COMMISSION OF THE EUROPEAN COMVTUNITIES 
C0M(93) 285final 
Brussels, 5 JuI y 1993 
Proposal for a 
COUNCIL DECISION 
on the conclusion, on behalf of the Community, 
of the Convention on the Protection of the 
Marine Environment of the Baltic Sea Area 
(Helsinki Convention, as revised in 1992) 
(presented by the Commission) 
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MEMORANDUM TO THE MEMBERS OF THE COMMISSION 
1. On 24 September 1992 in Helsinki (Finland), in accordance with the 
Council Decision of 18 March 1992, the Community signed the Convention on 
the Protection of the Marine Environment of the Baltic Sea Area (Helsinki 
Convention, as revised in 1992). 
2. In accordance with Article 36 of the Convention, the latter will enter 
into force two months after the deposit of the instruments of 
ratification or approval by all signatory States bordering the Baltic Sea 
and by the European Economic Community. 
3. The Convention on the Protection of the Marine Environment of the Baltic 
Sea Area signed in Helsinki on 22 March 1974, which entered into force on 
3 May 1980, will expire upon the entry into force of the new Convention. 
4. The two Member States which are also Baltic countries (Germany and 
Denmark) and the Community have already signed the Convention and must 
now approve and ratify it respectively, in line with their 
responsibilities in the areas covered by the Convention. 
5. When depositing its instrument of ratification, approval or accession 
each Party must, in accordance with Article 1 of the Helsinki Convention 
as revised in 1992, inform the Depositary Government of the designation 
of its internal waters for the purpose of the Convention. 
6. Since the proposal for a Decision is based on Article 130s of the Treaty, 
the Parliament and the Economic and Social Committee must be consulted. 
7. In conclusion, the Commission is requested to: 
(a) approve the attached proposal for a Council Decision: 
- concluding the abovementioned international Convention on behalf 
of the Community; 
- laying down the detailed arrangements for depositing the 
instrument of approval. 
(b) send the proposal to the Council. 
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EXPLANATORY MEMORANDUM 
1. The Convention on the Protection of the Marine Environment of the Baltic 
Sea Area (Helsinki Convention, 1974) entered into force on 3 May 1980 for 
seven States bordering the Baltic Sea (Federal Republic of Germany, 
Kingdom of Denmark, Republic of Poland, Kingdom of Sweden, Republic of 
Finland, German Democratic Republic and the Union of Soviet Socialist 
Republics). 
2. On 21 June 1977 the Council authorized the Commission to open 
negotiations on the accession of the Community to the Helsinki 
Convention, considering that the Convention covered areas in which the 
Community had jurisdiction, including legislation on waters. 
In October 1977 one of the Contracting Parties to the Convention, not a 
Member State of the Community, opposed the opening of negotiations. 
Despite efforts by the Commission, no significant progress was achieved. 
Positive political developments have since allowed negotiations to be 
reopened, and these have resulted in a revision of the Convention which 
will enable the Community to accede. 
3. In the meantime, negotiations have begun on the conclusion of a new 
Convention on the Protection of the Marine Environment in the Baltic Sea 
Area to replace the 1974 Convention. 
On 24 September 1992, pursuant to the Council Decision of 18 March 1992, 
the Community signed the Convention on the Protection of the Marine 
Environment in the Baltic Sea Area (Helsinki Convention, as revised in 
1992), which was also open for signature by other countries such as the 
Czech and Slovak Federal Republic (at present Czech Republic and Slovak 
Republic), the Republic of Estonia, the Republic of Latvia, the Republic 
of Lithuania, the Kingdom of Norway, the Russian Federation and the 
Ukraine. 
4. The essential aim of the Convention is to organize close regional 
cooperation on the ecological rehabilitation of the Baltic Sea, leading 
to the self-regeneration of its marine environment and the preservation 
of its ecological balance. 
The fields in which the Convention is applicable fall at least in part 
within the Community's Jurisdiction on water matters, for which there is 
an abundance of legislation. 
In accordance with the Court's findings in AETR (Case 22/70 Commission v 
Council [1971] ECR 263), the Community has the power to conclude such a 
Convention. Besides, the Member States alone are not able to meet all the 
obligations deriving from the Convention. 
-3a-
5. The Convention on the Protection of the Marine Environment of the Baltic 
Sea Area, signed in Helsinki on 22 March 1974, entered into force on 
3 May 1980 and will expire upon the entry into force of the present 
Convention. 
6. The designation of internal waters in accordance with Article 1 of the 
Helsinki Convention as revised in 1992 is a matter for the Member States 
concerned and falls within the scope of international law, this being a 
question of the demarcation of sovereign areas. 
7. Since the measures laid down by the Convention are instruments of 
environment policy, the Council Decision must have Article 130s of the 
EEC Treaty as its legal basis. 
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PROPOSAL FOR A COUNCIL DECISION ON THE CONCLUSION, ON BEHALF OF THE 
COMMUNITY, OF THE CONVENTION ON THE PROTECTION OF THE MARINE ENVIRONMENT OF 
THE BALTIC SEA AREA, THE HELSINKI CONVENTION AS REVISED IN 1992 
THE COUNCIL OF THE EUROPEAN COMMUNITIES, 
Having regard to the Treaty establishing the European Economic Community, 
and in particular Article 130s thereof, 
Having regard to the proposal from the Commission,1 
Having regard to the opinion of the European Parliament,2 
Having regard to the opinion of the Economic and Social Committee,3 
Whereas the Commission, on behalf of the Community, took part in the 
negotiations on the drafting of the Helsinki Convention as revised in 1992; 
Whereas that Convention was signed on behalf of the Community on 
24 September 1992; 
Whereas that Convention establishes a framework for regional cooperation to 
ensure the ecological rehabilitation of the Baltic Sea with a view to the 
self-regeneration of its marine environment and the preservation of its 
ecological balance; 
Whereas the Community has adopted measures in the area covered by the 
Convention and should act at international level in that area; 
Whereas Community policy on the environment contributes to the pursuit of 
the objectives of preserving, protecting and improving the quality of the 
environment, protecting human health and the prudent and rational 
utilization of natural resources; 
Whereas Community policy on the environment aims at a high level of 
protection; whereas it is based on the precautionary principle and on the 
principles that preventive action should be taken, that environmental damage 
should as a priority be rectified at source and that the polluter should 
pay; 
Whereas, within the framework of their respective responsibilities, the 
Community and the Member States cooperate with third countries and with 
competent international organizations; 
Whereas the conclusion of the Convention by the Community will help attain 
the objectives set out in Article 130r of the Treaty, 
1 OJ 
2 OJ 
3 OJ 
HAS ADOPTED THIS DECISION: 
Article 1 
The Convention on the Protection of the Marine Environment of the Baltic Sea 
Area (Helsinki Convention, as revised in 1992), signed in Helsinki (Finland) 
on 24 September 1992, is hereby approved on behalf of the European Economic 
Community. 
The text of the Convention is given in the Annex to this Decision. 
Article 2 
The President of the Council shall deposit the instrument of approval with 
the Finnish Government in accordance with Article 38 of the Convention. 
