OFFICIAL TEXT
June 1, 1990
AGREEMENT BETWEEN THE UNITED STATES OF AMERICA
AND THE UNION OF SOVIET SOCIALIST REPUBLICS ON
DESTRUCTION AND NON-PRODUCTION OF CHEMICAL WEAPONS
AND ON MEASURES TO FACILITATE THE MULTILATERAL
CONVENTION ON BANNING CHEMICAL WEAPONS
U.S. ARMS CONTROL AND DISARMAMENT AGENCY, WASHINGTON, D.C. 20451 OFFICE
OF PUBLIC AFFAIRS (202) 647-8677
The United States of America and the Union of Soviet Socialist Republics,
hereinafter referred to as "the Parties,"
Determined to make every effort to conclude and to bring into force
at the earliest date a convention providing for a global ban on the
development, production, stockpiling and use of chemical weapons and
on their destruction, hereinafter referred to as "the multilateral
convention,"
Aware of their special responsibility in the area of chemical weapons
disarmament,
Desiring to halt the production of chemical weapons and to begin the
destruction of the preponderance of their chemical weapons stockpiles,
without waiting for the mulitateral convention to enter into force,
Recalling the Memorandum of Understanding between the Government of
the United States of America and the Government of the Union of Soviet
Socialist Republics Regarding a Bilateral Verification Experiment and
Data Exchange Related to Prohibition of Chemical Weapons, signed at
Jackson Hole, Wyoming on September 23, 1989, hereinafter referred to
as "the Memorandum,"
Recalling the bilateral commitment to cooperate with respect to the
destruction of chemical weapons, contained in the joint statement on
chemical weapons issued at Jackson Hole, Wyoming on September 23, 1989,
and mindful of the efforts of each Party aimed at the destrection of
chemical weapons and desiring to cooperate in this area,
Have agreed as follows
ARTICLE I
GENERAL PROVISIONS AND AREAS OF COOPERATION
1. In accordance with provisions of this Agreement, the Parties undertake:
- to cooperate regarding methods and technologies for the safe and
efficient destruction of chemical weapons;
- not to produce chemical weapons;
- to reduce their chemical weapons stockpiles to equal, low levels;
- to cooperate in developing, testing, and carrying out appropriate
inspection procedures; and
- to adopt practical measures to encourage all chemical weapons-capable
states to become parties to the multilateral convention.
2. Each Party, during its destrtzction of chemical weapons, shall
assign the highest priority to ensuring the safety of people and to
protecting the environment. Each Party shall destroy its chemical weapons
in accordance with stringent national standards for safety and emissions.
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ARTICLE II
COOPERATION REGARDING METHODS AND TECHNOLOGIES OF DESTRUCTION
1. To implement their undertaking to cooperate regarding the destruction
of chemical weapons, the Parties shall negotiate a specific program
of cooperation. For this purpose, the Parties may create special groups
of experts, as appropriate. The program may include matters related
to: methods and specific technologies for the destruction of chemical
weapons; measures to ensure safety and protection of people and the
environment; construction and operation of destruction facilities; the
appropriate equipment for destruction, past, current and planned destruction
activities; monitoring of destruction of chemical weapons; or such other
topics as the Parties may agree. Activities to implement this program
may include: exchanges of visits to relevant facilities; exchanges of
documents; meetings and discussions among experts; or such other activities
as the Parties may agree.
2. Each Party shall, as appropriate, cooperate with other states that
request information or assistance regarding the destruction of chemical
weapons. The Parties may respond jointly to such requests.
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ARTICLE III
CESSATION OF THE PRODUCTION OF CHEMICAL WEAPONS
Upon entry into force of this Agreement and thereafter, each Party
shall not produce chemical weapons.
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ARTICLE IV
DESTRUCTION OF CHEMICAL WEAPONS
1. Each Party shall reduce and limit its chemical weapons so that,
by no later than December 31, 2002, and thereafter, its aggregate quantity
of chemical weapons does not exceed 5000 agent tons. In this Agreement,
"tons" means metric tons.
2. Each Party shall begin its destruction of chemical weapons by no
later than December 31, 1992.
3. By no later than December 31, 1999, each Party shall have destroyed
at least 50 percent of its aggregate quantity of chemical weapons. The
aggregate quantity of chemical weapons of a Party shall be the amount
of chemical weapons declared in the data exchange carried out on December
29, 1989, or declared thereafter, pursuant to the Memorandum, as updated
in accordance with paragraph 6(b) of this Article.
4. In the event that a Party determines that it cannot achieve an
annual rate of destruction of chemical weapons of at least 1000 agent
tons during 1995, or that it cannot destroy at least 1000 agent tons
during each year after 1995, that Party shall, at the earliest possible
time, notify the other Party, in accordance with Paragraph 10 of this
Article.
5. Each Party, in its destruction of chemical weapons, shall also
destroy the munitions, devices and containers from which the chemicals
have been removed. Each Party shall reduce and limit its other empty
munitions and devices for chemical weapons purposes so that, by no later
than December 31, 2002, and thereafter, the aggregate capacity of such
munitions and devices does not exceed the volume of the remaining bulk
agent of that Party.
6. Thirty days after the entry into force of this Agreement, each
Party shall inform the other Party of the following:
- its current general plan for the destruction of chemical weapons
pursuant to this Agreement and its detailed plan for the destruction
of chemical weapons during the calendar year following the year in
which this Agreement enters into force. The detailed plan shall encompass
all of the chemical weapons to be destroyed during the calendar year,
and shall include their locations, types and quantities, the methods
of their destruction, and the locations of the destruction facilities
that are to be used; and
- any changes, as of the entry into force of this Agreement, in the
data contained in the data exchange carried out on December 29, 1989,
or provided thereafter, pursuant to the Memorandum.
7. Beginning in the calendar year following the year in which this
Agreement enters into force, each Party shall inform the other Party
annually, by no later than November 30, of its detailed plan for the
destruction of chemical weapons during the following calendar year.
8. Beginning in the calendar year following the year in which this
Agreement enters into force, each Party shall inform the other Party
annually, by no later than April 15, of the following:
- any further changes, as of December 31 of the previous year, to
the data contained in the data exchange carried out on December 29,
1989, or provided thereafter, pursuant to the Memorandum;
- the implementation during the previous calendar year of its detailed
plan for the destruction of chemical weapons; and
- any update to the general and detailed plans provided pursuant
to paragraphs 6(a) or 7 of this Article.
9. Each Party shall limit its chemical weapons storage facilities
so that, by no later than December 31, 2002, and thereafter, the number
of such facilities does not exceed eight. Each Party plans to have all
such facilities located on its national territory. This is without prejudice
to its rights and obligations, including those under the Protocol for
the Prohibition of the Use in War of Asphyxiating, Poisonous or Other
Gases, and of Bacteriological Methods of Warfare, signed at Geneva on
June 17, 1925.
10. If a Party experiences problems that will prevent it from destroying
its chemical weapons at a rate sufficient to meet the levels specified
in this Article, that Party shall immediately notfly the other Party
and provide a ful explanation. The Parties shall promptly consult on
measures necessary to resolve the problems. Under no circumstances shall
the Party not experiencing problems in its destruction of chemical weapons
be required to destroy its chemical weapons at a more rapid rate than
the Party that has experienced such problems.
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ARTICLE V
INSPECTION ACTIVITIES
1. Each Party shall provide access to each of its chemical weapons
production facilities for systematic on-site inspection to confirm that
production of chemical weapons is not occurring at those facilities.
2. Each Party shall identify and provide access to each of its chemical
weapons destruction facilities and the chemical weapons holding areas
within these destruction facilities for systematic on-site inspection
of the destruction of chemical weapons. Such inspection shall be accomplished
through the continuous presence of inspectors and continuous monitoring
with on-site instruments.
3. When a Party has removed all of its chemical weapons from a particular
chemical weapons storage facility, it shall promptly notify the other
Party. The Party receiving the notification shall have the right to
conduct, promptly after its receipt of the notification, an onsite inspection
to confirm that no chemical weapons are present at that facility. Each
Party shall also have the right to inspect, not more than once each
calendar year, subsequent to the year of the notification and until
such time as the multilateral convention enters into force, each chemical
weapons storage facility for which it has received a notification pursuant
to this paragraph, to determine that chemical weapons are not being
stored there.
4. When a Party has completed its destruction of chemical weapons
pursuant to this Agreement, it shall promptly notify the other Party.
In its notification, the Party shall specify the chemical weapons storage
facilities where its remaining chemical weapons are located and provide
a detailed inventory of the chemical weapons at each of these storage
facilities. Each Party, promptly after it has received such a notification,
shall have the right to inspect each of the chemical weapons storage
facilities specified in the notification, to determine the quantities
and types of chemical weapons at each facility.
5. Each Party shall also have the right to inspect, not more than
once each calendar year, subsequent to the year in which destruction
begins and until such time as the multilateral convention enters into
force, each chemical weapons storage facility of the other Party that
is not already subject to annual inspection pursuant to paragraph 3
of this Article, to determine the quantities and types of chemical weapons
that are being stored there.
6. On the basis of the reports of its inspectors and ocher information
available to it, each Party shall determine whether the provisions of
this Agreement are being satisfactorily fulfilled and shall communicate
its conclusions to the other Party.
7. Detailed provisions for the implementation of the inspection measures
provided for in this Article shall be set forth in the document on inspection
procedures. The Parties shall work to complete this document by December
31, 1990.
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ARTICLE VI
MEASURES TO FACILITATE THE MULTILATERAL CONVENTION
The Parties shall cooperate in making every effort to conclude the
multilateral convention at the earliest date and to implement it effectively.
Toward those ends, the Parties agree, in addition to their other obligations
in this Agreement, to the following:
1. Each Party shall reduce and limit its chemical weapons so that,
by no later than the end of the eighth year after entry into force of
the multilateral convention, its aggregate quantity of chemical weapons
does not exceed 500 agent tons.
2. Upon signature of this Agreement, the Parties shall enter into
consultations with other participants in the multilateral negotiations
and shall propose that a special conference of states parties to the
multilateral convention be held at the end of the eighth year after
its entry into force. This special conference would, inter alia, determine,
in accordance with agreed procedures, whether the participation in the
multilateral convention is sufficient for proceeding to the total elimination
of all remaining chemical weapons stocks over the subsequent two years.
3. The Parties shall intensify their cooperation with each other and
with other states to ensure that all chemical weapons-capable states
become parties to the multilateral convention.
4. The Parties declare their intention to be among the original parties
to the multilateral convention.
5. To gain experience and thereby facilitate the elaboration and implementation
of the multilateral convention, the Parties agree to conduct bilateral
verification experiments involving trial challenge inspections at facilities
not declared under the Memorandum or subsequently. The detailed modalities
for such experiments, including the number and location of the facilities
to be inspected, as well as the procedures to be used, shall be agreed
between the Parties no later than six months after the signing of this
Agreement.
ARTICLE VII
CONSULTATIONS
The Parties, in order to resolve questions related to this Agreement
that may arise, shall use normal diplomatic channels, specifically-designated
representatives, or such other means as they may agree.
