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Timestamp: 2017-11-19 17:47:37
Document Index: 622911545

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DECISION OF THE JOINT CONSULTATIVE GROUP
ON CFE TREATY ADAPTATION
VIENNA, 30 MARCH 1999
The States Parties to the Treaty on Conventional Armed Forces in Europe, reaffirming their undertaking, at the 1998 OSCE Ministerial Council in Oslo, to complete adaptation of the Treaty by the time of the Istanbul OSCE Summit of Heads of State or Government of November 1999, in accordance with the Document on Scope and Parameters agreed in Lisbon on 1 December 1996 and taking into account the Decision No. 8/97 of the Joint Consultative Group of 23 July 1997 concerning certain Basic Elements for Treaty Adaptation, have agreed upon the following additional elements which will guide the further course of negotiations on Treaty adaptation.
Each State Party will have a National Ceiling (NC) limiting the conventional armaments and equipment limited by the Treaty (TLE) permitted in each of the five categories in the area of application. Initial NCs will not be greater than National Maximum Levels for Holdings (NMLHs) at the time of signature of the adapted Treaty.
NCs will be codified as binding limits in the Protocol on NCs once agreed by consensus of all States Parties and, together with other Treaty elements, will be reviewed at Review Conferences, which will take place every five years.
A State Party may unilaterally reduce the level of its NC at any time. However, such a unilateral decrease does not confer the right on any other State Party to increase its NC.
Any upward revision of a State Party's NC must be preceded or accompanied by a corresponding reduction in the NC of another State Party or Parties in the same TLE category.
Within the five-year period between Review Conferences:
5.1. Each State Party may revise its NC upwards by a total amount of 20% of its codified NC in each category of ground TLE, provided that:
5.1.1. For no State Party may the amount exceed 150 battle tanks, 250 armoured combat vehicles (ACVs), and 100 artillery pieces; and
5.1.2. For each State Party the amount available for upward revision will be no less than 40 battle tanks, 60 ACVs, 20 artillery pieces.
5.2. Each State Party may revise its NC upwards by no more than 25 attack helicopters and 30 combat aircraft.
5.3.	Upward revision of NCs in excess of the permitted levels set forth above will be subject to consensus.
For each State Party with territory in the area of application, its NCs may not exceed its Territorial Ceiling.
Any revisions of NCs require notification 90 days in advance by all the States Parties involved, thereby demonstrating the explicit consent of the State(s) Party(ies) which have accepted to reduce their NC for the purpose of the exchange.
States Parties that are required to have part of their NMLH in Designated Permanent Storage Sites (DPSS) have the following options:
8.1. To retain their current requirement for DPSS and separate entitlements for active units. States Parties that are below their limits for active units may freely transfer TLE from DPSS to active units up to their active limits, with proper notification, without changing their entitlements. States Parties may eliminate TLE in DPSS and active units without affecting their entitlements;
8.2. At any time, including after entry into force of the adapted Treaty, to convert all or part of the DPSS requirement to active entitlements, according to the following formula: for each five entitlements located in DPSS in any single category of TLE, one may be converted to an additional active entitlement when the other four are eliminated. States Parties that exercise this option will explain fully the numerical implications of the process of conversion of their DPSS entitlements.
Each State Party with territory in the area of application will have a Territorial Ceiling (TC) for each of the three categories of ground TLE. TCs will be codified as binding limits in the Protocol on TCs. The level of TCs and sublimits, and related commitments, together with other Treaty elements, will be reviewed during Review Conferences. In intervening periods, the following provisions will apply:
9.1. A State Party may unilaterally reduce the level of its TC at any time, provided it is no lower than its NC. However, such a unilateral decrease does not confer the right on any other State Party to increase its TC.
9.2. Any NC reduction through DPSS conversion on the basis of 8.2 above will result in a decrease of the TC by an equal amount of TLE.
9.3. Any upward revision of a State Party's TC must be preceded or accompanied by a commensurate reduction in the TC of another State Party or Parties in the same TLE category
9.4. Within the five-year period between Review Conferences, each State Party may revise its TC upwards by a total amount of 20% of its codified TC, provided that:
9.4.1. For no State Party may the amount exceed 150 battle tanks, 250 ACVs and 100 artillery pieces; and
9.4.2. For each State Party the amount available for upward revision will be no less than 40 battle tanks, 60 ACVs, 20 artillery pieces.
9.4.3. Upward revision of TCs in excess of the permitted levels set forth above will be subject to consensus.
9.5. Certain States Parties agree not to make use of the provisions described in paragraph 9.4 in accordance with the statements attached to this Decision, as set forth in Chart 2, footnote 3.
9.6. Certain States Parties agree to exchange TC or sub-limit allowances only among themselves, as set forth in Chart 2, footnote 4.
