WORLD TRADE
ORGANIZATIONWT/CTE/W/193
19 June 2001
(01-3056)
Committee on Trade and Environment
RECENT DEVELOPMENTS IN MULTILATERAL ENVIRONMENTAL AGREEMENTS
(MEAs)
Stockholm Convention on Persistent Organic Pollutants (POPs)
Note by the Secretariat
1. The Stockholm Convention on Persistent Organi c Pollutants was adopted on 22 May 2001.  It
was opened for signature in Stockholm on 23 May 2001, and at the UN Headquarters
from 24 May 2001.  It will remain open for signature in New York until 22 May 2002.1
2. Ninety-two parties signed the Convention in Stockholm;  it will enter into force ninety days
after the deposit of the fiftieth instrument of ratification.
3. The Convention establishes a Conference of the Parties which will hold its first meeting no
later than one year after the entry into force of the Convention.  Unless otherwise decided by the
Conference, the secretariat functions of the Convention will be carried out by the United Nations
Environment Programme (UNEP).
4. The full text of the Convention, as adopted in Stockholm, is attached.
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1 For further information on the Convention, Members may wish to consult:
http://www.chem.unep.ch/pops/ .WT/CTE/W/193
Page 2
STOCKHOLM CONVENTION ON PERSISTENT ORGANIC POLLUTANTS2
The Parties to this Convention,
Recognizing that persistent organic pollutants possess toxic properties, resist degradation,
bioaccumulate and are transported, through air, wa ter and migratory species, across international
boundaries and deposited far from their place of release, where they accumulate in terrestrial and
aquatic ecosystems,
Aware of the health concerns, especially in developing countries, resulting from local exposure
to persistent organic pollutants, in particular impacts upon women and, through them, upon future
generations,
Acknowledging that the Arctic ecosystems and indigenous communities are particularly at risk
because of the biomagnification of persistent organic pollutants and that contamination of their
traditional foods is a public health issue,
Conscious of the need for global action on persistent organic pollutants,
Mindful of decision 19/13 C of 7 February 1997 of the Governing Council of the
United Nations Environment Programme to initiate international action to protect human health and
the environment through measures which will reduce and/or eliminate emissions and discharges of
persistent organic pollutants,
Recalling the pertinent provisions of the relevant international environmental conventions,
especially the Rotterdam Convention on the Prior In formed Consent Procedure for Certain Hazardous
Chemicals and Pesticides in International Trade, and the Basel Convention on the Control of
Transboundary Movements of Hazardous Wastes and their Disposal including the regionalagreements developed within the framework of its Article 11,
Recalling also the pertinent provisions of the Rio Declaration on Environment and
Development and Agenda 21,
Acknowledging that precaution underlies the concerns of all the Parties and is embedded within
this Convention,
Recognizing that this Convention and other international agreements in the field of trade and
the environment are mutually supportive,
Reaffirming that States have, in accordance with the Charter of the United Nations and the
principles of international law, the sovereign right to exploit their own resources pursuant to their
own environmental and developmental policies, and the responsibility to ensure that activities within
their jurisdiction or control do not cause damage to the environment of other States or of areas
beyond the limits of national jurisdiction,
Taking into account the circumstances and particular requirements of developing countries, in
particular the least developed among them, and countries with economies in transition, especially the
need to strengthen their national capabilities for the management of chemicals, including through the
                                                     
2 The following text of the Convention (UNEP/POPS/CONF/2) can be found at
http://www.chem.unep.ch/pops/ , as adopted by the Conference of Plenipotentiaries on the Stockholm
Convention on 22 May 2001.WT/CTE/W/193
Page 3
transfer of technology, the provision of financial and technical assistance and the promotion of
cooperation among the Parties,
Taking full account of the Programme of Action for the Sustainable Development of Small
Island Developing States, adopted in Barbados on 6 May 1994,
Noting the respective capabilities of developed and developing countries, as well as the
common but differentiated responsibilities of States as set forth in Principle 7 of the Rio Declaration
on Environment and Development,
Recognizing the important contribution that the private sector and non-governmental
organizations can make to achieving the reduction and/or elimination of emissions and discharges of
persistent organic pollutants,
Underlining the importance of manufacturers of persistent organic pollutants taking
responsibility for reducing adverse effects caused by their products and for providing information to
users, Governments and the public on the hazardous properties of those chemicals,
Conscious of the need to take measures to prevent adverse effects caused by persistent organic
pollutants at all stages of their life cycle,
Reaffirming Principle 16 of the Rio Declaration on Environment and Development which states
that national authorities should endeavour to prom ote the internalization of environmental costs and
the use of economic instruments, taking into account the approach that the polluter should, inprinciple, bear the cost of pollution, with due regard to the public interest and without distorting
international trade and investment,
Encouraging Parties not having regulatory and assessment schemes for pesticides and industrial
chemicals to develop such schemes,
Recognizing the importance of developing and using environmentally sound alternative
processes and chemicals,
Determined to protect human health and the environment from the harmful impacts of
persistent organic pollutants,
Have agreed as follows:
Article 1
Objective
Mindful of the precautionary approach as set forth in Principle 15 of the Rio Declaration on
Environment and Development, the objective of this Convention is to protect human health and the
environment from persistent organic pollutants.
Article 2
Definitions
For the purposes of this Convention:WT/CTE/W/193
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(a) “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;
(b) "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 dulyauthorized, in accordance with its internal pr ocedures, to sign, ratify, accept, approve or
accede to this Convention;
(c) "Parties present and voting" means Parties present and casting an affirmative or negative
vote.
Article 3
Measures to reduce or eliminate releases from intentional production and use
1. Each Party shall:
(a) Prohibit and/or take the legal and administrative measures necessary to eliminate:
(i) Its production and use of the chemicals listed in Annex A subject to  the
provisions of that Annex; and
(ii) Its import and export of the chemicals listed in Annex A in accordance with the
provisions of paragraph 2; and
(b) Restrict its production and use of the chemicals listed in Annex B in accordance with the
provisions of that Annex.
2. Each Party shall take measures to ensure:
(a) That a chemical listed in Annex A or Annex B is imported only:
(i) For the purpose of environmentally sound disposal as set forth in paragraph 1 (d)
of Article 6; or
(ii) For a use or purpose which is permitted for that Party under Annex A or Annex B;
(b) That a chemical listed in Annex A for which any production or use specific exemption is
in effect or a chemical listed in Annex B for which any production or use specific
exemption or acceptable purpose is in effect, taking into account any relevant provisions
in existing international prior informed consent instruments, is exported only:
(i) For the purpose of environmentally sound disposal as set forth in paragraph 1 (d)
of Article 6;
(ii) To a Party which is permitted to use that chemical under Annex A or Annex B; or
(iii) To a State not Party to this Convention which has provided an annual certification
to the exporting Party.  Such certification shall specify the intended use of the
chemical and include a statement that, with respect to that chemical, the importing
State is committed to:WT/CTE/W/193
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a. Protect human health and the environment by taking the necessary
measures to minimize or prevent releases;
b. Comply with the provisions of paragraph 1 of Article 6; andc. Comply, where appropriate, with the provisions of paragraph 2 of Part II of
Annex B.
The certification shall also include any appropriate supporting documentation,
such as legislation, regulatory instruments, or administrative or policy guidelines.
The exporting Party shall transmit the certification to the Secretariat within sixty
days of receipt.
(c) That a chemical listed in Annex A, for which production and use specific exemptions are
no longer in effect for any Party, is not exported from it except for the purpose of
environmentally sound disposal as set forth in paragraph 1 (d) of Article 6;
(d) For the purposes of this paragraph, the term  “State not Party to this Convention” shall
include, with respect to a particular chemical, a State or regional economic integration
organization that has not agreed to be bound by the Convention with respect to that
chemical.
3. Each Party that has one or more regulatory and assessment schemes for new pesticides or new
industrial chemicals shall take measures to regulate with the aim of preventing the production and use
of new pesticides or new industrial chemicals which, taking into consideration the criteria in
paragraph 1 of Annex D, exhibit the characteristics of persistent organic pollutants.
