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"[Arms Control Today] has become indispensable! I think it is the combination of the critical period we are in and the quality of the product. I found myself reading the May issue from cover to cover."

– Frank von Hippel
Co-Director of Program on Science and Global Security, Princeton University
June 1, 2018
Arms Control Today

New Head of Russian Strategic Forces Praises START

Newly appointed commander in chief of the Russian Strategic Rocket Forces, Colonel General Vladimir Yakovlev, expressed his strong support for the U.S. Russian strategic offensive arms reduction process in an interview published in the Russian Nezavisimoye Voyennoye Obozreniye on August 14. Yakovlev, who takes over responsibility for the strategic rocket forces from General Igor Sergeyev (the new Russian Defense Minister), said the START agreements will preserve nuclear deterrence, enhance strategic stability, reduce the likelihood of military confrontation and provide significant economic benefits.

Although START II has not yet been approved by the Russian Duma, Yakovlev is optimistic about the treaty's prospects. "I believe the START II Treaty unquestionably is advantageous for Russia. Its ratification is without an alternative both from a military strategic as well as economic standpoint," he said. Yakovlev also noted that several Russian complaints about START II were largely addressed by the "Joint Statement on Parameters on Future Reductions in Nuclear Forces," signed by President Bill Clinton and President Boris Yeltsin on March 21 in Helsinki. (See ACT, March 1997.) Nevertheless, it remains unclear whether Yeltsin will press the Duma to take up the treaty when it returns from its summer recess.

NATO and Russian Approaches To Adapting the CFE Treaty

By Colonel Jeffrey D. McCausland

With the completion of the Madrid summit, NATO has embarked on not only its most significant membership expansion but also a further redefinition of its purpose. It is critical, however, to remember that NATO enlargement is not an objective of Western security. The true objective is to improve overall security in Europe and establish a viable framework of stability for the future. In this context, "enlargement" is a "means" to achieve this greater "objective." While this may strike some as a question of semantics, it serves to place NATO's expansion effort in the proper perspective. It also underscores the fact that enlargement is meant to be an ongoing process that only began with the invitations to Hungary, the Czech Republic and Poland to join the alliance. This process must be given careful consideration over the next two years to ensure the ultimate objective of enhanced security is realized and not compromised along the way.

Fundamental in this regard are efforts to assuage Russian concerns about enlargement. Though Western policy makers have attempted to describe enlargement as non threatening, there is no doubt that most, if not all, Russian leaders still disagree. To help overcome Moscow's resistance to NATO's move eastward, the Founding Act signed between Russia and the alliance in May of this year provides for consultations, cooperation, possible joint action and a NATO Russia Permanent Joint Council, though it is still unclear exactly how this council is to operate. There have been other policy recommendations to help Russia through this period, such as a mixed NATO Russian military brigade that would build upon the experience of the Implementation Force (IFOR) and Stabilization Force (SFOR) in the former Yugoslavia. But central to meeting Moscow's fears about NATO enlargement will be radical revisions of the Conventional Armed Forces in Europe (CFE) Treaty.

From Russia's perspective, the CFE Treaty provides it with legally binding assurances about the size and deployment of NATO forces that are critical to Moscow's assessment of regional security. Consequently, while adjustments to the treaty were warranted based on the dramatic changes that have occurred in Europe since its signing, the alliance's impending enlargement gives this adaptation process an added significance.

 

The Treaty in Perspective

Signed in November 1990 by the 22 NATO and Warsaw Pact countries, the CFE Treaty places numerical limitations on tanks, artillery, armored combat vehicles (ACVs), combat aircraft and attack helicopters—known collectively as treaty limited equipment (TLE)—for each alliance or "group" in an area stretching from the Atlantic Ocean to the Ural Mountains. These alliance wide limitations were further circumscribed by a series of geographic zones to prevent the massing of forces in specific regions. Individual limits for each treaty signatory were distributed from the alliance limits among the members of each of the two blocs before the demise of the Warsaw Pact. Following the dissolution of the Soviet Union, those former Soviet republics within the treaty's area of application (with the exception of the Baltic states) met in Tashkent, Uzbekistan, in May 1992 and determined their respective TLE limits from the total allocated to the Soviet Union.

Though the CFE Treaty was signed in November 1990, its implementation was delayed by the dissolution of the Warsaw Pact, the demise of the Soviet Union and problems associated with the removal and transfer of Soviet heavy weapons. In 1989 and 1990 (before the treaty was signed), the Soviet Union had moved a huge number of weapons (estimated at betweaen 50,000 and 70,000) east of the Ural Mountains (outside the treaty's area of application) and had transferred other TLE to naval infantry and coastal defense units, actions which delayed ratification of the accord. Once these issues were settled, the treaty formally entered into force in November 1992 after Belarus became the last state to deposit its instrument of ratification. Despite this delay, by November 17, 1995 (the end of the treaty's 40 month reduction period), over 58,000 pieces of TLE had been eliminated (most through destruction), and approximately 2,700 inspections were conducted to ensure compliance.1 Russia had the greatest burden for eliminating TLE; its reductions represented roughly 20 percent of this total.

Curiously, during this transitional period the inspections may have contributed more to reducing tensions than the actual reductions. For example, under the terms of the agreement, short notice inspections were conducted of U.S. forces in Germany as they were preparing for deployment to the former Yugoslavia in 1995. Also, though the purpose of the treaty was to reduce the possibility of short warning conventional attacks, it proved particularly valuable in responding to Soviet concerns about German reunification and assisting in the withdrawal of Soviet forces from Eastern Europe. In fact, the greatest value of the agreement may be that the entire CFE system provides a forum for the major European states to debate, agree and maintain a set of rules about the deployment of conventional military power on the continent.

The treaty has also adapted to other political changes besides the reunification of Germany and the dissolution of the Soviet Union. In October 1991, the territories of Estonia, Latvia and Lithuania were recognized as being outside the CFE area of application once these countries regained their independence. And in January 1993, as part of the dissolution of Czechoslovakia, the Czech and Slovak republics agreed on the division of the TLE of the former Warsaw Pact member.

