SIPRI Update, November 2008
CWC Implementation: Targeting the important groups and the role of NGOs - an overview: Paper 9
THOMAS STOCK, THOMAS KURZIDEM, PATRICIA RADLER and RONALD SUTHERLAND
I. Introduction
With 22 countries having ratified by the beginning of February 1995,one-third of the necessary ratifications for entry into force of the ChemicalWeapons Convention (CWC) have been achieved. However, the second anniversaryof the Paris signing conference passed on 13 January 1995 without havingthe necessary 65 ratifications in place. There seems to be still optimismwith respect to the obtaining of more ratifications in 1995, but the voicesof pessimism can no longer be ignored. The main question today seems tobe: Was it realistic to assume that 65 ratifications could be achieved forsuch complex treaty in just two years?
The CWC represents the first time in the short history of arms control anddisarmament that a treaty calls for adequate international as well as nationalimplementation. National implementation is the indispensable prerequisitefor the future success of the Convention. One specific article, ArticleVII, deals in particular with the national implementation requirement, however,it only points to the general framework of the obligations of the StatesParties and leaves it to each state to choose its own implementation approach.Would it be more advisable to have a more straight-forward national implementationarticle with more detailed requirements and a specific framework for nationalimplementation?
In addition to the legislative and administrative actions, there is anotherimportant aspect of the national implementation undertaking: a strategyis needed to reach the groups affected by the national implementation undertaking,which will be country-specific. These groups are in the chemical industryand at the governmental level. There is also a need to have a line of contactto the press and media, in order to inform the public about the CWC in generaland the effect it will have on a particular country. For all this the CWCdoes not clearly outline or suggest an approach. The only mention of suchactivities is paragraph 1 of Article VII which notes: 'Each State Partyshall, in accordance with its constitutional processes, adopt the necessarymeasures to implement its obligations under this Convention.' Under theframework of 'adopt the necessary measures to implement its obligations'the so-called 'information function' can be placed, however, no specificrequirements are listed. Each State Party must actively pursue these measures.On the other hand, it is already very obvious from the national implementationexperience from countries like Australia and Germany, that this 'informationfunction' is necessary to make implementation successful and effective.
Another aspect of the 'information function' is related to the activitiesof the PrepCom and the PTS and their public outreach strategy. Besides theinformation materials regularly prepared and distributed by the PTS-- OccasionalPapers, Information Series, OPCW Synthesis, Press Releases--during thepast two years the PTS has to organized regional seminars together withthe host governments as part of its outreach strategy and to enhance thepolitical momentum towards implementation and ratification. Seven such seminarshave been held: in Warsaw, Poland, 7-8 December 1993,[1]in Bangkok, Thailand, 8-10 May 1994;[2] in Brno, CzechRepublic, 1-2 June 1994;[3] in Lima, Peru, 1-3 September1994;[4] in Pretoria, Republic of South Africa, 12-14September 1994;[5] in Jakarta, Indonesia, 28-30 November1994,[6] and in Minsk, Belorussia, 25-27 January 1995.The purpose of these seminars is to organize a forum for the countries ofthe particular regions (Asia Group, Eastern European Group, Latin and CaribbeanGroup and Africa Group) to exchange views and experience in national implementationundertakings, to provide them with the views and current developments regardingthe work of the PrepCom and the PTS, and to bring Chemical ManufacturersAssociations (CMAs) and the chemical industry closer to CWC industry issues.
However, now that the first phase of regional seminars has been conductedthere seems to be a need to reconsider the next phase. Exercises that aretailor-made and problem-oriented are needed, and more time should be devotedto the exchange of views and experience by individual countries. Specificregional problems related to chemical industry and trade in chemicals mustbe on the agenda. All this will require not only a new strategy in preparingsuch seminars on the part of the PTS, but also the active involvement ofspecial NGOs and CMAs will be useful. There is no longer a need to informsignatory states of their basic obligations under the CWC, what is requiredinstead are tailor-made material and advice to support individual statesin identifying declarable activities under Article VI and setting up theirNational Authority and implementation legislation.