Done at , For the Council 

Convention on the Protection of the Marine 
Environment of the Baltic Sea Area, 1992 
THE CONTRACTING PARTIES, 
CONSCIOUS of the indispensable values of the marine environment of the Baltic Sea Area, 
its exceptional hydrographie and ecological characteristics and the sensitivity of its living 
resources to changes in the environment; 
BEARING in mind the historical and present economic, social and cultural values of the 
Baltic Sea Area for the well-being and development of the peoples of that region; 
NOTING with deep concern the still ongoing pollution of the Baltic Sea Area; 
DECLARING their firm determination to assure the ecological restoration of the Baltic Sea, 
ensuring the possibility of self-regeneration of the marine environment and preservation of its 
ecological balance; 
RECOGNIZING that the protection and enhancement of the marine environment of the Baltic 
Sea Area are tasks that cannot effectively be accomplished by national efforts alone but by 
close regional co-operation and other appropriate international measures; 
APPRECIATING the achievements in environmental protection within the framework of the 
1974 Convention on the Protection of the Marine Environment of the Baltic Sea Area, and the 
role of the Baltic Marine Environment Protection Commission therein; 
RECALLING the pertinent provisions and principles of the 1972 Declaration of the Stockholm 
Conference on the Human Environment and the 1975 Final Act of the Conference on Security 
and Co-operation in Europe (CSCE); 
DESIRING to enhance co-operation with competent regional organizations such as the 
International Baltic Sea Fishery Commission established by the 1973 Gdansk Convention on 
Fishing and Conservation of the Living Resources in the Baltic Sea and the Belts; 
WELCOMING the Baltic Sea Declaration by the Baltic and other interested States, the 
European Economic Community and co-operating international financial institutions assembled 
at Ronneby in 1990, and the Joint Comprehensive Programme aimed at a joint action plan in 
order to restore the Baltic Sea Area to a sound ecological balance; 
CONSCIOUS of the importance of transparency and public awareness as well as the work by 
non-governmental organizations for successful protection of the Baltic Sea Area; 
WELCOMING the improved opportunities for closer co-operation which have been opened by 
the recent political developments in Europe on the basis of peaceful co-operation and mutual 
understanding; 
DETERMINED to embody developments in international environmental policy and 
environmental law into a new Convention to extend, strengthen and modernize the legal 
regime for the protection of the Marine Environment of the Baltic Sea Area; 
HAVE AGREED as follows: 
2) 
1 
Article 1 
Convention Area 
This Convention shall apply to the Baltic Sea Area. For the purposes of this Convention the 
"Baltic Sea Area" shall be the Baltic Sea and the entrance to the Baltic Sea bounded by the 
parallel of the Skaw in the Skagerrak at 57° 44.43*N. It includes the internal waters, i.e., for 
the purpose of this Convention waters on the landward side of the base lines from which the 
breadth of the territorial sea is measured up to the landward limit according to the designation 
by the Contracting Parties. 
A Contracting Party shall, at the time of the deposit of the instrument of ratification, approval 
or accession inform the Depositary of the designation of its internal waters for the purposes 
of this Convention. 
Article 2 
Definitions 
For the purposes of this Convention: 
1. "Pollution" means introduction by man, directly or indirectly, of substances or energy 
into the sea, including estuaries, which are liable to create hazards to human health, to harm 
living resources and marine ecosystems, to cause hindrance to legitimate uses of the sea 
including fishing, to impair the quality for use of sea water, and to lead to a reduction of 
amenities; 
2. "Pollution from land-based sourcesw means pollution of the sea by point or diffuse 
inputs from all sources on land reaching the sea waterborne, airborne or directly from the 
coast. It includes pollution from any deliberate disposal under the seabed with access from 
land by tunnel, pipeline or other means; 
3. "Ship" means a vessel of any type whatsoever operating in the marine environment and 
includes hydrofoil boats, air-cushion vehicles, submersibles, floating craft and fixed or 
floating platforms; 
4. a) "Dumping" means: 
i) any deliberate disposal at sea or into the seabed of wastes or other matter 
from ships, other man-made structures at sea or aircraft; 
ii) any deliberate disposal at sea of ships, other man-made structures at sea or 
aircraft; 
b) "Dumping" does not include: 
i) the disposal at sea of wastes or other matter incidental to, or derived from 
the normal operations of ships, other man-made structures at sea or aircraft 
and their equipment, other than wastes or other matter transported by or to 
ships, other man-made structures at sea or aircraft, operating for the purpose 
of disposal of such matter or derived from the treatment of such wastes or 
other matter on such ships, structures or aircraft; 
ii) placement of matter for a purpose other than the mere disposal thereof, 
provided that such placement is not contrary to the aims of the present 
Convention; 
5. "Incineration" means the deliberate combustion of wastes or other matter at sea for the 
purpose of their thermal destruction. Activities incidental to the normal operation of ships or 
other man-made structures are excluded from the scope of this definition; 
6. "Oil" means petroleum in any form including crude oil, fuel oil, sludge, oil refuse and 
refined products; 
7. "Harmful substance" means any substance, which, if introduced into the sea, is liable 
to cause pollution; 
8. "Hazardous substance" means any harmful substance which due to its intrinsic 
properties is persistent, toxic or liable to bio-accumulate; 
9. "Pollution incident" means an occurrence or series of occurrences having the same 
origin, which results or may result in a discharge of oil or other harmful substances and 
which poses or may pose a threat to the marine environment of the Baltic Sea or to the 
coastline or related interests of one or more Contracting Parties, and which requires 
emergency actions or other immediate response; 
10. "Regional economic integration organization" means any organization constituted by 
sovereign states, to which their member states have transferred competence in respect of 
matters governed by this Convention, including the competence to enter into international 
agreements in respect of these matters; 
11. The "Commission" means the Baltic Marine Environment Protection Commission 
referred to in Article 19. 
Article 3 
Fundamental principles and obligations 
1. The Contracting Parties shall individually or jointly take all appropriate legislative, 
administrative or other relevant measures to prevent and eliminate pollution in order to 
promote the ecological restoration of the Baltic Sea Area and the preservation of its ecological 
balance. 
2. The Contracting Parties shall apply the precautionary principle, i.e., to take preventive 
measures when there is reason to assume that substances or energy introduced, directly or 
indirectly, into the marine environment may create hazards to human health, harm living 
resources and marine ecosystems, damage amenities or interfere with other legitimate uses of 
the sea even when there is no conclusive evidence of a causal relationship between inputs and 
their alleged effects. 
3. In order to prevent and eliminate pollution of the Baltic Sea Area the Contracting 
Parties shall promote the use of Best Environmental Practice and Best Available Technology. 
If the reduction of inputs, resulting from the use of Best Environmental Practice and Best 
Available Technology, as described in Annex II, does not lead to environmentally acceptable 
results, additional measures shall be applied. 
4 
4. The Contracting Parties shall apply the polluter-pays principle. 
5. The Contracting Parties shall ensure that measurements and calculations of emissions 
from point sources to water and air and of inputs from diffuse sources to water and air are 
carried out in a scientifically appropriate manner in order to assess the state of the marine 
environment of the Baltic Sea Area and ascertain the implementation of this Convention. 
6. The Contracting Parties shall use their best endeavours to ensure that the 
implementation of this Convention does not cause transboundary pollution in areas outside the 
Baltic Sea Area. Furthermore, the relevant measures shall not lead either to unacceptable 
environmental strains on air quality and the atmosphere or on waters, soil and ground water, 
to unacceptably harmful or increasing waste disposal, or to increased risks to human health. 
Article 4 
Application 
1. This Convention shall apply to the protection of the marine environment of the Baltic 
Sea Area which comprises the water-body and the seabed including their living resources and 
other forms of marine life. 
2. Without prejudice to its sovereignty each Contracting Party shall implement the 
provisions of this Convention within its territorial sea and its internal waters through its 
national authorities. 
3. This Convention shall not apply to any warship, naval auxiliary, military aircraft or 
other ship and aircraft owned or operated by a state and used, for the time being, only on 
government non-commercial service. 
However, each Contracting Party shall ensure, by the adoption of appropriate measures not 
impairing the operations or operational capabilities of such ships and aircraft owned or 
operated by it, that such ships and aircraft act in a manner consistent, so far as is reasonable 
and practicable, with this Convention. 
Article 5 
Harmful substances 
The Contracting Parties undertake to prevent and eliminate pollution of the marine 
environment of the Baltic Sea Area caused by harmful substances from all sources, according 
to the provisions of this Convention and, to this end, to implement the procedures and 
measures of Annex I. 
Article 6 
Principles and obligations concerning 
pollution from land-based sources 
1. The Contracting Parties undertake to prevent and eliminate pollution of the Baltic Sea 
Area from land-based sources by using, inter alia. Best Environmental Practice for all sources 
and Best Available Technology for point sources. The relevant measures to this end shall be 
taken by each Contracting Party in the catchment area of the Baltic Sea without prejudice to 
its sovereignty. 
f9 
2. The Contracting Parties shall implement the procedures and measures set out in 
Annex III. To this end they shall, inter alia, as appropriate co-operate in the development and 
adoption of specific programmes, guidelines, standards or regulations concerning emissions 
and inputs to water and air, environmental quality, and products containing harmful substances 
and materials and the use thereof. 