Full and final compliance with the CFE Treaty was, however, endangered in late 1995 due to Moscow's insistence that it could not comply with limits on its forces in the accord's so called "flank" zone—an area that includes both Russia's Leningrad Military District in the north and the North Caucasus Military District in the south, where Russia had amassed a large force in its conflict with Chechnyan separatists. As the November 1995 deadline for final reductions approached, it became clear that Russia would be in compliance with its overall limits, but would not meet the flank limits. At the 11th hour, the 30 states parties agreed to a framework for resolving this issue, and a final compromise was achieved at the first CFE Treaty review conference in May 1996 in Vienna. Under that formulation, Russia is permitted higher force levels in the original areas of the flank zone and an extension from 1995 to 1999 to come down to these new levels. In addition, the original flank limits apply to a flank zone reduced in area. (This compromise was ratified by the U.S. Senate in May 1997.)

During the May 1996 review conference, NATO members indicated their willingness to consider further adjustments to the CFE Treaty, and CFE parties agreed to discuss ways to "enhance the viability and effectiveness" of the agreement. On December 1, one day before the opening of the Organization for Security and Cooperation in Europe (OSCE) summit in Lisbon, CFE parties approved a document outlining the "scope and parameters" for the adaptation talks, which were to begin at the Vienna based Joint Consultative Group (JCG) in January 1997.

 

NATO's Approach to Adaptation

The original CFE mandate sought a stable balance of conventional forces at fixed, lower levels and the elimination of alliance capabilities for launching surprise conventional attacks. The "Final Document" from the review conference noted the achievement of these objectives and, consequently, the focus now must be to cement these gains and build upon them. Furthermore, it seems logical that political goals now have greater salience than the military objectives that were fundamental to the original negotiations.

NATO countries agree that four essential aspects of the agreement must be maintained: ceilings on the five categories of TLE; the inspection regime; regular information exchange between treaty signatories; and a treaty structure that allows for political change. Members also accept the need for progress in these discussions to parallel the NATO enlargement process, although they oppose direct linkage or artificial deadlines.

In February 1997, NATO presented its proposal to adjust the CFE Treaty and reflect the dramatic changes that had taken place in Eastern and Central Europe since its signing. NATO proposed replacing the existing bloc to bloc and zonal limits on TLE with "national" and "territorial" limits. This change is intended to reflect the passing of the Warsaw Pact and the emergence of a new European security architecture. Every country would declare its national limits for each equipment category with the goal of reducing overall force levels. Countries also would be allowed to host "stationed forces" (the forces of another state party on its soil), but the total of a nation's own equipment plus permanently stationed hardware would be limited by the new territorial ceiling. In the case of the Czech Republic, Hungary and Poland, territorial limits would be set at or below current entitlement levels and, consequently, these nations, without reducing their own forces, would not be able to permanently station significant amounts of TLE from other NATO countries on their territories. (See Table 1.)

As with the treaty's current zonal limits, these stationed forces restrictions would, however, apply only to the three categories of ground based TLE (tanks, artillery and ACVs); they would place no limit on the number of combat aircraft or attack helicopters that NATO could deploy on the territories of new members (due to the rapid mobility of these weapons systems). All CFE parties would have to agree that the declared national and derived territorial levels were acceptable before being codified in an adjusted treaty.

Provisions on stationed forces would have an impact on the United States, all of whose forces are stationed (primarily in Germany). U.S. forces are allowed under the current treaty based on the United States receiving an entitlement as a treaty signatory. The adjusted treaty text would have to specify territorial totals for each signatory that included U.S. forces, and each state on whose territory U.S. forces are stationed would have to continue to agree to their presence. It is also important to consider that non German NATO forces are currently not allowed to be stationed in the territory of the former German Democratic Republic as part of the "Two Plus Four" agreement that resulted in German reunification.

The NATO proposal would also insert a clear definition of so called "temporary deployments" for military exercises and create a new stabilizing zone— encompassing the four Visegrad states (the Czech Republic, Hungary, Poland and Slovakia), Russia's Kaliningrad oblast (administrative district), Belarus and western Ukraine—where greater restrictions would apply for stationed forces. Under the proposal, territorial ceilings for ground based equipment could not be set any higher than current individual maximum levels, additional information would be provided on stationed forces or temporary deployments, and special inspection quotas would apply to certain sites.

Western signatories recognize that the introduction of an "accession clause" to allow other European states to join the CFE regime is appropriate. This could have positive ramifications for both the Baltic and Balkan regions. The exclusion of Estonia, Latvia and Lithuania from the treaty was primarily an issue of sovereignty. Baltic leaders argued that they were neither signatories to the original agreement nor successor states to the Soviet Union, and they refused to participate in the May 1992 Tashkent conference. It seems logical that entry into the CFE regime now as new members would underscore their respective sovereignty, offer additional security reassurances and could be viewed as a prerequisite to future entry into NATO.

As regards the Balkans, the December 1995 General Framework Agreement on Peace for Bosnia and Herzegovina (the Dayton peace accord) calls for confidence and security building measures (CSBMs) and force reductions which mirror the CFE agreement. The resulting treaties were signed in the spring of 1996. Inspections consistent with the established measures are occurring, and reductions are being monitored. Another portion of the Dayton agreement also calls for future sub regional discussions with the goal of establishing a regional balance in and around the former Yugoslavia. These negotiations would likely include not only the Federal Republic of Yugoslavia (now comprising Serbia and Montenegro), Croatia and Bosnia and Herzegovina, but also the Former Yugoslav Republic of Macedonia, Albania, Austria and Slovenia. The talks might also include other states in the region that are already CFE signatories such as Bulgaria, Hungary and Romania. A CFE accession clause would offer signatories to the Bosnian peace accords the opportunity to enter the CFE regime once they had achieved their required residual levels, which could obviate the need for separate negotiations.

NATO has also called for lower TLE entitlements throughout the area of application, and made a commitment that the total of alliance ground based equipment entitlements under an adjusted treaty will be "significantly" less than what the current NATO members are allowed. The alliance has attempted throughout these discussions and elsewhere to emphasize the view that NATO poses no threat to Russia. Despite this fact, many Russian leaders continue to view NATO with great suspicion, especially in light of its enlargement plans. In their view, a reduction in NATO entitlements would diminish not only the numerical disparity between NATO and Russian forces (which is currently greater than 2:1 in some categories), but might also serve to reduce Moscow's security anxieties. A large portion of NATO's reductions would likely be drawn from U.S. TLE entitlements, bringing these entitlements closer to what is actually present in the treaty's area of application and requiring very little actual equipment destruction. (See Table 2.)

