Working Paper by the Russian Federation : The Investigation of the Alleged Use of Biological Weapons (WP.217)
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BWC/AD HOC GROUP/WP.217
15 September 1997
Original : ENGLISH
________________________________________________________________________________
Eighth session
Geneva, 15 September - 3 October 1997
Working paper submitted by the Russian Federation
1. INVESTIGATIONS OF THE ALLEGED USE OF BIOLOGICAL WEAPONS
(A) INVESTIGATION REQUEST
Information to be submitted with a request for an investigation
1. A request for an investigation in connection with the alleged use of biological weapons shall contain at least the following information:
(a) The name of the State Party in whose territory or under whose jurisdiction or control the alleged use occurred;
(b) The approximate date and time of the alleged use;
(c) The name of the area and the geographical coordinates of the place of the alleged use and its position relative to another known place;
(d) The nature of the effect on humans/animals/plants and the number(s) affected (Descriptions shall be given of the symptoms and signs of disease and of the results of treatment);
(e) The biological agent/toxin believed to have been employed in the use;
(f) The types of samples identified and the results of their study;
GE.97064203 (E)
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(g) Information on the weapon, equipment or means of delivery employed;
(h) Any epidemiological data supporting the assertion that the event should not be considered a natural outbreak of disease;
(i) Information from, and/or the outcome or results of prior consultations/clarifications relevant to the request;
(j) Other corroborative information;
(k) Requests for specific assistance, if applicable.
Issue of inspection mandate
2. Inspections should have a clear and specific mandate, which shall be strictly observed by the inspection team.
3. The mandate for an inspection shall be issued by the Technical Organ.
4. The mandate for an inspection shall be made available by the inspection team to the receiving State Party upon the team's arrival at the point of entry.
5. The mandate shall contain:
(a) The decision of the Consultative Council on the making of an inspection;
(b) The name of the State Party in whose territory the inspection is to be made;
(c) The name of the area and the geographical coordinates of the place where the inspection is to be made;
(d) The planned types of activity of the inspection team;
(e) The name of the head of the inspection team;
(f) The names of the members of the inspection team;
(g) A list of the equipment that it is proposed to use in the inspection area.
6. If the Consultative Council's decision necessitates the modification of the inspection mandate, the Technical Organ may update the mandate with respect to subparagraphs (d) and (g) as appropriate. The Technical Organ shall notify the receiving State Party immediately of any such modification.
Notification
7. The Technical Organ shall, not less than [...] hours before the planned arrival of the inspection team at the point of entry, transmit the request to the receiving State Party.
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8. The notification shall contain the following information:
(a) The point of entry;
(b) The date and estimated time of arrival of the inspection team at the point of entry;
(c) The means of arrival at the point of entry;
(d) The precise location of the area to be inspected;
(e) The names of the inspectors.
9. The receiving State Party shall acknowledge receipt of the notification no later than [...]hours after having received the notification.
Time-frame for an investigation
10. The inspection team shall arrive at the point of entry specified in the notification in accordance with the agreed procedures for notification.
11. A receiving State Party that has been notified of the arrival of an inspection team shall ensure the team's immediate entry into its territory and, by escorting it within the country or other means, shall do everything in its power to ensure the safe conduct of the inspection team and the approved equipment from the point of entry to the place of the inspection.
12. The period of the inspection shall not exceed [...] hours.
13. Upon completion of the inspection, the inspection team shall leave the territory of the receiving State Party as soon as possible.
B. PRE-INSPECTION PROCEDURES
Designation of the area under inspection
14. The area for inspection shall be specified as precisely as possible by the requesting State Party by the provision of a map of the area that indicates precisely the points where the signs of the alleged use of biological weapons were observed.
15. The receiving State Party shall transport the inspection team to the boundary of the area to be investigated. Transportation shall be completed no later than [...] hours after the arrival of the inspection team at the point of entry.
