VERIFICATION ANNEX
PART VI
ACTIVITIES NOT PROHIBITED UNDER THE CONVENTION IN ACCORDANCE WITH ARTICLE VI
REGIME FOR SCHEDULE 1 CHEMICALS AND FACILITIES RELATED TO SUCH CHEMICALS
Part VI of the Verification Annex contains 32 paragraphs setting forth the regime for Schedule 1 chemicals and facilities related to such chemicals. Specifically, it contains limitations and verification procedures related to the permitted uses, transfers, production, declarations, and verification of Schedule 1 chemicals. Note that these chemical agents include chemicals that have been used or produced for chemical weapons purposes, and therefore the provisions pertaining to them are very restrictive.
Note that the provisions contained in this Part and Parts VII, VIII, and IX of this Annex for declaration and verification of Schedule 1, Schedule 2, Schedule 3 and other chemical production facilities range respectively from more stringent to less stringent, taking into account the decreasing levels of risk posed by the chemicals and facilities to the Convention and the decreasing feasibility of verification due to increasingly larger quantities of commercial production.
Section A (paragraphs 1 and 2) of Part VI sets forth the general limitations regarding production and use of Schedule 1 chemicals by States Parties.
Paragraph 1 of Part VI states that a State Party may not produce, acquire, retain or use Schedule 1 chemicals outside the territories of States Parties nor transfer such chemicals outside its territory except to another State Party. The purpose of this paragraph is to ensure that these chemicals of high risk to the Convention do not spread to non–States Parties. Note that the prohibition on the acquisition of Schedule 1 chemicals outside the territories of States Parties means that imports of such chemicals from non–States Parties are banned.
Paragraph 2 of Part VI specifies the conditions that must be met in order for a State Party to engage in activities with regard to Schedule 1 chemicals. Specifically, it states that a State Party may not produce, acquire, retain, transfer or use Schedule 1 chemicals unless:
(a) The chemicals are applied to research, medical, pharmaceutical or protective purposes (It is understood that the term "protective purposes" here means used for determining the adequacy of defense equipment and measures); and
(b) The types and quantities of chemicals are strictly limited to those which can be justified for such purposes; and
(c) The aggregate amount of such chemicals at any given time for such purposes is equal to or less than 1 metric ton; and
(d) The aggregate amount for such purposes acquired by a State Party in any year through production, withdrawal from chemical weapons stocks and transfer is equal to or less than one metric ton.
Note that subparagraph (d) means a State Party may withdraw up to one metric ton of Schedule 1 chemicals from declared chemical weapons stocks. (Provisions for removing limited quantities of chemicals for permitted purposes are expected to be developed by the Preparatory Commission for approval by the Conference.) Note also that paragraph 2 prohibits a State Party from conducting any of these activities unless all four of these conditions are met.
Section B (paragraphs 3 through 6) of Part VI contains provisions related to transfers of Schedule 1 chemicals among States Parties. Note that pursuant to paragraph 1, transfers to non–States Parties are prohibited.
Paragraph 3 of Part VI states that a State Party may transfer Schedule 1 chemicals outside its territory only to another State Party and only for research, medical, pharmaceutical or protective purposes in accordance with paragraph 2. This repeats the prohibition in paragraph 1 and, for cases in which a State Party acquires Schedule 1 chemicals by transfer, makes the transferring State Party also responsible for the use to which they are put.
Paragraph 4 of Part VI states that chemicals transferred shall not be retransferred to a third State. Note that, while the methods for prohibiting retransfers are not specified, the direct language of the paragraph implicitly requires States Parties to take actions to ensure that such retransfers do not take place.
Paragraph 5 of Part VI specifies that not less than 30 days before any transfer to another State Party both States Parties shall notify the Technical Secretariat of the transfer.
Paragraph 6 of Part VI requires each State Party to make a detailed annual declaration regarding transfers during the previous year, which must be submitted not later than 90 days after the end of that year. This paragraph further states that for each Schedule 1 chemical that has been transferred, the declaration shall contain the chemical name, structural formula and Chemical Abstracts Service registry number, if assigned, and the quantity acquired from other States or transferred to other States Parties, including, for each transfer, the quantity, recipient and purpose.
Section C (paragraphs 7 through 12) of Part VI sets forth the facilities that are permitted to produce Schedule 1 chemicals. The largest one is a single small–scale facility, which can produce the chemicals for any purpose and in any amount (although production capacity is limited) up to the amount allowed under the Convention (1 metric ton per year). One other facility may produce Schedule 1 chemicals in moderate amounts (up to 10 kilograms per year) for protective purposes, while other facilities may also produce up to 10 kilograms per year, but only for research, medical or pharmaceutical purposes. Finally, synthesis of Schedule 1 chemicals in small amounts (up to 100 grams per year) for certain purposes is allowed in laboratories. This section also sets forth the general principles for production.
Paragraph 7 requires each State Party, during production under paragraphs 8 to 12, (in the permitted facilities and laboratories), to assign the highest priority to ensuring the safety of people and to protecting the environment. This paragraph further states that each State Party shall conduct such production in accordance with its national standards for safety and emissions. Note that while this paragraph duplicates paragraph 3 of Article VII, it was included to highlight the concern for protection of the environment and safety of citizens and inspectors with regard to these activities.
