Part I
The International Monitoring System and
International Data Center Functions
Background
Part I of the Protocol consists of six Sections General
Provisions, Seismological Monitoring,
Radionuclide Monitoring, Hydroacoustic Monitoring, Infrasound
Monitoring, and the International Data Center (IDC).
The formal verification regime of the Treaty involves the
cooperative establishment and international operation of four
worldwide networks of sensors, continuously monitoring for
indications of nuclear tests. This international system, the
IMS, consists of seismic monitoring stations, radionuclide
monitoring stations, hydroacoustic monitoring stations, and
infrasound monitoring stations. Data from the seismic,
radionuclide, hydroacoustic, and infrasound networks will be
collected, analyzed, and disseminated by the IDC. The IMS, along
with on-site inspections, consultation and clarification, and
information exchanges (voluntary confidence-building measures),
will constitute the Treaty's verification system.
A. General Provisions
Section A of Part I of the Protocol consists of five paragraphs
that address the general Treaty provisions concerning the IMS and
the IDC. Paragraph 1 of that Section provides that the IMS shall
be comprised of monitoring facilities as set out in Article IV,
paragraph 16 of the Treaty, and respective means of verification.
Article IV, paragraph 16 lists the facilities that comprise the
IMS: seismic monitoring; radionuclide monitoring including
certified laboratories; hydroacoustic monitoring; infrasound
monitoring; and respective means of communication.
Paragraph 2 of Section A provides that the monitoring facilities
that shall be incorporated into the IMS (those noted in Article
IV, paragraph 16) shall consist of those that are set forth in
Annex 1 to the Protocol. Annex 1 provides the list of
seismological stations comprising the primary network (of which
there are 50), the list of seismological stations comprising the
auxiliary network (of which there are 120), the list of
radionuclide stations (of which there are 80), the list of
radionuclide laboratories (of which there are 16), the list of
hydroacoustic stations (of which there are 11), and the list of
infrasound stations (of which there are 60).
It should be noted that changes can be made to the list of IMS
stations in the Annex. Article IV, paragraphs 23 through 25 of
the Treaty address the method for such changes. Briefly, States
Parties can agree to add or delete a monitoring technology
pursuant to the amendment procedures of the Treaty (Article VII,
paragraphs 1 to 6 of the Treaty). However, changes to the number
of facilities for a specific monitoring technology, and changes
to other details for a specific facility in Annex 1 (such as the
name of the facility) can be carried out as an administrative or
technical change to the Treaty, requiring the simplified
procedure provided in Article VII, paragraphs 7 and 8 of the
Treaty. More information on these two methods for making changes
to the Treaty text can be found in the analysis of the Article
VII provisions of the Treaty.
Paragraph 2 also provides that the IMS shall fulfill the
technical and operational requirements specified in the relevant
operational manuals. The Preparatory Commission Document
provides that the Preparatory Commission will develop and prepare
for adoption by the Conference operational manuals for the four
monitoring technologies, in addition to an operational manual for
the IDC (see para. 14(b) of the Preparatory Commission Text).
Article II, paragraph 26(h) of the Treaty provides that the
Conference of the States Parties shall consider and approve at
its initial session a number of documents that are developed and
recommended by the Preparatory Commission.
Annex 1 of the Preparatory Commission Document provides that the
compilation of the above mentioned manuals will require the
Preparatory Commission to develop, spell out and approve all
necessary technical and operational details required to ensure
the effective operation of the IMS, inter alia:
(a) the technical specifications and operational
requirements for the relevant facilities in each global
monitoring network;
(b) procedures for the provision of data to the IDC,
including transmission formats and modalities;
(c) procedures for facility security and for data
authentication; and
(d) procedures for checking of monitoring facility equipment and
communications links by the Technical Secretariat, and for
facility certification (including for cooperating national
facilities and for their designation as such).