Appointment of the inspection team
16. The Technical Organ shall determine the size of the inspection team and select the head and members of the team from among qualified experts nominated to conduct inspections and the members taking into account the circumstances and particular features of the inspection concerned. The size of the inspection team shall be kept to the minimum necessary for the proper fulfilment of the inspection mandate, but shall not in any event exceed [...] persons. No national of the
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requesting State Party shall be a member of the inspection team.
C. ACTIVITIES UPON ARRIVAL OF THE INSPECTION TEAM AT THE POINT OF ENTRY
Inspection of equipment
17. The list of approved equipment for each specific type of investigation shall be reviewed and approved by the Conference.
18. The receiving State Party shall have the right, without prejudice to the specified time-frame, to inspect the equipment at the point of entry in the presence of the inspection team, i.e. to check the nature of the equipment brought into or taken out of the territory of the receiving State Party. To facilitate such identification, the Technical Organ shall attach documents and devices attesting that the equipment is the equipment selected and approved by it. The inspection of equipment shall also confirm to the satisfaction of the receiving State Party that the equipment in question corresponds to the description of equipment approved for the type of investigation concerned. The receiving State Party may detain equipment not corresponding to that description or equipment not having the abovementioned authenticating documents or devices. The procedures for the inspection of equipment shall be examined and approved by the Conference.
19. In cases where the inspection team deems it necessary to use equipment present on the spot that does not belong to the Technical Organ and requests the receiving State Party to allow it to use such equipment, the receiving State Party shall as far as possible satisfy that request.
Pre-inspection briefing
20. The receiving State Party shall give the team a pre-inspection briefing, the duration of which shall not normally exceed three hours. The briefing shall include information concerning the safety regulations in force, including rules of observation and quarantine, a medical examination of the members of the inspection team and documentary evidence that they have been vaccinated. The briefing shall include communication of the geographical features of the area and may also include an indication of sections which the receiving State Party considers are not relevant to the purpose of the inspection.
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Inspection plan
21. After the pre-inspection briefing, the inspection team shall prepare an initial inspection plan specifying the activities to be carried out by the team, including the specific sections of the area to which access is desired, and whether the team intends to divide into subgroups. The inspection team may not divide into more than two subgroups unless otherwise agreed by the investigated State Party,. The plan shall be made available to the receiving State Party prior to the commencement of the inspection.
D. CONDUCT OF INSPECTIONS
Managed access
22. The inspection team could, with the consent of the receiving State Party, have access to all such areas that might have been affected, including hospitals, refugee camps and other places, as it considers necessary for the effective conduct of its inspection without interfering with national measures to contain and remedy the consequences of the alleged use of biological weapons.
23. The receiving State Party shall have the right within the framework of managed access to take such measures as it considers necessary to protect sensitive national security or commercial proprietary information. This may include the restriction of access to any particularly sensitive facility, section or information not related to the content of the request.
24. The extent and nature of access to a specific place or places shall in such cases be agreed through negotiations between the inspection team and the receiving State Party on the basis of managed access in order to enable the inspection team to fulfil its mandate.
25. The receiving State Party shall have the right, in accordance with the obligation to demonstrate compliance and the right if necessary to protect sensitive information, to take specific measures which may include, but are not limited to, the following:
(a) Removal of sensitive papers from direct view;
(b) Shrouding of sensitive displays, stores and equipment;
(c) Shrouding of sensitive pieces of equipment, such as computer or electronic systems;
(d) Logging-off of computer systems and turning-off of data indicating devices;
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(e) Use of random selective access techniques, whereby the team is requested to select a given percentage or number of buildings of its choice to inspect; the same principle can apply to the interior and content of sensitive buildings or documents;
(f) In exceptional cases, limiting the number of team members who have access to certain parts of the site, and limiting the viewing angle;
(g) Limiting the time inspection team members may spend in any area or building, while allowing the team to fulfil its mandate;
(h) The receiving State Party may at any time during the inspection indicate products and processes in which it has a proprietary interest in order to help the team respect the inspected State Party's right to safeguard proprietary information. It may request that, if a specific piece of information is released to the team, it be accorded the most stringent protection.
