K0122158 190601 

UNITED

NATIONS EP

United Nations

Environment

Programme

Distr.

GENERAL

UNEP/POPS/CONF/4

5 June 2001

ORIGINAL: ENGLISH

CONFERENCE OF PLENIPOTENTIARIES

 ON THE STOCKHOLM CONVENTION ON

 PERSISTENT ORGANIC POLLUTANTS

Stockholm, 22-23 May 2001

FINAL ACT OF THE CONFERENCE OF PLENIPOTENTIARIES ON THE

STOCKHOLM CONVENTION ON PERSISTENT ORGANIC POLLUTANTS

1. In its decision 19/13 C of 7 February 1997, the Governing Council of the United Nations Environment 

Programme (UNEP) requested the Executive Director of UNEP, together with relevant international 

organizations, to prepare for and convene, by early 1998, an intergovernmental negotiating committee with a 

mandate to prepare an international legally binding instrument for implementing international action on 

certain persistent organic pollutants (POPs), initially beginning with 12 specified POPs. 1/ The 

intergovernmental negotiating committee was also requested, at its first session, to establish an expert group 

for the development of science-based criteria and a procedure for identifying additional POPs as candidates 

for future international action.

2. In accordance with the above mandate, the first, second, third, fourth and fifth sessions of the 

Intergovernmental Negotiating Committee for an International Legally Binding Instrument for Implementing 

International Action on Certain Persistent Organic Pollutants were held in Montreal from 29 June to 3 July 

1998, in Nairobi from 25 to 29 January 1999, in Geneva from 6 to 11 September 1999, in Bonn from 20 to 

25 March 2000 and in Johannesburg from 4 to 10 December 2000.

3. At its fifth session, the Intergovernmental Negotiating Committee agreed on the international legally 

binding instrument, the Stockholm Convention on Persistent Organic Pollutants, for adoption by the 

Conference of Plenipotentiaries. The Committee also requested the secretariat to arrange an appropriate 

process, to complete the text of the draft resolutions that the Committee did not have time to consider, for 

consideration and adoption by the Conference of Plenipotentiaries. In response to that request a preparatory 

meeting was held in Stockholm on 21 May 2001, the report of which is contained in 

UNEP/POPS/CONF/PM/3/Rev.1.

4. Upon the invitation by the Government of the Kingdom of Sweden, the Executive Director of UNEP 

convened the Conference of Plenipotentiaries on the Stockholm Convention on Persistent Organic Pollutants 

in Stockholm from 22 to 23 May 2001.

 

1/ aldrin, chlordane, dieldrin, DDT, endrin, heptachlor, hexachlorobenzene, mirex, toxaphene, 

PCBs, dioxins and furans.
UNEP/POPS/CONF/4

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5. The session was opened by Mr. Klaus Töpfer, Executive Director of UNEP. At the inaugural 

ceremony, the Conference heard welcoming addresses by Mr. Klaus Töpfer, who also read out a message of 

goodwill from the Secretary-General of the United Nations, Mr. Göran Persson, Prime Minister of Sweden 

and Mr. Mohamed T. El-Ashry, Chief Executive Officer and Chairman of the Global Environment Facility 

(GEF).

6. Mr. Klaus Töpfer served as Secretary-General of the Conference and Mr. James Willis (UNEP) served 

as Executive Secretary. 

7. Representatives of the following States and regional economic integration organizations participated 

in the Conference: Albania, Algeria, Angola, Antigua and Barbuda, Argentina, Armenia, Australia, Austria, 

Bangladesh, Belgium, Benin, Bolivia, Bosnia and Herzegovina, Brazil, Bulgaria, Burkina Faso, Burundi, 

Cambodia, Canada, Central African Republic, Chad, Chile, China, Colombia, Comoros, Congo, 

Côte d'Ivoire, Croatia, Cuba, Czech Republic, Denmark, Dominican Republic, Ecuador, El Salvador, 

Finland, France, Gambia, Georgia, Germany, Ghana, Greece, Guinea, Haiti, Honduras, Hungary, Iceland, 

India, Indonesia, Iran (Islamic Republic of), Ireland, Israel, Italy, Jamaica, Japan, Kazakhstan, Kenya, 

Kuwait, Latvia, Lebanon, Liberia, Liechtenstein, Luxembourg, Madagascar, Malaysia, Mali, Malta, 

