CIAO
DATE: 11/01
The Convention on the Physical Protection of Nuclear Material
International Atomic Energy Agency
Information Circular 274 Rev 1
May 1980
The Convention
on the Physical Protection of Nuclear Material
1. The Convention on the Physical Protection of Nuclear Material was opened
for signature on 3 March 1980, pursuant to Article 18.1 thereof and following
the conclusion of negotiations on 28 October 1979.
2. The texts of
the Convention1 and of the Final
Act of the Meeting of Governmental Representatives to Consider the Drafting
of the Convention are reproduced in this document for the information of all
Member States.
3. Member States
will be informed by an addendum to this document of the entry into force of
the Convention pursuant to Article 19.1 thereof.
The States Parties
to this Convention,
Recognizing the
right of all States to develop and apply nuclear energy for peaceful purposes
and their legitimate interests in the potential benefits to be derived from
the peaceful application of nuclear energy,
Convinced of the
need for facilitating international co-operation in the peaceful application
of nuclear energy,
Desiring to avert
the potential dangers posed by the unlawful taking and use of nuclear material,
Convinced that
offences relating to nuclear material are a matter of grave concern and that
there is an urgent need to adopt appropriate and effective measures to ensure
the prevention, detection and punishment of such offences,
Aware of the Need
for international co-operation to establish, in conformity with the national
law of each State Party and with this Convention, effective measures for the
physical protection of nuclear material,
Convinced that
this Convention should facilitate the safe transfer of nuclear material,
Stressing also
the importance of the physical protection of nuclear material in domestic use,
storage and transport,
Recognizing the
importance of effective physical protection of nuclear material used for military
purposes, and understanding that such material is and will continue to be accorded
stringent physical protection,
Have Agreed as
follows:
Article 1
For the purposes
of this Convention:
- "nuclear material" means plutonium except that with isotopic concentration
exceeding 80% in plutonium-238; uranium-233; uranium enriched in the isotope
235 or 233; uranium containing the mixture of isotopes as occurring in nature
other than in the form of ore or ore-residue; any material containing one
or more of the foregoing;
- "uranium enriched in the isotope 235 or 233" means uranium containing the
isotope 235 or 233 or both in an amount such that the abundance ratio of the
sum of these isotopes to the isotope 238 is greater than the ratio of the
isotope 235 to the isotope 238 occurring in nature;
- "international nuclear transport" means the carriage of a consignment of
nuclear material by any means of transportation intended to go beyond the
territory of the State where the shipment originates beginning with the departure
from a facility of the shipper in that State and ending with the arrival at
a facility of the receiver within the State of ultimate destination.
Article 2
- This Convention
shall apply to nuclear material used for peaceful purposes while in international
nuclear transport.
- With the exception
of articles 3 and 4 and paragraph 3 of article 5, this Convention shall also
apply to nuclear material used for peaceful purposes while in domestic use,
storage and transport.
- Apart from
the commitments expressly undertaken by States Parties in the articles covered
by paragraph 2 with respect to nuclear material used for peaceful purposes
while in domestic use, storage and transport, nothing in this Convention shall
be interpreted as affecting the sovereign rights of a State regarding the
domestic use, storage and transport of such nuclear material.
Article 3
Each State Party
shall take appropriate steps within the framework of its national law and consistent
with international law to ensure as far as practicable that, during international
nuclear transport, nuclear material within its territory, or on board a ship
or aircraft under its jurisdiction insofar as such ship or aircraft is engaged
in the transport to or from that State, is protected at the levels described
in Annex I.
Article 4
- Each State Party shall not export or authorize the export of nuclear material
unless the State Party has received assurances that such material will be
protected during the international nuclear transport at the levels described
in Annex I.
- Each State Party shall not import or authorize the import of nuclear material
from a State not party to this Convention unless the State Party has received
assurances that such material will during the international nuclear transport
be protected at the levels described in Annex I.
- A State Party
shall not allow the transit of its territory by land or internal waterways
or through its airports or seaports of nuclear material between States that
are not parties to this Convention unless the State Party has received assurances
as far as practicable that this nuclear material will be protected during
international nuclear transport at the levels described in Annex I.
