishes a timetable for exchanging this information. Information exchange was required at signature of the Treaty with corrections there to reported not later than 90 days later (for corrections to the initial information, deemed valid as of Treaty signature). Additional information exchanges are required as follows: 30 days following entry into force of the Treaty effective as of entry into force; annually after entry into force; and following completion of the Treaty's 40-month reduction period.

Another component of the Protocol concerns notifications. Section XIII directs the Joint Consultative Group to develop a list of required notifications to include appropriate formats, as necessary, for such notifications.

In the analysis that follows, references to the information to be provided are with respect to the area of application. In addition, referenced information and notifications are to be provided by each State Party about itself and are to be provided to all other States Parties.

Pursuant to paragraph 3 of Article I of the Treaty, the Protocol is deemed to be an integral part of the Treaty.

Section I requires information on the command structure of land forces and of air and air defense aviation forces, dealing particularly with the formations and units into which they are organized. Paragraph 1 of section I (there is no paragraph 2) provides that information on structure is to be provided for both land forces (subparagraph (A)) and for air and air defense aviation forces (subparagraph (B)).

Subparagraph (A) calls for information on the command organization of land forces. It requires information on the designation and the subordination of all combat formations and units, combat support formations and units, and combat service support formations and units. The information is to be provided for each level of command for such formations and units, down to the level of the brigade/regiment or equivalent level. It is to include air defense formations and units that are subordinated to levels of command at or below the level of the military district (or its equivalent).

Subparagraph (A) also requires identification of some independent units; that is, independent battalions at the next level of command directly below the brigade/regiment level that are directly subordinated to formations above the brigade/regiment level. Information for such independent units is to indicate the formation or unit to which the independent units are subordinated.

Subparagraph (B) of Section I calls for information on the command organization of air and air defense aviation forces. It requires information on the designation and subordination of formations and units at each level of command down to the level of wing/air regiment or equivalent. Information is also required for some independent units; that is, independent squadrons at the next level of command directly below the wing/air regiment level that are directly subordinated to formations above the wing/air regiment level. Information for such independent units is to indicate the formation or unit to which the independent units are subordinated.

References to "equivalent" levels of command recognize that the States Parties have historically used different designations for formations and units that have roughly similar size, structure, and function.

The phraseology "land forces and air and air defense aviation forces" is important in conjunction with subparagraphs 1 and 2 of Section III of the Protocol and in conjunction with the definition of the term "object of verification" in sub-subparagraphs l(J)(1), (2), and (4) of Section I of the Protocol on Inspection. Subparagraph l(A) of Section III requires data on the designation, peacetime location, and holdings of formations and units with armaments and equipment limited by the Treaty. Sub-subparagraph l(J)(1) of Section I of the Protocol on Inspection provides that the units and formations reported in subparagraph I(A) of Section III of the Protocol on Information Exchange are objects of verification (and therefore subject to declared site inspection without right of refusal). Since other types of units and formations that hold armaments and equipment limited by the Treaty (e.g., paramilitary organizations or ground forces subordinate to the Soviet Navy) may not be included in the data reported under Section I or the data reported under subparagraph l(A) of Section III of the Protocol, they may not be objects of verification even though their Treaty-limited armaments and equipment are counted against the numerical limitations set forth in the Treaty (pursuant to the counting rules in Article III of the Treaty). This distinction is particularly important for units, such as Soviet Union's naval infantry, that are in service with its conventional armed forces but that are reported as not part of its land, air, or air defense aviation forces, and that hold conventional armaments and equipment limited by the treaty. Otherwise, there is no language in the Treaty that would indicate that such units are not objects of verification.

Section II requires information on the overall numbers (which must also be broken down by type) of holdings in each of the five categories of conventional armaments and equipment limited by the Treaty (battle tanks, armored combat vehicles, artillery, combat aircraft, and attack helicopters). With respect to three of those categories (battle tanks, armored combat vehicles, and artillery), the same information must be broken down by each of the geographical areas described in Articles IV and V of the Treaty. Thus, overall numbers are to be furnished for the entire area of application and, for battle tanks, armored combat vehicles, and artillery, for the various zones established by Articles IV and V of the Treaty. Articles IV and V establish zonal sublimits only for battle tanks, armored combat vehicles, and artillery, and not for combat aircraft and attack helicopters.

