Enclosure 2
IRAQ: ONGOING MONITORING AND VERIFICATION

Background and Overview

1. As part of the formal cease-fire following the end of the Gulf war, the Security Council, by its resolution 687 (1991), established, inter alia, the requirement for long term monitoring and verification of Iraq to assure that Iraq did not reconstitute or retain its prohibited chemical and biological weapons and missiles with a range greater than 150 kilometres.

2. By resolution 715 (1991) of 11 October 1991, the Security Council approved the Plan for establishing such monitoring in the chemical, biological and missile areas. Under this Plan, the Special Commission established its monitoring system which is comprehensive in its approach.

3. Iraq refused to acknowledge resolution 715 (1991) for two years. It was not until Iraq officially acknowledged it, on 26 November 1993, that real efforts to design and build the full OMV system could start.

4. Some key principles which underpin the design efforts for the overall OMV system:

• First, full access and cooperation by Iraq were assumed, as provided for in the Security Council's resolutions and the Plan for OMV, particularly following Iraq's acceptance of the Plan.

• Secondly, the system would be flexible and subject to continuing modification, expanding or contracting as circumstances dictated.

• Thirdly, the system would be designed assuming a verified baseline of what Iraq had acquired and achieved in each proscribed weapons area. Knowledge of Iraq's capabilities was considered to be important to the shaping and focussing of fully comprehensive monitoring efforts.

• Fourthly, the overall system would depend on a web of techniques and tools which, in total, would serve to detect or deter prohibited activities. This approach recognises that the ability to monitor in each discipline and the capability of each monitoring technique is specific.

• Fifthly, time was assumed to work for the Commission in the sense that the probability of detection would continue to increase over time.

• Finally, it was assumed that Iraq would have a significant incentive to abide by the Security Council's resolutions. Conversely, it was thought that there would be a significant disincentive for Iraq to be detected conducting prohibited activities.

5. It was believed, that the net combined effect of the system would be sufficient to provide a credible measure of confidence that prohibited weapons and capabilities were not being retained or reconstituted.

6. The process of implementing the system involved a number of key tasks. The first required Iraq to provide information on sites having dual use capabilities as well as sites known to have been involved in prohibited weapons programmes. In early 1994, detailed formats for the provision of data relevant to ascertaining the capabilities and future monitoring of such sites were created and passed to the Iraqi counterparts for completion. Iraq provided data on identified sites. Throughout 1994, baseline survey missions were conducted by visiting teams of experts to sites in Iraq. These activities had, as their goal, the design and implementation of monitoring at each site and the creation of protocols for their monitoring.

7. Given that each site is unique, a regimen for inspecting each site was developed based on its importance, nature and size. Prescriptions for: how often a site should be visited; what parameters should be examined; whether sensors or cameras would be beneficial; what sorts of regular reports would be required from Iraq; and, other techniques for inspecting were identified and included in each site monitoring protocol.

8. Over three hundred sites were eventually included in the Commission's monitoring database. These sites are subject to regular inspections and Iraq is required, in most cases, to provide regular declarations in formats established by the Commission. These declarations are usually provided on a semi-annual basis, but some sites require more frequent declarations.

9. The Commission established a permanent and extensive facility in Baghdad as a base for its monitoring work. The Commission's earlier work had been conducted with a minimum of resident staff. With the advent of ongoing monitoring work, the necessity for a larger number of resident experts and administrative support was required. In 1994, Iraq provided a building for the use of the Commission and the IAEA. It was modified by the Commission to provide suitable arrangements and offices for monitoring work and a senior officer was appointed to head the Baghdad Monitoring and Verification Centre (BMVC). This building is shared with other United Nations Agencies. It incorporates the Commission's communications equipment, chemical laboratory, monitoring camera system control room and administrative and logistical support for field operations.

10. The monitoring design, in each area, faced unique issues. For example, missile related sites are the smallest in number, but, since specified missile activities are permitted to Iraq, there is a challenge in detecting prohibited activities latent in permitted activities. Scrutiny of all aspects of permitted programmes is essential, using cameras, requiring regular reports from Iraq, and most importantly regular detailed on-site inspections.

11. The chemical sites are more extensive, covering facilities with equipment and specialists that could be diverted to prohibited activities. Such facilities include pesticide plants, refineries and industrial chemical plants. Moreover, monitoring of dual-use chemicals, some used in large quantity for legitimate civilian purposes, was a problem to be managed.

12. The most extensive monitoring problem is in the biological area. BW agents can be produced in small facilities using relatively simple equipment. There are limited signatures to look for, if small quantities are being produced and not weaponized. Hence the net cast for monitoring must be large. A great number of facilities incorporating dual-use capabilities are inspected and are under varying degrees of monitoring. These include such facilities as production sites, research and development facilities, laboratories and other sites, apparently innocuous, such as breweries and drug production plants.

13. Following Iraq's acknowledgement of resolution 715 (1991), the Commission, the IAEA and the Committee established pursuant to resolution 661 (1990) (the "Sanctions Committee") developed a mechanism for the monitoring of any future sales or supplies by other countries to Iraq of items relevant to the implementation of section C of resolution 687 (1991) and other relevant resolutions. The lists of such items are contained in Annexes to the Commission's and the IAEA's Plans for OMV. Following consultations with States with export control experience, a report on provisions for a mechanism for Export/Import Monitoring was transmitted to the Security Council on 7 December 1995. On 27 March 1996, the Security Council adopted resolution 1051 (1996) which approved the provisions of the mechanism. A Joint IAEA-UNSCOM Unit was established in New York to run the mechanism and a corresponding office and resident monitoring team established in the BMVC.

14. The Export/Import mechanism is an integral and vital component of the overall monitoring system. It is a notification system which allows the Commission and the IAEA to be cognisant of, for monitoring purposes, the existence in Iraq of relevant equipment and materials. An important feature of the system is that, should any unreported notifiable imported equipment or materials be discovered in Iraq, and no adequate explanation is given thereof, the Commission and the IAEA have the right to destroy, remove or render such items harmless.

15. Export/Import inspections are conducted throughout Iraq, including at points-of-entry, but most emphasis is currently focussed on end-user customers inside Iraq. The current workload is mainly limited to items imported in connection with the humanitarian aid programmes. Any change in the status of the sanctions regime will have a significant impact throughout the monitoring system, but most particularly with respect to the operation of the Export/Import mechanism.

16. A further component of the monitoring system has been the aerial surveillance provided by the U-2 aircraft at high altitude since August 1991, the Mirage aircraft at medium altitude since June 1998, and the helicopter surveillance provided at low altitude since June 1992. These data have been useful in ascertaining the status of declared facilities. In addition, they provide information of particular importance in identifying possible new or undeclared facilities that may have monitorable dual-use capabilities or, indeed, be engaged in proscribed activity.

17. This touches on a key element of the monitoring system: the ability to detect undeclared, proscribed activities through the identification and conduct of inspections of newly identified sites. To monitor Iraq fully and deter violations, the Commission must have the credible and real ability to inspect any site in Iraq, on short notice. Sites for inspections may be identified by analysis based on previous inspection and monitoring activities or information generated from a wide range of sources. Sources ranged from intelligence information provided by Governments, to information available publicly such as on the Internet, to information conveyed by Iraqis no longer in Iraq. This approach can be expected to continue to support credible monitoring as mandated by the Council.

18. In summary, the Commission has designed a monitoring system of many related parts. Each part could not provide high confidence in detection of infractions, but collectively, over time, the Commission believes the system is able to provide adequate and credible monitoring. However, it is vitally dependent upon the full exercise of the rights of access and Iraq's cooperation provided for in the resolutions of the Council. While making use of technology and sensors as much as possible, it is also important to note that the essence of the system is the presence of knowledgeable inspectors.

19. Despite several differences in the monitoring and verification techniques in the chemical, biological and missile fields, activities in all areas covered by the Plan for OMV represent an integral monitoring and verification system. It is based on the joint operational planning, inspection procedures and supporting elements, including Export/Import mechanism and aerial surveillance. In addition there is a significant overlap in the Commission's monitoring activities in the chemical, biological and missile areas due to the multipurpose character of activities and sites in Iraq. Therefore, an integral system comprising chemical, biological and missile elements represents an optimal approach of monitoring and verification in Iraq.

20. In the chemical, biological and missile areas, in contrast with the nuclear field, Iraq produced and deployed operational weapons. These three programmes were closely connected and intertwined. Proscribed missiles were equipped with warheads filled with chemical and biological warfare agents. Chemical weapons facilities were often used for research activities related to BW programmes and for weaponization of BW agents. Missile facilities manufactured different types of chemical and biological munitions. In a period prior to the adoption of Security Council resolution 687 (1991), all three programmes, chemical, biological and missile, were managed and coordinated by a single Governmental agency: the Military Industrialization Commission (MIC).

21. There will always be a continuum between accounting for Iraq's proscribed activities of the past and monitoring to ensure that proscribed programmes are not reconstituted. Monitoring does not necessarily imply a categorical change in inspection techniques or procedures. For example, no-notice inspections will be needed whether their proximate cause is to discover a possible residual weapon from the past or a newly built one.

22. The OMV system as designed and implemented by the Commission, has been based on the assumption that ultimately, the full verification and disposal of Iraq's proscribed weapons would be achieved, as directed by resolution 687 (1991). This had the implication that the OMV system, in the long term, would rest on a foundation of full knowledge of the disposition of proscribed weapons and capabilities.

23. This present review of the OMV system takes into account the possibility that the mandated objective of the full accounting of Iraq's proscribed weapons and verification of Iraq's prohibited programmes will not be achieved but the Commission may, nevertheless, be required to operate its OMV system under the shadow of Iraq possibly retaining prohibited materials. It further takes into account that once sanctions are reduced or lifted, the Commission will face a considerable increase in its OMV work.

24. In these contexts, the Commission notes that the Plan for OMV approved by the Security Council in resolution 715 (1991), provides adequate potential for implementing a system of monitoring and verification more rigorous than had been in place in the past. It must be emphasised that the absence of the resolution of disarmament issues would lead to a degradation in the degree of confidence able to be provided by the OMV system, notwithstanding that additional measures would need to be introduced into the system in an attempt to offset the failure to bring all disarmament issues to account.

Key Elements

25. Three elements are of paramount importance for any effective and credible monitoring and verification system in Iraq. First, Iraq's full and unreserved adherence to its obligations and cooperation with the Commission's monitoring activities. The two other critical elements are: the Commission's access to sites for inspection and to information from all sources relevant to its mandate; and the resources available to the Commission for implementation of its mandate.

Iraq's Cooperation

26. The extent of Iraq's cooperation is the key determinant for the level of OMV procedures employed, and the resulting confidence in the system. Iraq has provided varying degrees of cooperation since 1991. Where cooperation has been good, monitoring has been good. The better the information and access provided by Iraq, the less intrusive the OMV procedures and the higher the confidence in the resulting assessments of Iraq's compliance.

27. A fundamental requirement is for the Government of Iraq to cease any prohibited activity. In this context, an important step by Iraq is the adoption of legislation prohibiting all natural and legal persons under its jurisdiction from undertaking anywhere any activity prohibited by the relevant resolutions and the Plan and to enact penal legislation to enforce such prohibitions. Such legislation was required to have been enacted within thirty days of adoption by the Security Council of resolution 715 (1991). Iraq has not yet taken this action.

28. Iraq states it ended its illegal concealment activities in 1995, but has never provided any evidence, such as documentation, to support this claim. In light of uncertainties concerning remaining disarmament issues, and less than full cooperation by Iraq, monitoring will have to take into account evasion techniques. If ongoing concealment were to be uncovered, this would be a matter of grave concern both intrinsically and in terms of the credibility of the OMV system.

Access to sites and information

29. Under the Plan for OMV, Iraq undertook to accept unconditionally the inspection of any site, facility, activity, material or other items declared by Iraq or designated by the Commission; and to provide immediate and unimpeded access to any site, facility, activity, material or other items to be inspected. Timely and unfettered access for inspection purposes is crucial to obtaining information which could serve as a basis for assessments of Iraq's compliance.

No-notice Inspections

30. The Commission has the right to conduct inspections on a no-notice basis. In the practical implementation of this right, it is important to minimise the opportunity for Iraq to have predictable warning of specific sites to be inspected. Iraq has attempted to defeat the principle of no-notice inspection by working assiduously to track and predict the Commission's inspection activities. Iraq seems to have succeeded in identifying blocks of time and certain locations in which and at which inspections were to be conducted, thus minimising, and indeed in many instances eliminating the risk of discovery of prohibited items or undeclared activities. This is a serious issue involving both cooperation by Iraq and operational security on the part of the Commission. An effective OMV system requires that there should not be sanctuaries in time.

Sites for inspections

31. An effective OMV system also requires that there should not be sanctuaries of sites and facilities from inspection throughout Iraq. Statistically, the Commission has conducted a large number of inspections in Iraq, but for the most part such inspections under the Plan for OMV have been to sites declared by Iraq. This is not without its importance, but monitoring demands verification of the absence of prohibited activities at all other locations in Iraq based on reliable information or assessment. Inspections conducted in a credible manner lead to no ambiguous results. This is critical to both Iraq and the Commission.

32. The range of sites to be inspected on a regular basis depends on the Commission's knowledge of Iraq's proscribed programmes and its understanding of Iraq's activities which fall under the Plan for OMV. If certain disarmament issues are not resolved, the Commission may need to regularly inspect a broader range of military facilities in Iraq. For instance, if full accounting of 155mm mustard rounds were not achieved, regular inspections of ammunition bunkers and depots might be judged as necessary.

33. The identification and inspection of sites where undeclared or prohibited activity might be conducted is fundamental to any effective monitoring system. Such sites are identified through the analysis of data obtained from a variety of sources available to the Commission and are inspected by teams which may comprise resident or non-resident expertise, as required. It is necessary to maintain a coordinated approach to the identification and inspection of potential sites in order to maximise the effectiveness of these inspection efforts for the benefit of ongoing monitoring. The potential of inspections of undeclared sites makes an important contribution to the overall deterrent effect of the monitoring system.

34. The Plan for OMV does not envisage any sanctuary for inspections or limitation on assess to sites designated for inspection. In the past, following blockages of inspections by Iraq, special modalities for inspection of specific categories of sites were established. These were themselves the subject of further dispute and blockage. Given the terms of resolution 715 (1991) and the Plan for OMV, the serious question arises of the impact of such modalities on a credible monitoring system, or indeed whether they should have any role with respect to that system.