Any revisions of TCs require notification 90 days in advance by all the States Parties involved, thereby demonstrating the explicit consent of the State(s) Party(ies) which have accepted to reduce their TC for the purpose of the exchange.
The projected levels of States Parties' NCs and TCs under the adapted Treaty are set forth, respectively, in Chart 1 and Chart 2. It is understood that the numbers contained in these Charts may evolve until the time of signature of the adapted Treaty as a result of any changes in NMLHs under the current Treaty.
TCs may be temporarily exceeded for any of the following purposes:
12.1. Military operations in support of peace conducted under a mandate of the United Nations or the OSCE. The force levels and duration of their presence in the respective territorial unit will be guided by the appropriate mandate.
12.2. Military exercises notified 42 days in advance.
12.2.1. The amount of TLE present in a territorial unit in excess of TCs in connection with the notified exercise, in conjunction with any other notified exercise or any temporary deployment on that territory, will not exceed the maximum amount specified for each State Party in 12.3.1. and Chart 2.
12.2.2. A notified exercise exceeding 42 days in duration will thereafter be considered a Temporary Deployment. At that point, notifications of the Temporary Deployment and the required report to the JCG will be due, so that an inspection of the Temporary Deployment can be conducted as soon as possible.
12.2.3. Successive exercises will not be used to circumvent the duration limits for exercises.
12.2.4. In no case will military exercises cause any National Ceiling to be exceeded.
12.3. Temporary Deployments
12.3.1. Each State Party may, on a temporary basis, receive on its territory in excess of TCs, with its express consent, to be reflected through the relevant notifications, up to 153 battle tanks, 241 ACVs, and 140 artillery pieces (Basic Temporary Deployment). In exceptional circumstances, a State Party may exceed a TC by up to 459 battle tanks, 723 ACVs, and 420 artillery pieces (Exceptional Temporary Deployment). Certain States Parties, as set forth in Chart 2, agree not to host more than 153 battle tanks, 241 ACVs, and 140 artillery pieces in excess of a TC.
12.3.2. Any Temporary Deployment exceeding a TC or sub-limit will be subject to specific transparency and verification measures set out in the relevant protocols. However, Temporary Deployments exceeding a TC at, or below, the level of a Basic Temporary Deployment will not be subject to these specific transparency and verification measures if all the equipment in Treaty Limited Categories included in the Temporary Deployment is properly declared at its actual temporary location on the territory of another State Party in the initial Annual Exchange of Information under the adapted Treaty and thereafter.
12.3.3. Where, in exceptional circumstances, a Temporary Deployment exceeds a TC by more than153 tanks, 241 ACVs, or 140 artillery pieces, the following additional measures shall apply. On receipt of an appropriate Treaty notification, a conference of the States Parties shall be convened by the Depositary at which the hosting and deploying States Parties will explain the nature of the exceptional circumstances which have given rise to the Temporary Deployment. The conference shall be convened without delay but not later than seven days after the notification of a Temporary Deployment in excess of 153 battle tanks, 241 ACVs, or 140 artillery pieces and may continue for up to 48 hours unless otherwise agreed by all States Parties. The Chairman of the JCG shall inform both the Permanent Council and the Forum for Security Cooperation of the OSCE of the situation.
12.3.4. Should a military exercise, in conjunction with a basic temporary deployment taking place simultaneously on the territory of the same State Party, cause the TC to be exceeded by more than 153 tanks, 241 ACVs, or 140 artillery pieces, any State Party shall have the right to request the Depositary to convene a conference of the States Parties according to 12.3.3. above.
In addition to the existing exemption from Treaty accountability for equipment transiting the Area of Application (AOA) contained in Article III of the Treaty, TLE in transit across territorial boundaries shall be exempt from TCs of transited State(s) Party(ies), provided that:
13.1. The transited States Parties and the State Party of final destination provide their explicit consent;
13.2. No NCs are exceeded;
13.3. Concerning levels of equipment in transit:
13.3.1. For TLE in transit to a location outside the AOA, there would be no numerical limit;
13.3.2. The amount of TLE in transit within the AOA is no greater than the amount permitted under the treaty at the territory of final destination;
13.3.3. For TLE in transit associated with a mission in support of peace under a UN or OSCE mandate, the levels would be guided by the mandate;
13.4. The entire transit lasts no longer than 42 days;
13.5. TLE in transit will not remain on the territory of any single States Party longer than 21 days; a transit exceeding such duration will thereafter be considered a Temporary Deployment;
13.6. Transits will not be used as a substitute for Temporary Deployments or military exercises;
13.7. TLE in transit will be subject to appropriate transparency measures to be developed. In addition, should questions arise as to the status of TLE in transit, any State Party will have the right to seek prompt clarification (within seven days) in the Joint Consultative Group from the States Parties concerned.
