INF
INFCIRC/546
24 December 1997

International Atomic Energy Agency

INFORMATION CIRCULAR

GENERAL Distr.
Original: ARABIC, CHINESE,ENGLISH, FRENCH, RUSSIAN andSPANISH
XA9846050

JOINT CONVENTION ON THE SAFETY OF SPENT FUEL MANAGEMENTAND ON THE SAFETY OF RADIOACTIVE WASTE MANAGEMENT

1.
The Joint Convention on the Safety of Spent Fuel Management and on the Safety ofRadioactive Waste Management was adopted on 5 September 1997 by a Diplomatic
Conference convened by the International Atomic Energy Agency at its headquarters from
1 to 5 September 1997. The Joint Convention was opened for signature at Vienna on 29
September 1997 during the forty-first session of the General Conference of the International
Atomic Energy Agency and will remain open for signature until its entry into force.
2.
Pursuant to article 40, the Joint Convention will enter into force on the ninetieth day
after the date of deposit with the Depositary of the twenty-fifth instrument of ratification,
acceptance or approval, including the instruments of fifteen States each having an operational
nuclear power plant.
3.
The text of the Convention, as adopted, is attached hereto for the information ofMember States.

9-05
For reasons of economy, this document has been printed in a limited number.
-

97-05463i'I

JOINT CONVENTION
ON THE SAFETY OF SPENT FUEL MANAGEMENT AND
ON THE SAFETY OF RADIOACTIVE WASTE MANAGEMENTJOINT CONVENTION
ON THE SAFETY OF SPENT FUEL MANAGEMENT AND
ON THE SAFETY OF RADIOACTIVE WASTE MANAGEMENTPREAMBLE
CHAPTER 1 OBJECTIVES, DEFINITIONS AND SCOPE OF APPLICATIONARTICLE 1
ARTICLE 2

OBJECTIVESDEFINITIONSARTICLE 3

SCOPE OF APPLICATIONCHAPTER 2

SAFETY OF SPENT FUEL MANAGEMENT

CHAPTER 3

ARTICLE 4
GENERAL SAFETY REQUIREMENTS
ARTICLE 5
EXISTING FACILITIESARTICLE 6
SITING OF PROPOSED FACILITIESARTICLE 7
DESIGN AND CONSTRUCTION OF FACILITIESARTICLE 8
ASSESSMENT OF SAFETY OF FACILITIESARTICLE 9
OPERATION OF FACILITIESARTICLE 10 DISPOSAL OF SPENT FUELSAFETY OF RADIOACTIVE WASTE MANAGEMENTARTICLE 11
ARTICLE 1 2
ARTICLE 1 3
ARTICLE 14
ARTICLE 1 5
ARTICLE 16
ARTICLE 17

CHAPTER 4

GENERAL SAFETY PROVISIONSARTICLE 18
ARTICLE 19
ARTICLE 20
ARTICLE 21
ARTICLE 22
ARTICLE 23
ARTICLE 24
ARTICLE 25
ARTICLE 26

CHAPTER 5

GENERAL SAFETY REQUIREMENTS
EXISTING FACILITIES AND PAST PRACTICESSITING OF PROPOSED FACILITIESDESIGN AND CONSTRUCTION OF FACILITIESASSESSMENT OF SAFETY OF FACILITIESOPERATION OF FACILITIESINSTITUTIONAL MEASURES AFTER CLOSURE

IMPLEMENTING MEASURESLEGISLATIVE AND REGULATORY FRAMEWORKREGULATORY BODYRESPONSIBILITY OF THE LICENCE HOLDERHUMAN AND FINANCIAL RESOURCESQUALITY ASSURANCEOPERATIONAL RADIATION PROTECTION
EMERGENCY PREPAREDNESSDECOMMISSIONINGMISCELLANEOUS PROVISIONSARTICLE 27 TRANSBOUNDARY MOVEMENTARTICLE 28 DISUSED SEALED SOURCESCHAPTER 6

MEETINGS OF THE CONTRACTING PARTIESARTICLE 29
ARTICLE 30
ARTICLE 31
ARTICLE 32
ARTICLE 33
ARTICLE 34
ARTICLE 35
ARTICLE 36
ARTICLE 37

CHAPTER 7

PREPARATORY MEETINGREVIEW MEETINGSEXTRAORDINARY MEETINGSREPORTINGATTENDANCESUMMARY REPORTS
LANGUAGESCONFIDENTIALITY
SECRETARIATFINAL CLAUSES AND OTHER PROVISIONSARTICLE 38 RESOLUTION OF DISAGREEMENTS
ARTICLE 39 SIGNATURE, RATIFICATION, ACCEPTANCE, APPROVAL,ACCESSION
ARTICLE 40 ENTRY INTO FORCEARTICLE 41 AMENDMENTS TO THE CONVENTIONARTICLE 42 DENUNCIATIONARTICLE 43 DEPOSITARY
ARTICLE 44 AUTHENTIC TEXTSPREAMBLE

The Contracting Parties(i)

Recognizing that the operation of nuclear reactors generates spent fuel andradioactive waste and that other applications of nuclear technologies also generateradioactive waste;(ii)

Recognizing that the same safety objectives apply both to spent fuel andradioactive waste management;(iii)

Reaffirming the importance to the international community of ensuring that soundpractices are planned and implemented for the safety of spent fuel and radioactive
waste management;(iv)

Recognizing the importance of informing the public on issues regarding the safetyof spent fuel and radioactive waste management;(v)

Desiring to promote an effective nuclear safety culture worldwide;(vi)