Section III deals with information on locations, numbers and types of various conventional armaments and equipment. It requires information pertaining to formations and units described in Section I of the Protocol that hold conventional armaments and equipment limited by the treaty and that hold certain other categories of equipment. It additionally requires information on conventional armaments and equipment that are in service with conventional armed forces within the area of application but not held by a State Party's land forces or by air or air defense aviation forces. It also covers information pertaining to various storage sites, independent repair and maintenance units, military training establishments, military airfields, and sites at which reduction of conventional armaments and equipment is to take place in accordance with the Treaty.

Paragraph 1 of Section III provides for the exchange of information on the designation, location and holdings of the land forces and the air and air defense aviation forces described in Section I of the Protocol. In addition to the formations and units of those forces down to the level of brigade/regiment, wing/air regiment or equivalent and independent battalions/squadrons, information is also required on separately located battalions/squadrons or equivalents subordinated to those brigades/regiments or wing/air regiments. Subparagraph l(b) of Section V of the Protocol makes clear that, if such battalions or squadrons are located within 15 kilometers from each other or to their immediate headquarters, they may be deemed as not separately located. Paragraph 1 requires four types of information for each of these formations and units.

The first, in subparagraph (A) of paragraph 1 of Section III, is the designation and peacetime location (specifying geographic name and coordinates) of those formations and units (including headquarters) at which any of the five categories of conventional armaments and equipment limited by the Treaty (battle tanks, armored combat vehicles, artillery, combat aircraft, and attack helicopters) are held.

The second type of information, in subparagraph (B) of paragraph 1, with respect to the formations and units described in subparagraph (A), is a list both of the numbers of their holdings of the five categories described in subparagraph (A) and of the numbers of their holdings of the following categories: combat support helicopters; unarmed transport helicopters; armored vehicle launched bridges (specifying those in active units); armored infantry fighting vehicle look-alikes; armored personnel carrier look-alikes; primary trainer aircraft; reclassified combat-capable trainer aircraft; and Mi-24R and Mi-24K helicopters not subject to the numerical limitations set forth in paragraph 1 of Article IV and in Article VI of the Treaty (pursuant to paragraph 3 of Section I of the Protocol on Helicopter Recategorization). For holdings by formations and units at the level of division (or its equivalent) and below, types held within each category (and the corresponding number held by type) must also be given.

The third type of information, in subparagraph (C) of paragraph 1 of Section III, pertains to those formations and units that do not hold any of the five categories of conventional armaments and equipment limited by the Treaty (described in subparagraph (A)) but that do hold any of the other categories of conventional armaments enumerated in subparagraph (B). For those formations and units, their designation and peacetime location (including headquarters) must be provided, with specification of geographic name and coordinates.

The fourth type of information, in subparagraph (D) of paragraph 1, with respect to the formations and units described in subparagraph (C), is a list of the number of their holdings in each of the categories described in subparagraph (C). For holdings by formations and units at the level of division (or its equivalent) and below, types held within each category (and the corresponding number held by type) must also be given. For armored vehicle launched bridges, information must be given for those that are in active units.

The net effect of this four-part requirement in paragraph 1 is that the designation, peacetime location, and holdings (by type) of each category of conventional armaments and equipment subject to the Treaty is provided for each formation and unit notified pursuant to Section I. The definition of object of verification in subparagraph l(J) of the Protocol on Inspection includes cross-references to the Protocol on Information Exchange; hence, the only formations and units that are objects of verification are those holding conventional armaments and equipment limited by the Treaty, reported under subparagraph l(A) of Section III of the Protocol.

Paragraph 2 of Section III provides for the exchange of information on the location and holdings of conventional armaments and equipment that are in service with conventional armed forces but that are not held by a State Party's land forces or by air or air defense aviation forces. The term "in service" is defined in subparagraph l(R) Article II of the Treaty. The definition encompasses conventional armaments and equipment subject to the Treaty, except armaments and equipment that: (i) are held by organizations designed and structured to perform peacetime internal security functions; or (ii) that meet any of the exceptions in Article III of the Treaty (e.g., decommissioned items, items awaiting or being refurbished for export or re-export, and items used exclusively for research and development).

