Comprehensive Test Ban Treaty

EIF Conference Background Document


CONFERENCE ON FACILITATING
THE ENTRY INTO FORCE
OF THE COMPREHENSIVE
NUCLEAR-TEST-BAN TREATY

CTBT-Art.XIV/1999/3

24 September 1999

Original: ENGLISH

Vienna, 6-8 October 1999

BACKGROUND DOCUMENT BY THE PROVISIONAL TECHNICAL

SECRETARIAT OF THE PREPARATORY COMMISSION FOR THE

COMPREHENSIVE NUCLEAR-TEST-BAN TREATY ORGANIZATION

PREPARED FOR THE CONFERENCE ON FACILITATING ENTRY INTO

FORCE OF THE CTBT (Vienna, 1999)


INTRODUCTION

1 . The adoption of the Comprehensive Nuclear-Test-Ban Treaty (CTBT) by the United Nations General Assembly on 10 September 1996 marked the successful
conclusion of one of the longest negotiations in the history of arms control. The Treaty was opened for signature on 24 September 1996, when 71 States signed it. It is now
approaching the status of a universal Treaty, with 153 Signatories. Forty-five States, including 21 of the 44 States whose ratification is required for the Treaty to enter into
force, have deposited their instruments of ratification with the Secretary-General of the United Nations. Several countries that have not yet signed the Treaty have agreed to host
technical installations on their territories as set out in the CTBT and will thus participate in the establishment of the verification regime envisaged under the Treaty. Sixty States
have designated their National Authorities or focal points; 84 States are accredited to the Preparatory Commission.

2. On 19 November 1996, the Secretary-General of the United Nations, as the Depositary of the CTBT, convened a meeting of States Signatories in New York. The participating States adopted Resolution CTBT/MSS/RES/1 and thereby the Text on the Establishment of a Preparatory Commission for the CTBTO (the so-called "PrepCom Document") annexed to it. The Document was developed during the final stage of the CTBT negotiations at the Conference on Disarmament. It regulates the activities of the Commission and the Provisional Technical Secretariat (PTS). According to it, the purpose of the Preparatory Commission for the CTBTO (CTBTO PrepCom) is to carry out the necessary. preparations for the effective implementation of the CTBT, and to prepare for the first Session of the Conference of States Parties to the Treaty. The Preparatory Commission has created three subsidiary bodies: Working Group A on administrative and budgetary matters; Working Group B on verification issues, and an Advisory Group on financial, budgetary and administrative matters.

THE TREATY

3. Under Article I of the Comprehensive Nuclear-Test-Ban Treaty:

"1. Each State Party undertakes not to carry out any nuclear weapon test explosion or any other nuclear explosion, and to prohibit and prevent any such nuclear explosion at any place under its jurisdiction or control.

2. Each State Party undertakes, furthermore, to refrain from causing, encouraging or in any way participating in the carrying out of any nuclear weapon test explosion or any other nuclear explosion."

3. Thus, the CTBT prohibits all nuclear test explosions, for military, or any other purpose. Unlike some of its predecessors, it covers all environments and does not set a threshold starting from which the prohibitions should apply. It is clearly stated in the preamble to the Treaty that its primary objective is to contribute effectively to the prevention of the proliferation of nuclear weapons in all its aspects and to the process of nuclear disarmament.

4. Under Article XIV, the Treaty will not enter into force until it has been signed and ratified by the 44 States listed in Annex 2 to the Treaty. This list comprises States that formally participated in the 1996 session of the Conference on Disarmament, and that possess nuclear research and nuclear power reactors according to data compiled by the International Atomic Energy Agency (IAEA). If the Treaty has not entered into force three years after the date of the anniversary of its opening for signature, a conference of those States that have already ratified it may be held to decide by consensus what measures consistent with international law may be taken to accelerate the ratification process and to facilitate the Treaty's entry into force. All States Signatories will also be invited to attend the Conference.