4. Each Party that has one or more regulatory and assessment schemes for pesticides or industrial
chemicals shall, where appropriate, take into c onsideration within these schemes the criteria in
paragraph 1 of Annex D when conducting assessments of pesticides or industrial chemicals currently
in use.
5. Except as otherwise provided in this Conv ention, paragraphs 1 and 2 shall not apply to
quantities of a chemical to be used for laboratory-scale research or as a reference standard.
6. Any Party that has a specific exemption in accordance with Annex A or a specific exemption or
an acceptable purpose in accordance with Annex B shall take appropriate measures to ensure that any
production or use under such exemption or purpose is carried out in a manner that prevents or
minimizes human exposure and release into the environment.  For exempted uses or acceptable
purposes that involve intentional release into the environment under conditions of normal use, suchrelease shall be to the minimum extent necessary, taking into account any applicable standards and
guidelines.
Article 4
Register of specific exemptions
1. A Register is hereby established for the purpose of identifying the Parties that have  specific
exemptions listed in Annex A or Annex B.   It shall not identify Parties that make use of the
provisions in Annex A or Annex B that may be exercised by all Parties.  The Register shall be
maintained by the Secretariat and shall be available to the public.
2. The Register shall include:WT/CTE/W/193
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(a) A list of the types of specific exemptions reproduced from Annex A and Annex B;
(b) A list of the Parties that have a specific exemption listed under Annex A or Annex B;
and
(c) A list of the expiry dates for each registered specific exemption.
3. Any State may, on becoming a Party, by means of a notification in writing to the Secretariat,
register for one or more types of specific exemptions listed in Annex A or Annex B.
4. Unless an earlier date is indicated in the Register by a Party, or an extension is granted
pursuant to paragraph 7, all registrations of specific exemptions shall expire five years after the date
of entry into force of this Convention with respect to a particular chemical.
5. At its first meeting, the Conference of the Parties shall decide upon its review process for the
entries in the Register.
6. Prior to a review of an entry in the Register, the Party concerned shall submit a report to the
Secretariat justifying its continuing need for regi stration of that exemption.  The report shall be
circulated by the Secretariat to all Parties.  The review of a registration shall be carried out on the
basis of all available information.  Thereupon, the Conference of the Parties may make suchrecommendations to the Party concerned as it deems appropriate.
7. The Conference of the Parties may, upon request from the Party concerned, decide to extend
the expiry date of a specific exemption for a period of up to five years.  In making its decision, theConference of the Parties shall take due account of the special circumstances of the developing
country Parties and Parties with economies in transition.
8. A Party may, at any time, withdraw an entry from the Register for a specific exemption upon
written notification to the Secretariat.  The withdrawal shall take effect on the date specified in the
notification.
9. When there are no longer any Parties registered for a particular type of specific exemption, no
new registrations may be made with respect to it.
Article 5
Measures to reduce or eliminate releases from unintentional production
Each Party shall at a minimum take the following measures to reduce the total releases derived
from anthropogenic sources of each of the chemicals listed in Annex C, with the goal of theircontinuing minimization and, where feasible, ultimate elimination:
(a) Develop an action plan or, where appropriate, a regional or subregional action plan
within two years of the date of entry into force of this Convention for it, andsubsequently implement it as part of its implementation plan specified in Article 7,
designed to identify, characterize and address the release of the chemicals listed in Annex
C and to facilitate implementation of subparagraphs (b) to (e). The action plan shall
include the following elements:WT/CTE/W/193
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(i) An evaluation of current and projected releases, including the development and
maintenance of source inventories and release estimates, taking into consideration
the source categories identified in Annex C;
(ii) An evaluation of the efficacy of the laws and policies of the Party relating to the
management of such releases;
(iii) Strategies to meet the obligations of this paragraph, taking into account the
evaluations in (i) and (ii);
(iv) Steps to promote education and training  with regard to, and awareness of, those
strategies;
(v) A review every five years of those strategies and of their success in meeting the
obligations of this paragraph; such reviews shall be included in reports submittedpursuant to Article 15;
(vi) A schedule for implementation of the action plan, including for the strategies and
measures identified therein;
(b) Promote the application of available, feasible and practical measures that can
expeditiously achieve a realistic and meaningful level of release reduction or source
elimination;
(c) Promote the development and, where it deems appropriate, require the use of substitute
or modified materials, products and processes to prevent the formation and release of thechemicals listed in Annex C, taking into consideration the general guidance on
prevention and release reduction measures in Annex C and guidelines to be adopted by
decision of the Conference of the Parties;
(d) Promote and, in accordance with the implementation schedule of its action plan, require
the use of best available techniques for new sources within source categories which a
Party has identified as warranting such action in its action plan, with a particular initialfocus on source categories identified in Part II of Annex C.  In any case, the requirement
to use best available techniques for new sources in the categories listed in Part II of that
Annex shall be phased in as soon as practicable but no later than four years after the
entry into force of the Convention for that Party.  For the identified categories, Parties
shall promote the use of best environmental practices.  When applying best availabletechniques and best environmental practices, Parties should take into consideration the
general guidance on prevention and release reduction measures in that Annex and
guidelines on best available techniques and best environmental practices to be adopted
by decision of the Conference of the Parties;
(e) Promote, in accordance with its action plan, the use of best available techniques and best
environmental practices:
(i) For existing sources, within the source ca tegories listed in Part II of Annex C and
within source categories such as those in Part III of that Annex; and
(ii) For new sources, within source categories such as those listed in Part III of Annex
C which a Party has not addressed under subparagraph (d).WT/CTE/W/193
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When applying best available techniques and best environmental practices, Parties should take
into consideration the general guidance on prevention and release reduction measures in Annex C and
guidelines on best available techniques and best environmental practices to be adopted by decision of
the Conference of the Parties;
(f) For the purposes of this paragraph and Annex C:
(i) "Best available techniques" means the most effective and advanced stage in the
development of activities and their methods of operation which indicate the
practical suitability of particular techniques for providing in principle the basis for
release limitations designed to prevent and, where that is not practicable, generally
to reduce releases of chemicals listed in Part I of Annex C and their impact on the
environment as a whole. In this regard:
(ii) “Techniques” includes both the technology used and the way in which the 
installation is designed, built, maintained, operated and decommissioned;
(iii) “Available” techniques means those techniques that are accessible to the operator
and that are developed on a scale that allows implementation in the relevant
industrial sector, under economically and technically viable conditions, taking into
consideration the costs and advantages; and
(iv) “Best” means most effective in achieving a high general level of protection of the
environment as a whole;
(v) "Best environmental practices" means the application of the most appropriate
combination of environmental control measures and strategies;
(vi) “New source” means any source of which the construction or substantial 
modification is commenced at least one year after the date of:
a. Entry into force of this Convention for the Party concerned; or
b. Entry into force for the Party concerned of an amendment to Annex C
where the source becomes subject to the provisions of this Convention only
by virtue of that amendment.
(g) Release limit values or performance standards may be used by a Party to fulfill its
commitments for best available techniques under this paragraph.