The Preparatory Commission Document provides further elaboration
an what should be included in operational manuals for each
monitoring technology. For example, the operational manual for
radionuclide monitoring will include procedures for the
integration of relevant meteorological data if appropriate, and
for hydroacoustic monitoring, the Preparatory Commission must
develop the different technical specifications and operational
requirements for the two different types of facilities envisaged
(hydrophone stations and T-phase stations).
Paragraph 3 of Part I provides that the Organization, in
accordance with Article II of the Treaty (which addresses the
Organization in detail), shall, in cooperation and consultation
with the States Parties, with other states, and with
international organizations as appropriate, establish and
coordinate the operation and maintenance, and any future agreed
modification or development, of the IMS.
Paragraph 4 of Part I sets forth the obligations of states that
are hosting or otherwise taking responsibility for monitoring
facilities of the IMS. It clearly establishes the fact that
monitoring facilities may be hosted by a state that is not a
party to the Treaty. In accordance with appropriate agreements
or arrangements and procedures, a State Party or other state that
is hosting or otherwise taking responsibility for IMS facilities
shall agree and cooperate with the Technical Secretariat in
establishing, operating, upgrading, financing, and maintaining
monitoring facilities, related certified laboratories and
respective means of communication within areas under its
jurisdiction or control or elsewhere in conformity with
international law. Such cooperation shall be in accordance with
the security and authentication requirements and technical
specifications contained in the relevant operational manuals.
The Technical Secretariat shall be given the authority, by the
state hosting the facility, to access a monitoring facility for
checking equipment and communication links, and the state shall
agree to make the necessary changes in the equipment and the
operational procedures to meet agreed requirements. These
requirements will be developed by the Preparatory Commission (see
paragraph 5 below). The Technical Secretariat shall also provide
to that state appropriate technical assistance as is deemed by
the Executive Council to be required for the proper functioning
of the facility as part of the IMS.
Paragraph 5 provides that the modalities for the cooperation
referred to in paragraph 4 of this Section between the
Organization and the States Parties or states that are hosting or
otherwise taking responsibility for monitoring facilities shall
be set out in agreements or arrangements as appropriate in each
individual case. In this respect, the Preparatory Commission
Text provides that the Preparatory Commission shall develop draft
agreements or arrangements with relevant states, in particular
with those prospectively hosting or otherwise taking
responsibility for IMS facilities that shall be approved by the
Conference of States Parties, as provided in Article II,
paragraph 26(h) of the Treaty (see paragraph 12(b) of the
Preparatory Commission Text).
B. Seismic Monitoring
Section B of Part I of the Protocol, which consists of three
paragraphs, sets forth details regarding the seismic monitoring
of the IMS. Paragraph 6 provides that each State Party
undertakes to cooperate in an international exchange of seismic
data to assist in the verification of compliance with the Treaty.
This cooperation shall include the establishment and operation of
a global network of primary and auxiliary seismic monitoring
stations, (as listed in Annex 1 to this Protocol). Lastly, these
stations will provide data in accordance with agreed procedures
to the IDC.
Paragraph 7 provides that the primary stations shall consist of
the 50 stations specified in Table 1-A of Annex 1 to the Protocol.
The primary stations shall fulfill the technical and operational
requirements specified in the Operational Manual for
Seismological Monitoring and the International Exchange of
Seismological Data. The primary stations will provide
uninterrupted data from the station transmitted, directly or
through a national data center, on-line to the IDC. The
uninterrupted aspect of data transmission to the IDC is what
makes these stations "primary."
Paragraph 8 addresses auxiliary seismic stations. The primary
seismic stations shall be supplemented by an auxiliary network of
120 stations that shall provide information to the IDC upon
request directly or through a national data center. These
stations are listed in Table 1-B of Annex 1 to this Protocol.
Auxiliary stations shall fulfill the technical and operational
requirements specified in the Operational Manual for
Seismological Monitoring and the International Exchange of
Seismological Data. Data from the auxiliary stations including
stored data recorded earlier may at any time be requested by the
IDC and shall be immediately available through on-line computer
connections.