II. Identifying the target groups
Facilities with declarable activities likely to receive inspections
In the process of national implementation there is a pertinent need on thepart of the PTS to support the states in their implementation undertakings.Support from the PTS should focus primarily on supporting each individualstate in its activities to identify the declarable industrial facilities.Additionally, the PTS should support states in their efforts to draft legislation,ranging from agreements under Article X (Assistance and Protection) to facilityagreements and agreements concerning confidentiality under the CWC.
However, it is the responsibility of each state to identify the importanttarget groups specific to its own situation. There are various target groupswhich will be affected by the treaty's declaration requirements and verification(inspection) obligations. From a pragmatic point of view it is possibleto differentiate between different target group: (a) groups which will beaffected by the declaration requirements, including the requirementsunder Article VI (Scheduled chemicals and facilities dealing with thesechemicals, plus facilities under the PSF and DOC approach), (b) groups whichwill be affected by 'normal' inspection activities (systematic on-siteinspections, monitoring and routine inspections of chemical facilities),and (c) groups which will be affected by 'not normal' inspection activities(challenge inspections, investigation in cases of alleged use of CW).
These groups will be affected differently under the CWC, but must be identifiedby each country during the process of preparing for national implementation.If the work which has been done thus far by the PTS is taken as point ofdeparture,[7] especially by the Verification Division,together with the experience of certain countries, the following approachcan be suggested to identify the entities which will be affected as regards'declaration requirements' and 'normal' inspection activities:
(a) a survey of the industrial base for the production, processing or consumption of selected product types;
(b) matching these product types with commercial and trade organizations, manufacturers associations, etc.;
(c) targeting the actual facilities, plants and plant site using the data obtained from the survey of the industrial base and the information supplied by the commercial and trade organizations.
If this approach is used, it is obvious that not only the 'pure' chemicalindustry will have to be surveyed. Depending on the level of industrialdevelopment, other branches (e.g., micro-electronics, pharmacy, dye andphotographic industry, textiles) will need to conduct such a survey, keepingin mind the requirement to declare consumption of designated chemicals (especiallyunder Schedules 2 and 3). For this target undertaking the illustrative listof 'Categories of Products' developed by the PTS will serve as a good pointof departure. However, it must be remembered that the correlation betweena product and the Schedules is only an indicator, and does not automaticallyidentify the facility. The scheduled chemicals are, however, a point ofdeparture. In addition to the three schedules of chemicals, there is anothergroup of facilities which may also be affected by the declaration requirement.It is the group of facilities with PSF or discrete organic chemicals (DOC)chemical activities. It is obvious that the whole survey will be broaderand more complex than was first expected. States already have experiencehere related to the first phase - targeting and survey.
In general, the following groups have to be considered for the first survey:(a) chemical industry (facility operators at different levels anddifferent degree of involvement in activities related mostly to Schedules2 and 3 and, to a lesser degree, to Schedule 1; facility operators runninga facility covered under the DOC or PSF approach); (b) military defenseestablishments concerned with Schedule 1 activities (defence research),and old and abandoned CW; (c) research institutes, laboratories anduniversities (using Schedule 1 chemicals in small amounts for R&D);(d) other industry branches (e.g., agricultural, medicine, bio-technology,micro-electronics, dye and ink industry, etc.) which are concerned withthe consumption of primarily Schedule 2 chemicals and some Schedule 1 chemicals.
In conducting the survey to estimate the target entities, it should be bornein mind that the CWC verification regime, in addition to the complex declarationrequirements, will be established only for: (a) Schedule 1 chemicalproduction facilities; (b) Schedule 2 chemical production, processingand consumption plants; (c) Schedule 3 chemical production facilities;and (d) production facilities manufacturing unscheduled DOCs includingPSF chemicals.
The question of how to identify these facilities is probably the most challengingone. The PTS has prepared background material which is quite helpful andpoints to the possible 'tools' which can be used.
After the internal survey and the identification of possible affected facilities(with respect to declaration and normal inspection requirements and activities),the National Authority should start a dialogue to inform about all of thedetails of declaration activities and the receiving of expected inspections.It must be recognized that there are different levels of possible involvementin declaration submission by a individual facility operator: (a)a facility, which has to declare annually (Schedule 2 and 3), (b)a facility, which has to declare past activities (Schedule 2 and 3), and(c) a facility, which declares only ones (PSF and DOC). This distinctionshould be reflected in the approach the National Authority takes to theindividual facility operators and the way in which it helps them meet theirobligations.