Article 6
Measures to reduce or eliminate releases from stockpiles and wastes
1. In order to ensure that stockpiles consisting of or containing chemicals listed either in Annex
A or Annex B and wastes, including products and articles upon becoming wastes, consisting of,
containing or contaminated with a chemical listed in Annex A, B or C, are managed in a manner
protective of human health and the environment, each Party shall:
(a) Develop appropriate strategies for identifying:
(i) Stockpiles consisting of or containing chemicals listed either in Annex A or
Annex B; andWT/CTE/W/193
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(ii) Products and articles in use and wastes consisting of, containing or
contaminated with a chemical listed in Annex A, B or C;
(b) Identify, to the extent practicable, stockpiles consisting of or containing chemicals
listed either in Annex A or Annex B on the basis of the strategies referred to in
subparagraph (a);
(c) Manage stockpiles, as appropriate, in a safe, efficient and environmentally sound
manner.  Stockpiles of chemicals listed either in Annex A or Annex B, after they
are no longer allowed to be used according to any specific exemption specified in
Annex A or any specific exemption or acceptable purpose specified in Annex B,
except stockpiles which are allowed to be exported according to paragraph 2 of
Article 3, shall be deemed to be waste and shall be managed in accordance with
subparagraph (d);
(d) Take appropriate measures so that such wastes, including products and articles
upon becoming wastes, are:
(i) Handled, collected, transported and stored in an environmentally sound
manner;
(ii) Disposed of in such a way that the persistent organic pollutant content is
destroyed or irreversibly transformed so that they do not exhibit the
characteristics of persistent organic pollutants or otherwise disposed of in an
environmentally sound manner when destruction or irreversible
transformation does not represent the environmentally preferable option or
the persistent organic pollutant content is low, taking into accountinternational rules, standards, and guidelines, including those that may be
developed pursuant to paragraph 2, and  relevant global and regional
regimes governing the management of hazardous wastes;
(iii) Not permitted to be subjected to disposal operations that may lead to
recovery, recycling, reclamation, direct reuse or alternative uses of
persistent organic pollutants; and
(iv) Not transported across international boundaries without taking into account
relevant international rules, standards and guidelines;
(e) Endeavour to develop appropriate strategies for identifying sites contaminated by
chemicals listed in Annex A, B or C; if remediation of those sites is undertaken it
shall be performed in an environmentally sound manner.
2. The Conference of the Parties shall cooperate closely with the appropriate bodies of the Basel
Convention on the Control of Transboundary Moveme nts of Hazardous Wastes and their Disposal to,
inter alia :
(a) Establish levels of destruction and irreversible transformation necessary to ensure that
the characteristics of persistent organic pollutants as specified in paragraph 1 of Annex D
are not exhibited;
(b) Determine what they consider to be the methods that constitute environmentally sound
disposal referred to above; andWT/CTE/W/193
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(c) Work to establish, as appropriate, the concentration levels of the chemicals listed in
Annexes A, B and C in order to define the low persistent organic pollutant content
referred to in paragraph 1 (d)(ii).
Article 7
Implementation plans
1. Each Party shall:
(a) Develop and endeavour to implement a plan for the implementation of its obligations
under this Convention;
(b) Transmit its implementation plan to the Conference of the Parties within two years of the
date on which this Convention enters into force for it; and
(c) Review and update, as appropriate, its implementation plan on a periodic basis and in a
manner to be specified by a decision of the Conference of the Parties.
2. The Parties shall, where appropriate, cooperate directly or through global, regional and
subregional organizations, and consult their national stakeholders, including women’s groups and
groups involved in the health of children, in orde r to facilitate the development, implementation and
updating of their implementation plans.
3. The Parties shall endeavour to utilize and, where necessary, establish the means to integrate
national implementation plans for persistent organic pollutants in their sustainable development
strategies where appropriate.
Article 8
Listing of chemicals in Annexes A, B and C
1. A Party may submit a proposal to the Secretariat for listing a chemical in Annexes A, B
and/or C.  The proposal shall contain the information specified in Annex D.  In developing aproposal, a Party may be assisted by other Parties and/or by the Secretariat.
2. The Secretariat shall verify whether the proposal contains the information specified in
Annex D.  If the Secretariat is satisfied that th e proposal contains the information so specified, it
shall forward the proposal to the Persistent Organic Pollutants Review Committee.
3. The Committee shall examine the proposal and apply the screening criteria specified in
Annex D in a flexible and transparent way, taki ng all information provided into account in an
integrative and balanced manner.
4. If the Committee decides that:
(a) It is satisfied that the screening criteria have been fulfilled, it shall, through the
Secretariat, make the proposal and the evaluation of the Committee available to all
Parties and observers and invite them to submit the information specified in Annex E;
or
(b) It is not satisfied that the screening criteria have been fulfilled, it shall, through the
Secretariat, inform all Parties and observers and make the proposal and the evaluation
of the Committee available to all Parties and the proposal shall be set aside.WT/CTE/W/193
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5. Any Party may resubmit a proposal to the Committee that has been set aside by the Committee
pursuant to paragraph 4.  The resubmission may include any concerns of the Party as well as a
justification for additional consideration by the Committee.  If, following this procedure, the
Committee again sets the proposal aside, the Party may challenge the decision of the Committee and
the Conference of the Parties shall consider the matter at its next session.  The Conference of theParties may decide, based on the screening criteria in Annex D and taking into account the evaluation
of the Committee and any additional information provided by any Party or observer, that the proposal
should proceed.
6. Where the Committee has decided that the screening criteria have been fulfilled, or the
Conference of the Parties has decided that the proposal should proceed, the Committee shall further
review the proposal, taking into account any relevant additional information received, and shallprepare a draft risk profile in accordance with Annex E.  It shall, through the Secretariat, make that
draft available to all Parties and observers, collect technical comments from them and, taking those
comments into account, complete the risk profile.
7. If, on the basis of the risk profile conducted in accordance with Annex E, the Committee
decides:
(a) That the chemical is likely as a result of its long-range environmental transport to lead
to significant adverse human health and/or environmental effects such that global
action is warranted, the proposal shall proceed.  Lack of full scientific certainty shallnot prevent the proposal from proceeding.  The Committee shall, through the
Secretariat, invite information from all Parties and observers relating to the
considerations specified in Annex F.  It shall then prepare a risk management
evaluation that includes an analysis of possible control measures for the chemical in
accordance with that Annex; or
(b) That the proposal should not proceed, it shall, through the Secretariat, make the risk
profile available to all Parties and observers and set the proposal aside.
8. For any proposal set aside pursuant to paragraph 7 (b), a Party may request the Conference of
the Parties to consider instructing the Committee to  invite additional information from the proposing
Party and other Parties during a period not to exceed one year.  After that period and on the basis of
any information received, the Committee shall reconsider the proposal pursuant to paragraph 6 with a
priority to be decided by the Conference of the Parties.  If, following this procedure, the Committee
again sets the proposal aside, the Party may challenge the decision of the Committee and the
Conference of the Parties shall consider the matter at its next session.  The Conference of the Parties
may decide, based on the risk profile prepared in accordance with Annex E and taking into accountthe evaluation of the Committee and any additional information provided by any Party or observer,
that the proposal should proceed.  If the Conference of the Parties decides that the proposal shall
proceed, the Committee shall then prepare the risk management evaluation.
9. The Committee shall, based on the risk profile referred to in paragraph 6 and the risk
management evaluation referred to in paragraph 7 (a) or paragraph 8, recommend whether the
chemical should be considered by the Conference of the Parties for listing in Annexes A, B and/or C.
The Conference of the Parties, taking due account of the recommendations of the Committee,
including any scientific uncertainty, shall decide, in a precautionary manner, whether to list the
chemical, and specify its related control measures, in Annexes A, B and/or C.WT/CTE/W/193
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Article 9
Information exchange
1. Each Party shall facilitate or undertake the exchange of information relevant to:
(a) The reduction or elimination of the production, use and release of persistent organic
pollutants; and
(b) Alternatives to persistent organic pollutant s, including information relating to their
risks as well as to their economic and social costs.
2. The Parties shall exchange the information referred to in paragraph 1 directly or through
the Secretariat.
3. Each Party shall designate a national focal point for the exchange of such information.
4. The Secretariat shall serve as a clearing-house mechanism for information on persistent organic
pollutants, including information provided by Parties, intergovernmental organizations and non-
governmental organizations.
5. For the purposes of this Convention, information on health and safety of humans and the
environment shall not be regarded as confidential. Parties that exchange other information pursuant tothis Convention shall protect any confidential information as mutually agreed.
