ARTICLE-BY-ARTICLE ANALYSIS OF THE PROTOCOL ON TELEMETRIC INFORMATION

STRUCTURE AND OVERVIEW OF THE PROTOCOL

bbbbb The Telemetry Protocol consists of a Preamble and four sections. In the Protocol, the Parties agreed to incorporate the detailed provisions relating to access to telemetric information.

PREAMBLE

bbbbbThe preamble to the Protocol provides the connection with Article X of the Treaty which contains the general requirements concerning this issue.

SECTION I - PROVISION OF TAPES THAT CONTAIN A RECORDING OF TELEMETRIC INFORMATION

Section I consists of four paragraphs that provide for specific implementation of the requirements to exchange telemetry data tapes pursuant to paragraphs 4 and 6 of Article X of the Treaty. Paragraph 4 of Article X requires the Party conducting the flight test to provide tapes that contain a recording of all telemetric information that is broadcast during the flight test. Paragraph 6 of Article X provides for a limited right to encapsulate and encrypt on-board technical measurements. Whenever the right to encapsulate is exercised, the Party conducting the flight test is obligated to provide tapes that contain a recording of all telemetric information, including information that is encapsulated, if such tapes are recovered following the flight test.

bbbbb Subparagraphs 1(a) and 1(b) of Section I require both broadcast telemetry tapes and encapsulated telemetry tapes to be provided no later than 50 days after the flight test of an ICBM or SLBM. The obligation can be satisfied by providing copies of tapes rather than the originals. Further, the obligation is to provide tapes that contain a recording of all telemetric information," not all tapes." Thus, if multiple tracking stations make simultaneous recordings of the same telemetric signal, a side could merge the data, thus eliminating redundancy, and provide a tape or tapes containing such data, as long as all the telemetric information obtained is contained on the tapes. Because there is no assurance that an encapsulated telemetry tape will be recovered, subparagraph 1(b) makes clear that the obligation to provide such tapes exists only if they are recovered.

bbbbb Subparagraph 1(c) of Section I requires that a summary be provided for each tape. This summary is necessary to identify the tape and to assist playing back the tape. Such a summary must include basic information such as the type of ICBM or SLBM, date of flight test, the type of recorder and the recording speed, the track number, record period, record mode and broadcast frequency in megahertz. Also required are the digital data encoding methods employed and digital recording formats. Digital recording formats are directly related to how telemetric information is recorded and represented on tape and are a critical factor in differentiating types of telemetry tapes for the purposes of subparagraphs 4(a) and (b) below. Both sides indicated they use digital recordings. If analog recordings are used, formats for the recording of such data would also be required. Missing or unreadable portions of telemetric information sometimes occur. The Party supplying such a tape must also identify and, where possible, explain the periods during the flight test for which no tape recordings were obtained or for which tape recordings are of inferior quality. Such identifications and explanation must be keyed to a time standard so as to denote the periods during the flight test for which telemetric information may be missing or unreadable.

bbbbb Paragraph 2 of Section I gives the Party conducting the flight test the right to determine the method of recording the telemetric information on the tapes. This provision makes clear that the obligation to provide telemetry tapes does not prejudice the choice of the recording method as long as the tapes contain a recording of all telemetric information obtained. Such a provision is required since the Parties may employ different recording techniques and equipment. In order to alleviate problems in playing back tapes made using different techniques, paragraph 4 of this Section provides for demonstrations of, and the opportunity to acquire, the appropriate equipment to play back telemetry tapes.

bbbbb Paragraph 3 of Section I provides the means for a Party receiving telemetry tapes that it determines are incomplete or are of insufficient quality for processing to request an explanation and seek resolution of the problem. This provision complements subparagraph 1(c)(iv) of the same Section which already obligates the Party providing the tapes to identify and explain known gaps or problems with quality. Additional problems, however, might result from the duplicating, handling, or shipping processes. If the Party receiving tapes determines that they are incomplete or that their quality is insufficient for processing, that Party may notify the other Party no later than 45 days after the receipt of the tapes of the nature of the problem, in accordance with paragraph 4 of Section VI of the Notification Protocol. No later than 30 days after receiving such notification, the Party that had originally provided the tapes must provide either an explanation of the reasons for the incompleteness or insufficient quality, or, if possible, new copies of the tapes. If there are still concerns over the content or quality of the tapes, a Party can raise such concerns in the Joint Compliance and Inspection Commission under Article XV of the Treaty, or in another appropriate forum.