- Each State
Party shall apply within the framework of its national law the levels of physical
protection described in Annex I to nuclear material being transported from
a part of that State to another part of the same State through international
waters or airspace.
- The State Party
responsible for receiving assurances that the nuclear material will be protected
at the levels described in Annex I according to paragraphs 1 to 3 shall identify
and inform in advance States which the nuclear material is expected to transit
by land or internal waterways, or whose airports or seaports it is expected
to enter.
- The responsibility
for obtaining assurances referred to in paragraph 1 may be transferred, by
mutual agreement, to the State Party involved in the transport as the importing
State.
- Nothing in
this article shall be interpreted as in any way affecting the territorial
sovereignty and jurisdiction of a State, including that over its airspace
and territorial sea.
Article 5
- States Parties shall identify and make known to each other directly or through
the International Atomic Energy Agency their central authority and point of
contact having responsibility for physical protection of nuclear material
and for co-ordinating recovery and response operations in the event of any
unauthorized removal, use or alteration of nuclear material or in the event
of credible threat thereof.
- In the case of theft, robbery or any other unlawful taking of nuclear material
or of credible threat thereof, States Parties shall, in accordance with their
national law, provide co-operation and assistance to the maximum feasible
extent in the recovery and protection of such material to any State that so
requests. In particular:
- State Party shall take appropriate steps to inform as soon as possible
other States, which appear to it to be concerned, of any theft, robbery
or other unlawful taking of nuclear material or credible threat thereof
and to inform, where appropriate, international organizations;
- as appropriate, the States Parties concerned shall exchange information
with each other or international organizations with a view to protecting
threatened nuclear material, verifying the integrity of the shipping container,
or recovering unlawfully taken nuclear material and shall:
- co-ordinate
their efforts through diplomatic and other agreed channels;
- render
assistance; if requested;
- ensure
the return of nuclear material stolen or missing as a consequence of the
above-mentioned events.
The means of
implementation of this co-operation shall be determined by the States Parties
concerned.
States Parties
shall co-operate and consult as appropriate, with each other directly or through
international organizations, with a view to obtaining guidance on the design,
maintenance and improvement of systems of physical protection of nuclear material
in international transport.
Article 6
- States Parties
shall take appropriate measures consistent with their national law to protect
the confidentiality of any information which they receive in confidence by
virtue of the provisions of this Convention form another State Party or through
participation in an activity carried out for the implementation of this Convention.
If States Parties provide information to international organizations in confidence,
steps shall be taken to ensure that the confidentiality of such information
is protected.
- States Parties
shall not be required by this Convention to provide any information which
they are not permitted to communicate pursuant to national law or which would
jeopardize the security of the State concerned or the physical protection
of nuclear material.
Article 7
- The intentional commission of:
- an act without lawful authority which constitutes the receipt, possession,
use, transfer, alteration, disposal or dispersal of nuclear material and
which causes or is likely to cause death or serious injury to any person
or substantial damage to property;
- a theft of
robbery of nuclear material;
- an embezzlement
or fraudulent obtaining of nuclear material;
- an act constituting
a demand for nuclear material by threat or use of force or by any other
form of intimidation;
- a threat:
- to use
nuclear material to cause death or serious injury to any person or substantial
property damage, or
- to commit
an offence described in sub-paragraph (b) in order to compel a natural
or legal person, international organization or State to do or to refrain
from doing any act;
- an attempt
to commit any offence described in paragraphs (a), (b) or (c); and
- an act which
constitutes participation in any offence described in paragraphs (a) to
(f)
shall be made
a punishable offence by each State Party under its national law.
- Each State
Party shall make the offences described in this article punishable by appropriate
penalties which take into account their grave nature.
Article 8
- Each State
Party shall take such measures as may be necessary to establish its jurisdiction
over the offences set forth in article 7 in the following cases;
- when the
offence is committed in the territory of that State or on board a ship
or aircraft registered in that State;
- when the
alleged offender is a national of that State.
- Each State
Party shall likewise take such measures as may be necessary to establish its
jurisdiction over these offences in cases where the alleged offender is presented
in its territory and it does not extradite him pursuant to article 11 to any
of the States mentioned in paragraph 1.
