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Procedural Report and outcome of discussions
Ad Hoc Group 10th Session (pages 25-40)

Pages 25-40 of the Procedural Report and outcome of discussions are provided below. This material is from the 10th Session of the Ad Hoc Group of States Parties to the Convention.

Please note: the page numbers given are those which appear in the original text, these appear at the top of the page. The detailed footnotes are provided at the end of the main text.  

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BWC/AD HOC GROUP/40
Annex 1
page 25

Outcome of discussions on Investigations Annex

Replace paragraphs 1 to 31 (including relevant headings) of Annex D, section II of BWC/AD HOC GROUP/39, p. 160 to 167, by the following:

II. [FIELD] INVESTIGATIONS [OF ALLEGED USE OF BW]

(A) INVESTIGATION REQUEST

Information to be submitted with a request for a [Field investigation] [Investigation of alleged use of BW]¹

1. Requests for [Field Investigations] [Investigations of alleged use of BW] shall include [enough of the following [precise] information to support a prima facie case of a non-compliance concern] [to the extent possible] [the following [precise] information]:

[(a) Name of the State Party in whose territory or under whose jurisdiction or control the alleged [event] [use] has taken place;]

(b) [Approximate] date [and] time [and duration] of the alleged [event];

(c) The location, geographic coordinates and the characteristics of the area(s) involved, [whether the area is on the territory of the requesting State Party, and if not, the name of the State who controls that territory as well as whether that State is a State Party to the Protocol and/or the Convention];

(d) [Aided by epidemiological data,] a description of the circumstances under which the [event] [use] took place, a description of the [event] [use] itself as well as an indication of whether it was a single [event] [use] or a series of [events] [uses]. An indication of the suspected cause and/or perpetrator of the [event] [use];

[(e) The victims (human, animals or plants), the effects on them and the number affected. Symptoms and signs of the disease [or similar occurrence caused by toxins] [or other physical evidence] [, the treatment and the results of the treatment of the victims] shall be described;]

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(f) Information [to the extent possible] on:

(i) The [use] [release] of microbial or other biological agent(s) or toxin(s) for other than peaceful purposes;

(ii) The use of weapons, equipment or means of delivery;

[(g) Any epidemiological data substantiating an allegation why the event shall not be considered to be a natural outbreak of disease [including data on natural disease profiles and occurrences in the area affected, as well as demographic data];]

[(h) Information to demonstrate that the non-compliance concern is not a natural outbreak of disease;]

[(i) Information from and/or the outcome for results of [any] prior consultations/clarifications relevant to the request.]

2. The following other types of information could also be important:

(j) Reports of any internal investigation including results of any laboratory investigations;

[(k) The victims (human, animals or plants), the effects on them and the number affected; Symptoms and signs of the disease [or similar occurrence caused by toxins] [or other physical evidence] [, the treatment and the results of the treatment of the victims] shall be described;]

(l) [Any] affidavits of eye witness accounts, photographs, samples or other physical evidence;

(m) Data on natural disease profiles and occurrences in the area affected, as well as demographic data;

(n) A description of the control measures and their result in the affected area, if available;

(o) Other corroborative information;

[(p) Requests for specific assistance, if applicable.]

3. The Director-General shall immediately acknowledge receipt to the requesting State Party of its request for an investigation and inform [the Executive Council].

BWC/AD HOC GROUP/40
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(B) PRE-INVESTIGATION ACTIVITIES

Notification of investigation

4. The Director-General shall, not less than [12] [36] [48] hours prior to the arrival of the investigation team at the point of entry, notify the State Party on whose territory the investigation has been requested. The Director-General shall also notify other States Parties if access to their territories might be required during the investigation.

