U.S. GOVERNMENT PRINTING OFFICE

WASHINGTON : 

1

99–118

" SENATE ! 104TH CONGRESS

1st Session

TREATY DOC.

1995

104–6

CONVENTION ON NUCLEAR SAFETY

MESSAGE

FROM

THE PRESIDENT OF THE UNITED STATES

TRANSMITTING

THE CONVENTION ON NUCLEAR SAFETY DONE AT VIENNA ON

SEPTEMBER 20, 1994

MAY 11, 1995.—Convention was read the first time and, together with

the accompanying papers, referred to the Committee on Foreign Relations and ordered to be printed for the use of the Senate

(III)

LETTER OF TRANSMITTAL

THE WHITE HOUSE, May 11, 1995.

To the Senate of the United States:

I transmit herewith, for Senate advice and consent to ratification, the Convention on Nuclear Safety done at Vienna on September 20, 1994. This Convention was adopted by a Diplomatic Conference convened by the International Atomic Energy Agency

(IAEA) in June 1994 and was opened for signature in Vienna on

September 20, 1994, during the IAEA General Conference. Secretary of Energy O’Leary signed the Convention for the United

States on that date. Also transmitted for the information of the

Senate is the report of the Department of State concerning the

Convention.

At the September 1991 General Conference of the IAEA, a resolution was adopted, with U.S. support, calling for the IAEA secretariat to develop elements for a possible International Convention on Nuclear Safety. From 1992 to 1994, the IAEA convened

seven expert working group meetings, in which the United States

participated. The IAEA Board of Governors approved a draft text

at its meeting in February 1994, after which the IAEA convened

a Diplomatic Conference attended by representatives of more than

80 countries in June 1994. The final text of the Convention resulted from that Conference.

The Convention establishes a legal obligation on the part of Parties to apply certain general safety principles to the construction,

operation, and regulation of land-based civilian nuclear power

plants under their jurisdiction. Parties to the Convention also

agree to submit periodic reports on the steps they are taking to implement the obligations of the Convention. These reports will be reviewed and discussed at review meetings of the Parties, at which

each Party will have an opportunity to discuss and seek clarification of reports submitted by other Parties.

The United States has initiated many steps to deal with nuclear

safety, and has supported the effort to develop this Convention.

With its obligatory reporting and review procedures, requiring Parties to demonstrate in international meetings how they are complying with safety principles, the Convention should encourage countries to improve nuclear safety domestically and thus result in an

increase in nuclear safety worldwide. I urge the Senate to act expeditiously in giving its advice and consent to ratification.

WILLIAM J. CLINTON.

(V)

LETTER OF SUBMITTAL

DEPARTMENT OF STATE, Washington, May 1, 1995.

The PRESIDENT,

The White House.

THE PRESIDENT: I have the honor to submit to you the Convention on Nuclear Safety, done at Vienna on September 20, 1994. I

recommend that this Convention be transmitted to the Senate for

advice and consent to ratification.

This convention was adopted by a Diplomatic Conference convened by the International Atomic Energy Agency (IAEA) in June

1994, and was opened for signature in Vienna on September 20,

1994, during the IAEA General Conference. Secretary of Energy

O’Leary signed the Convention for the United States, subject to

ratification.

At the September 1991 General Conference of the IAEA, a resolution was adopted, with U.S. support, calling for the IAEA secretariat to develop elements for a possible International Convention on Nuclear Safety. The idea of developing a convention received high-level support at both the 1992 and 1993 G–7 Economic

Summit meetings. From 1992 to 1994, the IAEA convened seven

expert working group meetings, in which the United States participated. The IAEA Board of Governors approved a draft text at its

meeting in February 1994, after which the IAEA convened a Diplomatic Conference attended by representatives of more than 80

countries in June 1994. That Conference approved the final text of

the Convention on June 17, 1994.

The IAEA General Conference in September 1994 was attended

by 105 member nations and 6 non-member nations. The Convention was opened for signature on September 20, 1994, and was

signed by the United States on that date. Forty-four other countries signed the Convention on that date or during the week of the

General Conference. The Convention will enter into force internationally 90 days after twenty-two States consent to be bound by

it. Of those states, no less than seventeen must have at least one

civilian nuclear power reactor that has achieved criticality in a reactor core. As of April 13, 1995, the Convention had been signed

by 57 countries and ratified by three. Of the signatories, more than

17 are states with at least one nuclear facility that has achieved

core criticality.

The Convention is a particularly important complement to bilateral and multilateral safety assistance programs for countries currently operating older Soviet-designed power reactors that present
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a greater safety risk than reactors of more recent design. It provides a crucial political mechanism to encourage these governments

to support: (1) emerging domestic regulatory organizations and (2)

other entities responsible for developing a domestic nuclear safety

culture.