35. A part of the resolution of disputes caused by Iraq blocking inspections and seeking to establish areas which may not be inspected at all, has been acceptance of the concern that Iraq's legitimate security, sovereignty and dignity must be respected. The Commission does not believe that the effective conduct of its work and these concerns are inherently incompatible. They could prove to be so if the claims by Iraq of such concerns were clearly being advanced as a rationale for avoiding its obligations. The Commission has and will continue to balance its need to conduct effective inspections with Iraq's legitimate security, sovereignty and dignity concerns.

Geographic Access

36. Shortened access time to sites designated for inspections could be achieved through the following steps, either separately or in combination: the creation of regional monitoring and verification sub-centers or operational bases, the use of fixed-wing aircraft for transportation within Iraq and the improvement of rotary-wing aerial transportation.

37. The creation of two regional monitoring sub-centers or operational bases in Mosul and Basrah, in addition to the BMVC, would enable the Commission to reach practically all of the listed sites in Iraq within two hours. The creation of regional centers would necessitate a further increase in the number of personnel on resident teams in Iraq. Another option would be the creation of regional operational bases where a sub-component of the monitoring teams would be able to operate from at any time on a temporary basis. The second option would not require a significant increase of personnel.

38. The use of fixed-wing aircraft within Iraq would allow for the transportation, to any operational airfield in Iraq, of inspection teams comprising 10 or more inspectors, together with all required verification equipment and vehicles for ground transportation. It would also allow the deployment of inspection teams to particular areas in Iraq straight from the Commission's field office in Bahrain.

39. The deployment of helicopters by the Commission would also allow the transportation of inspection teams comprising 10 or more inspectors, together with a limited amount of verification equipment and vehicles for ground transportation to any specific site designated for inspection.

Access to Information

40. The Plan for OMV approved by Security Council resolution 715 (1991) stipulates that the Commission shall have the right to "request, receive, examine, copy and remove any record, data, information or documentation and to verify inventories." Access to documentation has been emphasized in relation to verifying Iraq's proscribed activities. It will also be vitally important to OMV. Records relating to production and acquisition records, inventory lists, financial transactions documentation and tasking orders can be highly revealing for tracking Iraq's activities under monitoring. A credible monitoring system must make full use of relevant procedures based on the right of access to records and information.

41. Effective monitoring through the examination of records has shown the general need for experienced linguists. With the increased use in Iraq of electronic information systems, there is a further requirement for computer experts who can examine electronic records. The Commission has found many useful pieces of information through examination of computers. Continued examination of such media will remain essential.

42. In the implementation of its monitoring and verification tasks, the Commission will continue to rely on information from sources other than the Government of Iraq. Information of relevance to monitoring in Iraq has been provided to the Commission from a number of sources outside Iraq. Such data is assessed by the Commission and collated with what is known to be in Iraq. Inspections may be planned on the basis of such data depending upon assessment. Without such information, the level of success achieved by the Commission in understanding Iraq's prohibited programmes would not have been possible. This will continue to be the case for monitoring.

Resources

43. The ongoing monitoring and verification in Iraq is an operation that relies mostly on human efforts not on technical devices. The Commission has found that one of the greatest shortcomings in its work on monitoring in Iraq has been the relative lack of experts who have extended and detailed knowledge of Iraq's proscribed weapons programmes. The Commission has been provided experts for assignment to Baghdad from many Governments. Typically, these have been highly qualified technical experts in their fields, in their countries. What the Commission finds is that this expertise, while necessary, is not sufficient since additional knowledge of the Iraqi-specific programmes and activities is required. Moreover, in most cases these experts are loaned to the Commission for terms of three to six months. This does not allow enough time to become familiarized with Iraq's programmes and techniques. Over the long term, however, it will be necessary to recruit experts and other inspection personnel who will be engaged in the monitoring activities in Iraq for extensive periods.

44. At this stage, it is impossible to provide a very precise estimation of the size and cost of the OMV system in the future, as that would depend, in significant ways, on decisions regarding tasks, scope and objectives of such a system.

45. In the evaluation and identification of the possible magnitude of the OMV system in the future, the characteristics of the OMV system implemented by the Commission over the last years are provided as a point of reference.

46. In the past, the Commission has used a staff of over 200 personnel per year on a long-term basis (including experts, inspectors, policy officers, support personnel and aircrew), distributed among its three locations: Baghdad, Bahrain and New York. Although the staff was engaged in both disarmament and monitoring activities, since 1994 most of them were devoted to monitoring duties.

47. Additionally, an average of 700 visiting experts and other specialists were employed per year for short-term missions in Iraq, mostly for monitoring inspections.

48. The majority of the Commission's personnel has been provided by governments (as proposed by the Secretary-General and endorsed by the Security Council in 1991 - S/22508). United Nations staff have also been seconded to the Commission. As the Council agreed in 1991, the Member States whose nationals serve on the Commission or assist it in the discharge of its responsibilities have been responsible for their salaries, while the Commission has borne the costs of travel and daily subsistence. These arrangements have helped to keep the overall budget of the Commission to a minimum.

49. In addition, the Commission has borne the costs of transportation, communications, acquisition of some but not all the required equipment, and administration.

50. The overall budget of the Commission has been around $35 million per year. This does not include the cost of significant in-kind support provided - without charge to the Commission - by several governments, such as the U-2 and Mirage IV operational costs, sample analysis and procurement of equipment, among others. Were that support to be borne by the Commission, the actual budget would have been considerably larger.

51. For effective implementation of the Plan for OMV in the future, substantial increases in the resources should be envisaged. Even without critical changes, the cost of the implementation of the OMV system and its size in the future may well double.

52. On a preliminary basis the Commission estimates that the OMV system in the future would require over $50 million, annually, for salaries of long-term (UN recruited) and short-term staff, including inspectors, specialists, support personnel, aircrew and administration. Travel costs, communications and other operational expenditures would require over $15 million per year. Contractual services for the provision of aerial transportation capabilities in Iraq (fixed-wing cargo aircraft and helicopters) would amount to over $10 million. Aerial surveillance support (high, medium and low-altitude aerial surveillance), if to be provided to the Commission, under contractual services, would represent a very considerable expenditure. At this stage, it is difficult to provide any estimate figure for these services. The Governments currently providing such services to the Commission have not provided data on their actual cost. Moreover, this kind of service is not available, currently, in the commercial market.

53. The Commission also estimates that the OMV system in the future, even without the introduction of more far-reaching changes (such as an increase in the resources devoted to the Export/Import mechanism), would require a staff of over 350 personnel for the implementation of all its activities. Most of them will need to be recruited under contracts with the United Nations. Additionally, the OMV system would require an average of 400 visiting experts and other specialists, per year, for short-term missions in Iraq.

Appendix I
MISSILE MONITORING SYSTEM

The Establishment of Monitoring System: Mandate and Background

Mandate and Tasks

1. The Commission's Plan for the ongoing monitoring and verification of Iraq's compliance (the Plan for OMV) was approved by the Security Council in its resolution 715 (1991) of 11 October 1991. The Plan for OMV established specific obligations for Iraq. The Plan also laid out a set of comprehensive rights for the Commission under which it could develop and operate a monitoring system in Iraq in order to fulfil its mandate.

2. The Plan for OMV established that in order to ensure Iraq's compliance, the Commission should, through inspections and through aerial overflights, as well as through the provision of information by Iraq, monitor and verify that activities, sites, facilities, material and other items, both military and civilian, are not used by Iraq in contravention of its obligations.

3. The Plan stated that, in accepting unconditionally Security Council resolution 687 (1991), Iraq undertook not to use, retain, possess, construct or otherwise acquire, inter alia, any ballistic missiles with a range greater than 150 kilometres or any related major parts, including launchers, or any repair or production facilities. Provisions specifically related to missiles are contained in Section E (paragraphs 40-45) and Annex IV of the Plan for OMV. Paragraphs 41 and 42 provide important definitions of activities, sites and items subject to monitoring. Paragraphs 43 and 44 and relevant portions of Annex IV outline specific information and data that Iraq is required to provide to the Commission on a regular basis.

4. Iraq initially refused to accept its obligations under resolution 715 (1991) and the Plan for OMV approved by the resolution. Through early and mid-1993, the Commission undertook an effort in the missile area called "interim monitoring". It was designed to gain a better understanding of the requirements and resources that would be necessary to conduct future full-scale monitoring activities in the missile area once Iraq accepted the Plan for OMV. In May 1993, the Commission began the provisional installation of cameras to observe Iraq's main static test stand for missile engines.

5. In November 1993, Iraq decided to accept the obligations set forth in resolution 715 (1991) and to comply with the provisions of the Plan for monitoring and verification as contained therein.

6. The Commission then began implementation of the monitoring system in the missile area. It conducted a number of baseline inspections of missile facilities and facilities with dual-use capabilities declared by Iraq. Declared operational missiles subject to monitoring were inspected and tagged. In August 1994, a resident missile monitoring team was established, for the first time, at the Baghdad Monitoring and Verification Centre (BMVC).

Assumptions and Basic Considerations

7. At the time of the adoption of the Plan for OMV in 1991 and the subsequent establishment of the Commission's monitoring system in 1994, there was no established precedent for an international inspection and monitoring regime to verify missile related activities similar to the requirements established by the Security Council. No proven or tested procedures existed that could have served as a model for the construction of a regime for verification of Iraq's compliance with the prohibitions on proscribed missiles imposed by the Council, while allowing Iraq to conduct a full scope of activities with missiles of a shorter range.

8. The Commission decided to establish and operate the least intrusive missile monitoring system in Iraq consistent with the overall objectives set forth by the Security Council. In arriving at this decision, the Commission made a number of basic assumptions that determined practical inspection procedures that have been used since in its ongoing monitoring in the missile area.

9. The primary assumption made by the Commission was that, in the implementation of its obligations, Iraq would willingly and fully cooperate with the Commission, inter alia, by: submitting full and accurate declarations; providing prompt, accurate and detailed responses to the Commission's inquiries and requests; granting unimpeded access to facilities, equipment, personnel, and records; and, facilitating aerial overflight and operation of monitoring equipment such as cameras and sensors. In this sense, the Commission has postulated "monitoring friendly" policies and behaviour by Iraq.

10. The second assumption was that the Government of Iraq would take a political decision to abide strictly by its undertaking not to initiate or engage in any proscribed activities and would enforce this decision throughout the territory of Iraq. If this was the case, then discrepancies that were always expected to be identified through monitoring, especially at its initial stages, would be interpreted as honest mistakes by individuals rather than as proscribed activities being deliberately concealed by the Government. The Plan for OMV provided that Iraq adopt legislation prohibiting all natural and legal persons under its jurisdiction from undertaking anywhere any activity prohibited by the relevant resolutions and the Plan, and to enact penal legislation to enforce the aforesaid prohibitions. Such legislation was required to have been enacted within thirty days of adoption by the Security Council of resolution 715 (1991) on 11 October 1991. To date, the legislation has not been enacted.

11. The third assumption was that the Commission would receive, from Iraq, full and complete disclosures of all its proscribed activities and capabilities, and that the identification and disposal of all proscribed weapons, materials and programmes would be achieved. Thus, no disarmament tasks or investigations of the past proscribed activities would need to be pursued under monitoring. The Commission's monitoring could focus solely on non-proscribed activities in Iraq to verify that they are not being misused. Based on this assumption, the current missile monitoring system has not been tasked to search for proscribed weapons and materials. This task has been carried out by the Commission separately through disarmament activities and investigations.

12. In an effort to operate the monitoring regime in the missile area in the least intrusive manner, the Commission decided to concentrate on "check points" rather than to carry out "blanket" monitoring of all relevant activities. A "check point" was defined as a selected stage in missile development or production that specific components, critical for final assembly of a missile, would have to pass through. In many cases, this involves dual-use equipment or technologies. Examples of "check points", in a liquid propellant missile, are flow-forming machines to produce sections of a combustion chamber, and, in a solid propellant missile, casting chambers for motors.

13. "Check points" were designed to assist the Commission in accounting for specific missile components under production in order to gauge the number of complete missiles that Iraq had produced or could produce using such components. "Check points" could also allow the detection of the diversion of components for undeclared use. For its monitoring purposes, the Commission has identified some 50 "check points" at various facilities in Iraq. Most of them are under continuous camera surveillance.

14. In designing its monitoring system, the Commission aimed at denying the use of "declared" facilities for proscribed purposes. If proscribed activities were undertaken, they would have to be conducted at other facilities. Thus, the Commission also incorporated inspections of "undeclared" facilities into its monitoring system.

15. Under the Security Council resolutions, missiles, as such, are not proscribed for Iraq to develop, test, produce or acquire. Only missiles with a range greater than 150 kilometres are prohibited to Iraq. From the technological point of view, there is no boundary to separate missiles with ranges below or above 150 kilometres. The Plan for OMV itself does not contain technical definitions that would distinguish proscribed missile features and characteristics such as permitted or prohibited length and diameter of a missile, weight of its warhead and propellants, technical specifications of the missile engine and other subsystems and parameters of flight trajectories. The monitoring system has to take into account that it is difficult, within this framework, to define, in a clear-cut manner, proscribed versus non-proscribed missile activities.

16. During the last year, the Commission studied the underlying assumptions of its missile monitoring system and the impact that they had on the level of confidence in Iraq's compliance. The Commission has also evaluated its monitoring practices in relation to progress in missile-related activities and available technologies in Iraq. This resulted in a review of the missile monitoring system. Through this review, several areas were identified which required additional or improved inspection efforts in order to monitor effectively Iraq's activities in the missile area. The implementation of some of these improvements were already in progress. Such improvements and other suggestions resulting from this review are outlined in the present paper.

Iraq's Missile Programmes relevant to Monitoring

17. After the adoption of resolution 687 (1991), Iraq declared that it would carry out activities related to non-proscribed missiles. In the course of implementation of the Plan for OMV, Iraq declared a number of specific missile projects. Some of these projects were a resumption of programmes that Iraq had been engaged in prior to the adoption of resolutions 687 (1991) and 715 (1991).

18. The main missile activity in Iraq under monitoring by the Commission since 1994 has been the development of a missile, with a declared range of just below 150 kilometres, for indigenous production in Iraq. This missile system, known variably as Ababil-100 or the Samoud, has been under development in both liquid and solid propellant versions.