- This Convention
does not exclude any criminal jurisdiction exercised in accordance with national
law.
- In addition
to the States Parties mentioned in paragraphs 1 and 2, each State Party may,
consistent with international law, establish its jurisdiction over the offences
set forth in article 7 when it is involved in international nuclear transport
as the exporting or importing State.
Article 9
Upon being satisfied
that the circumstances so warrant, the State Party in whose territory the alleged
offender is present shall take appropriate measures, including detention, under
its national law to ensure his presence for the purpose of prosecution or extradition.
Measures taken according to this article shall be notified without delay to
the States required to establish jurisdiction pursuant to article 8 and, where
appropriate, all other States concerned.
Article 10
The State Party
in whose territory the alleged offender is present shall, if it does not extradite
him, submit, without exception whatsoever and without undue delay, the case
to its competent authorities for the purpose of prosecution, through proceedings
in accordance with the laws of that State.
Article 11
- The offences
in article 7 shall be deemed to be included as extraditable offences in any
extradition treaty existing between States Parties. States Parties undertake
to include those offences as extraditable offences in every future extradition
treaty to be concluded between them.
- If a State
Party which makes extradition conditional on the existence of a treaty receives
a request for extradition from another State Party with which it has no extradition
treaty, it may at its option consider this Convention as the legal basis for
extradition in respect of those offences. Extradition shall be subject to
the other conditions provided by the law of the requested State.
- States Parties
which do not make extradition conditional on the existence of a treaty shall
recognize those offences as extraditable offences between themselves subject
to the conditions provided by the law of the requested State.
- Each of the
offences shall be treated, for the purpose of extradition between States Parties,
as if it had been committed not only in the place in which it occurred but
also in the territories of the States Parties required to establish their
jurisdiction in accordance with paragraph 1 of article 8.
Article 12
Any person regarding
whom proceedings are being carried out in connection with any of the offences
set forth in article 7 shall be guaranteed fair treatment at all stages of the
proceedings.
Article 13
- States Parties
shall afford one another the greatest measure of assistance in connection
with criminal proceedings brought in respect of the offences set forth in
article 7, including the supply of evidence at their disposal necessary for
the proceedings. The law of the State requested shall apply in all cases.
- The provisions
of paragraph 1 shall not affect obligations under any other treaty, bilateral
or multilateral, which governs or will govern, in whole or in part, mutual
assistance in criminal matters.
Article 14
- Each State Party shall inform the depositary of its laws and regulations
which give effect to this Convention. The depositary shall communicate such
information periodically to all States Parties.
- The State Party where an alleged offender is prosecuted shall, wherever
practicable, first communicate the final outcome of the proceedings to the
States directly concerned. The State Party shall also communicate the final
outcome to the depositary who shall inform all States.
- Where an offence involves nuclear material used for peaceful purposes in
domestic use, storage or transport, and both the alleged offender and the
nuclear material remain in the territory of the State Party in which the offence
was committed, nothing in this Convention shall be interpreted as requiring
that State Party to provide information concerning criminal proceedings arising
out of such an offence.
Article 15
The Annexes constitute
an integral part of this Convention.
Article 16
- A conference
of States Parties shall be convened by the depositary of five years after
the entry into force of this Convention to review the implementation of the
Convention and its adequacy as concerns the preamble, the whole of the operative
part and the annexes in the light of the then prevailing situation.
- At intervals
of not less than five years thereafter, the majority of States Parties may
obtain, by submitting a proposal to this effect to the depositary, the convening
of further conferences with the same objective.
Article 17
- In the event
of a dispute between two or more States Parties concerning the interpretation
or application of this Convention, such States Parties shall consult with
a view to the settlement of the dispute by negotiation, or by any other peaceful
means of settling disputes acceptable to all parties to the dispute.