5. The notification made by the Director-General under the provisions of paragraph 4 shall include, inter alia:

(a) Name of the State Party to be investigated;

(b) Name of the State Party on whose territory the investigation will take place if not the same as the State Party to be investigated;

(c) Name of the requesting State Party or State Parties if not the same as the name of the State Party to be investigated;

(d) The nature of the alleged event to be investigated as determined from the investigation request;

(e) The point of entry where the investigation team will arrive as well as the means of arrival;

(f) The date and estimated time of arrival of the investigation team at the point of entry;

(g) If using a non-scheduled aircraft, the standing diplomatic clearance number or the appropriate information required by the State Party to be investigated to facilitate the arrival and handling of the non-scheduled aircraft;

(h) Location and characteristics of the area(s) where the incident(s) of non-compliance is alleged to have taken place;

(i) A description of any effects on humans, animals or plants;

(j) A list of approved equipment which the Director-General requests the investigated State Party to make available to the investigation team for use during the investigation;

BWC/AD HOC GROUP/40
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(k) A list of laboratory facilities and other support which the Director-General requests, if applicable, the investigated State Party to make available to the investigation team for use during the investigation;

[(l) The investigation mandate;]

[(m) The names of the leader and the other members of the investigation team.]

6. The State Party to be investigated shall acknowledge receipt of the notification of an investigation not later than [1] [2] [48] [...] hour[s] after receipt of such a notification.

Investigation mandate

7. The investigation mandate issued, in accordance with ..., shall contain at least the following:

[(a) The decision of the [Executive Council], on making of an investigation;]

(b) The name of the State Party or States Parties to be investigated;

(c) The nature of the alleged event to be investigated as determined from the investigation request [and approved by the [Executive Council]], including any effects on humans, animals or plants;

(d) The area where the investigation will be conducted designated on a map by geographic co-ordinates specified to the nearest second;

(e) The planned types of activity of the investigation team;

[(f) Specified investigation objectives to be accomplished by the investigation team;]

(g) Operational instructions and any other identifiable tasks;

(h) Any transit or basing points to be used by the investigation team, as appropriate;

(i) The names of the leader and of the other members of the investigation team;

[(j) The name of the proposed observer, if any;]

(k) The list of approved equipment to be used during the investigation;

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(l) The estimated time necessary to conduct the investigation on the territory or any other place under the jurisdiction or control of the State Party or States Parties to be investigated.

Duration of an investigation

8. The estimated period of the investigation shall be indicated in the investigation mandate and updated by the investigation team in full consultation with the State Party to be investigated after the pre-investigation briefing. The investigation shall not exceed [30] days [84 hours] unless an extension is authorised by the [Executive Council] and agreed to by the investigated State Party. The period of investigation means the period from the [start] of the point of entry procedures until the departure of the investigation team from the point of exit.

(C) ACTIVITIES UPON ARRIVAL OF THE INVESTIGATION TEAM

Pre-investigation briefing

9. The investigation team shall be briefed by representatives of the investigated State Party with the aid of maps and other documentation as appropriate. The briefing shall include, inter alia, relevant natural terrain features, safety aspects, prevailing disease profiles in the area to be investigated, possible routes and means of transport to the area, logistical arrangements for the investigation, details of equipment and/or laboratory facilities provided on request of the Director-General and any other relevant information.

10. The investigated State Party may indicate to the investigation team areas which it considers particularly sensitive [and] [or] not related to the [purpose of] the investigation. [The investigation team may require the reasons for the indication from the investigated State Party]. The investigated State Party shall have the right to regulate or [deny] access to these areas in accordance with the procedures set out in Article III and this Annex.

11. The investigated State Party may provide additional information that became available after the request was made or that does not appear on the investigation mandate.

Investigation plan

12. After the briefing the investigation team shall prepare an initial investigation plan to serve, inter alia, as a basis for logistic and safety arrangements. This plan shall contain the activities to be carried out by the team, logistic requirements of the team and provisional timings of the activities and requirements. The investigation team shall, as appropriate, modify the investigation plan taking into account any comments by the investigated State Party. This plan shall be made available to the investigated State Party prior to the commencement of the investigation.

BWC/AD HOC GROUP/40
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Time frames for pre-investigation activities

13. The following time frames for specific pre-investigation activities shall apply:

(a) Inspection of equipment - not more than [4] hours;

(b) Pre-investigation briefing - not more than 3 hours;

(c) Investigation plan - not more than 2 hours.