Reaffirming that the ultimate responsibility for ensuring the safety of spent fuel andradioactive waste management rests with the State;(vii)

Recognizing that the definition of a fuel cycle policy rests with the State, someStates considering spent fuel as a valuable resource that may be reprocessed,
others electing to dispose of it;(viii)

Recognizing that spent fuel and radioactive waste excluded from the present
Convention because they are within military or defence programmes should bemanaged in accordance with the objectives stated in this Convention;

(ix)Affirming the importance of international co-operation in enhancing the safety ofspent fuel and radioactive waste management through bilateral and multilateralmechanisms, and through this incentive Convention;(x)

Mindful of the needs of developing countries, and in particular the least developed
countries, and of States with economies in transition and of the need to facilitate
existing mechanisms to assist in the fulfillment of their rights and obligations set
out in this incentive Convention;(xi)

Convinced that radioactive waste should, as far as is compatible with the safetyof the management of such material, be disposed of in the State in which it was
generated, whilst recognizing that, in certain circumstances, safe and efficientmanagement of spent fuel and radioactive waste might be fostered throughagreements among Contracting Parties to use facilities in one of them for the
benefit of the other Parties, particularly where waste originates from joint projects;(xii)

Recognizing that any State has the right to ban import into its territory of foreign
spent fuel and radioactive waste;(xiii)

Keeping in mind the Convention on Nuclear Safety (1994), the Convention on Early
Notification of a Nuclear Accident (1986), the Convention on Assistance in theCase of a Nuclear Accident or Radiological Emergency (1986), the Convention on
the Physical Protection of Nuclear Material (1980), the Convention on thePrevention of Marine Pollution by Dumping of Wastes and Other Matter as amended(1994) and other relevant international instruments;(xiv)

Keeping in mind the principles contained in the interagency "International Basic
Safety Standards for Protection against Ionizing Radiation and for the Safety ofRadiation Sources" (1996), in the IAEA Safety Fundamentals entitled "ThePrinciples of Radioactive Waste Management" (1995), and in the existing
international standards relating to the safety of the transport of radioactive
materials;

{xv)Recalling Chapter 22 of Agenda 21 by the United Nations Conference on
Environment and Development in Rio de Janeiro adopted in 1 992, which reaffirms
the paramount importance of the safe and environmentally sound management ofradioactive waste;(xvi)

Recognizing the desirability of strengthening the international control systemapplying specifically to radioactive materials as referred to in Article 1 (3) of theBasel Convention on the Control of Transboundary Movements of Hazardous
Wastes and Their Disposal (1989);

Have agreed as follows:

CHAPTER 1. OBJECTIVES, DEFINITIONS AND SCOPE OF APPLICATIONARTICLE 1. OBJECTIVES

The objectives of this Convention are:(i)to achieve and maintain a high level of safety worldwide in spent fuel andradioactive waste management, through the enhancement of national measuresand international co-operation, including where appropriate, safety-related technicalco-operation;(ii)

to ensure that during all stages of spent fuel and radioactive waste management
there are effective defenses against potential hazards so that individuals, society
and the environment are protected from harmful effects of ionizing radiation, now
and in the future, in such a way that the needs and aspirations of the present
generation are met without compromising the ability of future generations to meettheir needs and aspirations;(iii)

to prevent accidents with radiological consequences and to mitigate theirconsequences should they occur during any stage of spent fuel or radioactive waste
management.

ARTICLE 2. DEFINITIONS

For the purposes of this Convention:(a)"closure"means the completion of all operations at some time after theemplacement of spent fuel or radioactive waste in a disposal facility. This includes
the final engineering or other work required to bring the facility to a condition thatwill be safe in the long term;(b)"decommissioning " means all steps leading to the release of a nuclear facility, otherthan a disposal facility, from regulatory control. These steps include the processesof decontamination and dismantling;(c)"discharges" means planned and controlled releases into the environment, as alegitimate practice, within limits authorized by the regulatory body, of liquid or
gaseous radioactive materials that originate from regulated nuclear facilities during
normal operation;(d)"disposal" means the emplacement of spent fuel or radioactive waste in an
appropriate facility without the intention of retrieval;(e)"licence" means any authorization, permission or certification granted by aregulatory body to carry out any activity related to management of spent fuel orof radioactive waste;(f)"nuclear facility"means a civilian facility and its associated land, buildings andequipment in which radioactive materials are produced, processed, used, handled,stored or disposed of on such a scale that consideration of safety is required;(g)"operating lifetime" means the period during which a spent fuel or a radioactive
waste management facility is used for its intended purpose.

In the case of adisposal facility, the period begins when spent fuel or radioactive waste is first
emplaced in the facility and ends upon closure of the facility;(h)"radioactive waste" means radioactive material in gaseous, liquid or solid form forwhich no further use is foreseen by the Contracting Party or by a natural or legal
person whose decision is accepted by the Contracting Party, and which iscontrolled as radioactive waste by a regulatory body under the legislative andregulatory framework of the Contracting Party;(i)"radioactive waste management" means all activities, including decommissioning
activities, that relate to the handling, pretreatment, treatment, conditioning,storage, or disposal of radioactive waste, excluding off-site transportation. It may
also involve discharges;(j)"radioactive waste management facility"means any facility or installation the

primary purpose of which is radioactive waste management, including a nuclear
facility in the process of being decommissioned only if it is designated by theContracting Party as a radioactive waste management facility;(k)"regulatory body" means any body or bodies given the legal authority by theContracting Party to regulate any aspect of the safety of spent fuel or radioactive
waste management including the granting of licences;(I)"reprocessing" means a process or operation, the purpose of which is to extract
radioactive isotopes from spent fuel for further use;(m)"sealedsource" means radioactive material that is permanently sealed in a capsuleor closely bonded and in a solid form, excluding reactor fuel elements;(n)"spent fuel" means nuclear fuel that has been irradiated in and permanently
removed from a reactor core;(o)"spent fuel management" means all activities that relate to the handling or storageof spent fuel, excluding off-site transportation. It may also involve discharges;(p)"spent fuel management facility"means any facility or installation the primary

purpose of which is spent fuel management;(q)"State of destination"means a State to which a transboundary movement isplanned or takes place;(r)"State of origin" means a State from which a transboundary movement is planned
to be initiated or is initiated;