NATO members also agree on two other issues. First, they seek an improved flow of information to all signatories and enhancements to the CFE verification regime. This must include changes to the allocation of inspection quotas engendered by the elimination of the treaty's original bloc to bloc structure. During their negotiations, original CFE NATO countries agreed that there was no need for one NATO country to inspect another. Since the demise of the Warsaw Pact, however, its former members have frequently requested so called "East on East" inspections. This has reduced the available inspection quotas for NATO countries, and several states (most notably Russia) have complained that it is especially burdensome. Second, the negotiations to achieve a compromise over Russian force levels in the flank zone were both difficult and divisive; all NATO members agree that this issue must not be reopened in the adaptation talks.

Overall, the NATO proposal seeks to respond to Russian concerns by forgoing a dramatic expansion of the alliance's collective arsenal with weapon systems from new members, and the proposed stabilizing zone in Central Europe would preclude the concentration of forces on the territories of the new NATO members. An adjusted treaty consistent with this proposal should not engender significant supplementary costs because the requirement to destroy additional equipment will be low. Finally, relatively minor adjustments to the verification regime will ensure that the opportunities to cheat—and the resulting advantages—are also low.

 

The Russian Position

Moscow presented its initial ideas for CFE modification during the May 1996 review conference, and Russian officials complained throughout the remainder of the year (with some good reason) that NATO's failure to respond suggested a lack of political willingness. The ideas put forward by Moscow included a shift toward national ceilings and the accession of new members, among other things. A formal Russian proposal, presented in March 1997 at the JCG, reflected many of Moscow's early ideas and demonstrated some areas of agreement with NATO's proposal. For example, Russia supported shifting from group to national totals, the addition of an accession clause, and disposition of separate counting rules for equipment placed in storage. The Russian proposal also included:

  • limits on stationed forces that would largely preclude NATO from placing any equipment on the territories of new members;
  • the elimination of the flank zone;
  • exemptions for equipment assigned to forces involved in peacekeeping operations (as in Chechnya, for instance); and
  • a "sufficiency rule" that would place a limit on the amount of TLE any alliance (that is, NATO) could have.

Russian negotiators have also suggested the addition of new pieces of equipment to the "combat aircraft" category (such as electronic warfare, refueling and transport aircraft), and limitations on infrastructure improvements (including airfields, harbors and railways). Obviously, some of these proposals will be difficult for NATO to accept, but there are areas of conceptual agreement.

Russian officials argue that the full implementation of the CFE Treaty and the demise of the Warsaw Pact have resulted in an asymmetry in the balance of forces. This is the basis of their recommendations for an alliance sufficiency rule and restraints on stationed forces on new members' territories. Moscow maintains that under the treaty Russia is currently allowed less TLE than NATO, and this disparity would only grow if NATO expands eastward.

Such analysis is, however, flawed in several ways. First, from a legal perspective, NATO is not a party to or signatory of the CFE Treaty. Certainly, the alliance has been involved in the treaty's negotiation and implementation and is mentioned a number of times in the actual treaty text, but the treaty is still based on the participation of 30 sovereign states. Second, Moscow's balance of force comparisons are based on a Cold War security environment—pitting alliance against alliance—which no longer exists. In the new era of cooperative security, as is clearly stated in the NATO Russian Founding Act, "NATO and Russia do not consider each other as adversaries." Third, this perspective ignores NATO's stated desire—contained both in its proposal and the Founding Act—to negotiate lower force levels as an objective of the adaptation talks. Fourth, NATO currently maintains force levels that are far below its entitlements in every TLE category. It is certainly true that total entitlements for all NATO members would increase with the addition of new members, but the sum of the current holdings of NATO members plus the Czech Republic, Hungary and Poland would still be far below the alliance's entitlement prior to enlargement. (See Table 3.)Moreover, given the current economic conditions and budgetary pressures in NATO countries, it is difficult to imagine them expanding their arsenals so actual holdings more closely approximate actual entitlements. Fifth, Russia currently maintains lower force levels than it is allowed under the ceilings established for each category of TLE. Furthermore, the CFE Treaty only applies to Russian conventional forces west of the Ural Mountains; it has no impact on weaponry deployed outside the treaty's area of application. Russia can (if it desires) significantly increase its TLE holdings under the current treaty either by expanding its force structure in the area of application or transferring units now deployed east of the Ural Mountains. Finally, Russian officials are quick to portray their position as one of total isolation, compared to NATO's 16—and soon to be 19—members. This, however, ignores the close relations that exist between Russia and Belarus, plus the sizable CFE entitlement for the Belarusan military. (See Table 4.)

Basic Elements' for Adaptation

On July 23, the 30 states parties to the CFE Treaty announced agreement on certain "basic elements" for treaty adaptation (referred to informally as the "Basic Elements Document"), thus fulfilling one of the objectives undertaken by NATO and Russia in the Founding Act. In the Basic Elements Document, all states parties agreed that the CFE Treaty's original bloc to bloc structure was outmoded and should be replaced by national limits for all TLE categories. They also agreed that:

  • national limits should not exceed existing allocations for each country;
  • rules governing TLE in storage must be changed;
  • stabilizing measures to preclude force concentrations were required;
  • each state should adopt a territorial ceiling that equaled the total of national and stationed forces;
  • rules governing "temporary deployments" must be clarified; and
  • an accession clause should be added to the treaty.

It is clear that the Basic Elements Document represents a "lowest common denominator" agreement based on NATO's and Russia's respective proposals, and a final, adjusted treaty will require difficult negotiations. Both sides had already indicated their willingness to move toward national totals and to constrain stationed forces through the imposition of additional territorial limits. NATO and Russia had both also proposed the addition of an accession clause for new signatories. Other "elements" contained in the document simply clarify those areas that must be addressed in the adaptation talks (for example, rules for temporary deployments, stabilizing measures and new rules for stored equipment). But the "devil remains in the details" of how this effort will translate into an adjusted treaty all 30 parties can agree upon.