Mauritania, Mauritius, Mexico, Monaco, Mongolia, Morocco, Mozambique, Netherlands, New Zealand, 

Nicaragua, Nigeria, Norway, Oman, Panama, Papua New Guinea, Paraguay, Peru, Philippines, Poland, 

Portugal, Republic of Korea, Republic of Moldova, Romania, Russian Federation, Saint Lucia, Samoa, 

Senegal, Singapore, Slovakia, Slovenia, South Africa, Spain, Sri Lanka, Sudan, Swaziland, Sweden, 

Switzerland, Syrian Arab Republic, The former Yugoslav Republic of Macedonia, Togo, Tunisia, Turkey, 

Ukraine, United Arab Emirates, United Kingdom of Great Britain and Northern Ireland, United Republic of 

Tanzania, United States of America, Uruguay, Venezuela, Viet Nam, Zambia, Zimbabwe, European 

Community.

8. Observers from the following States attended the proceedings of the Conference: Belarus, Botswana, 

Democratic People’s Republic of Korea, Egypt, Guatemala, Jordan, Pakistan, Qatar, Saudi Arabia, Thailand, 

Yugoslavia. 

9. The following United Nations bodies, specialized agencies and convention secretariats were 

represented by observers: Secretariat of the Basel Convention on the Control of Transboundary Movements 

of Hazardous Wastes and their Disposal, Economic Commission for Europe (ECE), Food and Agriculture 

Organization of the United Nations (FAO), Global Environment Facility (GEF), United Nations Industrial 

Development Organization (UNIDO), United Nations Institute for Training and Research (UNITAR), World 

Bank, World Health Organization (WHO), World Meteorological Organization (WMO).

10. The following intergovernmental organizations were represented by observers: European 

Commission, Organization of the Islamic Conference, Organization for the Prohibition of Chemical 

Weapons, World Conservation Union (IUCN).

11. The following non-governmental organizations and other bodies were represented by observers: 

Alaska Community Action on Toxins, Alianza Por una Mejor Calidad de Vida de Chile/Red de Acción en 

Plagucidas de America Latina, American Chemistry Council, Aquamedia Foundation, Armenian Women for 

Health and Healthy Environment, Asociación Argentina de Medicos por el Medio Ambiente, Associaçao de 

Conseiência à Prevençao Ocupacional, Avima Ltd, Baikal Environmental Wave, Basel Action Network, 

Canadian Arctic Indigenous Peoples Against POPs, Center for International Environmental Law (CIEL), 

Centro de Derecho Ambiental del Sur-Ac-Dassur, Children for the Earth, Circumpolar Conservation Union, 

Citizens Concerned About Waste Incineration Now, Climate and Development Initiatives, CNIID National 

Center for Independent Information on Waste, Comisiones Obreras, Council of Yukon First Nations, EcoAccord Center for Environment and Sustainable Development, Environic Foundation International, 

Environmental Health Fund, European Chemical Industry Council (CEFIC), Global Crop Protection 

Federation (GCPF), Greenpeace International, Indian Chemical Manufacturers Association, International

Council of Chemical Associations, International POPs Elimination Network (IPEN), Inuit Circumpolar 

Conference (ICC), Iranian Society of Environmentalists, Japan POPs Elimination Network, Kenya 
UNEP/POPS/CONF/4

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Association of Physicians and Medical Workers for Social Responsibility, Korean Association of 

Environmental Research, Mama-86 Kharkov, Mouvement pour les Droits et le Respect des Générations 

Futures, National Toxics Network, People’s Association on Countermeasures of Dioxin and Endocrine 

Disruptors, People’s Task Force for Bases Clean-up, Pesticide Action Network (PAN), Pesticides et 

Alternatives pour une Agriculture Saine et Ecologique, Physicians for Social Responsibility, Red de Acción 

en Alternativas al Uso de Agrotoxicos de Venezuela (Rapal-ve), Seoul Metropolitan Council, Sierra Club, 

Sierra Club of Canada, State of Alaska-Office of the Governor, Stockholm Environment Institute, 

Sustainable Development Policy Institute, Swedish Doctors for the Environment, Thanal Conservation 

Action and Information Network, Volgograd-Ecopress, W. Alton Jones Foundation, Women in Europe for a

Common Future, World Alliance for Breastfeeding Action, World Chlorine Council, World Wide Fund for 

Nature International. 