6

(s)

"State of transit" means any State, other than a State of origin or a State ofdestination, through whose territory a transboundary movement is planned or takes
place;(t)"storage " means the holding of spent fuel or of radioactive waste in a facility thatprovides for its containment, with the intention of retrieval;(u)''transboundary movement" means any shipment of spent fuel or of radioactive
waste from a State of origin to a State of destination.

ARTICLE 3.

1.

SCOPE OF APPLICATIONThis Convention shall apply to the safety of spent fuel management when the spent

fuel results from the operation of civilian nuclear reactors. Spent fuel held at reprocessing
facilities as part of a reprocessing activity is not covered in the scope of this Convention
unless the Contracting Party declares reprocessing to be part of spent fuel management.

2.

This Convention shall also apply to the safety of radioactive waste management

when the radioactive waste results from civilian applications. However, this Convention
shall not apply to waste that contains only naturally occurring radioactive materials andthat does not originate from the nuclear fuel cycle, unless it constitutes a disused sealed
source or it is declared as radioactive waste for the purposes of this Convention by theContracting Party.

3.

This Convention shall not apply to the safety of management of spent fuel orradioactive waste within military or defence programmes, unless declared as spent fuel orradioactive waste for the purposes of this Convention by the Contracting Party. However,this Convention shall apply to the safety of management of spent fuel and radioactive
waste from military or defence programmes if and when such materials are transferredpermanently to and managed within exclusively civilian programmes.

4.

This Convention shall also apply to discharges as provided for in Articles 4, 7, 1 1 ,14, 24 and 26.

CHAPTER 2

SAFETY OF SPENT FUEL MANAGEMENTARTICLE 4. GENERAL SAFETY REQUIREMENTS

Each Contracting Party shall take the appropriate steps to ensure that at all stagesof spent fuel management, individuals, society and the environment are adequately
protected against radiological hazards.

In so doing, each Contracting Party shall take the appropriate steps to:(i)ensure that criticality and removal of residual heat generated during spent fuelmanagement are adequately addressed;(ii)

ensure that the generation of radioactive waste associated with spent fuelmanagement is kept to the minimum practicable, consistent with the type of fuelcycle policy adopted;(iii)

take into account interdependencies among the different steps in spent fuelmanagement;(¡v)

provide for effective protection of individuals, society and the environment, byapplying at the national level suitable protective methods as approved by theregulatory body, in the framework of its national legislation which has due regard
to internationally endorsed criteria and standards;(v)take into account the biological, chemical and other hazards that may be associatedwith spent fuel management;(vi)

strive to avoid actions that impose reasonably predictable impacts on future
generations greater than those permitted for the current generation;(vii)

aim to avoid imposing undue burdens on future generations.

8

ARTICLE 5.

EXISTING FACILITIESEach Contracting Party shall take the appropriate steps to review the safety of any
spent fuel management facility existing at the time the Convention enters into force forthat Contracting Party and to ensure that, if necessary, all reasonably practicable
improvements are made to upgrade the safety of such a facility.

ARTICLE 6. SITING OF PROPOSED FACILITIES

1.

Each Contracting Party shall take the appropriate steps to ensure that procedures

are established and implemented for a proposed spent fuel management facility:(i)

to evaluate all relevant site-related factors likely to affect the safety of sucha facility during its operating lifetime;(ii)

to evaluate the likely safety impact of such a facility on individuals, society
and the environment;(iii)

to make information on the safety of such a facility available to membersof the public;(iv)

to consult Contracting Parties in the vicinity of such a facility, insofar as
they are likely to be affected by that facility, and provide them, upon theirrequest, with general data relating to the facility to enable them to evaluate
the likely safety impact of the facility upon their territory.

2.

In so doing, each Contracting Party shall take the appropriate steps to ensure thatsuch facilities shall not have unacceptable effects on other Contracting Parties by being
sited in accordance with the general safety requirements of Article 4.

ARTICLE 7. DESIGN AND CONSTRUCTION OF FACILITIESEach Contracting Party shall take the appropriate steps to ensure that:(i)the design and construction of a spent fuel management facility provide for suitablemeasures to limit possible radiological impacts on individuals, society and theenvironment, including those from discharges or uncontrolled releases;(ii)

at the design stage, conceptual plans and, as necessary, technical provisions forthe decommissioning of a spent fuel management facility are taken into account;(¡ii)

the technologies incorporated in the design and construction of a spent fuelmanagement facility are supported by experience, testing or analysis.

ARTICLE 8. ASSESSMENT OF SAFETY OF FACILITIESEach Contracting Party shall take the appropriate steps to ensure that:{¡)

before construction of a spent fuel management facility, a systematic safetyassessment and an environmental assessment appropriate to the hazard presented
by the facility and covering its operating lifetime shall be carried out;(ii)

before the operation of a spent fuel management facility, updated and detailed
versions of the safety assessment and of the environmental assessment shall be
prepared when deemed necessary to complement the assessments referred to inparagraph (i).