The Convention applies only to civilian nuclear power facilities, which pose the greatest safety risk because of the magnitude of

stored energy and the inventory of radioactive isotopes. In the

United States, all commercial nuclear reactors licensed by the Nuclear Regulatory Commission are included. The Experimental

Breeder Reactor (EBR–II), which is under the jurisdiction of the

Department of Energy, is also covered by the Convention. Other

nuclear facilities and fuel-cycle activities, such as reprocessing and/

or enrichment plants, are not covered by the Convention. The Preamble of the Convention does, however, recognize the need to develop a waste management convention at an appropriate time in

the future. The Convention does not delineate standards the Contracting Parties must meet, but instead requires them to take appropriate steps intended to ensure the safety of nuclear installations.

The Convention encourages early participation through its elaboration as an incentive convention, under which countries apply fundamental principles rather than detailed safety standards, while

they further develop their nuclear safety infrastructures domestically. The goal is that over time, through processes of self-improvement, acceptance of the obligations under the Convention, and periodic reviews, all the Contracting Parties will attain a higher level

of safety.

No implementing legislation will be necessary for the United

States to comply with its obligations under the Convention.

CONVENTION ON NUCLEAR SAFETY

The Preamble describes the concerns underlying the Convention.

The Contracting Parties wish to promote a high level of nuclear

safety worldwide, recognizing the importance to the international

community of ensuring that the use of nuclear energy is safe, well

regulated and environmentally sound, and also recognizing that accidents at ‘‘nuclear installations’’ (defined in Article 2) potentially

have transborder impacts. The Preamble also states that the Convention entails a commitment to the application of fundamental

safety principles for nuclear installations rather than of detailed

safety standards, and affirms the importance of international cooperation for the enhancement of nuclear safety.

Article 1 sets forth the objectives of the Convention, which are

to achieve and maintain a high level of nuclear safety worldwide

through the enhancement of national measures and international

cooperation, to establish and maintain effective defenses in nuclear

installations against potential radiological hazards, and to prevent

accidents with radiological consequences and mitigate such consequences if they occur.

Article 2 contains definitions for the Convention. ‘‘Nuclear installation’’ is defined as any land-based civil nuclear power plant under

the jurisdiction of a Contracting Party, including storage, handling

and treatment facilities for radioactive materials that are on the
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same site and are directly related to the operation of the nuclear

power plant. A ‘‘regulatory body’’ for each Contracting Party means

any body or bodies given the legal authority by that Contracting

Party to grant licenses and regulate the siting, design, construction, commissioning, operation or decommissioning of nuclear installations. ‘‘License’’ means any authorization granted by the regulatory body to the applicant to have the responsibility for the

siting, design, construction, commissioning, operation or decommissioning of a nuclear installation.

Article 3 specifies that the Convention shall apply to the safety

of nuclear installations.

Article 4 requires each Contacting Party to take, within the

framework of its national law, the legislative, regulatory and administrative measures and other steps necessary to implement its

obligations under the Convention.

Article 5 provides that each Contracting Party shall submit for

review, prior to each review meeting provided for in Article 20, a

report on the measures it has taken to implement its obligations

under the Convention. Review meetings must be held no less frequently than every three years (see Article 21), so national reports

must be submitted at least that frequently. This reporting requirement, combined with the review process provided for in Article 20,

is the central implementing mechanism of the Convention.

Article 6 directs each Contracting Party to take the appropriate

steps to ensure that the safety of nuclear installations existing at

the time the Convention enters into force for that Contracting

Party is reviewed as soon as possible, and to ensure that all reasonably practicable improvements are made as a matter of urgency

to upgrade the safety of the nuclear installation. If such upgrading

cannot be achieved by a Contracting Party, it must implement

plans to shut down the nuclear installation as soon as practically

possible, taking into account the whole energy context and possible

alternatives, as well as the social, environmental and economic impact.

Article 7 requires each party to establish and maintain a legislative and regulatory framework to govern the safety of nuclear installations. The framework must provide for the establishment of

applicable national safety requirements and regulations, a system

of licensing with regard to nuclear installations and the prohibition

of the operation of a nuclear installation without a license, a system of regulatory inspection and assessment of nuclear installations to ascertain compliance with applicable regulations and the

terms of licenses, and the enforcement of applicable regulations

and of the terms of licenses, including suspension, modification or

revocation.

