ARTICLE-BY-ARTICLE ANALYSIS OF THE ANNEX ON THE
FORMAT FOR THE EXCHANGE OF INFORMATION

STRUCTURE AND OVERVIEW OF THE ANNEX ON FORMAT

The Annex on Format (the Annex) provides examples and detailed explanations of the formats to be used by the States Parties for exchange of information as specified in the Protocol on Information Exchange (the Protocol). Pursuant to paragraph 3 of Article I of the Treaty, the Annex is deemed to be an integral part of the Treaty.

Paragraph 1 of the Preamble provides that the States Parties shall provide to all the other States Parties information pursuant to the Protocol on Information Exchange in accordance with the formats specified in the Annex. Paragraph 1 further provides that the information must be in one of the six official languages of the Conference on Security and Cooperation in Europe and must be provided in mechanically or electronically printed form. Finally, paragraph 1 provides that, in each table, each data entry must have a sequential line number.

Paragraph 2 of the Preamble provides that a cover page shall accompany the set of listings. Paragraph 2 also provides that the cover page must show the name of the State Party providing the listing, the language of the listing, the date of exchange of the listings, and the effective date of the information provided in the listings.

Section I sets forth the format in which the States Parties will provide information on the command structure of land forces and air and air defense aviation forces within the area of application.

Paragraph 1 of Section I directs each State Party to provide information (pursuant to Section I of the Protocol on Notification and Exchange of Information) on the command organization of its land forces, including air defense formations and units subordinated at or below the military district or equivalent level. Information is to be in two separate hierarchical data listings. Chart I provides the format for information on the command organization of the land forces and air and air defense aviation forces of (State Party) valid as of (date). The information required on the chart consists of the line number (column A), the formation or unit record number (column B), the designation of formation or unit (column C), and under the column entitled subordination, information is requested as to the 1st higher echelon (column D) and the 2nd higher echelon (Column E).

Paragraph 2 of Section I states that data listings should be provided beginning at the highest level of command proceeding through each level down to the lowest level of command to the level of brigade/regiment, independent battalion, and wing/air regiment, independent squadron or their equivalent. After all the subordinate organizations are listed, entries for the next military district/army/corps must be listed. An identical procedure must be followed for air and air defense aviation forces.

Subparagraph (A) of paragraph 2 provides that under column (B) in Chart I, each organization shall be identified by a unique designator for use on subsequent listings with that organization and for all subsequent information exchanges. Under column (b), the organization should provide its name or national designation. In the case of divisions, brigades/regiments, independent battalions, and wings/air regiments, independent squadrons or equivalent organization and where appropriate, the formation or unit type is to be provided.

Subparagraph (B) of paragraph 2 provides that, for each organization, the two levels of command within the area of application immediately superior to that organization shall be designated in columns (d) and (e) of Chart I.

Paragraph 1 of Section II refers to the use of Chart IIA and Chart IIB, pursuant to Section II of the Protocol on Notification and Exchange of Information. Chart IIA provides the format for information on the overall holdings of battle tanks, armored combat vehicles, and artillery subject to numerical limitation of (State Party) valid as of (date). Chart IIB provides information on the overall holdings of combat-aircraft and attack helicopters subject to numerical limitation of (State Party) valid as of (date).

The columns in Chart IIA consists of a line number (a), area (b), category (c), sub-category (d), type (e), overall number (including in DPSS, i.e., in designated permanent storage sites) (f), and number in DPSS (g). The columns in Chart IIB consists of line number (a), category (b), sub-category (c), type (d), and overall number (e).

Paragraph 1 of Section II provides that, pursuant to Section II of the Protocol, each State Party shall provide on Chart IIA data on its overall holdings by type of battle tanks, armored combat vehicles, and artillery subject to the numerical limitations set forth in Articles IV (Overall and Regional Limitations) and V (Flank Rule) of the Treaty (column b), and, in Chart IIB, data on its overall holdings by type of combat aircraft and attack helicopters subject to the numerical limitations set forth in Article IV of the Treaty (column b).

Paragraph 2 of Section II provides that data on armored combat vehicles shall include total numbers of heavy armament combat vehicles, armored infantry fighting vehicles, and armored personal carriers. Their number (column f/e) and type (column e/d) in each of these subcategories (column d/c) shall also be included.

