ARTICLE-BY-ARTICLE ANALYSIS OF THE MEMORANDUM OF UNDERSTANDING
STRUCTURE AND OVERVIEW OF THE MEMORANDUM
The Memorandum of Understanding (MOU) consists of a Preamble, four Sections, and ten Annexes.
The MOU establishes the data base required to be exchanged between the Parties prior to Treaty signature pursuant to Article VIII of the Treaty, and sets forth instructions as to how specific data will be provided. Arranged by category of data, the data include the number, location, and types of ICBM launchers, SLBM launchers, heavy bombers, intercontinental ballistic missiles, submarine-launched ballistic missiles, fixed structures for mobile launchers of ICBMs, support equipment, and related facilities. The MOU also lists the technical characteristics for ballistic missile systems, mobile launchers of ICBMs, support structures, and support equipment that are limited by the Treaty, as well as the technical data for heavy bombers, former heavy bombers, and long-range nuclear ALCMs.
The initial data base, which has already been exchanged by the Parties, is the data for each of these categories of data and technical characteristics as of September 1, 1990. This date was chosen by the sides in late 1990 to permit sufficient time for data exchange and analysis of the other side's data prior to signature of the Treaty. It should be noted that inclusion of data in the MOU does not constitute agreement on such data, unless specifically noted. This permits questions on the accuracy of data to be raised by a Party without the other Party responding that such data was "agreed" and thus not susceptible to subsequent challenge.
Pursuant to paragraph 1 of Section I of the Notification Protocol to the Treaty, the initial update of all the categories and technical characteristics contained in the MOU will occur within 30 days of the entry into force of the Treaty; the data in this update are required to be effective as of the date of entry into force of the Treaty. Thereafter, pursuant to paragraph 2 of Section I of the Notification Protocol, the MOU categories and technical characteristics will be updated no later than 30 days after the expiration of each six-month period following the entry into force of the Treaty, and, pursuant to paragraph 3 of Section I of the Notification Protocol, no later than 5 days after an event that results in a change of data according to agreed categories of data.
Technical and distinguishability exhibitions of weapons systems will be conducted prior to entry into force of the Treaty, pursuant to the Parties' Agreement on Early Exhibitions. These exhibitions will enable the United States to check, by on-site observation and measurement, technical information contained in the MOU on ICBMs, SLBMs, mobile launchers of ICBMs, deployed heavy bombers, former heavy bombers, training heavy bombers, and long-range nuclear ALCMs. Exhibitions of future systems will be conducted in accordance with paragraphs 11 and 12 of Article XI of the Treaty. Some of the technical data obtained during such exhibitions can be reconfirmed during subsequent inspections. Data update inspections of facilities listed in the MOU, which can be held up to 15 times per year, will also help confirm the accuracy of data provided pursuant to the Treaty.
The volume of data exchanged by the Parties in this Memorandum of Understanding signifies a major milestone in U.S.-Soviet arms control agreements, surpassing that exchanged under the INF Treaty. Especially significant is that the MOU covers forces, equipment and facilities that constitute much of the entire strategic forces infrastructure, including facilities that are not subject to on-site inspection.
Throughout the MOU the term "NONE" is used to signify that a Party currently does not have a particular item or facility; the use of a dash (-) in the MOU signifies that the particular entry or category of data is not applicable to the Party; and the use of a blank ( ) in the MOU signifies that data currently does not exist, but that a Party agrees to provide it when it becomes available.
The START Treaty follows the normal treaty drafting practice of having the name of the United States and the U.S. data appear first in the English text, while the name of the Soviet Union and Soviet data appear first in the Russian text. The MOU is an exception to this rule. By agreement between the Parties, and in order to reduce the workload of preparing the document, U.S. data comes first, in both language texts, in Sections I and III and Annexes A, C, E, G, and I. Likewise, Soviet data comes first, in both texts, in Section II and Annexes B, D, F, and H.