5. The CTBT provides for the establishment of a unique global verification regime that consists of an International Monitoring System (IMS), a consultation and clarification process, on-site inspections (OSI), and confidence-building measures (CBMs). Data from IMS stations are processed and analysed by the International Data Centre (1DC).

6. The IMS is to consist of a global network of 337 facilities: 170 seismic, 60 infrasound, 11 hydroacoustic, and 80 radionuclide stations supported by 16 radionuclide laboratories. The facilities, to be established or upgraded in some 90 countries around the world, will be capable of registering vibrations underground, in the sea and in the air, as well as detecting traces of radionuclides released into the atmosphere from a nuclear explosion. The System is designed to distinguish between nuclear explosions and some 50,000 earthquakes that it could detect each year. The stations will transmit data by a state-of-the-art global communications system (GCI) to the IDC in Vienna, where the data will be processed and analysed, and used to detect, locate and characterize events. Based on the data, the IDC will produce bulletins of events. All IMS data and IDC products will be made available to the Member States, who have the final responsibility for analysing the data. Ambiguous events could then be subject to consultation and clarification. As a final verification measure, on-site inspection is provided for in the Treaty.

7. The Treaty stipulates that the verification regime shall be capable of meeting the verification requirements of this Treaty at its entry into force. Hence, it is the responsibility of the Preparatory Commission and the PTS to ensure the timely build-up of the regime. The present report describes measures undertaken by the Preparatory Commission and the Provisional Technical Secretariat in accordance with their mandate.

INTERNATIONAL MONITORING SYSTEM
8. The PTS is responsible for deploying and maintaining the International Monitoring System (IMS). The budgets approved by the Preparatory Commission since 1997 for the installation of the verification network include the costs of the site surveys necessary to select the most appropriate locations, the purchase of the equipment, installation, and final certification as accredited IMS facilities.

9. The work on the IMS stations started in the second half of 1997 with the arrival of the first staff members. The installation of the monitoring network is proceeding at a rapid pace. By the end of 1999, a total of 241 site surveys will have been completed, corresponding to the following percentages of the site surveys needed for each of the monitoring networks: 86% of the primary seismic network, 86% of the auxiliary seismic network, 55% of the hydroacoustic, 60% of the infrasound and 66% of the radionuclide networks. The construction of sites and the installation of equipment have been contracted out at many stations. At the end of 1999, fifteen stations of the primary seismic network will meet the specifications prescribed by the Preparatory Commission and will be fully installed, as well as thirty-one auxiliary seismic stations, eight infrasound stations, and fourteen stations in the case of the radionuclide network. In addition, several stations will be in the process of construction for completion in 2000 as follows: five primary seismic stations, thirteen auxiliary seismic, eight infrasound, three hydroacoustic, and six radionuclide stations.

10. The two seismic networks are the most advanced because they have incorporated many existing stations devoted to national and international programmes of earthquake and seismic verification research. All of the infrasound stations and most of the radionuclide and hydroacoustic stations will be new. Many of the seismic stations already send data to the prototype International Data Center (pIDC) in the United States that was established as part of the Technical Test (GSETT-3) experiment conducted by the Group of Scientific Experts of the Conference on Disarmament. These and the new stations being established by the PTS are now being connected directly to the International Data Centre at the CTBTO PrepCom in Vienna via the Global Communications Infrastructure (GCI).
11. Based on the guidance provided by the Preparatory Commission, the PTS is proceeding with the installation of authentication devices that provide a digital signature on the data transmitted to the International Data Centre and assure the authenticity and accuracy of the information. Authentication and a direct connection to Vienna through GCI communications channels are a sine qua non for certification. The PTS has initiated the certification process for sixteen stations.

