Envi Eng Chapter 3u(Part 2)

8/3/2019 Envi Eng Chapter 3u(Part 2)

http://slidepdf.com/reader/full/envi-eng-chapter-3upart-2 1/115

BASEL CONVENTION

Reported by:

Gian Rea Calamiong

268



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,

269



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,

270



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.‖

271



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

272



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

273



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:

274



(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.

275



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

276



(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.

277



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:

278



(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.

279



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,

280



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:

281



(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

282



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;

283



(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;

284



(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

285



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.

286



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:

-

-

-

-

-

-

287

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;



- 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.

288



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.

289



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.

290



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.

291



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.

292



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.

293



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

294



Annex I

Y1

Y2

Y3

Y4

Y5

Y6

Y7

Y8

Y9

Y10

Y11

Y12

Y13

295

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


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


resins, latex, plasticizers, glues/adhesives



Y14

Y15

Y16

Y17

Y18

Y19

Y20

Y21

Y22

Y23

Y24

Y25

Y26

Y27

Y28

Y29

Y30

296

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


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



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.

297



(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

298



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

299



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

300



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.

301



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

302



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

303



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


Country of import of the waste


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)

304



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.

305



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

306



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

307



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

308



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

309



• 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

310



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

311



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)

312



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

313



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)

314



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


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


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

315



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


contaminated with any of the following:

• Any congenor of polychlorinated

dibenzo-furan

• Any congenor of polychlorinated

A4120

A4130

A4140

A4150

A4160

dibenzo-p-dioxin


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

316



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

317



• 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

318



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

319



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.

320



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

321



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

322



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

323



(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)

324



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


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

325



- 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

326



-

-

-

-

-

•wastes

-

-

p



resins

melamine formaldehyderesins

epoxyresins

alkyd

resins

polyamides

The following fluorinated polymer

perfluoroethylene/propylene(FEP)

perfluoro alkoxylalkane



- 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,

327



journals and similar printed matter)

• other, including but not limited to 1)

B3030

laminated paperboard 2) unsorted scrap

Textile wastes


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

328



sativa L.)


and garnetted stock) of jute and other textile

bast fibres (excluding flax, true hemp and

ramie)


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


waste and garnetted stock) of abaca (Manila

hemp or Musa textilis Nee)


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

329



B3040 Rubber wastes


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

330



• 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


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

331



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)


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

332



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.

333



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

334



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;

335



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.

336



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?

337



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

338



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."

339



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.

340



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.

341



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.

342



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:

343



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.

344



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.

345



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 transboundary

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.

346



Rotterdam Convention on the Prior Informed

Consent Procedure for Certain Hazardous

Chemicals and Pesticides in International Trade

Reported by:

John Emmanuel Castillo Caudilla

347



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

348



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.

349



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

350



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.

351



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.

352



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.

353



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.

354



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.

355



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.

356



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

357



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.

358



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:

359



(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.

360



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.

361



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

362



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.

363



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

364



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.

365



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.

366



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.

367



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;

368



(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.

369



370



371



372



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

373



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.

374



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.

375



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.

376



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.

377



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.

378



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.

379



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.