ARTICLE 9. OPERATION OF FACILITIESEach Contracting Party shall take the appropriate steps to ensure that:(i)the licence to operate a spent fuel management facility is based upon appropriate
assessments as specified in Article 8 and is conditional on the completion of a10

commissioning programme demonstrating that the facility, as constructed, isconsistent with design and safety requirements;(ii)

operational limits and conditions derived from tests, operational experience and theassessments, as specified in Article 8, are defined and revised as necessary;(iii)

operation, maintenance, monitoring, inspection and testing of a spent fuelmanagement facility are conducted in accordance with established procedures;(iv)

engineering and technical support in all safety-related fields are available throughout
the operating lifetime of a spent fuel management facility;(v)

incidents significant to safety are reported in a timely manner by the holder of thelicence to the regulatory body;(vi)

programmes to collect and analyse relevant operating experience are establishedand that the results are acted upon, where appropriate;(vii)

decommissioning plans for a spent fuel management facility are prepared andupdated, as necessary, using information obtained during the operating lifetime ofthat facility, and are reviewed by the regulatory body.

ARTICLE 10.

DISPOSAL OF SPENT FUEL

If, pursuant to its own legislative and regulatory framework, a Contracting Party
has designated spent fuel for disposal, the disposal of such spent fuel shall be inaccordance with the obligations of Chapter 3 relating to the disposal of radioactive waste.

11

CHAPTER 3

SAFETY OF RADIOACTIVE WASTE MANAGEMENTARTICLE 1 1 . GENERAL SAFETY REQUIREMENTS

Each Contracting Party shall take the appropriate steps to ensure that at all stagesof radioactive waste management individuals, society and the environment are adequately
protected against radiological and other hazards.

In so doing, each Contracting Party shall take the appropriate steps to:(i)ensure that criticality and removal of residual heat generated during radioactive
waste management are adequately addressed;(ii)

ensure that the generation of radioactive waste is kept to the minimum practicable;(iii)

take into account interdependencies among the different steps in radioactive waste
management;(iv)

provide for effective protection of individuals, society and the environment, byapplying at the national level suitable protective methods as approved by theregulatory body, in the framework of its national legislation which has due regard
to internationally endorsed criteria and standards;(v)take into account the biological, chemical and other hazards that may be associatedwith radioactive waste management;(vi)

strive to avoid actions that impose reasonably predictable impacts on future
generations greater than those permitted for the current generation;(vii)

aim to avoid imposing undue burdens on future generations.

12

ARTICLE 12.

EXISTING FACILITIES AND PAST PRACTICESEach Contracting Party shall in due course take the appropriate steps to review:(i)the safety of any radioactive waste management facility existing at the time theConvention enters into force for that Contracting Party and to ensure that, if
necessary, all reasonably practicable improvements are made to upgrade the safetyof such a facility;(ii)

the results of past practices in order to determine whether any intervention isneeded for reasons of radiation protection bearing in mind that the reduction in
detriment resulting from the reduction in dose should be sufficient to justify theharm and the costs, including the social costs, of the intervention.

ARTICLE 13. SITING OF PROPOSED FACILITIES

1.

Each Contracting Party shall take the appropriate steps to ensure that procedures

are established and implemented for a proposed radioactive waste management facility:(i)

to evaluate all relevant site-related factors likely to affect the safety of sucha facility during its operating lifetime as well as that of a disposal facility
after closure;(ii)

to evaluate the likely safety impact of such a facility on individuals, society
and the environment, taking into account possible evolution of the site
conditions of disposal facilities after closure;(¡¡¡)

to make information on the safety of such a facility available to membersof the public;(iv)

to consult Contracting Parties in the vicinity of such a facility, insofar as
they are likely to be affected by that facility, and provide them, upon their13request, with general data relating to the facility to enable them to evaluate
the likely safety impact of the facility upon their territory.

2.

In so doing, each Contracting Party shall take the appropriate steps to ensure thatsuch facilities shall not have unacceptable effects on other Contracting Parties by being
sited in accordance with the general safety requirements of Article 1 1 .

ARTICLE 14. DESIGN AND CONSTRUCTION OF FACILITIESEach Contracting Party shall take the appropriate steps to ensure that:(i)the design and construction of a radioactive waste management facility provide forsuitable measures to limit possible radiological impacts on individuals, society andthe environment, including those from discharges or uncontrolled releases;(ii)

at the design stage, conceptual plans and, as necessary, technical provisions forthe decommissioning of a radioactive waste management facility other than adisposal facility are taken into account;(iii)

at the design stage, technical provisions for the closure of a disposal facility areprepared;(iv)

the technologies incorporated in the design and construction of a radioactive waste
management facility are supported by experience, testing or analysis.

ARTICLE 15. ASSESSMENT OF SAFETY OF FACILITIESEach Contracting Party shall take the appropriate steps to ensure that:(i)before construction of a radioactive waste management facility, a systematic safetyassessment and an environmental assessment appropriate to the hazard presented
by the facility and covering its operating lifetime shall be carried out;

14

(ii)

in addition, before construction of a disposal facility, a systematic safetyassessment and an environmental assessment for the period following closure shallbe carried out and the results evaluated against the criteria established by theregulatory body;(iii)

before the operation of a radioactive waste management facility, updated anddetailed versions of the safety assessment and of the environmental assessment
shall be prepared when deemed necessary to complement the assessments referred
to in paragraph (i).