3. Harmful substances from point sources shall not, except in negligible quantities, be 
introduced directly or indirectly into the marine environment of the Baltic Sea Area, without 
a prior special permit, which may be periodically reviewed, issued by the appropriate national 
authority in accordance with the principles contained in Annex III, Regulation 3. The 
Contracting Parties shall ensure that authorized emissions to water and air are monitored and 
controlled. 
4. If the input from a watercourse, flowing through the territories of two or more 
Contracting Parties or forming a boundary between them, is liable to cause pollution of the 
marine environment of the Baltic Sea Area, the Contracting Parties concerned shall jointly 
and, if possible, in co-operation with a third state interested or concerned, take appropriate 
measures in order to prevent and eliminate such pollution. 
Article 7 
Environmental impact assessment 
1. Whenever an environmental impact assessment of a proposed activity that is likely to 
cause a significant adverse impact on the marine environment of the Baltic Sea Area is 
required by international law or supra-national regulations applicable to the Contracting Party 
of origin, that Contracting Party shall notify the Commission and any Contracting Party which 
may be affected by a transboundary impact on the Baltic Sea Area. 
2. The Contracting Party of origin shall enter into consultations with any Contracting 
Party which is likely to be affected by such transboundary impact, whenever consultations are 
required by international law or supra-national regulations applicable to the Contracting Party 
of origin. 
3. Where two or more Contracting Parties share transboundary waters within the 
catchment area of the Baltic Sea, these Parties shall cooperate to ensure that potential impacts 
on the marine environment of the Baltic Sea Area are fully investigated within the 
environmental impact assessment referred to in paragraph 1 of this Article. The Contracting 
Parties concerned shall jointly take appropriate measures in order to prevent and eliminate 
pollution including cumulative deleterious effects. 
Article 8 
Prevention of pollution from ships 
1. In order to protect the Baltic Sea Area from pollution from ships, the Contracting 
Parties shall take measures as set out in Annex IV. 
2. The Contracting Parties shall develop and apply uniform requirements for the provision 
of reception facilities for ship-generated wastes, taking into account, inter alia, the special 
needs of passenger ships operating in the Baltic Sea Area. 
'H 
Article 9 
Pleasure craft 
The Contracting Parties shall, in addition to implementing those provisions of this Convention 
which can appropriately be applied to pleasure craft, take special measures in order to abate 
harmful effects on the marine environment of the Baltic Sea Area caused by pleasure craft 
activities. The measures shall, inter alia, deal with air pollution, noise and hydrodynamic 
effects as well as with adequate reception facilities for wastes from pleasure craft. 
Article 10 
Prohibition of incineration 
1. The Contracting Parties shall prohibit incineration in the Baltic Sea Area. 
2. Each Contracting Party undertakes to ensure compliance with the provisions of this 
Article by ships: 
a) registered in its territory or flying its flag; 
b) loading, within its territory or territorial sea, matter which is to be incinerated; or 
c) believed to be engaged in incineration within its internal waters and territorial sea. 
3. In case of suspected incineration the Contracting Parties shall co-operate in 
investigating the matter in accordance with Regulation 2 of Annex IV. 
Article 11 
Prevention of dumping 
1. The Contracting Parties shall, subject to exemptions set forth in paragraphs 2 and 4 of 
this Article, prohibit dumping in the Baltic Sea Area. 
2. Dumping of dredged material shall be subject to a prior special permit issued by the 
appropriate national authority in accordance with the provisions of Annex V. 
3. Each Contracting Party undertakes to ensure compliance with the provisions of this 
Article by ships and aircraft: 
a) registered in its territory or flying its flag; 
b) loading, within its territory or territorial sea, matter which is to be dumped; or 
c) believed to be engaged in dumping within its internal waters and territorial sea. 
4. The provisions of this Article shall not apply when the safety of human life or of a ship 
or aircraft at sea is threatened by the complete destruction or total loss of the ship or aircraft, 
or in any case which constitutes a danger to human life, if dumping appears to be the only 
way of averting the threat and if there is every probability that the damage consequent upon 
such dumping will be less than would otherwise occur. Such dumping shall be so conducted 
as to minimize the likelihood of damage to human or marine life. 
Ai 
5. Dumping made under the provisions of paragraph 4 of this Article shall be reported and 
dealt with in accordance with Annex VII and shall be reported forthwith to the Commission 
in accordance with the provisions of Regulation 4 of Annex V. 
6. In case of dumping suspected to be in contravention of the provisions of this Article the 
Contracting Parties shall co-operate in investigating the matter in accordance with Regulation 
2 of Annex IV. 
Article 12 
Exploration and exploitation of the seabed and its 
subsoil 
1. Each Contracting Party shall take all measures in order to prevent pollution of the 
marine environment of the Baltic Sea Area resulting from exploration or exploitation of its 
part of the seabed and the subsoil thereof or from any associated activities thereon as well as 
to ensure that adequate preparedness is maintained for immediate response actions against 
pollution incidents caused by such activities. 
2. In order to prevent and eliminate pollution from such activities the Contracting Parties 
undertake to implement the procedures and measures set out in Annex VI, as far as they are 
applicable. 
Article 13 
Notification and consultation on pollution incidents 
1. Whenever a pollution incident in the territory of a Contracting Party is likely to cause 
pollution to the marine environment of the Baltic Sea Area outside its territory and adjacent 
maritime area in which it exercises sovereign rights and jurisdiction according to international 
law, this Contracting Party shall notify without delay such Contracting Parties whose interests 
are affected or likely to be affected. 
2. Whenever deemed necessary by the Contracting Parties referred to in paragraph 1, 
consultations should take place with a view to preventing, reducing and controlling such 
pollution. 
3. Paragraphs 1 and 2 shall also apply in cases where a Contracting Party has sustained 
such pollution from the territory of a third state. 
Article 14 
Co-operation in combatting marine pollution 
The Contracting Parties shall individually and jointly take, as set out in Annex VII, all 
appropriate measures to maintain adequate ability and to respond to pollution incidents in 
order to eliminate or minimize the consequences of these incidents to the marine environment 
of the Baltic Sea Area. 
Article 15 
Nature conservation and biodiversity 
The Contracting Parties shall individually and jointly take all appropriate measures with 
respect to the Baltic Sea Area and its coastal ecosystems influenced by the Baltic Sea to 
•73 
conserve natural habitats and biological diversity and to protect ecological processes. Such 
measures shall also be taken in order to ensure the sustainable use of natural resources within 
the Baltic Sea Area. To this end, the Contracting Parties shall aim at adopting subsequent 
instruments containing appropriate guidelines and criteria. 
Article 16 
Reporting and exchange of information 
1. The Contracting Parties shall report to the Commission at regular intervals on: 
a) the legal, regulatory, or other measures taken for the implementation of the 
provisions of this Convention, of its Annexes and of recommendations adopted 
thereunder; 
b) the effectiveness of the measures taken to implement the provisions referred to in 
sub-paragraph a) of this paragraph; and 
c) problems encountered in the implementation of the provisions referred to in sub­
paragraph a) of this paragraph. 
2. On the request of a Contracting Party or of the Commission, the Contracting Parties 
shall provide information on discharge permits, emission data or data on environmental 
quality, as far as available. 
Article 17 
Information to the public 
1. The Contracting Parties shall ensure that information is made available to the public on 
the condition of the Baltic Sea and the waters in its catchment area, measures taken or 
planned to be taken to prevent and eliminate pollution and the effectiveness of those measures. 
For this purpose, the Contracting Parties shall ensure that the following information is made 
available to the public: 
a) permits issued and the conditions required to be met; 
b) results of water and effluent sampling carried out for the purposes of monitoring 
and assessment, as well as results of checking compliance with water-quality 
objectives or permit conditions; and 
c) water-quality objectives. 
2. Each Contracting Party shall ensure that this information shall be available to the public 
at all reasonable times and shall provide members of the public with reasonable facilities for 
obtaining, on payment of reasonable charges, copies of entries in its registers. 
Article 18 
Protection of information 
1. The provisions of this Convention shall not affect the right or obligation of any 
Contracting Party under its national law and applicable supra-national regulation to protect 
3) 
information related to intellectual property including industrial and commercial secrecy or 
national security and the confidentiality of personal data. 