The true significance of the Basic Elements Document may be more political in nature, demonstrating the progress made in the adaptation process since the Madrid summit in July. Russia appears to have dropped for now its insistence on an overall alliance sufficiency rule and accepted several aspects of NATO's approach to treaty adaptation. Moscow has also suggested that it may be possible to achieve a framework agreement in time for the OSCE summit in Copenhagen in December.

Nevertheless, Russia was far more cautious in its response to this development than many in the West. Russian negotiators may well accept that these elements must be in the adjusted treaty text, but that may not mean they have fully given up on other issues such as an alliance sufficiency rule, removal of the flank limitation or expanding the definition of "combat aircraft." Furthermore, Russia continues to insist on greater limits on the deployment of NATO forces on the territories of new members, and geographic limits for aircraft and ground based TLE. Moscow may have also accepted the need for stabilizing measures, but it is very unlikely to embrace the proposed "stabilizing zone" in its current form. Finally, Russian officials appear to believe that they have made most of the concessions so far in the adaptation process, and it is now up to the West to respond.

 

Prospects in Vienna

The Vienna adaptation talks, as is true with any arms control negotiations, will not occur in a vacuum and will therefore be affected by other aspects of the Euro Atlantic security environment. For instance, some CFE Treaty signatories were upset over the manner in which the flank problem was resolved at the treaty review conference. Many observers, particularly in Europe, believe the United States became frustrated with NATO's inability to achieve consensus on a compromise and subsequently conducted bilateral negotiations with Russia. The resulting agreement was then forced on the alliance and other treaty signatories.2 There is concern in Europe that Washington might adopt this approach again if progress in the adaptation negotiations stalls. Serious disagreements among NATO members during the Madrid summit over which states should be offered NATO membership and over adjustments to the alliance's command structure are further indicators of strains within NATO.

Relations between Russia and Ukraine are also key to the achievement of an adaptation agreement. Moscow and Kiev were deadlocked over a final treaty on the Black Sea Fleet for over five years. While the military value of the TLE associated with the fleet's coastal defense and naval infantry forces is suspect, a final settlement remained a serious sovereignty issue, particularly in terms of the stationing of Russian forces on Ukrainian soil. A compromise agreement was achieved in the spring of 1997, but its final implementation will be of critical importance for Russian Ukrainian relations and prospects in Vienna. If approved by both national parliaments, the agreement could signal a new Russian policy toward the former Soviet republics.

Serious questions have also been raised by other CFE parties which might affect the Vienna talks. The Czech Republic, Hungary and Poland accepted NATO's adaptation proposal with no complaints due largely to their desire to obtain an invitation to join the alliance. These states remain somewhat skeptical, however, of the proposed stabilization zone that would place them in a separate category from other NATO members and could largely preclude the alliance from stationing forces permanently on their territories. It remains to be seen if they will continue to support NATO's proposal now that an invitation has been extended. In addition, Azerbaijan has raised repeated objections to the presence of Russian forces in Georgia and Armenia following their independence from the Soviet Union. In recent months, Azerbaijani officials have also accused Moscow of providing weapons to Armenia without announcing such transfers in accordance with existing CFE Treaty rules on data exchanges.

Finally, time itself could still become an issue. Though there is no direct link between CFE Treaty modernization and NATO enlargement, achieving an adapted treaty before the three proposed members actually enter the alliance in April 1999 is certainly a goal. Many Western officials had hoped that the framework of an adapted accord could be achieved prior to the Madrid summit, but this did not occur due largely to intense efforts to resolve many outstanding issues surrounding the NATO Russian Founding Act. While Russia did make significant concessions from its initial position for the Founding Act, some experts believe that the act would not have been concluded had Moscow not viewed CFE adaptation as the "escape valve" for any demands not satisfied. Rather than supposing that NATO negotiators will continue to say "no," Russian officials may instead believe that this increased pressure on the adaptation process will result in the sides settling their "unfinished business."

 

The Task Ahead

NATO enlargement remains a means to improve European security and not an objective by itself. In this context, efforts to adjust the CFE Treaty are simply a policy tool in this overall process and not a panacea. This endeavor is not based on Western altruism, because NATO remains in a position of strength from strictly a military perspective. Rather, it is based on the view that the foundations of European security have been inextricably altered. The NATO communiqué from the January 1994 Brussels summit that announced the alliance's enlargement clearly suggests this goal, stating: We expect and would welcome NATO expansion that would reach to democratic states to our East, as part of an evolutionary process, taking into account political and security developments in the whole. (Emphasis added.) From the perspective of NATO enlargement, CFE adaptation can make a positive contribution to the consolidation of European security if it fulfills the following requirements:

 

  • ease, to some degree, Russian concerns about NATO enlargement;
  • consider how adjustments will affect relations between NATO and its new members;
  • take into account the security concerns of the Eastern and Central European states not invited to apply for NATO membership, particularly the Baltic states and Ukraine;and
  • enhance alliance cohesion while fostering public support for enlargement.

Adjusting the CFE Treaty is critical to reducing Russian concerns over NATO enlargement. It would be a serious error to interpret Moscow's acceptance of the NATO Russian Founding Act as support for NATO enlargement. Russia's political and military elites continue to be firmly opposed to enlargement, and it remains to be seen whether the country's populist leaders will continue to trumpet their opposition as a means to broaden their support. If handled properly, an adapted agreement can offer greater security not only for Russia but for all CFE parties. Treaty revisions that consider Russia's security concerns are crucial, and must be accompanied by a coordinated effort to breathe life into the NATO Russian Founding Act as well as the agreement between the alliance and Ukraine.

The fears of prospective new members must also be considered. These countries must feel that they are entering NATO as "full" and not "second class" members. Consequently, the alliance must protect the right to deploy forces on their territories (at least for exercise purposes) while underscoring the fact that the West sees no need for the permanent stationing of large scale forces. It is important, however, to remind these states that while the collective defense guarantee is still an essential part of the alliance, the NATO of 1997 is far different from the NATO of 1987. Treaty adaptation, in concert with other efforts, will help to reshape NATO as it considers new problems of conflict prevention and cooperative security.