- Any dispute
of this character which cannot be settled in the manner prescribed in paragraph
1 shall, at the request of any party to such dispute, be submitted to arbitration
or referred to the International Court of Justice for decision. Where a dispute
is submitted to arbitration, if, within six months from the date of the request,
the parties to the dispute are unable to agree on the organization of the
arbitration, a party may request the President of the International Court
of Justice or the Secretary-General of the United Nations to appoint one or
more arbitrators. In case of conflicting requests by the parties to the dispute,
the request to the Secretary-General of the United Nations shall have priority.
- Each State
Party may at the time of signature, ratification, acceptance or approval of
this Convention or accession thereto declare that it does not consider itself
bound by either or both of the dispute settlement procedures provided for
in paragraph 2. The other States Parties shall not be bound by a dispute settlement
procedure provided for in paragraph 2, with respect to a State Party which
has made a reservation to that procedure.
- Any State Party
which has made a reservation in accordance with paragraph 3 may at any time
withdraw that reservation by notification to the depositary.
Article 18
- This Convention shall be open for signature by all States at the Headquarters
of the International Atomic Energy Agency in Vienna and at the Headquarters
of the United Nations in New York from 3 March 1980 until its entry into force.
- This Convention is subject to ratification, acceptance or approval by the
signatory States.
- After its entry into force, this Convention will be open for accession by
all States.
- This Convention shall be open for signature or accession by international
organizations and 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.
- In matters within their competence, such organizations shall, on their
own behalf, exercise the rights and fulfil the responsibilities which this
Convention attributes to States Parties.
- When becoming
party to this Convention such an organization shall communicate to the depository
a declaration indicating which States are members thereof and which articles
of this Convention do not apply to it.
- Such an organization
shall not hold any vote additional to those of its Member States.
- Instruments
of ratification, acceptance, approval or accession shall be deposited with
depositary.
Article 19
- This Convention shall enter into force on the thirtieth day following the
date of deposit of the twenty-first instrument of ratification, acceptance
or approval with the depositary.
- For each State ratifying, accepting, approving or acceding to the Convention
after the date of deposit of the twenty-first instrument of ratification,
acceptance or approval, the Convention shall enter into force on the thirtieth
day after the deposit by such State of its instrument of ratification, acceptance,
approval or accession.
Article 20
- Without prejudice
to article 16 a State Party may propose amendments to this Convention. The
proposed amendment shall be submitted to the depositary who shall circulate
it immediately to all States Parties. If a majority of States Parties request
the depositary to convene a conference to consider the proposed amendments,
the depositary shall invite all States Parties to attend such a conference
to being not sooner than thirty days after the invitations are issued. Any
amendment adopted at the conference by a two-thirds majority of all States
Parties shall be promptly circulated by the depositary to all States Parties.
- The amendment
shall enter into force for each State Party that deposits its instrument of
ratification, acceptance or approval of the amendment on the thirtieth day
after the date on which two thirds of the States Parties have deposited their
instruments of ratification, acceptance or approval with the depositary. Thereafter,
the amendment shall enter into force for nay other State Party on the day
on which that State Party deposits its instrument of ratification, acceptance
or approval of the amendment.
Article 21
- Any State Party any denounce this Convention by written notification to
the depositary.
- Denunciation
shall take effect one hundred and eighty days following the date on which
notification is received by the depositary.>
Article 22
The depositary
shall promptly notify all States of:
- each signature of this Convention;
- each deposit
of an instrument of ratification, acceptance, approval or accession;
- any reservation or withdrawal in accordance with article 17;
- any communication
made by an organization in accordance with paragraph 4(c) of article 18;
- the entry into
force of this Convention;
- the entry into
force of any amendment to this Convention; and
- any denunciation
made under article 21.
Article 23
The original
of this Convention, of which the Arabic, Chinese, English, French, Russian and
Spanish texts are equally authentic, shall be deposited with the Director General
of the International Atomic Energy Agency who shall send certified copies thereof
to all States.
In witness whereof,
the undersigned, being duly authorized, have signed this Convention, opened
for signature at Vienna and at New York on 3 March 1980.
