envi eng chapter 3u(part 2)
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BASEL CONVENTION
Reported by:
Gian Rea Calamiong
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BASEL CONVENTION ON THE CONTROL OF TRANSBOUNDARY MOVEMENTS OF
HAZARDOUS WASTES AND THEIR DISPOSAL
Preamble
The Parties to this Convention,
Aware of the risk of damage to human health and the environment caused by
hazardous wastes and other wastes and the transboundary movement thereof,
Mindful of the growing threat to human health and the environment posed by the increased
generation and complexity, and transboundary movement of hazardous
wastes and other wastes,
Mindful also that the most effective way of protecting human health and the environment
from the dangers posed by such wastes is the reduction of their
generation to a minimum in terms of quantity and/or hazard potential,
Convinced that States should take necessary measures to ensure that the management of
hazardous wastes and other wastes including their transboundary movement and disposal is
consistent with the protection of human health and the
environment whatever the place of disposal,
Noting that States should ensure that the generator should carry out duties with regard to the
transport and disposal of hazardous wastes and other wastes in a manner that is consistent with the
protection of the environment, whatever the place
of disposal,
Fully recognizing that any State has the sovereign right to ban the entry or
disposal of foreign hazardous wastes and other wastes in its territory,
Recognizing also the increasing desire for the prohibition of transboundary movements of
hazardous wastes and their disposal in other States, especially
developing countries,
Convinced that hazardous wastes and other wastes should, as far as is compatible with
environmentally sound and efficient management, be disposed of in
the State where they were generated,
Aware also that transboundary movements of such wastes from the State of their generation
to any other State should be permitted only when conducted under conditions which do not
endanger human health and the environment, and under
conditions in conformity with the provisions of this Convention,
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Considering that enhanced control of transboundary movement of hazardous
wastes and other wastes will act as an incentive for their environmentally sound
management and for the reduction of the volume of such transboundary movement,
Convinced that States should take measures for the proper exchange of information on and
control of the transboundary movement of hazardous wastes andother wastes from and to those States,
Noting that a number of international and regional agreements have addressed the issue of
protection and preservation of the environment with regard to the transit
of dangerous goods,
Taking into account the Declaration of the United Nations Conference on the Human
Environment (Stockholm, 1972), the Cairo Guidelines and Principles for the
Environmentally Sound Management of Hazardous Wastes adopted by the Governing
Council of the United Nations Environment Programme (UNEP) by decision 14/30 of 17 June 1987,
the Recommendations of the United Nations Committee of Experts on the Transport of Dangerous
Goods (formulated in 1957 and updated biennially),
relevant recommendations, declarations, instruments and regulations adopted within
the United Nations system and the work and studies done within other international
and regional organizations,
Mindful of the spirit, principles, aims and functions of the World Charter for Nature adopted
by the General Assembly of the United Nations at its thirty-seventh
session (1982) as the rule of ethics in respect of the protection of the human
environment and the conservation of natural resources,
Affirming that States are responsible for the fulfilment of their international obligations
concerning the protection of human health and protection and
preservation of the environment, and are liable in accordance with international law,
Recognizing that in the case of a material breach of the provisions of this Convention or
any protocol thereto the relevant international law of treaties shall
apply,
Aware of the need to continue the development and implementation of environmentally
sound low-waste technologies, recycling options, good house-keeping and management systems witha view to reducing to a minimum the generation of
hazardous wastes and other wastes,
Aware also of the growing international concern about the need for stringent control of
transboundary movement of hazardous wastes and other wastes, and of the
need as far as possible to reduce such movement to a minimum,
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Concerned about the problem of illegal transboundary traffic in hazardous
wastes and other wastes,
Taking into account also the limited capabilities of the developing countries to
manage hazardous wastes and other wastes,
Recognizing the need to promote the transfer of technology for the sound management of
hazardous wastes and other wastes produced locally, particularly to the developing countries in
accordance with the spirit of the Cairo Guidelines and
decision 14/16 of the Governing Council of UNEP on Promotion of the transfer of
environmental protection technology,
Recognizing also that hazardous wastes and other wastes should be transported in
accordance with relevant international conventions and
recommendations,
Convinced also that the transboundary movement of hazardous wastes and other wastes
should be permitted only when the transport and the ultimate disposal of
such wastes is environmentally sound, and
Determined to protect, by strict control, human health and the environment against the
adverse effects which may result from the generation and management of
hazardous wastes and other wastes,
HAVE AGREED AS FOLLOWS:
Article 1
Scope of the Convention
1. The following wastes that are subject to transboundary movement shall be
―hazardous wastes for the purposes of this Convention:‖
(a) Wastes that belong to any category contained in Annex I, unless they do
not possess any of the characteristics contained in Annex III; and
(b) Wastes that are not covered under paragraph (a) but are defined as, or
are considered to be, hazardous wastes by the domestic legislation of the Party of
export, import or transit.
2. Wastes that belong to any category contained in Annex II that are subject to
transboundary movement shall be ―other wastes for the purposes of this Convention.‖
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3. Wastes which, as a result of being radioactive, are subject to other international
control systems, including international instruments, applying specifically to radioactive materials,
are excluded from the scope of this Convention.
4. Wastes which derive from the normal operations of a ship, the discharge of
which is covered by another international instrument, are excluded from the scope of thisConvention.
Article 2
Definitions
For the purposes of this Convention:
1. ―Wastes are substances or objects which are disposed of or are intended to be‖
disposed of or are required to be disposed of by the provisions of national law;
2. ―Management means the collection, transport and disposal of hazardous‖
wastes or other wastes, including after-care of disposal sites;
3. ―Transboundary movement means any movement of hazardous wastes or other ‖
wastes from an area under the national jurisdiction of one State to or through an area
under the national jurisdiction of another State or to or through an area not under the
national jurisdiction of any State, provided at least two States are involved in the
movement;
4. ―Disposal means any operation specified in Annex IV to this Convention;‖
5. ―Approved site or facility means a site or facility for the disposal of hazardous‖
wastes or other wastes which is authorized or permitted to operate for this purpose by
a relevant authority of the State where the site or facility is located;
6. ―Competent authority means one governmental authority designated by a Party‖
to be responsible, within such geographical areas as the Party may think fit, for
receiving the notification of a transboundary movement of hazardous wastes or other wastes, and
any information related to it, and for responding to such a notification, as
provided in Article 6;
7. ―Focal point means the entity of a Party referred to in Article 5 responsible for ‖
receiving and submitting information as provided for in Articles 13 and 16;
8. ―Environmentally sound management of hazardous wastes or other wastes‖
means taking all practicable steps to ensure that hazardous wastes or other wastes
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are managed in a manner which will protect human health and the environment
against the adverse effects which may result from such wastes;
9. ―Area under the national jurisdiction of a State means any land, marine area‖
or airspace within which a State exercises administrative and regulatory responsibility
in accordance with international law in regard to the protection of human health or the environment;
10. ―State of export means a Party from which a transboundary movement of ‖
hazardous wastes or other wastes is planned to be initiated or is initiated;
11. ―State of import means a Party to which a transboundary movement of ‖
hazardous wastes or other wastes is planned or takes place for the purpose of disposal therein or for
the purpose of loading prior to disposal in an area not under the
national jurisdiction of any State;
12. ―State of transit means any State, other than the State of export or import,‖
through which a movement of hazardous wastes or other wastes is planned or takes
place;
13. ―States concerned means Parties which are States of export or import, or ‖
transit States, whether or not Parties;
14. ―Person means any natural or legal person;‖
15. ―Exporter means any person under the jurisdiction of the State of export who‖
arranges for hazardous wastes or other wastes to be exported;
16. ―Importer means any person under the jurisdiction of the State of import who‖
arranges for hazardous wastes or other wastes to be imported;
17. ―Carrier means any person who carries out the transport of hazardous wastes‖
or other wastes;
18. ―Generator means any person whose activity produces hazardous wastes or ‖
other wastes or, if that person is not known, the person who is in possession and/or
control of those wastes;
19. ―Disposer means any person to whom hazardous wastes or other wastes are‖
shipped and who carries out the disposal of such wastes;
20. ―Political and/or economic integration organization means an organization‖
constituted by sovereign States to which its member States have transferred
competence in respect of matters governed by this Convention and which has been
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duly authorized, in accordance with its internal procedures, to sign, ratify, accept,
approve, formally confirm or accede to it;
21. ―Illegal traffic means any transboundary movement of hazardous wastes or ‖
other wastes as specified in Article 9.
Article 3
National Definitions of Hazardous Wastes
1. Each Party shall, within six months of becoming a Party to this Convention,
inform the Secretariat of the Convention of the wastes, other than those listed in
Annexes I and II, considered or defined as hazardous under its national legislation and of any
requirements concerning transboundary movement procedures applicable to such wastes.
2. Each Party shall subsequently inform the Secretariat of any significant changes
to the information it has provided pursuant to paragraph 1.
3. The Secretariat shall forthwith inform all Parties of the information it has
received pursuant to paragraphs 1 and 2.
4. Parties shall be responsible for making the information transmitted to them by
the Secretariat under paragraph 3 available to their exporters.
Article 4
General Obligations
1. (a) Parties exercising their right to prohibit the import of hazardous wastes or
other wastes for disposal shall inform the other Parties of their decision pursuant to Article 13.
(b) Parties shall prohibit or shall not permit the export of hazardous wastes
and other wastes to the Parties which have prohibited the import of such wastes,
when notified pursuant to subparagraph (a) above.
(c) Parties shall prohibit or shall not permit the export of hazardous wastes
and other wastes if the State of import does not consent in writing to the specific
import, in the case where that State of import has not prohibited the import of such
wastes.
2. Each Party shall take the appropriate measures to:
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(a) Ensure that the generation of hazardous wastes and other wastes within
it is reduced to a minimum, taking into account social, technological and economic
aspects;
(b) Ensure the availability of adequate disposal facilities, for the
environmentally sound management of hazardous wastes and other wastes, that shall be located, to the extent possible, within it, whatever the place of their disposal;
(c) Ensure that persons involved in the management of hazardous wastes or
other wastes within it take such steps as are necessary to prevent pollution due to
hazardous wastes and other wastes arising from such management and, if such pollution occurs, to
minimize the consequences thereof for human health and the
environment;
(d) Ensure that the transboundary movement of hazardous wastes and
other wastes is reduced to the minimum consistent with the environmentally sound and efficient
management of such wastes, and is conducted in a manner which will protect human health and the
environment against the adverse effects which may
result from such movement;
(e) Not allow the export of hazardous wastes or other wastes to a State or
group of States belonging to an economic and/or political integration organization that are Parties,
particularly developing countries, which have prohibited by their
legislation all imports, or if it has reason to believe that the wastes in question will not
be managed in an environmentally sound manner, according to criteria to be decided
on by the Parties at their first meeting;
(f) Require that information about a proposed transboundary movement of
hazardous wastes and other wastes be provided to the States concerned, according to
Annex V A, to state clearly the effects of the proposed movement on human health and
the environment;
(g) Prevent the import of hazardous wastes and other wastes if it has reason
to believe that the wastes in question will not be managed in an environmentally
sound manner;
(h) Co-operate in activities with other Parties and interested organizations,directly and through the Secretariat, including the dissemination of information on the
transboundary movement of hazardous wastes and other wastes, in order to improve
the environmentally sound management of such wastes and to achieve the prevention of illegal
traffic.
3. The Parties consider that illegal traffic in hazardous wastes or other wastes is
criminal.
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4. Each Party shall take appropriate legal, administrative and other measures to
implement and enforce the provisions of this Convention, including measures to prevent and punish
conduct in contravention of the Convention.
5. A Party shall not permit hazardous wastes or other wastes to be exported to a
non-Party or to be imported from a non-Party.
6. The Parties agree not to allow the export of hazardous wastes or other wastes
for disposal within the area south of 60° South latitude, whether or not such wastes
are subject to transboundary movement.
7. Furthermore, each Party shall:
(a) Prohibit all persons under its national jurisdiction from transporting or
disposing of hazardous wastes or other wastes unless such persons are authorized or
allowed to perform such types of operations;
(b) Require that hazardous wastes and other wastes that are to be the
subject of a transboundary movement be packaged, labelled, and transported in conformity with
generally accepted and recognized international rules and standards
in the field of packaging, labelling, and transport, and that due account is taken of
relevant internationally recognized practices;
(c) Require that hazardous wastes and other wastes be accompanied by a
movement document from the point at which a transboundary movement commences
to the point of disposal.
8. Each Party shall require that hazardous wastes or other wastes, to be exported,
are managed in an environmentally sound manner in the State of import or elsewhere. Technical
guidelines for the environmentally sound management of wastes subject to
this Convention shall be decided by the Parties at their first meeting.
9. Parties shall take the appropriate measures to ensure that the transboundary
movement of hazardous wastes and other wastes only be allowed if:
(a) The State of export does not have the technical capacity and the
necessary facilities, capacity or suitable disposal sites in order to dispose of the wastes
in question in an environmentally sound and efficient manner; or
(b) The wastes in question are required as a raw material for recycling or
recovery industries in the State of import; or
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(c) The transboundary movement in question is in accordance with other
criteria to be decided by the Parties, provided those criteria do not differ from the objectives of this
Convention.
10. The obligation under this Convention of States in which hazardous wastes and
other wastes are generated to require that those wastes are managed in an environmentally soundmanner may not under any circumstances be transferred to the States of import or transit.
11. Nothing in this Convention shall prevent a Party from imposing additional
requirements that are consistent with the provisions of this Convention, and are in accordance with
the rules of international law, in order better to protect human health and the environment.
12. Nothing in this Convention shall affect in any way the sovereignty of States over
their territorial sea established in accordance with international law, and the sovereign rights and the
jurisdiction which States have in their exclusive economic zones and their continental shelves in
accordance with international law, and the exercise by
ships and aircraft of all States of navigational rights and freedoms as provided for in
international law and as reflected in relevant international instruments.
13. Parties shall undertake to review periodically the possibilities for the reduction
of the amount and/or the pollution potential of hazardous wastes and other wastes
which are exported to other States, in particular to developing countries.
Article 5
Designation of Competent Authorities and Focal Point
To facilitate the implementation of this Convention, the Parties shall:
1. Designate or establish one or more competent authorities and one focal point.
One competent authority shall be designated to receive the notification in case of a State of transit.
2. Inform the Secretariat, within three months of the date of the entry into force of
this Convention for them, which agencies they have designated as their focal point and
their competent authorities.
3. Inform the Secretariat, within one month of the date of decision, of any changes
regarding the designation made by them under paragraph 2 above.
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Article 6
Transboundary Movement between Parties
1. The State of export shall notify, or shall require the generator or exporter to
notify, in writing, through the channel of the competent authority of the State of
export, the competent authority of the States concerned of any proposed transboundary movement
of hazardous wastes or other wastes. Such notification shall contain the declarations and
information specified in Annex V A, written in a
language acceptable to the State of import. Only one notification needs to be sent to
each State concerned.
2. The State of import shall respond to the notifier in writing, consenting to the
movement with or without conditions, denying permission for the movement, or
requesting additional information. A copy of the final response of the State of import
shall be sent to the competent authorities of the States concerned which are Parties.
3. The State of export shall not allow the generator or exporter to commence the
transboundary movement until it has received written confirmation that:
(a) The notifier has received the written consent of the State of import; and
(b) The notifier has received from the State of import confirmation of the
existence of a contract between the exporter and the disposer specifying environmentally sound
management of the wastes in question.
4. Each State of transit which is a Party shall promptly acknowledge to the notifier receipt of the notification. It may subsequently respond to the notifier in writing, within 60 days,
consenting to the movement with or without conditions, denying permission for the movement, or
requesting additional information. The State of
export shall not allow the transboundary movement to commence until it has received
the written consent of the State of transit. However, if at any time a Party decides not to require prior
written consent, either generally or under specific conditions, for transit transboundary movements
of hazardous wastes or other wastes, or modifies its
requirements in this respect, it shall forthwith inform the other Parties of its decision
pursuant to Article 13. In this latter case, if no response is received by the State of export within 60
days of the receipt of a given notification by the State of transit, the State of export may allow the
export to proceed through the State of transit.
5. In the case of a transboundary movement of wastes where the wastes are legally
defined as or considered to be hazardous wastes only:
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(a) By the State of export, the requirements of paragraph 9 of this Article
that apply to the importer or disposer and the State of import shall apply mutatis
mutandis to the exporter and State of export, respectively;
(b) By the State of import, or by the States of import and transit which are Parties,
the requirements of paragraphs 1, 3, 4 and 6 of this Article that apply to the exporter and State of export shall apply mutatis mutandis to the importer or disposer and State
of import, respectively; or
(c) By any State of transit which is a Party, the provisions of paragraph 4
shall apply to such State.
6. The State of export may, subject to the written consent of the States concerned,
allow the generator or the exporter to use a general notification where hazardous
wastes or other wastes having the same physical and chemical characteristics are
shipped regularly to the same disposer via the same customs office of exit of the State of export via
the same customs office of entry of the State of import, and, in the case of transit, via the same
customs office of entry and exit of the State or States of transit.
7. The States concerned may make their written consent to the use of the general
notification referred to in paragraph 6 subject to the supply of certain information, such as the exact
quantities or periodical lists of hazardous wastes or other wastes to be shipped.
8. The general notification and written consent referred to in paragraphs 6 and 7
may cover multiple shipments of hazardous wastes or other wastes during a maximum period of 12
months.
9. The Parties shall require that each person who takes charge of a transboundary
movement of hazardous wastes or other wastes sign the movement document either
upon delivery or receipt of the wastes in question. They shall also require that the disposer inform
both the exporter and the competent authority of the State of export of receipt by the disposer of the
wastes in question and, in due course, of the completion
of disposal as specified in the notification. If no such information is received within
the State of export, the competent authority of the State of export or the exporter shall so notify the
State of import.
10. The notification and response required by this Article shall be transmitted tothe competent authority of the Parties concerned or to such governmental authority as
may be appropriate in the case of non-Parties.
11. Any transboundary movement of hazardous wastes or other wastes shall be
covered by insurance, bond or other guarantee as may be required by the State of
import or any State of transit which is a Party.
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Article 7
Transboundary Movement from a Party through States which are not Parties
Paragraph 1 of Article 6 of the Convention shall apply mutatis mutandis to transboundary
movement of hazardous wastes or other wastes from a Party through a
State or States which are not Parties.
Article 8
Duty to Re-import
When a transboundary movement of hazardous wastes or other wastes to which the consent
of the States concerned has been given, subject to the provisions of this Convention, cannot be
completed in accordance with the terms of the contract, the State of export shall ensure that the
wastes in question are taken back into the State
of export, by the exporter, if alternative arrangements cannot be made for their disposal in an environmentally sound manner, within 90 days from the time that the importing State
informed the State of export and the Secretariat, or such other period of time as the States concerned
agree. To this end, the State of export and any Party
of transit shall not oppose, hinder or prevent the return of those wastes to the State of
export.
Article 9
Illegal Traffic
1. For the purpose of this Convention, any transboundary movement of hazardouswastes or other wastes:
(a) without notification pursuant to the provisions of this Convention to all
States concerned; or
(b) without the consent pursuant to the provisions of this Convention of a
State concerned; or
(c) with consent obtained from States concerned through falsification,
misrepresentation or fraud; or
(d) that does not conform in a material way with the documents; or
(e) that results in deliberate disposal (e.g. dumping) of hazardous wastes or
other wastes in contravention of this Convention and of general principles of
international law,
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shall be deemed to be illegal traffic.