Obviously, an adaptation agreement is impossible absent the support of those states which do not intend or are not allowed to join NATO in the near future. Their support will be based on how well the revised treaty will improve their individual security. For the Baltic nations—and potentially the Balkan states—the possibility of acceding to the treaty will not only provide modest security assurances, but must be considered an essential preliminary step toward joining NATO in future. The move toward territorial ceilings in reality makes every country a "zone," and therefore reduces the possibility of collective large scale force concentrations in one state that are threatening to its neighbor. This move must be coupled with a mechanism to address the tough issue of stationed forces, as many former Soviet republics fear the creation of any legal basis for the potential presence of Russian troops on their territories. Furthermore, enhanced transparency measures and data exchanges should further the security of all.

Alliance cohesion throughout the adaptation process is a prerequisite as well as an objective. NATO has shown in many ways surprising solidarity in the initial eight months of the negotiations and formulation of the alliance's agreed position. Whether this cohesion will remain as the pace of the negotiations intensifies and alliance members begin to explain the logic of enlargement to their respective populations is less certain. Ultimately, the success of this process can only be measured in how well the alliance satisfies these conflicting requirements and sets a course for the future.

NOTES

1. "Final Document of the First Conference to Review Operations of the CFE Treaty and the Concluding Act of the Negotiations on Personnel Strength," Vienna, Austria, May 15 31, 1996, p. 2.

2. Paul A. Goble, "Outflanked: How Non Russian Countries View the Proposed CFE Flank Modifications," testimony prepared for a hearing of the Senate Foreign Relations Committee, April 29, 1997.

 


Table 1: CFE Treaty Entitlements/Holdings (E/H) for NATO Invitees1

Country Tanks Artillery ACVs Helicopters Aircraft
E H E H E H E H E H
Czech Republic 957 952 767 767 1,367 1,367 50 36 230 144
Hungary 835 797 840 840 1,700 1,300 108 59 180 141
Poland 1,730 1,729 1,610, 1,581 2,150 1,422 130 94 460 384
Total 3,522 3,478 3,217 3,188 5,217 4,109 288 189 870 669

1. Actual holdings as of January 1, 1997

Source: derived from individual national data contained in Dorn Crawford, Conventional Armed Forces in Europe (CFE): A Review and Update of Key Treaty Elements," Washington, DC: ACDA, January 1997

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Table 2: U.S. CFE Treaty Entitlements/Holdings

  Entitlements Holdings1
Tanks 4,006 1,115
Artillery 2,492 612
ACVs 5,372 1,849
Helicopters 431 126
Aircraft 784 220
Total 13,085 3,922

1. Actual holdings as of January 1, 1997

Source: derived from individual national data contained in Dorn Crawford, Conventional Armed Forces in Europe (CFE): A Review and Update of Key Treaty Elements," Washington, DC: ACDA, January 1997

Back to text

 


Table 3: NATO & Russian CFE Treaty Entitlements/Holdings (E/H)1

  NATO Russia NATO+32
E H E H E H
Tanks 20,000 14,101 6,400 5,541 23,522 17,579
Artillery 20,000 14,101 6,415 6,011 23,217 17,198
ACVs 30,000 21,464 11,480 10,198 35,217 25,573
Helicopters 2,000 1,221 890 812 2,288 1,410
Aircraft 6,800 4,218 3,416 2,891 7,760 4,887
Total 78,000 55,014 28,601 25,453 91,914 66,647

1. Actual holdings as of January 1, 1997

2. Sixteen NATO members plus the Czech Republic, Hungary, and Poland

Source: derived from individual national data contained in Dorn Crawford, Conventional Armed Forces in Europe (CFE): A Review and Update of Key Treaty Elements," Washington, DC: ACDA, January 1997

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Table 4: Belarusan CFE Treaty Entitlements/Holdings

  Entitlements Holdings1
Tanks 1,800 1,778
Artillery 1,615 1,533
ACVs 2,600 2,518
Helicopters 80 71
Aircraft 294 286
Total 6,389 6,186

1. Actual holdings as of January 1, 1997

Source: derived from individual national data contained in Dorn Crawford, Conventional Armed Forces in Europe (CFE): A Review and Update of Key Treaty Elements," Washington, DC: ACDA, January 1997


Colonel Jeffrey D. McCausland is director of the European Studies program at the U.S. Army War College in Carlisle, PA. The idease expressed in this article are the author's own, and are not to be considered the policy of the U.S. government

   

U.S. Arms Export Agreements Notified to Congress, 1997

From January 1 to August 31, 1997, the Clinton administration notified Congress of $3.88 billion worth of proposed government-to-government arms transfer agreements. Under the Arms Export Control Act, Congress must be notified of any proposed sale of "major defense equipment," as defined on the U.S. Munitions List, worth $14 million or more; other defense articles and services that are not defined as "major defense equipment" that total $50 million or more; and construction or design services amounting to or surpassing $200 million. Once notified, congress has 30 calendar days (15 in the case of NATO members, Australia, Japan and New Zealand) to block a sale by voting a joint rsolution of disapproval, although it has never successfully exercised this authority. The United States conducts government-to-government transfers through the Defense Department's Foreign Military Sales (FMS) program.

The Arms Control Association maintains a register of all U.S. FMS government-to-government transfer agreements notified to Congress by the Pentagon since January 1990. The register does not necessarily reflect finalized transactions and may include offers that never result in actual deliveries.

For more information contact Wade Boese

Country Total Value Weapons/Services of Note
Saudi Arabia $1.428 billion <>Maintenance and construction services in support of 5 E-3 Airborne Warning and Control Systems.

<>7 KE-3 aeriel refueling tankers.

<>1 KE-3 Tactical Air Surveillance aircraft.

<>130 90mm Turret Weapons Systems for integration into Light Armored Vehicles including chassis modification / upgrade, 130 M240 machine guns, 130 M2 .50 caliber machine guns and 169,490 rounds of 90mm ammunition.

<>Communication equipment including: 465 AN / VRC-90, 355 AN / VRC-92 and 404 AN / VRC-119 radios, 42 RT-1702C receiver transmitter, high frequency radios.

Taiwain $654 million <>54 HARPOON missiles.