Implementation by the inspection team of specific on-site activities
26. The inspection team may conduct the following activities: interviewing, visual observation, identification of key equipment, sampling and identification.
Interviewing of eye-witnesses
1. The inspection team could, with their agreement, interview persons who had witnessed a specific event or who could provide information on a series of incidents that might be used as information in the investigation.
2. The interviews should take place in the presence of representatives of the State Party in whose territory the investigation is conducted.
Interviewing of potentially exposed humans and of owners of potentially exposed plants and animals
1. The inspection team could, with their agreement, interview humans or personnel responsible for plants or animals potentially exposed to BTW in order to establish how the exposed humans, plants or animals were affected.
2. The interviews should take place in the presence of representatives of the State Party in whose territory the inspection is conducted.
3. The inspection team could request information relevant to the inspection which is necessary to fulfil its mandate. If required, interpretation could be provided by the inspection team or, where requested, by the State Party.
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Interviewing of officials/personnel
1. The inspection team could, with their agreement, interview any relevant personnel, such as national/local government officials, personnel of any involved institution, hospitals/medical facilities, etc, in the presence of a representative of the State Party.
2. Advance notice of the interviews should be given.
3. The inspection team should only request information and data relevant to the incident under investigation which is necessary for the conduct of the inspection.
4. If required, interpretation could be provided by the inspection team or, where requested, by the State Party.
Visual observation
1. The inspection team could visually observe relevant areas in order to obtain information which could be relevant to the inspection.
2. All necessary precautions should be taken to ensure the health and safety of the inspection team. The inspection team should be accompanied by representatives of the receiving State Party.
Sampling and identification
1. The inspection team could take and evaluate, where appropriate, environmental samples, samples of affected plants, samples of munitions or devices or of remnants of munitions or devices in order to conduct tests for the presence of pathogens or toxins included in the List.
2. All sampling should be conducted according to agreed procedures and methods and transport should be performed according to the required safety standards.
3. Analysis should be carried out in the territory of the State Party where the inspection is being made and only in the presence of a representative of the State Party.
Communications
27. The inspection team shall have the right to use its own two-way radio system between its members.
Extension of the inspection site
28. If, during an inspection, the team considers it necessary to extend the inspection to a neighbouring State, the inspection should be conducted in accordance with the uniform procedures of initiation and conduct of
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inspections and in accordance with the Charter of the United Nations and the applicable rules of international law. The Secretary-General of the United Nations or other appropriate persons/organizations could notify the State Party of the need for access to its territory. The consent of the other State
Party would be required. The extent of any such access would be agreed between the parties involved.
Extension of inspection duration
29. If the inspection team considers that safe access to a specific area relevant to the inspection is not possible, the requesting State Party shall be informed immediately. If necessary, the period of inspection may, with the agreement of the requesting State Party, be extended until the inspection team has concluded its mission.
Measures to guard against abuse during an inspection
30. Inspectors shall, in accordance with the relevant rules laid down in international law, be liable to physical or juridical persons for any intentional or accidental damage resulting from unlawful actions on their part, including the leaking of confidential information that becomes known to them in the course of inspection work.
E. POST-INSPECTION PROCEDURES
Initial report
31. No later than [...] hours after the completion of an inspection, the inspection team shall meet with representatives of the receiving State Party with a view to examining the team's initial report and clarifying any remaining ambiguities. The team shall provide its initial report in written form, together with a list of the information, data and other material which it is intended to take outside the State. This document shall be signed by the team leader. In order to indicate that the representatives of the receiving State Party have been given sight of the contents of the initial report, the representatives of the receiving State Party shall countersign the report.