bbbbb Paragraph 4 of Section I contains provisions that are designed to allow the Party receiving telemetry tapes to be able to play them back. Subparagraph 4(a) requires that an initial demonstration be conducted of the tapes being used, as well as the appropriate equipment for playback, no later than 120 days after signature of the Treaty.

bbbbb Subparagraph 4(b) requires demonstrations of those tapes and equipment that differ from tapes and equipment previously demonstrated. Such demonstrations must be conducted no less than 30 days in advance of the first flight test of an ICBM or SLBM during which the different tapes or equipment are to be used. Notification of the date and place of such demonstration must be provided in accordance with paragraph 2 of Section VI of the Notification Protocol. The Parties shall agree, within the framework of the Joint Compliance and Inspection Commission, on the procedures for the initial demonstration and for subsequent demonstrations for different equipment or tapes provided for in subparagraphs 1(a) and 1(b). However, if only the recording format differs and different playback equipment is not required, then a demonstration is not required, and the Party conducting the flight test need only provide information describing the different format. Information describing the format must be provided through diplomatic channels no less than 60 days in advance of the flight test specified in this subparagraph. Recording format means the method of recording the data on the tape.

bbbbb Subparagraph 4(c) requires that a Party, if requested, provide the opportunity for the other Party to acquire the appropriate equipment to play back the tapes no later than 30 days in advance of the receipt of such tapes. Notification of such a request is provided in accordance with paragraph 3 of Section VI of the Notification Protocol. This provision does not require that such equipment will be supplied without compensation, but rather that the equipment will be made available for acquisition without restrictions on such acquisition.

SECTION II - PROVISION OF DATA ASSOCIATED WITH THE ANALYSIS OF TELEMETRIC INFORMATION

bbbbb Section II of this Protocol provides the specific requirement to provide data for the analysis of telemetric information. This data is known as "interpretive data." No later than 50 days after each flight test of an ICBM or SLBM, the Party conducting the flight test must provide, through diplomatic channels, a description of the format of the telemetry frame and methods of encoding, for all telemetric information that is broadcast, except for telemetric information that originates in and is broadcast from a reentry vehicle.Subparagraph 1(a) specifies types of interpretive data pertaining to the format of the telemetry frame and to the methods of encoding that must be included. This subparagraph makes it clear, however, that the obligation is not limited to the specific examples given. If other interpretive data is required to describe the format of the telemetry frame or the methods of encoding, it too must be provided.

bbbbb Telemetry data bits are usually organized into a hierarchy of groupings; a group of individual data bits make up a standard word and a group of standard words make up a frame. The beginning or end of a frame is identified by a unique pattern of bits known as synchronization words or bits. Subparagraphs 1(a)(i) through 1(a)(iv) require that the description include basic formatting information, specifically; the number of bits per standard word, words per frame, frames per second, and the location of synchronization words or bits.

bbbbb Subparagraph 1(a)(v) requires that the description include the location of information in the frame describing its formatting. For example, specific words may contain information that specifies how or when the frame format has changed from the previous frame.

bbbbbSubparagraphs 1(a)(vi) and 1(a)(vii) require that the description include information regarding data elements. Data elements are units of information, for example, an on-board technical measurement or a formatting aid within the telemetry frame itself. Data elements may or may not be recorded once each frame, may or may not be in the same location in the frame throughout the flight, and may be represented numerically by one of several possible arrangement of bits. Subparagraphs 1(a)(vi) requires that the description must include a designator and the location of each data element within the frame throughout the flight and, if a given word location is time-shared by two or more data elements, the structure for such time-sharing. The designator called for in this subparagraph is a means of identifying each data element, not necessarily a name or description.Subparagraphs 1(a)(vii) requires that the description include the method of representing each data element, including the location of each bit in each element, the order of the bits from least significant to most significant, and the method for representing negative values.

bbbbb Subparagraph 1(a)(viii) requires that the testing Party provide all information regarding encoding algorithms. Encoding algorithms are processes that are applied within the telemetry equipment and are known to the testing Party. Encoding algorithms include error detection and correction, data compression, and any conversion processes that are applied in the telemetry equipment to on-board measured parameter values prior to their broadcast.