2. In case of a transboundary movement of hazardous wastes or other wastes
deemed to be illegal traffic as the result of conduct on the part of the exporter or
generator, the State of export shall ensure that the wastes in question are:
(a) taken back by the exporter or the generator or, if necessary, by itself into
the State of export, or, if impracticable,
(b) are otherwise disposed of in accordance with the provisions of this
Convention,
within 30 days from the time the State of export has been informed about the illegal traffic or such
other period of time as States concerned may agree. To this end the Parties concerned shall not
oppose, hinder or prevent the return of those wastes to the
State of export.
3. In the case of a transboundary movement of hazardous wastes or other wastes
deemed to be illegal traffic as the result of conduct on the part of the importer or disposer, the State
of import shall ensure that the wastes in question are disposed of
in an environmentally sound manner by the importer or disposer or, if necessary, by
itself within 30 days from the time the illegal traffic has come to the attention of the State of import
or such other period of time as the States concerned may agree. To this end, the Parties concerned
shall co-operate, as necessary, in the disposal of the
wastes in an environmentally sound manner.
4. In cases where the responsibility for the illegal traffic cannot be assigned either to the exporter or generator or to the importer or disposer, the Parties concerned or other Parties, as
appropriate, shall ensure, through co-operation, that the wastes in
question are disposed of as soon as possible in an environmentally sound manner
either in the State of export or the State of import or elsewhere as appropriate.
5. Each Party shall introduce appropriate national/domestic legislation to prevent
and punish illegal traffic. The Parties shall co-operate with a view to achieving the
objects of this Article.
Article 10
International Co-operation
1. The Parties shall co-operate with each other in order to improve and achieve
environmentally sound management of hazardous wastes and other wastes.
2. To this end, the Parties shall:
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(a) Upon request, make available information, whether on a bilateral or
multilateral basis, with a view to promoting the environmentally sound management of hazardous
wastes and other wastes, including harmonization of technical standards
and practices for the adequate management of hazardous wastes and other wastes;
(b) Co-operate in monitoring the effects of the management of hazardouswastes on human health and the environment;
(c) Co-operate, subject to their national laws, regulations and policies, in the
development and implementation of new environmentally sound low-waste
technologies and the improvement of existing technologies with a view to eliminating, as far as
practicable, the generation of hazardous wastes and other wastes and achieving more effective and
efficient methods of ensuring their management in an
environmentally sound manner, including the study of the economic, social and
environmental effects of the adoption of such new or improved technologies;
(d) Co-operate actively, subject to their national laws, regulations and
policies, in the transfer of technology and management systems related to the
environmentally sound management of hazardous wastes and other wastes. They
shall also co-operate in developing the technical capacity among Parties, especially
those which may need and request technical assistance in this field;
(e) Co-operate in developing appropriate technical guidelines and/or codes of practice.
3. The Parties shall employ appropriate means to co-operate in order to assist
developing countries in the implementation of subparagraphs a, b, c and d of paragraph 2 of Article
4.
4. Taking into account the needs of developing countries, co-operation between
Parties and the competent international organizations is encouraged to promote, inter alia, public
awareness, the development of sound management of hazardous wastes and other wastes and the
adoption of new low-waste technologies.
Article 11
Bilateral, Multilateral and Regional Agreements
1. Notwithstanding the provisions of Article 4 paragraph 5, Parties may enter into bilateral, multilateral, or regional agreements or arrangements regarding
transboundary movement of hazardous wastes or other wastes with Parties or non-
Parties provided that such agreements or arrangements do not derogate from the environmentally
sound management of hazardous wastes and other wastes as required by this Convention. These
agreements or arrangements shall stipulate
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provisions which are not less environmentally sound than those provided for by this
Convention in particular taking into account the interests of developing countries.
2. Parties shall notify the Secretariat of any bilateral, multilateral or regional
agreements or arrangements referred to in paragraph 1 and those which they have
entered into prior to the entry into force of this Convention for them, for the purpose of controllingtransboundary movements of hazardous wastes and other wastes which take place entirely among
the Parties to such agreements. The provisions of this
Convention shall not affect transboundary movements which take place pursuant to
such agreements provided that such agreements are compatible with the environmentally sound
management of hazardous wastes and other wastes as required by this Convention.
Article 12
Consultations on Liability
The Parties shall co-operate with a view to adopting, as soon as practicable, a protocolsetting out appropriate rules and procedures in the field of liability and
compensation for damage resulting from the transboundary movement and disposal of
hazardous wastes and other wastes.
Article 13
Transmission of Information
1. The Parties shall, whenever it comes to their knowledge, ensure that, in the
case of an accident occurring during the transboundary movement of hazardous wastes or other
wastes or their disposal, which are likely to present risks to human health and the environment inother States, those States are immediately informed.
2. The Parties shall inform each other, through the Secretariat, of:
(a) Changes regarding the designation of competent authorities and/or focal
points, pursuant to Article 5;
(b) Changes in their national definition of hazardous wastes, pursuant to
Article 3;
and, as soon as possible,
(c) Decisions made by them not to consent totally or partially to the import
of hazardous wastes or other wastes for disposal within the area under their national
jurisdiction;
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(d) Decisions taken by them to limit or ban the export of hazardous wastes
or other wastes;
(e) Any other information required pursuant to paragraph 4 of this Article.
3. The Parties, consistent with national laws and regulations, shall transmit,through the Secretariat, to the Conference of the Parties established under Article 15, before the end
of each calendar year, a report on the previous calendar year,
containing the following information:
(a) Competent authorities and focal points that have been designated by
them pursuant to Article 5;
(b) Information regarding transboundary movements of hazardous wastes or
other wastes in which they have been involved, including:
(i) The amount of hazardous wastes and other wastes exported, their
category, characteristics, destination, any transit country and disposal method as
stated on the response to notification;
(ii) The amount of hazardous wastes and other wastes imported, their
category, characteristics, origin, and disposal methods;
(iii) Disposals which did not proceed as intended;
(iv) Efforts to achieve a reduction of the amount of hazardous wastes or
other wastes subject to transboundary movement;
(c) Information on the measures adopted by them in implementation of this
Convention;
(d) Information on available qualified statistics which have been compiled by
them on the effects on human health and the environment of the generation,
transportation and disposal of hazardous wastes or other wastes;
(e) Information concerning bilateral, multilateral and regional agreements
and arrangements entered into pursuant to Article 11 of this Convention;
(f) Information on accidents occurring during the transboundary movement
and disposal of hazardous wastes and other wastes and on the measures undertaken
to deal with them;
(g) Information on disposal options operated within the area of their national
jurisdiction;
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(h) Information on measures undertaken for development of technologies for
the reduction and/or elimination of production of hazardous wastes and other wastes;
and
(i) Such other matters as the Conference of the Parties shall deem relevant.
4. The Parties, consistent with national laws and regulations, shall ensure that
copies of each notification concerning any given transboundary movement of hazardous wastes or
other wastes, and the response to it, are sent to the Secretariat
when a Party considers that its environment may be affected by that transboundary
movement has requested that this should be done.
Article 14
Financial Aspects
1. The Parties agree that, according to the specific needs of different regions andsubregions, regional or sub-regional centres for training and technology transfers regarding the
management of hazardous wastes and other wastes and the minimization of their generation should
be established. The Parties shall decide on
the establishment of appropriate funding mechanisms of a voluntary nature.
2. The Parties shall consider the establishment of a revolving fund to assist on an
interim basis in case of emergency situations to minimize damage from accidents arising from
transboundary movements of hazardous wastes and other wastes or
during the disposal of those wastes.
Article 15
Conference of the Parties
1. A Conference of the Parties is hereby established. The first meeting of the
Conference of the Parties shall be convened by the Executive Director of UNEP not
later than one year after the entry into force of this Convention. Thereafter, ordinary meetings of the
Conference of the Parties shall be held at regular intervals to be determined by the Conference at its
first meeting.
2. Extraordinary meetings of the Conference of the Parties shall be held at suchother times as may be deemed necessary by the Conference, or at the written request of any Party,
provided that, within six months of the request being communicated to them by the Secretariat, it is
supported by at least one third of the Parties.
3. The Conference of the Parties shall by consensus agree upon and adopt rules of
procedure for itself and for any subsidiary body it may establish, as well as financial
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rules to determine in particular the financial participation of the Parties under this
Convention.
4. The Parties at their first meeting shall consider any additional measures needed
to assist them in fulfilling their responsibilities with respect to the protection and the
preservation of the marine environment in the context of this Convention.
5. The Conference of the Parties shall keep under continuous review and
evaluation the effective implementation of this Convention, and, in addition, shall:
(a) Promote the harmonization of appropriate policies, strategies and
measures for minimizing harm to human health and the environment by hazardous
wastes and other wastes;
(b) Consider and adopt, as required, amendments to this Convention and its
annexes, taking into consideration, inter alia, available scientific, technical, economic
and environmental information;
(c) Consider and undertake any additional action that may be required for
the achievement of the purposes of this Convention in the light of experience gained in
its operation and in the operation of the agreements and arrangements envisaged in
Article 11;
(d) Consider and adopt protocols as required; and
(e) Establish such subsidiary bodies as are deemed necessary for the
implementation of this Convention.
6. The United Nations, its specialized agencies, as well as any State not Party to
this Convention, may be represented as observers at meetings of the Conference of the Parties. Any
other body or agency, whether national or international, governmental or
non-governmental, qualified in fields relating to hazardous wastes or other wastes
which has informed the Secretariat of its wish to be represented as an observer at a meeting of the
Conference of the Parties, may be admitted unless at least one third of the Parties present object. The
admission and participation of observers shall be
subject to the rules of procedure adopted by the Conference of the Parties.
7. The Conference of the Parties shall undertake three years after the entry into
force of this Convention, and at least every six years thereafter, an evaluation of its effectiveness
and, if deemed necessary, to consider the adoption of a complete or
partial ban of transboundary movements of hazardous wastes and other wastes in
light of the latest scientific, environmental, technical and economic information.
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Article 16
Secretariat
1. The functions of the Secretariat shall be:
(a) To arrange for and service meetings provided for in Articles 15 and 17;
(b) To prepare and transmit reports based upon information received in
accordance with Articles 3, 4, 6, 11 and 13 as well as upon information derived from meetings of
subsidiary bodies established under Article 15 as well as upon, as
appropriate, information provided by relevant intergovernmental and non-
governmental entities;
(c) To prepare reports on its activities carried out in implementation of its
functions under this Convention and present them to the Conference of the Parties;
(d) To ensure the necessary coordination with relevant international bodies,
and in particular to enter into such administrative and contractual arrangements as
may be required for the effective discharge of its function;
(e) To communicate with focal points and competent authorities established
by the Parties in accordance with Article 5 of this Convention;
(f) To compile information concerning authorized national sites and facilities
of Parties available for the disposal of their hazardous wastes and other wastes and to
circulate this information among Parties;
(g) To receive and convey information from and to Parties on:
-
-
-
-
-
-
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sources of technical assistance and training;
available technical and scientific know-how;
sources of advice and expertise; and
availability of resources
with a view to assisting them, upon request, in such areas as:
the handling of the notification system of this Convention;
the management of hazardous wastes and other wastes;
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- environmentally sound technologies relating to hazardous wastes and other
wastes; such as low- and non-waste technology;
- the assessment of disposal capabilities and sites;
- the monitoring of hazardous wastes and other wastes; and
- emergency responses;
(h) To provide Parties, upon request, with information on consultants or
consulting firms having the necessary technical competence in the field, which can
assist them to examine a notification for a transboundary movement, the concurrence
of a shipment of hazardous wastes or other wastes with the relevant notification, and/or the fact that
the proposed disposal facilities for hazardous wastes or other wastes are environmentally sound,
when they have reason to believe that the wastes
in question will not be managed in an environmentally sound manner. Any such
examination would not be at the expense of the Secretariat;
(i) To assist Parties upon request in their identification of cases of illegal
traffic and to circulate immediately to the Parties concerned any information it has
received regarding illegal traffic;
(j) To co-operate with Parties and with relevant and competent international
organizations and agencies in the provision of experts and equipment for the purpose
of rapid assistance to States in the event of an emergency situation; and
(k) To perform such other functions relevant to the purposes of thisConvention as may be determined by the Conference of the Parties.
2. The secretariat functions will be carried out on an interim basis by UNEP until
the completion of the first meeting of the Conference of the Parties held pursuant to
Article 15.
3. At its first meeting, the Conference of the Parties shall designate the Secretariat
from among those existing competent intergovernmental organizations which have signified their
willingness to carry out the secretariat functions under this Convention.
At this meeting, the Conference of the Parties shall also evaluate the implementation
by the interim Secretariat of the functions assigned to it, in particular under
paragraph 1 above, and decide upon the structures appropriate for those functions.
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Article 17
Amendment of the Convention
1. Any Party may propose amendments to this Convention and any Party to a
protocol may propose amendments to that protocol. Such amendments shall take due
account, inter alia, of relevant scientific and technical considerations.
2. Amendments to this Convention shall be adopted at a meeting of the
Conference of the Parties. Amendments to any protocol shall be adopted at a meeting
of the Parties to the protocol in question. The text of any proposed amendment to this
Convention or to any protocol, except as may otherwise be provided in such protocol, shall be
communicated to the Parties by the Secretariat at least six months before the meeting at which it is
proposed for adoption. The Secretariat shall also communicate
proposed amendments to the Signatories to this Convention for information.
3. The Parties shall make every effort to reach agreement on any proposed
amendment to this Convention by consensus. If all efforts at consensus have been exhausted, and no
agreement reached, the amendment shall as a last resort be
adopted by a three-fourths majority vote of the Parties present and voting at the
meeting, and shall be submitted by the Depositary to all Parties for ratification, approval, formal
confirmation or acceptance.
4. The procedure mentioned in paragraph 3 above shall apply to amendments to
any protocol, except that a two-thirds majority of the Parties to that protocol present
and voting at the meeting shall suffice for their adoption.
5. Instruments of ratification, approval, formal confirmation or acceptance of
amendments shall be deposited with the Depositary. Amendments adopted in
accordance with paragraphs 3 or 4 above shall enter into force between Parties having
accepted them on the ninetieth day after the receipt by the Depositary of their instrument of
ratification, approval, formal confirmation or acceptance by at least three-fourths of the Parties who
accepted them or by at least two thirds of the Parties
to the protocol concerned who accepted them, except as may otherwise be provided in
such protocol. The amendments shall enter into force for any other Party on the ninetieth day after
that Party deposits its instrument of ratification, approval, formal confirmation or acceptance of the
amendments.
6. For the purpose of this Article, ―Parties present and voting means Parties‖
present and casting an affirmative or negative vote.
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Article 18
Adoption and Amendment of Annexes
1. The annexes to this Convention or to any protocol shall form an integral part of
this Convention or of such protocol, as the case may be and, unless expressly provided
otherwise, a reference to this Convention or its protocols constitutes at the same time a reference to
any annexes thereto. Such annexes shall be restricted to scientific, technical and administrative
matters.
2. Except as may be otherwise provided in any protocol with respect to its annexes,
the following procedure shall apply to the proposal, adoption and entry into force of
additional annexes to this Convention or of annexes to a protocol:
(a) Annexes to this Convention and its protocols shall be proposed and
adopted according to the procedure laid down in Article 17, paragraphs 2, 3 and 4;
(b) Any Party that is unable to accept an additional annex to this
Convention or an annex to any protocol to which it is party shall so notify the Depositary, in
writing, within six months from the date of the communication of the
adoption by the Depositary. The Depositary shall without delay notify all Parties of
any such notification received. A Party may at any time substitute an acceptance for a previous
declaration of objection and the annexes shall thereupon enter into force for
that Party;
(c) On the expiry of six months from the date of the circulation of the
communication by the Depositary, the annex shall become effective for all Parties to thisConvention or to any protocol concerned, which have not submitted a notification in accordance with
the provision of subparagraph (b) above.
3. The proposal, adoption and entry into force of amendments to annexes to this
Convention or to any protocol shall be subject to the same procedure as for the proposal, adoption
and entry into force of annexes to the Convention or annexes to a protocol. Annexes and
amendments thereto shall take due account, inter alia, of
relevant scientific and technical considerations.
4. If an additional annex or an amendment to an annex involves an amendment to
this Convention or to any protocol, the additional annex or amended annex shall not enter into force
until such time the amendment to this Convention or to the protocol
enters into force.
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Article 19
Verification
Any Party which has reason to believe that another Party is acting or has acted in breach of
its obligations under this Convention may inform the Secretariat thereof,
and in such an event, shall simultaneously and immediately inform, directly or through the
Secretariat, the Party against whom the allegations are made. All relevant information should be
submitted by the Secretariat to the Parties.
Article 20
Settlement of Disputes
1. In case of a dispute between Parties as to the interpretation or application of, or
compliance with, this Convention or any protocol thereto, they shall seek a settlement
of the dispute through negotiation or any other peaceful means of their own choice.
2. If the Parties concerned cannot settle their dispute through the means
mentioned in the preceding paragraph, the dispute, if the Parties to the dispute agree, shall be
submitted to the International Court of Justice or to arbitration under the
conditions set out in Annex VI on Arbitration. However, failure to reach common
agreement on submission of the dispute to the International Court of Justice or to arbitration shall
not absolve the Parties from the responsibility of continuing to seek to resolve it by the means
referred to in paragraph 1.
3. When ratifying, accepting, approving, formally confirming or acceding to this
Convention, or at any time thereafter, a State or political and/or economic integration organization
may declare that it recognizes as compulsory ipso facto and without
special agreement, in relation to any Party accepting the same obligation:
(a) submission of the dispute to the International Court of Justice; and/or
(b) arbitration in accordance with the procedures set out in Annex VI.
Such declaration shall be notified in writing to the Secretariat which shall communicate it to the
Parties.
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Article 21
Signature
This Convention shall be open for signature by States, by Namibia, represented by the United
Nations Council for Namibia, and by political and/or economic
integration organizations, in Basel on 22 March 1989, at the Federal Department of Foreign Affairs
of Switzerland in Berne from 23 March 1989 to 30 June 1989 and at United Nations Headquarters in
New York from 1 July 1989 to 22 March 1990.
Article 22
Ratification, Acceptance, Formal Confirmation or Approval
1. This Convention shall be subject to ratification, acceptance or approval by
States and by Namibia, represented by the United Nations Council for Namibia, and to
formal confirmation or approval by political and/or economic integration organizations.Instruments of ratification, acceptance, formal confirmation, or approval shall be deposited with the
Depositary.
2. Any organization referred to in paragraph 1 above which becomes a Party to
this Convention without any of its member States being a Party shall be bound by all
the obligations under the Convention. In the case of such organizations, one or more of whose
member States is a Party to the Convention, the organization and its member States shall decide on
their respective responsibilities for the performance of their
obligations under the Convention. In such cases, the organization and the member
States shall not be entitled to exercise rights under the Convention concurrently.
3. In their instruments of formal confirmation or approval, the organizations
referred to in paragraph 1 above shall declare the extent of their competence with
respect to the matters governed by the Convention. These organizations shall also
inform the Depositary, who will inform the Parties of any substantial modification in the extent of
their competence.
Article 23
Accession
1. This Convention shall be open for accession by States, by Namibia, represented
by the United Nations Council for Namibia, and by political and/or economic integration
organizations from the day after the date on which the Convention is
closed for signature. The instruments of accession shall be deposited with the
Depositary.
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2. In their instruments of accession, the organizations referred to in paragraph 1
above shall declare the extent of their competence with respect to the matters governed by the
Convention. These organizations shall also inform the Depositary of
any substantial modification in the extent of their competence.
3. The provisions of Article 22, paragraph 2, shall apply to political and/or economic integration organizations which accede to this Convention.
Article 24
Right to Vote
1. Except as provided for in paragraph 2 below, each Contracting Party to this
Convention shall have one vote.