32. In accordance with the applicable principles of managed access and without prejudice to the obligation of the receiving State Party to allow the inspection team to fulfil its mandate, the receiving State Party may place restrictions on request that restrictions be placed on or deny altogether the removal of documents or other materials if it deems this necessary to protect
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commercial proprietary or national security information. The receiving State Party shall have the right to request the removal from the initial report of any information unrelated to the investigation mandate.
Departure
33. Following completion of the inspection, the team shall depart from the territory of the receiving State Party in the minimum time possible via the point of entry.
Final report
34. The report shall summarize the activities conducted by the inspection team and its factual findings, particularly with regard to the concern regarding probable use of BW against the State Party that requested the investigation. It shall also include an assessment by the team of the degree and nature of access and cooperation granted to the team and the extent to which this enabled it to fulfil the inspection mandate.
35. The final inspection report shall immediately be made available to the receiving State Party. There shall be attached to it any written comments that the receiving State Party may at once make concerning the findings contained in it. The final report, together with the attached comments by the receiving State Party, shall be transmitted to the Technical Organ no later than [...] days after the completion of the inspection.
36. In the event that uncertainties identified by the inspection team persist or that the cooperation afforded by the receiving State Party is considered not to have met the required standards, the Technical Organ shall promote the holding of consultations for the purpose of obtaining further clarifications.
37. If the uncertainties cannot be removed or if the established facts are of a nature to imply that there was use of BW, the Technical Organ shall convene the Consultative Council to examine the final report.
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II. INVESTIGATION OF ANY OTHER ALLEGED BREACH OF OBLIGATIONS UNDER THE PROVISIONS OF THE CONVENTION
(A) INVESTIGATION REQUEST
Information to be submitted with a request for an investigation
1. A request for an investigation in connection with non-compliance with the Convention shall contain at least the following information:
(a) The State Party in whose territory or under whose jurisdiction or control the activity connected with non-compliance with the Convention occurred;
(b) The concern as to possible non-compliance with the Convention, including identification of the relevant provisions of the Convention in connection with which the concern has arisen;
(c) The geographical coordinates and boundaries of the area of the event which gave rise to the concern, specified to the nearest second, if possible;
(d) The approximate period during which the non-compliant activity or event is alleged to have taken place;
(e) Information from, and/or the outcome or results of prior consultations/clarifications of or a prior investigation of alleged use of biological weapons relevant to the request;
(f) Any additional information in support of the
request.
Issue of inspection mandate
2. Inspections should have a clear and specific mandate, which shall be strictly observed by the inspection team.
3. The mandate for an inspection shall be issued by the Technical Organ.
4. The mandate for an inspection shall be made available by the inspection team to the investigated State Party upon the team's arrival at the point of entry.
5. The mandate shall contain:
(a) The decision of the Consultative Council on the making of an inspection;
(b) The name of the State Party to be inspected;
(c) The location and boundaries of the facility to be inspected;
(d) The planned types of activity of the inspection team at the facility;
(e) The name of the head of the inspection team;
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(f) The names of the members of the inspection team;
(g) A list of the equipment that it its proposed to use in the inspection area.
6. If the Consultative Council's decision necessitates the modification of the inspection mandate, the Technical Organ may update the mandate with respect to subparagraphs (d) and (g) as appropriate. The Technical Organ shall notify the inspected State Party immediately of any such modification.
Notification
7. The Technical Organ shall, not less than [...] hours before the planned arrival of the inspection team at the point of entry, transmit the request to the inspected State Party.
8. The notification shall contain the following information:
(a) The point of entry;
(b) The date and estimated time of arrival of the inspection team at the point of entry;
(c) The means of arrival at the point of entry;
(d) The precise location of the facility;
(e) The names of the inspectors.
9. The inspected State Party shall acknowledge receipt of the notification no later than [...]hours after having received the notification.
Time-frame for an investigation
10. The inspection team shall arrive at the point of entry specified in the notification in accordance with the agreed procedures for notification.
11. An inspected State Party that has been notified of the arrival of an inspection team shall ensure the team's immediate entry into its territory.