<>1,786 TOW 2A anti-armor guided missiles (including 27 Lot Acceptance missiles) and 114 TOW launchers.

<>100 M1045A2 High Mobility Mult-Purpose Wheeled Vehicles.

<>21 AH-1W Super Cobra helicopters with spare and repair parts.

Japan $400 million <>Modifications and upgrade of 13 E-2C Update Group II Mission Suite retrofit kits, including AN / APS-145 Radars (Catagory XII) for existing E-2C aircraft.
South Korea $307 million <>1,065 STINGER RMP missiles less reprogrammable modules, 213 weapon rounds, 213 gripstock control group guided missile launchers, Interrogator Friend or Foe, and support equipment.
Bahrain $303 million <>20 F-16A / B aircraft with Mid-Life Update (MLU) modification kits or 10 F-16C / D aircraft.
Israel $230 million <>15 UH-60L Blachawk helicopters, 30 GE turbine engines and 4 spare engines.

<>98,745 M107 high explosive 155mm projectiles.

Thailand $140 million <>107 excess M60A3 ttanks with 105mm guns and Tank Thermal Sight capability.

<>107 .50 caliber and 7.62mm machine guns.

<>37,500 M16A2 rifles, 4,700 M4 carbines and 2,600 M203 grenade launchers.

United Arab Emirates $117 million <>24 RGM-84G-4 HARPOON missiles with containers.

<>72 RIM-7M (F1 Build) SEASPARROW missiles with 1 training missile.

Italy $116 million <>233 AIM-120B Advanced Medium Range Air-toAir Missiles.
France $85 million <>4 Electronic Suppport Measure Systems for incorporation into E-3F AWACs fleet
Turkey $75 million <>300 rounds of 40mm high explosives and 24,000 rounds of 20mm ammunition
Australia $27 million 29excess SH-2F / G LAMPS MK 1 helicopters
TOTAL $3.882 billion  

Sources: Department of Defense, ACA

U.S. Increases Worldwide Share Of Arms Deliveries, Agreements in 1996

 

Wade Boese

THE UNITED STATES dominated the conventional arms market in 1996, according to a Congressional Research Service (CRS) Report released August 13. Data measured by CRS national defense specialist Richard F. Grimmett in Conventional Arms Transfers to Developing Nations, 1989 1996, show the United States expanded its worldwide share of both arms transfer agreements and deliveries, outpacing the combined exports of the next largest suppliers: Britain and Russia.

In 1996, the total value of all agreements reached $31.8 billion (all figures in current dollars), the first increase since 1992, while the value of all deliveries increased slightly to $30.1 billion, far below the 1989 total of 45.4 billion (the peak year of the period covered by the report). Nearly three quarters (73.9 percent) of all deliveries went to developing countries in 1996, with Saudi Arabia, the largest recipient, importing arms worth $6.3 billion. Developing countries accounted for 61 percent of all agreements led by India ($2.5 billion) and Egypt ($2.4 billion).

Worldwide U.S. agreements were valued at $11.3 billion (35.5 percent the total), an increase of $2.1 billion from 1995, but only half the 1993 total of $22.4 billion. The value of U.S. agreements with developing countries rose to $7.3 billion, representing 37.5 percent of the market, up from 23.7 percent in 1995. Because the United States is the only major arms supplier that maintains two distinct export systems (government to government and commercial sales), the report includes only U.S. government to government sales, which comprise the "overwhelming portion" of all U.S. transfers, according to Grimmett.

While the value of Britain's agreements in 1996 rose from the 1995 level of $1 billion to $4.8 billion, Russian agreements plummeted from $8.2 billion to $4.6 billion. Russia, the 1995 leader in developing world agreements, saw a 12 percent decrease in agreements and only delivered $2.2 billion worth of arms to developing states, while U.S. deliveries totaled $9.5 billion.

Russia's declining share in the arms market in 1996 reflected the fact that Russia's clients have less purchasing power than the West's wealthy clients in the Middle East. Buyers are also unsure whether Moscow can supply the necessary spare parts and services to maintain equipment. Russian sales in 1996 were bolstered by an Indian purchase of 40 Su 30 fighters and a deepening relationship with China, which recently finalized a deal to co produce some 200 Su 27 aircraft with Russia. But Grimmett said Russia's real problem may surface in the long term, when Russia's failure to invest in advanced research and development could place Moscow at a competitive disadvantage.

Despite the modest increase in the arms market from 1995 to 1996, Grimmett feels that the market has reached a point of stability following the post Gulf War surge and that major purchases, such as fighter aircraft, will subside as suppliers increasingly focus on retaining traditional clients and maintaining and upgrading previously supplied equipment.

U.S. To Join 'Ottawa Process'; Will Seek Changes to Treaty

 

Erik J. Leklem

IN AN ELEVENTH HOUR effort to influence the emerging draft treaty on a global anti personnel landmine ban, the United States on August 18 announced that it would join the Canadian led "Ottawa Process" and participate in the final round of negotiations September 1 19 in Oslo, Norway. Clinton administration officials said, however, the United States would propose a number changes to the current draft text, including an exception for the stockpiling and use of anti personnel mines on the Korean Peninsula and a revision of the accord's definition of a mine so as to permit the use of some U.S. anti tank systems which incorporate anti personnel capabilities. The current draft treaty bans the production, stockpiling, transfer and use of all anti personnel mines with no exceptions.

Over one hundred countries are expected to participate in the Oslo conference, the fourth meeting in the year old effort that seeks to have a treaty ready for signature by December 1997. While several countries welcomed the U.S. decision to participate in Oslo, many ban supporters were critical of the administration's insistence on an exemption for the Korean Peninsula, arguing that such a proposal clearly violates the spirit of the treaty. Ban proponents, particularly among the international non governmental organizations that have been closely involved in the Ottawa Process, have also suggested that the proposed U.S. changes could set a precedent for other states to advance unfriendly amendments to the draft text. Under the conference's rules of procedure, any proposed change to the draft text will have to be approved by two thirds of the participating delegations. According to the State Department, U.S. officials had presented the administration's position to some 40 participating countries prior to the start of the Oslo negotiations, and these meetings generally had a "positive tone."