These specific pre-investigation activities shall not exceed [9] hours.

(D) CONDUCT OF INVESTIGATION

Situation report

14. The investigation team shall, not later than 24 hours after its arrival on the territory of the State Party to be investigated, send a situation report to the Director-General. It shall send further investigation progress reports as necessary.

[15. The situation report shall indicate any urgent need for technical, medical, veterinary or agronomic assistance and any other relevant information. The progress reports shall indicate any further need for assistance that might be identified during the course of the investigation.]

Implementation by the investigation team of specific on-site activities

Interviewing

Interviewing of eyewitnesses

16. The investigation team shall have the right to interview persons, with their consent, who witnessed or provide information on a specific incident or series of incidents, that could be relevant to the investigation. The interview shall take place in the presence, and if possible and appropriate with the assistance, of representatives of the State Party on whose territory the investigation is conducted.

17. The investigation team may seek information relevant to the investigation which is necessary to fulfil their investigation mandate. If required, interpretation shall be provided by the investigation team, or where requested, by the State Party.

BWC/AD HOC GROUP/40
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Interviewing of humans who may have been exposed to BTW or owners of plants or animals which may have been exposed to BTW

18. The investigation team shall have the right to interview humans who may have been exposed, with their consent, in order to establish how the exposure affected them. In the case of animals or plants which may have been exposed, the investigation team shall have the right to interview the persons responsible for the animals or plants, with their consent, in order to establish how the exposure affected them. Interviews shall be conducted in the presence, and if possible and appropriate with the assistance, of representatives of the investigated State Party.

19. The investigation team may seek [only] information relevant to the investigation which is necessary to fulfil their investigation mandate. If required, interpretation shall be provided by the investigation team, or where requested, by the State Party.

Interviewing of other individuals

20. The investigation team shall have the right to interview other individuals, such as national/local government officials, personnel of any relevant medical, veterinary, pharmaceutical, agricultural institutions or facilities, with their agreement [and the agreement of the investigated State Party], in the presence, and if possible and appropriate with the assistance, of a representative of the State Party in order to obtain information relevant to the investigation.

21. The investigation team shall only request information [and data relevant to the incident under investigation] which is necessary for the conduct of the investigation. If required, interpretation shall be provided by the investigation team, or where requested, by the State Party.

[22. The investigated State Party shall have the right to object to questions posed to personnel if it deems that those questions are not relevant to the investigation or impinge on sensitive national security or commercial proprietary data. If the investigation team leader nonetheless continues to believe that these questions are relevant and should be answered, he may submit them in writing to the investigated State Party for reply, together with an explanation of their relevance to the investigation. The investigation team may note in its report any refusal by the investigated State Party to permit interviews or to allow questions to be answered and any explanations provided by the State Party in this regard.]

[23. Interviews shall be conducted in such a way as to avoid unduly hindering the work of the personnel interviewed. The investigation team shall [if possible] give advance notice of interview requests [not less than 48 hours before conducting it].]

Notes

1. Article III, section F, subsection III, paragraph 19 (a) to (p) duplicated.

BWC/AD HOC GROUP/40
page 32

Outcome of discussions on Investigations Annex

APPENDIX ...

LIST OF APPROVED INVESTIGATION/VISIT EQUIPMENT

	Description	Notes
	Sampling and identification equipment1
1	Sample tubes and microbiological transport media
2	Containers for samples
3	Preserving media (i.e. formalin, alcohol, silica gel)
4	Forceps (various sizes)
5	Post mortem instruments: Scissors, scalpels, bone forceps	Other post mortem instruments to be added.
6	Syringes and needles for blood samples
7	Thermometers and probes
8	Incinerator and disinfectant tanks/sprays
9	Biohazard bench, glove box
10	Gas burners and gas
11	Microscopes, stains and slides
12	Culture media: Diploid cell culture media	Other types of culture media may be added.
13	Autoclave/pressure cooker
14	Incubator and anaerobic equipment
15	Freezer: -70 C best/dry ice
16	Refrigerator