bbbbb Subparagraph (b) of paragraph 1 requires the provision, no later than 50 days following the flight test, of the names of parameters and their locations in the telemetry frame, as well as conversion factors or analytic expressions for converting telemetric information to physical values of parameters, for that telemetric information necessary to determine acceleration of the stages and the self-contained dispensing mechanism of the ICBM or SLBM; the separation times of the stages and the self-contained dispensing mechanism; and the times of reentry vehicle separation commands and times of reentry vehicle releases.

bbbbb Paragraph 2 of this Section requires the provision, no later than 50 days following the flight test, of a missile acceleration profile for all stages of the missile and for the self-contained dispensing mechanism. The acceleration profile will aid in the analysis of throw-weight demonstrated on ballistic missile flight tests and the number of reentry vehicle releases and simulated releases. Paragraph 2 requires that the acceleration profile be calculated on the basis of all relevant on-board and external measurements that are made during the flight test. Pursuant to paragraph 1 of Article X of the Treaty, however, there is no obligation to make any specific on-board technical measurements, including those necessary to calculate the acceleration profile, nor is there any requirement in the Treaty to make external measurements relevant to the calculation of the acceleration profile. In the unlikely event that no relevant measurements, either on-board or external, were made on a given flight-test, the testing Party would still be obligated to provide an acceleration profile based on its engineering estimates.

bbbbb Paragraph 2 also specifies that the acceleration profile be calculated to a prescribed precision. Such precision may prove impossible with the measurements taken on a given flight; in such a case, the profile is to be calculated to the greatest precision possible.

bbbbb Paragraph 3 of this Section requires the provision, no later than 120 days after signature of the Treaty, of an example illustrative of the interpretive data and missile acceleration profile. The content of the interpretive data and missile acceleration profile specified in paragraph 3 are to be agreed within the framework of the Joint Compliance and Inspection Commission. To ensure that the demonstrations involved a telemetry system relevant to modern systems, the Parties agreed that the United States of America would supply example data for one of its modern missiles (Peacekeeper, Minuteman III, Trident I, or Trident II), and the Union of Soviet Socialist Republics would supply example data for one of its modern missiles (SS-18, SS-24, SS-25, or SS-N-23).

SECTION III - PROVISIONS CONCERNING ENCAPSULATION AND ENCRYPTION OF TELEMETRIC INFORMATION

bbbbb Section III of this Protocol provides the specific requirements for a Party that elects to encapsulate or encrypt telemetric information pursuant to paragraph 6 of Article X of the Treaty.

bbbbb Paragraph 1 of this Section addresses encapsulation. Subparagraph (a) limits encapsulation to reentry vehicle measurements made during the plasma phase. Plasma phase is the period of reentry into the earth's atmosphere in which the increased friction produces plasma of charged particles around the reentry vehicle through which telemetric signals cannot be transmitted. An exception to this rule limiting encapsulation to the plasma phase is provided for the Minuteman II. This is necessary because the Minuteman II has been designed to encapsulate reentry vehicle data throughout its flight and it would be difficult and expensive for the U.S. to redesign this mature system.

bbbbb Subparagraph (b) requires the Party conducting the flight test, when possible, to broadcast, from the same reentry vehicle on which data are encapsulated, all measurements made before and after the plasma phase, and following the plasma phase, some measurements made and recorded during the plasma phase. The obligation to broadcast after the plasma phase does not apply when reentry vehicle impact occurs during conditions of plasma formation, since such broadcast would be impossible. These broadcasts of measurements help ensure that the Party monitoring the flight test can verify the authenticity of the tapes. There is no obligation to install transmission equipment in a reentry vehicle for the sole purpose of making such broadcasts.

bbbbb Paragraph 2 of this Section adds to the provisions of paragraph 6 of Article X of the Treaty concerning encryption. (See analysis of main Treaty text above.) Subparagraph (a) of paragraph 2 limits encryption to former and retired types of ICBMs and SLBMs, as well as during not more than two flight tests each year of a single existing type of ICBM or SLBM. If a Party decides to encrypt an existing type it must provide, in accordance with paragraph 5 of Section VI of the Notification Protocol, the notification of the type to be used no less than 30 days in advance of the first flight test during which telemetry encryption will be used. The Party is then locked in" to encryption of only this existing type of missile until that missile is retired. When that existing type is retired, the encryption exemption may be used by another existing type of ICBM or SLBM (that is, an ICBM or SLBM of a type existing as of the entry into force of the Treaty.)