In addition to seeking a geographic exception for the Korean Peninsula and a revised definition of an anti personnel mine, the administration said it would also propose changes to strengthen the draft text's verification provisions, primarily enhanced information exchanges and fact finding missions. Australia is one of only a few countries that may back the United States on this point. In contrast, most states do not believe an intrusive verification regime would be economically viable. The United States will also seek the inclusion of a provision delaying entry into force until a majority of producers and users ratify the treaty or one that defers implementation of parts of the accord for nine years.

The administration's decision to negotiate at Oslo alters, at least temporarily, its January decision to pursue a global landmine ban solely at the Geneva based Conference on Disarmament (CD). (See ACT, January/February 1997.) In addition to U.S. opposition to details of the Ottawa Process's so called Austrian draft text, administration officials have said the CD is a more appropriate forum because its membership includes Russia and China, two of the world's largest producers of anti personnel landmines and critics of the Canadian led effort. (While Russia has attended some of the Ottawa meetings as an observer, China has avoided the negotiations entirely.) But the CD's continuing inability to initiate formal negotiations on a global landmine ban effectively blocked the United States from assuming a leading role in efforts to negotiate a treaty.

On August 14, the CD's new "special coordinator" on landmines, Ambassador John Campbell of Australia, said the CD would not include landmines on its agenda until after the outcome of the Ottawa Process was clear, postponing serious consideration of the issue in the CD until after the Ottawa treaty is signed.

KEDO Breaks Ground for Reactor Project

On August 19, the Korean Peninsula Energy Development Organization (KEDO) held a groundbreaking ceremony at the North Korean site where two light water reactors are to be built under the terms of the 1994 U.S. North Korean denuclearization accord. (See p. 3.) KEDO, led by the United States, South Korea and Japan, is overseeing the multi billion dollar project and the delivery of heavy fuel oil to North Korea until the first reactor is operational. In exchange for the reactors and the fuel, Pyongyang agreed to freeze and eventually eliminate its nuclear weapons program.

Over the next year, KEDO will be preparing the Kumho site near Sinpo City, and building the infrastructure to support the estimated 7,000 South Korean workers who will live in the North while the project is completed. The Korea Electric Power Company (KEPCO), the South Korean state owned company selected as the prime contractor, is currently working at the site under a $45 million preliminary works contract that includes housing, support and storage facilities, road improvements and the transport of materials and equipment. KEDO and KEPCO are still negotiating the prime contract, which is expected to be finalized this fall.

Report Criticizes Stockpile Stewardship Program

In a report released August 19, the Natural Resources Defense Council (NRDC) strongly criticized the Department of Energy's (DOE's) stockpile stewardship program, claiming that it goes beyond the stated objective of ensuring the safety and reliability of the U.S. nuclear arsenal under the Comprehensive Test Ban (CTB) Treaty. Citing numerous examples from recently declassified portions of the DOE stewardship plan, the NRDC report, entitled End Run, argues that the plan explicitly seeks to develop the capability to permit the design of advanced types of new nuclear weapons without testing. The report contends that these activities will undermine the intent of the CTB as articulated in the preamble.

DOE, on the other hand, argues that its stewardship plan is necessary to maintain the safety and reliability of the U.S. nuclear arsenal under the CTB, and will only result in minor modifications to existing nuclear weapons, not the development of new warhead designs. Speaking for the Clinton administration toward the conclusion of the CTB negotiations, Robert Bell, the senior director for defense policy and arms control at the National Security Council, said in July 1996 that "We are not seeking through our technology to acquire the means to frustrate the CTB or to find technological alternatives to build new weapons types, absent testing. We accept that the effect of the treaty will be to rule out opportunities to create new weapon types, absent nuclear testing."

SCC Parties Clear Final Hurdle For ABM-TMD 'Demarcation' Accords

 

Craig Cerniello

ON AUGUST 21, the five participating states in the Geneva based Standing Consultative Commission (SCC)—the United States, Russia, Belarus, Kazakhstan and Ukraine—completed an agreed statement on so called "higher velocity" theater missile defense (TMD) systems, marking the conclusion of nearly four years of complex negotiations to establish a "demarcation line" between permitted TMD and restricted ABM systems. The five states will now review this agreed statement as well as four other agreements concluded last year in the SCC, with the expectation that the documents will be signed at the foreign minister level in late September at the UN General Assembly.

Before the SCC agreements can enter into force, however, they must be approved by the five states according to their respective constitutional procedures. It remains unclear whether the TMD agreements are restrictive enough to placate the Russian Duma, which generally is skeptical of U.S. missile defense efforts, or too restrictive to appease the U.S. Senate, which generally is opposed to any limitations on TMD programs. Some senators may also oppose the agreement that multilateralizes the ABM Treaty, fearing that adding new states to the treaty will make amending the accord virtually impossible in the future.

Claiming that the ABM Treaty needed clarification to accommodate TMD systems in the post Cold War era, the Clinton administration initiated the demarcation negotiations in November 1993. By October 1996, the SCC had completed and prepared for signature the texts of four agreements: an agreed statement pertaining to "lower velocity" TMD systems (those with interceptor velocities of 3 kilometers per second or less); an agreement on TMD confidence building measures; a memorandum of understanding (MOU) on ABM succession; and an agreement outlining new SCC operating regulations. The signing ceremony in Geneva was canceled at the last minute, however, when Russia announced that it would not sign the agreed statement on lower velocity TMD systems until negotiations pertaining to the more controversial issue of higher velocity TMD systems (those with interceptor velocities above 3 kilometers per second) were concluded. (See ACT, October 1996.)

Presidents Bill Clinton and Boris Yeltsin resolved this issue during their March 1997 summit meeting in Helsinki, when they agreed on a set of basic principles and provisions applicable to higher velocity TMD systems. (See ACT, March 1997.) Five months later, the SCC completed an agreed statement related to higher velocity TMD systems, based on the March 21 "Joint Statement Concerning the Anti Ballistic Missile Treaty."

Under the agreed statement on lower velocity TMD systems, the five states will be permitted to deploy systems with interceptor velocities of 3 kilometers per second or less, provided that they are not tested against ballistic missile targets with velocities above 5 kilometers per second or ranges greater than 3,500 kilometers. This agreement would cover the U.S. Army's Theater High Altitude Area Defense (THAAD) system, which is scheduled to be fielded in 2006, as well as the previously deployed Russian SA 12 system.