Article 8 requires each Contracting Party to establish or designate a regulatory body entrusted with the implementation of the

legislative and regulatory framework created under Article 7. Each

such regulatory body must be given adequate authority, competence and resources to fulfill its assigned responsibilities. Contracting Parties must also ensure that the functions of these regulatory bodies are effectively separated from those of any other body

concerned with the promotion or utilization of nuclear energy.
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Under Article 9, each Contracting Party is obligated to ensure

that the prime responsibility for the safety of a nuclear installation

rests with the holder of the relevant license and to take steps to

ensure that each such license holder meets its responsibility.

Article 10 obligates each Contracting Party to take the appropriate steps to ensure that all organizations engaged in activities

directly related to nuclear installations establish policies giving due

priority to nuclear safety.

Article 11 requires a Contracting Party to take the appropriate

steps to ensure that there are adequate financial resources available to support the safety of each nuclear installation throughout

its life, and that there are sufficient numbers of qualified and appropriately trained and retrained staff available for all safety-related activities for each nuclear installation throughout its life.

Article 12 requires each Contracting Party to take the appropriate steps to ensure that the capabilities and limitations of

human performance are taken into account throughout the life of

a nuclear installation.

Under Article 13, each Contracting Party must take the appropriate steps to ensure that quality assurance programs are established and implemented with a view to providing confidence that

specified requirements for all activities important to nuclear safety

are satisfied throughout the life of a nuclear installation.

Article 14 obligates each Contracting Party to take the appropriate steps to ensure that comprehensive and systematic safety assessments are carried out before the construction and commissioning of a nuclear installation, as well as throughout its life. These

assessments must be well documented and subsequently updated

in the light of operating experience and significant new safety information. They also must be reviewed under the authority of the

regulatory body. Article 14 also requires Contracting States to take

the appropriate steps to ensure that verification by analysis, surveillance, testing and inspection is carried out to ensure that the

physical state and the operation of a nuclear installation continue

to be in accordance with its design, applicable national safety requirements, and operational limits and conditions.

Article 15 requires Contracting Parties to take the appropriate

steps to ensure that the radiation exposure to workers and the public caused by a nuclear installation in all operational states shall

be kept as low as reasonably achievable, and also that no individual shall be exposed to radiation doses exceeding prescribed national dose limits.

Under Article 16, each Contracting Party must take the appropriate steps to ensure that there are on-site and off-site emergency

plans covering the activities to be carried out in the event of an

emergency and that such emergency plans are routinely tested.

Emergency plans must be prepared and tested before any new nuclear installation commences operation above a low power level

agreed to by the regulatory body. Each Contracting Party must also

take the appropriate steps to ensure that its own population and

the competent authorities of the States in the vicinity of the nuclear installation are provided with appropriate information for

emergency planning and response. Contracting Parties without nuclear installations on their territories must take the appropriate
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steps for the preparation and testing of emergency plans for their

territories, if they are likely to be affected by a radiological emergency at a nuclear installation in the vicinity.

Article 17 deals with the siting of nuclear installations. Contracting Parties are required to take the appropriate steps to ensure

that appropriate procedures are established and implemented for

evaluating all relevant site-related factors likely to affect the safety

of a nuclear installation for its projected lifetime, and for evaluating the likely safety impact of a proposed nuclear installation on

individuals, society and the environment, as well as for re-evaluating as necessary all such factors so as to ensure the continued safety acceptability of the nuclear installations. Each Contracting Party

must also take the appropriate steps to ensure that appropriate

procedures are established and implemented for consulting Contracting Parties in the vicinity of a proposed nuclear installation

likely to affect them and provide to them, upon their request, information necessary for them to evaluate and assess the likely safety

impact of the nuclear installation on their own territory.

Article 18 sets forth the actions that each Contracting Party

must take with respect to the design and construction of nuclear

installations. The article obligates a Contracting Party to take appropriate steps to ensure that the design and construction of a nuclear installation provides for several reliable levels and methods

of protection (defense in depth) against the release of radioactive

materials, to prevent the occurrence of accidents and mitigate their

radiological consequences if they do occur. Each Contracting Party

must also take appropriate steps to ensure that the technologies incorporated in the design and construction of a nuclear installation

are proven by experience or qualified by testing or analysis, and

that the design of a nuclear installation allows for reliable, stable

and easily manageable operation, with specific consideration of

human factors and the man-machine interface.