Article 10
Public information, awareness and education
1. Each Party shall, within its capabilities, promote and facilitate:
(a) Awareness among its policy and decision makers with regard to persistent organic
pollutants;
(b) Provision to the public of all available information on persistent organic pollutants,
taking into account paragraph 5 of Article 9;
(c) Development and implementation, especially for women, children and the least
educated, of educational and public awareness programmes on persistent organic
pollutants, as well as on their health and environmental effects and on their alternatives;
(d) Public participation in addressing persistent organic pollutants and their health and
environmental effects and in developing adequate responses, including opportunities for
providing input at the national level regarding implementation of this Convention;
(e) Training of workers, scientists, educators and technical and managerial personnel;
(f) Development and exchange of educational and public awareness materials at the national
and international levels; and
(g) Development and implementation of education and training programmes at the national
and international levels.WT/CTE/W/193
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2. Each Party shall, within its capabilities, ensure that the public has access to the public
information referred to in paragraph 1 and that the information is kept up-to-date.
3. Each Party shall, within its capabilities, encourage industry and professional users to promote and
facilitate the provision of the information referred to in paragraph 1 at the national level and, as
appropriate, subregional, regional and global levels.
4. In providing information on persistent organic pollutants and their alternatives, Parties may use
safety data sheets, reports, mass media and other means of communication, and may establish
information centres at national and regional levels.
5. Each Party shall give sympathetic consideration to developing mechanisms, such as pollutant
release and transfer registers, for the collection and dissemination of information on estimates of theannual quantities of the chemicals listed in Annex A, B or C that are released or disposed of.
Article 11
Research, development and monitoring
1. The Parties shall, within their capabilities, at the national and international levels, encourage
and/or undertake appropriate research, development, monitoring and cooperation pertaining to
persistent organic pollutants and, where relevant, to their alternatives and to candidate persistent
organic pollutants, including on their:
(a) Sources and releases into the environment;(b) Presence, levels and trends in humans and the environment;
(c) Environmental transport, fate and transformation;
(d) Effects on human health and the environment;(e) Socio-economic and cultural impacts;(f) Release reduction and/or elimination; and(g) Harmonized methodologies for making inventories of generating sources and analytical
techniques for the measurement of releases.
2. In undertaking action under paragraph 1, the Parties shall, within their capabilities:
(a) Support and further develop, as appropriate, international programmes, networks and
organizations aimed at defining, conducting, assessing and financing research, data
collection and monitoring, taking into account the need to minimize duplication of effort;
(b) Support national and international efforts to strengthen national scientific and technical
research capabilities, particularly in developing countries and countries with economies
in transition, and to promote access to, and the exchange of, data and analyses;
(c) Take into account the concerns and needs, particularly in the field of financial and
technical resources, of developing countries and countries with economies in transitionand cooperate in improving their capability to  participate in the efforts referred to in
subparagraphs (a) and (b);WT/CTE/W/193
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(d) Undertake research work geared towards alleviating the effects of persistent organic
pollutants on reproductive health;
(e) Make the results of their research, development and monitoring activities referred to in
this paragraph accessible to the public on a timely and regular basis; and
(f) Encourage and/or undertake cooperation with regard to storage and maintenance of
information generated from research, development and monitoring.
Article 12
Technical assistance
1. The Parties recognize that rendering of timely and appropriate technical assistance in response
to requests from developing country Parties and Parties with economies in transition is essential to the
successful implementation of this Convention.
2. The Parties shall cooperate to provide timely and appropriate technical assistance to
developing country Parties and Parties with economies in transition, to assist them, taking intoaccount their particular needs, to develop and streng then their capacity to implement their obligations
under this Convention.
3. In this regard, technical assistance to be provided by developed country Parties, and other
Parties in accordance with their capabilities, shall include, as appropriate and as mutually agreed,
technical assistance for capacity-building relating to implementation of the obligations under this
Convention.  Further guidance in this regard shall be provided by the Conference of the Parties.
4. The Parties shall establish, as appropriate, arrangements for the purpose of providing technical
assistance and promoting the transfer of technology to developing country Parties and Parties witheconomies in transition relating to the implementation of this Convention.  These arrangements shall
include regional and subregional centres for capacity-building and transfer of technology to assist
developing country Parties and Parties with economies in transition to fulfil their obligations under
this Convention.  Further guidance in this regard sh all be provided by the Conference of the Parties.
5. The Parties shall, in the context of this Article, take full account of the specific needs and
special situation of least developed countries and small island developing states in their actions with
regard to technical assistance.
Article 13
Financial resources and mechanisms
1. Each Party undertakes to provide, within its capabilities, financial support and incentives in
respect of those national activities that are intended to achieve the objective of this Convention in
accordance with its national plans, priorities and programmes.
2. The developed country Parties shall provide new and additional financial resources to enable
developing country Parties and Parties with economies in transition to meet the agreed full
incremental costs of implementing measures which fulfill their obligations under this Convention as
agreed between a recipient Party and an entity participating in the mechanism described in paragraph
6.  Other Parties may also on a voluntary basis and in accordance with their capabilities provide suchfinancial resources.WT/CTE/W/193
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Contributions from other sources should also be encouraged.  The implementation of these
commitments shall take into account the need for adequacy, predictability, the timely flow of funds
and the importance of burden sharing among the contributing Parties.
3. Developed country Parties, and other Parties in accordance with their capabilities and in
accordance with their national plans, priorities and programmes, may also provide and developingcountry Parties and Parties with economies in transition avail themselves of financial resources to
assist in their implementation of this Convention through other bilateral, regional and multilateral
sources or channels.
4. The extent to which the developing country Parties will effectively implement their
commitments under this Convention will depend on the effective implementation by developed
country Parties of their commitments under this Convention relating to financial resources, technicalassistance and technology transfer.  The fact that sustainable economic and social development and
eradication of poverty are the first and overriding priorities of the developing country Parties will be
taken fully into account, giving due consideration to the need for the protection of human health and
the environment.
5. The Parties shall take full account of the specific needs and special situation of the least
developed countries and the small island developing states in their actions with regard to funding.
6. A mechanism for the provision of adequate and sustainable financial resources to developing
country Parties and Parties with economies in transition on a grant or concessional basis to assist intheir implementation of the Convention is hereby defined.  The mechanism shall function under the
authority, as appropriate, and guidance of, and be accountable to the Conference of the Parties for the
purposes of this Convention.  Its operation shall be entrusted to one or more entities, including
existing international entities, as may be deci ded upon by the Conference of the Parties.  The
mechanism may also include other entities providin g multilateral, regional and bilateral financial and
technical assistance.  Contributions to the mechanism shall be additional to other financial transfers to
developing country Parties and Parties with economies in transition as reflected in, and in accordance
with, paragraph 2.
7. Pursuant to the objectives of this Convention and paragraph 6, the Conference of the Parties
shall at its first meeting adopt appropriate guidance  to be provided to the mechanism and shall agree
with the entity or entities part icipating in the financial mechanism upon arrangements to give effect
thereto.  The guidance shall address, inter alia :
(a) The determination of the policy, strategy and programme priorities, as well as clear and
detailed criteria and guidelines regarding eligibility for access to and utilization of
financial resources including monitoring and evaluation on a regular basis of suchutilization;
(b) The provision by the entity or entities of regular reports to the Conference of the Parties
on adequacy and sustainability of funding for activities relevant to the implementation of
this Convention;
(c) The promotion of multiple-source funding approaches, mechanisms and arrangements;
(d) The modalities for the determination in a predictable and identifiable manner of the
amount of funding necessary and available for the implementation of this Convention,keeping in mind that the phasing out of persistent organic pollutants might require
sustained funding, and the conditions under which that amount shall be periodically
reviewed; andWT/CTE/W/193
Page 16
(e) The modalities for the provision to interested Parties of assistance with needs
assessment, information on available sources of funds and on funding patterns in order to
facilitate coordination among them.
8. The Conference of the Parties shall review, not later than its second meeting and thereafter on a
regular basis, the effectiveness of the mechanism esta blished under this Article, its ability to address
the changing needs of the developing country Parties and Parties with economies in transition, the
criteria and guidance referred to in paragraph 7, the le vel of funding as well as the effectiveness of the
performance of the institutional entities entrusted to operate the financial mechanism.  It shall, based
on such review, take appropriate action, if necessar y, to improve the effectiveness of the mechanism,
including by means of recommendations and guidance on measures to ensure adequate and
sustainable funding to meet the needs of the Parties.