12. The Conference had before it the rules of procedure for meetings of the Intergovernmental 

Negotiating Committee made available to it in document UNEP/POPS/CONF/PM/INF/1. The Conference 

agreed to apply the rules of procedure of the Intergovernmental Negotiating Committee, mutatis mutandis, to 

its proceedings.

13. The meeting elected, by acclamation, the following officers to form its Bureau:

President: Mr. Kjell Larsson (Sweden)

Vice-Presidents: Mr. Bozo Kovacevic (Croatia)

Ms. Adriana Hoffmann (Chile)

Mr. Ali Abolhassani (Islamic Republic of Iran)

Ms. Rejoice T. Mabudafhasi (South Africa)

In accordance with rule 8 of the Intergovernmental Negotiating Committee’s rules of procedure, Mr. Bozo 

Kovacevic (Croatia), Vice-President, also agreed to act as Rapporteur.

14. The Conference, on the basis of the provisional agenda contained in document UNEP/POPS/CONF/1, 

adopted the following agenda:

1. Opening of the Conference.

2. Organizational matters:

(a) Adoption of the rules of procedure;

(b) Election of officers;

(c) Adoption of the agenda;

(d) Appointment of the Credentials Committee;

(e) Organization of the work of the Conference.

3. Report of the Credentials Committee.

4. Adoption of the Stockholm Convention on Persistent Organic Pollutants.

5. Adoption of resolutions.

6. Adoption of the Final Act of the Conference.

7. Signature of the Final Act and the Convention.
UNEP/POPS/CONF/4

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8. Closure of the Conference.

15. The Conference agreed to work in its entirety without establishing any subsidiary body, except for the 

Credentials Committee.

16. The Conference appointed the Credentials Committee, consisting of the Bureau of the Conference, 

which examined, with the assistance of the secretariat, the credentials of the representatives at the 

Conference and reported thereon to the Conference. The Conference approved the recommendation of the 

Credentials Committee that the credentials of the representatives of the participating States and regional 

economic integration organizations, as listed in paragraph 7, should be recognized as being in order.

17. The Conference had before it, as a basis for its work, the following documents: 

(a) The text of the Stockholm Convention on Persistent Organic Pollutants, as agreed by the 

Intergovernmental Negotiating Committee at its fifth session, as contained in document 

UNEP/POPS/CONF/2;

(b) The draft resolutions agreed to by the Intergovernmental Negotiating Committee at its fourth 

and fifth sessions, as contained in document UNEP/POPS/CONF/3;

(c) The draft resolutions agreed to by the Preparatory Meeting for the Conference of 

Plenipotentiaries, as contained in appendix I to the report of that meeting, UNEP/POPS/CONF/PM/3/Rev.1.

18. Mr. John Buccini (Canada), Chair of the Intergovernmental Negotiating Committee, upon the 

invitation of the President, formally presented to the Conference the text of the Stockholm Convention as 

agreed to by the Intergovernmental Negotiating Committee at its fifth session, as well as the draft resolutions 

submitted to the Conference by the Intergovernmental Negotiating Committee and the Preparatory Meeting.

19. The secretariat reported on requests for specific exemptions in Annex A and Annex B and acceptable 

purposes in Annex B to the Stockholm Convention it had received prior to 22 May 2001 in accordance with 

the agreement reached at the fifth session of the Intergovernmental Negotiating Committee (para. 69 of 

UNEP/POPS/INC.5/7). The list of those requests is included in document 

UNEP/POPS/CONF/INF/1/Rev.3.

20. The Conference adopted on 22 May 2001 the Stockholm Convention on Persistent Organic Pollutants. 

The Convention, which is included in appendix II to this Final Act, will be opened for signature at the 

Conference on 23 May 2001, and at United Nations Headquarters from 24 May 2001 to 22 May 2002. 

21. The Conference also adopted the following resolutions that are included in appendix I to this 

FinalAct:

(a) Resolution on interim arrangements;

(b) Resolution on interim financial arrangements;

(c) Resolution on capacity-building and capacity assistance network;

(d) Resolution on liability and redress concerning the use and intentional introduction into the 

environment of persistent organic pollutants;

(e) Resolution on issues related to the Basel Convention;

(f) Resolution concerning the secretariat;
UNEP/POPS/CONF/4

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(g) Tribute to the Government of the Kingdom of Sweden.

IN WITNESS WHEREOF the representatives have signed this Final Act.