Subparagraph (A) of paragraph 2 requires information indicating the designation and peacetime location (including headquarters) 6f formations and units (specifying geographic name and coordinates) at which any of the five categories of conventional armaments and equipment limited by the Treaty (battle tanks, armored combat vehicles, artillery, combat aircraft, and attack helicopters) are held. This information is to be furnished for formations and units down to the level of brigade/regiment, wing/air regiment (or equivalent) and for units immediately below the brigade/regiment, wing/air regiment level (such as battalions/squadrons for their equivalent]) that are either separately located or independent.

Subparagraph (B) of paragraph 2 requires, with respect to the formations and units described in subparagraph (A), a list both of the number of their holdings of the five categories described in subparagraph (A) and of the number of their holdings of the following categories: combat support helicopters; unarmed transport helicopters; armored vehicle launched bridges (specifying those in active units); armored infantry fighting vehicle look-alikes; armored personnel carrier look-alikes; primary trainer aircraft; reclassified combat-capable trainer aircraft; and Mi-24R and Mi-24K helicopters not subject to the numerical limitations set forth in paragraph 1 of Article IV and in Article VI of the Treaty (pursuant to paragraph 3 of Section I of the Protocol on Helicopter Recategorization). For holdings by formations and units at the level of division (or its equivalent) and below, numbers held by type within each category must also be given. For each of the units and formations specified in subparagraph 2(A) holding Treaty-limited armaments and equipment the same information is required as for all units and formations specified in paragraph 1.

Paragraph 3 of Section III provides for exchange of the information on particular types of sites, as described in subparagraphs (A), (B), and (C) below. Each of these sites would constitute an object of verification as defined in subparagraph l(J) of Section I of the Protocol on Inspection.

Subparagraph (A) of paragraph 3 requires information on the location of designated permanent storage sites, specifying geographic names and coordinates. The numbers and types of the conventional armaments and equipment listed in subparagraphs (A) and (B) of paragraph 1 of Section III held at each such site are also to be furnished.

Subparagraph (B) of paragraph 3 requires information on the location of. (i) military storage sites not organic to formations and units identified as objects of verification; (ii) independent repair and maintenance units; (iii) military training establishments; and (iv) military airfields at which the conventional armaments and equipment listed in subparagraphs (A) and (B) of paragraph 1 of Section III are held or are routinely present. The lists of conventional armaments and equipment in subparagraphs (A) and (B) of paragraph 1 encompass all conventional armaments and equipment subject to the Treaty. For each location, geographic names and coordinates must be specified, and the holdings by type in each such category of conventional armaments and equipment must be provided.

Subparagraph (C) of paragraph 3 requires information on the location of sites at which the reduction of conventional armaments and equipment limited by the Treaty will be undertaken pursuant to the Protocol on Reduction, specifying: (i) the location by geographic name and coordinates; and (ii) the holdings by type for each category of such armaments and equipment awaiting reduction at such locations. Each such site should be indicated as a reduction site in order to differentiate it from other sites reported pursuant to this subparagraph. This is because reduction sites are not included with other objects of verification in the calculation or expenditure of passive declared site inspection quotas pursuant to Section II of the Protocol on Inspection.

Section IV deals with locations and numbers of conventional armaments and equipment within the area of application that are not in service with conventional armed forces but that, nonetheless, have potential military significance. The following subparagraphs give precision to what is "not in service with conventional armed forces."

Descriptions of the information to be provided are set forth in six numbered sub-subparagraphs, (1) through (6), which are a part of subparagraph (A) of paragraph 1. (There are no other parts to Section IV.) Unless conventional armaments and equipment fall under one of these sub-subparagraphs, they are not considered to be "not in service with the conventional armed forces." Locations must include geographic names and coordinates; for sub-subparagraphs (2) and (4), inclusion of coordinates is optional.