19. Since the missile monitoring system was established in 1994, Iraq has achieved considerable progress in the development of the Samoud liquid propellant missile system with a declared range of 149 kilometres. A number of static tests of missile engines were conducted. In October 1997, Iraq carried out its first declared flight test of a Samoud missile. This flight test was declared a success by Iraq and demonstrated a significant step in Iraq's indigenous missile production capabilities. Iraq continued active flight test activities in 1998.

20. Iraq has been working on the design and development of the Ababil-100 solid propellant missile with a declared maximum range just short of the 150 kilometre limit. Iraq is in the process of establishing the infrastructure for the production of solid propellant motors and other components for such a missile.

21. Other major activities by Iraq include efforts aimed at indigenous production of a short range missile; the development of remotely piloted vehicles; and, reverse engineering and modification of various missile systems available in Iraq.

22. Iraq has pursued the indigenous production of a battlefield missile with technologies which could be used in longer range systems. Several static and flight tests of indigenously produced missiles have been conducted.

23. Iraq has declared the development of a remotely piloted vehicle. The Commission is monitoring this programme due to its use of components from a monitored operational missile as well as missile related technologies and capabilities covered under the Plan for OMV.

24. Iraq has declared programmes related to reverse engineering or modification of a number of missiles available in Iraq. These projects are subject to monitoring as they use listed facilities for related design or manufacturing activities. Dual-use equipment, material and items covered by the Plan for OMV are associated with the projects.

25. It should be noted that after the adoption of resolutions 687 and 715 (1991), Iraq undertook a number of missile activities that are covered by the Plan for OMV. These were not declared by Iraq in accordance with the Plan. The most significant of these covert programmes was a project called J-1 to acquire surface-to-surface liquid propellant missiles through the modification of surface-to-air missiles already available to Iraq. This project was not declared to the Commission until 1995, that is, more than two years after it had been allegedly aborted.

26. The monitoring activities in the missile area take into account the established scope of ongoing missile projects in Iraq and are adjusted in response to the projects' overall progress and specific achievements and developments.

Current Monitoring System: Its Architecture

27. The missile monitoring architecture is based on a process that interleaves different inspection procedures, data collection efforts and analytical tools. These tools in the missile area include on-site inspections by resident and non-resident teams, remote camera surveillance, use of other sensors, declarations and notifications from Iraq, participation in aerial inspections and Export/Import monitoring.

28. Before proceeding to the discussion of the actual operation of the missile monitoring systems and tools used, it is worthwhile to address at least two notions that have prime significance: firstly, sites for inspection and secondly; dual-use items.

List of Sites

29. The Commission has developed and maintained a list of sites in Iraq for regular inspection by missile resident teams. This list includes facilities declared by Iraq under the Plan for OMV as being involved in missile related activities or possessing dual-use capabilities; facilities identified by the Commission, and some other sites. Sites which are included in the list are referred to as "listed sites". Currently, there are some 80 sites on the missile list.

30. The main purpose of the list is to assist resident teams in planning and executing routine on-site inspections and in the verification of Iraq's declarations. The list has never been intended to be the only source for the identification of sites for inspection activities under the Plan for OMV. The scope of monitoring is not limited in any way to "listed sites". The monitoring regime was rather established by the Security Council for the purpose of monitoring and verifying that, throughout Iraq, activities, sites, facilities, material and other items are not used by Iraq in contravention of its obligations under resolutions 687 (1991), 707 (1991) and 715 (1991). For this purpose, Iraq undertook, under the Plan for OMV, to accept unconditionally the inspection of any site, facility, activity, material or other items declared by Iraq or designated by the Commission; and to provide immediate and unimpeded access to any site, facility, activity, material or other items to be inspected. Under its missile monitoring system, the Commission has carried out inspections of sites not included in the list in order to ascertain that no proscribed activities or activities that were to be declared under the Plan for OMV, took place at those "non-listed" sites.

31. The sites and facilities in the current list in the missile area can be broken down into six main categories: key facilities; supporting facilities; dual-use facilities; sites involved in previous proscribed activities; operational sites and, other sites.

32. Key facilities are facilities declared by Iraq that are directly engaged in the ongoing missile development, testing or production programmes in Iraq. These facilities have equipment or capabilities to produce missile or major missile components for both proscribed and non-proscribed purposes. There are 12 such facilities on the list. They were singled out for special inspection procedures to ensure that all activities at these sites are for non-proscribed purposes. The procedures at these facilities include frequent no-notice inspections by resident teams, remote camera surveillance at multiple points, tagging of dual-use and other critical equipment, notifications by Iraq of all equipment movement and detailed semi-annual and, as required, monthly declarations from Iraq. Based on its experience, the Commission recently began to use more frequently at these facilities such inspection procedures as document searches, computer searches and interviews of key personnel.

33. Supporting facilities are declared facilities which are involved in the design or production of components or tooling for ongoing non-proscribed missile programmes in Iraq. In many cases, this involves the use of dual-use items, materials and equipment. There are 18 such facilities on the list. The Commission inspects these sites for the number and type of components or tools that they produce for missile programmes as well as for their dual-use capabilities. Inspections of these facilities are critical since the components and tools produced could be misused for proscribed purposes or diverted for undeclared activities. These facilities have been subject to a lower intensity of inspection activities than key facilities. A more intensive inspection of supporting facilities may be required in response to progress in Iraq's missile activities.

34. Dual-use facilities are declared facilities which contain items and technologies listed in Annex IV of the Plan for OMV. As distinct from "key" or "supporting" facilities, dual-use capabilities at these facilities are not declared by Iraq as being used for the benefit of its missile programmes. There are 20 such facilities on the list. Such facilities are inspected to ensure that their missile related capabilities are only used in declared activities. The Commission maintains a minimal inspection presence through infrequent on-site inspections and remote camera surveillance of specific dual-use items. Based on experience, it is likely that some of these facilities would require more inspection efforts as more dual-use technologies and items might become available to Iraq.

35. Sites involved in previous proscribed activities are generally facilities which are currently abandoned. Inspections are done to ascertain that they remain so. There are eight such facilities on the list and they are generally subject only to aerial overflights.

36. Operational sites are those facilities which are involved in the maintenance or operation of non-proscribed missiles. On-site inspections are required to ensure that all missiles that require monitoring have been declared by Iraq and that the facilities are not involved in proscribed activities such as training for the use of proscribed missiles. There are some 10 facilities on the list. As it was assessed that Iraq was not producing indigenously or otherwise acquiring new missiles, the Commission, after an initial round of inspection of those sites, decided to limit further inspections of these facilities in order to respect Iraq's legitimate concerns relating to national security.

37. Other "listed sites" are sites which have some relation to the Commission's activities in Iraq, such as excavation sites at locations of the unilateral destruction of missile and related equipment, holding areas of proscribed components, former proscribed weapons and equipment hide sites, etc.

List of Dual-Use and Other Equipment

38. One way to collect the data required to assess Iraq's compliance is to monitor, throughout Iraq, equipment and other items that could be used by Iraq in proscribed missile activities or in undisclosed activities that Iraq is required to declare under the Plan for OMV. The Plan established a list of dual-use items for the missile area. This list constitutes Annex IV to the Plan. The Annex contains technical definitions of equipment, components, items, materials and technologies that are considered important to develop and produce proscribed missiles in Iraq. The list was subsequently revised to elaborate specific items which would be subject to Export/Import monitoring. Modifications to the list were mainly based on an internationally accepted missile non-proliferation regime, the Missile Technology Control Regime. This modified Annex IV was approved by the Security Council in March 1995. Further modifications may be expected in the future in the light of experience.

39. The monitoring of dual-use items establishes surveillance of the most critical equipment, materials, tooling, components or technologies to seek to ensure that they are only used, in practice, for legitimate declared purposes and are not diverted to proscribed applications. Most of these items have applications in both proscribed and non-proscribed missile development or production. Many could also be used in non-missile related industries. There are numerous dual-use items and materials in Iraq. The Commission attempts to monitor them by a variety of methods depending on the nature of items, but primarily by maintaining running inventories of identified items at "listed" facilities. For example, 38 pieces of dual-use equipment are tagged in the missile area. The Commission also conducts specific inspections to verify that no dual-use items are present at other, "non-listed" facilities.

40. In addition to items in Annex IV of the Plan for OMV, the Commission monitors some other critical equipment located mainly at key facilities. Iraq is required to declare all equipment at key facilities and their movement. While other equipment with similar capabilities is likely to exist in Iraq, the Commission views the tracking of declared equipment associated with key missile facilities necessary to its effort to prevent the movement of declared capabilities to undeclared sites.

41. A number of items which were used or acquired by Iraq specifically for proscribed programmes in the past have been tagged by the Commission. While these items are not explicitly listed on Annex IV and while other such untagged items might exist elsewhere in Iraq, the Commission views the monitoring of these tagged items as important because of their association with past proscribed activities.

On-site Inspections

42. On-site inspections are the main tool used by the Commission for monitoring and verification in Iraq. The Commission has developed and employed a variety of inspections to meet specific objectives.

Baseline

43. In order to establish its current monitoring system in Iraq, the Commission conducted, in early 1994, baseline site inspections. They mostly covered Iraq's declared missile research, development, testing and production facilities, and declared dual-use facilities. The objective was to determine specific requirements for monitoring procedures for each site. During an initial round of baseline inspections, 33 facilities were inspected to assess the level of technical capabilities of each facility related to both proscribed and non-proscribed missile activities, follow the production process at each facility, identify requirements for tagging and remote camera surveillance and elaborate specific details for Iraq's declarations regarding each facility. All 33 facilities inspected were included in the site list in the missile area. The baseline inspections also assessed the overall status of each of the indigenous missile programmes declared by Iraq under the Plan for OMV.

44. The operation of the missile monitoring system revealed some weaknesses in initial assessments. As mentioned previously, the Commission assumed that Iraq would fully support the monitoring system. During over four years of missile monitoring, the Commission has learned that Iraq: sometimes provided incomplete declarations; had engaged in undeclared and even proscribed missile related activities; and, tended to understate the level of its achievement and technological skills.

45. In response to these events and Iraq's recent improvements in its non-proscribed missile related capabilities, the Commission began a process of a basic review of missile design, development and production activities in Iraq at their new levels. The goal is to maintain the Commission's ability to monitor effectively Iraq's activities. The Commission conducted new baseline inspections related to missile and dual-use production equipment at the end of 1997, and Iraq's solid propellant missile industry in the middle of 1998. Resultant assessments and recommendations are being incorporated into the monitoring system. Additional baseline inspections are still required to bring the current monitoring system up to speed.

Resident Teams

46. The centerpiece of the monitoring system is teams of resident inspectors stationed in the Baghdad Monitoring and Verification Centre (BMVC). No other tool is as flexible. Inspectors can be recruited with specific technical knowledge and trained to exercise a variety of mandated inspection procedures. Resident inspectors are tasked to carry out on-site inspections of "listed" and "non-listed" facilities, conduct analysis and assessment of specific areas of Iraq's activities, participate in aerial inspections, etc.

47. The majority of on-site inspections by resident teams are done on a no-notice basis. On average, 350 inspections per year have been performed by missile resident teams. During on-site visits, inspectors observe ongoing activities at facilities, check the accuracy of Iraq's declarations and confirm the presence of tagged and other declared items, if applicable. Inspectors might ask questions of the facility personnel to obtain better understanding of relevant activities and status of missile programmes.

48. No-notice inspections by missile resident teams did not include regular use of such procedures as document searches, computer searches, interviews of personnel or sample taking. The active and regular use of these procedures may become necessary in order to verify effectively Iraq's compliance.

49. Missile resident teams interact on a regular basis with other resident teams in the BMVC. For example, the missile monitoring system covers essentially the same facilities and equipment as the nuclear monitoring system. Several items of equipment are under joint remote camera surveillance by the IAEA and the Commission.

50. Missile resident teams provide assistance to the Aerial Inspection (AIT) and Export/Import (EG) teams at the BMVC. For example, assistance to the AIT involves the interpretation of imagery or the identification of areas requiring photographic coverage. The work with the EG team is in the form of expert assessment of items imported by Iraq and their relation to Annex IV of the Plan for OMV. There has not been a significant inflow of such goods into Iraq. It is expected that the interaction between the missile and EG teams at the BMVC will increase in the future. This might necessitate the acquisition of dedicated personnel for missile resident teams to perform this specific coordination function.

51. The Commission has identified a requirement to improve the training of its resident missile inspectors. Their training and expertise have been declining to a level that could jeopardise the Commission's objectives in ongoing monitoring. The Commission has begun the development of a new training programme with a goal of meeting the new requirements.

52. The Commission has attempted to maintain five to seven technical inspectors on missile resident teams in the BMVC. In response to increased workload and the diversification of the team's tasks, it is expected that this number will need to be more than doubled in the future.

Non-resident Inspections

53. While missile resident teams have the responsibility to inspect sites on a daily basis, the Commission also sends non-resident teams to Iraq to conduct special monitoring inspections. Such inspections require specialised expertise, training, operational planning and support. Examples of such inspection missions are: missile tagging and tag checks; missile test activity observation; missile technology updates; baseline inspections; and, compliance inspections. Several missions went to Iraq to conduct discussions of monitoring activities with the Iraqi counterparts. Over 40 non-resident teams have been to Iraq on monitoring inspections and missions since 1994.

54. It is important to keep track of the technological progress of Iraq's industries to ensure that the ongoing monitoring is properly focused. Technology update inspection teams go to Iraq, usually on a semi-annual basis, to assess advancements in the technology base and to make recommendations for improvements in the monitoring system. Inspectors on such teams bring fresh perspectives on missile related developments and on the application of emerging technologies for monitoring purposes. Technology update inspections are critical to keeping the monitoring system in the missile area up-to-date. There have been seven such teams in Iraq since 1994.

55. Pursuant to the Plan for OMV, in particular its paragraph 43(a), the Commission monitors specified operational missiles in Iraq to ensure that they are not modified for prohibited purposes. Since mid-1994, 22 non-resident teams went to Iraq to conduct inspections for this purpose. A more detailed discussion of relevant issues is presented in a section below dealing with operational missiles.

56. As the development of the Samoud missile system progressed, Iraq has engaged in more test activities, both static and flight. In order to properly evaluate these activities and test results, the Commission reverted to the practice of supplementing, on a temporary basis, resident teams with special equipment and personnel, including missile test engineers. This practice has proven to be very useful. Some 10 such supplementary groups have been sent to Iraq starting in late 1997. In the future, test engineers and specialists will have to be placed permanently on missile resident teams to cover effectively and in detail all missile test activities.