12. The period of the inspection shall not exceed [...] hours.
13. Upon completion of the inspection, the inspection team shall leave the facility and the territory of the inspected State Party as soon as possible.
B. PRE-INSPECTION PROCEDURES
Designation of the facility for inspection
14. The facility for inspection shall be designated by the requesting State Party as precisely as possible by the provision of a site diagram related to a reference point, with geographical coordinates specified to the nearest second
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if possible. Whenever feasible, the requesting State Party shall also submit a map specifying the facility for investigation, which shall also include the facility's requested perimeter.
15. The perimeter of the facility for investigation shall:
[...].
16. If the perimeter does not conform with the specifications of paragraph 15, it shall be redrawn by the inspection team in consultation with the inspected State Party to ensure that it conforms with that provision.
17. If the requested perimeter is acceptable to the inspected State Party, it shall be designated as the final perimeter as early as possible, but in no case later than [...] hours after the arrival of the inspection team at the point of entry. The inspected State Party shall transport the inspection team to the final perimeter. If the inspected State Party deems it necessary, such transportation may begin up to [...] hours before to the expiry of the time period specified in this paragraph for the designation of the final perimeter. Transportation shall in any case be completed not later than [...] hours after the arrival of the inspection team at the point of entry.
Appointment of the inspection team
18. The Technical Organ shall determine the size of the inspection team and select the head and members of the team from among qualified experts nominated to conduct inspections and the members taking into account the circumstances and particular features of the inspection concerned. The size of the inspection team shall be kept to the minimum necessary for the proper fulfilment of the inspection mandate, but shall not in any event exceed [...] persons. No national of the requesting State Party or national of the inspected State Party shall be a member of the investigation team.
Securing of the site
19. Upon its arrival at the facility under inspection, the inspection team shall have the right to begin securing the site, by which is meant the implementation by the inspection team of exit monitoring procedures. Such procedures shall include: the identification of vehicular exits, the making of traffic logs, the taking of photographs, and the making of video recordings of exits and exit traffic by the inspection team. The inspection team shall have the right to go, under escort, to any other part within the agreed perimeter to check that there is no other exit activity.
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20. All activities for securing the facility and exit monitoring shall take place within a band around the outside of the perimeter.
21. The inspection team shall have the right to inspect on a managed access basis vehicular traffic exiting the facility. The inspected State Party shall make every reasonable effort to demonstrate to the inspection team that any vehicle subject to inspection to which the inspection team is not granted full access is not being used for purposes related to the possible non-compliance concerns raised in the investigation request.
22. Neither personnel or vehicles entering the grounds of the facility nor personnel or private cars exiting the site shall be subject to inspection.
23. The application of the above procedures may continue for the duration of the inspection, but shall not unreasonably hamper or delay the normal operation of the facility.
C. ACTIVITIES UPON ARRIVAL OF THE INSPECTION TEAM AT THE POINT OF ENTRY
Alternative designation of final perimeter
24. At the point of entry, if the inspected State Party cannot accept the requested perimeter, it shall propose an alternative perimeter as soon as possible, but in any case no later than [...] hours after the arrival of the inspection team at the point of entry. In case of differences of opinion, the inspected State Party and the investigation team shall engage in negotiations with the aim of reaching agreement on a final perimeter.
25. The alternative perimeter should be designated as specifically as possible in accordance with paragraph 15. It shall include the whole of the requested perimeter and should, as a rule, bear a close relationship to it, taking into account natural terrain features and man-made boundaries. It should normally run close to the surrounding security barrier if such a barrier exists. The inspected State Party should seek to establish such a relationship between the perimeters by a combination of at least two of the following means:
(a) An alternative perimeter that does not extend to an area significantly greater than that of the requested perimeter;
(b) An alternative perimeter that is a short, uniform distance from the requested perimeter;
(c) At least part of the requested perimeter is visible from the alternative perimeter.