2. Political and/or economic integration organizations, in matters within their
competence, in accordance with Article 22, paragraph 3, and Article 23, paragraph 2,shall exercise their right to vote with a number of votes equal to the number of their member States
which are Parties to the Convention or the relevant protocol. Such organizations shall not exercise
their right to vote if their member States exercise
theirs, and vice versa.
Article 25
Entry into Force
1. This Convention shall enter into force on the ninetieth day after the date of
deposit of the twentieth instrument of ratification, acceptance, formal confirmation,approval or accession.
2. For each State or political and/or economic integration organization which
ratifies, accepts, approves or formally confirms this Convention or accedes thereto
after the date of the deposit of the twentieth instrument of ratification, acceptance,
approval, formal confirmation or accession, it shall enter into force on the ninetieth day after the
date of deposit by such State or political and/or economic integration organization of its instrument
of ratification, acceptance, approval, formal
confirmation or accession.
3. For the purpose of paragraphs 1 and 2 above, any instrument deposited by a
political and/or economic integration organization shall not be counted as additional to those
deposited by member States of such organization.
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Article 26
Reservations and Declarations
1. No reservation or exception may be made to this Convention.
2. Paragraph 1 of this Article does not preclude a State or political and/or
economic integration organization, when signing, ratifying, accepting, approving, formally
confirming or acceding to this Convention, from making declarations or statements, however
phrased or named, with a view, inter alia, to the harmonization of
its laws and regulations with the provisions of this Convention, provided that such
declarations or statements do not purport to exclude or to modify the legal effects of the provisions
of the Convention in their application to that State.
Article 27
Withdrawal
1. At any time after three years from the date on which this Convention has
entered into force for a Party that Party may withdraw from the Convention by giving written
notification to the Depositary.
2. Withdrawal shall be effective one year from receipt of notification by the
Depositary, or on such later date as may be specified in the notification.
Article 28
Depository
The Secretary-General of the United Nations shall be the Depository of this Convention and
of any protocol thereto.
Article 29
Authentic texts
The original Arabic, Chinese, English, French, Russian and Spanish texts of this Convention
are equally authentic.
IN WITNESS WHEREOF the undersigned, being duly authorized to that effect, have signed
this Convention.
Done at Basel on the 22 day of March 1989
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Annex I
Y1
Y2
Y3
Y4
Y5
Y6
Y7
Y8
Y9
Y10
Y11
Y12
Y13
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Categories of wastes to be controlled
Waste Streams
Clinical wastes from medical care in hospitals,
medical centers and clinics
Wastes from the production and preparation of
pharmaceutical products
Waste pharmaceuticals, drugs and medicines
Wastes from the production, formulation and
use of biocides and phytopharmaceuticals
Wastes from the manufacture, formulation and
use of wood preserving chemicals
Wastes from the production, formulation and
use of organic solvents
Wastes from heat treatment and tempering
operations containing cyanides
Waste mineral oils unfit for their originally
intended use
Waste oils/water, hydrocarbons/water
mixtures, emulsions
Waste substances and articles containing or
contaminated with polychlorinated biphenyls
(PCBs) and/or polychlorinated terphenyls
(PCTs) and/or polybrominated biphenyls (PBBs)
Waste tarry residues arising from refining,
distillation and any pyrolytic treatment
Wastes from production, formulation and use of
inks, dyes, pigments, paints, lacquers, varnish
Wastes from production, formulation and use of
resins, latex, plasticizers, glues/adhesives
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Y14
Y15
Y16
Y17
Y18
Y19
Y20
Y21
Y22
Y23
Y24
Y25
Y26
Y27
Y28
Y29
Y30
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Waste chemical substances arising from
research and development or teaching activities
which are not identified and/or are new and
whose effects on man and/or the environment
are not known
Wastes of an explosive nature not subject to
other legislation
Wastes from production, formulation and use of
photographic chemicals and processing
materials
Wastes resulting from surface treatment of
metals and plastics
Residues arising from industrial waste disposaloperations
Wastes having as constituents:
Metal carbonyls
Beryllium; beryllium compounds
Hexavalent chromium compounds
Copper compounds
Zinc compounds
Arsenic; arsenic compounds
Selenium; selenium compounds
Cadmium; cadmium compounds
Antimony; antimony compounds
Tellurium; tellurium compounds
Mercury; mercury compounds
Thallium; thallium compounds
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Y31
Y32
Y33
Y34
Y35
Y36
Y37
Y38
Y39
Y40
Y41
Y42
Y43
Y44
Y45
(a)
Lead; lead compounds
Inorganic fluorine compounds excluding
calcium fluoride
Inorganic cyanides
Acidic solutions or acids in solid form
Basic solutions or bases in solid form
Asbestos (dust and fibres)
Organic phosphorus compounds
Organic cyanides
Phenols; phenol compounds includingchlorophenols
Ethers
Halogenated organic solvents
Organic solvents excluding halogenated
solvents
Any congenor of polychlorinated dibenzo-furan
Any congenor of polychlorinated dibenzo-p-
dioxin
Organohalogen compounds other than
substances referred to in this Annex (e.g. Y39,
Y41, Y42, Y43, Y44)
To facilitate the application of this Convention, and subject to
paragraphs (b), (c) and (d), wastes listed in Annex VIII are characterized as hazardous
pursuant to Article 1, paragraph 1 (a), of this Convention, and wastes listed in Annex
IX are not covered by Article 1, paragraph 1 (a), of this Convention.
(b) Designation of a waste on Annex VIII does not preclude, in a particular
case, the use of Annex III to demonstrate that a waste is not hazardous pursuant to
Article 1, paragraph 1 (a), of this Convention.
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(c) Designation of a waste on Annex IX does not preclude, in a particular
case, characterization of such a waste as hazardous pursuant to Article 1, paragraph 1 (a), of this
Convention if it contains Annex I material to an extent causing it to
exhibit an Annex III characteristic.
(d) Annexes VIII and IX do not affect the application of Article 1, paragraph 1(a), of this Convention for the purpose of characterization of wastes.
Annex II
Categories of wastes requiring special consideration
Y46
Y47
Wastes collected from households
Residues arising from the incineration of
household wastes
Annex III
List of hazardous characteristics
UN
Class
1
3
Code
H1
H3
Characteristics
Explosive
An explosive substance or waste is a solid or liquid substance or waste (or
mixture of substances or wastes)
which is in itself capable by chemical
reaction of producing gas at such a
temperature and pressure and at such
a speed as to cause damage to the
surroundings.
Flammable liquids
The word ―flammable has the same‖meaning as ―inflammable . Flammable‖
liquids are liquids, or mixtures of
liquids, or liquids containing solids in
solution or suspension (for example, paints,
varnishes, lacquers, etc., but
not including substances or wastes
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otherwise classified on account of their
dangerous characteristics) which give
off a flammable vapour at
temperatures of not more than 60.5ºC,
closed-cup test, or not more than
65.6ºC, open-cup test. (Since theresults of open-cup tests and of closed-
cup tests are not strictly comparable
and even individual results by the
same test are often variable,
regulations varying from the above
figures to make allowance for such
differences would be within the spirit
of this definition.)
4.1
4.2
4.3
5.1
H4.1
H4.2
H4.3
H5.1
Flammable solids
Solids, or waste solids, other than those
classed as explosives, which
under conditions encountered in
transport are readily combustible, or
may cause or contribute to fire through
friction.
Substances or wastes liable to
spontaneous combustion
Substances or wastes which are liable to
spontaneous heating under normal
conditions encountered in transport, or
to heating up on contact with air, and
being then liable to catch fire.
Substances or wastes which, in
contact with water emit flammable
gases
Substances or wastes which, byinteraction with water, are liable to
become spontaneously flammable or to
give off flammable gases in dangerous
quantities.
Oxidizing
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Substances or wastes which, while in
themselves not necessarily
combustible, may, generally by yielding
oxygen cause, or contribute to, the
combustion of other materials.
5.2
6.1
6.2
8
9
H5.2
H6.1
H6.2
H8
H10
Organic Peroxides
Organic substances or wastes which
contain the bivalent-o-o-structure are
thermally unstable substances which
may undergo exothermic self-
accelerating decomposition.
Poisonous (Acute)
Substances or wastes liable either tocause death or serious injury or to
harm human health if swallowed or
inhaled or by skin contact.
Infectious substances
Substances or wastes containing viable
micro organisms or their toxins which
are known or suspected to cause
disease in animals or humans.
Corrosives
Substances or wastes which, by
chemical action, will cause severe
damage when in contact with living
tissue, or, in the case of leakage, will
materially damage, or even destroy,
other goods or the means of transport;
they may also cause other hazards.
Liberation of toxic gases in contact
with air or water
Substances or wastes which, by
interaction with air or water, are liable
to give off toxic gases in dangerous
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quantities.
9 H11 Toxic (Delayed or chronic)
Substances or wastes which, if they
are inhaled or ingested or if they
penetrate the skin, may involve
delayed or chronic effects, including
carcinogenicity.
9 H12 Ecotoxic
Substances or wastes which if released
present or may present immediate or
delayed adverse impacts to the
environment by means of
bioaccumulation and/or toxic effects upon biotic systems.
9 H13 Capable, by any means, after disposal,
of yielding another material, e.g.,
leachate, which possesses any of the
characteristics listed above.
Tests
The potential hazards posed by certain types of wastes are not yet fully documented; teststo define quantitatively these hazards do not exist. Further research is necessary in order to develop
means to characterise potential hazards posed to man and/or the environment by these wastes.
Standardized tests have been
derived with respect to pure substances and materials. Many countries have
developed national tests which can be applied to materials listed in Annex I, in order to decide if
these materials exhibit any of the characteristics listed in this Annex.
Annex IV
Disposal operations
A. Operations which do not lead to the possibility of resource recovery, recycling,
reclamation, direct re-use or alternative uses
Section A encompasses all such disposal operations which occur in practice.
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D1
D2
D3
D4
D5
D6
D7
D8
D9
D10
D11
D12
D13
D14
Deposit into or onto land, (e.g., landfill, etc.)
Land treatment, (e.g., biodegradation of liquid or
sludgy discards in soils, etc.)
Deep injection, (e.g., injection of pumpable
discards into wells, salt domes of naturally
occurring repositories, etc.)
Surface impoundment, (e.g., placement of liquid
or sludge discards into pits, ponds or lagoons,
etc.)
Specially engineered landfill, (e.g., placement into lined
discrete cells which are capped and isolated
from one another and the environment, etc.)
Release into a water body except seas/oceans
Release into seas/oceans including sea-bed
insertion
Biological treatment not specified elsewhere in
this Annex which results in final compounds or
mixtures which are discarded by means of any of
the operations in Section A
Physico chemical treatment not specifiedelsewhere in this Annex which results in final
compounds or mixtures which are discarded by
means of any of the operations in Section A, (e.g.,
evaporation, drying, calcination, neutralization,
precipitation, etc.)
Incineration on land
Incineration at sea
Permanent storage (e.g., emplacement of containers in a mine, etc.)
Blending or mixing prior to submission to any of
the operations in Section A
Repackaging prior to submission to any of the
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operations in Section A
D15 Storage pending any of the operations in Section
A
B. Operations which may lead to resource recovery, recycling reclamation, direct
re-use or alternative uses
Section B encompasses all such operations with respect to materials legally defined as or considered
to be hazardous wastes and which otherwise would have been destined
for operations included in Section A
R1
R2
R3
R4
R5
R6
R7
R8
R9
R10
R11
R12
Use as a fuel (other than in direct incineration) or
other means to generate energy
Solvent reclamation/regeneration
Recycling/reclamation of organic substances
which are not used as solvents
Recycling/reclamation of metals and metal
compounds
Recycling/reclamation of other inorganic
materials
Regeneration of acids or bases
Recovery of components used for pollution
abatement
Recovery of components from catalysts
Used oil re-refining or other reuses of previously
used oil
Land treatment resulting in benefit to agriculture
or ecological improvement
Uses of residual materials obtained from any of
the operations numbered R1-R10
Exchange of wastes for submission to any of the
operations numbered R1-R11
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R13 Accumulation of material intended for any
operation in Section B
Annex V A
Information to be provided on notification
1.
2.
3.
4.
5.
6.
7.
8.
9.
10.
Reason for waste export
Exporter of the waste 1/
Generator(s) of the waste and site of generation 1/
Disposer of the waste and actual site of disposal 1/
Intended carrier(s) of the waste or their agents, if known 1/
Country of export of the waste
Competent authority 2/
Expected countries of transit
Competent authority 2/
Country of import of the waste
Competent authority 2/
General or single notification
Projected date(s) of shipment(s) and period of time over which waste is to be
exported and proposed itinerary (including point of entry and exit)3/
11. Means of transport envisaged (road, rail, sea, air, inland waters)
12. Information relating to insurance 4/
13. Designation and physical description of the waste including Y number and UN
number and its composition 5/ and information on any special handling requirements
including emergency provisions in case of accidents
14. Type of packaging envisaged (e.g. bulk, drummed, tanker)
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15. Estimated quantity in weight/volume 6/
16. Process by which the waste is generated 7/
17. For wastes listed in Annex I, classifications from Annex III: hazardous
characteristic, H number, and UN class
18. Method of disposal as per Annex IV
19. Declaration by the generator and exporter that the information is correct
20. Information transmitted (including technical description of the plant) to the
exporter or generator from the disposer of the waste upon which the latter has based
his assessment that there was no reason to believe that the wastes will not be managed in an
environmentally sound manner in accordance with the laws and
regulations of the country of import
21. Information concerning the contract between the exporter and disposer.
Notes
1/ Full name and address, telephone, telex or telefax number and the name,
address, telephone, telex or telefax number of the person to be contacted.
2/ Full name and address, telephone, telex or telefax number.
3/ In the case of a general notification covering several shipments, either theexpected dates of each shipment or, if this is not known, the expected frequency of the shipments will
be required.
4/ Information to be provided on relevant insurance requirements and how they
are met by exporter, carrier and disposer.
5/ The nature and the concentration of the most hazardous components, in terms
of toxicity and other dangers presented by the waste both in handling and in relation
to the proposed disposal method.
6/ In the case of a general notification covering several shipments, both the
estimated total quantity and the estimated quantities for each individual shipment will be required.
7/ Insofar as this is necessary to assess the hazard and determine the
appropriateness of the proposed disposal operation.
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1.
2.
3.
4.
5.
6.
Annex V B
Information to be provided on the movement document
Exporter of the waste 1/
Generator(s) of the waste and site of generation 1/
Disposer of the waste and actual site of disposal 1/
Carrier(s) of the waste 1/ or his agent(s)
Subject of general or single notification
The date the transboundary movement started and date(s) and signature on
receipt by each person who takes charge of the waste
7. Means of transport (road, rail, inland waterway, sea, air) including countries of
export, transit and import, also point of entry and exit where these have been
designated
8. General description of the waste (physical state, proper UN shipping name and
class, UN number, Y number and H number as applicable)
9. Information on special handling requirements including emergency provision in
case of accidents
10. Type and number of packages
11. Quantity in weight/volume
12. Declaration by the generator or exporter that the information is correct
13. Declaration by the generator or exporter indicating no objection from the
competent authorities of all States concerned which are Parties
14. Certification by disposer of receipt at designated disposal facility and indication
of method of disposal and of the approximate date of disposal.
Notes
The information required on the movement document shall where possible be integrated in one
document with that required under transport rules. Where this is not possible the information should
complement rather than duplicate that required
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under the transport rules. The movement document shall carry instructions as to
who is to provide information and fill-out any form.
1/ Full name and address, telephone, telex or telefax number and the name,
address, telephone, telex or telefax number of the person to be contacted in case of
emergency.
Annex VI
Arbitration
Article 1
Unless the agreement referred to in Article 20 of the Convention provides otherwise, the
arbitration procedure shall be conducted in accordance with Articles 2 to 10 below.
Article 2
The claimant Party shall notify the Secretariat that the Parties have agreed to submit the dispute to
arbitration pursuant to paragraph 2 or paragraph 3 of Article 20 and include, in particular, the
Articles of the Convention the interpretation or application
of which are at issue. The Secretariat shall forward the information thus received to
all Parties to the Convention.
Article 3
The arbitral tribunal shall consist of three members. Each of the Parties to the dispute shall appoint
an arbitrator, and the two arbitrators so appointed shall
designate by common agreement the third arbitrator, who shall be the chairman of the tribunal. The
latter shall not be a national of one of the Parties to the dispute, nor have his usual place of
residence in the territory of one of these Parties, nor be
employed by any of them, nor have dealt with the case in any other capacity.
Article 4
1. If the chairman of the arbitral tribunal has not been designated within two
months of the appointment of the second arbitrator, the Secretary-General of the
United Nations shall, at the request of either Party, designate him within a further twomonths period.
2. If one of the Parties to the dispute does not appoint an arbitrator within two
months of the receipt of the request, the other Party may inform the Secretary-General
of the United Nations who shall designate the chairman of the arbitral tribunal within
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a further two months' period. Upon designation, the chairman of the arbitral tribunal
shall request the Party which has not appointed an arbitrator to do so within two months. After such
period, he shall inform the Secretary-General of the United
Nations, who shall make this appointment within a further two months' period.
Article 5
1. The arbitral tribunal shall render its decision in accordance with international
law and in accordance with the provisions of this Convention.
2. Any arbitral tribunal constituted under the provisions of this Annex shall draw
up its own rules of procedure.
Article 6
1. The decisions of the arbitral tribunal both on procedure and on substance shall
be taken by majority vote of its members.
2. The tribunal may take all appropriate measures in order to establish the facts.
It may, at the request of one of the Parties, recommend essential interim measures of protection.
3. The Parties to the dispute shall provide all facilities necessary for the effective
conduct of the proceedings.
4. The absence or default of a Party in the dispute shall not constitute an
impediment to the proceedings.
Article 7
The tribunal may hear and determine counter-claims arising directly out of the subject-matter
of the dispute.
Article 8
Unless the arbitral tribunal determines otherwise because of the particular circumstances of
the case, the expenses of the tribunal, including the remuneration of its members, shall be borne by
the Parties to the dispute in equal shares. The tribunal shall keep a record of all its expenses, and
shall furnish a final statement
thereof to the Parties.
Article 9
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Any Party that has an interest of a legal nature in the subject-matter of the
dispute which may be affected by the decision in the case, may intervene in the proceedings with
the consent of the tribunal.
Article 10
1. The tribunal shall render its award within five months of the date on which it is
established unless it finds it necessary to extend the time-limit for a period which should not exceed
five months.
2. The award of the arbitral tribunal shall be accompanied by a statement of
reasons. It shall be final and binding upon the Parties to the dispute.
3. Any dispute which may arise between the Parties concerning the interpretation
or execution of the award may be submitted by either Party to the arbitral tribunal
which made the award or, if the latter cannot be seized thereof, to another tribunal
constituted for this purpose in the same manner as the first.
Annex VIII
List A
Wastes contained in this Annex are characterized as hazardous under Article 1, paragraph 1
(a), of this Convention and their designation on this Annex does not preclude the use of Annex III to
demonstrate that a waste is not hazardous.
A1 Metal and metal-bearing wastes
A1010 Metal wastes and waste consisting of alloys of
any of the following:
• Antimony
• Arsenic
• Beryllium
• Cadmium
• Lead
• Mercury
• Selenium
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• Tellurium
• Thallium
but excluding such wastes specifically
listed on list B.
A1020 Waste having as constituents or
contaminants, excluding metal waste in
massive form, any of the following:
• Antimony; antimony compounds
• Beryllium; beryllium compounds
• Cadmium; cadmium compounds
• Lead; lead compounds
• Selenium; selenium compounds
• Tellurium; tellurium compounds
A1030 Wastes having as constituents or
contaminants any of the following:
• Arsenic; arsenic compounds
• Mercury; mercury compounds
• Thallium; thallium compounds
A1040 Wastes having as constituents any of the
following:
• Metal carbonyls
• Hexavalent chromium compounds
A1050 Galvanic sludges
A1060 Waste liquors from the pickling of metals
A1070 Leaching residues from zinc processing, dust
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A1080
A1090
A1100
A1110
A1120
A1130
A1140
A1150
A1160
A1170
A1180
and sludges such as jarosite, hematite, etc.