ARTICLE 16. OPERATION OF FACILITIESEach Contracting Party shall take the appropriate steps to ensure that:(i)the licence to operate a radioactive waste management facility is based upon
appropriate assessments as specified in Article 15 and is conditional on thecompletion of a commissioning programme demonstrating that the facility, as
constructed, is consistent with design and safety requirements;(ii)

operational limits and conditions, derived from tests, operational experience andthe assessments as specified in Article 15 are defined and revised as necessary;(iii)

operation, maintenance, monitoring, inspection and testing of a radioactive waste
management facility are conducted in accordance with established procedures.
For a disposal facility the results thus obtained shall be used to verify and to review
the validity of assumptions made and to update the assessments as specified in
Article 15 for the period after closure;(iv)

engineering and technical support in all safety-related fields are available throughout
the operating lifetime of a radioactive waste management facility;(v)

procedures for characterization and segregation of radioactive waste are applied;

15

(yi)

incidents significant to safety are reported in a timely manner by the holder of thelicence to the regulatory body;(vii)

programmes to collect and analyse relevant operating experience are establishedand that the results are acted upon, where appropriate;(viii)

decommissioning plans for a radioactive waste management facility other than adisposal facility are prepared and updated, as necessary, using information obtained
during the operating lifetime of that facility, and are reviewed by the regulatory
body;

(ix)

plans for the closure of a disposal facility are prepared and updated, as necessary,
using information obtained during the operating lifetime of that facility and arereviewed by the regulatory body.

ARTICLE 17. INSTITUTIONAL MEASURES AFTER CLOSURE

Each Contracting Party shall take the appropriate steps to ensure that after closureof a disposal facility:(i)

records of the location, design and inventory of that facility required by theregulatory body are preserved;(ii)

active or passive institutional controls such as monitoring or access restrictions arecarried out, if required; and(¡ii)

if, during any period of active institutional control, an unplanned release ofradioactive materials into the environment is detected, intervention measures are
implemented, if necessary.

16CHAPTER 4

GENERAL SAFETY PROVISIONSARTICLE 18. IMPLEMENTING MEASURES

Each Contracting Party shall take, within the framework of its national law, thelegislative, regulatory and administrative measures and other steps necessary for
implementing its obligations under this Convention.

ARTICLE 19. LEGISLATIVE AND REGULATORY FRAMEWORK

1.

Each Contracting Party shall establish and maintain a legislative and regulatory

framework to govern the safety of spent fuel and radioactive waste management.

2.

This legislative and regulatory framework shall provide for:(i)the establishment of applicable national safety requirements and regulations
for radiation safety;(ii)

a system of licensing of spent fuel and radioactive waste management
activities;(iii)

a system of prohibition of the operation of a spent fuel or radioactive waste
management facility without a licence;(iv)

a system of appropriate institutional control, regulatory inspection anddocumentation and reporting;(v)

the enforcement of applicable regulations and of the terms of the licences;(vi)

a clear allocation of responsibilities of the bodies involved in the different
steps of spent fuel and of radioactive waste management.

17

3.

When considering whether to regulate radioactive materials as radioactive waste.

Contracting Parties shall take due account of the objectives of this Convention.

ARTICLE 20. REGULATORY BODY

1.

Each Contracting Party shall establish or designate a regulatory body entrustedwith the implementation of the legislative and regulatory framework referred to in Article
19, and provided with adequate authority, competence and financial and human resources
to fulfill its assigned responsibilities.

2.

Each Contracting Party, in accordance with its legislative and regulatory framework,

shall take the appropriate steps to ensure the effective independence of the regulatory
functions from other functions where organizations are involved in both spent fuel orradioactive waste management and in their regulation.

ARTICLE 2 1 . RESPONSIBILITY OF THE LICENCE HOLDER

1.

Each Contracting Party shall ensure that prime responsibility for the safety of spent

fuel or radioactive waste management rests with the holder of the relevant licence andshall take the appropriate steps to ensure that each such licence holder meets its
responsibility.

2.

If there is no such licence holder or other responsible party, the responsibility rests

with the Contracting Party which has jurisdiction over the spent fuel or over the radioactive
waste.

ARTICLE 22. HUMAN AND FINANCIAL RESOURCES

Each Contracting Party shall take the appropriate steps to ensure that:(i)qualified staff are available as needed for safety-related activities during theoperating lifetime of a spent fuel and a radioactive waste management facility;

18

(ii)

adequate financial resources are available to support the safety of facilities forspent fuel and radioactive waste management during their operating lifetime andfor decommissioning;(¡ii)

financial provision is made which will enable the appropriate institutional controls
and monitoring arrangements to be continued for the period deemed necessary
following the closure of a disposal facility.

ARTICLE 23. QUALITY ASSURANCE

Each Contracting Party shall take the necessary steps to ensure that appropriatequality assurance programmes concerning the safety of spent fuel and radioactive waste
management are established and implemented.

ARTICLE 24. OPERATIONAL RADIATION PROTECTION

1.

Each Contracting Party shall take the appropriate steps to ensure that during theoperating lifetime of a spent fuel or radioactive waste management facility:(i)the radiation exposure of the workers and the public caused by the facility
shall be kept as low as reasonably achievable, economic and social factors
being taken into account;(ii)

no individual shall be exposed, in normal situations, to radiation doses which
exceed national prescriptions for dose limitation which have due regard tointernationally endorsed standards on radiation protection; and(iii)

measures are taken to prevent unplanned and uncontrolled releases ofradioactive materials into the environment.