2. If a Contracting Party nevertheless decides to supply such protected information to 
another Contracting Party, the Party receiving such protected information shall respect the 
confidentiality of the information received and the conditions under which it is supplied, and 
shall use that information only for the purposes for which it was supplied. 
Article 19 
Commission 
1. The Baltic Marine Environment Protection Commission, referred to as "the 
Commission", is established for the purposes of this Convention. 
2. The Baltic Marine Environment Protection Commission, established pursuant to the 
Convention on the Protection of the Marine Environment of the Baltic Sea Area of 1974, shall 
be the Commission. 
3. The chairmanship of the Commission shall be given to each Contracting Party in turn 
in alphabetical order of the names of the Contracting Parties in the English language. The 
Chairman shall serve for a period of two years, and cannot during the period of chairmanship 
serve as a representative of the Contracting Party holding the chairmanship. 
Should the chairman fail to complete his term, the Contracting Party holding the chairmanship 
shall nominate a successor to remain in office until the term of that Contracting Party expires. 
4. Meetings of the Commission shall be held at least once a year upon convocation by the 
Chairman. Extraordinary meetings shall, upon the request of any Contracting Party endorsed 
by another Contracting Party, be convened by the Chairman to be held as soon as possible, 
however, not later than ninety days after the date of submission of the request. 
5. Unless otherwise provided under this Convention, the Commission shall take its 
decisions unanimously. 
Article 20 
The duties of the Commission 
1. The duties of the Commission shall be: 
a) to keep the implementation of this Convention under continuous observation; 
b) to make recommendations on measures relating to the purposes of this Convention; 
c) to keep under review the contents of this Convention including its Annexes and to 
recommend to the Contracting Parties such amendments to this Convention 
including its Annexes as may be required including changes in the lists of 
substances and materials as well as the adoption of new Annexes; 
d) to define pollution control criteria, objectives for the reduction of pollution, and 
objectives concerning measures, particularly those described in Annex III; 
Af 
e) to promote in close co-operation with appropriate governmental bodies, taking into 
consideration sub-paragraph f) of this Article, additional measures to protect the 
marine environment of the Baltic Sea Area and for this purpose: 
i) to receive, process, summarize and disseminate relevant scientific, 
technological and statistical information from available sources; and 
ii) to promote scientific and technological research; and 
f) to seek, when appropriate, the services of competent regional and other international 
organizations to collaborate in scientific and technological research as well as other 
relevant activities pertinent to the objectives of this Convention. 
2. The Commission may assume such other functions as it deems appropriate to further 
the purposes of this Convention. 
Article 21 
Administrative provisions for the Commission 
1. The working language of the Commission shall be English. 
2. The Commission shall adopt its Rules of Procedure. 
3. The office of the Commission, known as "the Secretariat", shall be in Helsinki. 
4. The Commission shall appoint an Executive Secretary and make provisions for the 
appointment of such other personnel as may be necessary, and determine the duties, terms and 
conditions of service of the Executive Secretary. 
5. The Executive Secretary shall be the chief administrative official of the Commission 
and shall perform the functions that are necessary for the administration of this Convention, 
the work of the Commission and other tasks entrusted to the Executive Secretary by the 
Commission and its Rules of Procedure. 
Article 22 
Financial provisions for the Commission 
1. The Commission shall adopt its Financial Rules. 
2. The Commission shall adopt an annual or biennial budget of proposed expenditures and 
consider budget estimates for the fiscal period following thereafter. 
3. The total amount of the budget, including any supplementary budget adopted by the 
Commission shall be contributed by the Contracting Parties other than the European Economic 
Community, in equal parts, unless unanimously decided otherwise by the Commission. 
4. The European Economic Community shall contribute no more than 2.5% of the 
administrative costs to the budget. 
5. Each Contracting Party shall pay the expenses related to the participation in the 
Commission of its representatives, experts and advisers. 
•16 
Article 23 
Right to vote 
1. Except as provided for in Paragraph 2 of this Article, each Contracting Party shall have 
one vote in the Commission. 
2. The European Economic Community and any other regional economic integration 
organization, in matters within their competence, shall exercise their right to vote with a 
number of votes equal to the number of their member states which are Contracting Parties to 
this Convention. Such organizations shall not exercise their right to vote if their member states 
exercise theirs, and vice versa. 
Article 24 
Scientific and technological co-operation 
1. The Contracting Parties undertake directly, or when appropriate through competent 
regional or other international organizations, to co-operate in the fields of science, technology 
and other research, and to exchange data and other scientific information for the purposes of 
this Convention. In order to facilitate research and monitoring activities in the Baltic Sea Area 
the Contracting Parties undertake to harmonize their policies with respect to permission 
procedures for conducting such activities. 
2. Without prejudice to Article 4, paragraph 2 of this Convention the Contracting Parties 
undertake directly, or when appropriate, through competent regional or other international 
organizations, to promote studies and to undertake, support or contribute to programmes 
aimed at developing methods assessing the nature and extent of pollution, pathways, 
exposures, risks and remedies in the Baltic Sea Area. In particular, the Contracting Parties 
undertake to develop alternative methods of treatment, disposal and elimination of such matter 
and substances that are likely to cause pollution of the marine environment of the Baltic Sea 
Area. 
3. Without prejudice to Article 4, Paragraph 2 of this Convention the Contracting Parties 
undertake directly, or when appropriate through competent regional or other international 
organizations, and, on the basis of the information and data acquired pursuant to paragraphs 
1 and 2 of this Article, to co-operate in developing inter-comparable observation methods, in 
performing baseline studies and in establishing complementary or joint programmes for 
monitoring. 
4. The organization and scope of work connected with the implementation of tasks 
referred to in the preceding paragraphs should primarily be outlined by the Commission. 
Article 25 
Responsibility for damage 
The Contracting Parties undertake jointly to develop and accept rules concerning responsibility 
for damage resulting from acts or omissions in contravention of this Convention, including, 
inter alia, limits of responsibility, criteria and procedures for the determination of liability and 
available remedies. 
*? 
Article 26 
Settlement of disputes 
1. In case of a dispute between Contracting Parties as to the interpretation or application 
of this Convention, they should seek a solution by negotiation. If the Parties concerned cannot 
reach agreement they should seek the good offices of or jointly request mediation by a third 
Contracting Party, a qualified international organization or a qualified person. 
2. If the Parties concerned have not been able to resolve their dispute through negotiation 
or have been unable to agree on measures as described above, such disputes shall be, upon 
common agreement, submitted to an ad hoc arbitration tribunal, to a permanent arbitration 
tribunal, or to the International Court of Justice. 
Article 27 
Safeguard of certain freedoms 
Nothing in this Convention shall be construed as infringing upon the freedom of navigation, 
fishing, marine scientific research and other legitimate uses of the high seas, as well as upon 
the right of innocent passage through the territorial sea. 
Article 28 
Status of Annexes 
The Annexes attached to this Convention form an integral part of this Convention. 
Article 29 
Relation to other Conventions 
The provisions of this Convention shall be without prejudice to the rights and obligations of 
the Contracting Parties under existing and future treaties which further and develop the 
general principles of the Law of the Sea underlying this Convention and, in particular, 
provisions concerning the prevention of pollution of the marine environment. 
Article 30 
Conference for the revision or amendment of the Convention 
A conference for the purpose of a general revision of or an amendment to this Convention 
may be convened with the consent of the Contracting Parties or at the request of the 
Commission. 
Article 31 
Amendments to the Articles of the Convention 
1. Each Contracting Party may propose amendments to the Articles of this Convention. 
Any such proposed amendment shall be submitted to the Depositary and communicated by it 
to all Contracting Parties, which shall inform the Depositary of either their acceptance or 
rejection of the amendment as soon as possible after receipt of the communication. 
A proposed amendment shall, at the request of a Contracting Party, be considered in the 
Commission. In such a case Article 19 paragraph 4 shall apply. If an amendment is adopted 
by the Commission, the procedure in paragraph 2 of this Article shall apply. 
-18 
2. The Commission may recommend amendments to the Articles of this Convention. Any 
such recommended amendment shall be submitted to the Depositary and communicated by it 
to all Contracting Parties, which shall notify the Depositary of either their acceptance or 
rejection of the amendment as soon as possible after receipt of the communication. 
3. The amendment shall enter into force ninety days after the Depositary has received 
notifications of acceptance of that amendment from all Contracting Parties. 