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26. If the alternative perimeter is acceptable to the inspection team, it shall become the final perimeter and the inspection team shall be transported from the point of entry to that perimeter. If the inspected State Party deems it necessary, such transportation may begin up to [...] hours before to the expiry of the time period specified in paragraph 24 for proposing an alternative perimeter. Transportation shall, in any case, be completed not later than [...] hours after the arrival of the inspection team at the point of entry.
27. If a final perimeter is not agreed, the perimeter negotiations shall be concluded as early as possible, but in no case shall they continue for more than [...] hours after the arrival of the inspection team at the point of entry. If no agreement is reached, the inspected State Party shall transport the inspection team to a location at the alternative perimeter. If the inspected State Party deems it necessary, such transportation may begin up to [...] hours before the expiry of the time period specified in paragraph 24 for proposing an alternative perimeter. Transportation shall, in any case, be completed not later than [...] hours after the arrival of the inspection team at the point of entry.
28. Once at the facility, the inspected State Party shall provide the inspection team with prompt access to the alternative perimeter to facilitate negotiations and agreement on the final perimeter and access within the final perimeter.
29. If no agreement is reached within [...] hours after the arrival of the inspection team at the facility, the alternative perimeter shall be designated the final perimeter.
Inspection of equipment
30. The list of approved equipment for each specific type of investigation shall be reviewed and approved by the Conference.
31. The inspected State Party shall have the right, without prejudice to the specified time-frame, to inspect the equipment at the point of entry in the presence of the inspection team, i.e. to check the nature of the equipment brought into or taken out of the territory of the inspected State Party. To facilitate such identification, the Technical Organ shall attach documents and devices attesting that the equipment is the equipment selected and approved by it. The inspection of equipment shall also confirm to the satisfaction of the
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inspected State Party that the equipment in question corresponds to the description of equipment approved for the type of investigation concerned. The inspected State Party may detain equipment not corresponding to that description or equipment not having the abovementioned authenticating documents or devices. The procedures for the inspection of equipment shall be examined and approved by the Conference.
32. In cases where the inspection team deems it necessary to use equipment present on the spot that does not belong to the Technical Organ and requests the inspected State Party to allow it to use such equipment, the inspected State Party shall as far as possible satisfy that request.
Pre-inspection briefing
33. Prior to granting it access, the inspected State Party shall give the inspection team a pre-inspection briefing, the duration of which shall not normally exceed three hours. The briefing shall include information concerning safety regulations in force in the facility, including rules of observation and quarantine, a medical examination of the members of the inspection team and documentary evidence that they have been vaccinated. The briefing should wherever possible include a windshield tour of the site. It shall include communication of the facility's boundaries and a general description of its activities, details of the physical layout and other relevant characteristics of the facility (including a map or sketch showing all structures and significant geographical features). It may also include an indication of areas the inspected State Party considers sensitive or not relevant to the purpose of the inspection.
Inspection plan
34. After the pre-inspection briefing, the inspection team shall prepare an initial inspection plan specifying the activities to be carried out by the team, including the specific sections of the facility to which access is desired, and whether the team intends to divide into subgroups. The inspection team may not divide into more than two subgroups unless otherwise agreed by the inspected State Party,. The plan shall be made available to the inspected State Party prior to the commencement of the inspection.
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D. CONDUCT OF INSPECTIONS
Managed access
35. Pursuant to the provisions of the present Protocol, the inspected State Party shall have:
(a) The right and obligation to make every reasonable effort to demonstrate its compliance with this Protocol and to that end to enable the inspection team to fulfil its mandate;
(b) The right to take such measures as it deems necessary to protect national security interests and prevent the disclosure of confidential information that is not relevant to the purpose of the inspection;
(c) The obligation to provide access within the inspected facility for the sole purpose of establishing facts relevant to the purpose of the inspection, taking into account subparagraph (b) and any constitutional obligations it may have with regard to proprietary rights;
(d) The obligation not to use this paragraph of the Protocol to conceal any breach of its obligations under article 1 of the Convention;
(e) The obligation not to hinder the inspection team's movement within the inspected facility or performance of inspection work in accordance with the present Protocol.