57. Other non-resident inspection teams were sent to Iraq as required. They were involved in baseline inspections, monitoring discussions and compliance inspections. Baseline inspections are discussed above. Monitoring discussions were carried out on numerous occasions to clarify, elaborate or resolve technical issues related to ongoing monitoring in the missile area. For example, during these discussions, issues related to formats of Iraq's declarations and notifications, definitions of missiles, facilities, equipment and items subject to monitoring, deployment and operation of sensors and interaction between inspectors and Iraqi personnel have been addressed.

58. Seven compliance inspections have already been sent to Iraq since 1994 to verify information gained from inspections or received from other sources concerning Iraq's compliance with its obligations under the Plan for OMV not to use, develop, construct or acquire proscribed items. Most of them carried out investigations of Iraq's attempts, after the adoption of resolution 687 (1991), to procure from abroad items or assistance for its missile programmes. A number of cases were identified when Iraq imported or sought to import missile-related items that it was required to declare under the Plan for OMV. Some of these efforts were not declared to the Commission. In one particular case, the Commission established that Iraq imported proscribed gyroscopes in 1995 that could be used in long-range missiles.

59. The Commission's use of non-resident inspections is likely to increase in the future to meet a growing number of specialized tasks that would need to be carried out in the framework of the missile monitoring system.

Inspections of Non-Listed Sites

60. In order to seek to deter or uncover Iraq's use of facilities or sites for undeclared or proscribed purposes, missile resident and non-resident teams conduct inspections of sites in Iraq that are not included in the missile site list. Such "non-listed" sites are designated by the Commission for inspection based on their assessed capability to be involved in proscribed activities or based on information that they are involved in undeclared or proscribed activities. Inspections of "non-listed" sites are crucial to the development of overall assessments of Iraq's compliance with the Plan for OMV. The Commission expects that the importance of this type of inspection in the missile area will increase in the future to improve the effectiveness of monitoring.

Sensors

61. In addition to on-site inspections by expert personnel as its central element, the monitoring system in the missile area makes extensive use of technical devices. Cameras allow the surveillance of activities and equipment on a continuous basis. Application of tags ensures detection of tampering. As sensor technologies progress, the Commission intends to avail itself of emerging capabilities.

Cameras

62. The primary sensor in the missile monitoring system is remote surveillance cameras. Cameras installed at missile facilities and their workshops allow continuous observation of selected locations and recording of ongoing activities. The system is also capable of transmitting imagery back to a camera control room at the BMVC.

63. In the missile area, 74 cameras are installed at 15 "listed" facilities. They are mostly used to observe "check points".

64. The Commission, both through its BMVC missile resident teams and its headquarter's staff, evaluates images recorded by the cameras to determine the nature of activities at locations and with equipment under camera surveillance, and to produce estimates of the quantity, quality and usage of components or missiles being produced at these locations. Examples of such locations are specified technological stages in the missile development and production such as flow forming; vacuum brazing; solid propellant mixing, casting, extrusion and curing; gyro balancing; hydrostatic testing; and missile final integration. Remote cameras have a particular value at static test stands for the testing of missile engines. They allow the recording of declared tests as well as the detection of any undeclared test activities at the declared stands. Temporary video cameras were also installed at storage areas to verify non-unauthorised access to such areas and ensure custody control of items in storage.

65. The Commission is planning an upgrade of its existing camera system and the deployment of advanced cameras in the missile area.

Instrumentation

66. As missile related activities progressed in Iraq, the Commission began to put more effort into technical evaluation of Iraq's declared missile systems and their components. At the end of 1997, several specific issues for technical assessment of the Samoud missile were identified. The Commission resorted to additional technical instrumentation for independent and precise appraisal of specific missile parameters both through physical measurement and mathematical modelling. This called for the use of such instrumentation as precision scales and precision volumetric gauges. These were necessary to verify that declared missile characteristics such as weights of individual missile sub-systems and sections, volumes of propellant loads and matching parameters of the missiles actually used in tests. Such data is essential for verification that the declared system as a whole complies in practice with the Plan for OMV.

67. The Commission believes that the deployment in Iraq of its own system to track in-flight tests of missiles would considerably improve monitoring in the missile area. The Commission carried out a survey mission in December 1998 in preparation for the future use of the tracking system.

68. The Commission intends to use new sensors for monitoring activities in the missile area. Examples of emerging useful technologies under study are: remote sensors, real-time analytical samplers and detectors, and recorders of control units for production equipment.

Tags

69. Tamper-proof tags are being used in the missile area for inventory control and to prevent certain activities from being undetected. Their usage assisted in maintaining reliable inventories of dual-use and other equipment and controlling equipment movement. Tamper-proof tags are one of the main tools for verification of non-modification of declared operational missiles under monitoring. Tags are also used to control unauthorized access to some areas and to some items. The use of tags is relatively inexpensive and facilitates a whole range of monitoring activities.

70. Up to now, monitoring sensors including cameras, instrumentation and tags, have been provided by Governments on a "no-cost-basis". The Commission has relied on supporting Governments for necessary maintenance services and logistical support for the monitoring sensors.

Iraq's Declarations

71. The Plan for OMV was designed following the established and proven method in arms control: verification of declarations provided by the party under monitoring. According to the Plan, Iraq undertook to provide, on a regular basis, full, complete, correct and timely declarations and notifications as specified in the Plan or designated by the Commission as well as to respond fully, completely and promptly to questions and requests from the Commission.

72. In the missile area, Iraq is required, under paragraph 43 of the Plan, to submit on a regular semi-annual basis:

a list of all its missiles designed for use, or capable of being modified for use, in a surface-to-surface role with a range greater than 50 kilometres, specifying various missile parameters, and information on any project and on any site or facility for such missiles;

information on any project and on any site or facility for missile research, development, modification or testing;

information on the development, production, acquisition and other activities related to items and technologies listed in Annex IV.

73. Under paragraph 44 of the Plan, Iraq undertook to notify the Commission of developmental and test launches of any missile.

74. The Commission provided to Iraq formats for these declarations. It has also identified requirements for additional notifications and communications from Iraq in response to developments in missile-related activities in Iraq or through experience the Commission has gained in the implementation of the Plan.

75. Upon receipt of declarations and notifications from Iraq, the Commission assesses them, updates its relevant databases and conducts, through resident and non-resident teams, a verification of their completeness and accuracy. Assessment and verification of Iraq's declarations in the missile area is quite an enormous task. Each time they are submitted, semi-annual declarations alone contain some 1000 pages. Additional declarations and notifications, including on missile tests and equipment movement, are frequent and require follow-up actions on the part of the Commission.

76. The Commission's confidence in Iraq's compliance depends significantly on the openness, accuracy and completeness of Iraq's declarations. The Commission's experience with Iraq's declarations in the missile area is that they have been generally complete and correct. On several occasions, the Commission has noted Iraq's reluctance to declare, at an early stage, activities which should be under monitoring. An example is Iraq's acquisition of a facility for the production of Ammonium Perchlorate (APC), a missile propellant listed in Annex IV in the Plan for OMV. Iraq began the development for this facility in 1995, without providing a notification to the Commission. Through an on-site inspection of a "non-listed" site, the Commission first detected such activity in early 1996 when it discovered a pilot plant for the production of APC. In late 1997, Iraq notified the Commission that it had begun the construction of a full-scale facility for the APC production. Such delayed disclosures disrupt the smooth functioning of the monitoring system.

77. In a number of cases, Iraq refused to provide the required declarations or to respond fully and promptly to Commission's requests for clarifications. This has handicapped effective monitoring. In most of these cases, Iraq cited national security reasons for its refusals to comply with its obligations under the Plan for OMV.

78. If incomplete or delayed declarations were to become common in the missile area, the Commission will have to increase the intensity of its inspection activities by bringing under the inspection process design and management facilities, and by resorting to the increased use of document and computer searches at "listed" and "non-listed" facilities.

Operational Missiles

79. The Plan for OMV provides for the monitoring of missiles designed for use, or capable of being modified for use, in a surface-to-surface role with a range greater than 50 kilometres. Some such missiles are operational as they are deployed with Iraq's Armed Forces. The objective of monitoring operational missiles is to ensure that they are not modified for proscribed purposes, for example to extend their ranges over the non-prohibited limit of 150 kilometres or to modify them for the delivery of chemical or biological warfare agents. Paragraph 43 (a) of the Plan requires Iraq to provide a list of all missiles with a range greater than 50 kilometres in Iraq, including sites and facilities where such missiles and related equipment are located.

80. At the initiation of the monitoring system, the Commission had established, in cooperation with Iraq, certain modalities for monitoring Iraq's operational missiles. This was done to address security and national defence concerns expressed by Iraq and was motivated by the Commission's decision to operate the least intrusive missile monitoring system in Iraq. For these reasons, the Commission waived an option to inspect missiles and associated facilities at times and locations of its choosing as it has a right to do under the provisions of the Plan for OMV.

81. The established modalities envisioned that after all declared missiles are tagged, the Commission would verify non-modification of the missiles by checking the integrity of the tags affixed. For this purpose, the Commission would send no more than three teams per year. It would select for each inspection up to 10% of all tagged missiles, a list of which would be provided to Iraq ten days prior to each inspection. Iraq presents the missiles selected by the Commission for inspection at locations of its choosing.

82. Initially, in 1994, the Commission decided not to tag SA2/Volga surface-to-air missiles in Iraq. Although such missiles fall under definitions contained in the Plan for OMV and Iraq attempted, prior to the adoption of resolution 687 (1991), to modify such missiles for a surface-to-surface role, the Commission decided again to resort to less intrusive monitoring procedures for such missiles in order to accommodate, to the maximum, Iraq's stated security concerns. After August 1995, Iraq declared that, after the adoption of resolution 687 (1991), it had secretly conducted modifications of SA2/Volga missiles for a surface-to-surface role without declaring such activities to the Commission. In response, the Commission changed its earlier decision not to tag these missiles. During 1996, these missiles were tagged and added to the list of missiles for annual inspections.

83. Monitoring of SA2/Volga missiles in Iraq presents particular problems. In response to the Commission's attempts to implement the relevant provisions of the Plan for OMV, Iraq raised objections to some inspection procedures and monitoring requirements citing national concerns. In some cases Iraq continues to refuse to accept some of them, including those related to reuse of specific components of these missiles for its programme to develop the Samoud surface-to-surface missile system. These issues remain mostly unresolved.

84. Currently, there are several thousand operational missiles of different types that are declared by Iraq under paragraph 43 (a) of the Plan for OMV. It includes short-range surface-to-surface missiles, surface-to-air missiles and cruise missiles. There are no missiles on the current list that Iraq has produced indigenously.

85. Since 1994, the Commission has carried out 22 inspections related to tagging and checking operational missiles under monitoring. This includes 14 "annual" checks carried out pursuant to the established modalities. The Commission has not identified any evidence of proscribed modification of the tagged missiles.

86. The effectiveness of the established modalities for inspection of declared operational missiles depends on Iraq's cooperation. In particular, the Commission has assumed that Iraq would declare all available missiles subject to monitoring. The Commission has so far been refraining from conducting specialized inspections to verify that all relevant missiles have indeed been declared by Iraq. In the future, the Commission may have to resort to regular inspections with this purpose in order to maintain effective monitoring of the operational missiles. This will be particularly important when Iraq starts to acquire new missiles either through indigenous production or importation.

Headquarters

87. The staff in the Commission's headquarters in New York is responsible for advising the Executive Chairman on the day-to-day operation of the missile monitoring system, improvements to the system, and results of analysis of Iraq's activities and assessments of Iraq's compliance. The staff assists the Executive Chairman in the preparation of his reports to the Security Council.

88. The headquarters office conducts the assessment, in conjunction with resident teams in the BMVC, of Iraq's declarations and data collected through various inspection efforts. It is engaged in the evaluation of imagery collected by the Commission's aerial surveillance assets provided by supporting Governments and participates in the tasking for these assets in support of the ongoing monitoring in the missile area. The staff carries out, in support of the Joint Export/Import Unit, the technical review of information related to Iraq's importation of dual-use goods. It is responsible for the planning and execution of non-resident inspections. For many of these inspections, assistance is sought from governments in the form of information, personnel, technical and logistical support, and training. Many non-resident inspections include members of the headquarters staff to provide for continuity and leadership.

89. One of the main day-to-day responsibilities of the headquarters staff is overseeing, recruiting, manning, equipping, training and other general management tasks in operation of the missile monitoring system.

90. Currently, there are six officers in the Commission's headquarters in New York responsible both for disarmament and monitoring activities in the missile area.

External Support

91. The Commission has relied extensively on the support of Member States, in the form of personnel, equipment, services and information, to carry out its monitoring activities in the missile area.

92. Governments are the only source of personnel with technical expertise and the inspection skills required. The Commission has approached some 30 Governments with requests to provide experts for resident missile teams. Experts from 16 countries have participated in such teams since 1994. Missile technologies are limited to a few countries, the number of personnel involved in relevant industries is relatively small, generally over-employed, and very well paid. For these reasons, the Commission has found it increasingly difficult to obtain or retain qualified technical experts necessary for the ongoing monitoring in the missile area. Currently, the Commission can reliably depend on only a few Governments to provide, on a "cost-free basis", such personnel. In the future, the Commission will need to find additional sources of recruitment of its missile inspectors and will most probably have to bear considerable costs associated with the recruitment and training of technical experts and other inspection personnel.

93. In the missile area, the Commission's monitoring system requires extensive technical support ranging from the technical assessment of Iraq's missile designs and characteristics, to expert evaluation of development and production activities, to data analysis of both static and flight tests, to computer simulation of missile data, to the development, supply and service of monitoring sensors and technologies. The Commission has relied exclusively on Governments for such support. In the future, requirements for technical support will increase. The Commission is planning to approach a number of Governments with a request to designate national laboratories and establishments that would be able to provide, upon the Commission's request, technical and analytical support for ongoing monitoring in the missile area.

Current Monitoring System Capabilities: Lessons and Assessments

94. Through more than four years of its monitoring activities, the Commission has identified capabilities and deficiencies of the current monitoring system in the missile area. Based on the provisions of the Plan for OMV, the current system was established and operated on the basis of a number of political, technical, logistical and financial assumptions and considerations. These issues need to be kept under continuing review and scrutiny to maintain the relevance and effectiveness of the missile monitoring system

95. Certain lessons have been learned about what the current monitoring system can do with a high degree of confidence or cannot do in the verification of Iraq's compliance in the missile area. In between these two extreme points, a variety of Iraq's missile related activities could be verified with various degrees of confidence.