Article 14
Interim financial arrangements
The institutional structure of the Global Environment Facility, operated in accordance with
the Instrument for the Establishment of the Restructured Global Environment Facility, shall, on an
interim basis, be the principal entity entrusted w ith the operations of the financial mechanism referred
to in Article 13, for the period between the date of entry into force of this Convention and the first
meeting of the Conference of the Parties, or until such time as the Conference of the Parties decideswhich institutional structure will be designated in accordance with Article 13.  The institutional
structure of the Global Environment Facility should fulfill this function through operational measures
related specifically to persistent organic pollutants taking into account that new arrangements for this
area may be needed.
Article 15
Reporting
1. Each Party shall report to the Conference of the Parties on the measures it has taken to
implement the provisions of this Convention and on the effectiveness of such measures in meeting the
objectives of the Convention.
2. Each Party shall provide to the Secretariat:
(a) Statistical data on its total quantities of production, import and export of each of the
chemicals listed in Annex A and Annex B or a reasonable estimate of such data; and
(b) To the extent practicable, a list of the States from which it has imported each such
substance and the States to which it has exported each such substance.
3. Such reporting shall be at periodic intervals and in a format to be decided by the Conference of
the Parties at its first meeting.WT/CTE/W/193
Page 17
Article 16
Effectiveness evaluation.
1. Commencing four years after the date of entry into force of this Convention, and periodically
thereafter at intervals to be decided by the Conference of the Parties, the Conference shall evaluate the
effectiveness of this Convention.
2. In order to facilitate such evaluation, the Conference of the Parties shall, at its first meeting,
initiate the establishment of arrangements to prov ide itself with comparable monitoring data on the
presence of the chemicals listed in Annexes A, B and C as well as their regional and global
environmental transport.  These arrangements:
(a) Should be implemented by the Parties on a regional basis when appropriate, in
accordance with their technical and financial capabilities, using existing monitoringprogrammes and mechanisms to the extent possible and promoting harmonization of
approaches;
(b) May be supplemented where necessary, taking into account the differences between
regions and their capabilities to implement monitoring activities; and
(c) Shall include reports to the Conference of the Parties on the results of the monitoring
activities on a regional and global basis at intervals to be specified by the Conference
of the Parties.
3. The evaluation described in paragraph 1 shall be conducted on the basis of available
scientific, environmental, technical and economic information, including:
(a) Reports and other monitoring information provided pursuant to paragraph 2;
(b) National reports submitted pursuant to Article 15; and
(c) Non-compliance information provided pursuant to the procedures established under
Article 17.
Article 17
Non-compliance
The Conference of the Parties shall, as soon as practicable, develop and approve procedures
and institutional mechanisms for determining non-compliance with the provisions of this Convention
and for the treatment of Parties found to be in non-compliance.
Article 18
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 the Convention, or at any time thereafter, a
Party that is not a regional economic integration organization may declare in a written instrumentsubmitted to the depositary that, with respect to any dispute concerning the interpretation orWT/CTE/W/193
Page 18
application of the Convention, it recognizes one 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;
(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 to in paragraph 2 (a).
4. A declaration made pursuant to paragraph 2 or paragraph 3 shall remain in force until it expires
in accordance with its terms or until three months after written notice of its revocation has beendeposited 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 di spute within twelve months 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 shallrender a report with recommendations.  Additional pr ocedures relating to the conciliation commission
shall be included in an annex to be adopted by the Conference of the Parties no later than at its second
meeting.
Article 19
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 the United Nations Environment Programme 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 be decided 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 any Party provided that it issupported 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 perfor m the functions assigned to it by the Convention
and, to this end, shall:
(a) Establish, further to the requirements of paragraph 6, such subsidiary bodies as it
considers necessary for the implementation of the Convention;WT/CTE/W/193
Page 19
(b) Cooperate, where appropriate, with competent international organizations and
intergovernmental and non-governmental bodies; and
(c) Regularly review all information made available to the Parties pursuant to Article 15,
including consideration of the effectiveness of  paragraph 2 (b) (iii) of Article 3;
(d) Consider and undertake any additional action that may be required for the achievement
of the objectives of the Convention.
6. The Conference of the Parties shall, at its first meeting, establish a subsidiary body to be
called the Persistent Organic Pollutants Review Committee for the purposes of performing the
functions assigned to that Committee by this Convention. In this regard:
(a) The members of the Persistent Organic Pollutants Review Committee shall be
appointed by the Conference of the Parties.  Membership of the Committee shall
consist of government-designated experts in chemical assessment or management.
The members of the Committee shall be appointed on the basis of equitable
geographical distribution;
(b) The Conference of the Parties shall decide on the terms of reference, organization and
operation of the Committee; and
(c) The Committee shall make every effort to adopt 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 Conference of the Parties shall, at its third meeting, evaluate the continued need for the
procedure contained in paragraph 2 (b) of Article 3, including consideration of its effectiveness.
8. 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 ornon-governmental, qualified in matters covered 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 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.
Article 20
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 country Parties and Parties
with economies in transition, on request, in the implementation of this Convention;WT/CTE/W/193
Page 20
(c) To ensure the necessary coordination with the secretariats of other relevant international
bodies;
(d) To prepare and make available to the Parties periodic reports based on information
received pursuant to Article 15 and other available information;
(e) 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
(f) 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 by the Executive Director of
the United Nations Environment Programme, unless the Conference of the Parties decides, by a three-
fourths majority of the Parties present and voting, to entrust the secretariat functions to one or more
other international organizations.
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 alsocommunicate proposed amendments 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.
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 inte gral part thereof and, unless expressly provided
otherwise, a reference to this Convention constitutes at the same time a reference to any annexes
thereto.WT/CTE/W/193
Page 21
2. Any additional 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 by the depositary of the
adoption of the additional annex.  The depositary shall without delay notify all Parties of
any such notification received.  A Party may at any time withdraw a previousnotification of non-acceptance in respect of any additional annex, and the annex shall
thereupon enter into force for that Party subject to subparagraph (c); 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 havenot submitted a notification in accordance with the provisions of subparagraph (b).
4. The proposal, adoption and entry into force of amendments to Annex A, B or C shall be subject
to the same procedures as for the proposal, adoption and entry into force of additional annexes to this
Convention, except that an amendment to Annex A, B or C shall not enter into force with respect to
any Party that has made a declaration with respect to amendment to those Annexes in accordance with
paragraph 4 of Article 25, in which case any such amendment shall enter into force for such a Party
on the ninetieth day after the date of deposit with the depositary of its instrument of ratification,
acceptance, approval or accession with respect to such amendment.
5. The following procedure shall apply to the proposal, adoption and entry into force of an
amendment to Annex D, E or F:
(a) Amendments shall be proposed according to the procedure in paragraphs 1 and 2 of
Article 21;
(b) The Parties shall take decisions on an amendment to Annex D, E or F by consensus; and(c) A decision to amend Annex D, E or F 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 sha ll not enter into force until such time as the
amendment to the Convention enters into force.
Article 23
Right to vote
1. Each Party to this Convention shall have one vote, except as provided for in paragraph 2.
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 toWT/CTE/W/193
Page 22
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.
Article 24
Signature
This Convention shall be open for signature at Stockholm by all States and regional economic
integration organizations on 23 May 2001, and at the United Nations Headquarters in New York from
24 May 2001 to 22 May 2002.
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 forsignature.  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 theConvention.  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 in the extent of its competence.
4. In its instrument of ratification, acceptance, a pproval or accession, any Party may declare that,
with respect to it, any amendment to Annex A, B or C shall enter into force only upon the deposit of
its instrument of ratification, acceptance, approval or accession with respect thereto.
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 sha ll 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 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.WT/CTE/W/193
Page 23
Article 27
Reservations
No reservations may be made to this Convention.
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 the 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 dul y authorized to that effect, have signed
this Convention.