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ARTICLE VIII
RELATIONSHIP TO OTHER DOCUMENTS
1. After the multilateral convention enters into force, the provisions
of the multilateral convention shall take precedence over the provisions
of this Agreement in cases of incompatible obligations therein. Otherwise,
the provisions of this Agreement shall supplement the provisions of
the multilateral convention in its operation between the Parties. After
the multilateral convention is signed, the Parties to this Agreement
shall consult with each other in order to resolve any questions concerning
the relationship of this Agreement to the multilateral convention.
2. The chemical weapons, chemical weapons storage facilities, and
chemical weapons production facilities subject to this Agreement are
those that are subject to declaration under the Memorandum.
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ARTICLE IX
AMENDMENTS
Each Party may propose amendments to this Agreement. Agreed amendments
shall enter into force in accordance with the procedures governing the
entry into force of this Agreement
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ARTICLE X
ENTRY INTO FORCE; DURATION; WITHDRAWAL
1. This Agreement shall enter into force upon an exchange of instruments
stating acceptance of the Agreement by each Party.
2. This Agreement shall be of unlimited duration, unless the Parties
agree to terminate it after the entry into force of the multilateral
convention.
3. Each Party shall, in exercising its national sovereignty, have
the right to withdraw from this Agreement if it decides that extraordinary
events related to the subject matter of this Agreement have jeopardized
its supreme interests. It shall give notice of its decision to the other
Party six months prior to withdrawal from the Agreement. Such notice
shall include a statement of the extraordinary events the notifying
Party regards as having jeopardized its supreme interests.
DONE at Washington, in duplicate, this 1st day of June, 1990, in the
English and Russian languages, each text being equally authentic
FOR THE UNITED STATES OF AMERICA
FOR THE UNION OF SOVIET SOCIALIST REPUBLICS
AGREED STATEMENT IN CONNECTION WITH THE AGREEMENT
BETWEEN THE UNITED STATES OF AMERICA AND THE UNION OF SOVIET SOCIALIST
REPUBLICS ON DESTRUCTION AND NON-PRODUCTION OF CHEMICAL WEAPONS AND
ON MEASURES TO FACILITATE THE MULTILATERAL CONVENTION ON BANNING CHEMICAL
WEAPONS
Paragraph 2 of Artide VI of the Agreement stipulates that, "Upon
signature of this Agreement, the Parties shall enter into consultations
with other participants in the multilateral negotiations and shall propose
that a special conference of states parties to the multilateral convention
be held at the end of the eighth year after its entry into force. This
special conference would, inter alia, determine, in accordance with
agreed procedures, whether the participation in the multilateral convention
is sufficient for proceeding to the total elimination of all remaining
chemical weapons stocks over the subsequent two years."
In this connection, the Parties agree that an affirmative decision
would require the agreement of a majority of the states parties that
attend the special conference, with such majority including those states
parties attending the special conference that had taken the following
three steps:
- presented officially and publicly, before December 31, 1991, before
the Conference on Disarmament, a written dedaration that they were
at the time of that declaration in possession of chemical weapons;
- signed the multilateral convention within thirty days after it was
opened for signature; and
- became a party to the multilateral convention by no later than
one year after its entry into force.
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ANNEX VI
MEMORANDUM OF UNDERSTANDING BETWEEN THE GOVERNMENT OF THE UNION OF
SOVIET SOCIALIST REPUBLICS AND THE GOVERNMENT OF THE UNITED STATES OF
AMERICA REGARDING A BILATERAL VERIFICATION EXPERIMENT AND DATA EXCHANGE
RELATED TO PROHIBITION OF CHEMICAL WEAPONS
The Government of the Union of Soviet Socialist Republics and the
Government of the United States of America,
Determined to facilitate the process of negotiation, signature and
ratification of a comprehensive, effectively verifiable, and truly global
convention on the prohibition and destruction of chemical weapons,
Convinced that increased openness about their chemical weapons capabilities
is essential for building the confidence necessary for early completion
of the convention,
Desiring also to gain experience in the procedures and measures for
verification of the convention,
Have agreed as follows:
I. General Provisions
1. As set forth below, the two sides shall conduct a bilateral verification
experiment and data exchange related to the prohibition of chemical
weapons.
2. The bilateral verification erpenrnent and data exchange shall be
conducted in two phases. In Phase I, the two sides shall exchange general
data on their chemical weapons capabilities and carry out a series of
visits to relevant facilities. In Phase II, the two sides shall exchange
detailed data and perform on-site inspection to verify the accuracy
of those data.
3. The bilateral verification experiment and data exchange is intended
to facilitate the process of negotiation, signature and ratification
of a comprehensive, effectively verifiable and truly global convention
on the prohobition and destruction of chemical weapons by:
- enabling each side to gain confidence in the data on chemical weapons
capabilities that will be provided under the provisions of the convention;
- enabling each side to gain confidence in the inspection procedures
that will be used to verify compliance with the convention; and
- facilitating the elaboration of the provisions of the convention.
4. Terms used in this Memorandum shall have the same meaning as in the
draft convention text under negotiation by the Conference on Disarmament.
The draft convention text that is current as of the date of the exchange
of data shall be used.
5. Data shall be current as of the date of the exchange, and shall
encompass all sites and facilities specified below, wherever they are
located.
6. Each side shall take appropriate steps to protect the confidentialitv
of the data it receives. Each side undertakes not to divulge this data
without the explicit consent of the side that provided the data.
II. Phase I
In Phase I, each side shall provide the following data pertaining to
its chemical weapons capabilities:
1. the aggegate quantity of its chemical weapons in agent tons;
2. the specific types of chemicals it possesses that are defined
as chemical weapons, indicating the common name of each chemical;
3. the percentage of each of its declared chemicals that is stored
in munitions and devices, and the percentage that is stored in storage
containers;
4. the precise location of each of its chemical weapons storage
facilities;
5. for each of its declared chemical weapons storage facilities:
-- the common name of each chemical defined as a chemical weapon
that is stored there;
-- the percentage of the precise aggregate quantity of its chemical
weapons that is stored there;
and
-- the specific types of munitions and devices that are stored there;
6. the precise location of each of its chemical weapons production
facilities, indicating the common name of each chemical that has been
or is being produced at each facility; and
7. the precise location of each of its facilities for destruction
of chemical weapons, including those currently existing, under construction,
or planned.
In Phase I, each side shall permit the other side to visit some
of its chemical weapons storage and production facilities, the exact
number of which will be agreed upon as soon as possible. In addition,
each side shall permit the other side to visit two industrial chemical
production facilities. Each side will select the facilities to be
visited by the other side.
III. Phase II
In Phase II, each side shall provide the following data pertaining to
its chemical weapons capabilies:
1. the chemical name of each chemical it possesses that is defined as
a chemical weapon;
2. the detailed inventory, including the quantity, of the chemical
weapons at each of its
chemical weapons storage facilities;
3. its preliminary general plans for destruction of chemical weapons
under the convention, including the characteristics of the facilities
it expects to use and the time schedules it expects to follow;
4. the capacity of each of its chemical weapons production facilities;
5. preliminary general plans for closing and destroying each of
its chemical weapons production facilities under the convention, including
the methods it expects to use and the time schedules it expects to
follow;
6. the precise location and capacity of its planned single small-scale
facility allowed under the convention for the production, for non-prohibited
purposes under strict safeguards, of a limited quantity of chemicals
that pose a high risk, i.e., Schedule 1 chemicals;
7. the precise location, nature and general scope of activities
of any facility, or establishment designed, constructed or used since
1 January 1946 for development of chemical weapons, inter alia, laboratories
and test and evaluation sites.
IV. Timing
1. Except as specified below, Phase I data shall be exchanged not later
than 31 December 1989. Visits shall begin not later than 30 June 1990,
provided that the sides have agreed, with appropriate lead time, on
the number of visits, as well as on the programs and other detailed
arrangements for the visits, and assuming that the sides have agreed
by 31 December 1989 on the type of facility to be visited by each side
in its first visit to the other side.
2. In Phase I each side may withhold temporarily, for reasons of security,
data on the locations of storage facilities that together contain a
total quantity of chemical weapons that is more than two percent of
the precise quantity of its chemicaI weapons. In addition, the other
data pertaining to these locations, as specified in Section II, paragraph
5, shall be grouped under the heading "other storage locations"
without reference to specific locations. Precise data pertaining to
these locations shall be exchanged later in Phase I on a subsequent
date to be agreed.
3. Phase II data shall be exchanged on an agreed date not less than
four months prior to the initialing of the text of the convention. At
that time, both sides shall formaIIy and jointly acknowledge the possibility
of initialing the convention within four months.
V. Verification
1. Each side shall use its own national means to evaluate Phase I
data and Phase II data.
2. During Phase I, the sides shall hold consultations to discuss the
information that has been presented and visits that have been exchanged.
The sides will cooperate in clarifying ambiguous situations.
3. During Phase Il, each side shall have the opportunity to verify
Phase I and Phase II data by means of on-site inspections. The purpose
of these inspections shall be to verify the accuracy of the data that
has been exchanged and to gain confidence that the signature and ratification
of the convention will take place on the basis of up-to-date and verified
data on the chemical weapons capabilities of the sides.
4. Prior to the initialing of the conven tion, each side shall have
the opportunity to select and inspect at its discretion up to five facilities
from the list of chemical weapons storage facilities and chemical weapons
production facilities declared by the other side. During Phase I, the
sides will consider whether each side may inspect not less than half
of the declared facilities of the other side of their number is more
than 10. Should either side as of the date of the Phase II exchange
possess a single small-scale facility for production of Schedule 1 chemicals,
it shall be subject to an additional inspection.
Each side shall also have the opportunity to carry out up to five
challenge inspections, as specified below. All inspections shall be
carried out within the agreed four months from the date of the declaration
pertaining to Phase II, referred in Section IV.
5. While the signed convention is being considered by their respective
legislative bodies, each side shall have the opponunity to request from
the other side, and to obtain from it, updated data. Each side shall
have the opportunity to conduct up to five challenge inspections, as
specified below. During this process, the two sides will consult with
their respective legislative bodies, as appropriate, in accordance with
their constitutional requirements.
For each side, these inspections shall be carried out within a four-month
period, beginning with the date that it conducts its first inspection.
The sides shall consult and agree on the dates when the first inspection
will be conducted by each side. The dates shall be chosen to ensure
that the inspections shall be conducted by both sides at approximately
the same time. Once the inspections begin, the sides may, by mutual
consent, extend the four-month periods for an additional specified period.
6. Inspections of declared facilities, as well as challenge inspections,
shall be conducted in accordance with the corresponding provisions of
the draft convention, taking into account that these inspections are
being carried out on a bilateral basis and do not involve the bodies
that will be established under the convention. If necessary, the two
sides shall supplement the provisions of the draft convention by mutually-agreed
procedures.
7. Challenge inspections may be made at any location or facility of
the other side, as provided for in the draft convention text, except
that, for the purposes of this Memorandum and without creating a precedent,
challenge inspections at facilities not on the territory of the sides
may be made only at military facilities of a side in a limited number
of countries; the sides will agree later on these specific countries.