12. The PTS has conducted five Introductory Training Programmes for participants of the following regions: Latin America and the Caribbean (1997), Africa (1997), South East Asia, the Pacific and the Far East (1998), Middle East and South Asia (1998), and Eastern Europe (1999). Participants from the region of North America and Western Europe also took part in the last programme. These five training programmes were held in Argentina, South Africa, Japan, Kazakhstan and the Russian Federation, respectively. A total of 151 persons from technical, diplomatic and military backgrounds from 88 countries participated. Two Technical Training Programmes (TTP) have taken place in 1998 and 1999. The purpose of these programmes is to provide future operators of IMS stations with the training and knowledge necessary to operate their stations. The first part of the TTP takes place in Vienna and introduces the participants to the Treaty, the role of the Preparatory Commission and the PTS, and the verification regime. The second part of the course takes place at an IMS facility where the participants are given more in-depth technical training. Austria, Argentina, Germany, Norway, and the United States have hosted these courses. 42 participants from 25 countries attended the TTP in 1998 and 37 countries have been invited to nominate participants for the TTP in 1999.

INTERNATIONAL DATA CENTRE
13. The International Data Centre (IDC) functions as the nerve centre of the CTBT verification system. Its mission is to support the verification responsibilities of Member States by providing objective products and services necessary for effective global monitoring through the establishment and testing of facilities that will receive, collect, process, analyse, report on and archive the seismic, hydroacoustic, infrasound and radionuclide data received from IMS stations. The development of the IDC has been carefully planned, based on the operational experiences gained from GSETT-3 as well as from operations at the pIDC. The build-up of the IDC is proceeding according to a seven phase Initial Plan for the Progressive Commissioning of the IDC adopted at the Second Session of the Preparatory Commission in May 1997 (CTBT/PC/11/l/Add.2). This Plan includes the delivery and testing of the application software in four Releases. The Plan is carefully monitored by both the Preparatory Commission and Working Group B.

14. The IDC will provide its principal products within minutes to days after an event. These include integrated lists of all signals, standard event lists and bulletins, which are expected to contain data for approximately 100 to 300 seismic events per day. Screened event bulletins will filter out those events that can be attributed to natural phenomena or man-made, non-nuclear phenomena. Executive summaries will contain a summary of total events, unscreened events and the performance and operational status of the IMS and the IDC. The standard and requested services include dissemination of data or products (via subscription, requests or the web) as well as provision of expert technical analysis and data/software assistance.

15. Since the establishment of the PTS in 1997, the IDC has moved from design and planning to establishing the infrastructure and facilities of the IDC in Vienna. Some of the principal remodeling and engineering at the Vienna International Centre have involved the installation of fire detection and suppression systems, a back-up electric power system, an air-conditioning system for the computer centre, a state-of-the art operations centre, and an analysis centre. These improvements and sustained testing of the facilities have ensured that the premises are secure and capable of supporting continuous round the-clock operations.

16. The most significant technical milestone accomplished during 1998 was the successful delivery and testing at the PTS of Release 1 of the IDC application software (a complex assembly of computer programmes, parameter files, data files and database tables). Release I provided the IDC with the capability to receive continuous data from the pIDC in Arlington, Virginia, via a high-speed communications link and to produce a subset of automatic and analyst-reviewed data products. Currently, data from about 100 stations are being received at the IDC over this high-speed link.

17. Release 2, delivered in May 1999, will establish the initial IDC operational procedures that will enable the IDC to start distributing data and products and initial services to States Signatories seven days a week by January 2000. The Plan calls for undertaking full-scale testing (Release 3) by mid-2000 and for final validation and acceptance of the software (Release 4) by end of 2001. In 2000, the IDC expects to begin the process of taking over some development integration and maintenance of software from the pIDC. Examples include software to support system monitoring, authentication key generation and management, requirements and systems for continuous data services, and National Data Centre (NDC) software as well as web services.

18. All the necessary computer hardware, commercial software and public domain software systems necessary for the initial testing of the application software and software testing and maintenance (Releases 1 and 2) have been purchased, following competitive procurement rules. A minimum of seven-terabytes mass data storage systems will be procured to store all verification data for future automatic retrieval systems. Purchases of additional servers, workstations and software continue with the increase in the number of IMS stations coming on-line as well as new staff coming on board. Since 1997, approximately US$ 7.33 million has been spent on hardware purchases (including maintenance) and US$ 1.03 million for commercial software purchases. The PTS is developing a long-term strategic plan to design a common database project for its entire information technology needs. It will also install an authentication key management system and develop and maintain a consolidated web system for the PTS (including the open- and secure-access sites, IDC products and services pages).