BWC/AD HOC GROUP/40
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17	Portable PH metre/millivolt metre with ion-specific electrodes
18	Glucose analyser
19	Dissolve oxygen metre
20	Pruning shears
21	Spades and plastic bags for ground samples
22	Soil augers
23	Water sampling equipment including filter disks
24	Portable water pump
25	Liquid nitrogen in cylinders
26	Seals (fibre optic and packages)
27	Seals (frangible, fractural, adhesive)
28	Vacuum sealing equipment
29	Plastic bags for vacuum packing of samples
30	Tags/tie on/markers (permanent)
31	Centrifuge
32	Portable spectroscopic analyser
33	Portable flow cytometers
34	Thermal cyclers
35	Pipettes
36	Freeze drying equipment (lyophilizers)
37	Water baths
38	Hand held test kits
39	Diagnostic kits: ELISA based detection systems	Other types of diagnostic kits to be added.

BWC/AD HOC GROUP/40
page 34

40	Sampling equipment for: Air samples Surface samples Fluid samples other than water	Pieces of equipment to be identified in detail.
41	Mobile blood gas analyser
42	Blood cell counters - Coulter counters
	Protective equipment
1	Protective clothing
2	Boots (disposable)
3	Protective gloves with liners
4	Protective masks (military type)
5	Spare canisters (military)
6	Spare canisters (industrial)
7	Surgical gloves
8	Safety goggles
9	Leather work gloves
10	Industrial safety helmet
11	Hearing protection
12	Cotton coveralls
13	Disposable coveralls
14	UV protective glasses
15	Water bottle
16	Flashlight explosion proof
17	First aid kits (personal)
18	Self-contained breathing apparatus (SCBA)
19	Respirator (industrial)
20	Equipment bags

BWC/AD HOC GROUP/40
page 35

21	Mask fit test kit
22	Cooling vest
23	Cold weather gear
24	Safety lantern
25	Safety shoes
26	Flammability/explosive/air quality/monitor
27	Mosquito nets
28	Insect repellent
29	Water filter kit
	Medical equipment
1	General first aid kit containing necessary antibiotics, vaccines and other medicine
2	Patient monitoring equipment - EKG, pulse oximeter
3	General medical examination equipment such as sphygmomanometer, ophthalmoscope/otoscope, patella hammer	Other pieces of equipment to be added.
	Administrative equipment
1	Portable photo-copying machine
2	Portable document scanner
3	Portable document shredder
4	Waterproof pens
5	Tape measure (3 m, 30 m, 100 m)
6	Callipers and steel ruler
7	Maps	Geographic maps necessary for a specific field investigation procured for that investigation.

BWC/AD HOC GROUP/40
page 36

8	Graph paper, pencils and labels
9	Calculator
10	Computer (notebook) with printer/plotter and modem
11	Satellite link telephones
12	Portable fax machines
13	Exterior extension cords
14	Secure voice telephone
15	Short-range radios
16	Electric plug-socket adaptors
17	Portable over-head projector
18	Image transmission equipment	This aspect needs further discussion.
	Other technical equipment
1	Maintenance tool kit
2	Equipment transport containers
3	Global positioning system (GPS)
4	Weighing equipment
5	Polaroid-type camera with flash, zoom, macro lens systems and films
6	35 mm camera with flash, zoom, macro lens systems and films
7	Digital video camera - portable video player with tapes
8	Audio (tape) recorder with tapes
9	Binoculars
10	Data scope
11	Night-vision scope

BWC/AD HOC GROUP/40
page 37

12	Magnifying glass
13	Rechargeable batteries (Ni-Cd) and battery chargers
14	Shoulder bag
15	Tool belt
16	Compass
17	Thermochromic tape packages
18	Electrical power generators
19	Barometer, anemometer, hygrometer with recording attachments	For use in establishing background conditions which might influence survival of microorganisms.
20	Wet bulb globe thermometer
21	[Chemical agent monitor]
	Non-destructive evaluation equipment
1	Portable X-ray equipment
2	Ultrasonic pulse echo