The process of maintenance and reconciliation of the substance of Article V as modified by the Final Document of the First Conference to Review the Operation of the CFE Treaty of May 1996 with the structure of the adapted Treaty will be guided by the following principles and modalities, to be expressed in an appropriate Treaty format. The way in which the following principles and modalities are formulated does not prejudge the form in which they will be expressed in the context of the adapted Treaty.
14.1.1. The contents of the provisions contained in paragraph 14 and the footnotes referred to therein will be integral part of the adapted Treaty and, as such, will be legally binding and durable as all other Treaty commitments.
14.1.2. The adapted Treaty should prevent an increase in the ability of any State Party to prepare for offensive operations leading to potentially threatening or broader and concurrent build-up of forces within the framework of the Treaty.
14.1.3. The process of maintenance and reconciliation should not result in or allow an increase in the numbers of TLE permitted for each State Party under the current Treaty with the exception of the sub-limit on the ACVs of the Russian Federation in the zone described in Chart 2, footnote 1.
14.1.4. Initial Territorial Ceilings should equal initial National Ceilings and up-to-date NMLHs at the time of signature of the adapted Treaty.
14.1.5. Upward revision of TCs and sublimits in the context of this paragraph shall take place only through transfers among the relevant TCs and sublimits, as set forth in Chart 2, footnote 4.
14.1.6. Temporary deployments will take place only within the overall levels referred to in paragraph 12.3.1 and as set forth in Chart 2, footnote 5.
14.1.7. An enhanced regime of verification and information exchange would constitute a key part of the process of maintenance and reconciliation. All locations appropriately declared to contain equipment in Treaty-limited categories subject to limitation under the current CFE Treaty and associated documents should continue to be subject to inspections.
14.2. Modalities
14.2.1. There will be one single sub-limit for the Russian Federation covering the zone described in Chart 2, footnote 1.
14.2.2. Russian forces present in other countries and Russian forces that will be present in other countries will be subject to general rules regarding NCs, TCs and temporary deployments in accordance with the consent of the host States. Those TLE that are in excess of headroom and/or temporary deployment levels will be withdrawn.
14.2.3. Consistent with the fundamental principle of the necessity for host State consent to the size, location and duration of foreign military presence on its territory, the States Parties stress, in accordance with paragraph 14.2.7, the desirability of early mutually acceptable results to bilateral discussions on the configuration and consequent reduction of Russian forces in Georgia and of the withdrawal of Russian forces from Moldova, following the early elaboration of a schedule consistent with the 1998 Oslo Ministerial Council Decision N.2.
14.2.4. TLE to be withdrawn shall not be deployed in the Russian territory in the zone described in Chart 2, footnote 1 in addition to the Russian sub-ceilings therein.
14.2.5. The Russian Federation will be entitled to deploy up to 2,140 ACVs on its territory in the zone described in Chart 2, footnote 1. No temporary deployment in this category will be made in the zone described in Chart 2, footnote 1.
14.2.6. There will be no change in the existing Russian flank ceilings for the categories of tanks and artillery systems. These ceilings will apply to the Russian territory in the zone described in Chart 2, footnote 1.
14.2.7. The participating States will do their utmost to implement in a timely manner all arrangements referred to in this sub-paragraph. These arrangements will be implemented at the entry into force of the new Treaty or by the time specified in the Treaty.
14.3. There will be one single sub-limit for Ukraine covering the zone described in Chart 2, footnote 2.
All States Parties agree on the importance of enhancing information exchange and verification under an adapted Treaty. To that end, new measures and improvements of existing provisions will be adopted as a result of Treaty adaptation. As a concrete step towards that goal, they will consider and adopt an enhanced regime of verification and information exchange, consistent with the system of NCs and TCs. They will also consider further measures to increase cooperation in inspection activities.
They have agreed, inter alia, that:
16.1. To enhance on-site inspection opportunities under the adapted Treaty, passive quotas will be increased from 15 to 20 percent of Objects of Verification. The additional five percent increment of inspections will be conducted at the expense of the inspecting States Parties.
16.2. Russia will continue to provide semi-annual data as stipulated in Annex A of the Final Document of the First CFE Review Conference and will accept each year, in addition to its passive declared site inspection quota, up to a total of ten supplementary declared site inspections conducted at the expense of the inspecting States Parties. Up to six of these inspections will be allocated to the area described in Chart 2, footnote 1 of this Decision and up to four to the area consisting of those portions of the Leningrad and North Caucasus Military Districts not included in Chart 2, footnote 1 of this Decision.
16.3. Ukraine will continue to provide F21 notifications for its holdings in Odesa oblast for changes of five percent or more in assigned holdings, and will accept each year, in addition to its passive declared site inspection quota, up to one supplementary declared site inspection in Odesa oblast conducting at the expense of the inspecting States Parties.