C. Radionuclide Monitoring
Section C of Part I of the Protocol, which consists of three
paragraphs, provides details about the radionuclide monitoring
stations for the IMS. Paragraph 9 provides that each State
Party undertakes to cooperate in an international exchange of
data on radionuclides in the atmosphere to assist in the
verification of compliance with the Treaty. Such cooperation
shall include the establishment and operation of a global
network of radionuclide monitoring stations and certified
laboratories. The network shall provide data in accordance with
agreed procedures to the IDC.
Paragraph 10 points the reader to Annex 1, Table 2-A of the
Protocol, where the 80 radionuclide stations that will measure
radionuclides in the atmosphere are listed. Each of the 80
stations must be capable of monitoring the presence of relevant
particulate matter in the atmosphere. Paragraph 10 also
provides that 40 stations from those listed in Table 2-A of
Annex 1 to the Protocol shall be capable of monitoring the
presence of relevant noble gases upon entry into force of the
Treaty. During the negotiations, the United States proposed
that all 80 radionuclide stations should have the capability to
detect noble gasses. Other states questioned whether the need
for noble gas monitoring capability justified the costs
involved. All states agreed to a compromise of at least 40
noble gas stations. Noble gas monitoring will aid detection of
underground nuclear tests that vent radioactive gases. This may
be particularly useful in the detection of underground nuclear
tests conducted evasively.
To implement this requirement, the United States anticipates
that the Preparatory Commission will designate 40 of the
stations listed in Table 2-A for noble gas monitoring capability
and install such capability prior to entry into force of the
Treaty. The Preparatory Commission's designation of which 40
stations of those listed in Table 2-A shall be capable of
providing noble gas monitoring will be submitted to the
Conference at its initial session for its consideration and
approval (see Article II, paragraph 26(h) of the Treaty). In
addition, at the Conference's first regular session, the
Conference shall consider and decide on a plan for implementing
noble gas monitoring capability throughout the network. A
report on the modalities for the implementation of noble gas
monitoring capability throughout the network shall be prepared
by the Director-General, who shall provide it to the Conference.
Lastly, paragraph 10 provides that all monitoring stations of
the network shall fulfill the technical and operational
requirements specified in the Operational Manual for
Radionuclide Monitoring and the International Exchange of
Radionuclide Data.
Table 2-B of Annex 1 to the Protocol lists the radionuclide
laboratories that will support the radionuclide monitoring
system. These laboratories, all of which currently exist, are
to be used by the Organization to perform analysis of samples
from radionuclide monitoring stations. They must be certified
by the Technical Secretariat in accordance with the relevant
operational manual. All shall be on contract to the
Organization and shall be paid on a fee-for-service basis.
In addition to the above task of the laboratories, paragraph 11
provides that these laboratories, appropriately equipped, shall,
as required, be drawn upon by the Technical Secretariat to
perform additional analysis of samples from radionuclide
monitoring stations. Further laboratories may, upon agreement
with the Executive Council, be certified by the Technical
Secretariat to perform the routine analysis of samples from
manual monitoring stations where necessary. All laboratories
that are certified shall provide the results of such analysis to
the IDC, and in doing so, shall fulfill the technical and
operational requirements specified in the Operational Manual on
Radionuclide Monitoring and the International Exchange of Data.
D. Hydroacoustic Monitoring
Section D of Part 1 of the Protocol, which consists of two
paragraphs, addresses hydroacoustic monitoring. Table 3 of Annex
1 to the Protocol lists the hydroacoustic stations of the IMS.