The agreed statement on higher velocity TMD systems reiterates the ban on testing such systems against ballistic missile targets with velocities above 5 kilometers per second or ranges that exceed 3,500 kilometers. The statement also bans the development, testing or deployment of space based TMD interceptor missiles, and requires an annual data exchange of TMD plans and programs. Each side will continue to make deployment decisions on higher velocity TMD systems based on their own national compliance determinations. The United States has already declared that the Navy's Theater Wide Defense system, scheduled for deployment in 2008, is compliant with the ABM Treaty.

Broadly speaking, the agreement on TMD confidence building measures (which applies to both lower and higher velocity systems) attempts to reassure the United States and Russia that TMD systems are not being developed for national missile defense purposes. In an effort to increase the transparency of TMD activities, these confidence building measures reportedly include prior notification of TMD test launches as well as data exchanges pertaining to TMD plans, programs and production.

The MOU on ABM succession designates the United States, Russia, Belarus, Kazakhstan and Ukraine as the only parties to the ABM Treaty, thereby resolving the issue of which states would assume the rights and obligations of the former Soviet Union under the treaty. The latter four states will collectively be limited to ABM deployment at a single site.

Finally, the agreement on SCC regulations details the new procedures under which the body will operate. This agreement became necessary in light of the multilateralization of the ABM Treaty.

Britain Announces New Arms Export Policy

The Labor government of newly elected Prime Minister Tony Blair followed through on a campaign promise July 28 when it established new criteria governing arms exports. Foreign Secretary Robin Cook announced that Britain would not export arms to states that "might use them for internal repression or international aggression" and would prohibit the export of items used for torture.

Cook said that the new criteria would not be applied "mechanistically" and that other factors would be considered when evaluating arms requests. The government provoked criticism for opting not to apply the new policy to agreements made by the previous government, which allowed a controversial sale of 16 Hawk jets and 50 armored vehicles to proceed to Indonesia, a state routinely criticized for its human rights record.

A British official said that the new policy would have a limited effect on British arms sales, and that the future significance of the policy will be the greatest for states with poor human rights records. In 1996, Britain was the second largest exporter of arms in the world according to a recently released U.S. Government report. ( See p. 22.)

Clinton Ends 20-Year Ban On High-Tech Arms to Latin America

 

Wade Boese

THE CLINTON administration on August 1 rescinded a 20 year old policy of restricting transfers of advanced U.S. weapons, such as combat aircraft, to Latin America, in favor of a more lenient policy of evaluating sales on a case by case basis. Although U.S. military contractors and a few Latin American states welcomed the decision, the predominant response from Latin America was one of criticism and skepticism.

Under the new guidelines, an interagency working group, to be chaired by the undersecretary of state for arms control and international security affairs (although currently vacant, John Holum, director of the Arms Control and Disarmament Agency (ACDA), is expected to assume this position as a result of ACDA's consolidation into the State Department), will meet intermittently to review proposed arms sales and to reconcile arms sales with arms control objectives. U.S. officials insist that ultimate responsibility for restraint rests with Latin American countries, since arms purchases are domestic decisions. The administration is removing the restrictions to prevent U.S. firms from being "disadvantaged" in competition for sales in the region.

Lockheed Martin, vying for an estimated $500 million Chilean contract for approximately 20 combat aircraft, was an immediate beneficiary. The new policy permitted Lockheed to meet Chile's August 7 deadline for submission of a second set of technical specifications, which went beyond the level of information provided to Chile by Lockheed and McDonnell Douglas (manufacturer of the F/A 18) under Clinton's March authorization. (See ACT, April 1997.) Prospects for Lockheed's F 16, in the competition with aircraft such as the French Mirage 2000 5 and Russian MiG 29, would otherwise have been dim. A U.S. government official said the Chilean deadline was a "driving force" in the timing of the decision.

 

Opposition to Move

In anticipation of President Clinton's expected policy shift, congressional opponents of U.S. high tech arms sales to Latin America sought to counter the administration's move. On June 27, Senators Joseph Biden (D DE) and Christopher Dodd (D CT) introduced a bill to prohibit the sale of advanced aircraft to the region. On July 31, Representative Nita Lowey (D NY) along with 22 co sponsors introduced similar legislation in the House.

Both bills call for continued restraint to prevent the undermining of regional security. Representative Lowey issued a statement on the day of the policy reversal that the United States "must not allow McDonnell Douglas and Lockheed Martin to dictate our foreign policy."

Former President Jimmy Carter, who originally instituted the ban to limit sales to dictatorships and regimes with poor human rights records, expressed "deep disappointment" with the reversal and asked the administration to postpone any sales until the issue could be raised at the next Summit of the Americas in April 1998. Carter also advocated instituting a two year moratorium for both arms buyers and sellers, a proposal supported by the presidents of Colombia, Mexico, Paraguay and Uruguay.

Government officials and commentators throughout Latin America questioned the motives of the decision, which they see as stemming more from U.S. economic than security concerns. Colombian President Ernesto Samper said the policy shift could spark an arms race. Despite its vocal criticism of lifting the ban in past months, Argentina's response was confined to an August 20 press statement that said states should avoid the "acquisition of sophisticated armaments that lack justification in the existing climate of peace and security."

The Clinton administration is considering granting "major non NATO ally status" to Argentina. Currently, states with this status¾Australia, Egypt, Israel, Japan, Jordan, New Zealand and South Korea¾have priority in requests for excess U.S. defense articles and have close military relations with Washington. President Clinton is expected to extend this status to Argentina during an October visit to the region.

Chilean officials have voiced opposition to the U.S. establishing a "special relationship" with Argentina, saying it could upset the balance of relations among Latin American states, but have not indicated whether such a policy change would influence Chile's choice of aircraft for its modernization program.

Regardless of which aircraft Chile opts for, Robert Pastor, director of the Latin American and Caribbean Program for the Carter Center, anticipates the new Clinton policy will result in "more fragile democracies, increased tensions, and less security and stability in the region."

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