Done at Stockholm on this twenty-second day of May, two thousand and one.WT/CTE/W/193
Page 24
ANNEX A
ELIMINATION
Part I
Chemical Activity Specific exemption
Aldrin*
CAS No: 309-00-2Production None
Use Local ectoparasiticide
Insecticide
Chlordane*CAS No: 57-74-9Production As allowed for the Parties listed in the
Register
Use Local ectoparasiticide
Insecticide
Termiticide
Termiticide in buildings and dams
Termiticide in roadsAdditive in plywood adhesives
Dieldrin*CAS No: 60-57-1Production None
Use In agricultural operations
Endrin*
CAS No: 72-20-8Production None
Use None
Heptachlor*
CAS No: 76-44-8Production None
Use Termiticide
Termiticide in structures of houses
Termiticide (subterranean)
Wood treatment
In use in underground cable boxes
HexachlorobenzeneCAS No: 118-74-1Production As allowed for the Parties listed in the
Register
Use Intermediate
Solvent in pesticide
Closed system site limited intermediate
Mirex*CAS No: 2385-85-5Production As allowed for the Parties listed in the
Register
Use Termiticide
Toxaphene*CAS No: 8001-35-2Production None
Use None
Polychlorinated
Biphenyls (PCB)*Production None
Use Articles in use in accordance with the
provisions of Part II of this AnnexWT/CTE/W/193
Page 25
Notes:
(i) Except as otherwise specified in th is Convention, quantities of a chemical
occurring as unintentional trace contaminants in products and articles shall not be
considered to be listed in this Annex;
(ii) This note shall not be considered as a production and use specific exemption for
purposes of paragraph 2 of Article 3.  Quantities of a chemical occurring as
constituents of articles manufactured or already in use before or on the date of
entry into force of the relevant obligation with respect to that chemical, shall not
be considered as listed in this Annex, provided that a Party has notified the
Secretariat that a particular type of article remains in use within that Party. The
Secretariat shall make such notifications publicly available;
(iii) This note, which does not apply to a chemical that has an asterisk following its
name in the Chemical column in Part I of this Annex, shall not be considered as a
production and use specific exemption for purposes of paragraph 2 of Article 3.
Given that no significant quantities of the chemical are expected to reach humans
and the environment during the production and use of a closed-system site-limited
intermediate, a Party, upon notification to the Secretariat, may allow theproduction and use of quantities of a chemical listed in this Annex as a closed-
system site-limited intermediate that is chemically transformed in the manufacture
of other chemicals that, taking into consideration the criteria in paragraph 1 of
Annex D, do not exhibit the characteristics of persistent organic pollutants.  This
notification shall include information on total production and use of such chemicalor a reasonable estimate of such information and information regarding the nature
of the closed-system site-limited process including the amount of any non-
transformed and unintentional trace contamination of the persistent organic
pollutant-starting material in the final product.  This procedure applies except as
otherwise specified in this Annex.  The Secretariat shall make such notificationsavailable to the Conference of the Parties and to the public.  Such production or
use shall not be considered a production or use specific exemption.  Such
production and use shall cease after a ten-year period, unless the Party concerned
submits a new notification to the Secretariat, in which case the period will be
extended for an additional ten years unless the Conference of the Parties, after a
review of the production and use decides otherwise.  The notification procedure
can be repeated;
(iv) All the specific exemptions in this Annex may be exercised by Parties that have
registered exemptions in respect of them in accordance with Article 4 with the
exception of the use of polychlorinated biphenyls in articles in use in accordance
with the provisions of Part II of this Annex, which may be exercised by all Parties.WT/CTE/W/193
Page 26
Part II
Polychlorinated biphenyls
Each Party shall:
(a) With regard to the elimination of the use of polychlorinated biphenyls in equipment (e.g.
transformers, capacitors or other receptacles containing liquid stocks) by 2025, subject to
review by the Conference of the Parties, take action in accordance with the following
priorities:
(i) Make determined efforts to identify, label and remove from use equipment
containing greater than 10 per cent polychlorinated biphenyls and volumes greater
than 5 litres;
(ii) Make determined efforts to identify, label and remove from use equipment
containing greater than 0.05 per cent polychlorinated biphenyls and volumesgreater than 5 litres;
(iii) Endeavour to identify and remove from use equipment containing greater than
0.005 percent polychlorinated biphenyls and volumes greater than 0.05 litres;
(b) Consistent with the priorities in subparagraph (a), promote the following measures to
reduce exposures and risk to control the use of polychlorinated biphenyls:
(i) Use only in intact and non-leaking equipment and only in areas where the risk
from environmental release can be minimised and quickly remedied;
(ii) Not use in equipment in areas associated with the production or processing of food
or feed;
(iii) When used in populated areas, including schools and hospitals, all reasonable
measures to protect from electrical failure which could result in a fire, and regular
inspection of equipment for leaks;
(c) Notwithstanding paragraph 2 of Article 3, ensure that equipment containing
polychlorinated biphenyls, as described in subparagraph (a), shall not be exported orimported except for the purpose of environmentally sound waste management;
(d) Except for maintenance and servicing operations, not allow recovery for the purpose of
reuse in other equipment of liquids with polychlorinated biphenyls content above 0.005
per cent;
(e) Make determined efforts designed to lead to environmentally sound waste management
of liquids containing polychlorinated biphenyls and equipment contaminated with
polychlorinated biphenyls having a polychlorinated biphenyls content above 0.005 per
cent, in accordance with paragraph 1 of Article 6, as soon as possible but no later than
2028, subject to review by the Conference of the Parties;
(f) In lieu of note (ii) in Part I of this Annex, endeavour to identify other articles containing
more than 0.005 per cent polychlorinated biphenyls (e.g. cable-sheaths, cured caulk and
painted objects) and manage them in accordance with paragraph 1 of Article 6;WT/CTE/W/193
Page 27
(g) Provide a report every five years on progress in eliminating polychlorinated biphenyls
and submit it to the Conference of the Parties pursuant to Article 15;
(h) The reports described in subparagraph (g) shall, as appropriate, be considered by the
Conference of the Parties in its reviews re lating to polychlorinated biphenyls.  The
Conference of the Parties shall review prog ress towards elimination of polychlorinated
biphenyls at five year intervals or other period, as appropriate, taking into account suchreports.WT/CTE/W/193
Page 28
ANNEX B
RESTRICTION
Part I
Chemical Activity Acceptable purpose
or specific exemption
DDT
(1,1,1-trichloro-2,2-bis(4-
chlorophenyl)ethane)CAS No: 50-29-3Production Acceptable purpose:
Disease vector control use in  accordance with
Part II of this AnnexSpecific exemption:
Intermediate in production of dicofol
Intermediate
Use Acceptable purpose:
Disease vector control in accordance with Part
II of this Annex
Specific exemption:
Production of dicofol
Intermediate
Notes:
(i) Except as otherwise specified in this Conv ention, quantities of a chemical occurring as
unintentional trace contaminants in products and arti cles shall not be considered to be listed in
this Annex;
(ii) This note shall not be considered as a production and use acceptable purpose or specific
exemption for purposes of paragraph 2 of Article 3.  Quantities of a chemical occurring as
constituents of articles manufactured or already in use before or on the date of entry into force
of the relevant obligation with respect to that chemical, shall not be considered as listed in this
Annex, provided that a Party has notified the Secretariat that a particular type of article remainsin use within that Party.  The Secretariat shall make such notifications publicly available;
(iii) This note shall not be considered as a production and use specific exemption for purposes of
paragraph 2 of Article 3.  Given that no significant quantities of the chemical are expected to
reach humans and the environment during the production and use of a closed-system site-
limited intermediate, a Party, upon notification to the Secretariat, may allow the production anduse of quantities of a chemical listed in this Annex as a closed-system site-limited intermediate
that is chemically transformed in the manufacture of other chemicals that, taking into
consideration the criteria in paragraph 1 of Annex D, do not exhibit the characteristics of
persistent organic pollutants.  This notification shall include information on total production
and use of such chemical or a reasonable estimate of such information and information
regarding the nature of the closed-system site-limited process including the amount of any non-
transformed and unintentional trace contamination of the persistent organic pollutant-startingmaterial in the final product.  This procedure applies except as otherwise specified in this
Annex.  The Secretariat shall make such notifications available to the Conference of the Parties
and to the public.  Such production or use shall not be considered a production or use specific
exemption.  Such production and use shall cease after a ten-year period, unless the Party
concerned submits a new notification to the Secretariat, in which case the period will beextended for an additional ten years unless the Conf erence of the Parties, after a review of the
production and use decides otherwise.  The notification procedure can be repeated;
(iv) All the specific exemptions in this Annex may be exercised by Parties that have registered in
respect of them in accordance with Article 4.WT/CTE/W/193
Page 29
Part II
DDT (1,1,1-trichloro-2,2-bis(4-chlorophenyl)ethane)
 1. The production and use of DDT shall be eliminated except for Parties that have notified the
Secretariat of their intention to produce and/or use it.  A DDT Register is hereby established and shall
be available to the public.  The Secretariat shall maintain the DDT Register.