bbbbb Subparagraph (b) sets out the constraints on what telemetric information may be encrypted. Only telemetric information that pertains to the front section or its elements may be encrypted. (The phrase or its elements" refers to unspecified objects that might be contained on the front section, other than objects listed in the definition of the term front section." Such objects could include cameras and sensors.) Such telemetric information may be encrypted only after that front section or its elements have separated from either: (i) the self-contained dispensing mechanism, during a flight test of an ICBM or SLBM equipped with a self-contained dispensing mechanism; or (ii) the final stage, during a flight test of an ICBM or SLBM that is not equipped with a self-contained dispensing mechanism.

bbbbb Subparagraph (c) prohibits either Party from encrypting telemetric information that pertains to the functioning of the stages or the self-contained dispensing mechanism of an ICBM or SLBM.

SECTION IV - PROVISIONAL APPLICATION

Section IV provides the legal basis for the application of selected provisions prior to entry into force of the Treaty. The Parties have agreed that the Treaty and its associated documents enter into force when the Parties exchange instruments of ratification. Therefore, in accordance with Articles 24 and 25 of the Vienna Convention on the Law of Treaties which the United States recognizes as codifying existing international law on the subject, the Parties need to provide or agree on the provisional application of certain provisions pending entry into force.

bbbbb The use of this form for provisional application is virtually identical to that used in paragraph 2 of Section VIII of the JCIC Protocol and to the attestation of the Memorandum of Understanding. Moreover, this form follows closely that of the Protocol on the Provisional Application of Certain Provisions of the Treaty on Conventional Armed Forces in Europe of November 19, 1990.

bbbbb Paragraph 1 cites the provisions that are to be provisionally applied: paragraph 3 of Section VI of the Notification Protocol (the request for the opportunity to acquire appropriate equipment to play back telemetric information following demonstration); subparagraph 4(a) of Section I of this Protocol (the initial demonstration of tapes and appropriate playback equipment); and paragraph 3 of Section II of this Protocol (provision of sample interpretive data and missile acceleration profile.) (Note: The Parties have each stated their intent to voluntarily cease encryption and jamming of flight tests of ICBMs and SLBMs 120 days after Treaty signature. This is not an instance of provisional application, but is a separate, voluntary act with no legal nexus to the Treaty and its Protocols.)

bbbbb Paragraph 2 provides the time period of provisional application. These provisions apply for a 12-month period, unless, prior to that time a Party informs the other Party of its decision to terminate the provisional application of any of the provisions that are provisionally applied or the Treaty enters into force. Of course, once the Treaty enters into force these provisions are treated the same as all other provisions.

bbbbb This paragraph makes it clear that there is a continuing legal basis for the Parties to consider questions arising from the execution of the requests or demonstrations cited in paragraph 1 of this Section. The 12-month limit is necessary to ensure that provisional application does not continue in perpetuity. This paragraph also provides the Parties with the option to extend the period of provisional application for additional periods subject to the same limitations that initially apply.

bbbbb Paragraph 3 of this Section provides that such provisional application occur in light of and in conformity with the other provisions of the Treaty. This means that the Parties need not provisionally apply all other provisions that could have bearing on the provisions cited in paragraph 1. For example, there is no need to provisionally apply the Definitions Annex to the Treaty even though terminology incorporated there may bear on execution of a demonstration of tapes.

bbbbb A final provision, like those in the other Protocols, provides that, pursuant to subparagraph (b) of Article XV of the Treaty, additional measures can be agreed upon by the Parties with respect to this Protocol to improve the viability and effectiveness of the Treaty. The Parties agree that, if changes need to be made in the Protocol that do not affect substantive rights or obligations under the Treaty, then such changes as are agreed upon shall be made within the framework of the Joint Compliance and Inspection Commission (JCIC), without resorting to the amendment procedures set forth in Article XVIII of the Treaty.

bbbbb Pursuant to Article XVII of the Treaty, the Protocol is deemed to be an integral part of the Treaty.