What the Current Monitoring System Can Do with a High Degree of Confidence

96. In the Commission's view, the current missile monitoring system can:

• reliably monitor activities declared by Iraq related to missile design, development, testing and production.

• reliably monitor missile related production capabilities in Iraq using declared or identified equipment, in particular dual-use items and technologies.

• follow missile related technological developments in Iraq. The Commission maintains a detailed knowledge of Iraq's declared missile projects, their activities and capabilities. If any unexpected leaps in technological levels were to be detected by the Commission, it could be a clear indicator of undeclared activities.

• detect modifications to declared operational missiles. Although the established modalities should deter Iraq from conducting any proscribed modifications and any modifications of the tagged missiles could not occur without detection, the actual discovery by the Commission of such modifications, if done on a small number of missiles, may require up to three years.

What the Current Monitoring System Cannot Do

97. In the Commission's view, the current missile monitoring system cannot:

• be relied upon to detect undeclared missile activities on a scale of design or low-level prototype production, even at "listed" facilities. Without a continuous presence of inspectors at such facilities, there would be enough time, before an inspection team's arrival, to remove evidence of undeclared or proscribed activities of such a scale. Reliable detection could not be achieved without a significant modification of current inspection practices. Larger scale missile production activities leave significant evidence that would require more time to remove. Activities on that scale, declared or not, stand a fair chance of being detected overtime.

• be relied upon to detect undeclared activities at an early stage. Much more intensive inspection procedures including document and computer searches at programme management and design facilities in Iraq, would need to be applied on a regular basis to ensure timely detection of such activities at an early stage.

• track monetary expenditures in support of missile activities. Early indications of undeclared or proscribed programmes and procurement activities could be detected through access to financial records. Inspections of banks and other financial institutions, and document and computer searches at programme management facilities would be required to detect undeclared or proscribed activities through tracking monetary expenditures and transactions.

• be relied upon to detect undeclared importation of proscribed items if they are not notified to the Commission and used by Iraq at "non-listed" facilities or put in storage.

• be relied upon to identify proscribed or other missile activities that Iraq might decide to carry out abroad.

98. The ultimate objective of ongoing monitoring in the missile area is to detect in a timely manner and to deter the deployment by Iraq of an operational force of proscribed missiles. Under existing conditions in Iraq, the current monitoring system is deemed able to accomplish this task in relation to indigenous production and deployment of large quantities of missiles required for an operational force of significance. Detection of Iraq's acquisition of such a force through importation would largely depend on receiving information from a supplier Government. The ability to discover any retained proscribed missiles and their operational assets is questionable at this juncture, as the monitoring system has not been engaged in such efforts. Were this to be attempted, substantial changes in inspection procedures that are being practised under the current monitoring system in the missile area would be required.

Appendix II
THE CHEMICAL MONITORING SYSTEM

INTRODUCTION

1. The Plan for OMV addresses ongoing monitoring and verification of Iraq's compliance with its unconditional obligation not to use, retain, possess, develop, construct or otherwise acquire any chemical weapons (CW) or any stocks of chemical warfare agents or any related subsystems or components or any research, development, support or manufacturing facilities.

2. The General objectives for monitoring in the chemical area is to monitor and to verify that activities, sites, facilities, materials and other items, both military and civilian, are not used by Iraq in contravention of its obligations. The system of chemical monitoring was established in Iraq in October 1994.

3. The Goal of the current monitoring system is to monitor dual-capable activities, sites, facilities and materials that have legitimate uses for non-prohibited purposes and have never been used for CW purposes, but which due to their nature could be used for the development, production or acquisition of chemical weapons. To this end, the verification of Iraq's compliance with its obligations not to retain stocks of chemical weapons, their subsystems and components and CW research, development, support and manufacturing facilities has been pursued by the Commission separately in the course of the verification of Iraq's CW programme under paragraphs 8 and 9 of Security Council resolutions 687 (1991) and 707 (1991).

4. The monitoring system is focussed on the verification of:

• the total national quantity of the production, processing, consumption or storage of dual-use (declarable) chemicals;

• sites and facilities that are involved in the production, processing, consumption or storage of all the above mentioned chemicals;

• sites and facilities that are involved in the production, processing or storage of organophosphorus chemicals or are involved in production of organic chemicals by chlorination;

• acquisition of equipment or technologies intended for the production and processing of the above mentioned chemicals and sites and facilities that are involved in the production of such equipment; and

• sites and facilities that at any time have been involved in the production of munitions intended for CW purposes and/or in providing support to the CW programme.

CONCEPT AND STRUCTURE OF CHEMICAL MONITORING

5. The Concept of chemical monitoring is is based on:

• identification of sites, facilities, items, materials and activities to be monitored on the basis of information obtained through the verification of Iraq's CW programme, the declarations provided by Iraq according to the Plan for OMV, baseline inspections and aerial surveillance;

• determination of appropriate monitoring and verification activities and procedures to be applied for monitoring and verification of specific sites, facilities, items, materials and activities;

• implementation of inspection rights established by the Plan for OMV; and

• development, handling, maintenance and upgrading of the chemical monitoring data-base.

6. Full knowledge of Iraq's CW programme is required for the most effective implementation of the Plan for OMV. This is important to evaluate the level of technical developments achieved by Iraq in the area of research and production of CW, including stability, storage and shelf-life of CW agents, synthetic routes used for their industrial production, equipment and materials used for the production of CW agents and types of munitions filled with these agents. Such knowledge would allow the Commission to assess the complete infrastructure of CW-related activities.

7. Information on the facilities that have been involved at one time in research and development activities and in providing support to the CW programme is of particular importance. While production facilities can be identified independently on the basis of their special features, R&D facilities can only be determined on the basis of Iraq's full disclosure of its CW programme.

8. Chemical monitoring is also enhanced by the export/import monitoring mechanism. The export/import monitoring mechanism covers Iraq's procurement/imports of declarable items. The chemical monitoring system is responsible for the verification of the further use of declarable items at the sites listed as end-users. To date these arrangements work satisfactorily.

Iraq's declarations under the Plan for OMV

9. According to the requirements of the Plan, Iraq shall provide semi-annual declarations detailing: the types, quantities and location of chemicals that could be used for the development, production or acquisition of chemical weapons, but which also have significant uses for non-prohibited purposes, as well as chemicals which have little or no use except CW purposes. Iraq shall also declare sites and facilities that are involved in the production, processing, consumption, storage, import or export of any such chemicals. In addition, Iraq's declarations should comprise any acquisition of equipment and technologies capable for the production and processing of listed chemicals. Lists of declarable items of equipment and chemicals are included in the annexes to the Plan. These lists are broader than the lists in the Convention on the prohibition of chemical weapons, given the fact that they are based on the Commission's knowledge of Iraq's specific actions to develop and produce chemical weapons.

10. Iraq's declarations required under the Plan for OMV have been significantly improved over the period of the last four years. However, they are still not accurate and complete. For example, the Commission has repeatedly found declarable items of equipment and chemicals not included in Iraq's declarations. Each such case is subject to investigation. Under the Plan, the Commission has the right to destroy undeclared items of dual-use equipment and materials. In September 1997, 197 pieces of glass chemical production equipment, originating from the former CW production facility, were destroyed as determined by the Commission.

Baseline process

11. To evaluate special features of sites, facilities, items, materials and activities to be monitored and their potential capability for proscribed use, the Commission conducts baseline inspections in Iraq. These inspections are conducted with non-resident teams of international experts. The process is aimed at developing base line inspection protocols. The protocols outline recommended inspection procedures, including the types and sequence of inspections and the required verification techniques for each facility, depending on its specific parameters and capabilities. An essential part of the protocols is the assessment of the dual-use capability of the facility. The Commission updates these protocols on a regular basis, depending on changes in site configurations and equipment.

Listed monitoring sites

12. As a result of the evaluation of Iraq's declarations, some 166 sites and facilities are included in the list of chemical monitoring sites. These comprise some 120 sites and facilities declared by Iraq and an additional 46 sites and facilities designated by the Commission.

13. The 120 declared sites and facilities include some 100 main facilities declared by Iraq with respect to declarable items and materials. These cover chemical and petrochemical facilities, including production/ formulation/ storage of pesticides and herbicides, production of mineral fertilizers, oil refineries, consumers of declarable chemicals, and the production of declarable equipment. They also cover facilities which are still under construction. Twenty of the 120 sites, are included in the list on the basis of Iraq's declarations of its prior CW activities.

14. Forty-six sites are included in the list on the basis of the Commission's designation. These comprise some 20 sites with research and development capabilities, about 16 military sites such as NBC-training schools, research centers and ammunition depots, and about 10 governmental and private companies involved in the procurement and distribution of declarable items and materials.

15. Some 40 of 166 listed chemical sites are also covered by the monitoring activities in other areas: biological, missile and nuclear. Those sites are mainly chemical complexes for the production of explosives, biochemical and pharmaceutical products, as well as the production of munitions and items of equipment of dual-use character.

16. Listed sites are spread throughout Iraq. About 20 sites and facilities are located in the South of Iraq, some 30 facilities in Iraq's North, the majority of the remaining sites are in central Iraq. Operating from the BMVC in Baghdad, the Commission is able to reach each listed site in Central Iraq within two to three hours, and in the North and in the South of Iraq within five to six hours. However, it takes an average period of two months to inspect all listed chemical sites. The absence of regional monitoring centers or bases in Northern and Southern Iraq, and the non-availability of fixed-wing aerial transportation in Iraq limit the Commission's ability to shorten the early-warning time of inspections. Thus, Iraq has effectively several hours warning of inspections in the North and the South.

CHEMICAL MONITORING RESOURCES AND TOOLS

17. The chemical monitoring system comprises the following resources and tools:

• Chemical resident team at the Baghdad Monitoring and Verification Center (BMVC);

• support from the other resident teams at the BMVC;

• Chemical team in New York;

• non-resident teams of experts;

• aerial surveillance means;

• chemical laboratory at the BMVC;

• monitoring cameras and sensors, other inspection equipment and instruments; and

• means of transportation in Iraq.

The Resident Team at the BMVC

18. On average, the Chemical team comprises 12 to 14 inspectors and technicians. This includes the chief inspector, deputy chief inspector, operations officer, inspectors, laboratory chemists, one explosive ordnance disposal (EOD) expert and one English/Arabic linguist. Normally, chemists, chemical engineers, NBC-defense officers and laboratory chemists serve with the Chemical monitoring team.

19. The Commission's requirements cover a broad spectrum of personnel. They range, for military personnel, from Lieutenant Colonel/Major to Sergeant, and, for civilians, from experienced chemists and chemical engineers to freshly graduated analytical chemists. In recruiting personnel for the Chemical monitoring team, the Commission gives preference to experts who have experience in working in Iraq. To date, all members of the resident team have been seconded by their Governments upon the Commission's request. Their regular duty tour in Iraq is three months.

20. Since October 1994, more than 50 governments have contributed personnel to the Chemical monitoring team at the BMVC. As a result, the Commission was able to recruit the most qualified and experienced personnel to serve as chief inspectors and deputy chief inspectors. These two positions require, top professional expertise and knowledge, management skills to supervise, organize and lead a group of international experts. Furthermore, it requires the ability to interact with the Iraqi counterparts.

21. The short duty tour for personnel in the Chemical monitoring team limits significantly the Commission's ability to provide a thorough training programme for newly recruited personnel. Personnel recruited only for a three months tour of duty could not be tied up with a training programme of several weeks. Moreover Currently it takes the average inspector some two months to learn "on the job" the infrastructure of Iraq's chemical activities. As a result, only towards the end of the duty tour, do the inspectors become really efficient and able to fulfill the requirements of the monitoring process.

22. The main functions of the resident monitoring team are:

• to verify and to monitor listed chemical sites in Iraq through: on-site inspections, cameras and sensors, and sampling;

• to maintain, update and upgrade the monitoring data base;

• to conduct the chemical analysis in the laboratory at the BMVC;

• to install, maintain and repair sensors at the listed chemical facilities; and

Support from other resident teams

23. At present, cooperation and coordination between the various disciplines within the monitoring system is well established. For the purpose of chemical monitoring, cooperation with the export/import monitoring team and the aerial inspection team is especially important.

24. The characteristics of listed chemical sites could be changed significantly upon the arrival of declarable items and materials. After their arrival at the site, it is the responsibility of the Chemical monitoring team to certify that notifiable items have been properly delivered to the declared customer site and were consumed or used strictly in accordance with the original notification.

25. Lists of items relevant to the implementation of the monitoring and verification in the chemical area are included in Annex II of the Plan. These lists have also been used in the implementation of the mechanism for export/import monitoring under paragraph 7 of Security Council resolution 715 (1991) with respect to the sale or supply of items to Iraq by other States, covered by the Plan. This requires close interaction with the Export/Import group.

26. The aerial inspection team provides reconnaissance capabilities valuable to the resident team to support the preparation and the conduct of on-site inspections. Aerial surveillance allows the resident team to observe changes in infrastructures and configurations of listed sites in a timely way.

Headquarters

27. The Chemical team in New York is responsible for the development and implementation of the concept and system of chemical monitoring in Iraq. This includes the identification of the scope of monitoring (sites, facilities, items, materials and activities to be monitored) through the evaluation of Iraq's declarations, the results of aerial surveillance and knowledge of Iraq's CW programme. The personnel in the headquarters are also responsible for the strategy and tactics of the implementation of the chemical monitoring system. The Chemical team in New York processes all information and maintains the Commission's chemical data base. The Chemical team in New York also recruits personnel for the resident team in Iraq and experts for non- resident inspections. In addition, the team provides training for new inspectors and assures the continuous supervision of the daily activities. Furthermore, procurement and maintenance of equipment for the chemical laboratory at the BMVC, monitoring sensors, and verification equipment and materials have to be organized by the Chemical team in New York.

28. At present, the Chemical team in New York comprises three senior chemical experts, one data-base manager who is also responsible for the implementation of various administrative matters, and one data collator. In general, this composition meets the requirements of the current system.