Annex
1
Levels of Physical Protection to be Applied in International Transport of
Nuclear Materials as Categorized in Annex II
- Levels of physical protection for nuclear material during storage incidental
to international nuclear transport include:
- For Category III materials, storage within an area to which access is
controlled;
- For Category II materials, storage within an area under constant surveillance
by guards or electronic devices, surrounded by a physical barrier with a
limited number of points of entry under appropriate control or any area
with an equivalent level of physical protection;
- For Category
I material, storage within a protected area as defined for Category II above,
to which, in addition, access is restricted to persons whose trustworthiness
has been determined, and which is under surveillance by guards who are in
close communication with appropriate responses forces. Specific measures
taken in this context should have as their object the detection and prevention
of any assault, unauthorized access or unauthorized removal of material.
- Levels of physical
protection for nuclear material during international transport include:
- For Category
II and III materials, transportation shall take place under special precautions
including prior arrangements among sender, receiver, and carrier, and
prior agreement between natural or legal persons subject to the jurisdiction
and regulation of exporting and importing States, specifying time, place
and procedures for transferring transport responsibility;
- For Category
I materials, transportation shall take place under special precautions
identified above for transportation of Category II and III materials,
and in addition, under constant surveillance by escorts and under conditions
which assure close communication with appropriate response forces;
- For natural
uranium other than in the form of ore or ore-residue; transportation protection
for quantities exceeding 500 kilograms uranium shall include advance notification
of shipment specifying mode of transport, expected time of arrival and
confirmation of receipt of shipment.
Annex
2
Table: Categorization of Nuclear Material
Material |
Form |
Category |
I |
II |
IIIc/
|
1. Plutoniuma/
|
Unirradiatedb/ |
2 kg or
more |
Less than
2 kg but more than 500 g |
500 g or
less but more than 15 g |
2. Uranium-235 |
Unirradiatedb/
- uranium
enriched to 20% 235U or more
- uranium
enriched to 10% 235U but less than 20%
- uranium
enriched above natural, but less than 10% 235U
|
5 kg or more |
Less than 5 kg but more than 1 kg
10 kg or more |
1 kg or less but more than 15 g
Less than 10 kg but more than 1 kg
10 kg or more |
3. Uranium-233 |
Unirradiatedb/ |
2 kg or more |
Less than 2 kg but more than 500 kg |
500 g or less but more than 15 g |
4. Irradiated fuel |
|
|
Depleted or natural urnaium, thorium or low-enriched fuel (less than 10%
fossile content)d/e/ |
|
a/
All plutonium except that with isotopic concentration exceeding 80% in plutonium-238.
b/ Material not irradiated in a reactor or material irradiated in
a reactor but with a radiation level equal to or less than 100 rads/hour at
one metr unshielded.
c/ Quantities not falling in Category III and natural uranium should be
protected in accordance with prudent management practice.
d/ Although this level of protection is recommended, it would be open
to States, upon evaluation of the specific circumstances, to assign a different
category of physical protection.
e/Other fuel which by virtue of its original fissile material content
is classified as Category I and II before irradiation may be reduced one category
level while the radiation level from the fuel exceeds 100 rads/hour at one metre
unshielded.
Final Act
Meeting of Governmental Representatives to Consider the Drafting of
a Convention on the Physical Protection of Nuclear Material
- The Meeting
of Governmental Representatives to Consider the Drafting of a Convention on
the Physical Protection of Nuclear Material met in Vienna at the Headquarters
of the International Atomic Energy Agency from 31 October to 10 November 1977,
from 10 to 20 April 1978, from 5 to 16 February and from 15 to 26 October
1979. Informal consultations between Governmental Representatives took place
from 4 to 7 September 1978 and from 24 to 25 September 1979.