8. Challenge inspections conducted pursuant to this Memorandum shall
be conducted in a manner consistent with the domestic law of the side
being inspected and shall be based on a recognition by both sides of
the need to resolve concerns and build confidence.
9. To clarify. questions related to the data provided during Phase
I and Phase II, the two
sides shall employ normal diplomatic channels specifically-designated
representatives, or such other means as may be agreed upon.
VI. Format
1. Unless otherwise provided in this Memorandum, the agreed data shall
be provided, according to the specifications contained in the draft
convention text for the declarations that are to be made not later than
30 days after the convention enters into force.
2. Precise locations shall be specified by means of site diagrams
of facilities. Each diagram shall clearly indicate the boundaries of
the facility, all structures of the facility, and significant geographical
relief features in the vicinitv of the facility. If the facility is
located within a larger complex, the diagram shall clearly specify the
exact location within the complex. On each diagram, the geographic coordinates
of the center of the facility shall be specified to the nearest second.
VII. Entry into Force
This Memorandum of Understanding shall enter into force upon signature.
IN WITNESS WHEREOF the undersigned, being duly authorized by their respective
Governments, have signed this Memorandum of Understanding.
DONE at Jackson Hole, Wyoming, in duplicate this 23rd day of September,
1989, in the English and Russian languages, both texts being equally
authentic.
FOR THE GOVERNMENT OF THE UNION OF THE
SOVIET SOCIALIST REPUBLICS:
Eduard Shevardnadze
FOR THE GOVERNMENT OF THE UNITED STATES OF AMERICA:
James A. Baker III
Source: Chemical Weapons Convention Bulletin, Issue No. 6. November
1989.
CHEMICAL WEAPONS CONVENTION
UPDATE FOR INDUSTRY
September 1993
CHEMICAL WEAPONS CONVENTION UPDATE FOR INDUSTRY
An Information Paper Published by the
U.S. Arms Control and Disarmament Agency
No. 1, September 1993
US ARMS CONTROL AND DISARMAMENT AGENCY, WASHINGTON, D.C. 20451
OFFICE OF PUBLIC INFORMATION (202) 647-8677
EXECUTIVE SUMMARY
This information paper is the first of a series intended to inform corporate
executives and other interested parties about the impact on U.S. industry
of the Chemical Weapons Convention (CWC), which bans the development,
production, stockpiling, transfer, and use of chemical weapons.
Current Status
The CWC, which was opened for signature in January 1993, could enter
into force six months after 65 signatories have formally ratified it,
but no earlier than January 13, 1995. To date, 148 countries have signed
the treaty and 4 have ratified. The Clinton Administration plans to
submit the CWC to the U.S. Senate this fail for its consent to ratification,
which requires a two-thirds majority vote. Both the Senate and the House
will also need to pass, by simple majorities, domestic implementing
legislation to make the treaty provisions binding on U.S. citizens and
businesses. A U.S. National Authority to oversee the domestic implementation
of the treaty is also being organized.
Treaty-Controlled Chemicals
Chemicals subject to verification and trade restrictions under the CWC
have been placed on three "Schedules," based on the threat
they pose to the purpose and objectives of the treaty and the extent
of their commercial use. Verification measures are most stringent for
Schedule 1 chemicals (known chemical-warfare agents and final-stage
precursors with few if any commercial uses), less stringent for Schedule
2 chemicals (potential warfare agents and precursors used in moderate
quantities for commercial purposes), and least stringent for Schedule
3 chemicals (toxic chemicals and precursors used in large quantities
for commercial purposes).
Affected Facilities
Facilities that produce more than specified threshold quantities of
Schedule 1 and 3 chemicals, or that produce, process, or consume more
than threshold quantities of Schedule 2 chemicals, are required to file
initial dedarations and annual reports on their activities. These facilities
will also be subject to on-site inspections by international inspectors.
CWC reporting obligations also apply to other relevant chemical plants
that have the potential to produce scheduled chemicals but do not currently
do so. Such plants must file dedarations and annual reports if they
produce more than 200 metric tons per year of any "discrete organic
chemical" not listed in the Schedules, or 30 tons of any "PSF"
chemical, defined as an organic chemical containing phosphorus (P),
sulfur (S), or fluorine (F), which are often present in chemical-warfare
agents.
Inspection Requirements
International inspection teams will carry out routine on-site inspections
of declared faclities to verify the accuracy of the submitted data.
Depending on the nature of a given plant, it may receive up to two routine
inspections per year. Moreover, any facility-government-owned or private,
dedared or undedared-will be subject to a more intrusive "challenge"
inspection by an international inspection team at the request of another
State Party that suspects the facility's activities are violating the
treaty.
Confidential business information (CBI) unrelated to chemical weapons
will be safeguarded through a number of means, induding: (1) inspection
procedures outlined in the treaty; (2) the negotiation for certain types
of plants of "facility agreements" that spedfy inspector access,
(3) the right of facilities to "manage access" by shrouding
sensitive equipment and other means; and (4) spedal procedures for the
dassification and handling of CBI, to be established by the international
treaty organization.
TABLE OF CONTENTS
- Introduction
- Background
- Verification Challenges
- Treaty-Controlled Chemicals and Facilities
- Treaty Obligations on Industry
- Tunetable for CWC Implementation
- Implementing Organizations
- Role of the Chemical Industry
- Questions and Answers on Industry Compliance
Additional copies of this information paper are available from the Office
of Public Information, U.S. Arms Control and Disarmament Agency, Washington,
DC 20451, telephone (202) 647-8677.
CHEMICAL WEAPONS CONVENTION UPDATE FOR INDUSTRY
An Information Paper Published by the
U.S. Arms Control and Disarmament Agency
I. Introduction
This information paper is the first of a series intended to inform corporate
executives and other interested parties about the effects on U.S. industry
of the Chemical Weapons Convention (CWC), which prohibits the development,
production, stockpiling, transfer, and use of chemical weapons, as well
as assistance to others in developing or acquiring them. In January 1993,
the CWC was opened for signature at a ceremony in Paris, culminating two
decades of negotiations at the Conference on Disarmament, a multilateral
forum based in Geneva. The treaty is expected to enter into force in early
1995.
Verifying compliance with the Convention means that hundreds of commercial
chemical plants worldwide will be subject to on-site inspection, making
the CWC the first arms control agreement to have a major impact on private
industry. Since many affected firms are not yet fully cognizant of their
treaty obligations, the U.S. Government is undertaking a major outreach
and education effort to promote industry awareness, participation, and
compliance. This information paper is part of that effort.
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II. Background
Ever since toxic chemicals were introduced onto the bafflefield during
World War I, they have been considered a particularly indiscriminate
and abhorrent form of warfare. Although well-equipped troops can be
protected against chemical weapons with gas masks, protective garments,
and antidotes such as atropine, chemical-warfare (CW) agents can be
devastating when used against unprotected troops or civilians.
The first CW agents were "choking" gases such as chlorine
and phosgene, which damage the eyes and lungs, and "blood"
agents such as hydrogen cyanide, which poisons the oxygen-carrying capacity
of the blood and causes death by asphyxiation. These toxic gases were
followed by liquid "blister" agents such as sulfur mustard
and lewisite, which cause painful skin burns, blindness, and lung damage,
and also suppress the immune system, rendering victims susceptible to
severe infections. During World War I, chemical weapons killed nearly
100,000 soldiers and injured 1.2 million more.
The physical and psychological effects of gas warfare were so horrifying
that during the interwar period, countries negotiated the 1925 Geneva
Protocol banning the use of chemical weapons in war. Despite the ban
on use, however, the major powers continued to develop, produce, and
stockpile new poisonous agents, as these activities were not prohibited
by the Geneva Protocol. Indeed, the most deadly chemical weapons--"nerve"
agents such as tabun, sarin, soman, and VX--were developed before, during,
and after World War II. These chemicals kill by interfering with nerve
transmission; a pinhead-sized droplet of VX, absorbed through the skin,
is sufficient to cause convulsions, loss of muscular control, and death
by respiratory paralysis.
During the Cold War, the United States and the Soviet Union accumulated
vast quantifies of chemical weapons, raising the spectre of their large-scale
use in a central European conflict. This threat, combined with the growing
proliferation of chemical weapons in the developing world, prompted
the Conference on Disarmament to begin work in the early 1970s on a
treaty banning the development, production, stockpiling, transfer, and
use of incapacitating and lethal chemicals as a method of warfare. Although
the talks moved at a glacial pace for several years, the large-scale
use of chemical weapons during the Iran-Iraq War in the 1980s generated
renewed political impetus for a global ban.
By early 1992, the negotiators in Geneva realized that they had a limited
window of opportunity to bring the treaty to completion before international
interest and political will were lost. After a final push to resolve
the most contentious issues (such as procedures for challenge inspections),
the negotiations were concluded successfully in September 1992, and
the treaty was opened for signature in mid-January 1993.
The CWC is a true disarmament treaty. All States Parties are required
to destroy their existing stockpiles of chemical weapons (if any) within
10 years of the treaty's entry into force, with a possible extension
of up to 5 years in exceptional cases. The CWC also regulates the production,
processing, and consumption of chemicals that are themselves chemical-warfare
agents or can be converted into or used to produce CW agents. Most of
the latter chemicals are "dual-use," meaning that they also
have legitimate commercial applications. The CWC is "nondiscriminatory,"
meaning that all States Parties, whether or not they possess chemical
weapons, are subject to the same reporting and inspection obligations.
While universal adherence to the CWC and the complete abolition of chemical
weapons will not be achieved immediately, the treaty will put in place
an international legal framework that outlaws both the possession and
use of chemical weapons. The CWC also contains incentives for countries
to join the regime. First, it restricts the export of certain treaty-controlled
chemicals to non-Parties. Second, the CWC encourages assistance to States
Parties that are victims of the use or threatened use of chemical weapons.
Return to Top
III. Verification Challenges
Verifying that all parties to the CWC are in compliance with its provisions
will be essential to maintaining confidence in the treaty regime. To
this end, the CWC calls for the routine monitoring of all dedared "dual-use"
industrial-chemicals and production facilities, while seeking to mmm'uze
the resulting burdens on legitimate commercial activities.
There are three major challenges facing CWC verification. First, nearly
all the chemicals used to make CW agents have legitimate commercial
uses in the manufacture of products such as pestiddes, pharmaceuticals,
plastics, inks, and paints. For example, although thiodiglycol can be
converted to mustard gas in a single reaction step, it is also used
in photographic developing solutions, electroplating, printing, and
as a solvent to keep the ink in ballpoint pens flowing. Similarly, phosgene
and hydrogen cyanide, which were employed as chemical weapons in World
War I, are consumed in the millions of tons each year for industrial
purposes.
A second verification challenge is that chemical weapons can be made
with commercial equipment generally available to any country.
A third verification challenge is that a chemical-weapons production
fadlity is generally indistinguishable in external appearance from an
ordinary chemical plant.
For all these reasons, the verification provisions of the CWC call for
intrusive on-site inspections of government-owned and private facilities
that work with treaty-controlled chemicals. Indeed, the ability to inspect
any one of thousands of chemical plants worldwide will be essential
to have any chance of detecting--and thus deterring--violations of the
CWC.