19. The growth in IDC staff has been in line with the requirements for the implementation of the necessary infrastructure: to process and analyse data from existing IMS stations, and to provide services to States Signatories and Information Technology (IT) support to the PTS. Training in new software technologies is undertaken as new staff arrive. Emphasis has also been placed on the IDC Training Programme, the objectives of which are to increase the understanding of the functioning of the IDC as well as to enlarge the pool of possible candidates for analyst review positions. Since the Programme's inception in 1998, 27 States Signatories have provided trainees to the four training courses, of whom 17 have been subsequently recruited at the IDC. In addition, the IDC will begin in November 1999 new pilot training programmes for managerial and technical staff of NDCs on how to access and analyse IMS data and IDC products.

GLOBAL COMMUNICATIONS INFRASTRUCTURE

20. The Global Communications Infrastructure (GCI) plays a critical role in the acquisition of IMS data as well as the dissemination of that data and IDC products to States Signatories. In order to collect data from the 337 IMS facilities and distribute them together with IDC products to Member States, the PTS operates the GCI as a worldwide, closed and secure satellite communication network. The GCI provides global two-way data links from the IMS facilities, or National Data Centres (NDC), to the IDC in Vienna, and from the IDC to Member States. As many IMS stations are located in remote areas with harsh environments, the optimal and most reliable communication means for data collection are satellite links. Once it is fully operational, the GCI network is expected to carry some 11 gigabytes of data, equivalent to over 4,000 pages of information, per day.

21. Many IMS stations and NDCs are connected by VSAT (Very Small Aperture Terminal) satellite earth stations to one of four geo-stationary satellites depending on their geographical region. The satellites relay the data transmitted from the IMS stations and NDCs to one of four hubs. Hereafter the data collected at these hubs are transferred via a terrestrial Frame Relay network to the host processor at the IDC in Vienna. This data only network is closed, secure and inaccessible to any other organization.

22. A major milestone was the signing of the GCI contract in September 1998 for a ten-year lease worth US$ 70 million, which will create the first global VSAT network of its kind in the world. The contract provides for turnkey services covering the design, manufacture, delivery, installation, operation and maintenance of the global network of VSAT satellite stations. The contract has already entered the implementation stage with the acceptance of the four major hubs (two in Italy, one each in Germany and the United States) and the establishment of a GCI Integration Laboratory and Network Management System at the PTS headquarters in Vienna. As at the end of June 1999, VSAT communications at five IMS stations and five NDCs are fully operational and 43 G-CI site surveys have been completed. Between 40 and 70 VSAT installations around the world are planned in 1999.

23. As IMS stations become operational, the IDC will receive and process the data from new stations. In view of the fact that 37 NDCs have expressed their interest in receiving IMS data and IDC products, an issue on which a decision will be urgently required is the mechanism for data distribution. This is especially important because, with the installation of Release 2 software, the IDC will be in a position to start providing products and services by January 2000. Member States will thus become significant beneficiaries in terms of not only obtaining high quality data, but also possessing monitoring facilities and communications links, receiving software modules and having access to various training programmes.

ON-SITE INSPECTIONS
24. The on-site inspection (OSI) regime as defined by the Treaty is unique: every inspection will be a challenge inspection, as there are no routine inspections. Inspections are likely to consist of large field operations continued over extended periods of time, rather than to focus on a particular facility or compound over one or two days; instead of a permanent inspectorate, there would be a roster of potential inspectors nominated by Member States. Experiences and lessons from other multilateral disarmament treaties are of reference value, but the ultimate establishment of this regime will require its own method. Therefore, the Preparatory Commission has been endeavouring to define and build up its OSI capabilities according to Treaty requirements. This has involved the development of a draft concept of operations and a draft Operational Manual, designation of OSI equipment, acquisition of a limited amount of inspection equipment, and introducing OSI training and exercise programmes to develop a cadre of potential inspectors. With the guidance of experts meeting under Working Group B and in a series of OSI workshops, a concept of Treaty-permitted inspection activities is being defined.