Sub-subparagraph (1) of Section IV requires the location of sites at which battle tanks, artillery, combat aircraft, specialized attack helicopters, and armored infantry fighting vehicles specified in Article XII of the Treaty are held by organizations designed and structured to perform internal security functions in peacetime (e.g., paramilitary units). The organizations covered are those down to the independent or separately located battalion level (or equivalent). In addition, the numbers and types of conventional armaments and equipment in each of these categories, for each organization, must be provided. This information is reported separately because even though such battle tanks, artillery, combat aircraft and specialized attack helicopters are not in service with conventional armed forces, they are still subject to the numerical limitations in Articles IV, V, and VI of the Treaty. When combined with the battle tanks, artillery, armored combat vehicles, combat aircraft, and attack helicopters reported pursuant to paragraphs I and 2 of Section III of the Protocol, the totals should equal the aggregate numbers of conventional armaments and equipment limited by the Treaty reported pursuant to Section II of the Protocol.

Sub-subparagraph (2) of Section IV requires the aggregate numbers for each category, broken down by administrative division or region, of armored personnel carriers, heavy armament combat vehicles, and multipurpose attack helicopters held by organizations designed and structured to perform internal security functions in peacetime. These armaments and equipment are not limited by the Treaty pursuant to subparagraph l(F) of Article III.

Sub-subparagraph (3) of Section IV requires the location of each site at which battle tanks, armored combat vehicles, artillery, combat aircraft and attack helicopters are awaiting disposal, having been decommissioned in accordance with the provisions of Article IX of the Treaty. The numbers and type of such armaments and equipment at each site must also be provided. These items are not limited by the Treaty pursuant to subparagraph l(D) of Article III.

Sub-subparagraph (4) of Section IV requires an identifiable location for each site at which there are normally more than the specified totals of the certain armaments and equipment awaiting or being refurbished for export or reexport and being temporarily retained within the area of application. For battle tanks, armored combat vehicles and pieces of artillery, the specified total is 15. For combat aircraft, the specified total is five, and for attack helicopters, the specified total is 10. The information is to be provided: (i) following entry into force of the Treaty: and (ii) upon each annual exchange of information required by Section VII. At the same times, the numbers of such battle tanks, armored combat vehicles, artillery, combat aircraft, and attack helicopters awaiting export or re-export must also be furnished. In addition, sub-subparagraph (4) requires that the States Parties shall, through the Joint Consultative Group, agree as to the form in which the numbers required by this subparagraph will be provided. Such items are not limited by the Treaty pursuant to subparagraph l(E) of Article III.

Subparagraph (5) of Section IV requires the location of each site holding battle tanks and armored combat vehicles that have been reduced and are awaiting conversion pursuant to Section VIII of the Protocol on Reduction. Numbers and types at each such site must also be furnished. Such reduced items are not limited by the Treaty pursuant to paragraph 3 of Article VIII.

Sub-subparagraph (6) of Section IV requires the aggregate numbers of battle tanks, armored combat vehicles, artillery, combat aircraft, and attack helicopters used exclusively for research and development. Numbers are to be given for each category: (i) following entry into force of the Treaty; and (ii) upon each annual exchange of information required pursuant to Section VII. Such items are not limited by the Treaty pursuant to subparagraph l(B) of Article III. It should be noted that the aggregate numbers of armaments and equipment limited by the Treaty and reported under Section 11 will equal the totals of all items reported under Section III plus the battle tanks, artillery and all armored infantry fighting vehicles above 1,000, as well as the conventional armaments and equipment held by the special-case organizations discussed above, and reported under this Section.

Section V deals with information on objects of verification and declared sites. The terms "object of verification" and "declared site" are defined in subparagraphs ll(J) and I(N), respectively, of the Protocol on Inspection and are discussed in the analysis of that Protocol. Section V requires information specifying each State Party's objects of verification (including the total number and the designation of each object of verification). It also requires information enumerating its declared sites. Subparagraphs (A) through (F) of paragraph 1 (the only paragraph in Section V) specify the information to be provided.

The data in Section are very important to the functioning of the Treaty's on-site verification regime because they identify the locations and holdings of objects of verification and declared sites at which inspections may be conducted without right of refusal in accordance with Section VII of the Protocol on Inspection. In addition, the total number of objects of verification (excluding reduction and certification sites) determines each State Party's passive declared site inspection quota in accordance with Section II of the Protocol on Inspection.

Subparagraph (A) of Section V requires the designation and location, including geographic name and coordinates, for each declared site.