Negotiators labored for years to craft a verification regime that is
stringent enough to deter violations and build confidence in the Convention,
without imposing undue burdens on legitimate industry or jeopardizing
national-security and trade secrets unrelated to the treaty regime.
A balance between these objectives was crafted with the aid of representatives
of the world chemical industry.
Return to Top
IV. Treaty-Controlled Chemicals and Facilities
The CWC's Annex on Chemicals lists treaty-controlled chemicals on three
"Schedules" according to the threat they pose to the objectives
and purpose of the Convention. In making this assessment, the following
factors have been taken into account:. (1) the toxicity and physical
properties that make a chemical agent suitable for military use; (2)
the extent to which a chemical has been developed or used for military
purposes in the past; and (3) its volume of production for legitimate
industrial or commercial applications. Each Seheduie is associated with
a distinct set of verification measures, with those for Schedule 1 the
most stringent and those for Schedule 3 the least.
Schedule 1 covers known CW agents and the final-stage precursors, some
of which are used in "binary" chemical weapons in which two
final ingredients of nerve agents are mixed together either immediately
before use or automatically while the munition is in flight to the target.
Only a few U.S. companies currently make Schedule 1 chemicals for commercial
purposes, such as pharmaceutical firms that produce nitrogen mustards
or ricin immunotoxins for cancer chemotherapy. There is an aggregate
yearly limit of 1 metric ton on the production of these chemicals by
a State Party for defensive or peaceful purposes, with subthresholds
within this aggregate limit. Maximum yearly production for medical,
pharmaceutical, or research purposes is limited to 10 kilograms per
facility. Facilities that produce more than 100 grams per year must
file declarations and annual reports and are subject to routine on-site
inspection.
Schedule 2 covers toxic chemicals that might be employed as CW agents,
as well as certain precursor chemicals (e.g., thiodiglycol) used commerdally
in limited quantities. Schedule 2 facilities must file initial declarations
and annual reports if they produce, process, or consume more than the
threshold quantities of these chemicals--1 kg, 100 kg, or 1 metric ton
annually, depending on subclass. Such facilities are also subject to
routine inspection if they produce, process, or consume more than 10
kg, 1 metric ton, or 10 metric tons of Schedule 2 chemicals, depending
on subclass.
Schedule 3 covers toxic chemicals and precursors that are used industrially
in large quantities. Facilities that produce more than 30 metric tons
per year of these chemicals must ffie dedarations and annual reports;
those that produce more than 200 metric tons per year are subject to
routine inspection.
The CWC also covers other relevant chemical production facilities that
do not now produce scheduled chemicals but could potentially be used
for this purpose. Facilities induded in this category are chemical plants
that produce more than 200 metric tons of any "discrete organic
chemical," or more than 30 metric tons of any "PSF" chemical,
defined as an organic compound containing phosphorus (P), sulfur (S),
or fluorine (F), which are often present in CW agents. Only those facilities
that produce pure hydrocarbons or explosives are exempted from the dedaration
requirement.
Return to Top
V. Treaty Obligations on Industry
After the CWC enters into force, each State Party must submit to the
international treaty organization within 30 days an initial declaration
detailing its industrial production, processing, and consumption of
treaty-controlled chemicals over the previous three years. To allow
sufficient time for the U.S. Government to compile this dedaration,
industry may be required to submit such data to the Government some
months in advance of the treaty's entry into force.
It is also expected that affected companies will have to file two annual
reports updating their initial declarations. A prospective report giving
estimates of anticipated production and use of treaty-controlled chemicals
over the coming year will be due 60 days before the end of each calendar
year, and a retrospective report on the past year's activities will
be due 90 days after the end of each calendar year.
International teams of inspectors may perform up to two on-site inspections
per year of any declared facility to verify the accuracy of the submitted
data. Routine inspections of commercial chemical plants are designed
to detect--and thereby deter--activities that violate the letter and
spirit of the Convention. To this end, routine inspections will attempt
to verify that the plant is not being diverted for the manufacture of
Schedule 1 agents (either on-site or off-site) and that the quantities
of treaty-controlled "dual-use" chemicals being produced,
processed, or consumed are consistent with the dedarations.
During the first three years after the CWC enters into force, commercial
facilities that produce, process, or consume Schedule 2 chemicals may
expect an initial inspection, which will determine the subsequent frequency
of routine inspections. The timing of the initial inspections will depend
on an assessment of the potential threat posed by each Schedule 2 facility
to the objectives and purpose of the Convention. At the time of the
initial inspection, U.S. officials and the CWC inspection tearn--with
the involvement of managers from the inspected plant--will negotiate
a facility agreement. This document will specify which parts of the
site are subject to murine inspection, where samples can be taken, and
so forth. Negotiation of a facility agreement is mandatory for all Schedule
2 facilities unless the State Party and the inspection team agree to
waive it as unnecessary.
Schedule 3 facilities are also subject to routine inspections after
entry into force. An initial inspection and negotiation of a facility
agreement are not required for Schedule 3 sites, although they may be
arranged on a voluntary basis.
Whereas facilities that produce Schedule 1 chemicals may be subject
to an unlimited number of inspections, Schedule 2 or 3 facilities may
each receive at most two on-site inspections per year. There is also
a yearly maximum of 20 inspections per country of Schedule 3 and other
relevant production facilities combined. The maximum duration of a routine
inspection is variable for a Schedule 1 facility depending on risk,
96 hours for a Schedule 2 facility, and 24 hours for a Schedule 3 or
other relevant facility.
In addition to routine inspections, a State Party can request a challenge
inspection at any government-owned or private facility, declared or
undeclared, that is suspected of activities prohibited by the CWC. The
Geneva negotiators hammered out a set of procedures for challenge inspections
that balances the intrusiveness required to resolve CWC compliance concerns
against the need to safeguard legitimate national-security and trade
secrets unrelated to chemical weapons.
Challenge inspections will be carried out according to a complex timetable.
The State Party to be inspected receives 12 hours notice before the
inspection team arrives at a point of entry (POE) such as an international
airport. For challenge inspections of undeclared sites, the inspection
team must be transported to the site perimeter within 36 hours after
their arrival at the POE. Negotiations between the inspection team and
the host country over the intrusiveness of the inspection may then continue
for a maximum of 72 hours. Access inside the site perimeter must be
granted within 120 hours (5 days) after a challenge is announced. The
duration of a challenge inspection may not exceed 84 hours, unless extended
by mutual agreement of the inspection team and the host country.
For challenge inspections of declared sites (e.g., declared industry),
the timeline is considerably shorter. The inspection team must be transported
to the site perimeter no later than 24 hours after their arrival at
the POE. Once at the site, they must then be given access after the
facility briefing, which is limited to 3 hours.
Because of the political cost of requesting a challenge inspection,
which is tantamount to accusing another country of noncompliance, requests
by the U.S. Government will be made only if there is strong evidence
of a treaty violation at a particular site.
Return to Top
VI. Timetable for CWC Implementation
US. Ratification. The Administration plans to submit the CWC to the
U.S. Senate this fall for its advice and consent to ratification, which
requires a two-thirds majority vote. Passage of domestic implementing
legislation is also necessary to make the provisions of the CWC binding
on American citizens and businesses, to impose penalties for violations,
and to ensure that treaty implementation respects Constitutional rights
such as protection from "unreasonable searches and soilares."
A draft of the implementing legislation will be submitted to the Congress
and must be approved by a simple majority of both the Senate and the
House.
Entry into Force. Entry into force of the CWC can occur 180 days after
the 65th country ratifies the Convention and deposits its ratification
with the United Nations, but no sooner than 2 years after the treaty
was opened for signature, to allow time for the States Parties and industry
to prepare for implementation. To date, 148 countries have signed the
treaty and 4 have ratified. Most signatory countries are working on
the assumption that the CWC will enter into force on the earliest possible
date, which would be mid-January 1995.
Initial Declaration. The United States must submit its initial dedaration
to the international treaty organization not later than 30 days after
the treaty enters into force. In order to meet this deadline, the U.S.
Government will need sufficient time to compile the individual industry
dedarations into a national declaration. For this reason, the filing
deadline for industry may be some months in advance of the national
deadline; it will be specified in regulations adopted pursuant to the
U.S. domestic implementing legislation.
Inspections. During the first three years after entry into force, initial
and routine inspections of Schedule 2 and 3 facilities will be carried
out. Inspections of "other" relevant chemical facilities may
also begin after four years. At any time after entry into force, however,
more intrusive "challenge" inspection may be requested by
a State Party against any facility or location, public or private, suspected
of violating the CWC.
Return to Top
VII. Implementing Organizations
Compliance with the CWC will be monitored by a new international agency
called the Organization for the Prohibition of Chemical Weapons (OPCW),
based in The Hague, Netherlands. The OPCW will consist of three entities:
The Conference of the States Parties, made up of countries that have
joined the treaty regime, will be the major decision-making body.
The Executive Council has 41 rotating members selected from various
geographical areas, taking account of the size of each country's chemical
industry. The Council will oversee the day-to-day operation of the organization.
The Technical Secretariat, staffed with international dvil servants
drawn from States Parties, will monitor compliance with the treaty.
Its duties will include the analysis of declarations and annual reports
submitted by States Parties and the conduct of on-site inspections.
Detailed procedures for the implementation of the CWC are being worked
out during the two-year period before the treaty enters into force by
a Preparatory Commission (PrepCom) currently meeting in The Hague. The
PrepCom is addressing a wide range of detailed issues involved in CWC
implementation, such as the equipment and procedures for on-site inspections,
and is also building the organizational structure of the future OPCW.
All countries that are initial signatories to the CWC are entitled to
participate in the work of the PrepCom, although only about 20 countries
have so far been actively involved.
Much of the actual negotiating and drafting of irnplementation policy
papers is done by Experts Groups, which report to Working Groups with
a broader mandate. Policy papers prepared by the Experts Groups and
approved by the Working Groups are then considered and ratified by official
state representatives at week-long Plenary sessions, which are convened
every 2-3 months. The fourth Plenary Session is scheduled for September
27 to October 1, 1993, and the fifth on December 13-17.
The predecessor of the future OPCW Technical Secretariat, known as the
Provisional Technical Secretariat (PTS), has already been established
in The Hague to support the PrepCom and to manage the transition to
the functioning international organization. Executive Secretary of the
PTS is lan Kenyon, a British diplomat with a background in the chemical
industry, who oversees a staff of about 60 international civil servants.
When the CWC enters into force six months after the 65th ratification,
the PTS will be replaced by the Technical Secretariat. During the transition
period, the size of the international staff will expand rapidly as hundreds
of inspectors are hired.
The CWC requires that each State Party establish a National Authority
through domestic implementing legislation. The U.S. National Authority
is currently being organized. It will ensure that all treaty-mandated
declarations and inspections are carried out and provide policy guidance
during OPCW inspections of U.S. facilities. In addition, an Office of
the National Authority (ONA) will be established to compile required
dedarations and reports, liaise with the OPCW, and provide administrative
support for implementation activities by U.S. Government departments
and agencies.