Article 32 
Amendments to the Annexes and the adoption of Annexes 
1. Any amendment to the Annexes proposed by a Contracting Party shall be 
communicated to the other Contracting Parties by the Depositary and considered in the 
Commission. If adopted by the Commission, the amendment shall be communicated to the 
Contracting Parties and recommended for acceptance. 
2. Any amendment to the Annexes recommended by the Commission shall be 
communicated to the Contracting Parties by the Depositary and recommended for acceptance. 
3. Such amendment shall be deemed to have been accepted at the end of a period 
determined by the Commission unless within that period any one of the Contracting Parties 
has, by written notification to the Depositary, objected to the amendment. The accepted 
amendment shall enter into force on a date determined by the Commission. 
The period determined by the Commission shall be prolonged for an additional period of six 
months and the date of entry into force of the amendment postponed accordingly, if, in 
exceptional cases, any Contracting Party informs the Depositary before the expiration of the 
period determined by the Commission that, although it intends to accept the amendment, the 
constitutional requirements for such an acceptance are not yet fulfilled. 
4. An Annex to this Convention may be adopted in accordance with the provisions of this 
Article. 
Article 33 
Reservations 
1. The provisions of this Convention shall not be subject to reservations. 
2. The provision of paragraph 1 of this Article does not prevent a Contracting Party from 
suspending for a period not exceeding one year the application of an Annex of this 
Convention or part thereof or an amendment thereto after the Annex in question or the 
amendment thereto has entered into force. Any Contracting Party to the 1974 Convention on 
the Protection of the Marine Environment of the Baltic Sea Area, which upon the entry into 
force of this Convention, suspends the application of an Annex or part thereof, shall apply the 
corresponding Annex or part thereof to the 1974 Convention for the period of suspension. 
3. If after the entry into force of this Convention a Contracting Party invokes the 
provisions of paragraph 2 of this Article it shall inform the other Contracting Parties, at the 
time of the adoption by the Commission of an amendment to an Annex, or a new Annex, of 
those provisions which will be suspended in accordance with paragraph 2 of this Article. 
15 
Article 34 
Signature 
This Convention shall be open for signature in Helsinki from 9 April 1992 until 9 October 
1992 by States and by the European Economic Community participating in the Diplomatic 
Conference on the Protection of the Marine Environment of the Baltic Sea Area held in 
Helsinki on 9 April 1992. 
Article 35 
Ratification, approval and accession 
1. This Convention shall be subject to ratification or approval. 
2. This Convention shall, after its entry into force, be open for accession by any other 
State or regional economic integration organization interested in fulfilling the aims and 
purposes of this Convention, provided that this State or organization is invited by all the 
Contracting Parties. In the case of limited competence of a regional economic integration 
organization, the terms and conditions of its participation may be agreed upon between the 
Commission and the interested organization. 
3. The instruments of ratification, approval or accession shall be deposited with the 
Depositary. 
4. The European Economic Community and any other regional economic integration 
organization which becomes a Contracting Party to this Convention shall in matters within 
their competence, on their own behalf, exercise the rights and fulfill the responsibilities which 
this Convention attributes to their member states. In such cases, the member states of these 
organizations shall not be entitied to exercise such rights individually. 
Article 36 
Entry into force 
1. This Convention shall enter into force two months after the deposit of the instruments 
of ratification or approval by all signatory States bordering the Baltic Sea and by the European 
Economic Community. 
2. For each State which ratifies or approves this Convention before or after the deposit of 
the last instrument of ratification or approval referred to in paragraph 1 of this Article, this 
Convention shall enter into force two months after the date of deposit by such State of its 
instrument of ratification or approval or on the date of the entry into force of this Convention, 
whichever is the latest date. 
3. For each acceding State or regional economic integration organization this Convention 
shall enter into force two months after the date of deposit by such State or regional economic 
integration organization of its instrument of accession. 
4. Upon entry into force of this Convention the Convention on the Protection of the 
Marine Environment of the Baltic Sea Area, signed in Helsinki on 22 March 1974 as 
amended, shall cease to apply. 
io 
5. Notwithstanding paragraph 4 of this Article, amendments to the annexes of the said 
Convention adopted by the Contracting Parties to the said Convention between the signing of 
this Convention and its entry into force, shall continue to apply until the corresponding 
annexes of this Convention have been amended accordingly. 
6. Notwithstanding paragraph 4 of this Article, recommendations and decisions adopted 
under the said Convention shall continue to be applicable to the extent that they are 
compatible with, or not explicitly terminated by this Convention or any decision adopted 
thereunder. 
Article 37 
Withdrawal 
1. At any time after the expiry of five years from the date of entry into force of this 
Convention any Contracting Party may, by giving written notification to the Depositary, 
withdraw from this Convention. The withdrawal shall take effect for such Contracting Party 
on the thirtieth day of June of the year which follows the year in which the Depositary was 
notified of the withdrawal. 
2. In case of notification of withdrawal by a Contracting Party the Depositary shall 
convene a meeting of the Contracting Parties for the purpose of considering the effect of the 
withdrawal. 
Article 38 
Depositary 
The Government of Finland, acting as Depositary, shall: 
a) notify all Contracting Parties and the Executive Secretary of: 
i) the signatures; 
ii) the deposit of any instrument of ratification, approval or accession; 
iii) any date of entry into force of this Convention; 
iv) any proposed or recommended amendment to any Article or Annex or the 
adoption of a new Annex as well as the date on which such amendment or 
new Annex enters into force; 
v) any notification, and the date of its receipt, under Articles 31 and 32; 
vi) any notification of withdrawal and the date on which such withdrawal takes 
effect; 
vii) any other act or notification relating to this Convention; 
b) transmit certified copies of this Convention to acceding States and regional 
economic integration organizations. 
X 
IN WITNESS WHEREOF the undersigned, being duly authorized thereto, have signed this 
Convention. 
DONE at Helsinki, this ninth day of April one thousand nine hundred and ninety two in a 
single authentic copy in the English language which shall be deposited with the Government 
of Finland. The Government of Finland shall transmit certified copies to all Signatories. 
For the Czech and Slovak Federal Republic 
For the Kingdom of Denmark 
For the Republic of Estonia 
For the Republic of Finland 
For the Federal Republic of Germany 
For the Republic of Latvia 
SL 
4) 
For the Republic of Lithuania 
For the Kingdom of Norway 
For the Republic of Poland 
For the Russian Federation 
For the Kingdom of Sweden 
For Ukraine 
For the European Economic Community 
n 
ANNEX I 
Harmful substances 
PART 1 GENERAL PRINCIPLES 
1.0 Introduction 
In order to fulfil the requirements of relevant parts of this Convention the following 
procedure shall be used by the Contracting Parties in identifying and evaluating harmful 
substances, as defined in Article 2, paragraph 7. 
1.1 Criteria on the allocation of substances 
The identification and evaluation of substances shall be based on the intrinsic properties of 
substances, namely: 
- persistency; 
- toxicity or other noxious properties; 
- tendency to bio-accumulation, 
as well as on characteristics liable to cause pollution, such as 
- the ratio between observed concentrations and concentrations having no observed effect; 
- anthropogenically caused risk of eutrophication; 
- transboundary or long-range significance; 
- risk of undesirable changes in the marine ecosystem and irreversibility or durability of 
effects; 
- radioactivity; 
- serious interference with harvesting of sea-foods or with other legitimate uses of the sea; 
- distribution pattern (i.e. quantities involved, use pattern and liability to reach the marine 
environment); 
- proven carcinogenic, teratogenic or mutagenic properties in or through the marine 
environment. 
These characteristics are not necessarily of equal importance for the identification and 
evaluation of a particular substance or group of substances. 
VI 
1.2 Priority groups of harmful substances 
The Contracting Parties shall, in their preventive measures, give priority to the following 
groups of substances which are generally recognized as harmful substances: 
a) heavy metals and their compounds; 
b) organohalogen compounds; 
c) organic compounds of phosphorus and tin; 
d) pesticides, such as fungicides, herbicides, insecticides, slimicides and chemicals used 
for the preservation of wood, timber, wood pulp, cellulose, paper, hides and textiles; 
e) oils and hydrocarbons of petroleum origin; 
f) other organic compounds especially harmful to the marine environment; 
g) nitrogen and phosphorus compounds; 
h) radioactive substances, including wastes; 
i) persistent materials which may float, remain in suspension or sink; 
j) substances which cause serious effects on taste and/or smell of products for human 
consumption from the sea, or effects on taste, smell, colour, transparency or other 
characteristics of the water. 