Addressing the safety of operation of nuclear installations, Article 19 requires each Contracting Party to take the appropriate

steps to ensure that the initial authorization to operate a nuclear

installation is based upon an appropriate safety analysis and a

commissioning program demonstrating the consistency of the installation as constructed with design and safety requirements. Contracting Parties must also take appropriate steps to ensure that

operational limits and conditions derived from the safety analysis,

tests and operational experience are defined and revised as necessary for identifying safe boundaries for operation, and that operation, maintenance, inspection and testing of nuclear installations

are conducted in accordance with approved procedures. Under subparagraphs (iv) and (v) of Article 19, Contracting Parties must also

take appropriate steps to ensure that procedures are established

for responding to anticipated operational occurrences and to accidents, and that necessary engineering and technical support in all

safety-related fields is available through the lifetime of a nuclear

installation. Sub-paragraph (vi) obligates Contracting Parties to

take appropriate steps to ensure that incidents significant to safety

are reported in a timely manner by the holder of the relevant license to the regulatory authority. Under sub-paragraph (vii), Contracting Parties must take appropriate steps to ensure the estab-
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lishment of programs to collect and analyze operating experience,

and must also ensure that the conclusions of these analyses are

acted upon and that existing mechanisms are used to share important experience with international bodies and with other operating

organizations and regulatory bodies. Lastly, Contracting Parties

are required under sub-paragraph (viii) of Article 19 to take appropriate steps to ensure that the activity and volume of radioactive

waste resulting from the operation of a nuclear installation is kept

to the minimum practicable for the process concerned, both in activity and in volume, and that any necessary treatment and storage

of spent fuel and waste directly related to the operation and on the

same site as that of the nuclear installation take into consideration

conditioning and disposal.

Article 20 provides for review meetings of the Contracting Parties for the purpose of reviewing the national reports submitted

pursuant to Article 5. At these meetings, each Contracting Party

is to have a reasonable opportunity to discuss and seek clarification

of the review reports submitted by others. Sub-groups comprised of

representatives of Contracting Parties may also be established as

necessary for the purpose of reviewing specific subjects contained

in the reports.

Article 21 establishes timetables for meetings of the Contracting

Parties. A preparatory meeting must be held not later than six

months after the entry into force of the Convention. At that meeting, Contracting Parties must establish a date for the first review

meeting, to be held no later than 30 months after the date of the

Convention’s entry into force. At each review meeting, the Contracting Parties must determine the date for the succeeding review

meeting, at an interval of no more than three years.

Article 22 concerns the procedures to be followed at the meetings

of the Contracting Parties. Rules of Procedure, including guidelines

regarding the form and structure of the reports to be submitted

under Article 5, a date for submission of such reports, and the process for reviewing them, and Financial Rules are to be prepared and

adopted by consensus by the Contracting Parties at the preparatory

meeting.

Article 23 provides for extraordinary meetings of the Contracting

Parties if agreed to by a majority of those present and voting at

the meeting (including abstentions as voting), or at the written request of a Contracting Party supported by a majority of the Contracting Parties.

Article 24 provides that each Contracting Party shall attend

meetings of the Contracting Parties and be represented at such

meetings by one delegate, and by alternates, experts and advisers

it deems necessary. Contracting Parties may by consensus invite

intergovernmental organizations competent in matters relating to

the Convention to attend, as observers, any meetings or specific

sessions thereof.

Summary reports addressing the issues discussed and conclusions reached during a meeting are to be adopted by the Contracting Parties by consensus and made available to the public (Article

25).

The languages of meetings of the Contracting Parties are Arabic,

Chinese, English, French, Russian and Spanish, unless otherwise
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provided in the Rules of Procedure (Article 26). Reports may be

prepared in the national language of the submitting Contracting

Party or in a single designated language agreed upon in the Rules

of Procedure, although in the former case the Contracting Party

must also provide a translation into the designated language.

Article 27 provides that the Convention does not affect the rights

and obligations of the Contracting Parties under their own laws to

protect information from disclosure. Information is defined to include, inter alia, personal data, information protected by intellectual property rights or industrial or commercial confidentiality, and

information relating to national security or to the physical protection of nuclear materials or nuclear installations. When a Contracting Party provides information identified by it as protected, such

information can be used only for the purposes for which it has been

provided and must be kept confidential. Similarly, the contents of

discussions of national reports held at review meetings must be

kept confidential.

The secretariat functions for meetings of the Contracting Parties

under the Convention are to be provided by the IAEA, which will

pay the costs of performing these functions out of its regular budget (Article 28). The secretariat’s duties are to convene, prepare and

service the meetings of the Contracting Parties, and transmit to

the Contracting Parties information received or prepared under the

Convention.

Article 29 concerns dispute resolution. In the event of a disagreement between Contracting Parties concerning the interpretation or

application of the Convention, the Contracting Parties shall consult

within the framework of a meeting of the Contracting Parties to try

to resolve the disagreement.