Paragraph 3 of Section II provides that where battle tanks, armored combat vehicles, artillery, and armored vehicle launched bridges are stored in accordance with Article X (Destroyed Permanent Storage Sites) of the Treaty, the total number of such armaments and equipment in designated permanent storage sites shall be specified in column (g).

Section III addresses the format for information to be provided on the location, numbers, and types of conventional armaments and equipment in service with the conventional armed forces of the States Parties.

Paragraph 1 of Section III provides that each State Party will provide a hierarchical data listing of all its land forces' and air and air defense aviation forces' organizations reported pursuant to paragraph I of Section III of the Protocol and of the formations and units reported pursuant to paragraph 2 of Section III of the Protocol, as well as information on installations at which conventional armaments and equipment are held as specified in paragraph 3 of Section III of the Protocol.

Paragraph 2 of Section III details the format for exchange of information on each organization and installation.

Subparagraph (A) of paragraph 2 provides that the information should reflect the formation or unit record number and designation of the organization reported in Chart I, columns (b) and (c). Information on separately located battalions/squadrons specified pursuant to paragraph 1 of this Section, formations and units reported pursuant to paragraph 2 of Section III of the Protocol and installations listed in accordance with paragraph 3 of Section III of the Protocol shall also be given a unique formation or unit record number (column b), and their national designation (column c) shall be provided. Their position on the listing shall reflect their subordination with the exception of formations and units reported pursuant to paragraph 2 of Section III of the Protocol, which shall be specified together at the conclusion of the listing.

Sub-subparagraphs (1) and (2) of subparagraphs (A) of paragraph 2 of Section III provides that the designated permanent storage sites shall be identified with the notation "DPSS" following the national designation and that reduction sites shall be identified with the notation "reduction" following the national designation.

Subparagraph (B) of paragraph 2 of Section III provides that the information for each organization and installation shall reflect the location (column d), including the geographic name and coordinates accurate to the nearest 10 seconds. In addition, the host State Party must be included where the location contains stationed forces.

Subparagraph (C) of paragraph 2 provides that the information provided for each organization and installation shall reflect the overall total of conventional armaments and equipment in each category (column f to m/1) for each level of command from the highest down to the division/air division level. For example, the overall total held by a division would be the sum of the holdings of all its subordinate organizations.

Subparagraph (D) of paragraph 2 refers to Charts IIIA and IIIB. Chart IIIA contains information on the location, numbers and types of conventional armaments and equipment provided pursuant to Section III of the Protocol on Information Exchange of (State Party) Valid as of (date). The columns in Chart IIIA consist of line number (a), formation or unit record number (b), designation of formation or unit (c), peacetime location (d), NOT USED (e), battle tanks (f), armored combat vehicle (g), armored personnel carrier and armored infantry fighting vehicle look-alikes (h), artillery (i), armored vehicle launched bridge (j), attack helicopters, (k), combat support helicopters (l), and unarmed transport helicopter (m). The column marked "NOT USED" (also found on Chart IIIB) was a placeholder for personnel strength which is being negotiated in the follow-on to CFE.

Chart IIIB contains information on the location, numbers, and types of conventional armaments and equipment provided pursuant to Section III of the Protocol of (State Party) valid as of (date). The columns in Chart IIIB consist of line number (a), formation or unit record number (b), designation of formation or unit (c), peacetime location (d), NOT USED (e), combat aircraft (f), reclassified CCT aircraft (g), primary trainer aircraft (h), attack helicopters (i), combat support helicopters (j), unarmed transport helicopters (k), and other (1).

Subparagraph (D) of paragraph 2 of Section III provides that for each organization and installation, the information shall reflect, for each level of command at the division level and below as specified in paragraph 1 of Section III, the number of conventional armaments and equipment by type under the headings specified in Charts IIIA and IIIB (columns f to m/1). In the armored combat vehicle column in Chart IIIA (column g), the subcategories (i.e., armored personnel carriers, armored infantry fighting vehicles, and heavy armament combat vehicles) shall be presented separately. In the attack helicopter column (column k/i), the subcategories (i.e., specialized attack and multipurpose attack) shall be presented separately. The column (1) labeled "other" in Chart IIIB shall include battle tanks, armored combat vehicles, artillery, armored personnel carrier look-alikes, armored infantry fighting vehicle look-alikes, and armored vehicle launched bridges, if any, in service with the air and air defense aviation forces.