Return to Top
VIII. Role of the Chemical Industry
The Chemical Manufacturers Association (CMA), a leading U.S. chemical
industry trade association, endorsed the CWC negotiations for nearly
14 years while seeking to shape the treaty regime so as to minimize
its adverse effects on industry. The Association's executives reasoned
that because of the public's abhorrence of chemical weapons, it was
in the chemical industry's own interest to support their elimination.
In 1986, the CMA established a Chemical Weapons Work Group that has
since convened on a regular basis and exchanged views with U.S. Government
offidals. During the CWC negotiations, the CMA joined other chemical
trade associations from Western Europe, Canada, Australia, and Japan
in an international industry forum that met occasionally with the negotiators
in Geneva. Many of this group's recommendations are reflected in the
final treaty text, most notably in the sections on routine and challenge
inspections and in the annex covering the protection of confidential
business information (CBI).
Until recently, other U.S. chemical trade associations were less active
in monitoring the CWC negotiations and largely relied on the CMA to
look out for their interests. As the Convention approaches the date
of entry into force, however, additional sectors of the industry are
becoming concerned about how the treaty will affect them. Other interested
trade associations include the National Agricultural Chemicals Association
(NACA), the Pharmaceutical Manufacturers Association (PMA), the Synthetic
Organic Chemical Manufacturers Association (SOCMA), and groups representing
downstream processors and consumers of treaty-controlled chemicals.
The PrepCom work of greatest interest for the U.S. chemical industry
takes place in three Experts Groups, those on Industrial Facilities,
Equipment, and Challenge Inspections. These groups meet periodically
to develop dedaration formats, guidelines for inspection procedures,
criteria for determining the number and duration of inspections, and
types of inspection equipment.
Return to Top
IX. Questions and Answers on Industry Compliance
Q. Why are we hearing about the CWC now if it will not enter into force
until 1995?
A. Government planners considered it prudent to inform U.S. industry
of its treaty obligations soon after the CWC was signed and its requirements
became more certain, for a number of reasons. First, it will take considerable
time to identify and contact the large number of U.S. companies with
reporting and/or inspection obligations under the treaty. Second, discussions
on detailed treaty procedures will be conducted at the PrepCom for the
next year and a half, and the U.S. Government continues to welcome industry
views. The government may also request the voluntary participation of
companies to help develop and test declaration forms for data collection
and to host National Trial Inspections. Finally, companies affected
by the treaty should use the
period before entry into force to plan for possible inspections and
to collect the data necessary to meet CWC dedaration requirements.
Q. What happens if I do not make the required declarations?
A. The CWC requires States Parties to implement domestic legislation
purushing individuals and businesses that fail to comply with the treaty.
Such penalties--administrative, civil, criminal, or some combination
thereof--will be spelled out in the implementing legislation and subsequent
regulations.
Q. What happens if I refuse to allow CWC inspectors into my plant?
A. Denying inspectors entry to a commercial facility would breach the
obligations of the United States as a party to the CWC, putting it in
a position of non-compliance. For this reason, the U.S. Government encourages
industry's cooperation with treaty inspections. The implementing legislation
and subsequent regulations will establish procedures for securing admittance
to a plant. CWC routine inspections, particularly the initial ones,
are likely to be of media interest, and refusal to admit inspectors
would generate adverse publicity.
Q: How can industry safeguard confidential business information (CBI)
during CWC
inspections?
A: The CWC includes provisions that enable industry to protect CBI unrelated
to chemical weapons. First, the treaty limits the aims of an inspection
to verifying treaty compliance and allows inspected fadlities to control
access for reasons of safety, security, or confidentiality. To this
end, companies can negotiate a facility agreement specifying in advance
the areas of a facility subject to inspection, the plant records that
may be reviewed, points where samples can be taken, and so forth. Second,
companies can "manage access" during challenge inspections
through such measures as shrouding or covering control panels and other
sensitive equipment. Finally, information identified as CBI to the OPCW
Technical Secretariat will be subject to strict dassification and handling
procedures.
Q. What support is the inspected facility obligated to give to the inspection
team?
A. The inspected facility is expected to provide a plant briefing for
the inspection team and to facilitate the inspection. The U.S. Government
must also provide or arrange for means of communications, interpreters,
transportation, working space, lodging, meals, and medical care, and
the inspected site may be asked to provide some of these services.
Q. What will the U.S. Government do to assist private industry in meeting
CWC obligations?
A. The Federal Government is engaged in various outreach activities
to educate industry about its CWC obligations, induding seminars and
publications. In the spring of 1994, the U.S. Arms Control & Disarmament
Agency (ACDA) plans to hold a second set of CWC seminars for industry
in cities around the country. The government will also provide guidelines
on reporting and how to prepare for and comply with on-site inspections.
Other assistance may be specified in the implementing legislation.
Q. Who will pay the costs associated with preparing declarations and
hosting inspections at private industrial sites?
A. Such costs are assumed to be the responsibility of the private firms
involved.
Q. What remedies are available to compensate industry for the loss or
compromise of
confidential business information (CBI)?
A. Remedies will depend on the nature of the situation. The U.S. Government
may assume liability if it is determined that the loss was a direct
result of the government's action in opening the facility for inspection.
Alternatively, the Director-General of the OPCW is authorized to establish
a commission to investigate international breaches of confidentiality
on a case-by-case basis.
Return to Top
SCHEDULES OF CHEMICALS
The following Schedules list toxic chemicals and their precursors. For
the purpose of implementing the CWC, these Schedules identify chemicals
for the application of verification measures according to the provisions
of the Verification Annex. Pursuant to Artide II, subparagraph 1 (a),
these Schedules do not constitute a definition of chemical weapons.
(Whenever reference is made to groups of dialkylated chemicals, followed
by a list of alkyl groups in parentheses, all chemicals possible by
all possible combinations of alkyl groups listed in the parentheses
are considered as listed in the respective Schedule as long as they
are not explicitly exempted. A chemical marked "*" on Schedule
2, part A, is subject to special thresholds for declaration and verification,
as specified in Part Vll of the Verification Annex.)
Schedule 1 (CAS Registry Number)
A. Toxic chemicals:
(1) O-Alkyl (<= C 10 incl. cycloalkyl) alkyl
(Me, Et, n-Pr or i-Pr ) -phosphonofluoridates
e.g. Sarin: O-Isopropyl methylphosphono- (107-44-8)
fluoridate
Soman: O-Pinacolyl methylphosphono- (96-64-0)
fluoridate
(2) O-Alkyl (<=C10, incl. cycloalkyl) N,N-dialkyl
(Me, Et, n-Pr or i-Pr) phosphorarnidocyanidates
e.g. Tabun: O-Ethyl N,N-dimethyl (77-81-6)
phosphoramidocyanidate
(3) O-Alkyl (H or <=C10, incl. cycloalkyl) S-2-dialkyl
(Me, Et, n-Pr or i-Pr)-aminoethyl alkyl
(Me, Et, n-Pr or i-Pr) phosphonothiolates and
corresponding alkylated or protonated salts
e.g. VX: O-Ethyl S-2-diisopropylaminoethyl (50782-69-9)
methyl phosphonothiolate
(4) Sulfur mustards:
2-Chloroethylchloromethylsulfide (2625-76-5)
Mustard gas: Bis (2-chloroethyl) sulfide (505-60-2)
Bis (2-chloroethylthio) methane (63869-13-6)
Sesquimustard: 1,2-Bis (2-chloroethylthio) ethane (3563-36-8)
1,3-Bis (2-chloroethylthio)-n-propane (63905-10-2)
1,4-Bis(2-chloroethylthio)-n-butane (142868-93-7)
l,S-Bis(2-chloroethylthio)-n-pentane (142868-94-8)
Bis (2-chloroethylthiomethyl) ether (63918-90-1)
O-Mustard: Bis (2-chloroethylthioethyl) ether (63918-89-8)
(5) Lewisites:
Lewisite 1: 2-Chlorovinyldichloroarsine (541-25-3)
Lewisite 2: Bis (2-ch1orovinyl) chloroarsine (40334-69-8)
Lewisite 3: Tris (2-chlorovinyl) arsine (40334-70-1)
(6) Nitrogen mustards:
HNl: Bis (2-chloroethyl) ethylamine (538-07-8)
HN2: Bis (2-chloroethyl) methylamine (51-75-2)
HN3: Tris (2-chloroethyl) amine (555-77-1)
(7) Saxitoxin (35523-89-8)
(8) Ricin (9009-86-3)
B. Precursors:
(9) Alkyl (Me, Et, n-Pr or i-Pr) phosphonyldffluorides
e.g. DF: Methylphosphonyldifluoride (676-99-3)
(10) O-Alkyl (H or <=10, incl. cyclalkyl) O-2-dialkyl
(Me, Et, n-Pr or i-Pr)-aminoethyl alkyl
(Me, Et, N-Pr or i-Pr) phosphonites
and corresponding alkylated or protonated salts
e.g. QL: O-Ethyl O-2-diisopropylammoethyl methylphosphonite (57856-11-8)
(11) Chlorosarin: O-Isopropyl methylphosphono-
chloridate (1445-76-7)
(12) Chlorosoman: O-Pinacolyl methylphosphono-
chloridate (7040-57-5)
Schedule 2
A. Toxic chemicals:
(1) Amiton: O,O-Diethyl S-[2-(diethylamino) ethyl]
phosphorothiolate and corresponding alkylated
or protonated salts (78-53-5)
(2) PFIB: 1,1,3,3,3-Pentafluoro-2-(trifluoromethyl)-
l-propene (382-21-8)
(3) BZ: 3-Quinudidinyl benzilate (*) (6581-06-2)
B. Precursors:
(4) Chemicals, except for those listed in Schedule 1,
containing a phosphorus atom to which is bonded one
methyl, ethyl or propyl (normal or iso) group but not
further carbon atoms
e.g. Methylphosphonyl dichloride (676-97-1)
Dimethyl methylphosphonate (756-79-6)
Exemption: Fonofos: O-Ethyl S-phenyl
ethylphosphonothiolothionate (944-22-9)
(5) N,N-Dialkyl (Me, Et, n-Pr or i-Pr) phosphoramidic
dihalides
(6) Dialkyl (Me, F-t, n-Pr or i-Pr) N,N-dialkyl
(Me, Et, n-Pr or i-Pr)-phosphoramidates
(7) Arsenic trichloride (7784-34-1)
(8) 2,2-Diphenyl-2-hydroxyacetic acid (76-93-7)
(9) Quinudidine-3-ol (1619-34-7)
(10) N,N-Dialkyl (Me, Et, n-Pr or i-Pr) aminoethyl-2-
chlorides and corresponding protonated salts
(11) N,N-Dialkyl (Me, Et, n-Pr or i-Pr) aminoethane-2-ols
and corresponding protonated salts
Exemptions: N,N-Dimethylaminoethanol (108-01-0)
and corresponding protonated salts
N,N-Diethylaminoethanol and corresponding (100-37-8)
protonated salts
(12) N,N-Dialkyl (Me, Et, n-Pr or i-Pr) aminoethane-
2-thiols and corresponding protonated salts
(13) Thiodiglycol: Bis (2-hydroxethyl) sulfide (111-48-8)
(14) Pinacolyl alcohol: 3,3-Dimethylbutane-2-ol (464-07-3)
Schedule
A. Toxic chemicals:
(1) Phosgene: Carbonyl dichloride (75-44-5)
(2) Cyanogen chloride (506-77-4)
(3) Hydrogen cyanide (74-90-8)
(4) Chloropicrin: Trichloronitromethane (76-06-2)
B. Precursors:
(5) Phosphorus oxychloride (10025-87-3)
(6) Phosphorus trichloride (7719-12-2)
(7) Phosphorus pentachloride (10026-13-8)
(8) Trimethyl phosphite (121-45-9)
(9) Triethyl phosphite (122-52-1)
(10) Dimethyl phosphite (868-85-9)
(11) Diethyl phosphite (762-04-9)
(12) Sulfur monochloride (10025-67-9)
(13) Sulfur dichloride (10545-99-0)
(14) Thionyl chloride (7719-09-7)
(15) Ethyldiethanolamine (139-87-7)
(16) Methyldiethanolamine (105-59-9)
(17) Triethanolamine 9102-71-6)
CHEMICAL WEAPONS CONVENTION
UPDATE FOR INDUSTRY
November 1993
CHEMICAL WEAPONS CONVENTION UPDATE FOR INDUSTRY
An Information Paper Published by the
U.S. Arms Control and Disarmament Agency
No. 2, November 1993
This information paper, the second in a series on the relationship between
the Chemical Weapons Convention (CWC) and U.S. industry, discusses the
lessons learned to date from National Trial Inspections (NTIs) performed
at commercial facilities to test and evaluate the verification provisions
of the treaty.