The Convention was opened for signature by all States at the

Headquarters of the IAEA in Vienna on September 20, 1994, and

will remain open for signature until its entry in force (Article 30).

After the Convention has entered into force, it is to be open for accession by all States. Under Article 30, regional organizations constituted by sovereign States and with competence in respect of negotiation, conclusion and application of international agreements in

matters covered by this Convention may also sign or accede to the

Convention. In matters within their competence, such organizations may exercise the rights and fulfill the responsibilities of the

Convention on their own behalf, but do not have any vote additional to those of their Member States.

Article 31 provides that the Convention will enter into force on

the ninetieth day after the date of deposit with the Depositary of

the twenty-second instrument of ratification, acceptance or approval, including the instruments of seventeen States each of which

has at least one nuclear installation which has achieved criticality

in a reactor core. It will enter into force for each additional adhering State or regional organization 90 days after the date of deposit

with the Depositary of the appropriate instrument by such State or

organization. Procedures for amendment of the Convention are included in Article 32.

A Contracting Party may denounce the Convention by written

notice to the Depositary, effective one year following the Depositary’s receipt of the notification or at such later date as specified
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in the notification (Article 33). The Depositary of the Convention is

the Director General of the IAEA, who is charged with the duty of

notifying all Contracting Parties of all significant developments

concerning the Convention (Article 34).

The Department of Energy, the Nuclear Regulatory Commission

and other interested U.S. Government agencies join the Department of State in recommending that the Convention be transmitted

to the Senate with a view to receiving its advice and consent at an

early date.

Respectfully submitted.

WARREN CHRISTOPHER.
(1)

CONVENTION ON NUCLEAR SAFETY

PREAMBLE

The Contracting Parties,

(i) Aware of the importance to the international community of en- suring that the use of nuclear energy is safe, well regulated and

environmentally sound; (ii) Reaffirming the necessity of continuing to promote a high level of nuclear safety worldwide; (iii) Reaffirming that responsibility for nuclear safety rests with the State having jurisdiction over a nuclear installation; (iv) Desiring to promote an effective nuclear safety culture;

(v) Aware that accidents at nuclear installations have the potential for transboundary impacts; (vi) Keeping in mind the Convention on the Physical Protection of Nuclear Material (1979), the Convention on Early Notification of

a Nuclear Accident (1986), and the Convention on Assistance in the

Case of a Nuclear Accident or Radiological Emergency (1986); (vii) Affirming the importance of international cooperation for the enhancement of nuclear safety through existing bilateral and multilateral mechanisms and the establishment of this incentive Convention;

(viii) Recognizing that this Convention entails a commitment to

the application of fundamental safety principles for nuclear installations rather than of detailed safety standards and that there are

internationally formulated safety guidelines which are updated

from time to time and so can provide guidance on contemporary

means of achieving a high level of safety; (ix) Affirming the need to begin promptly the development of an

international convention on the safety of radioactive waste management as soon as the ongoing process to develop waste management

safety fundamentals has resulted in broad international agreement; (x) Recognizing the usefulness of further technical work in connection with the safety of other parts of the nuclear fuel cycle, and

that this work may, in time, facilitate the development of current

or future international instruments;

Have agreed as follows:

CHAPTER 1. OBJECTIVES, DEFINITIONS AND SCOPE OF APPLICATION

Article 1. Objectives

The objectives of this Convention are:

(i) to achieve and maintain a high level of nuclear safety

worldwide through the enhancement of national measures and

international co-operation including, where appropriate, safetyrelated technical co-operation;

(ii) to establish and maintain effective defences in nuclear installations against potential radiological hazards in order to
2

protect individuals, society and the environment from harmful

effects of ionizing radiation from such installations; (iii) to prevent accidents with radiological consequences and to mitigate such consequences should they occur.

Article 2. Definitions

For the purpose of this Convention: (i) ‘‘nuclear installation’’ means for each Contracting Party any land-based civil nuclear power plant under its jurisdiction

including such storage, handling and treatment facilities for

radioactive materials as are on the same site and are directly

related to the operation of the nuclear power plant. Such a

plant ceases to be a nuclear installation when all nuclear fuel

elements have been removed permanently from the reactor

core and have been stored safely in accordance with approved

procedures, and a decommissioning programme has been

agreed to by the regulatory body; (ii) ‘‘regulatory body’’ means for each Contracting Party any body or bodies given the legal authority by that Contracting

Party to grant licences and to regulate the siting, design, construction, commissioning, operation or decommissioning of nuclear installations;

(iii) ‘‘licence’’ means any authorization granted by the regu- latory body to the applicant to have the responsibility for the

siting, design, construction, commissioning, operation or decommissioning of a nuclear installation.