Paragraph 8 of Part VI requires each State Party producing Schedule 1 chemicals for research, medical, pharmaceutical or protective purposes to carry out such production at a single small–scale facility approved by the State Party, or at other facilities as set forth in paragraphs 10, 11 and 12. Note that approval is understood to mean either owned or licensed by a State Party in such a way as to ensure government control over the facility.
Paragraph 9 of Part VI sets limits on the production capacity of the single small–scale facility. Specifically, it states that production at a single small–scale facility must be carried out in reaction vessels in production lines not configured for continuous operation. This paragraph further states that the volume of such a reaction vessel shall not exceed 100 liters, and the total volume of all reaction vessels with a volume exceeding 5 liters shall not be more than 500 liters.
The purpose of these process and volume limits is to restrict the ability of the facility to engage in large–scale and continuous batch production of Schedule 1 chemicals. This enhances confidence that such facilities will be used only for permitted purposes since it may be difficult, as a practical matter, to engage in significant non–permitted purposes at these facilities.
Paragraphs 10 through 12 Part VI allow for the production of Schedule 1 chemicals in very small amounts in other types of facilities.
Paragraph 10 Part VI allows production of Schedule 1 chemicals for protective purposes in small amounts at one additional facility. Specifically, it allows production of Schedule 1 chemicals in aggregate quantities not exceeding 10 kg per year to be carried out for protective purposes at one facility outside a single small–scale facility. This paragraph further states that such a facility shall be approved by the State Party and declared.
Paragraph 11 Part VI allows production of Schedule 1 chemicals in quantities of more than 100 grams per year to be carried out for research, medical or pharmaceutical purposes outside a single small–scale facility in aggregate quantities not exceeding 10 kilograms per year per facility. These facilities shall be approved by the State Party and declared.
Paragraph 12 Part VI allows the synthesis of Schedule 1 chemicals for research, medical or pharmaceutical purposes, but not for protective purposes, to be carried out at laboratories in aggregate quantities less than 100 grams per year per facility. It further states that these facilities shall not be subject to any obligation relating to declaration and verification as specified in Sections D and E. This paragraph uses the term "synthesis" rather than "production" to emphasize that this is small–scale laboratory use. Routine inspections are not required because of the unfeasibility of routine verification of such levels. However, there are restrictions on quantities and these facilities are subject to challenge inspection if there are concerns about their activities.
Section D (paragraphs 13 through 20) of Part VI sets forth the detailed contents required for declarations of Schedule 1 production facilities.
Paragraph 13 Part VI requires each State Party planning to operate a single small–scale facility to provide the Technical Secretariat with the precise location and a detailed technical description of the facility, including an inventory of equipment and detailed diagrams. This paragraph further states that, for existing facilities, this initial declaration shall be provided not later than 30 days after the Convention enters into force for the State Party, and for new facilities not less than 180 days before operations are to begin.
Paragraphs 14 and 18 Part VI require each State Party to give advance notification to the Technical Secretariat of planned changes related to the initial declaration of the single small–scale facility and the other Schedule 1 production facilities, respectively, which must be submitted not less than 180 days before the changes are to take place.
Paragraphs 15 and 19 Part VI require a State Party producing Schedule 1 chemicals at a single small–scale facility and other Schedule 1 production facilities, respectively, to make a detailed annual declaration regarding the activities of the facility for the previous year, not later than 90 days after the end of that year, including:
(a) Identification of the facility;
(b) For each Schedule 1 chemical produced, acquired, consumed or stored at the single small–scale facility and for each Schedule 1 chemical of the other Schedule 1 production facilities, the following information:
(i) The chemical name, structural formula and Chemical Abstracts Service registry number, if assigned;
(ii) The methods employed in single small–scale facilities and in other facilities for production for protective purposes, and the quantity produced for all Schedule 1 facilities;
(iii) The name and quantity of precursors listed in Schedules 1, 2, or 3 used for production of Schedule 1 chemicals;
(iv) The quantity consumed at the facility and the purpose(s) of the consumption;
(v) For the single small–scale facilities, the quantity received from or shipped to other facilities in the State Party and for each shipment the quantity, recipient and purpose; for other Schedule 1 production facilities, the quantity transferred to other facilities within the State Party and for each transfer the quantity, recipient and purpose;
(vi) The maximum quantity stored at any time during the year; and
(vii) The quantity stored at the end of the year.
(c) Information on any changes at the facility (and for other Schedule 1 production facilities, its relevant parts) during the year compared to previously submitted detailed technical descriptions of the facility. For single small–scale facilities, this includes inventories of equipment and detailed diagrams.
Note that whereas information on the "processing" of Schedule 2 and 3 chemicals is required (in addition to information on production and consumption), this information is not required for Schedule 1 chemicals because such chemicals are not likely to be "processed".