PART 2 BANNED SUBSTANCES 
In order to protect the Baltic Sea Area from hazardous substances, the Contracting Parties 
shall prohibit, totally or partially, the use of the following substances or groups of 
substances in the Baltic Sea Area and its catchment area: 
2.1 Substances banned for all final uses, except for drugs 
DDT (l,l,l-trichloro-2,2-bis-(chlorophenyl)-ethane) and its derivatives DDE and 
DDD; 
2.2 Substances banned for all uses, except in existing closed system equipment 
until the end of service life or for research, development and analytical 
purposes 
a) PCB's (polychlorinated biphenyls); 
b) PCT's (polychlorinated terphenyls). 
2.3 Substances banned for certain applications 
Organotin compounds for antifouling paints for pleasure craft under 25 m and fish net cages. 
# 
PART 3 PESTICIDES 
In order to protect the Baltic Sea Area from hazardous substances, the Contracting Parties 
shall endeavour to minimize and, whenever possible, to ban the use of the following 
substances as pesticides in the Baltic Sea Area and its catchment area: 
CAS-number 
Acrylonitrile 
Aldrin 
Aramite 
Cadmium-compounds 
Chlordane 
Chlordecone 
Chlordimeform 
Chloroform 
1,2-Dibromoethane 
Dieldrin 
Endrin 
Fluoroacetic acid and derivatives 
Heptachlor 
Isobenzane 
Isodrin 
Kelevan 
Lead-compounds 
Mercury-compounds 
Morfamquat 
Nitrophen 
Pentachlorophenol 
Polychlorinated terpenes 
Quintozene 
Selenium-compounds 
2,4,5-T 
Toxaphene 107131 
309002 
140578 
57749 
143500 
6164983 
67663 
106934 
60571 
72208 
7664393, 144490 
76448 
297789 
465736 
4234791 
4636833 
1836755 
87865 
8001501 
82688 
93765 
8001352 
u 
^ 
ANNEX II 
Criteria for the use of Best Environmental Practice 
and Best Available Technology 
Regulation 1; General provisions 
1. In accordance with the relevant parts of this Convention the Contracting Parties shall 
apply the criteria for Best Environmental Practice and Best Available Technology described 
below. 
2. In order to prevent and eliminate pollution the Contracting Parties shall use Best 
Environmental Practice for all sources and Best Available Technology for point sources, 
minimizing or eliminating inputs to water and air from all sources by providing control 
strategies. 
Regulation 2; Best Environmental Practice 
1. The term "Best Environmental Practice" is taken to mean the application of the most 
appropriate combination of measures. In selecting for individual cases, at least the following 
graduated range of measures should be considered: 
provision of information and education to the public and to users about the 
environmental consequences of choosing particular activities and products, their use 
and final disposal; 
the development and application of Codes of Good Environmental Practice covering 
all aspects of activity in the product's life; 
mandatory labels informing the public and users of environmental risks related to a 
product, its use and final disposal; 
availability of collection and disposal systems; 
saving of resources, including energy; 
recycling, recovery and re-use; 
avoiding the use of hazardous substances and products and the generation of hazardous 
waste; 
application of economic instruments to activities, products or groups of products and 
emissions; 
a system of licencing involving a range of restrictions or a ban. 
i 
2. In determining in general or individual cases what combination of measures constitute 
Best Environmental Practice, particular consideration should be given to: 
the precautionary principle; 
the ecological risk associated with the product, its production, use and final disposal; 
avoidance or substitution by less polluting activities or substances; 
scale of use; 
potential environmental benefit or penalty of substitute materials or activities; 
advances and changes in scientific knowledge and understanding; 
time limits for implementation; 
social and economic implications. 
Regulation 3; Best Available Technology 
1. The term "Best Available Technology" is taken to mean the latest stage of 
development (state of the art) of processes, of facilities or of methods of operation which 
indicate the practical suitability of a particular measure for limiting discharges. 
2. In determining whether a set of processes, facilities and methods of operation 
constitute the Best Available Technology in general or individual cases, special consideration 
should be given to: 
comparable processes, facilities or methods of operation which have recently been 
successfully tried out; 
technological advances and changes in scientific knowledge and understanding; 
the economic feasibility of such technology; 
time limits for application; 
the nature and volume of the emissions concerned; 
non-waste/low-waste technology; 
the precautionary principle. 
Regulation 4; Future developments 
It therefore follows that "Best Environmental Practice" and "Best Available Technology" 
will change with time in the light of technological advances and economic and social factors, 
as well as changes in scientific knowledge and understanding. 
*a 
Annex III 
Criteria and measures concerning the 
prevention of pollution from land-based sources 
Regulation 1; General provisions 
In accordance with the relevant parts of this Convention the Contracting Parties shall apply 
the criteria and measures in this Annex in the whole catchment area and take into account 
Best Environmental Practice (BEP) and Best Available Technology (BAT) as described in 
Annex II. 
Regulation 2; Specific requirements 
1. Municipal sewage water shall be treated at least by biological or other methods 
equally effective with regard to reduction of significant parameters. Substantial reduction 
shall be introduced for nutrients. 
2. Water management in industrial plants should aim at closed water systems or at a high 
rate of circulation in order to avoid waste water wherever possible. 
3. Industrial waste waters should be separately treated before mixing with diluting 
waters. 
4. Waste waters containing hazardous substances or other relevant substances shall not 
be jointly treated with other waste waters unless an equal reduction of the pollutant load is 
achieved compared to the separate purification of each waste water stream. The 
improvement of waste water quality shall not lead to a significant increase in the amount of 
harmful sludge. 
5. Limit values for emissions containing harmful substances to water and air shall be 
stated in special permits. 
6. Industrial plants and other point sources connected to municipal treatment plants shall 
use Best Available Technology in order to avoid hazardous substances which cannot be 
made harmless in the municipal sewage treatment plant or which may disturb the processes 
in the plant. In addition, measures according to Best Environmental Practice shall be taken. 
3*> 
7. Pollution from fish-farming shall be prevented and eliminated by promoting and 
implementing Best Environmental Practice and Best Available Technology. 
8. Pollution from diffuse sources, including agriculture, shall be eliminated by promoting 
and implementing Best Environmental Practice. 
9. Pesticides used shall comply with the criteria established by the Commission. 
Regulation 3; Principles for issuing permits for industrial plants 
The Contracting Parties undertake to apply the following principles and procedures when 
issuing the permits referred to in Article 6, paragraph 3 of this Convention: 
1. The operator of the industrial plant shall submit data and information to the 
appropriate national authority using a form of application. It is recommended that the 
operator negotiates with the appropriate national authority concerning the data required for 
the application before submitting the application to the authority (agreement on the scope of 
required information and surveys). 
At least the following data and information shall be included in the application: 
General information 
name, branch, location and number of employees. 
Actual situation and/or planned activities 
site of discharge and/or emission; 
type of production, amount of production and/or processing; 
production processes; 
type and amount of raw materials, agents and/or intermediate products; 
amount and quality of untreated wastewater and raw gas from all relevant sources 
(e.g. process water, cooling water); 
treatment of wastewater and raw gas with respect to type, process and efficiency of 
pretreatment and/or final treatment; 
treated wastewater and raw gas with respect to amount and quality at the outlet of the 
pretreatment and/or final treatment facilities; 
amount and quality of solid and liquid wastes generated during the process and the 
treatment of wastewater and raw gas; 
treatment of solid and liquid wastes; 
information about measures to prevent process failures and accidental spills; 
present status and possible impact on the environment. 
Alternatives and their various impacts concerning, e.g.. ecological, economic and safety 
aspects, if necessary 
other possible production processes; 
other possible raw materials, agents and/or intermediate products; 
other possible treatment technologies. 
31 
2. The appropriate national authority shall evaluate the present status and potential impact 
of the planned activities on the environment. 