Waste zinc residues not included on list B,
containing lead and cadmium in
concentrations sufficient to exhibit Annex III
characteristics
Ashes from the incineration of insulated
copper wire
Dusts and residues from gas cleaning systems
of copper smelters
Spent electrolytic solutions from copper
electrorefining and electrowinning operations
Waste sludges, excluding anode slimes, fromelectrolyte purification systems in copper
electrorefining and electrowinning operations
Spent etching solutions containing dissolved
copper
Waste cupric chloride and copper cyanide
catalysts
Precious metal ash from incineration of
printed circuit boards not included on list B
Waste lead-acid batteries, whole or crushed
Unsorted waste batteries excluding mixtures
of only list B batteries. Waste batteries not
specified on list B containing Annex I
constituents to an extent to render them
hazardous
Waste electrical and electronic assemblies or
scrap containing components such asaccumulators and other batteries included on list A,
mercury-switches, glass from cathode- ray tubes and
other activated glass and PCB-
capacitors, or contaminated with Annex I
constituents (e.g., cadmium, mercury, lead,
polychlorinated biphenyl) to an extent that
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they possess any of the characteristics
contained in Annex III (note the related entry
on list B B1110)
A1190 Waste metal cables coated or insulated with
plastics containing or contaminated with coal tar,PCB, lead, cadmium, other organohalogen
compounds or other Annex I constituents to
an extent that they exhibit Annex III
characteristics.
A2 Wastes containing principally inorganic constituents, which may contain metals
and organic materials
A2010
A2020
A2030
A2040
A2050
A2060
Glass waste from cathode-ray tubes and other
activated glasses
Waste inorganic fluorine compounds in the
form of liquids or sludges but excluding such
wastes specified on list B
Waste catalysts but excluding such wastes
specified on list B
Waste gypsum arising from chemical industry
processes, when containing Annex I
constituents to the extent that it exhibits an
Annex III hazardous characteristic (note the
related entry on list B B2080)
Waste asbestos (dusts and fibres)
Coal-fired power plant fly-ash containing
Annex I substances in concentrations
sufficient to exhibit Annex III characteristics
(note the related entry on list B B2050)
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A3 Wastes containing principally organic constituents, which may contain metals and
inorganic materials
A3010
A3020
A3030
A3040
A3050
A3060
A3070
A3080
A3090
A3100
A3110
Waste from the production or processing of
petroleum coke and bitumen
Waste mineral oils unfit for their originally
intended use
Wastes that contain, consist of or are
contaminated with leaded anti-knock
compound sludges
Waste thermal (heat transfer) fluids
Wastes from production, formulation and
use of resins, latex, plasticizers,glues/adhesives excluding such wastes
specified on list B (note the related entry
on list B B4020)
Waste nitrocellulose
Waste phenols, phenol compounds
including chlorophenol in the form of
liquids or sludges
Waste ethers not including those specifiedon list B
Waste leather dust, ash, sludges and
flours when containing hexavalent
chromium compounds or biocides (note
the related entry on list B B3100)
Waste paring and other waste of leather or of
composition leather not suitable for the
manufacture of leather articles containing
hexavalent chromium compounds or biocides (note the related entry on list B
B3090)
Fellmongery wastes containing hexavalent
chromium compounds or biocides or
infectious substances (note the related
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A3120
A3130
A3140
A3150
A3160
A3170
A3180
A3190
A3200
entry on list B B3110)
Fluff - light fraction from shredding
Waste organic phosphorous compounds
Waste non-halogenated organic solvents
but excluding such wastes specified on list
B
Waste halogenated organic solvents
Waste halogenated or unhalogenated non-
aqueous distillation residues arising from
organic solvent recovery operations
Wastes arising from the production of
aliphatic halogenated hydrocarbons (such
as chloromethane, dichloro-ethane, vinyl
chloride, vinylidene chloride, allyl chloride
and epichlorhydrin)
Wastes, substances and articles
containing, consisting of or contaminated
with polychlorinated biphenyl (PCB),
polychlorinated terphenyl (PCT),
polychlorinated naphthalene (PCN) or
polybrominated biphenyl (PBB), or anyother polybrominated analogues of these
compounds, at a concentration level of 50
mg/kg or more
Waste tarry residues (excluding asphalt
cements) arising from refining, distillation
and any pyrolitic treatment of organic
materials
Bituminous material (asphalt waste) from
road construction and maintenance,
containing tar (note the related entry on
list B, B2130)
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A4 Wastes which may contain either inorganic or organic constituents
A4010
A4020
A4030
A4040
A4050
Wastes from the production, preparation and use of
pharmaceutical products but excluding
such wastes specified on list B
Clinical and related wastes; that is wastes
arising from medical, nursing, dental,
veterinary, or similar practices, and wastes
generated in hospitals or other facilities
during the investigation or treatment of
patients, or research projects
Wastes from the production, formulation and
use of biocides and phytopharmaceuticals,
including waste pesticides and herbicides
which are off-specification, outdated, or unfitfor their originally intended use
Wastes from the manufacture, formulation
and use of wood-preserving chemicals
Wastes that contain, consist of or are
contaminated with any of the following:
• Inorganic cyanides, excepting precious-
metal-bearing residues in solid form
containing traces of inorganic cyanides
• Organic cyanides
A4060
A4070
A4080
A4090
Waste oils/water, hydrocarbons/water
mixtures, emulsions
Wastes from the production, formulation and use of
inks, dyes, pigments, paints, lacquers,
varnish excluding any such waste specified on
list B (note the related entry on list B B4010)
Wastes of an explosive nature (but excluding
such wastes specified on list B)
Waste acidic or basic solutions, other than
those specified in the corresponding entry on
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A4100
A4110
list B (note the related entry on list B B2120)
Wastes from industrial pollution control
devices for cleaning of industrial off-gases but
excluding such wastes specified on list B
Wastes that contain, consist of or are
contaminated with any of the following:
• Any congenor of polychlorinated
dibenzo-furan
• Any congenor of polychlorinated
A4120
A4130
A4140
A4150
A4160
dibenzo-p-dioxin
Wastes that contain, consist of or are
contaminated with peroxides
Waste packages and containers containing
Annex I substances in concentrations
sufficient to exhibit Annex III hazard
characteristics
Waste consisting of or containing off
specification or outdated chemicals
corresponding to Annex I categories and
exhibiting Annex III hazard characteristics
Waste chemical substances arising from
research and development or teaching
activities which are not identified and/or are
new and whose effects on human health
and/or the environment are not known
Spent activated carbon not included on list B
(note the related entry on list B B2060)
Annex IX
List B
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Wastes contained in the Annex will not be wastes covered by Article 1,
paragraph 1 (a), of this Convention unless they contain Annex I material to an extent causing them to
exhibit an Annex III characteristic.
B1 Metal and metal-bearing wastes
B1010 Metal and metal-alloy wastes in metallic, non-
dispersible form:
• Precious metals (gold, silver, the
platinum group, but not mercury)
• Iron and steel scrap
• Copper scrap
• Nickel scrap
• Aluminium scrap
• Zinc scrap
• Tin scrap
• Tungsten scrap
• Molybdenum scrap
• Tantalum scrap
• Magnesium scrap
• Cobalt scrap
• Bismuth scrap
• Titanium scrap
• Zirconium scrap
• Manganese scrap
• Germanium scrap
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• Vanadium scrap
• Scrap of hafnium, indium, niobium,
rhenium and gallium
• Thorium scrap
• Rare earths scrap
• Chromium scrap
B1020 Clean, uncontaminated metal scrap, including
alloys, in bulk finished form (sheet, plate,
beams, rods, etc), of:
• Antimony scrap
• Beryllium scrap
• Cadmium scrap
• Lead scrap (but excluding lead-acid
batteries)
• Selenium scrap
• Tellurium scrap
B1030
B1031
B1040
B1050
Refractory metals containing residues
Molybdenum, tungsten, titanium, tantalum,
niobium and rhenium metal and metal alloy
wastes in metallic dispersible form (metal
powder), excluding such wastes as specified in
list A under entry A1050, Galvanic sludges
Scrap assemblies from electrical power
generation not contaminated with lubricatingoil, PCB or PCT to an extent to render them
hazardous
Mixed non-ferrous metal, heavy fraction scrap,
not containing Annex I materials in
concentrations sufficient to exhibit Annex III
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B1060
B1070
B1080
B1090
B1100
characteristics
Waste selenium and tellurium in metallic
elemental form including powder
Waste of copper and copper alloys in
dispersible form, unless they contain Annex I
constituents to an extent that they exhibit
Annex III characteristics
Zinc ash and residues including zinc alloys
residues in dispersible form unless containing Annex
I constituents in concentration such as
to exhibit Annex III characteristics
Waste batteries conforming to a specification,
excluding those made with lead, cadmium or mercury
Metal-bearing wastes arising from melting,
smelting and refining of metals:
•
•
-
Zn)
-
Hard zinc spelter
Zinc-containing drosses:
Galvanizing slab zinc top dross (>90%
Galvanizing slab zinc bottom dross
(>92% Zn)
- Zinc die casting dross (>85% Zn)
- Hot dip galvanizers slab zinc dross
(batch)(>92% Zn)
- Zinc skimmings
• Aluminium skimmings (or skims)
excluding salt slag
• Slags from copper processing for
further processing or refining not containing
arsenic, lead or cadmium to an extent that
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they exhibit Annex III hazard characteristics
• Wastes of refractory linings, including
crucibles, originating from copper smelting
• Slags from precious metals processingfor further refining
• Tantalum-bearing tin slags with less
than 0.5% tin
B1110 Electrical and electronic assemblies:
• Electronic assemblies consisting only of
metals or alloys
• Waste electrical and electronic
assemblies or scrap (including printed circuit
boards) not containing components such as
accumulators and other batteries included on list A,
mercury-switches, glass from cathode-
ray tubes and other activated glass and PCB-
capacitors, or not contaminated with Annex I
constituents (e.g., cadmium, mercury, lead,
polychlorinated biphenyl) or from which these
have been removed, to an extent that they do
not possess any of the characteristicscontained in Annex III (note the related entry
on list A A1180)
• Electrical and electronic assemblies
(including printed circuit boards, electronic
components and wires) destined for direct
reuse, and not for recycling or final disposal
B1115 Waste metal cables coated or insulated with
plastics, not included in list A A1190,
excluding those destined for Annex IVA
operations or any other disposal operations
involving, at any stage, uncontrolled thermal
processes, such as open-burning.
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B1120 Spent catalysts excluding liquids used as
catalysts, containing any of:
Transitionmetals,
excluding
waste
catalysts
(spent
catalysts,
liquid used
catalysts or
other
catalysts) on
list A:
Lanthanides
(rare earth
metals):
Scandium
Vanadium
Manganese
Cobalt
Copper
Yttrium
Niobium
Hafnium
Tungsten
Lanthanum
Praseodymium
Samarium
Gadolinium
Dysprosium
Erbium
Ytterbium
Titanium
Chromium
Iron
Nickel
Zinc
Zirconium
Molybdenum
Tantalum
Rhenium
Cerium
Neodymium
Europium
Terbium
Holmium
Thulium
Lutetium
B1130 Cleaned spent precious-metal-bearing
catalysts
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B1140
B1150
B1160
B1170
B1180
B1190
B1200
B1210
B1220
B1230
B1240
B1250
Precious-metal-bearing residues in solid form
which contain traces of inorganic cyanides
Precious metals and alloy wastes (gold, silver,
the platinum group, but not mercury) in a
dispersible, non-liquid form with appropriate packaging and labelling
Precious-metal ash from the incineration of
printed circuit boards (note the related entry
on list A A1150)
Precious-metal ash from the incineration of
photographic film
Waste photographic film containing silver
halides and metallic silver
Waste photographic paper containing silver
halides and metallic silver
Granulated slag arising from the manufacture
of iron and steel
Slag arising from the manufacture of iron and
steel including slags as a source of TiO2 and
vanadium
Slag from zinc production, chemically
stabilized, having a high iron content (above 20%)
and processed according to industrial
specifications (e.g., DIN 4301) mainly for
construction
Mill scaling arising from the manufacture of
iron and steel
Copper oxide mill-scale
Waste end-of-life motor vehicles, containing
neither liquids nor other hazardous
components
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B2 Wastes containing principally inorganic constituents, which may contain metals
and organic materials
B2010 Wastes from mining operations in non-dispersible form:
• Natural graphite waste
• Slate waste, whether or not roughly
trimmed or merely cut, by sawing or otherwise
• Mica waste
• Leucite, nepheline and nepheline
syenite waste
• Feldspar waste
• Fluorspar waste
• Silica wastes in solid form excluding
those used in foundry operations
B2020 Glass waste in non-dispersible form:
• Cullet and other waste and scrap of
glass except for glass from cathode-ray tubes
and other activated glasses
B2030 Ceramic wastes in non-dispersible form:
• Cermet wastes and scrap (metal
ceramic composites)
• Ceramic based fibres not elsewhere
specified or included
B2040 Other wastes containing principally inorganic
constituents:
• Partially refined calcium sulphate
produced from flue-gas desulphurization
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(FGD)
• Waste gypsum wallboard or
plasterboard arising from the demolition of
buildings
• Slag from copper production,
chemically stabilized, having a high iron
content (above 20%) and processed according
to industrial specifications (e.g., DIN 4301 and
DIN 8201) mainly for construction and
abrasive applications
• Sulphur in solid form
• Limestone from the production of
calcium cyanamide (having a pH less than 9)
• Sodium, potassium, calcium chlorides
• Carborundum (silicon carbide)
• Broken concrete
• Lithium-tantalum and lithium-niobium
B2050
B2060
B2070
B2080
containing glass scraps
Coal-fired power plant fly-ash, not included on
list A (note the related entry on list A A2060)
Spent activated carbon not containing any
Annex I constituents to an extent they exhibit Annex
III characteristics, for example, carbon
resulting from the treatment of potable water
and processes of the food industry and
vitamin production (note the related entry on
list A A4160)
Calcium fluoride sludge
Waste gypsum arising from chemical industry
processes not included on list A (note the
related entry on list A A2040)
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B2090
B2100
B2110
B2120
B2130
Waste anode butts from steel or aluminium
production made of petroleum coke or
bitumen and cleaned to normal industry
specifications (excluding anode butts from
chlor alkali electrolyses and from metallurgical
industry)
Waste hydrates of aluminium and waste
alumina and residues from alumina
production excluding such materials used for
gas cleaning, flocculation or filtration
processes
Bauxite residue (―red mud ) (pH moderated to‖
less than 11.5)
Waste acidic or basic solutions with a pHgreater than 2 and less than 11.5, which are
not corrosive or otherwise hazardous (note the
related entry on list A A4090)
Bituminous material (asphalt waste) from road
construction and maintenance, not containing
tar (note the related entry on list A, A3200)
B3 Wastes containing principally organic constituents, which may contain metals and
inorganic materials
B3010 Solid plastic waste:
The following plastic or mixed plastic
materials, provided they are not mixed with
other wastes and are prepared to a
specification:
• Scrap plastic of non-halogenated
polymers and co-polymers, including but not
limited to the following
- ethylene
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- styrene
- polypropylene
- polyethylene terephthalate
- acrylonitrile
- butadiene
- polyacetals
- polyamides
- polybutylene terephthalate
- polycarbonates
- polyethers
- polyphenylene sulphides
- acrylic polymers
- alkanes C10-C13 (plasticiser)
- polyurethane (not containing CFCs)
- polysiloxanes
- polymethyl methacrylate
- polyvinyl alcohol
- polyvinyl butyral
- polyvinyl acetate
• Cured waste resins or condensation
products including the following:
- urea formaldehyde resins
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-
-
-
-
-
•wastes
-
-
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resins
melamine formaldehyderesins
epoxyresins
alkyd
resins
polyamides
The following fluorinated polymer
perfluoroethylene/propylene(FEP)
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- tetrafluoroethylene/per fluoro vinyl ether
(PFA)
- tetrafluoroethylene/per fluoro methylvinyl
ether (MFA)
- polyvinylfluoride (PVF)
- polyvinylidenefluoride (PVDF)
B3020 Paper, paperboard and paper product wastes
The following materials, provided they
are not mixed with hazardous wastes:
Waste and scrap of paper or
paperboard of:
• unbleached paper or paperboard or of
corrugated paper or paperboard
• other paper or paperboard, made
mainly of bleached chemical pulp, not
coloured in the mass
• paper or paperboard made mainly of mechanical pulp (for example, newspapers,
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journals and similar printed matter)
• other, including but not limited to 1)
B3030
laminated paperboard 2) unsorted scrap
Textile wastes
The following materials, provided they
are not mixed with other wastes and are
prepared to a specification:
• Silk waste (including cocoons
unsuitable for reeling, yarn waste and
garnetted stock)
- not carded or combed
- other
• Waste of wool or of fine or coarse
animal hair, including yarn waste but
excluding garnetted stock
-
-
hair
-
•
noils of wool or of fine animal hair
other waste of wool or of fine animal
waste of coarse animal hair
Cotton waste (including yarn waste and
garnetted stock)
- yarn waste (including thread waste)
- garnetted stock
- other
• Flax tow and waste
• Tow and waste (including yarn waste
and garnetted stock) of true hemp (Cannabis
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sativa L.)
• Tow and waste (including yarn waste
and garnetted stock) of jute and other textile
bast fibres (excluding flax, true hemp and
ramie)
• Tow and waste (including yarn waste
and garnetted stock) of sisal and other textile
fibres of the genus Agave
• Tow, noils and waste (including yarn
waste and garnetted stock) of coconut
• Tow, noils and waste (including yarn
waste and garnetted stock) of abaca (Manila
hemp or Musa textilis Nee)
• Tow, noils and waste (including yarn
waste and garnetted stock) of ramie and other
vegetable textile fibres, not elsewhere specified
or included
• Waste (including noils, yarn waste and
garnetted stock) of man-made fibres
- of synthetic fibres
- of artificial fibres
• Worn clothing and other worn textile
articles
• Used rags, scrap twine, cordage, rope
and cables and worn out articles of twine,
cordage, rope or cables of textile materials
- sorted
- other
B3035 Waste textile floor coverings, carpets
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B3040 Rubber wastes
The following materials, provided they
are not mixed with other wastes:
• Waste and scrap of hard rubber (e.g.,ebonite)
• Other rubber wastes (excluding such
wastes specified elsewhere)
B3050 Untreated cork and wood waste:
• Wood waste and scrap, whether or not
agglomerated in logs, briquettes, pellets or
similar forms
• Cork waste: crushed, granulated or
ground cork
B3060 Wastes arising from agro-food industries
provided it is not infectious:
• Wine lees
• Dried and sterilized vegetable waste,
residues and byproducts, whether or not in the
form of pellets, of a kind used in animal
feeding, not elsewhere specified or included
• Degras: residues resulting from the
treatment of fatty substances or animal or
vegetable waxes
• Waste of bones and horn-cores,
unworked, defatted, simply prepared (but not
cut to shape), treated with acid or
degelatinised
• Fish waste
• Cocoa shells, husks, skins and other
cocoa waste
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• Other wastes from the agro-food
industry excluding by-products which meet
national and international requirements and
standards for human or animal consumption
B3065 Waste edible fats and oils of animal or vegetable origin (e.g. frying oils), provided they
do not exhibit an Annex III characteristic
B3070 The following wastes:
• Waste of human hair
• Waste straw
• Deactivated fungus mycelium from
B3080
B3090
B3100
B3110
B3120
B3130
B3140
penicillin production to be used as animal feed
Waste parings and scrap of rubber
Paring and other wastes of leather or of
composition leather not suitable for the
manufacture of leather articles, excluding
leather sludges, not containing hexavalent
chromium compounds and biocides (note the
related entry on list A A3100)
Leather dust, ash, sludges or flours not
containing hexavalent chromium compounds
or biocides (note the related entry on list A
A3090)
Fellmongery wastes not containing hexavalent
chromium compounds or biocides or
infectious substances (note the related entry
on list A A3110)
Wastes consisting of food dyes
Waste polymer ethers and waste non-
hazardous monomer ethers incapable of
forming peroxides
Waste pneumatic tyres, excluding those
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destined for Annex IVA operations
B4 Wastes which may contain either inorganic or organic constituents
B4010
B4020
B4030
Wastes consisting mainly of water-based/latex
paints, inks and hardened varnishes not
containing organic solvents, heavy metals or
biocides to an extent to render them
hazardous (note the related entry on list A
A4070)
Wastes from production, formulation and use of
resins, latex, plasticizers, glues/adhesives,
not listed on list A, free of solvents and other contaminants to an extent that they do not
exhibit Annex III characteristics, e.g., water-
based, or glues based on casein, starch,
dextrin, cellulose ethers, polyvinyl alcohols
(note the related entry on list A A3050)
Used single-use cameras, with batteries not
included on list A
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Basel Convention on the Control of Transboundary Movements of Hazardous
Wastes and Their Disposal
Origin of the Convention
Basel Convention is an international treaty that was designed to reduce the movements of
hazardous waste between nations, and specifically to prevent transfer of hazardous waste from
developed to less developed countries (LDCs). It does not, however, address the movement of
radioactive waste. The Convention is also intended
to minimize the amount and toxicity of wastes generated, to ensure their
environmentally sound management as closely as possible to the source of generation, and to assist
LDCs in environmentally sound management of the hazardous and other wastes they generate.