DONE at Stockholm, on this twenty-second day of May, two thousand and one, in one original in the 

Arabic, Chinese, English, French, Russian and Spanish languages, all texts being equally authentic. The 

original of the Final Act shall be deposited with the Secretary-General of the United Nations.

President of the Conference :

Kjell LARSSON

Secretary- General of the Conference :

Klaus TÖPFER

Executive Secretary of the Conference :

James WILLIS

Representatives of the following States and regional economic integration organizations signed the 

Final Act: Algeria, Angola, Antigua and Barbuda, Argentina, Armenia, Australia, Austria, Bangladesh, 

Belgium, Benin, Bolivia, Bosnia and Herzegovina, Brazil, Bulgaria, Burkina Faso, Burundi, Cambodia, 

Canada, Central African Republic, Chad, Chile, China, Colombia, Comoros, Congo, Côte d'Ivoire, Croatia, 

Cuba, Czech Republic, Denmark, Dominican Republic, Ecuador, El Salvador, Finland, France, Gambia, 

Georgia, Germany, Ghana, Greece, Guinea, Haiti, Honduras, Hungary, Iceland, India, Indonesia, Iran 

(Islamic Republic of), Ireland, Israel, Italy, Jamaica, Japan, Kazakhstan, Kenya, Kuwait, Latvia, Lebanon, 

Liechtenstein, Luxembourg, Malaysia, Mali, Malta, Mauritania, Mauritius, Mexico, Monaco, Mongolia, 

Morocco, Mozambique, Netherlands, New Zealand, Nicaragua, Nigeria, Norway, Oman, Panama, Papua 

New Guinea, Paraguay, Peru, Philippines, Poland, Portugal, Republic of Korea, Republic of Moldova, 

Romania, Russian Federation, Saint Lucia, Samoa, Senegal, Singapore, Slovakia, Slovenia, South Africa, 

Spain, Sri Lanka, Sudan, Swaziland, Sweden, Switzerland, Syrian Arab Republic, the former Yugoslav 

Republic of Macedonia, Togo, Tunisia, Turkey, United Arab Emirates, United Kingdom of Great Britain and 

Northern Ireland, United Republic of Tanzania, United States of America, Uruguay, Venezuela, Viet Nam, 

Zambia, Zimbabwe, European Community.
UNEP/POPS/CONF/4

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Appendix I

RESOLUTIONS ADOPTED BY THE CONFERENCE OF PLENIPOTENTIARIES ON THE 

STOCKHOLM CONVENTION ON PERSISTENT ORGANIC POLLUTANTS

1. Resolution on interim arrangements

The Conference,

Having adopted the text of the Stockholm Convention on Persistent Organic Pollutants (hereinafter 

referred to as the "Convention"),

Considering that interim arrangements are required in order expeditiously to implement international 

action to protect human health and the environment from certain persistent organic pollutants pending the 

entry into force of the Convention and to prepare for its effective operation once it enters into force,

Recalling decisions 18/32 of 25 May 1995, 19/13 C of 7 February 1997, 20/24 of 4 February 1999 and 

21/4 of 9 February 2001 of the Governing Council of the United Nations Environment Programme on 

persistent organic pollutants,

I

1. Calls upon States and regional economic integration organizations entitled to do so, to consider 

signing, ratifying, accepting, approving or acceding to the Convention with a view to bringing it into force as 

soon as possible;

II

2. Calls on States and regional economic integration organizations with more advanced 

programmes to provide financial and technical assistance, including training, to other States and regional 

economic integration organizations in developing their infrastructure and capacity to reduce, with the aim of 

eliminating, where feasible, the uses and releases of persistent organic pollutants, as specified in the 

Convention, throughout their life cycle, particularly in view of the urgent need for such other States and 

regional economic integration organizations to participate in the effective operation of the Convention once 

it enters into force;

3. Invites the Executive Director of the United Nations Environment Programme to convene such 

further sessions of the Intergovernmental Negotiating Committee (hereinafter referred to as the 

"Committee"), during the period between the date on which the Convention is opened for signature and the 

date of the opening of the first meeting of the Conference of the Parties, as are necessary to oversee the 

implementation, during the interim period, of international action to protect human health and the 

environment from persistent organic pollutants within the scope of the Convention and to prepare for and 

service the Conference of the Parties until the end of the fiscal year in which the first meeting of the 

Conference of the Parties takes place;