Access in the context of a given type of inspection shall mean both physical access for the inspection team and inspection equipment to the inspected facility and the conduct of inspection work within the facility.
36. An on-site inspection shall be conducted in the least intrusive manner possible consistent with the effective and timely implementation of the inspection mandate and in accordance with the procedures set out in the Protocol. Whenever possible, an inspection shall begin from the least intrusive procedures and proceed to more intrusive procedures only if that is deemed necessary for collecting reliable information with a view to resolving a concern as to possible non-compliance with the Convention. The inspection team shall strive to obtain only such information and data as are necessary for the purpose of the given inspection and shall try to keep to a minimum interference in the normal operations of the inspected State Party.
37. The inspected State Party shall afford assistance to the inspection team throughout its on-site inspection and shall facilitate the fulfilment by the team of its mission.
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38. If the inspected State Party restricts access within the inspected facility, it shall, in consultation with the inspection team, make every reasonable effort to demonstrate by alternative means its compliance with the present Protocol.
39. The inspected State Party shall have the right, in accordance with the obligation to demonstrate compliance and the right if necessary to protect sensitive information, to take specific measures which may include, but are not limited to, the following:
(a) Removal of sensitive papers from direct view;
(b) Shrouding of sensitive displays, stores and equipment;
(c) Shrouding of sensitive pieces of equipment, such as computer or electronic systems;
(d) Logging-off of computer systems and turning-off of data indicating devices;
(e) Use of random selective access techniques, whereby the team is requested to select a given percentage or number of buildings of its choice to inspect; the same principle can apply to the interior and content of sensitive buildings or documents;
(f) In exceptional cases, limiting the number of team members who have access to certain parts of the site, and limiting the viewing angle;
(g) Limiting the time inspection team members may spend in any area or building, while allowing the team to fulfil its mandate;
(h) The inspected State Party may at any time during the inspection indicate products and processes in which it has a proprietary interest in order to help the team respect the inspected State Party's right to safeguard proprietary information. It may request that, if a specific piece of information is released to the team, it be accorded the most stringent protection.
Implementation by the inspection team of specific on-site activities
40. The inspection team may conduct the following activities: interviewing, visual observation, identification of key equipment, sampling and identification.
Interviewing
1. The inspection team could interview any relevant personnel in the presence of representatives of the inspected State Party.
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2. Interviews should be conducted in such a way as to avoid hindering unduly the work of the facility.
3. The inspection team should only request information and data relevant and necessary to the fulfilment of its inspection mandate.
4. Those interviewed could have the right to refuse to answer any questions to protect commercial proprietary and national security information.
5. In conducting interviews, the inspection team could make use of, but not be limited solely to questions relating to declarations and to agreed lists of biological agents and toxins, their threshold quantities and equipment.
6. The inspected State Party shall have the right to object to questions posed to the facility personnel if it deems that those questions are not relevant to the inspection or impinge on sensitive national security or commercial proprietary data. If the inspection team leader nonetheless continues to believe that these questions are relevant and should be answered, he may submit them in writing to the inspected State Party for reply, together with an explanation of their relevance to the inspection. The inspection team may note in its report any refusal by the inspected State Party to permit interviews or to allow questions to be answered and any explanations given.
7. Interviews shall be conducted in such a way as to avoid hindering unduly the work of the facility. The inspection team shall give advance notice of interview requests.
Visual observation
1. The inspection team could visually observe any part of the inspected facility or items relevant to its inspection mandate at the inspected facility.
2. If direct visual observation is not possible because of national security, commercial proprietary or health or security concerns, the inspected State Party shall provide other means to demonstrate that the sections of the facility concerned are not used for purposes related to the possible non-compliance concern raised in the investigation request. The means may include, for example, the use of a video camera, photographs or drawings.