The Convention was opened for signature on March 22, 1989, and entered into force on May
5, 1992. Of the 175 parties to the Convention, only Afghanistan, Haiti, and the United States have
signed the Convention but not yet ratified it.
One of the incidents which led to the creation of the Basel Convention was the Khian Sea
waste disposal incident, in which a ship carrying incinerator ash from the
city of Philadelphia in the United States after having dumped half of its load on a beach in Haiti,
was forced away where it sailed for many months, changing its name several times. Unable to
unload the cargo in any port, the crew was believed to have
dumped much of it at sea.
Another is the 1988 Koko case in which 5 ships transported 8,000 barrels of hazardous waste
from Italy to the small town of Koko in Nigeria in exchange for $100 monthly rent which was paid to
a Nigerian for the use of his farmland.
In the late 1980s, a tightening of environmental regulations in industrialized countries led to
a dramatic rise in the cost of hazardous waste disposal. Searching for cheaper ways to get rid of the
wastes, ―toxic traders began shipping hazardous waste‖ to developing countries and to Eastern
Europe. When this activity was revealed,
international outrage led to the drafting and adoption of the Basel Convention.
At its most recent meeting, November 27-December 1, 2006, the Conference of the Parties of
the Basel Agreement focused on issues of electronic waste and the dismantling of ships.
According to Maureen Walsh, only around 4% of hazardous wastes that come from
Organisation for Economic Co-operation and Development (OECD) countries are actually shipped
across international borders. These wastes include, among others, chemical waste, radioactive
waste, municipal solid waste, asbestos, incinerator ash,
and old tires. Of internationally shipped waste that comes from developed countries,
more than half is shipped for recovery and the remainder for final disposal.
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The Goal of Minimizing Hazardous Wastes
A central goal of the Basel Convention is ―environmentally sound management‖ (ESM), the
aim of which is to protect human health and the environment by
minimizing hazardous waste production whenever possible. ESM means addressing
the issue through an ―integrated life-cycle approach , which involves strong controls from the‖ generation of a hazardous waste to its storage, transport, treatment, reuse, recycling, recovery and
final disposal.
Many companies have already demonstrated that ―cleaner production methods‖ which
eliminate or reduce hazardous outputs can be both economically and environmentally efficient. The
United Nations Environment Programme's (UNEP) Division on Technology, Industry and
Economics works to identify and disseminate
―best practices‖
The System that Controls the Movement of Hazardous Waste
Because hazardous wastes pose such a potential threat to human health and the environment,
one of the guiding principles of the Basel Convention is that, in order
to minimize the threat, hazardous wastes should be dealt with as close to where they
are produced as possible. Therefore, under the Convention, transboundary movements of hazardous
wastes or other wastes can take place only upon prior written notification by the State of export to
the competent authorities of the States of import
and transit (if appropriate). Each shipment of hazardous waste or other waste must be
accompanied by a movement document from the point at which a transboundary movement begins
to the point of disposal. Hazardous waste shipments made without such documents are illegal. In
addition, there are outright bans on the export of these
wastes to certain countries. Transboundary movements can take place, however, if the
state of export does not have the capability of managing or disposing of the hazardous waste in an
environmentally sound manner.
National Reporting of Hazardous Wastes
Each country that is a Party to the Convention is required to report information on the
generation and movement of hazardous wastes. Every year, a questionnaire is sent out to member
countries, requesting information on the generation, export and import of hazardous wastes covered
by the Convention. This information is reviewed
and compiled by the Secretariat and is presented in an annual report, which includesstatistical tables and graphic representations of the data.
Technical Assistance Offered by the Convention
In order to assist countries (as well as interested organizations, private companies, industry
associations and other stakeholders) to manage or dispose of
their wastes in an environmentally sound way, the Secretariat cooperates with
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national authorities in developing national legislation, setting up inventories of
hazardous wastes, strengthening national institutions, assessing the hazardous waste management
situation, and preparing hazardous waste management plans and policy
tools. It also provides legal and technical advice to countries in order to solve specific
problems related to the control and management of hazardous wastes. In the case of an emergency,
such as a hazardous waste spill, the Secretariat cooperates with Parties and relevant internationalorganizations to provide rapid assistance in the form of
expertise and equipment.
Training in the Management and Minimization of Hazardous Wastes
An integral part of implementing the Basel Convention is building the capability to manage
and dispose of hazardous waste. Through training and technology transfer,
developing countries and countries with economies in transition gain the skills and
tools necessary to properly manage their hazardous wastes. To this end, the Basel Convention has
established Regional Centres for Training and Technology Transfer in the following countries:
Argentina, China, Egypt, El Salvador, India, Indonesia, Nigeria,
Senegal, Slovak Republic, South Africa, Russian Federation, Trinidad & Tobago and
Uruguay.
Milestones in the Convention's History
2004 Ministerial Statement on Partnerships for Meeting the Global Waste Challenge - Adopted
at COP7 in 2004, the Statement recognises the environmentally
sound management of hazardous wastes as part of the wider issues of water protection, improved
sanitation, solid waste management and economic and social development. It calls for the reduction
of the impacts of hazardous wastes on human
health and the environment and promotes a fundamental shift in emphasis from
remedial measures to preventive measures such as reduction at source, reuse, recycling and
recovery. It recognises the importance of mobilising new and additional financial resources to build
partnerships to meet the global waste challenge worldwide.
The following fields were recognized as the focus for the decade (2000-2010):
Prevention, minimization, recycling, recovery and disposal of hazardous and
other wastes, taking into account social, technological and economic concerns;
active promotion and use of cleaner technologies and production methods;
further reduction of movement of hazardous and other wastes;
the prevention and monitoring of illegal traffic;
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improvement of institutional and technical capabilities -through technology
when appropriate - especially for developing countries and countries with
economies in transition;
further development of regional centres for training and technology transfer;
enhancement of information exchange, education and awareness-raising in all
sectors of society;
cooperation and partnership with the public authorities, international
organizations, the industry sector, non-governmental organizations and
academic institutions;
development of mechanisms for compliance with and for the monitoring and
effective implementation of the Convention and its amendments.
2002 Compliance Mechanism - The Compliance Mechanism, adopted at COP6
in December 2002, promotes the identification, as early as possible, of implementation and
compliance difficulties encountered by Parties. Such difficulties may relate to, for
example, dealing with illegal traffic, or meeting reporting obligations.The mechanism is
non-confrontational and preventive in nature, and seeks to assist Parties to implement appropriate
and effective solutions to difficulties. A Compliance Committee consisting of 15 members drawn in
equal numbers from the five regional groups of the UN was
established to administer the mechanism. Submissions can be made to the Committee
by a Party about its own compliance or implementation difficulties, or about another Partiy's
difficulties, or by the Secretariat when it becomes aware, through national reporting, that a Party
may be experiencing difficulties.
1999 Protocol on Liability and Compensation - The Protocol on Liability and Compensation,
adopted in December 1999, established rules on liability and compensation for damages caused by
accidental spills of hazardous waste during export, import or during disposal.
1999 Ministerial Declaration - The Basel Declaration, also adopted at COP-5 meeting, set
out the agenda for the next decade, with a special emphasis on minimizing hazardous waste.
1998 Classification and Characterizations of Wastes - The Technical Working Group of the
Basel Convention agreed on lists of specific wastes characterized as
hazardous or nonhazardous. These lists were later adopted by the Parties to the Convention, thereby
clarifying the scope of the Convention.
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1995 Ban Amendment - The Amendment calls for prohibiting exports of
hazardous wastes (for any purpose) from countries listed in a proposed new annex to the Convention
(Annex VII - Parties that are members of the EU, OECD, Liechtenstein)
to all other Parties to the Convention. In order to enter into force, the Ban amendment
has to be ratified by three fourths of the Parties who accepted it.
1992 el Convention enters into force.
1989 Adoption - After a public outcry against the indiscriminate dumping of
hazardous wastes in developing countries by developed-world industries, a diplomatic
conference held in Basel, Switzerland, adopted the Convention.
Frequently Asked Questions
What global problem was the Basel Convention originally designed to address?
The uncontrolled movement and dumping of hazardous wastes, including incidents of
illegal dumping in developing nations by companies from developed countries.
Why is hazardous waste a problem?
When it is dumped indiscriminately, spilled accidentally or managed improperly, it can cause
severe health problems, even death, and poison water and land for decades.
What is the Basel Convention?
A global agreement, ratified by several member countries and the European Union (see
Status of Ratification), for addressing the problems and challenges posed by hazardous
waste. The Secretariat, in Geneva, Switzerland, facilitates the implementation of theConvention and related agreements. It also provides
assistance and guidelines on legal and technical issues, gathers statistical data,
and conducts training on the proper management of hazardous waste. The Secretariat is
administered by United Nations Environment Programme (UNEP).
What are the key objectives of the Basel Convention?
to minimize the generation of hazardous wastes in terms of quantity and
hazardousness;
to dispose of them as close to the source of generation as possible;
to reduce the movement of hazardous wastes.
What categories of hazardous waste are covered by the Convention?
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toxic, poisonous, explosive, corrosive, flammable, ecotoxic and infectious
What is ―environmentally sound management or ESM?‖
ESM means taking all practical steps to minimize the generation of hazardous wastes and
strictly controlling its storage, transport, treatment, reuse, recycling,
recovery and final disposal, the purpose of which is to protect human health and the
environment.
Definitions of Key Terms
Accession:the act whereby a State and/or regional economic integration organization accepts the
opportunity to become a Party to the Convention after it entered into force. It has the same legal
effect as ratification.
Amendment:an amendment refers to the formal alteration of treaty provisions affecting all the
Parties to the particular agreement.
Convention:synonymous with "treaty", term generally used for formal multilateral treaties with a
broad number of Parties usually negotiated under the auspices of an International Organisation.
Formal confirmation:the consent of an International Organisation to be bound by the Convention.
Participants:all States and/or regional economic integration organizations linked to the Convention
as Signatories or Parties.
Parties:States consenting to be bound by the Basel Convention.
Protocol:supplementary instrument to a treaty, which contains supplementary provisions.
Ratification, Acceptance, Approval:consent of a State and/or regional economic integration
organization to become a Party and be bound by the Convention.
Signature:the first formal step prior to ratification declaring an intention to become a Party to the
Convention.
Succession:the adherence to the Convention of a new State where the predecessor State, whose
territory has become the responsibility of the new State, was a party to
the Convention.
Ban Amendment to the Basel Conventionon the Control of Transboundary
Movements of Hazardous Wastes and their Disposal Geneva, 22 September 1995
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By decision III/1, of 22 September 1995, the Third meeting of the Conference of
the Contracting Parties to the above Convention, which took place in Geneva from 18 to 22
September 1995, adopted an Amendment to the Convention (including the
adoption of Annex VII).
Please see article 17 (5) of the Convention which reads as follows: "Instruments of ratification, approval, formal confirmation or acceptance of amendments shall be deposited with the
Depositary. Amendments adopted in accordance with paragraphs 3
or 4 [of article 17 of the Convention] shall enter into force between Parties having
accepted them on the ninetieth day after the receipt by the Depositary of their instrument of
ratification, approval, formal confirmation or acceptance by at least three-fourths of the Parties who
accepted them or by at least two thirds of the Parties
to the protocol concerned who accepted them, except as may otherwise be provided in
such protocol. The amendments shall enter into force for any other Party on the ninetieth day after
that Party deposits its instrument of ratification, approval, formal
confirmation or acceptance of the amendments."
In accordance with paragraph 3 of Article 25 of the Basel Convention, applicable mutatis
mutandis to amendments of the Convention, for the purpose of entry into force, any instrument
deposited by a political and/or economic integration organization shall not be counted as additional
to those deposited by member States of
such organization.
Accordingly, as a regional economic integration organisation, ratification by the European
Union does not count in addition to the ratifications by Member States of the Union for the purposes
of entry into force of this instrument.
Basel Protocol on Liability and Compensation for Damage Resulting from Transboundary
Movements of Hazardous Wastes and their Disposal
Basel, 10 December 1999
Article 29 of the Protocol which reads as follows: "1. The Protocol shall enter into force on
the ninetieth day after the date of deposit of the twentieth instrument of
ratification, acceptance, formal confirmation, approval or accession. 2. For each State or regional
economic integration organization which ratifies, accepts, approves or formally confirms the
Protocol or accedes thereto after the date of the deposit of the
twentieth instrument of ratification, acceptance, approval, formal confirmation or
accession, it shall enter into force on the ninetieth day after the date of deposit by such State or regional economic integration organization of its instrument of ratification, acceptance, approval,
formal confirmation or accession. 3. For the
purpose of paragraphs 1 and 2 of this Article, any instrument deposited by member
States of such organization."
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In accordance with paragraph 3 of Article 25 of the Basel Convention,
applicable mutatis mutandis to amendments of the Convention, for the purpose of entry into force,
any instrument deposited by a political and/or economic integration
organization shall not be counted as additional to those deposited by member States of
such organization.
Accordingly, as a regional economic integration organisation, ratification by the European
Union does not count in addition to the ratifications by Member States of
the Union for the purposes of entry into force of this instrument.
The Conference of the Parties
The tenth meeting of the Conference of the Parties to the Basel Convention will be held at theCartagena de Indias Convention Centre (CCCI) in the majestic city of Cartagena de Indias,
Colombia.Theme of the tenth meeting of the Conference of the Parties to the Basel Convention is
"Prevention, minimization and recovery of wastes".The meeting
will be opened at 10 a.m. on Monday, 17 October, and conclude on Friday, 21 October
2011.The working languages will be Arabic, Chinese, English, French, Russian and Spanish. The
meeting will be paperless: in-session documents will be circulated electronically via a wireless
intranet and on memory sticks Worldwide concern about
the transboundary movement and disposal of hazardous wastes was heightened in the
late 1970s and early 1980s. The major concern was wastes being exported from industrialized
nations for cheap disposal in inadequately prepared sites in developing countries.This concern led to
a new urgency in developing and implementing
international controls. It culminated in the landmark global convention under the
United Nations to control the transboundary movement of hazardous wastes and their disposal,
commonly called the Basel Convention.The Basel Convention was opened for signature on March 22,
1989, and entered into force on May 5, 1992. As of June 2006,
168 Parties have ratified the Basel Convention. Afghanistan, Haiti, and the United
States have signed but have not yet ratified the Convention.
COP1Piriapolis, Uruguay
3 - 4 December 1992
COP1 requested industrialized countries to prohibit transboundary movements of hazardous wastes
for disposal to developing countries. It also noted that
transboundary movements of of hazardous wastes destined for recovery and recycling
take place in an environmentally sound manner.
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COP2
Geneva, Switzerland 21 - 25
March 1994
Parties agreed on an inmediate ban on the export of hazardous wastes intended from final disposal
from OECD to non-OECD countries. Parties also agreed to ban, by 31 December 1997 the export of wastes intended for recovery and recycling (Decision II/12).
COP3
Geneva, Switzerland
18 - 22 September 1995
The BAN was adopted as an amendment to the Convention (Decision III/1). COP3 further mandated
a Technical Working Group to continue its work on the
characterization of hazardous wastes and the development of lists of wastes that are hazardous
(Desicion III/2). See COP3 Documents.
COP4
Kuching, Malaysia
23 - 27 February 1998
Adopted a number of decisions related to the Ban Amendment and issues related to Annex VII.
COP4 decided to incorporate List A, identifying wastes characterized as
hazardous and List B, identifying non-hazardous wastes as Annex VIII and Annex IX
to the Basel Convention respectively.
COP5
Basel, Switzerland
6 - 10 December 1999
The meeting adopted the Protocol on Liability and Compensation and the Basel Declaration along
with a decision setting the next decade's agenda. The meeting adopted a number of decisions
covering Convention implementation, legal and
technical matters, illegal traffic and institutional, financial and procedural
arrangements.
COP6
Geneva, Switzerland
9 - 13 December 2002
The COP6 considered and adopted decisions on a range of issues relating to implementation of the
Convention, amendment of the Convention and its annexes, and institutional, financial and
procedural arrangements.
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COP7
Geneva, Switzerland 25 - 29
October 2004
The COP had before it a compilation of decisions prepared by the Open-ended Working Group
(OEWG) during the intersessional period. Delegates considered decisions on a range of issuesrelating to the Basel Convention Regional Centers (BCRCs), the Basel Convention Partnership
Programme, institutional arrangements, the Ban Amendment,
the Basel Protocol on Liability and Compensation, guidance elements for bilateral,
multilateral or regional agreements, and follow-up to the World Summit on Sustainable
Development (WSSD).
COP8
Nairobi, Kenya
27 November - 1 December 2006
COP8 considered several reports on activities within the Convention's mandate and adopted adeclaration on e-waste and more than 30 decisions on, inter alia: the 2007-
2008 programme of work; the implementation of the Strategic Plan, including
consideration of the work and operations of the Basel Convention Regional and Coordinating
Centres, as well as the Basel Convention Partnership Programme; synergies and cooperation in the
environmental field; e-waste and end-of-life
equipment; ship dismantling; legal matters; technical matters; financial issues and the
budget; amendments to the general technical guidelines for the environmentally sound management
(ESM) of persistent organic pollutants wastes; the guidelines for ESM of wastes; technical guidelines
for ESM of a variety of chemicals; the 2007-2008 work
programme of the Open-Ended Working Group; and the election of new members of the Compliance Committee and its work programme.
COP9
Bali, Indonesia
23-27 June 2008
COP 9 adopted the Bali Declaration on Waste Management for Human Health and Livelihood,
which affirms that waste, if not managed in a safe and environmentally sound manner, may have
serious consequences for the environment, human health
and sustainable livelihood.. COP 9 also adopted a historical decision, IX/10 on
enhancing cooperation and coordination among the Basel, Rotterdam and Stockholm conventions.The fourth meeting of the Conference of the Parties to the Rotterdam Convention (decision RC-
4/11) and the fourth meeting of the Conference of the Parties
of the Stockholm Convention (decision SC-4/34) adopted substantially identical
decisions, which are together known as the "synergies decisions". Since then the three conventions
have joined forces to better address the challenge of environmentally sound management of
hazardous chemicals and wastes.