- Representatives
of 58 States and one organization participated, namely, representatives of:
Algeria
|
Korea,
Republic of |
Argentina
|
Libyan
Arab Jamahiriya |
Australia
|
Luxembourg
|
Austria
|
Mexico
|
Belgium
|
Netherlands
|
Brazil
|
Niger
|
Bulgaria
|
Norway
|
Canada
|
Pakistan
|
Chile
|
Panama
|
Colombia
|
Paraguay
|
Costa
Rica |
Peru
|
Cuba
|
Philippines
|
Czechoslovakia
|
Poland
|
Denmark
|
Qatar
|
Ecuador
|
Romania
|
Egypt
|
South
Africa |
Finland
|
Spain
|
France
|
Sweden
|
German
Democratic Republic |
Switzerland
|
Germany,
Federal Republic of |
Tunisia
|
Greece
|
Turkey
|
Guatemala
|
Union
of Soviet Socialist Republics |
Holy
See |
United
Arab Emirates |
Hungary
|
United
Kingdom of Great Britain and Northern Ireland |
India
|
United
States of America |
Indonesia
|
Venezuela
|
Ireland
|
Yugoslavia
|
Israel
|
Zaire
|
Italy
|
European
Atomic Energy Community |
Japan
|
|
- The following
States and international organizations participated as observers:
Iran Lebanon Malaysia Thailand Nuclear Energy Agency of the Organisation for
Economic Co-operation and Development
- The Meeting
elected Ambassador D.L. Siazon Jr. (Philippines) as Chairman. For the meetings
in April 1978 and February 1979 Mr. R.A. Estrada-Oyuela (Argentina) was elected
Chairman.
- The Meetings
elected as Vice-Chairmen:
Mr. K. Willuhn
of the German Democratic Republic, who at the meeting in February 1979 was
succeeded by Mr. H. Rabold of the German Democratic Republic;
Mr. R.J.S.
Harry, Netherlands, who at the meeting of October 1979 was succeeded by
Mr. G. Dahlhoff of the Federal Republic of Germany;
Mr. R.A.
Estrada-Oyuela, Argentina, who at the meeting of October 1979 was succeeded
by Mr. L.A. Olivieri of Argentina.
Mr. L.W.
Herron (Australia) was elected Rapporteur. For the meeting in October 1979
Mr. N.R. Smith (Australia) was elected Rapporteur.
- Secretariat
services were provided by the International Atomic Energy Agency. The Director
General of the Agency was represented by the Director of the Legal Division
of the Agency, Mr. D.M. Edwards and, in succession to him, Mr. L.W. Herron.
- The Meeting
set up the following groups:
- Working
Group on Technical Issues
Chairman: Mr. R.J.S. Harry, Netherlands
- Working
Group on Legal Issues
Chairman: Mr. R.A. Estrada-Oyuela, Argentina
- Working
Group on Scope of Convention
Chairman: Mr. K. Willuhn, German Democratic Republic
- Drafting
Committee
Chairman: Mr. De Castro Neves, Brazil
Members: Representatives of Australia, Brazil, Canada, Chile, Czechoslovakia,
Egypt, France, Federal Republic of Germany, Italy, Japan, Mexico, Qatar,
Tunisia, Union of Soviet Socialist Republics, United States of America.
- The Meeting
had before it the following documents:
- Draft Convention
on the Physical Protection of Nuclear Materials, Facilities and Transports,
as contained in document CPNM/1;
- IAEA document
INFCIRC/225/Rev.1: The Physical Protection of Nuclear Material;
- IAEA document
INFCIRC/254: Communications Received from Certain Member States regarding
Guidelines for the Export of Nuclear Material, Equipment or Technology.
- The Meeting
completed consideration of a Convention, the text of which is attached as
Annex I2. Certain delegations
expressed reservations with regard to particular provisions in the text. These
are recorded in the documents and in the Daily Reports of the Meeting. It
was agreed that the text will be referred by delegations to their authorities
for consideration.
- The Meeting
recommended that the text of the Convention be transmitted for information
to the twenty-third General Conference of the International Atomic Energy
Agency.
- The Convention
will, in accordance with its terms, be opened for signature from 3 March 1980
at the Headquarters of the International Atomic Energy Agency in Vienna and
at the Headquarters of the United Nations in New York.
Vienna, 26 October
1979
(signed)
D.L. Siazon Jr.
Notes
Note
1: The text of the Convention was transmitted to the twenty-third (1979)
regular session of the General Conference of the International Atomic Energy
Agency, pursuant to paragraph 11 of the Final Act, as document INFCIRC/274.
Back.
Note
2: Since the Convention has been opened for signature it is not attached
here as Annex I; it is reproduced as the first part of this document. Back.
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