ARTICLE-BY-ARTICLE ANALYSIS OF THE PROTOCOL TO THE TREATY BETWEEN THE UNITED STATES OF AMERICA AND THE RUSSIAN FEDERATION ON MEASURES FOR THE FURTHER REDUCTION AND LIMITATION OF STRATEGIC OFFENSIVE ARMS
PART FOUR - NOTIFICATIONS
Structure and Overview
Part Four consists of seven Sections. Pursuant to Article VII of the Treaty, Part Four sets forth the requirements for notifications of certain activities involving strategic offensive arms subject to the Treaty and their related facilities. The Parties’ Nuclear Risk Reduction Centers (NRRCs) are responsible for the transmission and receipt of these notifications, unless otherwise provided for in the Treaty.
Section I provides general rules for notifications. Section II specifies the requirements for notifications concerning data with respect to the database specified in paragraph 1 of Article VII of the Treaty. This section also specifies notifications concerning prototypes, new types, and new kinds of strategic offensive arms. Section III specifies the requirements for notifications concerning movement of strategic offensive arms. Section IV specifies the requirements for notifications concerning launches of ICBMs and SLBMs and the exchange of telemetric information and supports Part Seven of the Protocol and the Annex on Telemetric Information to the Protocol. Section V specifies the requirements for notifications concerning the conversion or elimination of items and facilities subject to the Treaty and supports Part Three of the Protocol. Section VI specifies the requirements for notifications concerning inspection activities and supports Part Five of the Protocol and the Annex on Inspection Activities to the Protocol. Section VII specifies the requirements for notifications concerning activities of the BCC and additional messages and supports Part Six of the Protocol.
Section I - General Provisions
Paragraph 1 establishes that notifications will be provided in accordance with Article VII of the Treaty, Part Four of the Protocol, and the Annex on Notifications to the Protocol. The Parties have agreed in Part Eight of the Protocol to provisionally apply this paragraph from the date of signature of the Treaty.
Paragraph 2 sets forth the time and date when a notification will become effective. It also notes that Greenwich Mean Time will be used in all notifications. The Parties have agreed in Part Eight of the Protocol to provisionally apply this paragraph from the date of signature of the Treaty.
Section II - Notifications Concerning Data Pertaining to Strategic Offensive Arms
Section II contains six paragraphs that set forth the obligation of each Party to provide to the other Party notifications concerning data with respect to items for which categories of data are contained in Part Two of the Protocol and in any other agreed categories of data.
Paragraph 1 requires that each Party provide its data current as of the date of entry into force of the Treaty for each category of data contained in Part Two of the Protocol, and each Party must provide that data no later than 45 days after entry into force of the Treaty. This is the initial exchange of data and this notification is therefore provided only once. It will constitute the database for the Treaty and will subsequently be updated in its entirety every six months.
Paragraph 2 requires that each Party provide its updated data for each category of data contained in Part Two of the Protocol no later than 30 days after the expiration of each six-month period following entry into force. The first of these six-month periods begins the first day of the calendar month following the month of entry into force of the Treaty. Data accurate as of the end of the preceding six-month period must be provided. Pursuant to paragraph 3 of Article VII of the Treaty, the updates will be transmitted through the Nuclear Risk Reduction Centers.
Paragraph 3 requires that notification of an event be provided no later than five days after the occurrence of the event if such an event results in a change in data in the database or in other agreed categories of data, except for changes in data on warheads. The information provided in these notifications must be sufficient for the receiving Party to make all the requisite changes in the relevant categories of data established in Part Two of the Protocol and other agreed categories of data. The information that must be provided in the notification of the event includes the change in data, by number, and, as applicable, type, category, variant, and version of the items; the location of the items; the date on which such a change occurred; and the unique identifier, if applicable. In addition, the geographic coordinates must be specified for the location that relates to the occurrence of the event. Subparagraphs (a) through (e) provide an illustrative list of situations in which use of this notification would be required if not provided in accordance with other provisions of Part Four. Other illustrative situations where this notification would be used are: construction of a new silo-launcher of ICBMs, notification of a change in the number of non-deployed items at a facility due to the transit of an item to or from that facility, data concerning the technical characteristics of new types and variants of strategic offensive arms to be exhibited, and changes in technical data or heavy bomber distinguishing features.
Paragraph 4 is the notification of the arrival at a declared facility of the first prototype ICBM or prototype SLBM of a new type. Prototype ICBMs and SLBMs will be subject to the Treaty as non-deployed missiles. Information must be provided in the notification to assist the other Party in differentiating the prototype from existing types.