Subparagraph (B) of Section V requires the designation of all objects of verification at each declared site described in subparagraph (A). It also sets forth the understanding of the States Parties that subordinate elements at the next level of command below the brigade/regiment or wing/air regiment level located in the vicinity of each other or of the headquarters immediately superior to such elements may be deemed as not separately located, if the distance between such separately located battalions/squadrons (or equivalent) or to their headquarters does not exceed 15 kilometers. All such units must meet the "15 kilometer rule" with respect to each of the other units or headquarters in order to be deemed as "not separately located from each other." Subparagraph (C) of Section V requires the overall numbers by type of conventional armaments and equipment in each category specified in Section III that are held at each declared site and that are held by each object of verification. Numbers of such conventional armaments and equipment at each site and by each object of verification, as well as those that belong to an object of verification that are located at another declared site, specifying the designation of each such object of verification, must also be given.

Subparagraph (D) of Section V requires, for each declared site, the number of specified conventional armaments and equipment not in service with its conventional armed forces. The information must specifically identify any battle tanks, armored combat vehicles, artillery, combat aircraft, and attack helicopters that are: (i) awaiting disposal after having been decommissioned in accordance with Article IX of the Treaty; or (ii) reduced and awaiting conversion pursuant to the Protocol on Reduction. It must also identify battle tanks, armored combat vehicles, artillery, combat aircraft, and attack helicopters held by organizations designed and structured to perform internal security functions in peacetime (e.g., paramilitary units).

Subparagraph (E) of Section V requires specific identification of any declared sites that hold battle tanks, armored combat vehicles, artillery, combat aircraft or attack helicopters that are: (i) awaiting on being refurbished for export or re-export and temporarily retained within the area of application; or (ii) used exclusively for research and development. Aggregate numbers for each category at each site must also be provided.

Subparagraph (F) of Section V requires identification of point(s) of entry/exit associated with each declared site (including geographic name and coordinates).

Section VII instructs each State Party as to when it is to provide to all other States Parties the information required by Sections I through V of the Protocol. For annual exchange of information, this would also apply to information required by Section VI. The timetable has four parts, set forth in subparagraphs (A) through (D) of paragraph 1 of Section VII (which is the Section's only paragraph).

Subparagraph (A) of Section VII provides that the required information is to be provided upon signature of the Treaty, with the information effective as of that date. It also provides that, with respect to information reported pursuant to Sections III, IV, and V of the Protocol, any necessary corrections to such information are to be provided (via the Joint Consultative Group) not later than 90 days after signature of the Treaty, with such corrected information to be deemed to have been provided at Treaty signature and valid as of that date.

Subparagraph (B) of Section VII provides that the required information is also to be provided 30 days following entry into force of the Treaty, with such information effective as of the date of entry into force.

Subparagraph (C) of Section VII provides that the required information is also to be provided on the 15th day of December in the year in which the Treaty enters into force and on the 15th day of December of every year thereafter, in each case with information effective as of the first day of January of the following year. Note that no December 15th information will be required for the year the Treaty enters into force if entry into force occurs less than 60 days before December 15th.

Subparagraph (D) of Section VII provides that the required information is also to be exchanged following completion of the 40-month reduction period described in paragraph 4 of Article VIII of the Treaty, with such information effective as of that date.

Section VIII sets forth two notification provisions. The first, in subparagraph (A) of paragraph 1 (the Section's only paragraph) concerns notice of any permanent change in the organizational structure, information about which is provided pursuant to Section I of the Protocol. Such notice is to be provided at least 42 days in advance of the change. The second, in subparagraph (B), is notice of any change of 10 percent or more in the number in any category of battle tanks, armored combat vehicles, artillery, combat aircraft, or attack helicopters assigned-subsequent to the most recent annual exchange of information required by Section VII-to any combat, combat support, or combat service support formations and units (down to the brigade/regiment, wing/air regiment, independent or separately located battalion/squadron level or equivalent) concerning which information was exchanged pursuant to subparagraphs (A) and (B) of paragraphs 1 and 2 of Section III of the Protocol. Information on such changes of 10 percent or more must be given not later than five days after such changes occur and must indicate the revised actual holdings in effect upon the change.