Non-resident Teams

29. The Commission also utilizes non-resident teams of experts. Non-resident teams comprise highly qualified experts for base-lining and assessment type missions. Those teams of specialists operate in Iraq in the format of short missions. This approach also allows the Commission to apply areas of highly specialized scarce expertise, such as ground penetrating radar and special analytical instruments.

The Chemical Laboratory at the BMVC

30. The Commission has had a chemical laboratory at the BMVC since 1995. This laboratory is equipped with suitable analytical instruments (Gas Chromatography, Mass Spectroscopy, Infrared Spectroscopy etc.). Its main task is to analyze air samples taken at various sites by the Commission's automated air samplers. The character of this laboratory is designed to conduct routine analyses of chemical samples taken for verification purposes. The laboratory continues to be upgraded.

Monitoring Cameras, Sensors and other Verification Equipment

31. The Commission has 30 cameras installed at seven chemical sites. The purpose of these cameras is to detect changes in the configuration and use of selected declarable items of equipment and to increase the confidence in Iraq's activities through the use of sensors. The cameras are not designed to and cannot replace on-site inspections.

32. Sensors are always installed in combination with cameras to detect potential tampering of the sensors. The Commission operates 23 air samplers at 15 listed chemical sites which give a picture of chemical activities at the sites. Their magazines have to be exchanged every 4 weeks and be analyzed at the laboratory at the BMVC.

33. During the last two years the Commission undertook to introduce open path infrared technology as an additional tool for the chemical monitoring. This analytical method enables the Commission to establish a chemical profile (fingerprints) of various chemical facilities in Iraq through measuring their emissions. The extended routine use of this method and additional new techniques would enable the Commission to remotely detect changes in chemical activities of any facility without even entering the site. New approaches could also include e.g., physical methods for the non-destructive examination of ammunition for verification purposes and mobile beam type samplers for sites and activities to be verified. Both instrumental methods would be mounted in special vehicles and would be highly mobile.

34. The Commission also uses other verification equipment and materials. These include chemical agent detectors, protection equipment and decontamination materials. The resident team is responsible for providing chemical, biological and nuclear safety for all resident and non-resident inspection teams in Iraq. The Chemical monitoring team with its explosive ordnance disposal (EOD) specialist is also responsible for providing safe work conditions to all the Commission's activities in Iraq with respect to explosives and conventional ammunition.

ON-SITE INSPECTIONS

35. Despite increased and improved technical monitoring tools, inspections carried out by expert personnel still remain the most important element of the monitoring process. The critical issue for effective chemical monitoring is unrestricted and timely access to any site or facility in Iraq.

36. In comparison with the provisions of the Chemical Weapons Convention, the Commission under the Plan for OMV, has far stricter inspection procedures and rights. Under the Plan the Commission has the right to access to any site or facility with notification provided at a time it considers appropriate, depending on the nature of the inspection site and reasoning for inspection. It has the right to establish special modes for monitoring and verification, including the use of instruments. In the course of the on-site inspection, the Commission has the right to request, copy and examine any information and documentation, to photograph and videotape any items, to conduct interviews with any personnel, to install verification equipment, to take samples for analysis, to tag materials and equipment.

37. Within the scope of the chemical monitoring, the Commission conducts the following types of inspections:

• inspections of listed sites to verify current activities;

• inspections of listed sites to replace or repair installed cameras and sensors and to verify tagged equipment and materials;

• inspections of listed sites to verify documents, records and computer files and to conduct interviews;

• base line inspections of newly designated sites to evaluate their capabilities; and

• aerial overflight of listed and newly designated facilities.

38. Listed chemical sites in Iraq with dual-use equipment that produce, possess or consume declarable chemicals cannot be used for the production of chemical warfare agents without additional modifications due to their parameters and current configuration of chemical production equipment. However, several such facilities currently do have capabilities to produce precursor chemicals.

39. Iraq also has legitimate industrial facilities which are capable of producing munitions and devices suitable for chemical fill, as well as their components and subsystems, including appropriate fuses and boosters for munitions.

40. The goal of on-site inspections of listed sites is to monitor and verify that these dual-use activities, sites, facilities and items are not used for proscribed purposes and that the infrastructures of these sites are not modified or exceed their legitimate requirements.

41. To achieve this goal within the scope of its rights to establish special modalities for monitoring and verification, the Commission marked critical pieces of dual-use chemical production equipment with tags. There are 833 tagged pieces of equipment located at 20 listed chemical sites and facilities. According to the established procedure, Iraq shall notify the Commission 30 days in advance of the movement of tagged and declarable equipment and chemicals and on their future use. The Commission reviews such proposals for approval.

42. The Chemical team in the Commission's headquarters in New York is responsible for the evaluation and assessment of Iraq's proposals to move or change equipment. The resident team at the BMVC through on-site inspections is responsible for the verification of the implementation of proposals approved by the Commission.

43. In practice, in the period of four years since the chemical monitoring began, the majority of Iraq's proposals on the movement and future use of declarable items were accepted by the Commission. On several occasions Iraq's proposals were rejected by the Commission, on the grounds that the proposed movement and use would result in the creation of infrastructure, which could be used directly for proscribed purposes without even minor modifications.

44. In several cases Iraq proceed with unauthorized movement of dual-use items. All unauthorized activities with dual-use items were stopped by the Commission, when detected. Subsequently, the Commission investigated each such case.

45. One of the most important issues related to the conduct of on-site inspection is to ensure the safety of inspectors. In the course of baseline inspections and daily verification activities, the Commission has developed general safety rules and safety protocols for all major listed chemical facilities. As a result, the Commission has an excellent safety record in its monitoring and verification activities in Iraq.

46. One of the crucial parts of the current chemical monitoring system is Iraq's cooperation with the Commission. In statistical terms, the majority of the chemical inspections have been carried out with acceptable Iraqi cooperation.

ASSESSMENT OF THE CURRENT SYSTEM

47. The Plan for OMV covers all activities, sites, facilities, materials and other items in Iraq and includes detailed inspection procedures to monitor and to verify Iraq's compliance with its obligations. It provides a solid basis for the Commission to fulfill its monitoring mandate.

48. The current system of chemical monitoring has been focussed on the implementation of only part of the Commission's mandate. It has been focussed on the verification of the remaining dual-use activities, facilities and materials that have legitimate uses for non-prohibited purposes and had never been used for CW purposes. It also covered, but only on a case by case basis, the verification of undeclared activities, and facilities.

49. The chemical monitoring system in its current configuration is able to verify Iraq's compliance with its obligations only at listed facilities declared by Iraq or designated by the Commission. The current system is also able, on a case by case basis, to detect undeclared activities carried out outside the listed sites.

50. Within the scope of the current monitoring system, it is also possible, by using all techniques and resources available to the Commission, including aerial surveillance, on-site inspections and the base-lining process, to detect the construction of new dual-capable facilities in Iraq.

51. The verification of Iraq's compliance with its obligations not to retain stocks of chemical weapons, their subsystems and components and CW research, development, support and manufacturing facilities has been pursued by the Commission separately, in the course of its disarmament activities. Accordingly, the current monitoring system has not been designed to verify unresolved issues from the past programme, including unaccounted for chemical munitions, equipment, related materials, components and documentation.

IMPROVEMENT OF THE CHEMICAL MONITORING SYSTEM

52. Further improvement is required to increase the effectiveness of the current system of chemical monitoring and to meet future necessities. Additional requirements should be considered with respect to two possible options. Firstly, that not all disarmament issues have been solved within the verification of the past CW programme. Secondly, that sanctions could be eased or lifted. Both options would require additional resources and techniques in the field of chemical monitoring.

53. The efficacy of the current chemical monitoring system could be strengthened through personnel augmentation, introduction of new and additional verification equipment and techniques, improvement of the infrastructure and support, shortened access time to the listed sites and refinements with respect to notification requirements.

Personnel

54. Experienced, qualified and knowledgeable personnel in the Commission's headquarters in New York and in the resident team at the BMVC still remain the most important element of the monitoring system. They are the load-bearing pillars of the system. Recruitment procedures for personnel, seconded by supporting governments for a period of three months, do not allow the maintenance of continuity in monitoring operations in Iraq. Both are indispensable to cover the broad spectrum of monitoring requirements.

55. The Commission must seek special arrangements with governments on the extended services of personnel for a duty period of at least six months, with the possibility that those personnel would be made available again in the future. The Commission should also be able to issue for some personnel in the resident team at the BMVC five to six fixed-term contracts, each for a period of two to three years. The same approach should be applied to personnel in the Chemical team at the Commission's headquarters in New York. The minimum duty tour for personnel in New York should be two years. Such arrangements would enable the Commission to introduce an extensive training programme for the personnel in the Chemical monitoring team and would allow the preparation of highly professional experts familiar with both, the past proscribed programme and current chemical activities.

56. The office space of the resident team at the BMVC should be at least doubled. This is required to meet current requirements, to accommodate the present analytical equipment in the chemical laboratory, to maintain the proper storage of other verification equipment and materials and to assure normal working conditions. Additional space is also necessary to store and handle the Commission's growing collection of demilitarized chemical and biological munitions at the BMVC. These munitions have been gathered by the Commission in Iraq in the course of its activities, and are available at the BMVC for demonstration and training purposes.

57. The office space currently available to the Chemical team in New York does not meet basic necessities. It is seriously inadequate in terms of both handling Iraq's declarations and other monitoring data and the accommodation of personnel, neither in terms of space nor of security.

Equipment

58. Chemical analytical capabilities at the BMVC could be improved, by introducing faster and simpler screening processes. The equipment should be enhanced to identify additional chemicals. Environmental sampling, and mobile analytical capabilities should also be expanded to be used in the course of on-site inspection.

59. To date, supporting governments have provided all analytical instruments and other verification equipment and materials on a no-cost basis. One Government also shouldered responsibility for the complete maintenance, spare parts and repair of the laboratory equipment. The Commission should be able to allocate in its budget sufficient funding for the maintenance of the chemical laboratory at the BMVC, and to have contracts for equivalent services. Additional funding has to be allocated for the procurement of new analytical instruments and other verification equipment. The acquisition and maintenance of such instruments and equipment are very expensive. Due to wear and tear and in response technological advances, the instruments will have to be replaced regularly.

60. The system of cameras and sensors should be upgraded and brought up to the latest state of technical development. The following options could be considered: installation of new digital cameras, introduction of new types of seals (i.e. electronic seals which could be scanned remotely), creation of additional capabilities to handle and transfer information electronically, and new sensor technology. All these improvements have in parallel a direct impact on the infrastructure and general support, which also have to grow in parallel.

Notification requirements

61. List A of Annex II contains chemicals capable of being used for the development, production or acquisition of chemical weapons, but which also are usable for non-prohibited purposes. According to Annex II, the chemicals listed include their chemical forms and mixtures.

62. For improved implementation of the Plan in the chemical area, the Special Commission would need to further clarify the notification requirements with respect to sale and supply to Iraq of relevant items. On the basis of the practical experience gained by the Commission, Iraq and Member States should be informed that the Commission does not require notifications for chemicals from list A of Annex II present in, for example, cosmetics, medicines, soaps and paints.

Additional requirements

63. If disarmament issues are not solved within the verification of Iraq's proscribed CW programme, the chemical monitoring system should be able to compensate in some way for this important gap. Specific requirements would be required would depend on the nature and scope of the unresolved issues.

64. At present, main unresolved issues of Iraq's CW programme include unaccounted for munitions, production equipment and precursor chemicals. To increase the Commission's degree of confidence that there are no chemical weapons, related materials and production equipment retained in Iraq, the Commission would also need, in addition to the chemical monitoring system in its current scope, to cover a large number of undeclared sites, facilities and activities, both military and civilian. This would require additional resources and expertise in the BMVC. The Chemical monitoring team would need to be re-enforced with experts in chemical munitions and chemists specialized in R&D and the production of organophosphorus chemicals. In addition, the Commission would need to apply new verification techniques, including non-destructive equipment to verify types of munitions.

65. The easing or lifting of the sanctions regime could also have a major impact on the resources required for the full implementation of the chemical monitoring system. Iraq's mineral oil industry with its downstream products and Iraq's mineral fertilizer industry are directly influenced by the sanctions. These industries in particular could have an exponential growth rate, after the easing or lifting of the sanctions. This could not only include the significant import of spare parts, but also the expansion of their infrastructures. Refinery downstream products in connection with basic chemicals, such as chlorine and phosphorous could also provide the chemical basis for proscribed activities. In parallel to the growth of Iraq's chemical industry the scope of Iraq's declarations will also increase significantly. Therefore, would need to increase its resources significantly. This includes the number of personnel in the Chemical monitoring team at the BMVC and in New York and additional cameras and sensors.

Appendix III
THE BIOLOGICAL MONITORING SYSTEM

Requirements of the Plan for ongoing monitoring and verification (OMV.) in the biological area

1. The provisions in the Plan for Ongoing Monitoring and Verification (OMV) addresses, inter alia, Iraq's unconditional obligation not to use, retain, possess, develop, construct or otherwise acquire any biological weapons or related items such as stocks of agents or any related subsystems or components or any research, development, support or manufacturing facilities. The Plan established a list of dual-use items for the biological area as found in Annex III.

General objectives for monitoring in the biological area

2. These are to monitor and verify through inspections and through aerial overflights, as well as through the provision of information by Iraq that activities, sites, facilities, material and other items, both military and civilian, are not used by Iraq in contravention of its obligations under Security Council resolutions 687 (1991) and 707 (1991).

Goal of the current monitoring system

3. The current goal is to monitor and verify dual-use activities, sites, facilities and materials that have significant uses for non-prohibited purposes, but which due to their nature could be used for the development or production of biological warfare (BW) weapons. The verification of Iraq's compliance with its obligations not to use, retain or possess stocks of biological weapons, their subsystems and components and BW research, development, support and manufacturing facilities remaining from the past has been pursued by the Commission separately in the course of the verification of Iraq's proscribed biological weapons programme under the applicable resolutions. The scope and detail of the Commission's mandate in the biological area under the Plan are extensive due to the enormity of items with dual-use capability in the biological field in Iraq and necessitates a broad effort in the monitoring of Iraq.

CONCEPT AND STRUCTURE OF BIOLOGICAL MONITORING

4. The current biological monitoring activities are focussed on the verification of:

a) the total national quantity of the production, processing, consumption or storage of dual-use biological items;

b) sites and facilities that are involved in research, development, production, processing, consumption, storage or testing of dual-use biological items or other support or manufacturing facility;

c) acquisition of dual-use equipment, technologies or material;

d) research conducted with, or at facilities capable of exploiting dual-use biological equipment or material and;

e) sites and facilities that at any time have been involved in the proscribed biological programme.