There are 11 stations, consisting of six hydrophones and five T-phase stations (a hydrophone is a hydroacoustic sensor that can
detect the acoustic signal from an explosion possibly across an
entire ocean basin, while the T-phase stations can detect seismic
signals created by ocean acoustic signals striking the
shorelines). Paragraph 12 of this Section provides that each
State Party undertakes to cooperate in an international exchange
of hydroacoustic data and assist in the verification of
compliance with the Treaty. This cooperation shall include the
establishment and operation of a global network of hydroacoustic
monitoring stations, as provided in Table 3. These stations shall
provide data in accordance with agreed procedures to the IDC. In
addition, and as noted in paragraph 13, the hydroacoustic
stations shall fulfil the technical and operational requirements
specified in the Operational Manual for Hydroacoustic Monitoring
and the International Exchange of Hydroacoustic Data.
E. Infrasound Monitoring
Section E of Part I of the Protocol, which consists of two
paragraphs, addresses the infrasound stations that are part of
the IMS. The list of IMS infrasound stations is located at Table
4, Annex 1 of the Protocol. There are 60 infrasound stations.
Paragraph 14 of Part I of the Protocol provides that each State
Party undertakes to cooperate in an international exchange of
infrasound data to assist in the verification of compliance with
the Treaty. This cooperation shall include the establishment and
operation of a global network of infrasound monitoring stations.
These stations shall provide data in accordance with agreed
procedures to the IDC. Paragraph 15 provides that the infrasound
monitoring stations shall fulfill the technical and operational
requirements specified in the Operational Manual for Infrasound
Monitoring and the International Exchange of Infrasound Data.
F. International Data Center
Section F of Part I of the Protocol addresses the functions of
the IDC. This Section is divided into the following sub-sections: International Data Center Standard Products,
International Data Center Services to States Parties, National
Event Screening, and Technical Assistance.
Paragraph 16 of Part I of the Protocol provides that the IDC
shall receive, collect, process, analyze, report on and archive
data from IMS facilities, including the results of analysis
conducted at certified laboratories.
Paragraph 17 of Part I provides that the procedures and standard
event screening criteria to be used by the IDC in carrying out
its agreed functions, in particular for the production of
standard reporting products and for the performance of a range of
standard services for States Parties, shall be elaborated in the
Operational Manual for the IDC and shall be progressively
developed. The procedures and criteria for event screening by
the IDC shall be developed initially by the Preparatory
Commission and shall be approved by the Conference at its initial
session. The term "event screening" means that agreed parameters
will be used to characterize the extent to which events appear to
be consistent with natural phenomena or non-nuclear man-made
phenomena.
International Data Center Standard Products
This sub-section to Section F addresses the standard products of
the IDC. Paragraph 18 provides that the IDC shall apply on a
routine basis automatic processing methods and interactive human
analysis to raw IMS system data in order to produce and archive
standard IDC products on behalf of all States Parties. The IDC
products shall be at no cost to the States Parties, and they
shall be without prejudice to final judgments with regard to the
nature of any event.
It is important to note here that paragraph 18 provides that the
responsibility for final judgements regarding the nature of any
event shall be with the States Parties. The United States'
position regarding screening events for purposes of
characterization is that IDC analysis and/or conclusions do not
constitute an authoritative statement regarding the source of an
event. The use of any IDC product in no way limits access by a
State Party to the entire set of raw IMS data or to the products
available from the IDC archive (according to Article IV,
paragraph 14(e), the Technical Secretariat shall make available
all data, raw and processed, and any reporting products, to all
States Parties). In addition, compliance judgments remain the
prerogative solely of the States Parties, and this prerogative is
not constrained by decisions and/or actions taken at the IDC or
elsewhere in the Organization.
Paragraph 18 lists what the products of the IDC shall include.
They are as follows:
(a) Integrated lists of all signals detected by the IMS, as
well as standard event lists and bulletins, including the
values and associated uncertainties calculated for each
event located by the IDC, based on a set of standard
parameters;
(b) Standard screened event bulletins that result from the
application to each event of standard event screening
criteria, making use of the characterization parameters
specified in Annex 2 to this Protocol, with the objective of
characterizing, highlighting in the standard event bulletin,
and thereby screening out events considered to be consistent
with natural phenomena or non-nuclear, man-made phenomena.