Paragraph 5 is the notification that a prototype ICBM or SLBM has reached a critical stage in its development (that is, after the twentieth flight test or 30 days before its deployment) and will be considered a new type. This notification can also be provided if the notifying Party decides to declare a new type of ICBM or SLBM before the twentieth flight test. At that point, any launchers for the new type will become subject to the limit in subparagraph 1(c) of Article II of the Treaty. Missiles of the new type will be counted under the limits in subparagraphs 1(a) and (b) of Article II as soon as they are deployed under the Treaty’s definition. In accordance with Section VII of Part Two of the Protocol, the notifying Party must provide a certain amount of information about the new type of missile including, number of stages, weight, length, diameter, and launch canister technical characteristics. The location and date for the required exhibition(s) will be provided pursuant to the notification specified in paragraph 12 of Section VI of Part Four of the Protocol.
Paragraph 6 is the notification of the cessation of development of a new type of a prototype missile and of the intention not to deploy such a missile. The information that must be provided includes the type of the prototypes and the date of the decision to curtail its development. Any prototype missiles will remain subject to the Treaty as non-deployed missiles until they are eliminated in accordance with the procedures in Part Three of the Protocol.
Paragraph 7 requires notification of the transfer of SLBMs to or from a third State in accordance with an established pattern of cooperation existing at the time of signature of the Treaty, as referred to in Article XIII of the Treaty. The number, type, date, unique identifier, and location of the transferred SLBM must be provided. This notification will be used with respect to the longstanding pattern of cooperation that existed at the time of signature of the Treaty between the United States and the United Kingdom. There is a separate notification, provided under paragraph 2 of Section III of Part Four of the Protocol that the Russian Federation will use to notify the transit of Russian ICBMs to and from the Leninsk Test Range in Kazakhstan for the purpose of conducting flight test launches from the Leninsk Test Range. Under its long-term lease arrangement with Kazakhstan, the Russian Federation maintains ownership and control over all ICBMs transported to and from the Leninsk Test Range.
Paragraph 8 provides a means for the Parties to raise or respond to questions about new kinds of strategic offensive arms. This notification relates to paragraph 2 of Article V of the Treaty and subparagraph (d) of Section I of Part Six of the Protocol, which provides for questions relating to the applicability of provisions of the Treaty to new kinds of strategic offensive arms to be resolved in the BCC.
Section III - Notifications Concerning Movement of Strategic Offensive Arms
Section III consists of six paragraphs on notifications of certain movements of ICBMs, SLBMs, and heavy bombers.
Paragraph 1 requires that a Party be notified no less than 48 hours in advance of the exit of any solid-fueled ICBM or SLBM from a production facility specified in Part Two of the Protocol. The type of ICBM or SLBM, the number of items, the unique identifier(s), and the name and coordinates of the production facility will be provided. This notification will be given in advance of the departure of the solid-fueled missile from the production facility to give the other Party the opportunity to use national technical means of verification to confirm the exit.
Paragraph 2 requires that a notification be provided no later than five days after an ICBM has moved to or from a test range located outside a Party's national territory, which a Party has used for conducting launches of ICBMs between December 5, 1994 and December 4, 2009. The practical effect of this notification is to require the Russian Federation to notify the movement of ICBMs to or from the Leninsk Test Range in Kazakhstan for the purpose of conducting test launches. Leninsk is not a declared facility under the Treaty. A missile that has made a transit to Leninsk for testing will remain listed in the database as "based" at the facility from which it departed for Kazakhstan.
The Russian Federation has a long-term lease agreement to use the ICBM test range in Leninsk, Kazakhstan to test-launch ICBMs. This arrangement is a legacy of the Former Soviet Union when Kazakhstan was part of the national territory of the Union of Soviet Socialist Republics. During the New START Treaty negotiations, the United States acknowledged this long-standing lease agreement, and, as discussed above, the Treaty requires the Russian Federation to provide notification to the United States when it transits missiles to and from the Leninsk test range. The Russian side consistently stated that, with respect to this arrangement, the Russian Federation maintains ownership and control over all strategic assets moved to the Leninsk test range. While the Russian side indicated at times during the negotiations that this long-term lease agreement between Russia and Kazakhstan was not a pattern of cooperation for purposes of Article XIII of the Treaty, the Russian side referred to this arrangement as a pattern of cooperation in its closing plenary statement. The Russian Federation made clear throughout the negotiations, however, that this arrangement does not include the transfer of strategic offensive arms to Kazakhstan. The United States does not have a test range outside its national territory and therefore will not make use of this particular notification.
Paragraph 3 requires a notification when the visit of a heavy bomber of a type subject to the Treaty to certain locations or regions exceeds 24 hours in duration. This is a change to the approach under START where visit notifications were only required for visits to other declared facilities inside national territory. The notification is required for visits to a specific location inside the national territory or to a geographic region outside of the national territory of the possessing Party when the visit exceeds 24 hours in duration.