3. The appropriate national authority issues the permit after comprehensive assessment 
with special consideration of the above mentioned aspects. At least the following shall be 
laid down in the permit: 
characterizations of all components (e.g. production capacity) which influence the 
amount and quality of discharge and/or emissions; 
limit values for amount and quality (load and/or concentration) of direct and indirect 
discharges and emissions; 
instructions concerning: 
construction and safety; 
production processes and/or agents; 
operation and maintenance of treatment facilities; 
recovery of materials and substances and waste disposal; 
type and extent of control to be performed by the operator (self-control); 
measures to be taken in case of process failures and accidental spills; 
analytical methods to be used; 
schedule for modernization, retrofitting and investigations done by the operator; 
schedule for reports of the operator on monitoring and/or selfcontrol, retrofitting 
and investigation measures. 
4. The appropriate national authority or an independent institution authorized by the 
appropriate national authority shall: 
inspect the amount and quality of discharges and/or emissions by sampling and 
analysing; 
control the attainment of the permit requirements; 
arrange monitoring of the various impacts of wastewater discharges and emissions into 
the atmosphere; 
review the permit when necessary. 
-3*, 
33» 
Annex IV 
Prevention of pollution from ships 
Regulation 1; Co-operation 
The Contracting Parties shall, in matters concerning the protection of the Baltic Sea Area 
from pollution by ships, co-operate: 
a) within the International Maritime Organization, in particular in promoting the 
development of international rules, based, inter alia, on the fundamental principles 
and obligations of this Convention which also includes the promotion of the use of 
Best Available Technology and Best Environmental Practice as defined in Annex II; 
b) in the effective and harmonized implementation of rules adopted by the International 
Maritime Organization. 
Regulation 2; Assistance in investigations 
The Contracting Parties shall, without prejudice to Article 4, paragraph 3 of this Convention, 
assist each other as appropriate in investigating violations of the existing legislation on anti­
pollution measures, which have occurred or are suspected to have occurred within the Baltic 
Sea Area. This assistance may include but is not limited to inspection by the competent 
authorities of oil record books, cargo record books, log books and engine log books and 
taking oil samples for analytical identification purposes. 
Regulation 3; Definitions 
For the purposes of this Annex: 
1. "Administration" means the Government of the Contracting Party under whose authority 
the ship is operating. With respect to a ship entitled to fly a flag of any State, the 
Administration is the Government of that State. With respect to fixed or floating platforms 
engaged in exploration and exploitation of the sea-bed and subsoil thereof adjacent to the 
coast over which the coastal State exercises sovereign rights for the purposes of 
exploration and exploitation of their natural resources, the Administration is the 
Government of the coastal State concerned. 
W 
2. a) "Discharge", in relation to harmful substances or effluents containing such 
substances, means any release howsoever caused from a ship and includes any 
escape, disposal, spilling, leaking, pumping, emitting or emptying; 
b) "Discharge" does not include: 
i) dumping within the meaning of the Convention on the Prevention of Marine 
Pollution by Dumping of Wastes and Other Matter done at London on 29 
December 1972; or 
ii) release of harmful substances directly arising from the exploration, exploitation 
and associated off-shore processing of sea-bed mineral resources; or 
iii) release of harmful substances for purposes of legitimate scientific research into 
pollution abatement or control. 
3. The term "from the nearest land" means from the baseline from which the territorial sea 
of the territory in question is established in accordance with international law. 
4. The term "jurisdiction" shall be interpreted in accordance with international law in force 
at the time of application or interpretation of this Annex. 
5. The term "MARPOL 73/78" means the International Convention for the Prevention of 
Pollution from Ships, 1973, as modified by the Protocol of 1978 relating thereto. 
Regulation 4; Application of the Annexes of MARPOL 73/78 
Subject to Regulation 5 the Contracting Parties shall apply the provisions of the Annexes of 
MARPOL 73/78. 
Regulation 5; Sewage 
The Contracting Parties shall apply the provisions of paragraphs A to D and F and G of this 
Regulation on discharge of sewage from ships while operating in the Baltic Sea Area. 
A. Definitions 
I or the purposes of this Regulation: 
1. "Sewage" means: 
a) drainage and other wastes from any form of toilets, urinals, and WC 
scuppers; 
b) drainage from medical premises (dispensary, sick bay, etc.) via wash 
basins, wash tubs and scuppers located in such premises; 
c) drainage from spaces containing living animals; or 
d) other waste waters when mixed with the drainages defined above. 
2. "Holding tank" means a tank used for the collection and storage of sewage. 
B. Application 
The provisions of this Regulation shall apply to: 
a) ships of 200 tons gross tonnage and above; 
b) ships of less than 200 tons gross tonnage which are certified to carry more than 
10 persons; 
c) ships which do not have a measured gross tonnage and are certified to carry 
more than 10 persons. 
C. Discharge of sewage 
1. Subject to the provisions of paragraph D of this Regulation, the discharge of 
sewage into the sea is prohibited, except when: 
a) the ship is discharging comminuted and disinfected sewage using a 
system approved by the Administration at a distance of more than 4 
nautical miles from the nearest land, or sewage which is not comminuted 
or disinfected at a distance of more than 12 nautical miles from the 
nearest land, provided that in any case the sewage that has been stored 
in holding tanks shall not be discharged instantaneously but at a moderate 
rate when the ship is en route and proceeding at not less than 4 knots; 
or 
b) the ship has in operation a sewage treatment plant which has been 
approved by the Administration, and 
i) the test results of the plant are laid down in a document carried by 
the ship; 
ii) additionally, the effluent shall not produce visible floating solids 
in, nor cause discolouration of the surrounding water. 
2. When the sewage is mixed with wastes or waste water having different 
discharge requirements, the more stringent requirements shall apply. 
D. Exceptions 
Paragraph C of this Regulation shall not apply to: 
a) the discharge of sewage from a ship necessary for the purpose of securing the 
safety of a ship and those on board or saving life at sea; or 
U 
b) the discharge of sewage resulting from damage to a ship or its equipment if all 
reasonable precautions have been taken before and after the occurrence of the 
damage for the purpose of preventing or minimizing the discharge. 
E. Reception facilities 
1. Each Contracting Party undertakes to ensure the provision of facilities at its 
ports and terminals of the Baltic Sea Area for the reception of sewage, without 
causing undue delay to ships, adequate to meet the needs of the ships using 
them. 
2. To enable pipes of reception facilities to be connected with the ship's discharge 
pipeline, both lines shall be fitted with a standard discharge connection in 
accordance with the following table: 
STANDARD DIMENSIONS OF FLANGES FOR DISCHARGE CONNECTIONS 
Description Dimension 
Outside diameter 210 mm 
Inner diameter 
Bolt circle diameter According to pipe outside diameter 
170 mm 
Slots in flange 4 holes 18 mm in diameter equi-
distantly placed on a bolt circle 
of the above diameter, slotted to 
the flange periphery. The slot 
width to be 18 mm 
Flange thickness 
Bolts and nuts: 
quantity and diameter 16 mm 
4, each of 16 mm in diameter 
and of suitable length 
The flange is designed to accept pipes up to a maximum internal diameter of 100 mm 
and shall be of steel or other equivalent material having a flat face. This flange, 
together with a suitable gasket, shall be suitable for a service pressure of 6 kg/ cm2. 
For ships having a moulded depth of 5 meters and less, the inner diameter of the discharge 
connection may be 38 millimetres. 
*t 
F. Surveys 
1. Ships which are engaged in international voyages in the Baltic Sea Area shall 
be subject to surveys as specified below: 
a) An initial survey before the ship is put into service or before the 
Certificate required under paragraph G of this Regulation is issued for 
the first time including a survey of the ship which shall be such as to 
ensure that: 
i) when the ship is equipped with a sewage treatment plant the 
plant shall meet operational requirements based on the 
standards and test methods recommended by the Commission 
and shall be approved by the Administration; 
ii) when the ship is fitted with a system to comminute and 
disinfect the sewage, such system shall meet operational 
requirements based on the standards and test methods 
recommended by the Commission and shall be approved by 
the Administration; 
iii) when the ship is equipped with a holding tank the capacity of 
such tank shall be to the satisfaction of the Administration for 
the retention of all sewage, having regard to the operation of 
the ship, the number of persons on board and other relevant 
factors. The holding tank shall meet operational requirements 
based on the standards and test methods recommended by the 
Commission and shall be approved by the Administration; and 
iv) the ship is equipped with a pipeline to discharge sewage to a 
reception facility. The pipeline should be fitted with a standard 
shore connection in accordance with paragraph E, or for ships 
in dedicated trades, alternatively with other standards which 
can be accepted by the Administration such as quick 
connection couplings. 