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COP10
Cartagena de Indias, Colombia
17 - 21 October 2011
The tenth meeting of the Conference of the Parties (COP10) to the Basel Convention on the Control
of Transboundary Movements of Hazardous Wastes and their Disposal convened for its fourth dayon Thursday, 20 October 2011. In the morning, delegates discussed capacity building, scientific and
technical matters, financial matters, and
legal, compliance and governance matters. In the afternoon, delegates considered the
Basel Waste Solutions Circle and strategic issues.
Open-Ended Working Group (OEWG)
Its mandate is to assist the Conference of the Parties in developing and keeping under
continuous review the implementation of the Convention's work plan, specific
operational policies and decisions taken by the Conference of the Parties for the implementation of
the Convention.
Expanded Bureau
The Expanded Bureau provides administrative and general operational directions to the
secretariat between the meetings of the Conference of the Parties; performs functions requested by
the Conference of the Parties or the Open-ended Working Group, especially administrative tasks,
taking into account the approved
budget.
Compliance Committee
Its mandate is to administer the mechanism for promoting implementation of and
compliance with the obligations under the Convention.Its objective is to assist
Parties to comply with their obligations under the Convention and to facilitate,
promote, monitor and aim to secure the implementation of and compliance with the obligations
under the Convention.
Partnerships
Partnerships are designed to help governments and stakeholders more effectively address
growing problems with priority waste streams. The Ministerial Statement on Partnerships
emphasises the importance of Partnerships and the waste streams they should be used to address.
Public-Private partnerships are a creative method for government and stakeholders to collectively
address emerging issues and activities associated with priority waste
streams such as e-waste. Involving all stakeholders helps to:
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Enhance collaboration
Tap expertise and knowledge at a broader level
Bring together experts and policy makers to develop guidance and guidelines
together, leveraging scare resources at all levels and
Reduce costs by working together to identify options and solutions and
developing needed tools and strategy to enhance the environmentally sound management of
end of life products.
Distinct from other mechanisms of the Convention given their cooperative nature and structure,
partnerships can be used to address complex and emerging waste streams by creating a forum under
which a range of decision-makers are committed to providing technically viable options and suggest
policy solutions.
Public-Private Partnerships under the Basel Convention are unique way for stakeholders to meettogether to address, inter alia, common areas of concern, define technical issues, set out technical and
policy options and provide input to technical and policy reviews. Partnerships offer a mechanism for
enhancing and capitalizing on
the dialog and practical interaction between stakeholders to address particular issues.
Often the result is a voluntary action avoiding the initiation legislation or regulation by government.
Mobile Phone Partnership Initiative (MPPI)
A programme carried out under the framework of the Basel Convention Partnership
Programme. The information in this section includes relevant documents related to Partnership
Initiative, decisions by the governing bodies, and the Guidelines developed by the Partnershipaddressing the environmentally sound managemetn of
used and end of life mobile phones.
Partnership for Action on Computing Equipment (PACE)
The Partnership for Action on Computing Equipment (PACE) was launched at the Ninth
Meeting of the Conference of the Parties to the Basel Convention, which took
place in Bali, Indonesia from 23 to 27 June 2008. PACE is a multi-stakeholder
partnership that provides a forum for governments, industry, non-governmental organisations and
academia to tackle the environmentally sound management,
refurbishment, recycling and disposal of used and end-of-life computing equipment.
The Partnership is intended to increase the environmentally sound management of used and
end-of-life computing equipment, taking into account social responsibility and the concept of
sustainable development, and promoting the sharing of information on life cycle thinking.
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Parties, signatories and all stakeholders are invited to indicate their interest in
participating in the Partnership to the Secretariat of the Basel Convention
Ad Hoc Joint Working Group
(AHJWG)
By decision SC-2/15 of the Conference of the Parties to the Stockholm Convention,
decision RC-3/8 adopted by the Conference of the Parties to the Rotterdam Convention and decision
VIII/8 of the Conference of the Parties to the Basel
Convention it was agreed to establish an ad hoc joint working group (the ―AHJWG ) to‖
prepare joint recommendations on enhanced cooperation and coordination among the three
conventions for submission to the Conference of the Parties of all three conventions.
The first meeting of the AHJWG was held from 26 - 28 March 2007 at the Hanasaari
Swedish-Finnish Cultural Centre, Helsinki, Finland. The report of the meeting (pdf, word) as well
as the list of participants may be found among the documents for the first meeting of the AHJWG.
The second meeting of the ad hoc joint working group was held from 10 to 13 December
2007 at the Diplomatic Academy of Vienna, Favoritenstrasse 15a, A-1040 Vienna, Austria. The
report of the meeting (pdf, word) as well as the list of participants may be found among the
documents for the second meeting of the AHJWG.
The third meeting of the ad hoc joint working group was held from 25-28 March 2008 at the
headquarters of the Food and Agriculture Organization of the United Nations (FAO) Viale delle
terme di Caracalla, Rome Italy.
Definition of Hazardous Waste
A waste will fall under the scope of the Convention if it is within the category of wastes
listed in Annex I of the Convention and it does exhibit one of the hazardous characteristics contained
in Annex III.
In other words it must both be listed and contain a characteristic such as being explosive,
flammable, toxic, or corrosive. The other way that a waste may fall under
the scope of the Convention is if it is defined as or considered to be a hazardous waste under the laws
of either the exporting country, the importing country, or and of the countries of transit.
The definition of the term disposal is made in Article 2 al 4 and just refers to annex IV,
which gives a list of operations which are understood as disposal or recovery. The examples of
disposal are broad and include also recovery, recycling.
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Annex II lists other wastes such as household wastes and residue that comes
from incinerating household waste.
Radioactive waste that is covered under other international control systems and wastes from
the normal operation of ships is not covered.
Annex IX attempts to define "commodities" which are not considered wastes and which
would be excluded.
Obligations
In addition to conditions on the import and export of the above wastes, there are stringent
requirements for notice, consent and tracking for movement of wastes across national boundaries. It
is of note that the Convention places a general prohibition on the exportation or importation of
wastes between Parties and non-
Parties. The exception to this rule is where the waste is subject to another treaty that
does not take away from the Basel Convention. The United States is a notable non- Party to theConvention and has a number of such agreements for allowing the shipping of hazardous wastes to
Basel Party countries.
The OECD Council also has its own control system that governs the trans- boundary
movement of hazardous materials between OECD member countries. This allows, among other
things, the OECD countries to continue trading in wastes with countries like the United States that
have not ratified the Basel Convention.
Parties to the Convention must honor import bans of other Parties.
Article 4 of the Basel Convention calls for an overall reduction of waste generation. By
encouraging countries to keep wastes within their boundaries and as
close as possible to its source of generation, the internal pressures should provide
incentives for waste reduction and pollution prevention.
The Convention states that illegal hazardous waste traffic is criminal but contains no
enforcement provisions.
According to Article 12, Parties are directed to adopt a protocol that establishes liability rules
and procedures that are appropriate for damage that comes from the movement of hazardous waste
across borders.
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Rotterdam Convention on the Prior Informed
Consent Procedure for Certain Hazardous
Chemicals and Pesticides in International Trade
Reported by:
John Emmanuel Castillo Caudilla
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CONFERENCE OF PLENIPOTENTIARIES ON THE CONVENTION ON THE PRIOR
INFORMED CONSENT PROCEDURE FOR CERTAIN HAZARDOUS CHEMICALS AND
PESTICIDES IN INTERNATIONAL TRADE:
10-11 SEPTEMBER 1998
The Conference of Plenipotentiaries on the Convention on the Prior Informed Consent Procedure for
Certain Hazardous Chemicals and Pesticides in International Trade (PICConvention) was held from 10-11 September 1998 in Rotterdam. Ministers and senior
officials from nearly 100 countries adopted the PIC Convention as well as a resolution on interim
arrangements between the adoption of the PIC Convention and its entryinto force. A total of 61 countries signed the PIC Convention. The PIC Convention will
remain open for signature at United Nations Headquarters from 12 September 1998 to10 September 1999. The Convention will enter into force 90 days after receipt of the
50th instrument of ratification.
The PIC Convention is a means for formally obtaining and disseminating information so that
decisions can be made by importing countries as to whether they wish toreceive future shipments of certain chemicals and for ensuring compliance with these
decisions by exporting countries. The Convention promotes shared responsibility between exporting
and importing countries in protecting human health and theenvironment from the harmful effects of such chemicals and provides for the exchange
of information about potentially hazardous chemicals that may be exported andimported. A key goal of the PIC Convention is to provide technical assistance for
developing countries and countries with economies in transition to develop theinfrastructure and capacity necessary to implement the provisions of the Convention.
The PIC Convention will initially cover 22 pesticides and five industrial chemicals, but it is expected
that many more will be added as the provisions of the Convention areimplemented. Governments have agreed to continue to implement the voluntary PIC
procedure during the interim period using the new procedures contained in theConvention until the Convention formally enters into force.
A BRIEF HISTORY OF THE PIC NEGOTIATIONS
Growth in internationally traded chemicals during the 1960s and 1970s led to increasing
concern over pesticides and industrial chemical use, particularly indeveloping countries that lacked the expertise or infrastructure to ensure their safe
use. This prompted the development of the International Code of Conduct for the Distribution
and Use of Pesticides by the FAO and the London Guidelines for theExchange of Information on Chemicals in International Trade by UNEP. Both the Code
of Conduct and the London Guidelines include procedures aimed at makinginformation about hazardous chemicals more readily available, thereby permitting
countries to assess the risks associated with their use. In 1989, both instrumentswere amended to include the voluntary Prior Informed Consent (PIC) procedure to help
countries make informed decisions on the import of chemicals that have been banned
or severely restricted. Managed jointly by the FAO and UNEP, the PIC procedure is a
means for formally obtaining and disseminating the decisions of importing countries
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on whether they wish to receive future shipments of such chemicals. The aim is to
promote a shared responsibility between exporting and importing countries in protecting human health and the environment from the harmful effects of certain
hazardous chemicals being traded internationally. The voluntary PIC procedure is
designed to:
help participating countries learn more about the characteristics of potentially
hazardous chemicals that may be imported;
initiate a decision-making process on the future import of these chemicals; and
facilitate the dissemination of these decisions to other countries.
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ROTTERDAM CONVENTION
on the Prior Informed Consent Procedure
for Certain Hazardous Chemicals
and Pesticides in International Trade
TEXT AND ANNEXES
(Revised in 2005)Introduction
The dramatic growth in chemicals production and trade during the past three
decades has raised both public and official concern about the potential risks posed byhazardous chemicals and pesticides. Countries lacking adequate infrastructure to
monitor the import and use of these chemicals are particularly vulnerable.
In response to these concerns, the United Nations Environment Programme
(UNEP) and the Food and Agriculture Organization of the United Nations (FAO) started
developing and promoting voluntary information-exchange programmes in the mid1980's. FAO launched its International Code of Conduct on the Distribution and Use
of Pesticides in 1985 and UNEP set up the London Guidelines for the Exchange of
Information on Chemicals in International Trade in 1987.
Soon after, the two organizations jointly introduced the 1989 Prior Informed
Consent (PIC) procedure. Jointly implemented by FAO and UNEP this programme has
helped to ensure that governments have the information they need about hazardous
chemicals for assessing risks and taking informed decisions on chemical imports.
Seeing the need for mandatory controls, officials attending the 1992 Rio
Summit adopted Chapter 19 of Agenda 21, which called for the adoption of a legally binding instrument on the PIC procedure by the year 2000. Consequently, the FAO
Council (in 1994) and the UNEP Governing Council (in 1995) mandated their executiveheads to launch negotiations which lead to the finalization of the text of the
Convention on the Prior Informed Consent Procedure for Certain Hazardous Chemicals in
International Trade in March 1998.
The Convention was adopted and opened for signature at a Conference of
Plenipotentiaries in Rotterdam on 10 September 1998 and entered into force on24 February 2004. The first Conference of the Parties to the Rotterdam Convention
(COP 1) was held in September 2004 resulting in the addition of 14 new chemicals to
Annex III and the adoption of a new section (Annex VI) on arbitration and conciliation.
FAO and UNEP jointly perform the Secretariat functions for the Rotterdam Convention.
The Parties to this Convention,
Aware of the harmful impact on human health and the environment from certainhazardous chemicals and pesticides in international trade,
Recalling the pertinent provisions of the Rio Declaration on Environment and
Development and chapter 19 of Agenda 21 on "Environmentally sound management of
toxic chemicals, including prevention of illegal international traffic in toxic and
dangerous products",
Mindful of the work undertaken by the United Nations Environment Programme
(UNEP) and the Food and Agriculture Organization of the United Nations (FAO) in the
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operation of the voluntary Prior Informed Consent procedure, as set out in the UNEP
Amended London Guidelines for the Exchange of Information on Chemicals inInternational Trade (hereinafter referred to as the "Amended London Guidelines") and
the FAO International Code of Conduct on the Distribution and Use of Pesticides
(hereinafter referred to as the "International Code of Conduct"),
Taking into account the circumstances and particular requirements of developingcountries and countries with economies in transition, in particular the need to
strengthen national capabilities and capacities for the management of chemicals,including transfer of technology, providing financial and technical assistance and
promoting cooperation among the Parties,
Noting the specific needs of some countries for information on transit movements,
Recognizing that good management practices for chemicals should be promoted in all
countries, taking into account, inter alia, the voluntary standards laid down in the
International Code of Conduct and the UNEP Code of Ethics on the International
Trade in Chemicals,
Desiring to ensure that hazardous chemicals that are exported from their territory are
packaged and labeled in a manner that is adequately protective of human health and the
environment, consistent with the principles of the Amended London Guidelinesand the International Code of Conduct,
Recognizing that trade and environmental policies should be mutually supportive with
a view to achieving sustainable development,
Emphasizing that nothing in this Convention shall be interpreted as implying in any
way a change in the rights and obligations of a Party under any existing international
agreement applying to chemicals in international trade or to environmental protection,
Understanding that the above recital is not intended to create a hierarchy between this
Convention and other international agreements,
Determined to protect human health, including the health of consumers and workers,
and the environment against potentially harmful impacts from certain hazardous
chemicals and pesticides in international trade,
Have agreed as follows:
Article 1
Objective
The objective of this Convention is to promote shared responsibility and cooperative
efforts among Parties in the international trade of certain hazardous chemicals inorder to protect human health and the environment from potential harm and tocontribute to their environmentally sound use, by facilitating information exchange
about their characteristics, by providing for a national decision-making process ontheir import and export and by disseminating these decisions to Parties.
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Article 2
Definitions
For the purposes of this Convention:
(a) "Chemical" means a substance whether by itself or in a mixture or preparation and
whether manufactured or obtained from nature, but does not include any livingorganism. It consists of the following categories: pesticide (including severelyhazardous pesticide formulations) and industrial;
(b)"Banned chemical" means a chemical all uses of which within one or more
categories have been prohibited by final regulatory action, in order to protect human
health or the environment. It includes a chemical that has been refused approval for first-time use or
has been withdrawn by industry either from the domestic market or
from further consideration in the domestic approval process and where there is clear
evidence that such action has been taken in order to protect human health or theenvironment;
(c) "Severely restricted chemical" means a chemical virtually all use of which within
one or more categories has been prohibited by final regulatory action in order to protect human health or the environment, but for which certain specific uses remain allowed. It
includes a chemical that has, for virtually all use, been refused for approvalor been withdrawn by industry either from the domestic market or from further
consideration in the domestic approval process, and where there is clear evidence thatsuch action has been taken in order to protect human health or the environment;
(d)"Severely hazardous pesticide formulation" means a chemical formulated for
pesticidal use that produces severe health or environmental effects observable within a
short period of time after single or multiple exposure, under conditions of use;
(e)"Final regulatory action" means an action taken by a Party, that does not require
subsequent regulatory action by that Party, the purpose of which is to ban or severely
restrict a chemical;
(f) "Export" and "import" mean, in their respective connotations, the movement of a
chemical from one Party to another Party, but exclude mere transit operations;
(g) "Party" means a State or regional economic integration organization that has
consented to be bound by this Convention and for which the Convention is in force;
(h)"Regional economic integration organization" means an organization constituted by
sovereign States of a given region to which its member States have transferred competence in
respect of matters governed by this Convention and which has been
duly authorized, in accordance with its internal procedures, to sign, ratify, accept,
approve or accede to this Convention;
(i) "Chemical Review Committee" means the subsidiary body referred to in paragraph 6
of Article 18.
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Article 3
Scope of the Convention
1. This Convention applies to:
(a) Banned or severely restricted chemicals; and
(b) Severely hazardous pesticide formulations.
2. This Convention does not apply to:
(a) Narcotic drugs and psychotropic substances;
(b) Radioactive materials;
(c) Wastes;
(d) Chemical weapons;
(e) Pharmaceuticals, including human and veterinary drugs;
(f) Chemicals used as food additives;
(g) Food;
(h) Chemicals in quantities not likely to affect human health or the environment
provided they are imported:
(i) For the purpose of research or analysis; or
(ii) By an individual for his or her own personal use in quantities reasonable for such
use.
Article 4
Designated national authorities
1. Each Party shall designate one or more national authorities that shall be authorized
to act on its behalf in the performance of the administrative functions required by thisConvention.
2. Each Party shall seek to ensure that such authority or authorities have sufficient
resources to perform their tasks effectively.
3. Each Party shall, no later than the date of the entry into force of this Convention for
it, notify the name and address of such authority or authorities to the Secretariat. It
shall forthwith notify the Secretariat of any changes in the name and address of such
authority or authorities.
Article 5
Procedures for banned or severely restricted chemicals
1. Each Party that has adopted a final regulatory action shall notify the Secretariat in
writing of such action. Such notification shall be made as soon as possible, and in anyevent no later than ninety days after the date on which the final regulatory action has
taken effect, and shall contain the information required by Annex I, where available.
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2. Each Party shall, at the date of entry into force of this Convention for it, notify the
Secretariat in writing of its final regulatory actions in effect at that time, except that
each Party that has submitted notifications of final regulatory actions under the
Amended London Guidelines or the International Code of Conduct need not resubmit
those notifications.3. The Secretariat shall, as soon as possible, and in any event no later than six
months after receipt of a notification under paragraphs 1 and 2, verify whether thenotification contains the information required by Annex I. If the notification contains
the information required, the Secretariat shall forthwith forward to all Parties a summary of the
information received. If the notification does not contain theinformation required, it shall inform the notifying Party accordingly.
4. The Secretariat shall every six months communicate to the Parties a synopsis of the
information received pursuant to paragraphs 1 and 2, including information regarding
those notifications which do not contain all the information required by Annex I.
5. When the Secretariat has received at least one notification from each of two Prior
Informed Consent regions regarding a particular chemical that it has verified meet the requirements
of Annex I, it shall forward them to the Chemical Review Committee. The
composition of the Prior Informed Consent regions shall be defined in a decision to be
adopted by consensus at the first meeting of the Conference of the Parties.
6. The Chemical Review Committee shall review the information provided in such
notifications and, in accordance with the criteria set out in Annex II, recommend tothe Conference of the Parties whether the chemical in question should be made
subject to the Prior Informed Consent procedure and, accordingly, be listed in AnnexIII.
Article 6
Procedures for severely hazardous pesticide formulations
1. Any Party that is a developing country or a country with an economy in transition
and that is experiencing problems caused by a severely hazardous pesticide
formulation under conditions of use in its territory, may propose to the Secretariat thelisting of the severely hazardous pesticide formulation in Annex III. In developing a
proposal, the Party may draw upon technical expertise from any relevant source. The proposal shall
contain the information required by part 1 of Annex IV.