The MOU Preamble states that, pursuant to and in implementation of the Treaty, the Parties have exchanged data current as of September 1, 1990, on ICBM launchers, SLBM launchers, heavy bombers, ICBMs, SLBMs, long-range nuclear ALCMs, fixed structures for mobile launchers of ICBMs, support equipment, and related facilities.
SECTION I - NUMBERS OF WARHEADS AND THROW-WEIGHT VALUES ATTRIBUTED TO DEPLOYED ICBMs AND DEPLOYED SLBMs, AND NUMBERS OF WARHEADS ATTRIBUTED TO DEPLOYED HEAVY BOMBERS
Section I sets forth the number of warheads and throw-weight values attributed to deployed ICBMs and deployed SLBMs, and the number of warheads attributed to deployed heavy bombers. This Section provides space for entering changed values for the number of warheads and throw-weight values attributed to ICBMs and SLBMs except for the SS-18, which is not permitted to be changed with respect to either value. The initial data for ICBMs and SLBMs of existing types contained in this Section is considered to be "agreed." Throw-weight is recorded to the nearest 50 kilograms in accordance with paragraph 6 of Section I of the Throw-weight Protocol.
SECTION II - AGGREGATE NUMBERS
Section II lists the data on aggregate numbers of strategic offensive arms that are limited or restricted by the Treaty. This data aggregates the data current as of September 1, 1990, contained in Annexes A, B, and C. This aggregate data includes the Soviet SS-N-17 SLBM, despite the fact that the SS-N-17 is not listed as an existing type of SLBM in paragraph 10(a)(ii) of Article II of the Treaty. The 12 SS-N-17 launchers on the single Yankee II SSBN existing on September 1, 1990, were eliminated before Treaty signature. Thus, the SS-N-17 is included throughout the MOU but will be deleted in the initial MOU update provided within 30 days after entry into force in accordance with paragraph 1 of Section I of the Notification Protocol.
SECTION III - AGGREGATE NUMBERS OF DEPLOYED ICBMs OR SLBMs TO WHICH A REDUCED NUMBER OF WARHEADS IS ATTRIBUTED
Section III sets forth the data on ICBM bases and submarine bases, and on aggregate numbers of ICBMs and SLBMs of existing types deployed at those bases, on which the number of warheads attributed is reduced pursuant to paragraph 5 of Article III of the Treaty. Section III also accounts for the downloading of all SS-N-18s (from 7 warheads to 3), and specifically allows for the future option of downloading the MM-III, as well as for the downloading of two additional types for each Party.
SECTION IV - ADDITIONAL AGGREGATE NUMBERS
Section IV lists additional aggregate numbers related to limitations provided for in the Treaty other than the central limits of Article II. The following comments are relevant:
-- Neither Party declared in the MOU transporter-loaders for road-mobile ICBMs. Such transporter-loaders are allowed but limited by paragraph 5 of Article IV of the Treaty.
-- No heavy bombers converted for use as ground trainers and no ICBM launcher, ICBM, SLBM, launch canister or heavy bomber or former heavy bomber static displays are listed. Paragraph 7 of Article IV of the Treaty limits the number of ground trainers and static displays established after signature. Existing ground trainers and static displays are "grandfathered" but are listed in paragraphs 1 and 2 of Annex I to the MOU.
-- With one exception, all of the data listed in Section IV is within the limits specified by the Treaty. That exception is the 37 Soviet fixed test launchers. Paragraph 2(d) of Article IV limits the number of fixed test launchers to no more than 25. Since this limit is effective immediately upon entry into force, the Soviet Union will be obligated to destroy 12 fixed test launchers before that time.
The penultimate paragraph provides for the provisional application of paragraphs 4 through 10 of Annex J to the Memorandum so that site diagrams and photographs can be exchanged before entry into force of the Treaty. The Parties have agreed that the Treaty and its associated documents enter into force when the Parties exchange instruments of ratification. Therefore, in accordance with Articles 24 and 25 of the Vienna Convention on the Law of Treaties which the United States recognizes as codifying existing international law on the subject, the Parties need to provide or agree on the provisional application of provisions that will be in effect prior to entry into force.