Knowledge of the BW programme

5. A full account of Iraq's planning, R&D, resources, facilities and personnel involved in its proscribed BW programme is an essential prerequisite to a monitoring system that would have a reasonable level of efficiency and credibility. With the current low level of confidence in the verification of Iraq's proscribed programmes, the confidence in monitoring is greatly diminished. The fact that Iraq's declarations on its biological weapons programmes have been deeply deficient raises serious challenges with respect to OMV in the biological area. On technical, industrial and scientific developments of Iraq's BW programme it has not been possible to compile a comprehensive assessment because Iraq has not been transparent in its FFCD nor in its clarifications of the account of its proscribed BW programme.

6. The implementation of the OMV system for biology is different from OMV work in the nuclear, missile and chemical fields. The resources and facilities needed for proscribed biological research or production can be relatively small in size and simple in technology and therefore more difficult to detect. As an example, Iraq has declared that it produced 2,200 litres of Aflatoxin, using various small volume glass jars. Iraq states it had weaponized this biological warfare agent.

7. The monitoring system described can be effective at best, at sites declared by Iraq, to deter relevant equipment and activities from being diverted to proscribed purposes. This requires Iraq to make full disclosures of all sites, governmental and non-governmental, that possess equipment and facilities capable of dual-use biological activities.

Iraq's declarations under the Plan for OMV

8. Semi-annual declarations: According to the requirements of the Plan, Iraq shall provide semi-annual declarations. Iraq is obliged to declare its holdings of dual-use materials and equipment. The information provided by Iraq is a comprehensive statement of a site's overall activities, resources and capabilities. The lists of declarable items of equipment and materials are included in the annexes to the Plan. This includes, for example: production equipment; microorganisms; biohazard containment equipment and decontamination equipment; equipment for the release and/or dispersal; equipment for breeding of vectors of human, animal or plant diseases; and munitions, rockets or missile warheads capable of disseminating biological warfare agents. Due to the nature of biological dual-use equipment and raw materials, the size and scope of the semi-annual formal declarations is much larger than for the other disciplines.

9. Reviews of semi-annual declarations are carried out following the receipt of the declarations every January and July. The declarations are analysed and verified through on-site inspection and comparative examination. The verification takes place in the period directly following the submission of the declaration, in an attempt to determine the completeness and accuracy of the data submitted and to confirm the information included in the declaration.

10. The Commission's assessments, coupled with inspection, have repeatedly shown that the declarations have been incomplete, inaccurate, or both. On numerous occasions, discrepancies have been noted between reports submitted by sites to the Commission through Iraq's National Monitoring Directorate (NMD), and the originals maintained at the sites. This has been a recurrent problem. Several years after the initiation of OMV, the biological team continues to find declarable equipment, materials and even whole sites that should have been declared by Iraq, but were not.

11. Monthly declarations: Through bilateral discussions with Iraq the Commission generated a number of specific elements unique to the facilities, termed 'monitoring parameters'. These varied across a wide spectrum of items and included elements such as changes in numbers and types of personnel, research and production activities, water and electrical power usage, inventory of microorganisms types, animal usage, materials received, products generated. The objective was to establish a more dynamic mechanism which could measure change from the baseline established through declarations and on-site inspections. Some key facilities are required to submit updated reports on a scheduled (monthly) basis along with supporting documents which are then verified by resident monitoring teams.

Baseline process

12. Protocol building or baseline inspections of sites in Iraq were undertaken during the summer of 1994. Prior to April 1995, an interim monitoring process was put in place. This process was in preparation for biological monitoring, which began in April 1995. The Commission evaluated dual purpose technologies, activities, materials, items and equipment which could contribute to a biological warfare capability and identified those sites or facilities that through possession of such characteristics could contribute to such a capability. Protocols outline the basic facts of the site, the reason for OMV, a general description of areas, equipment, technologies and activities of interest under OMV, site diagrams, maps, previous inspection findings and inspection procedures and assessment of the dual-use capability of the facility. These protocols are continuously updated by the Commission.

On-site inspections

13. The main and indispensable tool for monitoring has been continued on-site inspections. The knowledge gained by physical inspections of sites and workplace interviews with site personnel is essential.

14. Non-resident inspection teams are also an integral part of the monitoring system. A non-resident team is a short term team which can be staffed with issue specific personnel and devote all their attention to a single issue or task.

15. Listed sites: Under the current monitoring system, listed sites have been identified based on Iraq's declaration and as designated by the Commission. There are currently over 250 listed sites and Iraq is required to provide semiannual declarations for 91 of them.

16. The range of possible sites encompassed by biological monitoring needs to be broad because of the dual-use nature of biological technology and the ease with which civilian facilities can be converted for biological weapons purposes.

Many civilian enterprises maintain dual use equipment with legitimate function such as in dairy, food and drink industries, storage depots, heavy engineering, manufacturing and production facilities. Additionally, organizations that conduct research where technical expertise is found such as universities, colleges, disease control centers, breweries/distilleries, agricultural facilities, import and supply agencies and hospitals are included in the monitoring system.

17. Listed sites are categorized according to: their technical capability; the capability to be converted; the present field of activity; and the known former involvement of the site in prohibited activities. The frequency of inspection is determined according to their category.

18. Non-listed sites: Inspections of non-listed sites have been performed and have led to the discovery of undeclared dual use equipment.

Equipment:

19. Certain key dual-use equipment has been inventoried and tagged by the Commission. This inventory was established through tagging missions in which items of dual-use biological equipment were physically labeled with a tamper-indicating, bar-coded tags. At the time of tagging, the location, source, history of use and other essential descriptive details were obtained for subsequent insertion into the equipment inventory data base. The Commission's biological database lists currently 1,334 items of tagged equipment.

20. Sampling: Sampling of dual-use equipment, weapons and weapons material has been undertaken. This was mainly performed by non-resident inspection teams, because of the specific expertise required, for example shipping and handling capabilities; and, their respective analysis capabilities in supporting countries. Although biological samples are not taken on a routine basis by the resident team, the capability of doing so in a manner which fulfils forensic requirements does exist. New sampling systems are under development. Consideration is given to include portable detection capabilities. This would increase overall understanding of activities on a site and would increase the deterrent effect of monitoring.

The Biological Monitoring Team at the BMVC

21. The resident team is based at the BMVC and is composed of 8 to 10 experts provided by governments, generally for a three month tour of duty. Due to the broad spectrum of sites and activities under biological monitoring, a range of expertise and a diversity of background is required in the resident team. The team has benefitted greatly by engaging highly qualified personnel with a diversity of expertise. Inspectors are recruited with backgrounds in fields of biology, veterinary science, pharmacology, medicine, bio-process and genetic engineering.

The task for the resident monitoring teams are the following:

• planning, preparation and conducting inspections;

• interviewing Iraq's personnel;

• performing spot-checks, checking inventoried items of equipment and end- product therefrom and inventorying of new items of equipment upon import into Iraq;

• taking samples and packaging for transport;

• checking records on site;

• conducting an inventory of production equipment and microorganism stocks;

• debriefing members after inspections and assess results of those inspections;

• assessing information gathered by monitoring inspections. This necessitates inter alia, the filling in of questionnaires and equipment identification data sheet, the inclusion of results from samples or other types of analysis, additional conclusions from monitoring inspections or evaluations of reports by Iraq made pursuant to the site protocol;

• making recommendations and provide advice on new sites, on any relevant changes in activities at sites (constructions, expansions, change of focus, export or import of items of interest, know-how) and on corresponding monitoring actions to be taken and their modalities and;

• interacting with other disciplines at the BMVC, for example, providing biological input to teams, in particular chemical, missile and export-import on activities or other observations that may have biological implications.

Support from other monitoring teams

22. The Biological Team has performed cross-discipline inspections with all of the other disciplines. Teams have discovered considerable amounts of declarable equipment. The inclusion of inspectors from other disciplines should continue to be a part of future biological monitoring.

23. The review of goods to be imported by Iraq by the Joint Export/Import Unit in New York is a valuable tool in identifying activities that may require further on-site inspection. Notifiable dual-use equipment and expendable supplies are tracked to the end-user and inspections are conducted to verify receipt and record stated purpose. The availability in Iraq of inspectors to supplement the Export/Import monitoring system has also proven valuable.

Support through aerial surveillance

24. The Aerial inspection team provides support to the biological monitoring team on an increasing basis. Aerial inspections obtain new information on changes in sites and new structures or equipment. The recent addition of digital photography capabilities has allowed for faster transmission to New York of imagery for analysis.

25. Imagery provided by U2 and Mirage aircraft are useful in the identification of changes in the external site structure and building configuration at certain facilities. This information has been used for follow-up inspections. The continued availability of these resources are seen as an important part of future monitoring.

Monitoring Cameras, Sensors and other Verification Equipment

26. Although important in other areas, cameras are only a secondary tool in the biological area. Information acquired via cameras is not in itself sufficient, in the biological area to determine whether proscribed activities are taking place at that location. Some sites such as facilities with fermentation equipment have been equipped with remote camera monitoring systems. The tapes from camera surveillance are reviewed regularly by members of the resident teams to assess the validity and appropriateness of activities within video monitored facilities.

27. Increased use of remote sensors are planned to measure and log a range of process parameters such as: temperature; motion/movement; and, light change. They can be used to monitor key processes, equipment or locations. Alarms can be set to alert the monitoring team to operations which are outside the normal parameter range. These alarms can then be linked to cameras or directly to the BMVC if deemed necessary. The sensors provide data on the frequency and duration of production runs which can be used to assess declared production quantities.

Headquarters

28. The biological team at the headquarters in New York identifies the monitoring scope (sites, facilities, items, materials and activities to be inspected). The team is required to assess, process, store and retrieve large amounts of data in various forms. All the incoming information (site inspection reports, monitoring parameters, declaration, aerial photography and NMD correspondence) is reviewed and assessed. Based on the assessment, the activities of the resident team can be focused on certain aspects or tasked to follow up particular issues. It does therefore require not only the latest information handling technology but also adequate secure document storage facilities. The team must have access to secure modes of communication with the resident team at the BMVC. The personnel at headquarters also recruit personnel for the resident teams in Iraq and experts for non-resident inspections. In addition, the team provides training for new members of the resident team and supervises the daily activities of the resident monitoring teams in Baghdad.

29. At present, the biological team in New York comprises four experts and one data base manager and one administrative data entry clerk. In general, this composition meets the requirements of the current system.

FURTHER IMPROVEMENT OF THE BIOLOGICAL SYSTEM

30. Full disclosure by Iraq of its BW programme would provide a solid baseline for biological OMV. The verification of Iraq's compliance with its obligations under resolutions 687 (1991) and 707 (1991) has been pursued by the Commission, separately, through the verification of Iraq's proscribed biological weapons programme. The monitoring system has been focussed on dual-use activities, facilities and materials in order that they are not converted for proscribed activities. It was not designed to uncover undisclosed elements of the proscribed BW programme and was predicated on the successful elimination of existing proscribed items. If disarmament issues related to the verification of Iraq's proscribed BW programme are not resolved, the biological monitoring system should be expanded.

31. Continuing support from governments is critical to the operation of OMV. In the Biological area, support is provided in the form of personnel, technical, analysis and information. The Commission must seek special arrangements with governments for an extended tour of duty period for at least four months, with the option to be made available in the future. Several governments have provided essential sample analysis services which will also be needed in the future. The Commission is kept informed by governments of certain technological advances that may be of use to the Commission's monitoring activity. The Commission is also supported by many governments in the provision of information related to Iraq's compliance with the Council's resolutions.

32. The effectiveness of the monitoring system is proportional to Iraq's cooperation and transparency, to the number of monitored sites, the number of inspectors, quantity and capability of inspection support elements. Monitoring in the biological area can be at best a deterrent at sites undergoing inspections. The monitoring system substantially increases the risk to Iraq that proscribed biological activity can be detected.

Appendix IV
INFRASTRUCTURE AND OPERATIONAL SUPPORT

1. The Commission's monitoring operations in Iraq rely heavily on the availability to all disciplines of common infrastructure and support services for their operational use. These services include such things as Export/Import monitoring, aerial support, remote camera monitoring system, personnel, transport and facilities.

Export/Import Monitoring Mechanism

2. The Export/Import monitoring mechanism, which was approved by Security Council resolution 1051 (1996), was designed to provide for timely information about any sale or supply to Iraq by other States of items listed in the Commission's and the IAEA's Annexes to the Plans for OMV.

3. The mechanism is a support element, albeit an important one, in the overall OMV system in Iraq. The central feature of the mechanism is the provision of information by the Government of Iraq and by Governments of exporters on imports by Iraq, and intended and actual exports to Iraq of relevant items. The other significant feature of the mechanism is inspection.

4. In New York the system is operated by a Joint Unit, composed of personnel from the Commission and the IAEA. The Joint Unit has an Export/Import Group which operates in Iraq, inspecting newly arrived items subject to monitoring, as well as conducting inspections at facilities throughout the country, checking for undeclared imported notifiable items. The Group works in conjunction with relevant experts from the other resident monitoring teams (chemical, missile and nuclear), as it relies heavily on their expertise in assessing identified items. Once newly imported goods have been inspected by the Group, they become subject to monitoring by the relevant resident teams in each discipline.

5. The items listed in the Annexes to the Plans for OMV are, in some cases, extensive and some of the items are not necessarily contained in any other arms control regimes. This presents some States with difficulties in understanding what should be notified. In addition, practice has shown that in some instances the description of items to be notified is not sufficiently clear to allow precise interpretation.

6. In order for the system to be effective in the future, it is recommended that the current lists of notifiable items be studied with a view to providing increased specificity and clarification. Once that is done, it will be possible to increase awareness about the requirements of the system. It will also give Governments a more practical basis on which to base national legislation. A further recommendation is to consider strengthening Export/Import Monitoring at points-of-entry to Iraq, thereby ensuring that goods required to be reported under the mechanism are immediately incorporated into the overall monitoring system.

7. The resources, including personnel and infrastructure, required to support the system in the future will be dependent on the number of relevant items being exported to Iraq. This, in turn, will derive from the contents of the lists of notifiable items and the status of the sanctions regime. The same considerations will apply to the number of personnel in the Joint Unit in New York and its group at the BMVC.