'Normal' inspections
In addition, there is a need to prepare these facilities for receiving a'normal' inspection by the OPCW. It goes without saying that a facilitywith annual Schedule 2 activities needs more detailed preparation than doesa facility with past Schedule 2 or 3 activity.
Challenge inspections
In addition, it must be kept in mind that under the CWC the possibilitywill always exist that any facility might be the subject of a challengeinspection (as opposed to a so-called 'normal' inspection). In such a case,at a minimum, the facilities will need general information, which has tobe supplied by the National Authority, about the purpose and the goal ofthe challenge inspection, likely including a short manual to prepare thefacility operator for such an inspection. However, the main workload ina challenge inspection, for the inspected State Party will fall on the NationalAuthority, which has not only to provide the escort service, but also toensure that there is good communication between the facility operator andthe National Authority before the international inspection team arrivesat the site.
Information strategy
In the national implementation process there is a need not only to identifythe entities which will be affected by the CWC's declaration and inspectionrequirements and activities on the national level, but also to set up a'programme' to inform them of the requirements they are supposed to meet.If the PTS Declaration Handbook is taken as an example, there isprobably a need to make a technical 'translation' to enable a facility operatorto understand what facility activities need to be reported to the NationalAuthority. In addition, there seems to be a need for the National Authorityto conduct some type of outreach programme constantly update facility operatorsabout new developments in regard to their duties and but also rights inthe event of normal inspections. One good opportunity to start this dialoguewith facility operators is the setting up of facility agreements for thosefacilities involved in Schedule 2 activities. However, compared to the overallnumber of facilities affected this is, of course, only a small group.
Another crucial question is: Who could assist in the outreach strategy forthose facilities affected by declaration duties and possible inspectionactivities? Obviously, the National Authority will not in a position toeffectively address this question alone. There is a need to use the country'sexisting organizational set up for the industry. (e.g., CMAs, IndustrialManufacturers Associations, Chambers of Commerce, etc.) However, there willalways be a group of facilities which are not represented in such organizations.The National Authority must involve these facilities in its outreach strategy,including preparing them for possible inspections.
Strategy for informing governmental experts
There must also be an outreach strategy aimed at the governmental level.By signing the CWC states have stated their support of the Convention, butthe question remains of how best to work with theses states to bring themto ratification and national implementation as effectively and quickly aspossible? Regional seminars, seminars in The Hague organized by the PrepComand the PTS and the various regularly publications by the organization alreadyaccomplish this to some extent. However, these efforts could be more effectiveif the material was not only distributed, but if there was also close communicationwith the governmental officials involved in the preparation for nationalimplementation. A network of active contacts and communication with officialswould provide the possibility to identify the problems individual countriesand governments face in setting up implementation. The difficulties onecountry faces in implementation and the experience obtained from solvingthese problems could be helpful for another state.
Learning by doing is one way; perceiving the mistakes made by others isanother. In working with governmental experts, who are actively involvedin implementation, the possible support which NGOs could provide in theprocess of bringing the message to the 'consumer' should be considered.Besides producing additional information material, the NGO can communicatewith governmental experts more openly and freely. Communicating the experienceobtained in the national implementation undertakings from one State Partyto another might be an area where NGOs could play a role and have a positiveimpact.
The mass media
Last but not least, the mass media plays a role in communicating informationabout the implementation of the CWC. The PTS, the OPCW and the States Parties,via the National Authorities, have responsibilities to fill as regards providinginformation to the mass media. The CWC is a disarmament treaty which, itis hoped, will enhance security and trust between its future members. Inaddition to the possible positive aspects which press coverage of nationalimplementation undertaking might have, future inspection of a facility willreceive press coverage either positive or negative. The responsibility ofthe National Authority with respect to providing appropriate informationin this respect is obvious. The 'OPCW Media Policy' now under development,should be considered as an example of a useful tool for the National Authority.
III. NGOs and national implementation
National implementation is the responsibility of the individual StateParty. Article VII provides the general framework, but the State Party hasto decide upon the set-up of the National Authority and the legislativeprocesses to be implemented, including administration of the informationrequired under the declaration obligations (Articles IV, V and VI).