 
 2. Each Party that produces and/or uses DDT shall restrict such production and/or use for disease
vector control in accordance with the World Health  Organization recommendations and guidelines on
the use of DDT and when locally safe, effective and affordable alternatives are not available to the
Party in question.
 
 3. In the event that a Party not listed in the DDT Register determines that it requires DDT for
disease vector control, it shall notify the Secretariat as soon as possible in order to have its name
added forthwith to the DDT Register.  It shall at the same time notify the World Health Organization.
 
 4. Every three years, each Party that uses DDT shall provide to the Secretariat and the World
Health Organization information on the amount used, the conditions of such use and its relevance tothat Party’s disease management strategy, in a format to be decided by the Conference of the Parties
in consultation with the World Health Organization.
 5. With the goal of reducing and ultimately eliminating the use of DDT, the Conference of theParties shall encourage:
 
 (a) Each Party using DDT to develop and implement an action plan as part of the
implementation plan specified in Article 7.  That action plan shall include:
 (i) Development of regulatory and other mechanisms to ensure that DDT use is
restricted to disease vector control;
 
 (ii) Implementation of suitable alternative products, methods and strategies, including
resistance management strategies to ensure the continuing effectiveness of these
alternatives;
 
(iii) Measures to strengthen health care and to reduce the incidence of the disease.
(b) The Parties, within their capabilities, to promote research and development of safe
alternative chemical and non-chemical produc ts, methods and strategies for Parties using
DDT, relevant to the conditions of those countries and with the goal of decreasing the
human and economic burden of disease.  Factors to be promoted when considering
alternatives or combinations of alternatives shall include the human health risks and
environmental implications of such alternativ es.  Viable alternatives to DDT shall pose
less risk to human health and the environment, be suitable for disease control based on
conditions in the Parties in question and be supported with monitoring data.
 6. Commencing at its first meeting, and at least every three years thereafter, the Conference of theParties shall, in consultation with the World Heal th Organization, evaluate the continued need for
DDT for disease vector control on the basis of available scientific, technical, environmental andeconomic information, including:
(a) The production and use of DDT and the conditions set out in paragraph 2;WT/CTE/W/193
Page 30
(b) The availability, suitability and implementation of the alternatives to DDT; and
(c) Progress in strengthening the capacity of countries to transfer safely to reliance on such
alternatives.
7. A Party may, at any time, withdraw its name from the DDT Registry upon written notification
to the Secretariat.  The withdrawal shall take effect on the date specified in the notification.WT/CTE/W/193
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ANNEX C
UNINTENTIONAL PRODUCTION
Part I:  Persistent organic pollutants subject to the requirements of Article 5
This Annex applies to the following persistent organic pollutants when formed and released
unintentionally from anthropogenic sources:
Chemical
Polychlorinated dibenzo-p-dioxins  and dibenzofurans (PCDD/PCDF)
Hexachlorobenzene (HCB) (CAS No: 118-74-1)Polychlorinated biphenyls (PCB)
Part II:  Source categories
Polychlorinated dibenzo-p-dioxins and dibenzof urans, hexachlorobenzene and polychlorinated
biphenyls are unintentionally formed and released from thermal processes involving organic matter
and chlorine as a result of incomplete combustion or chemical reactions. The following industrial
source categories have the potential for comparatively high formation and release of these chemicalsto the environment:
(a) Waste incinerators, including co-incinerators of municipal, hazardous or medical waste
or of sewage sludge;
(b) Cement kilns firing hazardous waste;
(c) Production of pulp using elemental chlorine or chemicals generating elemental chlorine
for bleaching;
(d) The following thermal processes in the metallurgical industry:
(i) Secondary copper production;
 (ii) Sinter plants in the iron and steel industry;
 
 (iii) Secondary aluminium production;
 
 (iv) Secondary zinc production.
Part III:  Source categories
Polychlorinated dibenzo-p-dioxins and dibenzof urans, hexachlorobenzene and polychlorinated
biphenyls may also be unintentionally formed and released from the following source categories,
including:
(a) Open burning of waste, including burning of landfill sites;(b) Thermal processes in the metallurgical industry not mentioned in Part II;WT/CTE/W/193
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(c) Residential combustion sources;
(d) Fossil fuel-fired utility and industrial boilers;(e) Firing installations for wood and other biomass fuels;
(f) Specific chemical production processes releasing unintentionally formed persistent
organic pollutants, especially production of chlorophenols and chloranil;
(g) Crematoria;(h) Motor vehicles, particularly those burning leaded gasoline;
(i) Destruction of animal carcasses;
(j) Textile and leather dyeing (with chloranil) and finishing (with alkaline extraction);(k) Shredder plants for the treatment of end of life vehicles;(l) Smouldering of copper cables;(m) Waste oil refineries.
Part IV:  Definitions
1. For the purposes of this Annex:
(a) "Polychlorinated biphenyls" means aromatic compounds formed in such a manner that
the hydrogen atoms on the biphenyl molecule (two benzene rings bonded together by a
single carbon-carbon bond) may be replaced by up to ten chlorine atoms; and
(b) “Polychlorinated dibenzo-p-dioxins” and “polychlorinated dibenzofurans” are tricyclic,
aromatic compounds formed by two benzene rings connected by two oxygen atoms inpolychlorinated dibenzo-p-dioxins and by  one oxygen atom and one carbon-carbon bond
in polychlorinated dibenzofurans and the hydrogen atoms of which may be replaced by
up to eight chlorine atoms.
2. In this Annex, the toxicity of polychlorinated dibenzo-p-dioxins and dibenzofurans is expressed
using the concept of toxic equivalency which measures the relative dioxin-like toxic activity of
different congeners of polychlorinated dibe nzo-p-dioxins and dibenzofurans and coplanar
polychlorinated biphenyls in comparison to 2,3,7,8- tetrachlorodibenzo-p-dioxin.  The toxic equivalent
factor values to be used for the purposes of this Convention shall be consistent with accepted
international standards, comme ncing with the World Health Organization 1998 mammalian toxic
equivalent factor values for polychlorinated dibenzo-p-dioxins and dibenzofurans and coplanar
polychlorinated biphenyls.  Concentrations are expressed in toxic equivalents.WT/CTE/W/193
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Part V:  General guidance on best available techniques and best environmental practices
This Part provides general guidance to Parties on preventing or reducing releases of the
chemicals listed in Part I.
A. General prevention measures relating to both best available techniques and best
environmental practices
Priority should be given to the consideration of approaches to prevent the formation and release
of the chemicals listed in Part I.  Useful measures could include:
(a) The use of low-waste technology;
(b) The use of less hazardous substances;
(c) The promotion of the recovery and recycling of waste and of substances generated and
used in a process;
(d) Replacement of feed materials which are persistent organic pollutants or where there is a
direct link between the materials and releases of persistent organic pollutants from the
source;
(e) Good housekeeping and preventive maintenance programmes;(f) Improvements in waste management with the aim of the cessation of open and other
uncontrolled burning of wastes, including the burning of landfill sites.  When
considering proposals to construct new waste disposal facilities, consideration should be
given to alternatives such as activities to minimize the generation of municipal andmedical waste, including resource recovery, reuse, recycling, waste separation and
promoting products that generate less waste.   Under this approach, public health
concerns should be carefully considered;
(g) Minimization of these chemicals as contaminants in products;(h) Avoiding elemental chlorine or chemicals generating elemental chlorine for bleaching.