Article 3. Scope of application

This Convention shall apply to the safety of nuclear installations.

CHAPTER 2. OBLIGATIONS

(a) General Provisions

Article 4. Implementing measures

Each Contracting Party shall take, within the framework of its national law, the legislative, regulatory and administrative measures and other steps necessary for implementing its obligations

under this Convention.

Article 5. Reporting

Each Contracting Party shall submit for review, prior to each meeting referred to in Article 20, a report on the measures it has

taken to implement each of the obligations of this Convention.

Article 6. Existing nuclear installations

Each Contracting Party shall take the appropriate steps to en- sure that the safety of nuclear installations existing at the time the

Convention enters into force for that Contracting Party is reviewed

as soon as possible. When necessary in the context of this Convention, the Contracting Party shall ensure that all reasonably practicable improvements are made as a matter of urgency to upgrade

the safety of the nuclear installation. If such upgrading cannot be

achieved, plans should be implemented to shut down the nuclear

installation as soon as practically possible. The timing of the shut-
3

down may take into account the whole energy context and possible

alternatives as well as the social, environmental and economic impact.

(b) Legislation and Regulation

Article 7. Legislative and regulatory framework

1. Each Contracting Party shall establish and maintain a legislative and regulatory framework to govern the safety of nuclear installations.

2. The legislative and regulatory framework shall provide for:

(i) the establishment of applicable national safety requirements and regulations;

(ii) a system of licensing with regard to nuclear installations

and the prohibition of the operation of a nuclear installation

without a license;

(iii) a system of regulatory inspection and assessment of nuclear installations to ascertain compliance with applicable regulations and the terms of licenses;

(iv) the enforcement of applicable regulations and of the

terms of licenses, including suspension, modification or revocation.

Article 8. Regulatory body

1. Each Contracting Party shall establish or designate a regulatory body entrusted with the implementation of the legislative

and regulatory framework referred to in Article 7, and provided

with adequate authority, competence and financial and human resources to fulfill its assigned responsibilities.

2. Each Contracting Party shall take the appropriate steps to ensure an effective separation between the functions of the regulatory

body and those of any other body or organization concerned with

the promotion or utilization of nuclear energy.

Article 9. Responsibility of the license holder

Each Contracting Party shall ensure that prime responsibility for

the safety of a nuclear installation rests with the holder of the relevant license and shall take the appropriate steps to ensure that

each such license holder meets its responsibility.

(c) General Safety Considerations

Article 10. Priority to safety

Each Contracting Party shall take the appropriate steps to ensure that all organizations engaged in activities directly related to

nuclear installations shall establish policies that give due priority

to nuclear safety.

Article 11. Financial and human resources

1. Each Contracting Party shall take the appropriate steps to ensure that adequate financial resources are available to support the

safety of each nuclear installation throughout its life.

2. Each Contracting Party shall take the appropriate steps to ensure that sufficient numbers of qualified staff with appropriate
4

education, training and retraining are available for all safety-related activities in or for each nuclear installation, throughout its life.

Article 12. Human factors

Each Contracting Party shall take the appropriate steps to ensure that the capabilities and limitations of human performance

are taken into account throughout the life of a nuclear installation.

Article 13. Quality assurance

Each Contracting Party shall take the appropriate steps to ensure that quality assurance programmes are established and implemented with a view to providing confidence that specified requirements for all activities important to nuclear safety are satisfied

throughout the life of a nuclear installation.

Article 14. Assessment and verification of safety

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

(i) comprehensive and systematic safety assessments are carried out before the construction and commissioning of a nuclear installation and throughout its life. Such assessments

shall be well documented, subsequently updated in the light of

operating experience and significant new safety information,

and reviewed under the authority of the regulatory body; (ii) verification by analysis, surveillance, testing and inspection is carried out to ensure that the physical state and the operation of a nuclear installation continue to be in accordance

with its design, applicable national safety requirements, and

operational limits and conditions.

Article 15. Radiation protection

Each Contracting Party shall take the appropriate steps to ensure that in all operational states the radiation exposure to the

workers and the public caused by a nuclear installation shall be

kept as low as reasonably achievable and that no individual shall

be exposed to radiation doses which exceed prescribed national

dose limits.

Article 16. Emergency preparedness

1. Each Contracting Party shall take the appropriate steps to ensure that there are on-site and off-site emergency plans that are

routinely tested for nuclear installations and cover the activities to

be carried out in the event of an emergency.

For any new nuclear installation, such plans shall be prepared

and tested before it commences operation above a low power level

agreed by the regulatory body.