At first glance, the Convention seems to provide no place for actions bythose NGOs interested in CWC implementation. However, a few NGOs were involvedin the Geneva negotiations on the CWC, and provided support in many differentways. It seems thus important to ask the question: Do NGOs have a role innational implementation or not?
The answer to this question should be 'yes'. The preparatory phase for implementationof the CWC, on the national and international level, has clearly demonstratedthat many new problems have been encountered. There are certain areas whereNGOs or research institutes dealing with the various aspects of CW disarmamentcould play a role in supporting implementation of the CWC, especially onthe national level. The ways NGOs could be active may be categorized as:
- (a) support function
- (dissemination of information, support of the training of national inspectors, legal support in the process of drafting the necessary national legislation)
- (b) mediation function
- (If necessary there could be a need to mediate: (a) between the National Authority and the facility operator, (b) between the facility operator and CMAs, and (c) between the chemical industry, especially the CMA, and the future National Authority)
- (c) transmission function
- (informing about the ongoing international implementation process, making available experience from other States Parties with respect to their implementation experiences)
- (d) warning function
- (inform the concerned public, if implementation delays owing to unexpected administrative difficulties or missing necessary parliament actions occur)
The following section evaluates, the role which NGOs can play now andin the future in the process of national implementation: the supportof training and education of national and international inspectors.
NGOs, such as the Sussex-Harvard Programme and the SIPRI CBW Project, aswell as other programmes or institutions, have long-standing expertise ondifferent CW issues, the negotiation history, legal aspects, etc. Underthe CWC there will be a need for States Parties to 'escort' internationalinspection teams in the event of on-site and challenge inspections. Forthis escorting activities States Parties will have to prepare and educate'national inspectors'. In the process of preparing and educating nationalinspectors there will be an opportunity for specific NGOs to make a contribution.Any information required by the International Inspectorate during an inspectioncan currently only be acquired by and through the representatives of theNational Authority, including the national inspectors. It follows that theseindividuals must have an understanding of the CWC, the national obligationsand the specific industrial plant sites under inspection. This implies aknowledge of the industrial processes involved, the regulatory nature ofthe CWC and national implementation legislation, and an ability to conveyto the industrial operators both their rights and obligations during anindustrial inspection. The competence of the national inspectors will needto be similar to that of the OPCW inspectors. They will be required to havedetailed knowledge of all facilities that produce, process and consume Schedule2 and 3 chemicals above the specified threshold, since these plant siteswill be liable to on-site inspections.
NGOs could provide support and not only on the national level. There isroom for involvement in the teaching of national trainees and future internationalinspectors. The first two training courses in 1994 for national inspectorspersonnel, prepared by the Government of the Netherlands in co-operationwith the PTS, have shown the advantages of involving NGOs and individualexperts. Further training activities should build on the experience of theearlier training courses.
The PTS should request preparation from the NGOs of tailored contributionsfor the training programme. (lectures, background material, specific contributions,etc.) In this respect it may be useful to review the existing material fromNGOs (short-hand material, research reports, scientific analyses, etc.)with a view to possible use for training programmes.
Finally, there appears to be both a need and an opportunity to provide supportin national implementation undertaking for countries in economic transitionand in less developed countries. Supplying these countries with a specific'package' of implementation support, which might include background material,advice and expertise in setting up the national authority and identifyingthe declarable activities and facilities, and legal support and mediationsupport, will definitely help them in their national implementation activities.If such activities could be externally funded, certain NGOs would easilybe able to provide such support.
IV. NGOs and Article X
Under Article X - Assistance and Protection against Chemical Weapons- a Voluntary Fund for Assistance has to be established by the Conferenceof the States Parties at its first session after entry into force. An agreementwas reached that:
'The Voluntary Fund should comprise monetary contributions from States Partiesas well as from NGOs [non-governmental organizations], institutions, privateparties or individuals. Any condition on use of these funds must be consistentwith the aims and purpose of the Convention and approved by the ExecutiveCouncil.
Not only States Parties are called on to contribute to Article X, but alsoNGOs, research institutions, private parties and individuals will be allowedto make contributions.
In addition, Article X, paragraph 5, of the CWC requires that:
'The Technical Secretariat shall establish, not later than 180 days afterentry into force of this Convention and maintain, for the use of any requestingState Party, a data bank containing freely available information concerningvarious means of protection against chemical weapons as well as such informationas may be provided by States Parties.'