4. Invites the Committee to focus its efforts during the interim period on those activities required 

or encouraged by the Convention that will facilitate the rapid entry into force and effective implementation 

of the Convention upon its entry into force, including, for consideration by the Conference of the Parties, the 

development of: steps to enable a prompt start of the capacity-building and assistance networks; guidance 

on the preparation of implementation plans and action plans; guidance for the financial mechanism and 

technical assistance; periodicity and format of reports by Parties; arrangements to provide comparable 

monitoring data; rules of procedure and financial rules; financial provisions governing the functioning of the 

secretariat; modalities and procedures relating to non-compliance; guidelines on BAT; and work on DDT in 

accordance with paragraph 6 of part II of Annex B;
UNEP/POPS/CONF/4

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5. Invites the Committee to recommend draft rules of procedure, composition and operational 

guidelines for the functioning of the subsidiary body to be established under paragraph 6 of article 19 of the 

Convention for consideration by the Conference of the Parties at its first session;

6. Decides that the Committee shall develop provisional guidance on the evaluation of current and 

projected releases of chemicals in Annex C, including the development and maintenance of source 

inventories, in order to facilitate interim work under subparagraph (a) (i) of article 5, for consideration by the 

Conference of the Parties upon the entry into force of the Convention; 

7. Decides also that the Committee shall develop provisional guidance on best environmental 

practices relevant to the provisions of article 5, for consideration by the Conference of the Parties, upon the 

entry into force of the Convention;

8. Encourages States and regional economic integration organizations to do preparatory work for 

the listing of chemicals after the entry into force of the Convention;

9. Requests the interim secretariat to prepare a scoping document on the items referred to in 

subparagraph 1 (d) of article 6 for consideration by the Committee; 

10. Invites the Committee to consider establishing any subsidiary bodies that may be required to 

assist in its work;

11. Appeals to States and regional economic integration organizations to participate in and apply in 

full the provisions of the Convention during the interim period on a voluntary basis; 

12. Requests the Executive Director of the United Nations Environment Programme to provide, 

during the interim period, secretariat services for the operation of the interim activities;

13. Appeals to States and regional economic integration organizations to make voluntary 

contributions to the trust fund established by the United Nations Environment Programme in order to support 

the interim activities and the operation of the Conference of the Parties until the end of the fiscal year in 

which the first meeting of the Conference of the Parties takes place, and to ensure the full and effective 

participation of developing countries and countries with economies in transition in the further work of the

Committee.

2. Resolution on interim financial arrangements

The Conference,

Noting that article 14 of the Stockholm Convention on Persistent Organic Pollutants on interim 

financial arrangements designates the Global Environment Facility on an interim basis to serve as the 

principal entity entrusted with the operations of the financial mechanism defined in article 13 of the 

Convention,

Taking note of the desire of the Global Environment Facility to commit to the objectives of the 

Convention, as enunciated at the sixteenth meeting of its Council,

1. Requests the Assembly of the Global Environment Facility to consider establishing a new focal 

area through amendment of the Instrument for the Establishment of the Restructured Global Environment 

Facility in order to support the implementation of the Convention;
UNEP/POPS/CONF/4

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2. Further requests the Council of the Global Environment Facility to establish as soon as possible 

and implement an operational programme for persistent organic pollutants, taking into account future 

decisions of the Intergovernmental Negotiating Committee for an International Legally Binding Instrument 

for Implementing International Action on Certain Persistent Organic Pollutants;

3. Further requests the Global Environment Facility to report to the Conference of the Parties at its 

first session on the measures it has taken to ensure the transparency of the Global Environment Facility 

project approval process and that the procedures for accessing funds are simple, flexible and expeditious;

4. Further requests donors to the Global Environment Facility Trust Fund to contribute adequate 

additional financial resources through the third replenishment of the Global Environment Facility Trust 

Fund, in order to enable the Global Environment Facility effectively to perform its mandate in terms of this 

Convention;

5. Requests the interim secretariat to invite relevant funding institutions to provide information on 

ways in which they can support the Convention, and to submit a report on the basis of such information to 

the Conference of the Parties at its first session;

6. Requests the Conference of the Parties at its first session to review the availability of financial 

resources additional to those provided through the Global Environment Facility and the ways and means for 

mobilizing and channelling these resources in support of the objectives of the Convention.