Section IX deals with information on entry into, and removal from, service of conventional armaments and equipment limited by the Treaty (i.e., battle tanks, armored combat vehicles, artillery, combat aircraft, and attack helicopters). It requires that aggregate information is to be furnished on the numbers and types of such conventional armaments and equipment that have entered into service with that State Party's conventional armed forces during the previous twelve months. It also requires the same information with respect to such armaments and equipment that have been removed from service with conventional armed forces during the previous twelve months. All of the information called for by Section IX is to be furnished at the time of each annual exchange of information required by subparagraph l(C) of Section VII.

Section X deals with aggregate information to be provided by each State Party to all other States Parties on entry into, and exit from, the area of application of conventional armaments and equipment limited by the Treaty (battle tanks, armored combat vehicles, artillery, combat aircraft, and attack helicopters) that are in service with conventional armed forces.

Paragraph 1 of Section X (the Section's only paragraph) provides that information furnished pursuant to Section X is to be furnished at the time of each annual exchange of information required by subparagraph l(C) of Section VII.

Subparagraph (A) of Section X requires aggregate information on the numbers and types of each category of conventional armaments and equipment limited by the Treaty in service with conventional armed forces that have entered the area of application within the preceding 12 months. Information must also be given as to whether any such armaments and equipment were organized in a formation or unit.

Subparagraph (B) of Section X requires aggregate information on the numbers and types of each category of conventional armaments and equipment limited by the Treaty in service with conventional armed forces that have been removed from the area of application within the preceding 12 months (and remain outside the area of application). The last reported locations of such armaments and equipment within the area of application must also be furnished.

Subparagraph (C) of Section X provides that conventional armaments and equipment limited by the Treaty (in service with conventional armed forces) that exit and reenter the area of application within a seven day period are not subject to the provisions of the Protocol on Information Exchange. An example of such an exempted exit/reentry would be a training activity taking place within a seven-day period.

It should be noted that Section X calls for aggregate numbers reported annually and is not intended to provide a more detailed accounting. Subparagraph l(A) requires aggregate numbers on armaments and equipment limited by the Treaty and in service with conventional armed forces which entered the area of application over the previous 12 months (except for those that entered and departed within a seven-day period, which are exempted by subparagraph l(C)), whereas subparagraph l(B) requires aggregate numbers and the last reported location of armaments and equipment limited by the Treaty and in service with conventional armed forces which exited the area of application and have remained outside the area of application. Presumably, armaments and equipment reported as entering the area of application under subparagraph l(A) would also be reported as exiting the area of application under subparagraph l(B) if they departed the area of application during the twelve months after having been in the area of application for more than seven days. However, unless they had been required to be reported under the notifications provisions of Section VIII, there would be no last reported location to include in the report. Section X does not require reporting on any conventional armaments and equipment limited by the Treaty but not in service with the conventional armed forces (e.g., battle tanks assigned to organizations and structured to perform peacetime internal security functions).

Section XI provides that the Protocol does not apply to conventional armaments and equipment that are in transit through the area of application from a location outside the area of application to a final destination outside the area of application. However, Section XI also provides that conventional armaments and equipment in the categories specified in Section III of the Protocol that enter the area of application in transit and remain within the area of application for more than seven days are subject to the reporting provisions of the Protocol.

Section XII requires that information to be provided pursuant to the Protocol is to be provided in accordance with the procedures set forth in Article XVII of the Treaty (the general notice provision of the Treaty) and the Protocol's Annex on Format. Section XII also provides that, pursuant to paragraph 5 of Article XVI of the Treaty, changes to the Annex on Format will be deemed improvements to the viability and effectiveness of the Treaty relating only to minor matters of a technical nature. This is significant because paragraph 5 of Article XVI provides that such changes do not need to be treated as amendments to the Treaty and do not otherwise bring into play the provisions of Article XX of the Treaty (on amendments to the Treaty).

Section XIII provides that, after signature of the Treaty but before its entry into force, the Joint Consultative Group is to develop a document relating to notifications required by the Treaty. The document is to list all such notifications, specifying those that are to be made in accordance with Article XVII of the Treaty. The document is to include appropriate formats, as necessary, for such notifications. Changes to this document (as with the changes described in Section XII) will be deemed to be improvements to the viability and effectiveness of the Treaty relating only to minor matters of a technical nature, obviating the need to treat them as amendments to the Treaty.

Return to Top
Return to Table of Contents
Return to CFE Treaty Main Page