Based upon recommendations from the PrepCom expert group, a request fordocuments for this OPCW data bank has been sent to all signatory states.
NGOs and other institutions could make a useful contribution to ArticleX in that particular area. In the CWC negotiations at the Conference onDisarmament in Geneva, NGOs such as Pugwash, scientific institutes, independentresearchers and SIPRI, took great interest in particular aspects of thenegotiations (such as verification, protection, decontamination and detection,and the like). These NGOs accumulated a substantial amount of knowledgeon specific aspects of the Convention in the form of literature and data-basestored material. The obligation under Article X, paragraph 5, to establishthe OPCW data bank on protection against chemical weapons has been translatedinto an official request to States Parties. It might be appropriate to broadenthe scope of this paragraph by allowing NGOs to contribute to the data bank.This would enable the OPCW to access their experience and the material collectedby them over the years.
SIPRI is an NGO which has worked in the field of chemical disarmament formore than 25 years, and SIPRI is both ready and able to make a contributionto assist in establishing the data bank on protection against chemical weapons.I am quite sure that other NGOs would be prepared to take the same approach.
V. Conclusions
If in 1995 the necessary ratifications for entry into force of the CWCare achieved, it will be necessary to reconsider the ways important targetgroups--the recipients of the Convention--should be addressed in the future.There is a need to concentrate more on substance than on dissemination ofgeneral background material and information. There is no longer a need toinform about the basic or general obligations under the CWC. Specific material,tailor-made to meet the needs and requirements for implementing the declarationrequirements and preparing the concerned facilities for possible inspections,is required. The specific situation of regions and countries should be takeninto account in addressing problems.
There is a need for the PTS to more closely evaluate the outcome of theregional seminars and official consultations with individual states to providesupport in the implementation process.
However, states need to consider their particular role, which is officiallydelegated under the CWC to the future National Authorities, in the processof informing their industry entities which are likely to be affected bythe Convention. Each state has to find its own approach, but, support fromthe PrepCom and the PTS is essential.
There is a need for more substantial communication between states not onlyabout problems, but also about their experiences with national implementation.The group of States Parties which have already ratified the CWC should providetheir experience more openly, but always keeping in mind that each statewill choose its own country-specific approach.
Those NGOs which are involved in CW disarmament research should play a rolein targeting the groups affected by the CWC. There is a need to achieveadditional ratifications for entry into force of the CWC as soon as possible,and the capacity and willingness of some NGOs to play a more active rolein the process of informing and educating the target groups should not beignored. Why should this group, which supported the Geneva negotiationson the CWC for many years, now stand outside the process?
[1] Poland, 'Regional Seminar on NationalAuthoity and National Implementation Measures for the Chemical Weapons Convention,Warsaw, Poland, 7-8 December 1993', PC-V/A/WP.9, 15 Dec. 1993.
[2] Thailand, 'Regional Seminar on National Implementationof the Chemical Weapons Convention, Bangkok, Thailand, 9-10 May 1994', PC-VII/B/WP.14,29 June 1994.
[3] The Czech Republic, 'Regional Seminar on an Exchangeof practical Experience with the Process of National Implementation of theChemical Weapons Convention, Brno, Czech Republic, 1-2 June 1994, PC-VII/B/WP.13,28 June 1994.
[4] 'Regional Seminar on the National Implementation ofthe Chemical Weapons Convention (CWC) Government and Industrial Issues,Lima, Peru, 1-3 Sep. 1994', PC-VIII/8, 22 Sep. 1994.
[5] South Africa, 'African Regional Seminar on NationalImplementation of the Chemical Weapons Convention', PC-VIII/B/WP.13, 27Sep. 1994.
[6] Republic of Indonesia, 'Asia Pacific Seminar on theNational Implementation of the Chemical Weapons Convention, Jakarta, 29-30Nov. 1994', PC-IX/B/WP.13, 8 Dec. 1994.
[7] PTS for the PrepCom for the OPCW; 'Guidelines fordetermining declarable industrial facilities', Information Series (ChemicalIndustry), No.3, December 1994.
[8] 'Note by the Executive Secretary: Request for documentsfor the OPCW data bank on protection against chemical weapons', PrepComOPCW document PC-VI/B/3, 28 Jan. 1994.