2. The Secretariat shall, as soon as possible, and in any event no later than six
months after receipt of a proposal under paragraph 1, verify whether the proposal
contains the information required by part 1 of Annex IV. If the proposal contains theinformation required, the Secretariat shall forthwith forward to all Parties a summary
of the information received. If the proposal does not contain the information required,
it shall inform the proposing Party accordingly.
3. The Secretariat shall collect the additional information set out in part 2 of Annex IV
regarding the proposal forwarded under paragraph 2.
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4. When the requirements of paragraphs 2 and 3 above have been fulfilled with regard
to a particular severely hazardous pesticide formulation, the Secretariat shall forwardthe proposal and the related information to the Chemical Review Committee.
5. The Chemical Review Committee shall review the information provided in the
proposal and the additional information collected and, in accordance with the criteria
set out in part 3 of Annex IV, recommend to the Conference of the Parties whether theseverely hazardous pesticide formulation in question should be made subject to the
Prior Informed Consent procedure and, accordingly, be listed in Annex III.
Article 7
Listing of chemicals in Annex III
1. For each chemical that the Chemical Review Committee has decided to recommend
for listing in Annex III, it shall prepare a draft decision guidance document. Thedecision guidance document should, at a minimum, be based on the information
specified in Annex I, or, as the case may be, Annex IV, and include information on
uses of the chemical in a category other than the category for which the finalregulatory action applies.
2. The recommendation referred to in paragraph 1 together with the draft decision
guidance document shall be forwarded to the Conference of the Parties. The
Conference of the Parties shall decide whether the chemical should be made subject tothe Prior Informed Consent procedure and, accordingly, list the chemical in Annex III
and approve the draft decision guidance document.
3. When a decision to list a chemical in Annex III has been taken and the related
decision guidance document has been approved by the Conference of the Parties, theSecretariat shall forthwith communicate this information to all Parties.
Article 8
Chemicals in the voluntary Prior Informed Consent procedure
For any chemical, other than a chemical listed in Annex III, that has been included in
the voluntary Prior Informed Consent procedure before the date of the first meeting of
the Conference of the Parties, the Conference of the Parties shall decide at that
meeting to list the chemical in Annex III, provided that it is satisfied that all the
requirements for listing in that Annex have been fulfilled.
Article 9Removal of chemicals from Annex III
1. If a Party submits to the Secretariat information that was not available at the time
of the decision to list a chemical in Annex III and that information indicates that its
listing may no longer be justified in accordance with the relevant criteria in Annex II or,
as the case may be, Annex IV, the Secretariat shall forward the information to the
Chemical Review Committee.
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2. The Chemical Review Committee shall review the information it receives under
paragraph 1. For each chemical that the Chemical Review Committee decides, inaccordance with the relevant criteria in Annex II or, as the case may be, Annex IV, to
recommend for removal from Annex III, it shall prepare a revised draft decision
guidance document.
3. A recommendation referred to in paragraph 2 shall be forwarded to the Conferenceof the Parties and be accompanied by a revised draft decision guidance document. The
Conference of the Parties shall decide whether the chemical should be removed fromAnnex III and whether to approve the revised draft decision guidance document.
4. When a decision to remove a chemical from Annex III has been taken and the
revised decision guidance document has been approved by the Conference of the
Parties, the Secretariat shall forthwith communicate this information to all Parties.
Article 10
Obligations in relation to imports of chemicals listed in Annex III
1. Each Party shall implement appropriate legislative or administrative measures to
ensure timely decisions with respect to the import of chemicals listed in Annex III.
2. Each Party shall transmit to the Secretariat, as soon as possible, and in any event
no later than nine months after the date of dispatch of the decision guidance
document referred to in paragraph 3 of Article 7, a response concerning the future
import of the chemical concerned. If a Party modifies this response, it shall forthwith
submit the revised response to the Secretariat.
3. The Secretariat shall, at the expiration of the time period in paragraph 2, forthwith
address to a Party that has not provided such a response, a written request to do so.Should the Party be unable to provide a response, the Secretariat shall, where
appropriate, help it to provide a response within the time period specified in the last sentence of paragraph 2 of Article 11.
4. A response under paragraph 2 shall consist of either:
(a.)A final decision, pursuant to legislative or administrative measures:
(i) To consent to import;
(ii) Not to consent to import; or
(iii) To consent to import only subject to specified conditions; or
(b) An interim response, which may include:
(i) An interim decision consenting to import with or without specified
conditions, or not consenting to import during the interim period;
(ii) A statement that a final decision is under active consideration;
(iii) A request to the Secretariat, or to the Party that notified the final regulatory
action, for further information;
(iv) A request to the Secretariat for assistance in evaluating the chemical.
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5 A response under subparagraphs (a) or (b) of paragraph 4 shall relate to the category
or categories specified for the chemical in Annex III.
6. A final decision should be accompanied by a description of any legislative or
administrative measures upon which it is based.
7. Each Party shall, no later than the date of entry into force of this Convention for it,
transmit to the Secretariat responses with respect to each chemical listed in Annex III.A Party that has provided such responses under the Amended London Guidelines or
the International Code of Conduct need not resubmit those responses.
8. Each Party shall make its responses under this Article available to those concerned
within its jurisdiction, in accordance with its legislative or administrative measures.
9. A Party that, pursuant to paragraphs 2 and 4 above and paragraph 2 of Article 11,
takes a decision not to consent to import of a chemical or to consent to its import only
under specified conditions shall, if it has not already done so, simultaneously prohibitor make subject to the same conditions:
(a) Import of the chemical from any source; and
(b) Domestic production of the chemical for domestic use.
10. Every six months the Secretariat shall inform all Parties of the responses it has
received. Such information shall include a description of the legislative or administrative measures on which the decisions have been based, where available.
The Secretariat shall, in addition, inform the Parties of any cases of failure to transmit
a response.
Article 11
Obligations in relation to exports of chemicals listed in Annex III
1. Each exporting Party shall:
(a) Implement appropriate legislative or administrative measures to communicate the
responses forwarded by the Secretariat in accordance with paragraph 10 of Article 10to those concerned within its jurisdiction;
(b) Take appropriate legislative or administrative measures to ensure that exporters
within its jurisdiction comply with decisions in each response no later than six months after the
date on which the Secretariat first informs the Parties of such
response in accordance with paragraph 10 of Article 10;
(c) Advise and assist importing Parties, upon request and as appropriate:
(i) To obtain further information to help them to take action in accordance with paragraph 4 of Article 10 and paragraph 2 (c) below; and
(ii) To strengthen their capacities and capabilities to manage chemicals safely
during their life-cycle.
2. Each Party shall ensure that a chemical listed in Annex III is not exported from its
territory to any importing Party that, in exceptional circumstances, has failed to
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transmit a response or has transmitted an interim response that does not contain an
interim decision, unless:
(a) It is a chemical that, at the time of import, is registered as a chemical in the
importing Party; or
(b) It is a chemical for which evidence exists that it has previously been used in, or
imported into, the importing Party and in relation to which no regulatory action to prohibit its use has been taken; or
(c) Explicit consent to the import has been sought and received by the exporter
through a designated national authority of the importing Party. The importing Party
shall respond to such a request within sixty days and shall promptly notify the Secretariat of its
decision. The obligations of exporting Parties under this paragraph
shall apply with effect from the expiration of a period of six months from the date on
which the Secretariat first informs the Parties, in accordance with paragraph 10 of
Article 10, that a Party has failed to transmit a response or has transmitted an interim
response that does not contain an interim decision, and shall apply for one year.
Article 12
Export notification
1. Where a chemical that is banned or severely restricted by a Party is exported from
its territory, that Party shall provide an export notification to the importing Party. The
export notification shall include the information set out in Annex V.
2. The export notification shall be provided for that chemical prior to the first export
following adoption of the corresponding final regulatory action. Thereafter, the export
notification shall be provided before the first export in any calendar year. Therequirement to notify before export may be waived by the designated national
authority of the importing Party.
3. An exporting Party shall provide an updated export notification after it has adopted
a final regulatory action that results in a major change concerning the ban or severe
restriction of that chemical.
4. The importing Party shall acknowledge receipt of the first export notification
received after the adoption of the final regulatory action. If the exporting Party does
not receive the acknowledgement within thirty days of the dispatch of the export
notification, it shall submit a second notification. The exporting Party shall make
reasonable efforts to ensure that the importing Party receives the second notification.
5. The obligations of a Party set out in paragraph 1 shall cease when:
(a) The chemical has been listed in Annex III;
(b) The importing Party has provided a response for the chemical to the Secretariat in
accordance with paragraph 2 of Article 10; and
(c) The Secretariat has distributed the response to the Parties in accordance with
paragraph 10 of Article 10.
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Article 13
Information to accompany exported chemicals
1. The Conference of the Parties shall encourage the World Customs Organization to
assign specific Harmonized System customs codes to the individual chemicals or
groups of chemicals listed in Annex III, as appropriate. Each Party shall require that,
whenever a code has been assigned to such a chemical, the shipping document for that chemical bears the code when exported.
2. Without prejudice to any requirements of the importing Party, each Party shall
require that both chemicals listed in Annex III and chemicals banned or severely
restricted in its territory are, when exported, subject to labeling requirements that ensure adequate
availability of information with regard to risks and/or hazards to
human health or the environment, taking into account relevant international
standards.
3. Without prejudice to any requirements of the importing Party, each Party may
require that chemicals subject to environmental or health labeling requirements in itsterritory are, when exported, subject to labeling requirements that ensure adequate
availability of information with regard to risks and/or hazards to human health or the environment,
taking into account relevant international standards.
4. With respect to the chemicals referred to in paragraph 2 that are to be used for
occupational purposes, each exporting Party shall require that a safety data sheet thatfollows an internationally recognized format, setting out the most up-to-date
information available, is sent to each importer.
5. The information on the label and on the safety data sheet should, as far as
practicable, be given in one or more of the official languages of the importing Party.
Article 14Information exchange
1. Each Party shall, as appropriate and in accordance with the objective of this
Convention, facilitate:
(a) The exchange of scientific, technical, economic and legal information concerning
the chemicals within the scope of this Convention, including toxicological,
ecotoxicological and safety information;
(b) The provision of publicly available information on domestic regulatory actions
relevant to the objectives of this Convention; and
(c) The provision of information to other Parties, directly or through the Secretariat, on
domestic regulatory actions that substantially restrict one or more uses of thechemical, as appropriate.
2. Parties that exchange information pursuant to this Convention shall protect any
confidential information as mutually agreed.
3. The following information shall not be regarded as confidential for the purposes of
this Convention:
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(a) The information referred to in Annexes I and IV, submitted pursuant to Articles 5
and 6 respectively;
(b) The information contained in the safety data sheet referred to in paragraph 4 of
Article 13;
(c) The expiry date of the chemical;
(d) Information on precautionary measures, including hazard classification, the nature
of the risk and the relevant safety advice; and
(e) The summary results of the toxicological and ecotoxicological tests.
4. The production date of the chemical shall generally not be considered confidential
for the purposes of this Convention.
5. Any Party requiring information on transit movements through its territory of
chemicals listed in Annex III may report its need to the Secretariat, which shall inform
all Parties accordingly.
Article 15
Implementation of the Convention
1. Each Party shall take such measures as may be necessary to establish and
strengthen its national infrastructures and institutions for the effective
implementation of this Convention. These measures may include, as required, the
adoption or amendment of national legislative or administrative measures and may
also include:
(a) The establishment of national registers and databases including safety information
for chemicals;
(b) The encouragement of initiatives by industry to promote chemical safety; and
(c) The promotion of voluntary agreements, taking into consideration the provisions of
Article 16.
2. Each Party shall ensure, to the extent practicable, that the public has appropriate
access to information on chemical handling and accident management and on
alternatives that are safer for human health or the environment than the chemicals
listed in Annex III.
3. The Parties agree to cooperate, directly or, where appropriate, through competent
international organizations, in the implementation of this Convention at the sub-
regional, regional and global levels.
4. Nothing in this Convention shall be interpreted as restricting the right of the Partiesto take action that is more stringently protective of human health and theenvironment than that called for in this Convention, provided that such action is
consistent with the provisions of this Convention and is in accordance withinternational law.
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Article 16
Technical assistance
The Parties shall, taking into account in particular the needs of developing countries
and countries with economies in transition, cooperate in promoting technical
assistance for the development of the infrastructure and the capacity necessary to
manage chemicals to enable implementation of this Convention. Parties with moreadvanced programmes for regulating chemicals should provide technical assistance,
including training, to other Parties in developing their infrastructure and capacity tomanage chemicals throughout their life-cycle.
Article 17
Non-Compliance
The Conference of the Parties shall, as soon as practicable, develop and approve
procedures and institutional mechanisms for determining noncompliance with the
provisions of this Convention and for treatment of Parties found to be in non-compliance.
Article 18
Conference of the Parties
1. A Conference of the Parties is hereby established.
2. The first meeting of the Conference of the Parties shall be convened by the
Executive Director of UNEP and the Director-General of FAO, acting jointly, no later than one year after the entry into force of this Convention. Thereafter, ordinary
meetings of the Conference of the Parties shall be held at regular intervals to bedetermined by the Conference.
3. Extraordinary meetings of the Conference of the Parties shall be held at such other
times as may be deemed necessary by the Conference, or at the written request of anyParty provided that it is supported by at least one third of the Parties.
4. The Conference of the Parties shall by consensus agree upon and adopt at its first
meeting rules of procedure and financial rules for itself and any subsidiary bodies, as
well as financial provisions governing the functioning of the Secretariat.
5. The Conference of the Parties shall keep under continuous review and evaluation
the implementation of this Convention. It shall perform the functions assigned to it by
the Convention and, to this end, shall:
(a) Establish, further to the requirements of paragraph 6 below, such subsidiary
bodies as it considers necessary for the implementation of the Convention;
(b) Cooperate, where appropriate, with competent international organizations and
intergovernmental and non-governmental bodies; and
(c) Consider and undertake any additional action that may be required for the
achievement of the objectives of the Convention.
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6. The Conference of the Parties shall, at its first meeting, establish a subsidiary body,
to be called the Chemical Review Committee, for the purposes of performing thefunctions assigned to that Committee by this Convention. In this regard:
(a) The members of the Chemical Review Committee shall be appointed by the
Conference of the Parties. Membership of the Committee shall consist of a limited
number of government-designated experts in chemicals management. The members of the Committee shall be appointed on the basis of equitable geographical distribution,
including ensuring a balance between developed and developing Parties;
(b) The Conference of the Parties shall decide on the terms of reference, organization
and operation of the Committee;
(c) The Committee shall make every effort to make its recommendations by consensus.
If all efforts at consensus have been exhausted, and no consensus reached, such
recommendation shall as a last resort be adopted by a two-thirds majority vote of the
members present and voting.
7. The United Nations, its specialized agencies and the International Atomic Energy
Agency, as well as any State not Party to this Convention, may be represented at
meetings of the Conference of the Parties as observers. Any body or agency, whether national or
international, governmental or nongovernmental, qualified in matterscovered by the Convention, and which has informed the Secretariat of its wish to be
represented at a meeting of the Conference of the Parties as an observer may beadmitted unless at least one third of the Parties present object. The admission and
participation of observers shall be subject to the rules of procedure adopted by theConference of the Parties.
Article 19
Secretariat
1. A Secretariat is hereby established.
2. The functions of the Secretariat shall be:
(a) To make arrangements for meetings of the Conference of the Parties and its
subsidiary bodies and to provide them with services as required;
(b) To facilitate assistance to the Parties, particularly developing Parties and Parties
with economies in transition, on request, in the implementation of this Convention;
(c) To ensure the necessary coordination with the secretariats of other relevant
international bodies;
(d) To enter, under the overall guidance of the Conference of the Parties, into such
administrative and contractual arrangements as may be required for the effectivedischarge of its functions; and
(e) To perform the other secretariat functions specified in this Convention and such
other functions as may be determined by the Conference of the Parties.
3. The secretariat functions for this Convention shall be performed jointly by the
Executive Director of UNEP and the Director-General of FAO, subject to such
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arrangements as shall be agreed between them and approved by the Conference of the
Parties.
4. The Conference of the Parties may decide, by a three-fourths majority of the Parties
present and voting, to entrust the secretariat functions to one or more other
competent international organizations, should it find that the Secretariat is not
functioning as intended.
Article 20
Settlement of disputes
1. Parties shall settle any dispute between them concerning the interpretation or
application of this Convention through negotiation or other peaceful means of their
own choice.
2. When ratifying, accepting, approving or acceding to this Convention, or at any time
thereafter, a Party that is not a regional economic integration that, with respect to any
dispute concerning the interpretation or application of the Convention, it recognizesone or both of the following means of dispute settlement as compulsory in relation to
any Party accepting the same obligation:
(a) Arbitration in accordance with procedures to be adopted by the Conference of the
Parties in an annex as soon as practicable; and
(b) Submission of the dispute to the International Court of Justice.
3. A Party that is a regional economic integration organization may make a declaration
with like effect in relation to arbitration in accordance with the procedure referred toin paragraph 2 (a).
4. A declaration made pursuant to paragraph 2 shall remain in force until it expires in
accordance with its terms or until three months after written notice of its revocationhas been deposited with the Depositary.
5. The expiry of a declaration, a notice of revocation or a new declaration shall not in
any way affect proceedings pending before an arbitral tribunal or the International
Court of Justice unless the parties to the dispute otherwise agree.
6. If the parties to a dispute have not accepted the same or any procedure pursuant to
paragraph 2, and if they have not been able to settle their dispute within twelvemonths following notification by one party to another that a dispute exists between
them, the dispute shall be submitted to a conciliation commission at the request of any party to the
dispute. The conciliation commission shall render a report withrecommendations. Additional procedures relating to the conciliation commission shall
be included in an annex to be adopted by the Conference of the Parties no later thanthe second meeting of the Conference.
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Article 21
Amendments to the Convention
1. Amendments to this Convention may be proposed by any Party.
2. Amendments to this Convention shall be adopted at a meeting of the Conference of
the Parties. The text of any proposed amendment shall be communicated to the
Parties by the Secretariat at least six months before the meeting at which it is
proposed for adoption. The Secretariat shall also communicate the proposedamendment to the signatories to this Convention and, for information, to the
Depositary.
3. The Parties shall make every effort to reach agreement on any proposed amendment
to this Convention by consensus. If all efforts at consensus have been exhausted, and
no agreement reached, the amendment shall as a last resort be adopted by a three-fourths majority vote of the Parties present and voting at the meeting.
4. The amendment shall be communicated by the Depositary to all Parties for
ratification, acceptance or approval.
5. Ratification, acceptance or approval of an amendment shall be notified to the
Depositary in writing. An amendment adopted in accordance with paragraph 3 shall
enter into force for the Parties having accepted it on the ninetieth day after the date of deposit of
instruments of ratification, acceptance or approval by at least three fourths
of the Parties. Thereafter, the amendment shall enter into force for any other Party on
the ninetieth day after the date on which that Party deposits its instrument of
ratification, acceptance or approval of the amendment.
Article 22
Adoption and amendment of annexes
1. Annexes to this Convention shall form an integral part thereof and, unless expressly
provided otherwise, a reference to this Convention constitutes at the same time a
reference to any annexes thereto.
2. Annexes shall be restricted to procedural, scientific, technical or administrative
matters.