3. Resolution on capacity-building and capacity assistance network

The Conference,

Convinced of the need for technical assistance for capacity-building related to the implementation of 

the obligations of the Convention,

Recognizing that further guidance on technical assistance for capacity-building is to be provided by 

the Conference of the Parties, in accordance with paragraph 3 of article 12 of the Convention, 

Recognizing further the value of a mechanism to facilitate and coordinate access to technical and 

financial assistance to be provided to assist signatories to implement the Convention,

1. Invites the Intergovernmental Negotiating Committee (hereinafter referred to as the 

"Committee") to focus its efforts in the interim period on arrangements for capacity-building for the 

implementation of the Convention in signatory developing countries and signatory countries with economies 

in transition, for the consideration of and adoption by the first meeting of the Conference of the Parties;

2. Requests the Executive Director of the United Nations Environment Programme as the interim 

secretariat for the Convention and the Chief Executive Officer of the Global Environment Facility acting in 

cooperation, to develop the modalities for a Capacity Assistance Network that will perform the following 

functions, and report thereon to the Committee at its sixth session:

(a) Identifying and maintaining an inventory of sources of assistance outside those to be provided 

by the principal entity of the financial mechanism of the Convention that are available for the 

implementation of the Convention;

(b) Assisting signatories, upon request, to identify and access the sources referred to in 

paragraph 2 (a);

(c) Providing signatories with information on, categories, sources and requirements for accessing 

the assistance referred to in paragraph 2 (a); and
UNEP/POPS/CONF/4

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(d) Encouraging the involvement of the private sector and non-governmental organizations in 

providing assistance; 

3. Urges other entities providing bilateral, multilateral and regional financial and technical 

assistance for the implementation of the Convention to contribute actively to this effort;

4. Invites the Global Environment Facility, as the principal entity entrusted with the operations of 

the financial mechanism referred to in article 13 of the Convention, on an interim basis, to take into account 

the capacity-building needs for the implementation of the Convention by signatory developing countries and 

signatory countries with economies in transition, in the further development of its capacity-building strategy, 

and to report thereon to the Committee at its sixth session.

4. Resolution on liability and redress concerning the use and intentional introduction 

 into the environment of persistent organic pollutants

The Conference,

Conscious of the risk posed by persistent organic pollutants to human health and the environment,

Acknowledging that persistent organic pollutants are transported across international boundaries and 

deposited far from their place of release through air, water and migratory species,

Recognizing that the time is appropriate for further discussions on the need for the elaboration of 

international rules in the field of liability and redress resulting from the production, use and intentional 

release into the environment of persistent organic pollutants,

Welcoming the willingness of Austria to host a workshop on liability and redress,

1. Invites Governments and relevant international organizations to provide the secretariat with 

information on national, regional and international measures and agreements on liability and redress, 

especially on persistent organic pollutants;

2. Requests the secretariat in cooperation with one or more States to organize a workshop on 

liability and redress in the context of the Convention on persistent organic pollutants and related matters, no 

later than 2002;

3. Decides to consider at its first Conference of the Parties the report of the workshop with a view 

to deciding what further action should be taken.

5. Resolution on issues related to the Basel Convention

The Conference,

1. Welcomes the work undertaken by the bodies of the Basel Convention on the Control of 

Transboundary Movements of Hazardous Wastes and their Disposal on issues related to the management of 

persistent organic pollutant wastes, including the initiation of work to prepare technical guidelines for the 

environmentally sound management of persistent organic pollutant wastes;

2. Encourages the bodies of the Basel Convention to continue to make this work a priority;

3. Invites the bodies of the Basel Convention to cooperate closely on the items referred to in 

paragraph 1 (d) of article 6 of the Stockholm Convention on Persistent Organic Pollutants, and in particular 

to prepare appropriate technical guidelines for the environmentally sound management of persistent organic 

pollutant wastes;
UNEP/POPS/CONF/4

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4. Requests the Intergovernmental Negotiating Committee (hereinafter referred to as the 

"Committee") and the interim secretariat to cooperate with the secretariat and the bodies of the Basel 

Convention on issues related to the management of persistent organic pollutant wastes;

5. Invites the secretariat of the Basel Convention to report to the Committee on issues related to 

the management of persistent organic pollutant wastes, including the preparation of technical guidelines for 

the environmentally sound management of persistent organic pollutant wastes.