The CWC requires on-site inspections of chemical plants that produce--and
in some cases, process or consume--more than specified quantities of
chemicals listed in an annex to the treaty. Such inspections may illdude
visual examination of plant equipment, auditing of production records,
and chemical sampling and analysis. NTIs of commercial facilities have
clarified issues relating to the verification regime, and have been
invaluable learning experiences for both government and industry participants.
This paper describes some important lessons learned from past NTIs.
It also suggests how companies can use NTl-like exercises to prepare
for real inspections and to develop procedures for safeguarding trade
secrets and other confidential business information unrelated to the
CWC.
How Industry Can Participate
Additional NTIs will be particularly valuable during the period immediately
preceding the treaty's entry into force. Officials of the U.S. Arms
Control and Disarmament Agency (ACDA) are prepared to meet with industry
representatives to sketch out the planning process involved in conducting
NTIs and mock inspections, exercises narrower in scope than NTIs.
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TABLE OF CONTENTS
- Introduction
- Benefits of National Trial Inspections
- Auditing of Plant Records
- Sampling and Analysis
- Safeguarding Confidential Business Information
- Managed-Access Techniques
- Costs of Trial Inspections
- Need for Additional NTIs
- For More Information
For additional copies of this information paper, please contact the Office
of Public Infontiation, U.S. Arms Control and Disarmament Agency, Washington,
DC 20451, tel. (202) 647-8677.
I. Introduction
Because civilian industry produces chemicals for legitimate commerdal
purposes that could also be utilized to make chemical weapons, the CWC
requires companies that produce--and in some cases, process or consume-such
"dual-use" chemicals to declare their activities and to host
routine on-site inspections. Beyond checking the accuracy of national
declarations, routine inspections will serve to deter the use of commercial
facilities for the dandestine production of chemical weapons and to reassure
States Parties that other partidpating countries are complying with the
treaty. Commercial industry facilities may also be subject to more intrusive
"challenge" inspections, which can be requested to supplement
routine inspections if there is suspicion of noncompliance.
Chemicals whose production or use are regulated under the CWC are listed
on three "schedules" in an annex to the treaty. Commercial plants
are subject to routine inspection if they produce more than 100 grams
per year of CW agents and immediate precursors listed on Schedule 1; produce,
process, or consume more than specified quantities of small-volume toxic
chemicals and precursors listed on Schedule 2; or produce more than 200
metric tons per year of large-volume toxic chemicals and precursors listed
on Schedule 3. "Other chemical production facilities" must also
be dedared if their annual production exceeds 200 metric tons of any discrete
organic chemical or 30 metric tons of any chemical containing phosphorus,
sulfur, or fluorine (except for pure hydrocarbons or explosives); such
fadlities may be subject to inspection four years after the CWC enters
into force. (See Chemical Weapons Convention Update for Industry, No.
1, September 1993.)
On-site inspections of chemical plants may include visual examination
of plant equipment, auditing of production records, and chemical sampling
and analysis. National Trial Inspections [NTIs) performed at commercial
fadlities in cooperation with government officials have darified issues
related to the CWC verification regime, and have also helped partidpating
companies to prepare effectively for treaty implementation.
NTIs are exercises designed to test and evaluate inspection procedures;
they involve extensive planning and partidpation by representatives of
several U.S. Government agendes. "Mock inspections" have a similar
purpose but are narrower in scope than NTIs and may be carried out by
a single government agency. Mock inspections are most useful in the early
stages of preparing for inspections, especially when the participants
are unfamiliar with the treaty provisions.
During the CWC negotiations in Geneva, participating countries carried
out more than 200 trial inspections of both government-owned and commercial
sites. The United States, for its part, has conducted more than 20 mock
inspections and seven NTIs. Four of the NTIs were performed at commerdal
industry facilities. Before the CWC's anticipated entry into force in
early 1995, there will be a need for additional trial inspections to validate
notification and inspection procedures, declaration formats, and other
implementation details being worked out by the CWC Preparatory Commission
(PrepCom) meeting in The Hague, the Netherlands.
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II. Benefits of Trial Inspections
Trial inspections can run the gamut from simple table-top simulations
to full-scale exercises. Although their primary purpose is to test and
evaluate the relevant verification provisions of the CWC, they also
provide practical training for CWC inspectors and the personnel of the
inspected plant. In general, the greater the realism of the trial inspection
and the less the amount of simulation, the more can be learned from
the experience.
Trial inspections have been particularly valuable in revealing practical
problems of CWC implementation that could not have been predicted from
paper studies alone. During the treaty negotiations in Geneva, which
lasted from 1984 to 1992, the results of NTIs performed by participating
states prompted the revision of several aspects of the CWC verification
regime. For example, trial inspections:
revealed the limitations of using materials-balance calculations to
detect the diversion of scheduled chemicals to prohibited activities,
resulting in a shift to a more qualitative approach to verification;
proved the utility of an initial (baseline) visit to a commercial plant
and the negotiation of a facility agreement for limiting the intrusiveness
of routine inspections and protecting the legitimate interests of the
inspected facility;
tested various approaches to sampling and analysis, while revealing
the limitations of this approach;
demonstrated the need to go beyond the inspection of Schedule 2 and
3 facilities to indude "other relevant" facilities that might
be capable of producing significant quantities of scheduled chemicals;
indicated that certain inspection techniques could demonstrate CWC compliance
without compromising confidential business information (CBI) unrelated
to the treaty; and
clarified the logistical requirements of CWC inspections, such as transportation
and communications, and provided rough estimates of their direct and
indirect costs.
NTIs and mock inspections performed to date have shed the most light
on three aspects of CWC verification: auditing plant records, chemical
sampling and analysis, and safeguarding CBI. These three topics are
discussed in detail below.
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III. Auditing of Plant Records
NTIs have suggested that auditing production records to detect the diversion
of scheduled chemicals through "mass-balance" calculations--i.e.,
by comparing input quantities of feedstock materials against output
quantities of finished products and wastes--is not the most efficient
use of inspection time. Because many plants produce large volumes of
scheduled chemicals, the diversion of small but significant percentages
of such chemicals could probably be hidden within the error range of
mass-balance calculations.
A better way to assess the validity of production records is to check
them for internal consistency. This test involves matching up the dates
and content of records dealing with the same batch of chemicals but
located in different parts of a large plant site. For example, drums
of feedstock logged out of a warehouse must have been logged into the
production plant on the same day; similarly, the final product must
have been logged out of the production plant and into another warehouse
for delivery to the customer. Because of these intermeshing records,
it would be extremely difficult for a company engaged in illicit CW-agent
production to prepare a false set of books that would be internally
consistent for the scale of operations at a large chemical manufacturing
facility.
Cross-checking production records over short time intervals selected
at random by the inspection team would make it possible to authenticate
records quickly, while limiting the risk of disclosure of CBI. Indeed,
a trial inspection of a commercial chemical plant in England showed
that, given a basic knowledge of the raw materials used to make the
chemicals being audited, inspectors could verify the internal consistency
of the plant records for a randomly selected month, week, and batch
number. The discovery of obvious discrepancies among interrelated records
would raise suspicions about compliance and cause the inspection team
to become more intrusive.
NTIs have also suggested that as a further means of protecting CBI during
record audits, companies should segregate the information needed for
routine verification of records (e.g., dates of delivery of scheduled
chemicals, quantities shipped, and shipping dates) from sensitive commercial
information (e.g., names of suppliers and customers, prices, and chemical
process technologies).
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IV. Sampling and Analysis
Trial inspections have also been useful for testing procedures and equipment
for on-site chemical sampling and analysis, and suggesting the time
and effort required. There are four possible types of sampling: (1)
of feedstocks; (2) of finished products, to detect the presence of scheduled
chemicals, both dedared and undeclared; (3) of wastes, to detect the
presence of scheduled chemicals or their degradation products; and (4)
of the plant environment (including air, surfaces, or soil) to look
for telltale indicators of the illict production of Schedule 1 chemicals.
NTIs conducted by France, Germany, Sweden, Japan, and other countries
have yielded the following lessons about chemical sampling and analysis:
Sampling can be time-consuming and requires at least a three-man team
to conduct effectively. Furthermore, industrial safety procedures for
sampling hazardous materials are stringent and require proper certification
of analytical equipment and use of trained site personnel.
Modern chemical plants have long, complex pipe runs that do not easily
permit sampling at multiple points. In one NTI, the inspection team
used a process flowchart to identify the optimal sampling locations
needed to verify that the production process was as declared and that
no scheduled chemicals were present.
During the initial visit to a facility, locations can be identified
where CWC inspectors expect that frequent sampling will be necessary.
If such points are not readily accessible, companies might consider
equipping them with suitable sample-taking devices.
Samples should, as a rule, be analyzed within the boundaries of the
inspected facility; off-site analysis is warranted only if suitable
equipment and reference samples are not available on-site. Procedures
for the transport of samples to an off-site certified laboratory must
maintain the integrity of the samples taken, ensure transportation safety,
and preserve an unbroken chain of custody during storage, transport,
and analysis.
A non-accusatory darification procedure should be developed for cases
when the results of a chemical analysis are suggestive of a treaty violation.
Chemical sampling is generally complementary to the inspection of equipment
and the auditing of plant records as a means of verifying industry compliance
with the CWC, but it has certain limitations. First, it can only reveal
the presence or absence of scheduled chemicals at a given facility and
is not an effective tool for verifying the quantities of scheduled chemicals
produced, processed, or consumed there.