2.

Each Contracting Party shall take appropriate steps to ensure that discharges shallbe limited:

19

(i)

to keep exposure to radiation as low as reasonably achievable, economic
and social factors being taken into account; and(¡i)

so that no individual shall be exposed, in normal situations, to radiation
doses which exceed national prescriptions for dose limitation which have
due regard to internationally endorsed standards on radiation protection.

3.

Each Contracting Party shall take appropriate steps to ensure that during theoperating lifetime of a regulated nuclear facility, in the event that an unplanned or
uncontrolled release of radioactive materials into the environment occurs, appropriate
corrective measures are implemented to control the release and mitigate its effects.

ARTICLE 25. EMERGENCY PREPAREDNESS

1.

Each Contracting Party shall ensure that before and during operation of a spent fuelor radioactive waste management facility there are appropriate on-site and, if necessary,
off-site emergency plans.

Such emergency plans should be tested at an appropriate

frequency.

2.

Each Contracting Party shall take the appropriate steps for the preparation andtesting of emergency plans for its territory insofar as it is likely to be affected in the eventof a radiological emergency at a spent fuel or radioactive waste management facility in thevicinity of its territory.

ARTICLE 26. DECOMMISSIONING

Each Contracting Party shall take the appropriate steps to ensure the safety ofdecommissioning of a nuclear facility. Such steps shall ensure that:(i)qualified staff and adequate financial resources are available;(ii)

the provisions of Article 24 with respect to operational radiation protection,discharges and unplanned and uncontrolled releases are applied;20

(iii)

the provisions of Article 25 with respect to emergency preparedness are applied;
and

(iv)

records of information important to decommissioning are kept.

CHAPTER 5

MISCELLANEOUS PROVISIONSARTICLE 27. TRANSBOUNDARY MOVEMENT

1.

Each Contracting Party involved in transboundary movement shall take theappropriate steps to ensure that such movement is undertaken in a manner consistent
with the provisions of this Convention and relevant binding international instruments.

In so doing:(i)a Contracting Party which is a State of origin shall take the appropriate
steps to ensure that transboundary movement is authorized and takes place
only with the prior notification and consent of the State of destination;(ii)

transboundary movement through States of transit shall be subject to thoseinternational obligations which are relevant to the particular modes oftransport utilized;(iii)

a Contracting Party which is a State of destination shall consent to atransboundary movement only if it has the administrative and technicalcapacity, as well as the regulatory structure, needed to manage the spent
fuel or the radioactive waste in a manner consistent with this Convention;(iv)

a Contracting Party which is a State of origin shall authorize a transboundary
movement only if it can satisfy itself in accordance with the consent of theState of destination that the requirements of subparagraph (iii) are met prior
to transboundary movement;

21

(v)

a Contracting Party which is a State of origin shall take the appropriate
steps to permit re-entry into its territory, if a transboundary movement is
not or cannot be completed in conformity with this Article, unless analternative safe arrangement can be made.

2.

A Contracting Party shall not licence the shipment of its spent fuel or radioactive

waste to a destination south of latitude 60 degrees South for storage or disposal.

3.

Nothing in this Convention prejudices or affects:(i)the exercise, by ships and aircraft of all States, of maritime, river and air
navigation rights and freedoms, as provided for in international law;(ii)

rights of a Contracting Party to which radioactive waste is exported forprocessing to return, or provide for the return of, the radioactive waste andother products after treatment to the State of origin;(iii)

the right of a Contracting Party to export its spent fuel for reprocessing;(iv)

rights of a Contracting Party to which spent fuel is exported for reprocessing
to return, or provide for the return of, radioactive waste and other products
resulting from reprocessing operations to the State of origin.

ARTICLE 28. DISUSED SEALED SOURCES

1.

Each Contracting Party shall, in the framework of its national law, take theappropriate steps to ensure that the possession, remanufacturing or disposal of disusedsealed sources takes place in a safe manner.

2.

A Contracting Party shall allow for reentry into its territory of disused sealed

sources if, in the framework of its national law, it has accepted that they be returned toa manufacturer qualified to receive and possess the disused sealed sources.

22

CHAPTER 6

MEETINGS OF THE CONTRACTING PARTIESARTICLE 29. PREPARATORY MEETING

1.

A preparatory meeting of the Contracting Parties shall be held not later than six

months after the date of entry into force of this Convention.

2.

At this meeting, the Contracting Parties shall:(i)determine the date for the first review meeting as referred to in Article 30.
This review meeting shall be held as soon as possible, but not later than
thirty months after the date of entry into force of this Convention;(ii)

prepare and adopt by consensus Rules of Procedure and Financial Rules;(iii)

establish in particular and in accordance with the Rules of Procedure:(a)guidelines regarding the form and structure of the national reports
to be submitted pursuant to Article 32;

3.

(b)

a date for the submission of such reports;(c)the process for reviewing such reports.

Any State or regional organization of an integration or other nature which ratifies,

accepts, approves, accedes to or confirms this Convention and for which the Convention
is not yet in force, may attend the preparatory meeting as if it were a Party to thisConvention.

ARTICLE 30. REVIEW MEETINGS

1.

The Contracting Parties shall hold meetings for the purpose of reviewing the reports

submitted pursuant to Article 32.

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2.