B.  Best available techniques
The concept of best available techniques is not aimed at the prescription of any specific
technique or technology, but at taking into account the technical characteristics of the installationconcerned, its geographical location and the local environmental conditions.  Appropriate control
techniques to reduce releases of the chemicals listed in Part I are in general the same.  In determining
best available techniques, special consideration should be given, generally or in specific cases, to the
following factors, bearing in mind the likely costs and benefits of a measure and consideration of
precaution and prevention:
(a) General considerations:
(i) The nature, effects and mass of the releases concerned:  techniques may vary
depending on source size;
(ii) The commissioning dates for new or existing installations;WT/CTE/W/193
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(iii) The time needed to introduce the best available technique;
(iv) The consumption and nature of raw materials used in the process and its energy
efficiency;
(v) The need to prevent or reduce to a minimum the overall impact of the releases to
the environment and the risks to it;
(vi) The need to prevent accidents and to minimize their consequences for the
environment;
(vii) The need to ensure occupational health and safety at workplaces;
(viii) Comparable processes, facilities or methods of operation which have been tried
with success on an industrial scale;
(ix) Technological advances and changes in scientific knowledge and understanding.
(b) General release reduction measures:  When considering proposals to construct new
facilities or significantly modify existing facilities using processes that release chemicals
listed in this Annex, priority consideration should be given to alternative processes,
techniques or practices that have similar usefulness but which avoid the formation and
release of such chemicals.  In cases where such facilities will be constructed or
significantly modified, in addition to the prevention measures outlined in section A ofPart V the following reduction measures could also be considered in determining best
available techniques:
(i) Use of improved methods for flue-gas cleaning such as thermal or catalytic
oxidation, dust precipitation, or adsorption;
(ii) Treatment of residuals, wastewater, wastes and sewage sludge by, for example,
thermal treatment or rendering them inert or chemical processes that detoxify
them;
(iii) Process changes that lead to the reduction or elimination of releases, such as
moving to closed systems;
(iv) Modification of process designs to improve combustion and prevent formation of
the chemicals listed in this Annex, through the control of parameters such as
incineration temperature or residence time.
C.  Best environmental practices
The Conference of the Parties may develop guidance with regard to best environmental
practices.WT/CTE/W/193
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ANNEX D
INFORMATION REQUIREMENTS AND SCREENING CRITERIA
1. A Party submitting a proposal to list a chemical in Annexes A, B and/or C shall identify the
chemical in the manner described in subparagraph (a) and provide the information on the chemical,and its transformation products where relevant, relating to the screening criteria set out in
subparagraphs (b) to (e):
(a) Chemical identity:
(i) Names, including trade name or names, commercial name or names and
synonyms, Chemical Abstracts Service (CAS) Registry number, InternationalUnion of Pure and Applied Chemistry (IUPAC) name; and
(ii) Structure, including specification of isomers, where applicable, and the structure
of the chemical class;
(b) Persistence:
(i) Evidence that the half-life of the chemical in water is greater than two months, or
that its half-life in soil is greater than six months, or that its half-life in sediment is
greater than six months; or
(ii) Evidence that the chemical is otherwise sufficiently persistent to justify its
consideration within the scope of this Convention;
(c) Bio-accumulation:
(i) Evidence that the bio-concentration factor or bio-accumulation factor in aquatic
species for the chemical is greater than 5,000 or, in the absence of such data, that
the log Kow is greater than 5;
(ii) Evidence that a chemical presents other reasons for concern, such as high
bio-accumulation in other species, high toxicity or ecotoxicity; or
(iii) Monitoring data in biota indicating that the bio-accumulation potential of the
chemical is sufficient to justify its consideration within the scope of this
Convention;
(d) Potential for long-range environmental transport:
(i) Measured levels of the chemical in locations distant from the sources of its release
that are of potential concern;
(ii) Monitoring data showing that long-range environmental transport of the chemical,
with the potential for transfer to a rece iving environment, may have occurred via
air, water or migratory species; or
(iii) Environmental fate properties and/or model results that demonstrate that the
chemical has a potential for long-range environmental transport through air, wateror migratory species, with the potential for transfer to a receiving environment in
locations distant from the sources of its release.  For a chemical that migratesWT/CTE/W/193
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significantly through the air, its half-life in air should be greater than two days;
and
(e) Adverse effects:
(i) Evidence of adverse effects to human heal th or to the environment that justifies
consideration of the chemical within the scope of this Convention; or
(ii) Toxicity or ecotoxicity data that indicate the potential for damage to human health
or to the environment.
2. The proposing Party shall provide a statement of the reasons for concern including, where
possible, a comparison of toxicity or ecotoxicity data with detected or predicted levels of a chemicalresulting or anticipated from its long-range environmental transport, and a short statement indicating
the need for global control.
3. The proposing Party shall, to the extent possible and taking into account its capabilities,
provide additional information to support the review of the proposal referred to in paragraph 6 ofArticle 8.  In developing such a proposal, a Part y may draw on technical expertise from any source.WT/CTE/W/193
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ANNEX E
INFORMATION REQUIREMENTS FOR THE RISK PROFILE
The purpose of the review is to evaluate whether the chemical is likely, as a result of its long-
range environmental transport, to lead to signif icant adverse human health and/or environmental
effects, such that global action is warranted.  For this purpose, a risk profile shall be developed that
further elaborates on, and evaluates, the information referred to in Annex D and includes, as far as
possible, the following types of information:
(a) Sources, including as appropriate:
(i) Production data, including quantity and location;(ii) Uses; and(iii) Releases, such as discharges, losses and emissions;
(b) Hazard assessment for the endpoint or endpoints of concern, including a consideration of
toxicological interactions involving multiple chemicals;
(c) Environmental fate, including data and information on the chemical and physical
properties of a chemical as well as its persistence and how they are linked to itsenvironmental transport, transfer within  and between environmental compartments,
degradation and transformation to other chemicals.  A determination of the bio-
concentration factor or bio-accumulation factor, based on measured values, shall be
available, except when monitoring data are judged to meet this need;
(d) Monitoring data;
(e) Exposure in local areas and, in particular, as a result of long-range environmental
transport, and including information regarding bio-availability;
(f) National and international risk evaluations, assessments or profiles and labelling
information and hazard classifications, as available; and
(g) Status of the chemical under international conventions.WT/CTE/W/193
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ANNEX F
INFORMATION ON SOCIO-ECONOMIC CONSIDERATIONS
An evaluation should be undertaken regarding possible control measures for chemicals under
consideration for inclusion in this Convention, encompassing the full range of options, includingmanagement and elimination.  For this purpose, relevant information should be provided relating to
socio-economic considerations associated with possible control measures to enable a decision to be
taken by the Conference of the Parties.  Such information should reflect due regard for the differing
capabilities and conditions among the Parties and should include consideration of the following
indicative list of items:
(a) Efficacy and efficiency of possible control measures in meeting risk reduction goals:
(i) Technical feasibility; and(ii) Costs, including environmental and health costs;
(b) Alternatives (products and processes):
(i) Technical feasibility;
(ii) Costs, including environmental and health costs;
(iii) Efficacy;(iv) Risk;
(v) Availability; and
(vi) Accessibility;
(c) Positive and/or negative impacts on society of implementing possible control measures:
(i) Health, including public, environmental and occupational health;(ii) Agriculture, including aquaculture and forestry;
(iii) Biota (biodiversity);
(iv) Economic aspects;
(v) Movement towards sustainable development; and
(vi) Social costs;
(d) Waste and disposal implications (in particular, obsolete stocks of pesticides and clean-up
of contaminated sites):
(i) Technical feasibility; and
(ii) Cost;
(e) Access to information and public education;(f) Status of control and monitoring capacity; and
(g) Any national or regional control actions taken, including information on alternatives, and
other relevant risk management information.
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