Paragraphs 16 and 20 Part VI require each State Party producing Schedule 1 chemicals at a single small–scale facility and at other Schedule 1 production facilities to make a detailed annual declaration regarding the projected activities and the anticipated production at each facility for the coming year, not less than 90 days before the beginning of that year, including:
(a) Identification of the facility;
(b) For each Schedule 1 chemical anticipated to be produced, consumed or stored at the single small–scale facility, and for each Schedule 1 chemical of the other Schedule 1 production facilities, the following information:
(i) The chemical name, structural formula and Chemical Abstracts Service registry number, if assigned;
(ii) The quantity anticipated to be produced and the purpose of the production. Note that, while not specified, it is expected that the Preparatory Commission and the Organization will address the issue of whether the quantity anticipated to be consumed and the purpose of the consumption should be reported as well.
(c) Information on any anticipated changes at the facility (and for other Schedule 1 production facilities, its relevant parts) during the year compared to previously submitted detailed technical descriptions of the facility. For single small–scale facilities, this includes inventories of equipment and detailed diagrams.
Paragraph 17 of Part VI requires that for each facility for permitted production for protective, research, medical and pharmaceutical purposes, a State Party shall provide the Technical Secretariat with the name, location and a detailed technical description of the facility or its relevant part(s) as requested by the Technical Secretariat. This paragraph further states that the facility for producing Schedule 1 chemicals solely for protective purposes (i.e. other than the single small–scale facility) shall be specifically identified. Finally this paragraph states that, for existing facilities, this initial declaration must be provided not later than 30 days after the Convention enters into force for the State Party, and for new facilities, not less than 180 days before operations are to begin.
Note that paragraphs 18 through 20 are discussed above in connection with paragraphs 14 through 16.
Section E (paragraphs 21 through 32) of Part VI sets forth the verification provisions for single small–scale facilities and other Schedule 1 production facilities.
Paragraph 21 of Part VI establishes that the aim of verification activities at the single small–scale facility shall be to verify that the quantities of Schedule 1 chemicals produced are correctly declared and, in particular, that their aggregate amount does not exceed 1 metric ton. Note that in order to accomplish this, the inspection team will need to verify the quantities acquired, consumed or stored as well. In addition, the inspection team will have to verify that the facility complies with the restrictions contained in paragraph 9 of Part VI.
Paragraph 22 of Part VI requires the single small–scale facility to be subject to systematic verification through on–site inspection and monitoring with on–site instruments.
Paragraph 23 requires of Part VI the number, intensity, duration, timing and mode of inspections for a particular single small–scale facility to be based on the risk to the object and purpose of the Convention posed by the relevant chemicals, the characteristics of the facility and the nature of the activities carried out there. Appropriate guidelines are to be considered and approved by the Conference pursuant to paragraph 21(i) of Article VIII, i.e. based on drafts prepared by the Preparatory Commission.
Paragraph 24 of Part VI states that the purpose of the initial inspection is to verify information provided concerning the single small–scale facility, including verification of the limits on reaction vessels set forth in paragraph 9 of Part VI.
Paragraphs 25 and 26 of Part VI require a State Party to conclude a facility agreement with the Organization, based on a model agreement, covering detailed inspection procedures for existing single small–scale facilities, not later than 180 days after the Convention enters into force for it, and for each State Party planning to establish a single small–scale facility after the Convention enters into force for it, before it begins operation or is used.
Paragraph 27 of Part VI provides for a model for agreements to be considered and approved by the Conference pursuant to paragraph 21(i) of Article VIII, i.e. based on reports developed by the Preparatory Commission.
Paragraph 28 states that the aim of verification activities at any facility referred to in paragraphs 10 and 11 of Part VI (i.e. the facilities producing more than 100 g but not exceeding 10 kg of Schedule 1 chemicals for protective, research, medical and pharmaceutical purposes), shall be to verify that:
(a) The facility is not used to produce any Schedule 1 chemical, except for the declared chemicals;
(b) The quantities of Schedule 1 chemicals produced, processed or consumed are correctly declared and consistent with needs for the declared purpose; and
(c) The Schedule 1 chemical is not diverted or used for other purposes.
Paragraph 29 of Part VI requires facilities referred to in paragraphs 10 and 11 of Part VI to be subject to systematic verification through on–site inspection and monitoring with on–site instruments.
Paragraph 30 of Part VI requires the number, intensity, duration, timing and mode of inspections for a particular facility to be based on the risk to the object and purpose of this Convention posed by the quantities of chemicals produced, the characteristics of the facility and the nature of the activities carried out there. Appropriate guidelines will be considered and approved by the Conference pursuant to paragraph 21(i) of Article VIII, i.e. based on reports developed by the Preparatory Commission.
Paragraphs 31 and 32 of Part VI require a State Party to conclude a facility agreement with the Organization, based on a model agreement, covering detailed inspection procedures for existing other Schedule 1 production facilities, not later than 180 days after the Convention enters into force for it, and for each State Party planning to establish such a facility after the Convention enters into force, before it begins operation or is used. Note that, pursuant to paragraph 8 of Part III, the model agreements will be based on draft model agreements developed by the Preparatory Commission.