Paragraph 4 requires a notification indicating the conclusion of the visit of a heavy bomber of a type subject to the Treaty notified pursuant to paragraph 3.
Paragraph 5 requires that a notification be provided in accordance with the Agreement Between the Government of the United States of America and the Government of the Union of Soviet Socialist Republics on Reciprocal Advance Notification of Major Strategic Exercises of September 23, 1989, 14 days in advance, of one major strategic exercise involving heavy bombers each calendar year should one or more occur. This does not, however, place any limitation on the number of major strategic exercises involving heavy bombers that a Party may conduct each calendar year. The Parties have agreed in Part Eight of the Protocol to provisionally apply this paragraph from the date of signature of the Treaty.
Paragraph 6 requires that a notification be provided no later than 48 hours after the completion of a major strategic exercise involving heavy bombers. The Parties have agreed in Part Eight of the Protocol to provisionally apply this paragraph from the date of signature of the Treaty.
Section IV - Notifications Concerning Launches of ICBMs or SLBMs and the Exchange of Telemetric Data
Section IV consists of six paragraphs. One paragraph covers launches of ICBMs and SLBMs while the remaining five paragraphs cover the exchange of telemetric information conducted in accordance with Part Seven of the Protocol and the Annex on Telemetric Information to the Protocol.
Paragraph 1 provides for the advance notification of any launch of an ICBM or SLBM in accordance with the provisions of the Agreement Between the United States of America and the Union of Soviet Socialist Republics on Notifications of Launches of Intercontinental Ballistic Missiles and Submarine-Launched Ballistic Missiles of May 31, 1988 (the Ballistic Missile Launch Notification Agreement). Data regarding telemetry broadcast frequencies and modulation types must be provided for those launches for which telemetric information may be provided to the other Party in accordance with Part Two of the Annex on Telemetric Information. While launches of ICBMs or SLBMs that are not subject to the Treaty, such as of Trident I SLBMs, are not subject to this provision, they remain subject to notification pursuant to the Ballistic Missile Launch Notification Agreement itself. The Parties have agreed in Part Eight of the Protocol to provisionally apply this paragraph from the date of signature of the Treaty. Telemetric broadcast information will not be included in notifications provided prior to entry into force of the Treaty because, in accordance with the Annex on Telemetric Information, telemetric information will only be exchanged for launches conducted after entry into force of the Treaty.
Paragraph 2 provides for the receiving Party to notify the providing Party if the recording media, telemetric information on said media, or the interpretive data for the telemetric information provided in accordance with Part Three of the Annex on Telemetric Information is incomplete or of insufficient quality. Such notification must be provided within 180 days of receipt of the specified materials.
Paragraph 3 requires the providing Party to respond within 60 days to the notification provided for in paragraph 2 of this Section.
Paragraph 4 provides for the advance notification of the providing Party to the receiving Party regarding the proposed date and place where the demonstration of telemetric recording media and playback equipment will be conducted in accordance with Part Four of the Annex on Telemetric Information. The Annex on Telemetric Information requires a demonstration of applicable recording media and telemetric information playback equipment in order to make it possible for the other Party to play back provided recordings of the telemetric information.
Paragraph 5 merges two notification provisions. The first notification contains a request from the receiving Party to the providing Party to acquire telemetric information playback equipment and spare parts for said equipment in accordance with Part Five of the Annex on Telemetric Information. The second notification is the response of the providing Party to the request, which must be provided within 30 days of receipt of the request.
Paragraph 6 also merges two notification provisions. The first notification contains a request from the receiving Party to the providing Party for maintenance or for training in the operation and maintenance of telemetry playback equipment in accordance with Part Six of the Annex on Telemetric Information. The second notification is the response of the providing Party to the request, which must be provided within 45 days of receipt of the request.
Section V - Notifications Concerning Conversion or Elimination
Section V contains notification requirements concerning the elimination of ICBMs, SLBMs, ICBM and SLBM launch canisters, and facilities; and conversion or elimination of ICBM launchers, SLBM launchers, and heavy bombers.
Paragraph 1 covers three distinct points in the conversion or elimination process. All three notifications must be provided for each item or facility converted or eliminated with the date specified for each, although several items may be notified in a single message.
Subparagraph (a) is a notification of the intent to convert or eliminate strategic offensive arms in accordance with Part Three of the Protocol and must be transmitted no less than 30 days in advance of the initiation of conversion or elimination procedures.
Subparagraph (b) is a notification of the initiation of a conversion or elimination procedure in accordance with Part Three of the Protocol and must be transmitted no later than five days after the initiation.
Subparagraph (c) is a notification of the completion of a conversion or elimination procedure in accordance with Part Three of the Protocol and must be transmitted no later than five days after the completion.