6. Resolution concerning the secretariat

The Conference,

Having met in Stockholm on 22 and 23 May 2001,

1. Welcomes with appreciation the generous offers to host the secretariat of the Stockholm 

Convention on Persistent Organic Pollutants received from Germany and from Switzerland and invites the 

said countries to provide full and detailed information on their proposals;

2. Notes that paragraph 3 of article 20 of the Convention provides for the Executive Director of 

the United Nations Environment Programme to perform the secretariat functions specified in the 

Convention;

3. Calls upon the Executive Director of the United Nations Environment Programme to consider 

the offers received from Germany and Switzerland, as well as any other offers, and to provide a comparative 

analysis of those offers regarding the physical location of the secretariat for consideration and decision by 

the Conference of the Parties at its first meeting. The preparation of such analyses should be carried out in 

consultation with the Intergovernmental Negotiating Committee.

7. Tribute to the Government of the Kingdom of Sweden

The Conference,

Having met in Stockholm on 22 and 23 May 2001 at the gracious invitation of the Government of the 

Kingdom of Sweden,

Convinced that the efforts made by the Government of the Kingdom of Sweden and by the authorities 

of the city of Stockholm in providing facilities, premises and other resources contributed significantly to the 

smooth conduct of the proceedings,

Deeply appreciative of the courtesy and hospitality extended by the Government of the Kingdom of 

Sweden and the city of Stockholm to the members of the delegations, observers and the secretariat of the 

United Nations Environment Programme attending the Conference,

Expresses its sincere gratitude to the Government of the Kingdom of Sweden, to the authorities of the 

city of Stockholm and, through them, to the people of Sweden, for the cordial welcome which they accorded 

to the Conference and to those associated with its work and for their contribution to the success of the 

Conference.
UNEP/POPS/CONF/4

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Appendix II

STOCKHOLM CONVENTION ON PERSISTENT ORGANIC POLLUTANTS

The Parties to this Convention,

Recognizing that persistent organic pollutants possess toxic properties, resist degradation, 

bioaccumulate and are transported, through air, water 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 Informed 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 regional agreements 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 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,
UNEP/POPS/CONF/4

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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 promote the internalization of environmental costs and the use of 

economic instruments, taking into account the approach that the polluter should, in principle, 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:

(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 duly authorized, in accordance with its internal procedures, 

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.
UNEP/POPS/CONF/4

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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:

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; and

c. 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. 
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14

(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 pestic ides or industrial 

chemicals shall, where appropriate, take into consideration 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 Convention, 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, such release 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:

(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.
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15

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 registration 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 such recommendations 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, the Conference 

of the Parties shall take due account of the special circumstances of the developing country Parties and 

Parties with economie s 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 their continuing 

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, and subsequently 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:

(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 submitted 

pursuant 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; 
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16

(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 the chemicals 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 initial focus 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 available techniques 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 categories 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).

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;
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17

(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; 

and

(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 account 

international 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
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18

(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 Movements 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; and 

(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 order 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 a proposal, a Party may 

be assisted by other Parties and/or by the Secretariat.
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19

2. The Secretariat shall verify whether the proposal contains the information specified in Annex D. If 

the Secretariat is satisfied that the 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, taking 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.

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 the Parties 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 shall prepare 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 shall not 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 account the evaluation of the Committee and any additional 

information provided by any Party or observer, that the proposal should proceed. If the Conference of the 
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20

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.

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 pollutants, 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 pointfor 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 nongovernmental 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 to this 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;
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21

(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.

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 the annual 

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;
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22

(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 transition and cooperate in improving 

their capability to participate in the efforts referred to in subparagraphs (a) and (b);

(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 into account their particular 

needs, to develop and strengthen 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 Partie s with 

economies 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 shall 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 such financial resources. 
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23

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 developing country 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, technical assistance 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 in their 

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 decided upon by the Conference of the Parties. The mechanism may also include other entities 

providing 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 participating 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 such utilization;

(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; and

(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 established under this Article, its ability to address the 

changing needs of the developing country Parties and Parties with economies in transition, the criteria and 
UNEP/POPS/CONF/4

24

guidance referred to in paragraph 7, the level 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 necessary, 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 with 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 decides which 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. 

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 provide 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 monitoring programmes and mechanisms to the 

extent possible and promoting harmonization of approaches;
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25

(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 instrument submitted to the 

depositary that, with respect to any dispute concerning the interpretation or 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 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 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 
UNEP/POPS/CONF/4

26

request of any party to the dispute. The conciliation commission shall render a report with 

recommendations. Additional procedures 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 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, 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) 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.
UNEP/POPS/CONF/4

27

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 or non-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;

(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 effective discharge 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 also communicate proposed 

amendments to the signatories to this Convention and, for information, to the depositary.
UNEP/POPS/CONF/4

28

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 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. 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 previous notification 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 have not 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
UNEP/POPS/CONF/4

29

(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 shall 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 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.