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Identification of key equipment
1. The inspection team could have access to equipment at the inspected facility for the purpose of identifying it. In identifying key equipment, the inspection team could make use of, but not be limited solely to agreed lists of equipment.
2. The inspection team may also note the size and quantity of equipment at the facility or the absence of equipment.
Sampling and identification
1. The inspection team could in investigations take samples and analyse them for the presence of specific biological agents and/or toxins.
2. All sampling should be conducted according to agreed procedures and methods and transport should be performed according to the required safety standards.
3. Representatives of the inspected State Party shall take samples at the request of the inspection team and in its presence. If so agreed, the inspection team may take samples itself. Samples shall be analysed on-site. The inspected State Party shall receive duplicate samples for its own analysis. The inspection team may study samples using any agreed methods or instruments (equipment) specifically designed for use in such inspections and brought to the facility by the inspectors. At the request of the inspection team, the inspected State Party shall to the extent possible provide assistance for the analysis of samples on-site, using locally available resources. Should it be negotiated that the inspected State Party itself performs analyses, the inspection team may request that this be done in the presence of inspectors.
4. The inspected State Party shall have the right to take measures to protect national security or confidential proprietary information and, if necessary, to refuse the removal of any given sample.
5. If it transpires that on-site analysis is impossible, the inspection team shall have the right to request that analysis be carried out in any other laboratory in the territory of the inspected State Party.
6. Any sampling and analysis shall be conducted in such a way as to minimize disruption to the normal work of the facility.
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Communications
41. The inspection team shall have the right to use its own two-way radio system between its members.
Measures to guard against abuse during an inspection
42. Inspectors shall, in accordance with the relevant rules laid down in international law, be liable to physical or juridical persons for any intentional or accidental damage resulting from unlawful actions on their part, including the leaking of confidential information that becomes known to them in the course of inspection work.
E. POST-INVESTIGATION PROCEDURES
Initial report
43. No later than [...] hours after the completion of an inspection, the inspection team shall meet with representatives of the inspected State Party with a view to examining the team's initial report and clarifying any remaining ambiguities. The team shall provide its initial report in written form, together with a list of the information, data and other material which it is intended to take outside the facility. This document shall be signed by the team leader. In order to indicate that the inspected State Party has been given sight of the contents of the initial report, the representative of the inspected State Party shall countersign the report.
44. In accordance with the applicable principles of managed access and without prejudice to the obligation to allow the inspection team to fulfil its mandate, the inspected State Party may place restrictions on or deny altogether the removal of documents or other materials if it deems this necessary to protect commercial proprietary or national security information. The inspected State Party shall have the right to request the removal from the initial report of any information unrelated to the investigation mandate.
Departure
45. Following completion of the inspection and review of the initial report, the inspection team shall depart from the territory of the inspected State Party in the minimum time possible via the point of entry.
Final report
46. The report shall summarize the activities conducted by the inspection team and its factual findings, particularly with regard to the concerns regarding possible non-compliance with the BTWC, and shall be limited to
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information directly related to that non-compliance concern. It shall also include an assessment of the degree and nature of access and cooperation granted to the team and the extent to which this enabled it to fulfil the inspection mandate.
47. The final inspection report shall immediately be made available to the inspected State Party. There shall be attached to it any written comments that the inspected State Party may at once make concerning the findings contained in it. The final report, together with the attached comments by the inspected State Party, shall be transmitted to the Technical Organ no later than [...] days after the completion of the inspection.
48. In the event that uncertainties identified by the inspection team persist or that the cooperation afforded by the inspected State Party is considered not to have met the required standards, the Technical Organ shall promote the holding of consultations for the purpose of obtaining further clarifications.
49. If the uncertainties cannot be removed or if the established facts are of a nature to imply non-compliance with obligations under the Convention, the Technical Organ shall convene the Consultative Council to examine the final report.