Section IV addresses the format for information on conventional armaments and equipment not in service with the conventional armed forces provided pursuant to Section IV of the Protocol on Information Exchange.

Paragraph 1 of Section IV addresses the information that must be provided by each State Party on the location, number and type of its battle tanks, armored combat vehicles, artillery, combat aircraft, and attack helicopters within the area of application but not in service with its conventional armed forces. This information is to be provided pursuant to Section IV of the Protocol.

Paragraph 2 of Section IV addresses information on each location.

Subparagraph (A) of paragraph 2 provides that the information shall reflect the provision of Section IV of the Protocol pursuant to which the information is being provided (column b). This means that, for each entry in Chart IV there should be a specific cross-reference to one of the sub-subparagraphs I(A)(1) through l(A)(6) of Section IV of the Protocol on Information Exchange to justify its inclusion as "not in service" with the conventional armed forces.

Subparagraph (B) of paragraph 2 of Section IV provides that the information shall reflect the location (column c) (1) in respect of conventional armaments and equipment reported pursuant to sub-subparagraphs (1), (3) and (5) of subparagraph (A) of paragraph 1 of Section IV of the Protocol, the geographic name and coordinates accurate to the nearest 10 seconds of sites containing such equipment and (2) in respect of conventional armaments and equipment reported pursuant to sub-subparagraph (2) of subparagraph (A) of paragraph I of Section IV of the Protocol, the national designation of the administration region or division containing such equipment.

Subparagraph (C) of paragraph 2 provides that, in respect of conventional armaments and equipment reported pursuant to sub-subparagraphs (1) and (2) of subparagraph (A) of paragraph 1 of Section IV of the Protocol, the information shall reflect the national-level designation of organizations holding the equipment specified (column c).

Subparagraph (D) of paragraph 2 refers to Chart IV which will contain information on the location of conventional armaments and equipment provided pursuant to Section IV of the Protocol on Information Exchange (State Party) valid as of (date). The columns in Chart IV consist of line number (a), protocol reference (b), location (c), battle tanks (d), armored combat vehicles (e), artillery (f), attack helicopters (g), and combat aircraft (h).

Subparagraph (D) provides that for each location, the information should reflect the number by type under the headings specified in Chart IV (columns d to h), except in respect of conventional armaments and equipment reported pursuant to sub-subparagraph (2) of subparagraph (A) of paragraph 1 of Section IV of the Protocol, only the numbers in each category shall be provided solely for the administrative region or division specified (column c).

Section V addresses the format for information on objects of verification and declared sites.

Paragraph 1 of Section V provides that each State Party shall provide a listing of its objects of verification and declared sites, as defined in Section I of the Protocol on Inspection. Declared sites (Chart V) shall be listed in alphabetical order. This listing will be provided pursuant to Section V of the Protocol.

Chart V contains information on objects of verification and declared sites of (State Party) valid as of (date). The columns in Chart V consist of line number (a), declared site record number (g), location (c), point of entry/exit (d), object of verification (e), battle tanks (f), armored combat vehicles (g), armored personnel carrier and armored infantry fighting vehicle look-alikes (h), artillery (i), armored vehicle launched bridges (j), attack helicopters (k), combat support helicopters (1), unarmed transport helicopters (m), combat aircraft (n), reclassified combat-capable trainer aircraft (o), and primary trainer aircraft (p).

Paragraph 2 of Section V pertains to information provided on declared sites. Paragraph 2 requires that the following information be provided:

Paragraph 3 provides that each State Party shall provide a listing of points of entry/exit. The listing shall assign a unique sequential numerical designator (column b) which shall be used to indicate the point(s) of entry/exit for each site provided pursaunt to paragraph 2, subparagraph (C) of this Section. The location shall include the geographic name (column c) and coordinates accurate to the nearest 10 seconds (column d). The type(s) of transportation acceptable - "air," "sea," "ground" - for each point of entry/exit also shall be specified (column e).

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