Aerial Operations and Support

8. In respect of aerial operations, the Plan for OMV includes the right of the Commission to overfly any area, location, site or facility in Iraq and to operate its own aircraft with appropriate sensors from such airfields in Iraq as its deems most appropriate for this work.

9. The Commission currently employs four types of aircraft:

One high altitude surveillance aircraft (U2)
One medium altitude surveillance aircraft (Mirage IV)
Five UH-1H helicopters
One L-100 transport aircraft

10. The U-2 and Mirage IV aircraft are dedicated imagery collection platforms. The UH-1H helicopters are used as a platform for imagery collection by an Aerial Inspection Team (AIT). The helicopters are also used for transportation, as is the L-100.

11. The prime function of the Commission's aerial surveillance activities is to take photography of "listed sites". This imagery is used to: detect changes and activities at "listed sites"; deter Iraq from undertaking prohibited, or non-declared dual-use activities which could be detected from aerial surveillance; and, assist resident and non-resident inspection teams by providing a tool from which line diagrams of sites can be drawn.

12. The U2 and Mirage aircraft are also used to take imagery of "non-listed" sites of possible relevance to the Commission's mandate. If, after analysis, on-site inspection is required, the imagery is then used for ground inspections teams to prepare inspections. Helicopters cannot be used for this purpose as their presence would alert the Government of Iraq in advance to a potential inspection at the site, thereby eroding the credibility of the inspection.

13. The U2, Mirage IV and helicopters can be used for site security surveillance during ground inspections. The U2 has a maximum endurance of some 12 hours flight time, equating to some 2,500 nautical miles coverage. This permits an extended "loiter" time over sites. The Mirage can fly for 40 minutes, covering some 300 nautical miles. The helicopters can remain in situ almost indefinitely as they can be rotated out when refuelling is required.

14. The Commission currently has no ability to conduct aerial surveillance at night but has been investigating the acquisition of such a capability.

15. The L-100 is currently used exclusively for the transport of inspectors and materials between Bahrain and Iraq. The aircraft is capable of carrying up to 92 passengers, or a mix of up to two vehicles and passengers.

16. Currently, the Commission operates only light helicopters which are not able to carry all the required verification equipment and tools to listed sites. The helicopters can be used in a limited transport role; they can carry ten passengers for very short distances, thereafter the number of passengers decreases in relation to the requirement to carry additional fuel. There is no capability for carrying vehicles, nor the required verification and tools to listed sites. The current flight arrangements also require 12 hours notification to Iraq. Therefore, four-wheel drive vehicles are the main transportation means in Iraq for the Commission's team. This does not meet the Commission's air transport requirements.

17. Over the years, the Commission's use of its aerial assets for surveillance purposes and transportation have been restricted.

18. Since the inception of aerial inspection missions in 1992, modalities governing the operation of the Commission's helicopters require the Commission to provide Iraq with a geographically defined "box" within which aerial activity will take place. This box is provided to the National Monitoring Directorate some 12 hours before the helicopter mission. The use of the boxes where sites are isolated, or some distance from Baghdad, degrades the element of surprise (and thus credibility) achieved during aerial inspections. Iraq claims that it requires the boxes in order to warn the air defence of the operating area of the Commission's aircraft. Under current modalities, the Commission is unable to fly unrestricted aerial missions over Baghdad.

19. On a number of occasions, Iraq has prevented the Commission's helicopters from overflying sites which it declared sensitive. The means by which such flights have been prevented include physical interference with the conduct of the flight and threats to shoot the aircraft down.

20. Iraq has refused to allow the Commission to exercise its rights to land helicopters throughout Iraq, by restricting the number of landing sites. It has also refused to allow the Commission to land the L-100 aircraft at any site in Iraq except Habbaniyah Air Base some 80 miles from Baghdad and the BMVC. Thus the aircraft cannot be used for inspection purposes.

21. The operational constraints on the Commission's aerial activities, have a clear derogatory impact on the ability of the Commission to conduct credible aerial missions. Iraq must honour all its obligations under the Plan for OMV, particularly with respect to aerial operations.

22. Aerial requirements for the OMV system in the future, desirably, should include:

- A high/medium altitude imagery collection capability, under the control of the Commission. It must be able to operate day and night to collect imagery and undertake surveillance at sufficient height to prevent the Government of Iraq from detecting what is being observed. The Commission also needs the capability for prolonged loiter time. To be effective, the product from all such missions should be made available to the Commission in real time, or shortly after the mission is completed.

- "UH-1H" type helicopters to collect high quality, low altitude imagery, undertake surveillance, provide transport for small groups of inspectors and provide medical evacuation capability. These helicopters will also be used as platforms for other forms of airborne sensors which the Commission may choose to employ.

- "CH 53G" type helicopters. Primarily for the transport of large inspection teams and vehicles throughout Iraq, thereby obviating the requirement to rely on ground transport.

- The ability to use various forms of Infra-red imagery collection.

- Access to high resolution commercial satellite imagery to provide an unobtrusive and undetectable means of collecting imagery.

Cameras and Sensor Monitoring Systems

23. The video and sensor monitoring system (Remote Monitoring System - RMS) is employed in Iraq as a tool to support the Commission and IAEA in their monitoring activities. The system provides electronic on-site surveillance of designated sites located throughout Iraq. Surveillance is conducted through real-time viewing and the collection of recorded images by video equipment in conjunction with supporting communications equipment. It is also conducted through the collection of air samples and power data through special sensor equipment. The system allows the inspectors to detect unusual activities in real time to allow for a quick response to inspect sites as required. The RMS has proved to be capable of assisting the inspectors but it should not be interpreted as an effective stand-alone system. It has to be employed in conjunction with all other OMV assets to be useful and effective.

24. The current RMS has been operating for over four years. During this time it has undergone some improvements in its design and communications links to ensure the system remains functional, and also to extend the life of its components. Its effectiveness has been enhanced through the use of video review stations (Multi Optical Review Equipment - MORE) in the BMVC to support the review and analysis process.

25. A number of technical teams were sent to Iraq to work on the system during its implementation and additional technicians with specific skills have been employed on a case by case basis to enhance the system.

26. The RMS supports real time viewing, time-lapse videotape recording and sensor recording. Time-lapse recording is done through a system of image retrieval by camera and recorded to a videotape. The images can be transmitted via radio frequency links from the site to the BMVC where the result can be seen as an image on a computer screen as a "near" real time view. Data of power usage at sites is recorded via sensor on data cards that can be down loaded to a computer for review.

27. The RMS system operates under the existing maintenance regime and environmental conditions. The system has, however, its operational limitations. Disadvantages of the system are that; the cameras are limited in their capability; the system has required a significant amount of manpower to maintain and adapt; some sites cannot be accessed through communications links because of the type of communications employed; and, communications links suffer degradation primarily due to the environmental conditions.

28. The system's components may no longer be logistically sustainable, as the manufacturers of the components may no longer be willing to support repair or replacement other than at considerable cost. Consequently, there is a requirement to address issues with upgrading the system as it stands in order for it to be robust and supportive of the mandated monitoring.

29. The current technology uses a mix of digital and analogue techniques to deliver an adequate image for review. Depending on the inspection requirements, this standard can be improved by upgrading analogue and digital technology or by using purely digital technology. The areas that need to be upgraded include: cameras; power supply sub-system; communications links; image storage, retrieval, and review mechanisms; and improved sensors. The upgrade would need to be done as a complete system rather than on a piece-meal basis. This level of technology should be flexible to allow for easy component upgrades as required.

30. Initial outlay for improving the system to meet current needs could be between $4-5 million with ongoing costs being approximately $900,000 per year. These figures incorporate equipment upgrades, commercial communications costs, manpower and logistic support resources. The system is supported by one operator and five technicians in the field, as well as through management and coordination from the headquarters in New York. Manpower support (operational and technical) may need to be increased to operate and maintain the existing or an upgraded system.

Personnel

31. Since the establishment of the monitoring system in mid-1994, the Commission has had a requirement for staff to support its monitoring operations in Iraq. This staff is currently composed of personnel from a number of governments as well as a small group of United Nations staff stationed in New York, Baghdad and Bahrain.

32. The Commission will have to increase the number of its personnel, in all locations, in direct relation to projected increases in the size of the monitoring activity. If regional monitoring sub-centres are established in Iraq it will result in a further increase in the Commission's staff.

33. The Commission's resident teams depend on a high degree of technical expertise to conduct monitoring inspections. Hitherto, the Commission has depended almost exclusively on personnel provided by governments, serving on a three month basis. The Commission has identified several problems with this arrangement. Continuity of operations are impacted severely by the short-term presence of experts. Additionally, training of short-term personnel in the methods and techniques of monitoring, as well as Iraq's activities, is very difficult to do.

34. The Commission is considering using a mixture of long and short-term personnel. Long term personnel would be technical experts employed by the Commission on United Nations established posts supported by the budget of the Commission. Short-term personnel would be supplied by supporting governments.

35. The long term personnel would provide continuity to the Commission's operations and could be trained in the technical details of both Iraq's current activities and its past proscribed programmes.

36. The Commission will still require the provision of short term technical experts from governments. Short term personnel bring technical skills and knowledge that can not generally be obtained on a long term basis. These personnel would be recruited for specific tasks which would not require the longer training period. The Commission will likely have to reimburse the supporting governments for the cost of such highly technical personnel.

37. In addition to expert personnel, the Commission will require: medical; communication; administrative; logistical; operational; maintenance, aerial and technical support services to all resident and non-resident monitoring teams. Monitoring teams will be further supplemented with specialised linguists and computer experts.

Training

38. The Commission's most powerful and valuable tool in its monitoring system is inspectors. The Commission has relied on the technical knowledge and inspection skills of personnel provided by Governments on a short-term basis. Over the past four years of operation of the monitoring system, this has generally served the Commission's objectives.

39. In the future, improvements would be required to maintain efficient inspection teams, in particular resident teams in the BMVC. As mentioned above, the Commission is considering the use of a mixture of short and long-term technical experts and support personnel for its monitoring teams. If this is to be implemented, the Commission will have to dramatically alter the training of its inspectors.

40. For long-term inspectors, the Commission would need to create a specialized training programme. The Commission is considering a training programme of several weeks in duration in which a cadre of long-term inspectors would receive training on a variety of general and specialized subjects, and practical exercises. The Commission would be able to recruit from this cadre its inspectors. Such a system would provide for both Commission's guaranteed access to appropriate experts trained as international inspectors, and a continuity in the Commission's inspection operations in Iraq and in its assessments of Iraq's compliance over time.

41. The training programme will need to include, inter alia, the Commission's mandate, inspection procedures and practices, activities under monitoring in Iraq, export/import regulations for Iraq, Iraq's proscribed weapons programmes, Iraq's technology level, etc. The trainees would require a thorough familiarization with specific inspection techniques and tools, the operation of the Commission's remote camera/sensor systems, lists of facilities and dual-use equipment and other elements of other monitoring system architecture.

42. For short-term inspectors, the Commission intends to create an abridged training programme containing many of the subjects from the longer duration training programme and suited for specific tasks that they are expected to perform during their term of duty. The programme for each inspector or a small group would begin on their joining the Commission's inspection team. It will need to include a preparatory period and the on-job training.

Facilities

43. The Commission currently operates facilities in Baghdad, in Bahrain, and at the headquarters in New York. The facility in Baghdad is designed to house all of the services required by the resident and non-resident inspection teams for both the Commission and the IAEA, including, inter alia, office space, transportation, computer support, medical services, communications (including remote camera monitoring), storage, training, vehicle maintenance and administration. The Baghdad Monitoring and Verification Centre (BMVC) has been in operation since August 1994. The BMVC is located in the Canal building along with several other United Nations organizations. On several occasions since October 1994, the Commission has been forced to expand its use of the facility, at the expense of these other United Nations organizations, in order to meet its mission requirements. The BMVC's current office space in the Canal building is barely meeting the Commission's and the IAEA's requirements.

44. In the future, the Commission expects it will require space nearly double of that of its current requirements. This will either require the dedication of the Canal building to the Commission's mission or the construction or refurbishment of a new facility to meet its requirements. This will have substantial budgetary implications. The future annual operating cost of the BMVC cannot be estimated at this time until decisions on the future size and structure of the Commission have been made.

45. Additionally, the Commission is considering the establishment of regional monitoring sub-centres in Mosul and Basrah, in order to limit the notification time for inspections in those regions. This would provide an additional deterrent to Iraq for using such outlaying facilities for undeclared or proscribed purposes. This would require the strengthening of the coordination infrastructure, a review of operational procedures, and the placement of staff to effect the coordination. The establishment of such sub-centres would require a variety of support services similar to those provided at the BMVC, however, on a smaller scale. It is possible that these centres could be operated only during certain periods each year to reduce the overall cost. Construction or refurbishment of facilities to house such sub-centres would have a significant budgetary impact. Annual operating costs of such facilities cannot be estimated at this time until decisions on the future size and structure of the Commission have been made.

46. In order to support the Commission's and IAEA's resident and non-resident teams, the Commission maintains a large number of logistical, technical, communications and transportation equipment necessary to conduct operations in both Bahrain and Baghdad. The Commission's logistical support includes, inter alia, office supplies and equipment; field support equipment such as camping equipment, trailers, generators; and protective clothing as required to support each team. The Commission's technical equipment includes computers and computer support, global positioning system receivers, chemical sensors, video and still cameras, two-way radios, and other equipment as required. The Commission maintains a fleet of vehicles in both Baghdad and Bahrain in order to support the Commission's and IAEA's teams. These vehicles include sedans, four-wheel drive vehicles, mini-buses, and trucks.

47. As stated earlier, the Commission's projected increase in size will require a corresponding increase in the size of the logistical, technical, communications and transportation equipment. The Commission expects that much of this equipment will have to be upgraded or replaced to support the projected expansion of the Commission's and IAEA's monitoring operations.

48. The Commission's new facility, currently under construction in Bahrain, will provide office space, computer services, storage, logistical support, training, and administration for the Commission's and IAEA's resident and non-resident teams as well as for its Bahrain Field Office support staff. The new facilities are expected to provide for the Commission's long term needs.

49. The Commission's headquarters in New York provides for the management operation, and administration of all of its activities. The Commission has constantly experienced severe space limitations in the headquarters. In the future, the Commission would require an increase in its headquarters staff with a consequent need for expansion of its office space. This is expected to have substantial budgetary considerations for both initial refurbishment and annual operating costs.