3. The following procedure shall apply to the proposal, adoption and entry into force of
additional annexes to this Convention:
(a) Additional annexes shall be proposed and adopted according to the procedure laid
down in paragraphs 1, 2 and 3 of Article 21;
(b) Any Party that is unable to accept an additional annex shall so notify the
Depositary, in writing, within one year from the date of communication of the adoption
of the additional annex by the Depositary. The Depositary shall without delay notify allParties of any such notification received. A Party may at any time withdraw a previous
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notification of non-acceptance in respect of an additional annex and the annex shall
thereupon enter into force for that Party subject to subparagraph (c) below; and
(c) On the expiry of one year from the date of the communication by the Depositary of
the adoption of an additional annex, the annex shall enter into force for all Parties that
have not submitted a notification in accordance with the provisions of subparagraph
(b) above.4. Except in the case of Annex III, the proposal, adoption and entry into force
of amendments to annexes to this Convention shall be subject to the same procedures
as for the proposal, adoption and entry into force of additional annexes to the
Convention.
5. The following procedure shall apply to the proposal, adoption and entry into force of
amendments to Annex III:
(a) Amendments to Annex III shall be proposed and adopted according to the
procedure laid down in Articles 5 to 9 and paragraph 2 of Article 21;
(b) The Conference of the Parties shall take its decisions on adoption by consensus;
(c) A decision to amend Annex III shall forthwith be communicated to the Parties by
the Depositary. The amendment shall enter into force for all Parties on a date to be specified in the
decision.
6. If an additional annex or an amendment to an annex is related to an amendment to
this Convention, the additional annex or amendment shall not enter into force untilsuch time as the amendment to the Convention enters into force.
Article 23
Voting
1. Each Party to this Convention shall have one vote, except as provided for in
paragraph 2 below.
2. A regional economic integration organization, on matters within its competence,
shall exercise its right to vote with a number of votes equal to the number of its
member States that are Parties to this Convention. Such an organization shall not
exercise its right to vote if any of its member States exercises its right to vote, and vice
versa.
3. For the purposes of this Convention, "Parties present and voting" means Parties
present and casting an affirmative or negative vote.
Article 24
Signature
This Convention shall be open for signature at Rotterdam by all States and regional
economic integration organizations on 11 September 1998, and at United Nations
Headquarters in New York from 12 September 1998 to 10 September 1999.
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Article 25
Ratification, acceptance, approval or accession
1. This Convention shall be subject to ratification, acceptance or approval by States
and by regional economic integration organizations. It shall be open for accession by
States and by regional economic integration organizations from the day after the date
on which the Convention is closed for signature. Instruments of ratification,acceptance, approval or accession shall be deposited with the Depositary.
2. Any regional economic integration organization that becomes a Party to this
Convention without any of its member States being a Party shall be bound by all the
obligations under the Convention. In the case of such organizations, one or more of whose member
States is a Party to this Convention, the organization and its member
States shall decide on their respective responsibilities for the performance of their
obligations under the Convention. In such cases, the organization and the member
States shall not be entitled to exercise rights under the Convention concurrently.
3. In its instrument of ratification, acceptance, approval or accession, a regional
economic integration organization shall declare the extent of its competence in respect
of the matters governed by this Convention. Any such organization shall also inform the Depositary,
who shall in turn inform the Parties, of any relevant modification inthe extent of its competence.
Article 26
Entry into force
1. This Convention shall enter into force on the ninetieth day after the date of deposit
of the fiftieth instrument of ratification, acceptance, approval or accession.
2. For each State or regional economic integration organization that ratifies, accepts or
approves this Convention or accedes thereto after the deposit of the fiftieth instrument of ratification,acceptance, approval or accession, the Convention shall enter into forceon the ninetieth day after the date of deposit by such State or regional economic
integration organization of its instrument of ratification, acceptance, approval or accession.
3. For the purpose of paragraphs 1 and 2, any instrument deposited by a regional
economic integration organization shall not be counted as additional to those
deposited by member States of that organization.
Article 27
Reservations
No reservations may be made to this Convention.
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Article 28
Withdrawal
1. At any time after three years from the date on which this Convention has entered
into force for a Party, that Party may withdraw from the Convention by giving written
notification to the Depositary.
2. Any such withdrawal shall take effect upon expiry of one year from the date of
receipt by the Depositary of the notification of withdrawal, or on such later date as
may be specified in the notification of withdrawal.
Article 29
Depositary
The Secretary-General of the United Nations shall be the Depositary of this Convention.
Article 30
Authentic texts
The original of this Convention, of which the Arabic, Chinese, English, French,
Russian and Spanish texts are equally authentic, shall be deposited with the Secretary-General of
the United Nations. IN WITNESS WHEREOF the undersigned,
being duly authorized to that effect, have signed this Convention. Done at Rotterdam
on this tenth day of September, one thousand nine hundred and ninety-eight.
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Annex I
INFORMATION REQUIREMENTS FOR NOTIFICATIONS
MADE PURSUANT TO ARTICLE 5
Notifications shall include:
1. Properties, identification and uses
(a) Common name;
(b) Chemical name according to an internationally recognized nomenclature (for
example, International Union of Pure and Applied Chemistry (IUPAC)), where such
nomenclature exists;
(c) Trade names and names of preparations;
(d) Code numbers: Chemicals Abstracts Service (CAS) number, Harmonized System
customs code and other numbers;
(e) Information on hazard classification, where the chemical is subject to classification
requirements;
(f) Use or uses of the chemical;
(g) Physico-chemical, toxicological and ecotoxicological properties.
2. Final regulatory action
(a) Information specific to the final regulatory action:
(i) Summary of the final regulatory action;
(ii) Reference to the regulatory document;
(iii) Date of entry into force of the final regulatory action;
(iv) Indication of whether the final regulatory action was taken on the basis of a
risk or hazard evaluation and, if so, information on such evaluation, covering a
reference to the relevant documentation;
(v) Reasons for the final regulatory action relevant to human health, including
the health of consumers and workers, or the environment;
(vi) Summary of the hazards and risks presented by the chemical to human
health, including the health of consumers and workers, or the environment and
the expected effect of the final regulatory action;
(b) Category or categories where the final regulatory action has been taken, and for
each category:(i) Use or uses prohibited by the final regulatory action;
(ii) Use or uses that remain allowed; imported, exported and used;
(iii) Estimation, where available, of quantities of the chemical produced,
imported, exported and used;
(c) An indication, to the extent possible, of the likely relevance of the final regulatory
action to other States and regions;
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(d) Other relevant information that may cover:
(i) Assessment of socio-economic effects of the final regulatory action;
(ii) Information on alternatives and their relative risks, where available, such as:
- Integrated pest management strategies;
- Industrial practices and processes, including cleaner technology.
Annex II
CRITERIA FOR LISTING BANNED OR SEVERELY RESTRICTED
CHEMICALS IN ANNEX III
In reviewing the notifications forwarded by the Secretariat pursuant to paragraph 5 of
Article 5, the Chemical Review Committee shall:(a) Confirm that the final regulatory action has been taken in order to protect human
health or the environment;
(b) Establish that the final regulatory action has been taken as a consequence of a risk
evaluation. This evaluation shall be based on a review of scientific data in the context
of the conditions prevailing in the Party in question. For this purpose, thedocumentation provided shall demonstrate that:
(i) Data have been generated according to scientifically recognized methods;(ii) Data reviews have been performed and documented according to generally
recognized scientific principles and procedures;
(iii) The final regulatory action was based on a risk evaluation involving prevailing conditions within the Party taking the action;
(c) Consider whether the final regulatory action provides a sufficiently broad basis tomerit listing of the chemical in Annex III, by taking into account:
(i) Whether the final regulatory action led, or would be expected to lead, to asignificant decrease in the quantity of the chemical used or the number of its
uses;
(ii) Whether the final regulatory action led to an actual reduction of risk or
would be expected to result in a significant reduction of risk for human health
or the environment of the Party that submitted the notification;
(iii) Whether the considerations that led to the final regulatory action being
taken are applicable only in a limited geographical area or in other limitedcircumstances;
(iv) Whether there is evidence of ongoing international trade in the chemical;
(d) Take into account that intentional misuse is not in itself an adequate reason to lista chemical in Annex III.
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Annex IV
INFORMATION AND CRITERIA FOR LISTING SEVERELY HAZARDOUS PESTICIDE
FORMULATIONS IN ANNEX III
Part 1. Documentation required from a proposing Party
Proposals submitted pursuant to paragraph 1 of Article 6 shall include adequate
documentation containing the following information:
(a) Name of the hazardous pesticide formulation;
(b) Name of the active ingredient or ingredients in the formulation;
(c) Relative amount of each active ingredient in the formulation;
(d) Type of formulation;
(e) Trade names and names of the producers, if available;
(f) Common and recognized patterns of use of the formulation within the proposing
Party;
(g) A clear description of incidents related to the problem, including the adverse effects
and the way in which the formulation was used;
(h) Any regulatory, administrative or other measure taken, or intended to be taken, by
the proposing Party in response to such incidents.
Part 2. Information to be collected by the Secretariat
Pursuant to paragraph 3 of Article 6, the Secretariat shall collect relevant information
relating to the formulation, including:
(a) The physico-chemical, toxicological and ecotoxicological properties of the
formulation;
(b) The existence of handling or applicator restrictions in other States;
(c) Information on incidents related to the formulation in other States;
(d) Information submitted by other Parties, international organizations,
nongovernmental organizations or other relevant sources, whether national or
international;
(e) Risk and/or hazard evaluations, where available;
(f) Indications, if available, of the extent of use of the formulation, such as the number
of registrations or production or sales quantity;
(g) Other formulations of the pesticide in question, and incidents, if any, relating to
these formulations;
(h) Alternative pest-control practices;
(i) Other information which the Chemical Review Committee may identify as relevant.
Part 3. Criteria for listing severely hazardous pesticide formulations in Annex III
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In reviewing the proposals forwarded by the Secretariat pursuant to paragraph 5 of
Article 6, the Chemical Review Committee shall take into account:
(a) The reliability of the evidence indicating that use of the formulation, in accordance
with common or recognized practices within the proposing Party, resulted in the
reported incidents;
(b) The relevance of such incidents to other States with similar climate, conditions and patterns of use of the formulation;
(c) The existence of handling or applicator restrictions involving technology or
techniques that may not be reasonably or widely applied in States lacking the
necessary infrastructure;
(d) The significance of reported effects in relation to the quantity of the formulation
used;
(e) That intentional misuse is not in itself an adequate reason to list a formulation in
Annex III.
Annex V
INFORMATION REQUIREMENTS FOR EXPORT NOTIFICATION
1. Export notifications shall contain the following information:
(a) Name and address of the relevant designated national authorities of the exporting
Party and the importing Party;
(b) Expected date of export to the importing Party;
(c) Name of the banned or severely restricted chemical and summary of the
information specified in Annex I that is to be provided to the Secretariat in accordance
with Article 5.Where more than one such chemical is included in a mixture or
preparation, such information shall be provided for each chemical;
(d) A statement indicating, if known, the foreseen category of the chemical and its
foreseen use within that category in the importing Party;
(e) Information on precautionary measures to reduce exposure to and emission of, the
chemical;
(f) In case of a mixture or a preparation, the concentration of the banned or severely
restricted chemical or chemicals in question;
(g) Name the address of the importer;(h) Any additional information that is readily available to the relevant designated
national authority of the exporting Party that would be of assistance to the designated
national authority of the importing Party.
2. In addition to the information referred to in paragraph 1, the exporting Party shall
provide such further information specified in Annex I as may be requested by theimporting Party.
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Annex VI (2)
SETTLEMENTS OF DISPUTES
A. Rules on arbitration
The arbitration procedure for purposes of paragraph 2 (a) of article 20 of the
Rotterdam Convention on the Prior Informed Consent Procedure for CertainHazardous Chemicals and Pesticides in International Trade shall be as follows:
Article 1
1. A Party may initiate recourse to arbitration in accordance with article 20 of the
Convention by written notification addressed to the other Party to the dispute. The notification shall
be accompanied by a statement of the claim, together with anysupporting documents, and shall state the subject matter for arbitration including, in
particular, the articles of the Convention the interpretation or application of which areat issue.
2. The claimant Party shall notify the secretariat that the Parties are referring adispute to arbitration pursuant to article 20. The written notification of the claimant
Party shall be accompanied by the statement of claim and the supporting documents referred to in
paragraph 1 above. The secretariat shall forward the information thusreceived to all Parties.
Article 2
1. In disputes between two Parties, an Arbitral Tribunal shall be established. It shall
consist of three members.
2. Each of the Parties to the dispute shall appoint an arbitrator and the two
arbitrators so appointed shall designate by common agreement the third arbitrator,
who shall be the President of the Tribunal. The President of the Tribunal shall not be a national of
one of the Parties to the dispute, nor have his or her usual place of
residence in the territory of one of these Parties, nor be employed by any of them, nor
have dealt with the case in any other capacity.
3. In disputes between more than two Parties, Parties in the same interest shall
appoint one arbitrator jointly by agreement.
4. Any vacancy shall be filled in the manner prescribed for the initial appointment.
(2) Adopted by the First Meeting of the Conference of the Parties by its decision RC
1/11 of 24 September 2004
5. If the Parties do not agree on the subject matter of the dispute before the President
of the Arbitral Tribunal is designated, the Arbitral Tribunal shall determine the subject matter.
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Article 3
1. If one of the Parties to the dispute does not appoint an arbitrator within two months
of the date on which the respondent Party receives the notification of the arbitration,
the other Party may inform the Secretary- General of the United Nations who shallmake the designation within a further two-month period.
2. If the President of the Arbitral Tribunal has not been designated within two monthsof the date of the appointment of the second arbitrator, the Secretary-General of the
United Nations shall, at the request of a Party, designate the President within a further
two-month period.
Article 4
The Arbitral Tribunal shall render its decisions in accordance with the provisions of
the Convention and international law.
Article 5
Unless the parties to the dispute agree otherwise, the Arbitral Tribunal shall
determine its own rules of procedure.
Article 6
The Arbitral Tribunal may, at the request of one of the Parties, recommend essential
interim measures of protection.
Article 7
The Parties to the dispute shall facilitate the work of the Arbitral Tribunal and, in
particular, using all means at their disposal, shall:
(a) Provide it with all relevant documents, information and facilities; and
(b) Enable it, when necessary, to call witnesses or experts and receive their evidence.
Article 8
The Parties and the arbitrators are under an obligation to protect the confidentiality of
any information they receive in confidence during the proceedings of the Arbitral
Tribunal.
Article 9
Unless the Arbitral Tribunal determines otherwise because of the particular
circumstances of the case, the costs of the Tribunal shall be borne by the Parties to
the dispute in equal shares. The Tribunal shall keep a record of all its costs and shallfurnish a final statement thereof to the Parties.
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Article 10
A Party that has an interest of a legal nature in the subject matter of the dispute
which may be affected by the decision in the case, may intervene in the proceedings
with the consent of the Arbitral Tribunal.
Article 11
The Arbitral Tribunal may hear and determine counterclaims arising directly out of the
subject matter of the dispute.
Article 12
Decisions of the Arbitral Tribunal on both procedure and substance shall be taken by
a majority vote of its members.
Article 13
1. If one of the Parties to the dispute does not appear before the Arbitral Tribunal or
fails to defend its case, the other Party may request the Tribunal to continue the
proceedings and to render its decision. Absence of a Party or failure of a Party to defend its case
shall not constitute a bar to the proceedings.
2. Before rendering its final decision, the Arbitral Tribunal must satisfy itself that the
claim is well founded in fact and law.
Article 14
The Arbitral Tribunal shall render its final decision within five months of the date onwhich it is fully constituted, unless it finds it necessary to extend the time limit for a
period which should not exceed five more months.
Article 15
The final decision of the Arbitral Tribunal shall be confined to the subject matter of the
dispute and shall state the reasons on which it is based. It shall contain the names of the members who have participated and the date of the final decision. Any member of
the Tribunal may attach a separate or dissenting opinion to the final decision.
Article 16
The award shall be binding on the parties to the dispute. The interpretation of the
Convention given by the award shall also be binding upon a Party intervening under
article 10 above insofar as it relates to matters in respect of which that Partyintervened. The award shall be without appeal unless the parties to the dispute have
agreed in advance to an appellate procedure.
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Article 17
Any controversy which may arise between those bound by the final decision in
accordance with article 16 above, as regards the interpretation or manner of
implementation of that decision, may be submitted by any of them for decision to theArbitral Tribunal which rendered it.
B. Rules on conciliation
The conciliation procedure for purposes of paragraph 6 of article 20 of the
Convention shall be as follows.
Article 1
1. A request by a party to a dispute to establish a conciliation commission in
consequence of paragraph 6 of article 20 shall be addressed in writing to the
Secretariat. The Secretariat shall forthwith inform all Parties accordingly.2. The conciliation commission shall, unless the parties otherwise agree, be composed
of five members, two appointed by each Party concerned and a President chosen
jointly by those members.
Article 2
In disputes between more than two parties, parties in the same interest shall appoint
their members of the commission jointly by agreement.
Article 3
If any appointments by the parties are not made within two months of the date of
receipt by the Secretariat of the written request referred to in article 1, the Secretary-
General of the United Nations shall, upon request by a party, make those appointments within a
further two-month period.
Article 4
If the President of the conciliation commission has not been chosen within two months
of the fourth member of the commission being appointed, the Secretary-General of the
United Nations shall, upon request by a party, designate the President within a further
two-month period.
Article 5
1. The conciliation commission shall, unless the parties to the dispute otherwise agree,
determine its own rules of procedure.
2. The parties and members of the commission are under an obligation to protect the
confidentiality of any information they receive in confidence during the proceedings of
the commission.
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Article 6
The conciliation commission shall take its decisions by a majority vote of its members.
Article 7
The conciliation commission shall render a report with recommendations for
resolution of the dispute within twelve months of being established, which the partiesshall consider in good faith.
Article 8
Any disagreement as to whether the conciliation commission has competence to
consider a matter referred to it shall be decided by the commission.
Article 9
The costs of the Commission shall be borne by the parties to the dispute in shares
agreed by them. The Commission shall keep the record of all its costs and shall
furnish a final statement thereof to the parties.
LIST OF MEETINGS:
CONFERENCE OF THE PARTIES TO THE ROTTERDAM CONVENTION
Conference of the Parties at its First meeting (COP 1), Geneva, 20-24 September 2004.
Conference of the Parties at its Second meeting (COP 2), Rome, 27-30 September 2005.
Conference of the Parties at its Third meeting (COP 3), Geneva, 9-13 October 2006.
Conference of the Parties at its Fourth meeting (COP 4), Rome, 27-31 October 2008.
Conference of the Parties to the Rotterdam Convention (COP 5) Geneva, 20 - 24 June 2011.
The fifth meeting of the Conference of the Parties to the Rotterdam Convention
on the Prior Informed Consent Procedure for Certain Hazardous Chemicals and
Pesticides in International Trade agreed by consensus to add three pesticides,
alachlor, aldicarb and endosulfan, to Annex III of the Convention.
CHEMICAL REVIEW COMMITTEE
Chemical Review Committee at its First meeting (CRC 1), Geneva, 11-18 February
2005.
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Chemical Review Committee at its Second meeting (CRC 2), Geneva, 13-17
February 2006.
Chemical Review Committee at its Third meeting (CRC 3), Rome, 20-23 March 2007.
Chemical Review Committee at its Fourth meeting (CRC 4), Geneva, 10-13 March 2008.
Chemical Review Committee at its Fifth meeting (CRC 5), Rome, 23-27 March 2009.
Chemical Review Committee at its Sixth meeting (CRC 6), Geneva, 15-19 March 2010.
Chemical Review Committee (CRC 7) was held in Rome, 28 March - 1 April 2011.
The CRC recommended that two pesticides, endosulfan and azinphos methyl,
and one severely hazardous pesticide formulation (SPHF), Gramoxone Super, be
included in the Rotterdam Convention's Prior Informed Consent (PIC) procedure.