The use of this form for provisional application is virtually identical to that used in the Telemetry Protocol and JCIC Protocol. Moreover, this form follows closely that of the Protocol on the Provisional Application of Certain Provisions of the Treaty on Conventional Armed Forces in Europe of November 19, 1990.
This paragraph also sets forth that these paragraphs of Annex J are to apply for a 12-month period, unless prior to that time a Party informs the other Party of its decision to terminate the provisional application of any of these provisions, or unless the Treaty enters into force. Of course, once the Treaty enters into force these provisions have the same status as all other provisions. The 12-month limit is necessary to ensure that provisional application not continue in perpetuity. This paragraph also provides the Parties with the option to extend the period of provisional application for additional periods, subject to the same limitations that initially apply.
A final provision, like those in the Protocols, provides that, pursuant to subparagraph (b) of Article XV of the Treaty, additional measures can be agreed upon by the Parties with respect to this Memorandum to improve the viability and effectiveness of the Treaty. The Parties agree that, if changes need to be made in the Memorandum that do not affect substantive rights or obligations under the Treaty, then such changes as are agreed upon shall be made within the framework of the Joint Compliance and Inspection Commission (JCIC), without resorting to the amendment procedures set forth in Article XVIII of the Treaty.
Pursuant to Article XVII of the Treaty, the Memorandum of Understanding is deemed to be an integral part of the Treaty.
ANNEX A - ICBMs and ICBM LAUNCHERS
Annex A sets forth the numbers of deployed ICBMs and their associated launchers, non-deployed ICBMs, non-deployed mobile launchers of ICBMs, fixed structures for mobile launchers of ICBMs, and support equipment, as well as data on related facilities, by base and location. As with Annexes B and C, the beginning of the Annex contains aggregate data, which are used to carry forward the more significant totals into Sections II and IV of the MOU. Annex A also preserves formats for categories of data for which neither side has an actual entry in the initial MOU (e.g., ICBM Loading Facilities), by using a dash (-). Such a practice will be found at numerous other locations within the MOU.
ANNEX B - SLBMs AND SLBM LAUNCHERS
Annex B sets forth the numbers of deployed SLBMs and their associated launchers and non-deployed SLBMs, as well as data on related facilities, by base and location. As noted above, the SS-N-17 SLBM and Yankee II SSBN are included in the September 1, 1990, data but have since been eliminated.
Ballistic missile submarines in conversion or overhaul are listed at the base to which they are permanently assigned. This was done to avoid bringing naval shipyards under the START Treaty. Since sensitive equipment and technology could not be adequately protected during inspections at shipyards, and since submarines generally can be monitored through national technical means of verification, this approach was judged acceptable. Ballistic missile submarines operating from Holy Loch, Scotland, as well as the missile tenders supporting them, are listed under the Polaris Missile Facility, Atlantic, in Charleston, South Carolina. The United States does not regard its operations in Holy Loch as constituting "basing" within the meaning of the Treaty. In a July 31, 1991, letter from Secretary Baker to Foreign Minister Bessmertnykh, however, the United States indicated its intent to terminate operations at Holy Loch within five months of entry into force and not to establish similar facilities in the future. In his July 31, 1991 response, Foreign Minister Bessmertnykh stated that the Soviet Union would not establish facilities similar to Holy Loch in the future.
ANNEX C - HEAVY BOMBERS AND FORMER HEAVY BOMBERS
Annex C sets forth the numbers of heavy bombers and former heavy bombers, as well as data on related facilities, by base and location. Entries provide for accounting of heavy bombers equipped for long-range nuclear ALCMs up to 150 for the U.S. and 180 for the USSR, which are attributed with a fixed number of warheads that may be fewer than the number of long-range nuclear ALCMs for which the heavy bombers are actually equipped. There are no provisions for data in the MOU concerning long-range non-nuclear ALCMs. Such information is passed through notifications but is not recorded in the MOU. Paragraph 23 of Article V of the Treaty mandates segregated basing for all categories of heavy bombers. The U.S. data in this Annex does not reflect such basing, but such basing will be implemented prior to entry into force.