A second limitation of chemical sampling is that although ultra-sensitive
analytical techniques can detect trace levels of scheduled chemicals,
such minute quantities may be misleading if they result inadvertently
from the reaction of chemicals present in the plant environment (e.g.,
the chance reaction of thiodiglycol with hydrochloric acid to yield
sulfur mustard, a Schedule 1 chemical). This problem of "false
positives" must be taken into account when using chemical sampling
and analysis to assess industry compliance.
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V. Safeguarding Confidential Business Information
(CBI)
During initial murine inspections of chemical plants, companies can
safeguard CBI by helping to negotiate a "facility agreement"
containing guidelines for all future routine inspections at that site.
Plant officials do not have to grant the inspection team access to commercially
sensitive areas or to data that do not contribute directly to the verification
of CWC compliance. Categories of information falling outside the scope
of the inspection regime include technical details of the production
process (e.g., temperature, pressure, catalysts, etc.) and marketing
information.
Another strategy for safeguarding CBI is for the inspected facility
to store sensitive documents that the inspection team must consult repeatedly
(e.g., photographs, process flow charts, or notebooks) in a safe located
at the facility. After each routine inspection, the host facility may
specify which documents used by the inspection team must be left inside
the locked container.
In a further attempt to limit the intrusiveness of CWC inspections,
a Japanese NTI tested the concept of dividing an inspection into three
phases and evaluating the results at the end of each phase. If no-anomalies
had emerged by the end of the first or second phase, the inspection
was terminated early. This approach could significantly reduce the burden
of inspections on commercial facilities.
Several NTIs have examined approaches to chemical sampling and analysis
that yield sufficient information to demonstrate treaty compliance while
allowing industry to protect the confidentiality of proprietary chemicals
and reaction mechanisms. Such approaches include:
verifying the non-production of Schedule 1 chemicals by sampling feedstocks
and finished products but not intermediate mixtures, which may contain
proprietary catalysts;
employing "blinded" analytical instruments that indicate the
presence or absence of scheduled chemicals but provide minimal information
on chemicals not relevant to the CWC; and
allowing personnel from the inspected facility to analyze the samples
on-site, where practicable, under the close observation of the inspection
team.
In addition, the use of rapid-screening techniques can reduce the number
of samples that must be collected for analysis and thus minimize disclosure
of CBI. Such instruments include:
a hand-held ion-mobility spectrometer, which can give an indication
of the contents of storage containers and assist in the selection of
samples for analysis;
a portable gas chromatograph-mass spectrometer (GC-MS), which can be
employed as a rapid-screening device for scheduled chemicals without
disclosing information on chemicals unrelated to the CWC;
a flame-photometric detector, which can be used to detect phosphorus
and sulfur, two elements present in many CW agents; and
non-destructive evaluation (NDE) systems, which employ ultrasound, neutron-activation
and other methods to identify the contents of sealed storage tanks suspected
of containing scheduled chemicals.
Although the various instruments listed above may not be appropriate
in all cases, they offer promising ways of verifying compliance with
the CWC while helping to satisfy industry's concerns over safeguarding
CBI.
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VI. Managed-Access Techniques
The challenge inspection regime contained in the CWC permits a State
Party to request an inspection of any facility, private or government-owned,
declared or undeclared, on the territory of another State Party or under
its jurisdiction and control. An undeclared challenged site must give
the inspection team some access no later than 120 hours (5 days) after
notification. In contrast, a declared challenged site must provide access
no later than 39 hours after notification. As a safeguard against harassing
challenge requests, the Executive Council (a 41-country body that will
oversee the day-to-day operation of the international CWC organization)
may vote by a two-thirds majority to block a challenge inspection not
later than 12 hours after notification if the challenge request is judged
"frivolous, abusive, or beyond the scope"of the treaty.
Several NTIs have demonstrated that it is possible to balance the treaty
obligation to demonstrate compliance against the right to protect CBI
through the use of "managed-access" techniques. These measures
include removing or covering accessible papers, switching off computers,
and shrouding sensitive equipment or control panels. The challenged
facility is not required to identify shrouded objects but merely to
demonstrate that they are not CWC-related. According to a German report
on a trial challenge inspection, "There was no site in Germany,
government or industrial, where access could not either be granted or
managed. Experience showed that a balance can be struck between adequate
intrusiveness and legitimate protection of information."
The CWC states that the inspection team "should avoid undue intrusion"
into industrial activities not prohibited by the treaty. For example,
the inspectors do not need to know the details of a proprietary process
to determine that it is not involved in the production of chemical weapons.
In the case of a laboratory or pilot plant where confidential research
and development is under way, access may be limited to allowing one
or two inspectors to take a brief glance from a doorway so as to ascertain
that no obviously illicit activities are under way. Furthermore, the
challenged facility is not required to specify in advance which parts
of the site are considered sensitive and hence are off-limits. Instead,
the inspection team may be given free rein until they ask to examine
an area to which access must be denied.
Where there are particular concerns about confidentiality, companies
should identify in advance the sensitive information and processes they
wish to protect and be prepared to suggest alternative means of satisfying
the compliance concerns. To this end, companies should develop a range
of options for areas of a facility where access may have to be restricted.
In general, cooperating with the inspection team to find mutually satisfactory
means of resolving compliance concerns will greatly fadlitate the inspection
process.
Chemical firms should consider training a small core team of senior
plant representatives to prepare for inspections and to escort the inspection
team around the facility. NTls have also demonstrated the need of the
challenged facility to have technical and policy advice that can only
be provided by government representatives. For this reason, a senior
U.S. official will head the host team during initial routine inspections
and challenge inspections and will serve as the main point of contact
with the CWC inspection team.
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VII. Costs of Trial Inspections
Private companies have expressed concern about the burden posed by the
CWC inspection regime, particularly in terms of the person-hours needed
to prepare for and host inspections. An NTI performed by Sweden found
that while inspections did not sigruficantly impair the operations or
safety of a plant, the need for senior facility personnel to escort
and assist the inspection team diverted them from the performance of
their normal duties.
For this reason, the company expenditures associated with inspections
will consist largely of personnel costs. NTIs have suggested the following
rough estimates for the number of person-days required to prepare for
and host inspections:
initial inspection of Schedule 2 plant: 2.5 person-days;
negotiation of facility agreement: 10 person-days;
routine (96-hour) inspection of a Schedule 2 plant: 25 - 30 person-days;
routine (24-hour) inspection of a Schedule 3 plant: 4 person-days.
One U.S. company has estimated the cost of hosting a five-person inspection
team at $5,000 per day. Such costs are likely to decline over time,
however, as companies make one-time investments (e.g., procurernent
of equipment shrouds) and move down the learning curve with respect
to preparation procedures.
Companies should also consider and propose strategies for demonstrating
CWC compliance in ways that minimize disruption of the plant's ongoing
activities. Possible options include giving the inspection team a simplified
process-flow diagram or granting access to waste outflows, feedstocks,
and filling points. Similarly, allowing the inspection team to check
vehicles entering and leaving the site on a random basis would provide
confidence that no CW-related material is being removed, without interfering
with production and delivery schedules.
Another concern on the part of industry has been that CWC-related inspections--trial
or real--could give rise to bad publicity, such as rumors that the participating
company is somehow involved with chemical weapons or highly toxic materials.
Experience has shown that excessive secrecy about NTIs can be counterproductive;
a successful approach has been to minimize speculation and rumors by
actively educating the public about the purpose of the CWC and the trial
inspection. The U.S. Government can assist with such public information
efforts.
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VIII. Need for Additional NTIs
No trial inspections of chemical plants have been performed since the
CWC was opened for signature in January 1993, mainly because the participating
countries have focused on work at the CWC Preparatory Cornmission (PrepCom)
in The Hague. Additional NTIs are needed, however, since most of the
earlier trial inspections were based on draft procedures that have since
been modified or further elaborated in the final version of the treaty.
Moreover, the large majority of NTIs have been conducted on a strictly
national basis and hence did not take into account the greater complexities
entailed by a multinational inspection team.
Trial inspections performed on a national or multinational basis would
be particularly useful during the period immediately preceding the treaty's
entry into force. Such exercises could:
provide realistic tests of the workability of the more detailed proposed
inspection procedures, particularly after the PrepCom has prepared a
first draft of the inspection manual;
offer participants a hands-on educational experience, which will be
an essential component of any inspector training program;
help companies identify sensitive items of equipment and process know-how
and to develop effective managed-access techniques for safeguarding
CBI;
facilitate development of specific details of inspection procedures
by the PrepCom, such as sampling and analysis techniques;
prepare Schedule 2 facilities for the initial-visit and facility-agreement
phases of CWC implementation; and
help commercial companies to become familiar with U.S. Government assets
to help prepare for, assist, and facilitate inspections.
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IX. For More Information
Officials of the U.S. Arms Control and Disarmament Agency (ACDA) are
prepared to meet with industry representatives to sketch out the planning
process involved in conducting an NTI, a mock inspection, or a vulnerability
assessment of a commerdal facility. Depending on a company's specific
goals and the desired level of realism, trial inspections can be performed
independently or in conjunction with U.S. Government officials. For
further information, contact Bob Waters at the ACDA Office of Public
Information, tel. (202) 647-8677.
CHEMICAL WEAPONS CONVENTION
UPDATE FOR INDUSTRY
No. 3
February 1994
CHEMICAL WEAPONS CONVENTION UPDATE FOR INDUSTRY
An Information Paper Published by the
U.S. Arms Control and Disarmament Agency
No. 3, February 1994
OVERVIEW
The verification provisions of the Chemical Weapons Convention (CWC)
represent a delicate balance--achieved through arduous negotiations--between
the need for a compliance monitoring regime that is stringent enough
to deter violators and build international confidence in the CWC, and
the desire to protect national security and commercial secrets unrelated
to the treaty.
This information paper, the third in a series on the relationship between
the CWC and U.S. industry, discusses how companies covered by the treaty's
declaration and inspection requirements can protect their confidential
business information (CBI) from unauthorized disclosure.
In particular, the paper reviews how the provisions of the CWC effectively
address industry's concerns about the disclosure of CBI in dedarations
and during on-site inspections. Also discussed are specific measures
that companies can take to prepare for inspections so as to safeguard
their valuable trade secrets.
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TABLE OF CONTENTS
- The Verification Regime
- Treaty Provisions on CBI
- Preparing for Inspections
- Safeguarding CBI in Declarations and Reports
- Conclusions
- Questions and Answers
Additional copies of this information paper, and of the first two issues
of the CWC Update for Industry (No. 1, Sept. 1993; and No. 2, Nov. 1993),
may be be obtained by calling the ACDA Office of Public Information at
(202) 647-8677 or (1-800-581-ACDA).
I. The Verification Regime
The verification provisions of the Chemical Weapons Convention (CWC) cover
U.S. companies that manufacture or work with certain chemicals that have
legitimate commercial applications but can also be employed to make chemical
weapons. Such chemicals are listed on three "schedules" in an
annex to the treaty:
Schedule 1 lists known chemical-warfare agents and many of their immediate
precursor chemicals, which have few if any commercial applications;
Schedule 2 covers toxic chemicals and precursors that are produced in
small volumes for commercial purposes (e.g., thiodiglycol, dimethyl methylphosphonate);
and
Schedule 3 covers "dual-use" chemicals and precursors that are
produced in large volumes for commercial purposes (e.g., phosgene, phosphorus
trichloride).