16.4.Specific transparency and verification measures, including notifications and inspections, will apply with regard to paragraphs 12.2 and 12.3.
States Parties reiterate their concern with respect to the issues addressed in paragraphs 8 and 9 of the the Final Document of the Review Conference of May 1996 and, recalling paragraph 12 of the Document on Scope and Parameters, express their readiness to intensify their efforts towards a solution to these issues as soon as possible.
The attached Charts have been developed in order to provide a clear numerical basis for the further course of negotiations on CFE adaptation. With a view to enhancing elements of stability and restraint, certain States Parties have made statements, which are attached to the Decision.
(Projected levels)
Russian Federation*(5)
# The Facilitator of the Ad Hoc Group notes that Azerbaijan states that it is not able to declare its projected NC levels for inclusion in the Chart.
* States Parties whose projected National Ceilings, contained in the chart above, are lower in two or more equipment categories than their NMLHs valid as of 1 January 1997, following adoption of the Document on Scope and Parameters of CFE Adaptation at the Lisbon OSCE Summit.
(1) Of which no more than 1525 battle tanks, 2175 ACVs and 1375 artillery pieces in active units.
(2) Of which no more than 754 battle tanks, 1223 ACVs and 629 artillery pieces in active units.
(3) Of which no more than 658 battle tanks, 1522 ACVs and 688 artillery pieces in active units.
(4) Of which no more than 1362 battle tanks, 1924 ACVs and 1319 artillery pieces in active units.
(5) Of which no more than 5575 battle tanks, 11280 ACVs and 5505 artillery pieces in active units.
(6) Of which no more than 376 battle tanks, 611 ACVs and 314 artillery pieces in active units.
(7) Of which no more than 3130 battle tanks, 4350 ACVs and 3240 artillery pieces in active units.
Armenia (4)(5)
Azerbaijan (4)(5) #
Bulgaria (4)(5)
Czech Republic (3)(6)
Georgia (4)(5)
Greece (4)(5)
Hungary (3)(7)
Iceland (4)(5)
Moldova (4)(5)(10)
Norway (4)(5)
Poland (3)(8)
Romania (4)(5)
- of which (1)(4)(5)
Slovak Republic (3)(9)
Turkey (4)(5)
- of which (2)(4)(5)
# The Facilitator of the Ad Hoc Group notes that Azerbaijan states that it is not able to declare its projected TC levels for inclusion in the Chart.
(1) In the Leningrad Military District, excluding the Pskov oblast, and the North Caucasus Military District, excluding the Volgograd and Astrakan oblasts, that part of the Rostov oblast east of the line extending from Kushchevskaya to Volgodonsk to the Volgograd oblast border, including Volgodonsk, and Kushchevskaya and a narrow corridor in Krasnodar kray leading to Kushchevskaya.
(2) In the Odessa oblast.
(3) States Parties that have agreed not to make use of the Treaty mechanisms for upward revision of Territorial Ceilings in accordance with the attached statements.
(4) States Parties that have agreed to exchange TC or sublimit allowances only among themselves and to reflect this agreement in the adapted Treaty.
(5) States Parties that have agreed not to host more than 153 battle tanks, 241 ACVs and 140 artillery pieces in excess of TCs and to reflect this agreement in the adapted Treaty.
(6) The Czech Republic agrees to adjust its territorial ceiling through the application of paragraph 8.2, by no later than the end of 2002, so that it does not exceed 795 battle tanks, 1252 armoured combat vehicles and 657 artillery pieces, in accordance with the attached statement. This is without prejudice to the form in which this commitment will be expressed in the context of the adapted Treaty.
(7) Hungary agrees to adjust its territorial ceiling through the application of paragraph 8.2, by no later than the end of 2002, so that it does not exceed 710 battle tanks, 1560 armoured combat vehicles and 750 artillery pieces, in accordance with the attached statement. This is without prejudice to the form in which this commitment will be expressed in the context of the adapted Treaty.
(8) Poland agrees, in conjunction with its attached statement, to adjust its territorial ceiling to the numbers for holdings contained in its statement by no later than the end of 2003, so that its TC does not exceed 1577 battle tanks, 1780 armoured combat vehicles and 1370 artillery pieces. This is without prejudice to the form in which this commitment will be expressed in the context of the adapted Treaty.
(9) The Slovak Republic agrees to adjust its territorial ceiling through the application of paragraph 8.2, by no later than the end of 2003, so that it does not exceed 323 battle tanks, 643 armoured combat vehicles and 383 artillery pieces, in accordance with the attached statement. This is without prejudice to the form in which this commitment will be expressed in the context of the adapted Treaty.
(10) Moldova renounces its right to receive a Temporary Deployment on its territory.
Quelle: The Arms Control Reporter
Last modified. 11. November 1999