The standard event bulletin shall indicate numerically for
each event the degree to which that event meets or does not
meet the event screening criteria. In applying event
screening, the IDC shall use both global and supplementary
screening criteria to take account of regional variations
where applicable. The IDC shall progressively enhance its
technical capabilities as experience is gained in the
operation of the IMS;
(c) Executive summaries, which summarize the data acquired
and archived by the IDC, products of the IDC, and the
performance and operational status of the IMS and IDC; and
(d) Extracts or subsets of the standard IDC products
specified in subparagraphs (a) to (c), selected according to
the request of an individual State Party.
As a means of providing additional assistance to the Organization
and States Parties, paragraph 19 provides that the IDC shall
carry out, at no cost to States Parties, special studies to
provide in-depth, technical review by expert analysis of data
from the IMS, if requested by the Organization or by a State
Party, to improve the estimated values for the standard signal
and event parameters.
International Data Center Services to States Parties
This sub-section of Section F addresses the IDC Services to
States Parties. Specifically, the IDC shall provide States
Parties with open, equal, timely and convenient access to all raw
or processed IMS data; all IDC products, and all other IMS data
in the archives of the IDC or, through the IDC, of IMS
facilities. Paragraph 20 further provides that the methods for
supporting data access and the provision of data shall include
the following services:
(a) Automatic and regular forwarding to a State Party of
the products of the IDC or the selection by the State Party
thereof, and, as requested, the selection by the State Party
of IMS data;
(b) The provision of the data or products generated in
response to ad hoc requests by States Parties for the
retrieval from the IDC and IMS facility archives of data and
products, including interactive electronic access to the IDC
data base; and
(c) Assisting individual States Parties, at their request
and at no cost for reasonable efforts, with expert technical
analysis of IMS data and other relevant data provided by the
requesting State Party, in order to help the State Party
concerned to identify the source of specific events. The
output of any such technical analysis shall be considered a
product of the requesting State Party, but shall be
available to all States Parties.
The services of the IDC that are specified in subparagraphs (a)
and (b) above are to be available at no cost to each State Party.
Services specified in subparagraph (c) are also to be at no cost
when such requests (for expert technical analysis of IMS data and
other relevant data provided by the requesting State Party) are
for reasonable efforts. The volumes and formats of data shall be
set out in the Operational Manual for the IDC.
National Event Screening
One of the functions of the IDC will be the processing of raw
data from all IMS stations into a form, or alternative forms,
that will be useful to States Parties. In addition to the
standard IDC products, States Parties may receive the IMS
information in the form and volume they desire in order to make
national judgements. Paragraph 21 provides that the IDC shall,
if requested by a State Party, apply to any of its standard
products, on a regular and automatic basis, national event
screening criteria established by that State Party, and provide
the results of such analysis to that State Party. This service
shall be at no cost to the requesting State Party. The output of
such national event screening processes shall be considered a
product of the requesting State Party.
Technical Assistance
This sub-section of Section F addresses technical assistance
provided by the IDC. Paragraph 22 provides that the IDC shall,
where required, provide technical assistance to individual States
Parties as follows:
(a) in formulating their requirements for selection and
screening of data and products;
(b) by installing at the IDC, at no cost to a requesting State
Party for reasonable efforts, computer algorithms or
software provided by the State Party to compute new signal
and event parameters that are not included in the
Operational Manual for the IDC, the output being considered
products of the requesting State Party; and
(c) by assisting States Parties to develop the capability
to receive, process and analyze IMS data at a national data
center.
Paragraph 23 of this Section provides that the IDC shall
continuously monitor and report on the operational status of the
IMS facilities, of communications links, and of its own
processing systems. It shall provide immediate notification to
those responsible should the operational performance of any
component fail to meet agreed levels set out in the relevant
operational manual.