Specific declaration and inspection obligations apply to companies that
produce, import, or export each year more than treaty-specified threshold
quantities of Schedule 1, 2, or 3 chemicals, or that process or consume
more than threshold quantities of Schedule 2 chemicals. Industries covered
by the latter category may include-aerospace, cosmetics, electronics,
food, mining, paper, pharmaceuticals, photographic supplies, plastics,
printing ink, semiconductors, and textiles. Companies must also declare
other chemical production facilities whose annual production exceeds 30
metric tons of any unscheduled discrete organic chemical containing phosphorus,
sulfur, or fluorine (key constituents of chemical weapons) or 200 metric
tons of any discrete organic chemical excluding pure hydrocarbons and
explosives.
Domestic implementing legislation and the resulting federal regulations
will make the provisions of the CWC binding on companies (U.S. or foreign-owned)
located on U.S. territory, as well as U.S. citizens living in the United
States and abroad. Once the treaty enters into force-possibly as early
as January 1995--affected companies will be required to file declarations
and to host on-site inspections of their facilities. Industry will also
be potentially subject to "challenge" inspections, which may
be requested by other States Parties at facilities suspected of violating
the CWC.
Although the U.S. chemical industry has long been inspected by domestic
regulatory authorities such as the Environmental Protection Agency and
the Occupational Safety and Health Administration, all such visits are
conducted by federal and state officials. CWC inspections, in contrast,
will be performed by multinational inspection teams under the auspices
of the Organization for the Prohibition of Chemical Weapons (OPCW), a
new international organization--to be based in The Hague, the Netherlands--that
will administer the treaty after it enters into force.
One of industry's main concerns about the CWC is that the treaty's reporting
requirements and on-site inspections could allow confidential business
information (CBI) to fall into the hands of foreign competitors. CBI may
be defined as any technical or non-technical information that gives its
holder a commercial advantage because it is not widely known to competitors
or the general public. This designation may apply to any commercially
valuable plan, process, device, or formula, or to sensitive information
on a company's costs, profits, suppliers, customers, manufacturing capacity,
production schedules, marketing plans, and so forth.
Protection of CBI is particularly critical for chemical manufacturers,
who face a highly competitive business environment. Since basic synthesis
methods have been published for most basic chemicals, a company's profitability
and its competitive edge in the marketplace may depend on non-patented
production "tricks," which provide small but significant margins
of process efficiency, yield, and cost.
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II. Treaty Provisions on CBI
In response to industry's concerns, the Chemical Weapons Convention
contains provisions designed to protect CBI from unauthorized disclosure.
These provisions were developed during the treaty negotiations in Geneva
with the active participation of the U.S. Chemical Manufacturers Association
and other trade associations representing the international chemical
industry. The major provisions are as follows:
Article VI states that CWC inspection teams shall "avoid undue
intrusion into the State Party's chemical activities for purposes not
prohibited under this Convention";
Article VIII specifies that the teams must perform inspections "in
the least intrusive manner possible consistent with the timely and efficient
accomplishment of their objectives";
Article IX, in its provisions on challenge inspections, gives the inspected
State Party "the right to take measures to protect sensitive installations,
and to prevent disclosure of confidential information and data, not
related to this Convention";
Part II of the Annex on Implementation and Verification states that
the activities of the inspection team "shall be so arranged as
to ensure the timely and effective discharge of its functions and the
least possible inconvenience to the inspected State Party or Host State
and disturbance to the facility or area inspected";
The Annex on the Protection of Confidential Information lays out detailed
guidelines for the handling of CBI.
For routine inspections of plant sites that produce Schedule 2 chemicals,
facility agreements (negotiated between the OPCW and the U.S. Government
with the active involvement of the inspected facility) will specify
which parts of a plant are subject to inspection, the scope of inspection
in agreed areas, the storage of confidential information on-site, the
taking of samples and their analysis, access to records, and the use
of instruments. Facility agreements may also be negotiated on a voluntary
basis for plant sites that make Schedule 3 chemicals and for other chemical
production facilities.
In the case of challenge inspections, the CWC allows the inspected State
Party and facility representatives to negotiate with the inspection
team over the extent of access that will be granted beyond that already
provided during routine inspections. According to Part X ("Challenge
Inspections") of the Annex on Implementation and Verification,
"... the inspected State Party shall have the right to take measures
to protect sensitive
installations and prevent disclosure of confidential information and
data not related to chemical
weapons. Such measures may include, inter alia:
- Removal of sensitive papers from office spaces;
- Shrouding of sensitive displays, stores, and equipment;
- Shrouding of sensitive pieces of equipment, such as computer or
electronic systems;
- Logging off of computer systems and turning off of data indicating
devices;
- Restriction of sample analysis to presence or absence of chemicals
listed in Schedules 1, 2 and 3 or appropriate degradation products;
- Using random selective access techniques whereby the inspectors
are asked to select a given percentage or number of buildings of their
choice to inspect (the same principle can apply to the interior and
content of sensitive buildings);
- In exceptional cases, giving only individual inspectors access
to certain parts of the inspection site."
The right of the inspected State Party to manage access is balanced, however,
by the obligation to make "every reasonable effort" to demonstrate
to the inspection team that any object, building, structure, container,
or vehicle to which full access is denied is not being used for prohibited
purposes.
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III. Preparing for Inspections
In addition to negotiating facility agreements, companies can safeguard
CBI by performing pre-inspection assessments and by training plant personnel
and escorts. Although the costs of such preparations must be borne by
industry, the U.S. Government will provide information and technical
assistance on request. The extent to which a commercial plant should
prepare for CWC inspections depends on the sensitivity of the work being
done there.
When preparing for on-site inspections, companies may want to assess
which types of information must be protected and then develop a concrete
plan of action. For example, a plant site preparing for an inspection
might consider taking some or all of the following measures:
1. Segregate production records relating to scheduled chemicals so as
to protect CBI not relevant to treaty compliance;
2. Inventory plant equipment and processes and identify which activities
are particularly sensitive and vulnerable to observation;
3. Determine which aspects of a critical process or item of equipment
must be protected (e.g., size, shape);
4. Plan out a route for the inspectors through the facility that will
keep them out of areas containing CBI unrelated to the treaty;
5. Train a core group of senior plant managers to escort the inspection
team through the facility;
6. Inform plant personnel about which parts of the facility will be
subject to inspection, how to make their work areas secure, and how
to answer inspectors' questions honestly without revealing CBI and in
accordance with their Constitutional rights;
7. Turn off computers, remove confidential papers, and install shrouds,
boxes, or screens to shield sensitive equipment immediately prior to
an inspection;
8. Run mock inspections to see how well the safeguards work, and adjust
procedures accordingly; and
9. Sustain employee training efforts through periodic exercises and
reassessments.
Ideally, the vulnerability assessment process should identify the most
cost-effective approach for safeguarding CBI. Without careful planning,
companies may tend to overprotect their confidential assets, resulting
in unnecessary preparation costs. For example, rather than making a
costly shroud for a piece of sensitive equipment, it may be sufficient
to cover upa gauge or a label with a piece of masking tape, move a portable
object to another room, or turn it around.
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IV. Safeguarding CBI in Declarations and Reports
Security mechanisms will be established at both the national and international
levels to safeguard CBI contained in industry declarations and inspection
reports. At the national level, an administrative entity called the
U.S. Office of the National Authority (ONA) will compile and process
industry declarations collected by the Department of Commerce and forward
them to the OPCW. During this process, the ONA--to be operated by the
U.S. Arms Control and Disarmament Agency-will be responsible for protecting
any CBI that U.S. companies submit in their required declarations.
At the international level, the Director-General of the Organization
for the Prohibition of Chemical Weapons (OPCW) in The Hague will have
primary responsibility for the security of all confidential information
and samples submitted to the organization. To this end, the CWC includes
an Annex on the Protection of Confidential Information, which seeks
to safeguard CBI disclosed in required declarations and inspection reports.
According to this annex, the OPCW shall:
subject data designated confidential by a State Party to a system of
formal classification, secure storage, and other security measures to
protect against unauthorized access;
require staff members to enter into individual secrecy agreements with
the organization;
limit distribution of confidential information within the OPCW on a
strict need-to-know basis;
handle and store information--to the greatest extent consistent with
effective verification--in a form that precludes direct identification
of the facility to which it pertains;
establish a commission for the settlement of disputes related to breaches
of confidentiality; and
take "appropriate punitive and disciplinary measures" to be
established by the Director-General for punishing the wrongful disclosure
of CBI, including the power to waive an inspector's immunity from prosecution
"in cases of serious breaches."
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V. Conclusions
Provisions of the Chemical Weapons Convention effectively address industry's
concerns about the potential loss of CBI pursuant to treaty-mandated
declarations and inspections. In particular, the treaty limits the international
inspection team's access to CBI and gives the inspected State Party
measures to safeguard such information from disclosure.
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VI. Questions and Answers
Q. How can companies protect CBI contained in chemical samples that
the inspection team may take during an inspection ?
A. Whenever possible, the analysis of chemical samples will be performed
on-site with equipment provided by the inspection team or by the inspected
facility, and will be limited to determining the presence or absence
of scheduled chemicals. If an anomaly is found, the inspectors have
the right to take samples to a designated outside laboratory for more
detailed analysis. In this case, the OPCW is responsible for preserving
the confidentiality of any trade secrets in the samples.
Q. How will the OPCW ensure the integrity of inspectors?
A. The OPCW will carefully screen candidate inspectors to avoid those
individuals who might pose a security risk. In addition, not later than
30 days after the Convention enters into force, the OPCW Technical Secretariat
will communicate the names, nationalities, and ranks of all inspectors
and assistants to the States Parties, who will then have 30 days to
indicate which of them are unacceptable for any reason and hence cannot
be used in inspections of that State Party.
Q. When will model facility agreements become available?
A. The Preparatory Commission (PrepCom), the body of CWC signatory states
that is working out the details of treaty implementation, plans to complete
its work on model facility agreements by late spring 1994. These documents
may then be made available to selected members of the chemical industry
for testing and evaluation. Once formally adopted by the PrepCom, the
model facility agreements will be made generally available to industry.
Q. What is the rationale for not extending the requirement for facility
agreements to Schedule 3 plants and other chemical production facilities?
A. The time and cost of negotiating facility agreements deterred the
participating countries from making such agreements mandatory for Schedule
3 facilities and other chemical production facilities, which were judged
to pose a lesser risk to the object and purpose of the Convention and
thus require less intrusive inspections. Nevertheless, States Parties
are entitled to negotiate facility agreements on a voluntary basis for
Schedule 3 plant sites and other chemical production facilities.
Q. How will company officials participate in the negotiation of facility
agreements?
A. It is expected that during the initial inspection of a plant site,
a representative of the U.S. National Authority and the CWC inspection
team will negotiate the facility agreement with the direct participation
of company representatives.
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