2. Each Contracting Party shall take the appropriate steps to ensure that, insofar as they are likely to be affected by a radiological

emergency, its own population and the competent authorities of the

States in the vicinity of the nuclear installation are provided with

appropriate information for emergency planning and response.

3. Contracting Parties which do not have a nuclear installation

on their territory, insofar as they are likely to be affected in the

event of a radiological emergency at a nuclear installation in the
5

vicinity, shall take the appropriate steps for the preparation and

testing of emergency plans for their territory that cover the activities to be carried out in the event of such an emergency.

(d) Safety of Installations

Article 17. Siting

Each Contracting Party shall take the appropriate steps to ensure that appropriate procedures are established and implemented:

(i) for evaluating all relevant site-related factors likely to affect the safety of a nuclear installation for its projected lifetime;

(ii) for evaluating the likely safety impact of a proposed nuclear installation on individuals, society and the environment;

(iii) for re-evaluating as necessary all relevant factors referred to in sub-paragraphs (i) and (ii) so as to ensure the continued safety acceptability of the nuclear installation;

(iv) for consulting Contracting Parties in the vicinity of a

proposed nuclear installation, insofar as they are likely to be

affected by that installation and, upon request providing the

necessary information to such Contracting Parties, in order to

enable them to evaluate and make their own assessment of the

likely safety impact on their own territory of the nuclear installation.

Article 18. Design and construction

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

(i) the design and construction of a nuclear installation provides for several reliable levels and methods of protection (defense in depth) against the release of radioactive materials,

with a view to preventing the occurrence of accidents and to

mitigating their radiological consequences should they occur;

(ii) the technologies incorporated in the design and construction of a nuclear installation are proven by experience or qualified by testing or analysis;

(iii) the design of a nuclear installation allows for reliable,

stable and easily manageable operation, with specific consideration of human factors and the man-machine interface.

Article 19. Operation

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

(i) the initial authorization to operate a nuclear installation

is based upon an appropriate safety analysis and a commissioning programme demonstrating that the installation, as constructed, is consistent with design and safety requirements;

(ii) operational limits and conditions derived from the safety

analysis, tests and operational experience are defined and revised as necessary for identifying safe boundaries for operation;

(iii) operation, maintenance, inspection and testing of a nuclear installation are conducted in accordance with approved

procedures;
6

(iv) procedures are established for responding to anticipated

operational occurrences and to accidents;

(v) necessary engineering and technical support in all safety

related fields is available throughout the lifetime of a nuclear

installation;

(vi) incidents significant to safety are reported in a timely

manner by the holder of the relevant license to the regulatory

body;

(vii) programmes to collect and analyze operating experience

are established, the results obtained and the conclusions

drawn are acted upon and that existing mechanisms are used

to share important experience with international bodies and

with other operating organizations and regulatory bodies;

(viii) the generation of radioactive waste resulting from the

operation of a nuclear installation is kept to the minimum

practicable for the process concerned, both in activity and in

volume, and any necessary treatment and storage of spent fuel

and waste directly related to the operation and on the same

site as that of the nuclear installation take into consideration

conditioning and disposal.

CHAPTER 3. MEETINGS OF THE CONTRACTING PARTIES

Article 20. Review meetings

1. The Contracting Parties shall hold meetings (hereinafter referred to as ‘‘review meetings’’) for the purpose of reviewing the reports submitted pursuant to Article 5 in accordance with the procedures adopted under Article 22.

2. Subject to the provisions of Article 24 sub-groups comprised of

representatives of Contracting Parties may be established and may

function during the review meetings as deemed necessary for the

purpose of reviewing specific subjects contained in the reports.

3. Each Contracting Party shall have a reasonable opportunity to

discuss the reports submitted by other Contracting Parties and to

seek clarification of such reports.

Article 21. Timetable

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 preparatory meeting, the Contracting Parties shall determine the date for the first review meeting. 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.

3. At each review meeting, the Contracting Parties shall determine the date for the next such meeting. The interval between review meetings shall not exceed three years.

Article 22. Procedural arrangements

1. At the preparatory meeting held pursuant to Article 21 the

Contracting Parties shall prepare and adopt by consensus Rules of

Procedure and Financial Rules. The Contracting Parties shall establish in particular and in accordance with the Rules of Procedure:
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(i) guidelines regarding the form and structure of the reports

to be submitted pursuant to Article 5;

(ii) a date for the submission of such reports;

(iii) the process for reviewing such reports;

2. At review meetings the Contracting Parties may, if necessary,

review the arrangements established pursuant to subparagraphs

(i)–(iii) above, and adopt revisions by consensus unless otherwise

provided for in the Rules of Procedure. They may also amend the

Rules of Procedure and the Financial Rules, by consensus.