25. Efforts are under-way to prepare the initial draft text for the Operational Manual, particularly the core chapters affecting the conduct of inspections. The initial concept of the OSI infrastructure includes an OSI Operations Support Centre, a Databank, and Equipment Storage Facilities. The Preparatory Commission is defining OSI equipment specifications for the initial inspection period. Seismic and radionuclide search and identification equipment for training and testing purposes are either in the procurement stage or awaiting an early decision by the Preparatory Commission.

26. OSI training programmes involve current exercises as well as the gradual build-up of training capabilities for the future Treaty Organization. The Preparatory Commission has conducted three Introductory Training Courses, accommodating over 100 trainees from nearly 40 States Signatories. An inspection field experiment is to be conducted in October 1999 in Kazakhstan, and the Preparatory Commission is preparing an OSI Tabletop Exercise for December. Advanced Training Courses have also been planned.

CONFIDENCE-BUILDING MEASURES
27. As set out in Article IV, section E, paragraph 68 of the CTBT, confidence building measures (CBM) are meant to accomplish two primary objectives. The first objective is to "contribute to the timely resolution of any compliance concerns arising from possible misinterpretation of verification data relating to chemical explosions." The second objective is of a more technical nature: "assist in the calibration of the stations that are part of the International Monitoring System." Part III of the Protocol to the Treaty outlines the voluntary nature of the CBM regime. The key components of this regime are data exchanges on single chemical explosions of 300 tonnes or more of TNT-equivalent blasting material. Four separate measures are envisaged: (a) individual event reporting; (b) annual event reporting; (c) site visits, and (d) calibration explosions.

28. During 1998 and 1999, Working Group B negotiated and drafted "Guidelines and Reporting Formats for the Implementation of Confidence-Building Measures". At its Ninth Session in May 1999, Working Group B recommended that the Preparatory Commission agree on the Guidelines and also on the establishment of a database on chemical explosions (CTBT/WGB-9/1, Annex IV). This would create the basic technical conditions for the implementation of the CBM regime after the entry into force of the CTBT.

EVALUATION

29. Although the evaluation of the establishment and future operation of the CTBT verification regime is not defined in specific provisions of the Treaty, the concept is being developed by the Commission and the PTS as an integral component of the verification regime. Evaluation relates to quality and efficiency, as well as to value-for-money considerations, which are all of primary interest to the States Signatories.

30. The Evaluation Programme has been developed along two basic tracks: (a) the setting up and operation of a comprehensive framework for ongoing evaluation of the verification activities; and (b) the establishment of a sustainable Quality Assurance System for the CTBT verification regime. Some of the achievements of this "evaluation package" are the definition of initial metrics for the evaluation of the monitoring activities and products; establishment of a CTBTO PrepCom Quality Assurance System; drafting of a Quality Manual for verification activities; and involvement of, and interaction with, National Data Centres in evaluation and quality assurance work. Important means of achieving these goals were use of outside expertise, especially on quality assurance issues, and topical workshops with substantial contributions by experts from States Signatories.

THE SECRETARIAT
31. The PTS commenced its work in Vienna on 17 March 1997. The total number of staff members of the Secretariat, as at 30 June 1999, was 194 from 62 countries. The recruitment policy is set out in the resolution establishing the Commission, which refers to the relevant provisions of the CTBT. Article II, paragraph 50 of the Treaty states that the paramount consideration in the employment of the staff shall be the necessity of securing the highest standards of professional expertise, experience, efficiency, competence and integrity. The Treaty further states that only citizens of States Parties shall serve in the Secretariat and that due regard shall be paid to the importance of recruiting the staff on as wide a geographical basis as possible. The Secretariat is also committed to a policy of equal employment opportunity and, as directed by the Commission, aims at improving the representation of women in Professional positions.
32. In its interaction with States, the PTS has placed emphasis on, in particular, the 44 States whose ratification is necessary for the Treaty to enter into force and States hosting IMS facilities. Preparations have been started to organize regional ratification workshops in conjunction with International Cooperation activities.