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 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 in the extent of its competence.

4. In its instrument of ratification, acceptance, approval 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.
UNEP/POPS/CONF/4

30

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 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.

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 duly authorized to that effect, have signed this 

Convention. 

Done at Stockholm on this twenty-second day of May, two thousand and one.
UNEP/POPS/CONF/4

31

Annex A

ELIMINATION

Part I

Chemical Activity Specific exemption

Aldrin*

CAS No: 309-00-2

Production None

Use Local ectoparasiticide

Insecticide

Chlordane*

CAS No: 57-74-9

Production As allowed for the Parties listed in the 

Register

Use Local ectoparasiticide

Insecticide 

Termiticide

Termiticide in buildings and dams

Termiticide in roads

Additive in plywood adhesives

Dieldrin*

CAS No: 60-57-1

Production None

Use In agricultural operations

Endrin*

CAS No: 72-20-8

Production None

Use None

Heptachlor*

CAS No: 76-44-8

Production None

Use Termiticide 

Termiticide in structures of houses

Termiticide (subterranean)

Wood treatment 

In use in underground cable boxes

Hexachlorobenzene

CAS No: 118-74-1

Production As allowed for the Parties listed in the 

Register

Use Intermediate

Solvent in pesticide

Closed system site limited intermediate

Mirex*

CAS No: 2385-85-5

Production As allowed for the Parties listed in the 

Register

Use Termiticide

Toxaphene*

CAS No: 8001-35-2

Production None

Use None

Polychlorinated 

Biphenyls (PCB)*

Production None

Use Articles in use in accordance with the 

provisions of Part II of this Annex
UNEP/POPS/CONF/4

32

Notes:

(i) Except as otherwise specified in this 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 the production 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 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-starting material 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 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.
UNEP/POPS/CONF/4

33

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 volumes greater 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 or imported 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;

(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 relating to polychlorinated biphenyls. The Conference of the Parties 

shall review progress towards elimination of polychlorinated biphenyls at five year intervals or other period, 

as appropriate, taking into account such reports.
UNEP/POPS/CONF/4

34

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: 50-29-3

Production Acceptable purpose:

Disease vector control use in accordance 

with Part II of this Annex

Specific 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 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 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 remains in 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 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 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-starting material 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 tenyear 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 in respect 

of them in accordance with Article 4. 
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35

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 to that 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 the Parties 

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 products, 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 alternatives. 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 the 

Parties shall, in consultation with the World Health Organization, evaluate the continued need for DDT for 

disease vector control on the basis of available scientific, technical, environmental and economic 

information, including:

(a) The production and use of DDT and the conditions set out in paragraph 2; 

(b) The availability, suitability and implementation of the alternatives to DDT; and
UNEP/POPS/CONF/4

36

(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.
UNEP/POPS/CONF/4

37

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 dibenzofurans, 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 chemicals to 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 dibenzofurans, 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;

(c) Residential combustion sources;

(d) Fossil fuel-fired utility and industrial boilers;

(e) Firing installations for wood and other biomass fuels;
UNEP/POPS/CONF/4

38

(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 in polychlorinated 

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 dibenzo-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, commencing with the 

World Health Organization 1998 mammalian toxic equivalent factor values for polychlorinated dibenzo-pdioxins and dibenzofurans and coplanar polychlorinated biphenyls. Concentrations are expressed in toxic 

equivalents.

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;
UNEP/POPS/CONF/4

39

(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 and medical 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 installation concerned, its 

geographical location and the local environmental conditions. Appropriate control techniques to reduce 

releases of the chemic als 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;

(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 
UNEP/POPS/CONF/4

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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 of Part 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.
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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, International Union 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 receiving 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, water or migratory 

species, with the potential for transfer to a receiving environment in locations distant 

from the sources of its release. For a chemical that migrates significantly through the air, 

its half-life in air should be greater than two days; and
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(e) Adverse effects:

(i) Evidence of adverse effects to human health 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 chemical resulting 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 of Article 8. In 

developing such a proposal, a Party may draw on technical expertise from any source.
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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 significant 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 its environmental 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.
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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, including 

management and elimination. For this purpose, relevant information should be provided relating to socioeconomic 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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