At each review meeting the Contracting Parties:(i)shall determine the date for the next such meeting, the interval between
review meetings not exceeding three years;(¡i)

may review the arrangements established pursuant to paragraph 2 ofArticle 29, and adopt revisions by consensus unless otherwise provided forin the Rules of Procedure. They may also amend the Rules of Procedure andFinancial Rules by consensus.

3.

At each review meeting each Contracting Party shall have a reasonable opportunity

to discuss the reports submitted by other Contracting Parties and to seek clarification ofsuch reports.

ARTICLE 3 1 . EXTRAORDINARY MEETINGS

An extraordinary meeting of the Contracting Parties shall be held:(i)

if so agreed by a majority of the Contracting Parties present and voting at a
meeting; or(ii)

at the written request of a Contracting Party, within six months of this request
having been communicated to the Contracting Parties and notification having been
received by the secretariat referred to in Article 37 that the request has been
supported by a majority of the Contracting Parties.

ARTICLE 32. REPORTING

1.

In accordance with the provisions of Article 30, each Contracting Party shall submit

a national report to each review meeting of Contracting Parties. This report shall address
the measures taken to implement each of the obligations of the Convention. For eachContracting Party the report shall also address its:

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2.

(i)

spent fuel management policy;(ii)

spent fuel management practices;{iii)

radioactive waste management policy;(¡v)

radioactive waste management practices;(v)

criteria used to define and categorize radioactive waste.

This report shall also include:(i)a list of the spent fuel management facilities subject to this Convention,
their location, main purpose and essential features;(ii)

an inventory of spent fuel that is subject to this Convention and that isbeing held in storage and of that which has been disposed of.

Thisinventory shall contain a description of the material and, if available, giveinformation on its mass and its total activity;(iii)

a list of the radioactive waste management facilities subject to thisConvention, their location, main purpose and essential features;(iv)

an inventory of radioactive waste that is subject to this Convention that:(a)is being held in storage at radioactive waste management andnuclear fuel cycle facilities;(b)

has been disposed of; or(c)has resulted from past practices.

This inventory shall contain a description of the material and otherappropriate information available, such as volume or mass, activity andspecific radionuclides;(v)

a list of nuclear facilities in the process of being decommissioned and thestatus of decommissioning activities at those facilities.

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ARTICLE 33. ATTENDANCE

1.

Each Contracting Party shall attend meetings of the Contracting Parties and be

represented at such meetings by one delegate, and by such alternates, experts andadvisers as it deems necessary.

2.

The Contracting Parties may invite, by consensus, anyintergovernmentalorganization which is competent in respect of matters governed by this Convention toattend, as an observer, any meeting, or specific sessions thereof. Observers shall be
required to accept in writing, and in advance, the provisions of Article 36.

ARTICLE 34. SUMMARY REPORTS

The Contracting Parties shall adopt, by consensus, and make available to the public
a document addressing issues discussed and conclusions reached during meetings of theContracting Parties.

ARTICLE 35. LANGUAGES

1.

The languages of meetings of the Contracting Parties shall be Arabic, Chinese,

English, French, Russian and Spanish unless otherwise provided in the Rules of Procedure.

2.

Reports submitted pursuant to Article 32 shall be prepared in the national languageof the submitting Contracting Party or in a single designated language to be agreed in theRules of Procedure. Should the report be submitted in a national language other than thedesignated language, a translation of the report into the designated language shall be
provided by the Contracting Party.

3.

Notwithstanding the provisions of paragraph 2, the secretariat, if compensated,

will assume the translation of reports submitted in any other language of the meeting into
the designated language.

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ARTICLE 36. CONFIDENTIALITY

1.

The provisions of this Convention shall not affect the rights and obligations of theContracting Parties under their laws to protect information from disclosure.

For thepurposes of this article, "information" includes, inter alia, information relating to national
security or to the physical protection of nuclear materials, information protected byintellectual property rights or by industrial or commercial confidentiality, and personal data.

2.

When, in the context of this Convention, a Contracting Party provides information

identified by it as protected as described in paragraph 1, such information shall be used
only for the purposes for which it has been provided and its confidentiality shall be
respected.

3.

With respect to information relating to spent fuel or radioactive waste falling within

the scope of this Convention by virtue of paragraph 3 of Article 3, the provisions of thisConvention shall not affect the exclusive discretion of the Contracting Party concerned todecide:(i)whether such information is classified or otherwise controlled to preclude
release;(ii)

whether to provide information referred to in sub-paragraph (i) above in thecontext of the Convention; and(¡ii)

what conditions of confidentiality are attached to such information if it isprovided in the context of this Convention.

4.

The content of the debates during the reviewing of the national reports at eachreview meeting held pursuant to Article 30 shall be confidential.

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ARTICLE 37. SECRETARIAT

1.

The International Atomic Energy Agency, (hereinafter referred to as "the Agency")

shall provide the secretariat for the meetings of the Contracting Parties.

2.

The secretariat shall:(i)convene, prepare and service the meetings of the Contracting Parties
referred to in Articles 29, 30 and 31 ;(¡i)

transmit to the Contracting Parties information received or prepared inaccordance with the provisions of this Convention.

The costs incurred by the Agency in carrying out the functions referred to in subparagraphs (i) and (ii) above shall be borne by the Agency as part of its regular budget.

3.

The Contracting Parties may, by consensus, request the Agency to provide otherservices in support of meetings of the Contracting Parties. The Agency may provide suchservices if they can be undertaken within its programme and regular budget. Should thisnot be possible, the Agency may provide such services if voluntary funding is provided
from another source.