Article 23. 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, abstentions being considered

as voting; 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 28, that the request has been

supported by a majority of the Contracting Parties.

Article 24. 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 and advisers as it deems necessary.

2. The Contracting Parties may invite, by consensus, any intergovernmental organization which is competent in respect of matters governed by this Convention to attend, as an observers, any

meeting, or specific sessions thereof. Observers shall be required to

accept in writing, and in advance, the provisions of Article 27.

Article 25. Summary reports

The Contracting Parties shall adopt, by consensus, and make

available to the public a document addressing issues discussed and

conclusions reached during a meeting.

Article 26. 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 5 shall be prepared in

the national language of the submitting Contracting Party or in a

single designated language to be agreed in the Rules of Procedure.

Should the report be submitted in a national language other than

the designated language, a translation of the report into the designated language shall be provided by the Contracting Party.

3. Notwithstanding the provisions of paragraph 2, if compensated, the secretariat will assume the translation into the designated language of reports submitted in any other language of the

meeting.
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Article 27. Confidentiality

1. The provisions of this Convention shall not affect the rights

and obligations of the Contracting Parties under their law to protect information from disclosure. For the purposes of this Article,

‘‘information’’ includes, inter alia, (i) personal data; (ii) information

protected by intellectual property rights or by industrial or commercial confidentiality; and (iii) information relating to national security or to the physical protection of nuclear materials or nuclear

installations.

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. The content of the debates during the reviewing of the reports

by the Contracting Parties at each meeting shall be confidential.

Article 28. Secretariat

1. The International Atomic Energy Agency, (hereinafter referred

to as the ‘‘Agency’’) shall provide secretariat for the meetings of the

Contracting Parties.

2. The secretariat shall:

(i) convene, prepare and service the meetings of the Contracting Parties;

(ii) transmit to the Contracting Parties information received

or prepared in accordance with the provisions of this Convention.

The costs incurred by the Agency in carrying out the functions

referred to in sub-paragraphs (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 other services in support of meetings of the Contracting Parties. The Agency may provide such services if they can be

undertaken within its programme and regular budget. Should this

not be possible, the Agency may provide such services if voluntary

funding is provided from another source.

CHAPTER 4. FINAL CLAUSES AND OTHER PROVISIONS

Article 29. 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 the

disagreement.

Article 30. 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 20 September 1994

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.
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4. (i) This Convention shall be open for signature or accession by

regional organizations of an integration or other nature, provided

that any such organization is constituted by sovereign States and

has competence in respect of the negotiation, conclusion and application of 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 fulfill the responsibilities which this Convention attributes to States Parties.

(iii) When becoming party to this Convention, such an organization shall communicate to the Depositary referred to in Article 34,

a declaration indicating which States are members thereof, which

articles of this Convention apply to it, and the extent of its competence in the field covered by those articles. (iv) Such an organization shall not hold any vote additional to

those of its Member States.

5. Instruments of ratification, acceptance, approval or accession

shall be deposited with the Depositary.

Article 31. Entry into force

1. This Convention shall enter into force on the ninetieth day

after the date of deposit with the Depositary of the twenty-second

instrument of ratification, acceptance or approval, including the instruments of seventeen States, each having at least one nuclear installation which has achieved criticality in a reactor core.

2. For each State or regional organization of an integration or

other nature which ratifies, accepts, approves or accedes to this

Convention after the date of deposit 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 32. 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 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 promptly and 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 and voting at the meeting, provided that at least

one half of the Contracting Parties are present at the time of voting. Abstentions shall be considered as 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 ac-
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cordance with paragraph 3 of this Article. The Diplomatic Conference shall make every effort to ensure amendments are adopted

by consensus. Should this not 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 by at

least three fourths 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 that Contracting Party has deposited its relevant instrument.

Article 33. 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 the notification by the Depositary, or on such later

date as may be specified in the notification.

Article 34. 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 of ratification, acceptance, approval or accession, in

accordance with Article 30;

(ii) the date on which the Convention enters into force, in accordance with Article 31;

(iii) the notifications of denunciation of the Convention and

the date thereof, made in accordance with Article 33;

(iv) the proposed amendments to this Convention submitted

by Contracting Parties, the amendments adopted by the relevant Diplomatic Conference or by the meeting of the Contracting Parties, and the date of entry into force of the said amendments, in accordance with Article 32.

Article 35. Authentic texts

The 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 that effect, have signed this Convention.

DONE AT VIENNA on the 20th day of September 1994.

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