Notes

1. The list of sampling equipment will depend on whether analyses will be done on-site or off-site.

BWC/AD HOC GROUP/40
page 38

Outcome of discussions on Investigations Annex

Informal working paper by the Friend of the Chair on Annex D
addressed to the Friend of the Chair on Compliance Measures

1. As agreed in the Friend of the Chair on Annex D meeting of 13 March 1998, the following text which had appeared in Annex D on "Managed Access" is forwarded to the Friend of the Chair on Compliance Measures for consideration when dealing with the text on this issue which appears in Article III, section F, subsection III (G).

2. This working paper should again be circulated for the use of delegations when the consideration of Article III, section F, subsection III (G) is taken up.

(A) MANAGED ACCESS TEXT FROM ANNEX D: [FIELD] INVESTIGATIONS [OF ALLEGED USE OF BW]

Managed access

19. The investigated State Party shall have the right, in accordance with the obligation to demonstrate compliance, to protect sensitive installations and to prevent disclosure of sensitive information and data not related to the investigation mandate or to activities prohibited by the Convention, as set out in paragraphs ... to ... of Article III, section F, subsection III, of the Protocol, to take specific measures which may include but are not limited to the following:

(a) Managing access to [areas identified according to paragraph 10 above] [as well as buildings and other structures] that contain particularly sensitive equipment or information not related to the investigation mandate or activities prohibited by the Convention;

(b) Limiting the time investigation team members may spend in any area [or building,] while allowing the team to fulfil its mandate;

(c) Limiting the number of investigation team members entering the areas, buildings or structures;

(d) Notifying the investigation team of the products and processes in which it has a proprietary or national security interest and its right to safeguard such information. It may request that if a specific piece of information is released to the team, it should be accorded the most stringent protection measures with the Organization.

[20. When a restricted-access site is declared each such site shall be no larger than four square kilometers and shall have clearly defined and accessible boundaries.]

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[21. The investigation team shall have the right to take steps necessary to conduct its investigation up to the boundary of a restricted-access site.]

[22. The investigation team shall have the right to observe visually all open places within the restricted-access site from the boundary of the site.]

23. The investigation team shall make every reasonable effort to fulfil the investigation mandate [outside the declared restricted-access site. If at any time the investigation team demonstrates credibly to the investigated State Party that the necessary activities authorized in the investigation mandate could not be carried out from the outside and access to the restricted-access site is necessary to fulfil the mandate, some members of the investigation team shall be granted access to accomplish specific tasks within the site. The investigated State Party shall have the right to shroud or otherwise protect sensitive equipment, objects and materials not related to the purpose of the investigation. The number of investigators shall be kept to the minimum necessary to complete the tasks related to the investigation. The modalities for such access shall be subject to negotiation between the investigation team and the investigated State Party.]

(B) MANAGED ACCESS TEXT FROM ANNEX D: [FACILITY] INVESTIGATIONS [OF ANY OTHER ALLEGED BREACH OF OBLIGATIONS UNDER THE PROVISIONS OF THE CONVENTION]

32. The investigated State Party shall have the right, in accordance with the obligation to demonstrate compliance and the right if necessary to protect sensitive information, as set out in paragraphs ... to ... of Article III, section F, subsection III, 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 sensitive pieces of equipment, such as computer or electronic systems;

(d) Logging off of computer systems and turning off data indicating devices;

(e) Using random selective access techniques whereby the team is requested to select a given percentage or number of buildings of their choice to investigate; 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;

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(g) Limiting the time investigation team members may spend in any area or building, while allowing the team to fulfil its mandate;

(h) The investigated State Party may at any time during the investigation notify products and processes in which it has a proprietary interest in order to help the team respect the investigated State Party's right to safeguard proprietary information. It may request that if a specific piece of information is released to the team, it should be accorded the most stringent protection measures with the Organization.

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