CHAPTER 7. FINAL CLAUSES AND OTHER PROVISIONSARTICLE 38. RESOLUTION OF DISAGREEMENTS

In the event of a disagreement between two or more Contracting Parties concerning
the interpretation or application of this Convention, the Contracting Parties shall consult
within the framework of a meeting of the Contracting Parties with a view to resolving thedisagreement. In the event that the consultations prove unproductive, recourse can bemade to the mediation, conciliation and arbitration mechanisms provided for in internationallaw, including the rules and practices prevailing within the IAEA.

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ARTICLE 39. SIGNATURE. RATIFICATION. ACCEPTANCE. APPROVAL. ACCESSION

1.

This Convention shall be open for signature by all States at the Headquarters of

the Agency in Vienna from 29 September 1997 until its entry into force.

2.

This Convention is subject to ratification, acceptance or approval by the signatory

States.

3.

After its entry into force, this Convention shall be open for accession by all States.

4.

(i)

This Convention shall be open for signature subject to confirmation, or
accession by regional organizations of an integration or other nature,provided that any such organization is constituted by sovereign States andhas competence in respect of the negotiation, conclusion and applicationof international agreements in matters covered by this Convention.

(ii)

In matters within their competence, such organizations shall, on their own
behalf, exercise the rights and fulfil the responsibilities which thisConvention attributes to States Parties.

(¡ii)

When becoming party to this Convention, such an organization shallcommunicate to the Depositary referred to in Article 43, a declaration
indicating which States are members thereof, which Articles of thisConvention apply to it, and the extent of its competence in the field coveredby those articles.

(iv)

Such an organization shall not hold any vote additional to those of its
Member States.

5.

Instruments of ratification, acceptance, approval, accession or confirmation shallbe deposited with the Depositary.

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ARTICLE 40. ENTRY INTO FORCE

1.

This Convention shall enter into force on the ninetieth day after the date of depositwith the Depositary of the twenty-fifth instrument of ratification, acceptance or approval,
including the instruments of fifteen States each having an operational nuclear power plant.

2.

For each State or regional organization of an integration or other nature which

ratifies, accepts, approves, accedes to or confirms this Convention after the date ofdeposit of the last instrument required to satisfy the conditions set forth in paragraph 1,
this Convention shall enter into force on the ninetieth day after the date of deposit with
the Depositary of the appropriate instrument by such a State or organization.

ARTICLE 4 1 . AMENDMENTS TO THE CONVENTION

1.

Any Contracting Party may propose an amendment to this Convention. Proposed

amendments shall be considered at a review meeting or at an extraordinary meeting.

2.

The text of any proposed amendment and the reasons for it shall be provided to

the Depositary who shall communicate the proposal to the Contracting Parties at least
ninety days before the meeting for which it is submitted for consideration. Any comments
received on such a proposal shall be circulated by the Depositary to the Contracting
Parties.

3.

The Contracting Parties shall decide after consideration of the proposed amendment

whether to adopt it by consensus, or, in the absence of consensus, to submit it to a
Diplomatic Conference. A decision to submit a proposed amendment to a Diplomatic
Conference shall require a two-thirds majority vote of the Contracting Parties present andvoting at the meeting, provided that at least one half of the Contracting Parties are present
at the time of voting.

4.

The Diplomatic Conference to consider and adopt amendments to this Convention

shall be convened by the Depositary and held no later than one year after the appropriate
decision taken in accordance with paragraph 3 of this article. The Diplomatic Conference

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shall make every effort to ensure amendments are adopted by consensus. Should thisnot be possible, amendments shall be adopted with a two-thirds majority of all Contracting
Parties.

5.

Amendments to this Convention adopted pursuant to paragraphs 3 and 4 above

shall be subject to ratification, acceptance, approval, or confirmation by the Contracting
Parties and shall enter into force for those Contracting Parties which have ratified,
accepted, approved or confirmed them on the ninetieth day after the receipt by the
Depositary of the relevant instruments of at least two thirds of the Contracting Parties.
For a Contracting Party which subsequently ratifies, accepts, approves or confirms the said
amendments, the amendments will enter into force on the ninetieth day after thatContracting Party has deposited its relevant instrument.

ARTICLE 42. DENUNCIATION

1.

Any Contracting Party may denounce this Convention by written notification to the

Depositary.

2.

Denunciation shall take effect one year following the date of the receipt of thenotification by the Depositary, or on such later date as may be specified in the notification.

ARTICLE 43. DEPOSITARY

1.

The Director General of the Agency shall be the Depositary of this Convention.

2.

The Depositary shall inform the Contracting Parties of:(i)the signature of this Convention and of the deposit of instruments ofratification, acceptance, approval, accession or confirmation in accordancewith Article 39;(ii)

the date on which the Convention enters into force, in accordance with
Article 40;

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(iii)

the notifications of denunciation of the Convention and the date thereof,
made in accordance with Article 42;(¡v)

the proposed amendments to this Convention submitted by Contracting
Parties, the amendments adopted by the relevant Diplomatic Conference orby the meeting of the Contracting Parties, and the date of entry into forceof the said amendments, in accordance with Article 4 1 .

ARTICLE 44. AUTHENTIC TEXTSThe original of this Convention of which the Arabic, Chinese, English, French,
Russian and Spanish texts are equally authentic, shall be deposited with the Depositary,
who shall send certified copies thereof to the Contracting Parties.

IN WITNESS WHEREOF THE UNDERSIGNED, BEING DULY AUTHORIZED TO THATEFFECT, HAVE SIGNED THIS CONVENTION.

Done at Vienna on the fifth day of September, one thousand nine hundred and ninetyseven.

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