Paragraph 2 requires each Party to provide, no later than 20 days after the beginning of each calendar year, the numbers and types of strategic offensive arms scheduled for conversion or elimination during that year.
Section VI - Notifications Concerning Inspection Activities
This section consists of fourteen paragraphs dealing exclusively with inspection activities. There are notifications that are integrated with the sequence of events associated with inspections and exhibitions (paragraph 14, subparagraphs (a) through (d)) and there are notifications dealing exclusively with the administrative aspects of inspection activities (paragraphs 1 through 13).
Paragraph 1 sets the times for providing and updating the diplomatic clearance numbers for inspection airplanes.
Paragraph 2 provides for the notification of the flight plan of an inspection airplane prior to departure to the inspected Party's territory.
Paragraph 3 provides for the notification acknowledging and approving the flight plan of an inspection airplane in response to a paragraph 2 notification. As stated in paragraph 4 of Part One of the Annex on Inspection Activities, the inspected Party is required to approve the flight plan of the inspection airplane no less than three hours before its planned time of departure from the last airfield prior to entry into the inspected Party’s airspace, so that the inspection team may arrive at the point of entry by its estimated time of arrival.
Paragraph 4 requires a 30 day advance notification when the flight route of an inspection airplane is to be changed.
Paragraphs 5, 6, 7, and 8 address the lists of inspectors and aircrew members. Pursuant to paragraph 5, the initial lists of inspectors and aircrew members will be exchanged no later than 25 days after entry into force of the Treaty. Paragraph 6 provides for updates no more than once every 45 days to the initial lists of inspectors and aircrew members provided for in paragraph 5. The notification in Paragraph 7 conveys two pieces of information: 1) the agreement with or objection to inspectors or aircrew members proposed in the lists provided in accordance with paragraphs 5 and 6, and 2) an objection to an inspector or aircrew member already on the lists of inspectors and aircrew members any time during the life of the Treaty. Paragraph 8 requires the Parties to update the inspector list bi-annually to coincide with the required six-month database update.
Paragraph 9 provides an advance notification that indicates when an inspection team will arrive at the point of entry to conduct an inspection. This notification must be provided during normal working hours, no less than 32 hours before the arrival of the team.
Paragraph 10 requires the inspected Party to provide notification of the determination of agreed geographic coordinates of reference points to be used at a point of entry. The initial transmittal of geographic coordinates does not constitute agreement between the Parties until additional procedures, outlined in Section V of Part Five of the Annex on Inspection Activities, have been completed. Additionally, the notification allows each Party to provide changes, if applicable, to the agreed geographic coordinates.
Paragraph 11 is the notification of a change to site diagrams of facilities and coastlines and waters diagrams. Provisions regarding such changes are contained in paragraphs 5, 6, and 7 of Part Four of the Annex on Inspection Activities.
Paragraphs 12 and 13 are the notifications concerning the intent to conduct an exhibition of strategic offensive arms and the intent to participate in such an exhibition.
Paragraph 14 covers information that is provided by the in-country inspection team to the inspected Party. This information will not be transmitted through the respective Nuclear Risk Reduction Centers, but rather is provided in person by the inspection team leader to the in-country escort. Paragraph 14 is divided into four subparagraphs:
Subparagraph 14(a) conveys information on the type of inspection and the inspection site. Under most circumstances, this notification is provided within four hours of the arrival of the team at the point of entry. If the inspection team intends to conduct a sequential inspection without returning to the point of entry, the notification of the sequential inspection site is provided no later than the completion of the post-inspection procedures of the previous inspection.
Subparagraph 14(b) is the notification of the intent to conduct a sequential inspection. Notifications provided in accordance with subparagraphs 14(a) and 14(b) are delivered on a single notification format provided by the inspection team leader.
Subparagraph 14(c) is the notification used if the inspecting Party cancels an inspection under certain conditions as described in part Five of the Protocol.
Subparagraph 14(d) is used during certain inspections to designate an item intended for inspection and is to be provided at the inspection site after completion of pre-inspection procedures.
Section VII - Notifications Concerning Activities of the BCC and Additional Messages
Section VII consists of six paragraphs that set forth the obligation of each Party to provide notifications concerning the BCC as well as any additional Treaty messages. The Parties have agreed in Part Eight of the Protocol to provisionally apply this Section from the date of signature of the Treaty.
Paragraphs 1 and 2 concern a request to convene a session of the BCC and the response to such a request. According to paragraph 1 of Section III of Part Six of the Protocol, the response must be provided no later than 15 days after receiving such a request.
Paragraph 3 allows the Parties to provide additional messages related to activities of the BCC.
Paragraphs 4, 5, and 6 are general notifications related to a request for clarification of a previous notification; a correction, clarification, or modification of a previous notification; and an additional message concerning any topic related to the Treaty.