33. The Executive Secretary has regularly informed the UN General Assembly on CTBTO PrepCom activities. The PTS has developed relations with the UN, and consultations have taken place regarding a possible relationship agreement. At its Eighth Session in April 1999, the Commission took a decision authorising the Executive Secretary to negotiate with the UN Secretary-General a draft administrative agreement on the relationship between the two organizations. Contacts have also been established with relevant organizations of the UN system such as IAEA, ITU, WHO, and WMO, as well as with OPCW. At another level, the PTS has liaised with NAM, CARICOM, the League of Arab States, OAS, OAU, and OSCE. The PTS has established relations with OPANAL and has been participating in the preparatory process for the NPT 2000 Review Conference. Linkages with the academic and scientific community have also been established.

34. The PTS provides advice on legal issues affecting the Commission, its subsidiary bodies, Member States, and the Secretariat. In order to create the legal framework for the Commission to work within host States towards establishing the global verification system envisaged in the Treaty, the PTS transmitted draft consolidated facility agreements to all States that will host, or bear responsibility for IMS stations. These agreements or arrangements regulate PTS operations on the territories of these States. The process of negotiating the agreements or arrangements is ongoing, and pending their conclusion, an exchange of letters permits the Commission to undertake the necessary work.

35. International cooperation activities serve as a tool for broadening the participation of States in Commission activities and focus specifically on the least developed countries. Two International Cooperation Workshops were held, one in Vienna in November 1998 and the other in Cairo in June 1999. Additional regional workshops are being proposed. A database of scientific meetings and conferences around the world, of potential interest to researchers in the CTBT verification-related technologies, is accessible on the Commission's open Web Page.

36. Public Information developed an outreach programme, comprising the preparation of printed, Internet and audio-visual information as well as a permanent information display in the Vienna International Centre. Activities also include briefings, media relations and collaboration with States Signatories on local media coverage. A newsletter, CTBTO NEWS, is issued regularly. Filming has been completed for a video on the CTBT and the Commission's work. A Guide to the Establishment of IMS Facilities has also been prepared.

37. In the administrative area, during the initial build-up stage, the PTS took advantage of its proximity to other international organizations in the Vienna International Centre. IAEA provided PTS with financial services, while UNIDO assisted with procurement until such time as the PTS was able to take over these core functions to be more cost-effective. This has involved, among other things, the setting up of proper financial control and accounting procedures; preparation and approval of periodic financial statements; independent audit of the Commission's financial statements; and presentation of the audited financial statements to the Commission for its approval. Pursuant to the provisions of the Financial Regulations, an office of Internal Audit was established within the PTS. The Secretariat has also assumed complete responsibility for the procurement tasks of the organization.

38. The PTS continues to examine potential synergies with other organizations and enters into cooperative arrangements with them. The PTS has joined the Consultative Committee on Common Services comprising the VIC-based organizations and entered into a number of agreements with them. For "ample, an agreement on Conference Services with the United Nations Office in Vienna (UNOV) enables the PTS to make use of the linguistic services and the documents reproduction and distribution facilities of UNOV.

39. The success of the activities of the PTS is dependent on the support of States Signatories, on their participation in the work of the Commission, and on their willingness
to bear the costs. As at the middle of July 1999, the collection rate for the current years assessed contributions was 71.27%, compared to 44.91% for the same period last year.
The collection rate, which was already high as an international organization, is increasing. This is a clear sign of the support of Member States for the work of the Commission and the PTS in preparing for the entry into force of the CTBT.


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