ANNEX D - SPACE LAUNCH FACILITIES
Annex D sets forth the numbers of ICBMs and SLBMs at space launch facilities and the locations of such space launch facilities.
ANNEX E - ELIMINATED FACILITIES
Annex E lists those facilities formerly declared in the MOU that, in accordance with paragraph 2 of Section IX of the Protocol on Conversion or Elimination, are considered eliminated for the purposes of the Treaty, and whose elimination has been notified in accordance with paragraph 3 of Section I of the Notification Protocol. By definition, no such facilities existed upon signature of the Treaty.
ANNEX F - ICBM AND SLBM TECHNICAL DATA
Annex F sets forth the technical characteristics of ICBMs and SLBMs, mobile launchers of ICBMs, and related support equipment. These technical characteristics will be checked during exhibitions of such items prior to entry into force of the Treaty, and, for future items, during subsequent exhibitions. Annex 11 to the Inspection Protocol, as well as paragraphs 13, 14, 15, and 16 of Annex J to the MOU, are related to how measurements will be taken during such exhibitions.
ANNEX G - HEAVY BOMBER TECHNICAL DATA
Annex G sets forth the technical characteristics of heavy bombers and former heavy bombers, to include distinguishing features between variants of a type and category of heavy bomber. The procedures for checking such characteristics are contained in Annex 4 to the Inspection Protocol. Annex G provides for technical characteristics and distinguishing features on heavy bombers equipped for long-range nuclear ALCMs, and distinguishing or recognition features, but not technical characteristics, for other categories of heavy bombers. Such distinguishing or recognition features are used to demonstrate under which classification an airplane is counted under the Treaty counting rules.
ANNEX H - LONG-RANGE NUCLEAR ALCM TECHNICAL DATA
Annex H sets forth the technical characteristics of long-range nuclear ALCMs. The procedures for checking such characteristics are contained in Annex 4 to the Inspection Protocol.
ANNEX I - OTHER DATA REQUIRED BY THE TREATY
Annex I is organized to capture a variety of lists related to Treaty implementation. This includes data on the number and location of static displays related to ICBMs, SLBMs, and heavy bombers, and heavy bombers and former heavy bombers converted for use as ground trainers, in existence at the time of signature of the Treaty that are not subject to the limitations provided for in subparagraphs 7(a) and 7(b) of Article IV of the Treaty. This Annex also lists the names and locations of facilities subject to continuous monitoring and monitored facilities; all production and storage locations of solid rocket motors for the first stage of an ICBM for mobile launchers of ICBMs, subject to the limitations contained in paragraph 10 of Article IV of the Treaty; the testing locations of solid rocket motors of first stages (with or without nozzles attached) for ICBMs for mobile launchers of ICBMs, subject to the limitations contained in paragraph 10 of Article IV of the Treaty; and the locations where static testing occurs for first stages of ICBMs or SLBMs not subject to the limitations contained in subparagraph 1(a) of Article IV of the Treaty, for missiles that are maintained, stored, and transported as assembled missiles with or without launch canisters pursuant to subparagraphs 3(b) and 3(c) of Article III of the Treaty. Additionally, Annex I records the names of ICBMs, SLBMs, submarines, heavy bombers, former heavy bombers, other airplanes, ALCMs, and, where applicable, variants referred to in the Treaty, its Protocols, the MOU, and Annexes, as they are known by the Parties; the points of entry for inspection sites and facilities subject to continuous monitoring or monitored facilities; the routes for flights of inspection airplanes to the points of entry; the ports of the U.S. where special purpose submarines are based; and the facilities subject to suspect-site inspection. Subsequent to Treaty signing the United States proposed updated flight routes to avoid the independent Baltic states.
The designators for Bison A and Bison B given in paragraph 8 of Annex I are reversed. Bison A is the correct U.S. designator for the Soviet M-4 airplane and Bison B is the correct U.S. designator for the Soviet 3MS-2 airplane. The Soviet Union is being informed of this error.