This survey shall be such as to ensure that equipment, fittings, arrangements 
and materials fully comply with the applicable requirements of this Regulation. 
The Administration shall recognize the "Certificate of Type Test" for sewage 
treatment plants issued under the authority of other Contracting Parties. 
b) Periodical surveys at intervals specified by the Administration but not 
exceeding five years which shall be such as to ensure that the equipment, 
fittings, arrangements and materials fully comply with the applicable 
requirements of this Regulation. 
2. Surveys of the ship as regards enforcement of the provisions of this Regulation 
shall be carried out by officers of the Administration. The Administration may, 
however, entrust the surveys either to surveyors nominated for the purpose or 
to organizations recognized by it. In every case the Administration concerned 
fully guarantees the completeness and efficiency of the surveys. 
3. After any survey of the ship has been completed, no significant change shall 
be made in the equipment, fittings, arrangements, or material covered by the 
survey without the approval of the Administration, except the direct 
replacement of such equipment or fittings. 
G. Certificate 
1. A Sewage Pollution Prevention Certificate shall be issued to ships certified to 
carry more than 50 persons which are engaged in international voyages in the 
Baltic Sea Area, after survey in accordance with the provisions of paragraph 
F of this Regulation. 
2. Such Certificate shall be issued either by the Administration or by any person 
or organization duly authorized by it. In every case the Administration assumes 
full responsibility for the Certificate. 
3. The Sewage Prevention Certificate shall be drawn up in a form corresponding 
to the model given in the appendix to Annex IV of MARPOL 73/78. If the 
language is not English, the text shall include a translation into English. 
4. A Sewage Pollution Prevention Certificate shall be issued for a period certified 
by the Administration, which shall not exceed five years. 
5. A Certificate shall cease to be valid if significant alterations have taken place 
in the equipment, fittings, arrangements or materials required without the 
approval of the Administration except the direct replacement of such equipment 
or fittings. 
45 
Annex V 
Exemptions from the general prohibition of dumping of waste 
and other matter in the Baltic Sea Area 
Regulation 1 
In accordance with Article 11, paragraph 2 of this Convention the prohibition of dumping shall 
not apply to the disposal at sea of dredged materials provided that: 
a) the dumping of dredged material containing harmful substances indicated in Annex I 
is only permitted according to the guidelines adopted by the Commission; and 
b) the dumping is carried out under a prior special permit issued by the appropriate 
national authority, either 
i) within the area of internal waters and the territorial sea of the Contracting Party; 
or 
ii) outside the area of internal waters and the territorial sea, whenever necessary, 
after prior consultations in the Commission. 
When issuing such permits the Contracting Party shall comply with the provisions in Regulation 
3 of this Annex. 
Regulation 2 
1. The appropriate national authority referred to in Article 11, paragraph 2 of of this 
Convention shall: 
a) issue the special permits provided for in Regulation 1 of this Annex; 
b) keep records of the nature and quantities of matter permitted to be dumped and the 
location, time and method of dumping; 
c) collect available information concerning the nature and quantities of matter that has 
been dumped in the Baltic Sea Area recently and up to the coming into force of this 
Convention, provided that the dumped matter in question could be liable to 
contaminate water or organisms in the Baltic Sea Area, to be caught by fishing 
equipment, or otherwise to give rise to harm, and information concerning the location, 
time and method of such dumping. 
2. The appropriate national authority shall issue special permits in accordance with Regulation 
I of this Annex in respect of matter intended for dumping in the Baltic Sea Area: 
a) loaded in its territory; 
b) loaded by a ship or aircraft registered in its territory or flying its flag, when the 
loading occurs in the territory of a State which is not a Contracting Party to this 
Convention. 
3. Each Contracting Party shall report to the Commission, and where appropriate to other 
Contracting Parties, the information specified in sub-paragraph 1 c) of Regulation 2 of this 
Annex. The procedure to be followed and the nature of such reports shall be determined by 
the Commission. 
Regulation 3 
When issuing special permits according to Regulation 1 of this Annex the appropriate national 
authority shall take into account: 
a) the quantity of dredged material to be dumped; 
b) the content of harmful substances as referred to in Annex I; 
c) the location (e.g. co-ordinates of the dumping area, depth and distance from the coast) 
and its relation to areas of special interest (e.g. amenity areas, spawning, nursery and 
fishing areas, etc.); 
d) the water characteristics, if dumping is carried out outside the territorial sea, consisting 
of: 
i) hydrographie properties (e.g. temperature, salinity, density, profile); 
ii) chemical properties (e.g. pH, dissolved oxygen, nutrients); 
iii) biological properties (e.g. primary production and benthic animals); 
the data should include sufficient information on the annual mean levels and seasonal 
variation of the properties mentioned in this paragraph; and 
e) the existence and effects of other dumping which may have been carried out in the 
dumping area. 
Regulation 4 
Reports made in accordance with Article 11, paragraph 5 of this Convention shall include the 
information to be provided in the Reporting Form to be determined by the Commission. 
44 
ANNEX VI 
Prevention of pollution from offshore activities 
Regulation 1; Definitions 
For the purposes of this Annex: 
1. "Offshore activity" means any exploration and exploitation of oil and gas by a fixed or 
floating offshore installation or structure including all associated activities thereon; 
2. "Offshore unit" means any fixed or floating offshore installation or structure engaged in 
gas or oil exploration, exploitation or production activities, or loading or unloading of oil; 
3. "Exploration" includes any drilling activity but not seismic investigations; 
4. "Exploitation" includes any production, well testing or stimulation activity. 
Regulation 2; Use of Best Available Technology and Best Environmental Practice 
The Contracting Parties undertake to prevent and eliminate pollution from offshore activities 
by using the principles of Best Available Technology and Best Environmental Practice as 
defined in Annex II. 
Regulation 3; Environmental impact assessment and monitoring 
1. An environmental impact assessment shall be made before an offshore activity is permitted 
to start. In case of exploitation referred to in Regulation 5 the outcome of this assessment 
shall be notified to the Commission before the offshore activity is permitted to start. 
2. In connection with the environmental impact assessment the environmental sensitivity of 
the sea area around a proposed offshore unit should be assessed with respect to the following: 
a) the importance of the area for birds and marine mammals; 
b) the importance of the area as fishing or spawning grounds for fish and shellfish, and 
for aquaculture; 
c) the recreational importance of the area; 
%. 
d) the composition of the sediment measured as: grain size distribution, dry matter, 
ignition loss, total hydrocarbon content, and Ba, Cr, Pb, Cu, Hg and Cd content; 
e) the abundance and diversity of benthic fauna and the content of selected aliphatic and 
aromatic hydrocarbons. 
3. In order to monitor the consequent effects of the exploration phase of the offshore activity 
studies, at least those referred to in sub-paragraph d) above, shall be carried out before and 
after the operation. 
4. In order to monitor the consequent effects of the exploitation phase of the offshore activity 
studies, at least those referred to in sub-paragraphs d) and e) above, shall be carried out 
before the operation, at annual intervals during the operation, and after the operation has 
been concluded. 
Regulation 4; Discharges on the exploration phase 
1. The use of oil-based drilling mud or muds containing other harmful substances shall be 
restricted to cases where it is necessary for geological, technical or safety reasons and only 
after prior authorization by the appropriate national authority. In such cases appropriate 
measures shall be taken and appropriate installations provided in order to prevent the 
discharge of such muds into the marine environment. 
2. Oil-based drilling muds and cuttings arising from the use of oil-based drilling muds should 
not be discharged in the Baltic Sea Area but taken ashore for final treatment or disposal in an 
environmentally acceptable manner. 
3. The discharge of water-based mud and cuttings shall be subject to authorization by the 
appropriate national authority. Before authorization the content of the water-based mud must 
be proven to be of low toxicity. 
4. The discharge of cuttings arising from the use of water based drilling mud shall not be 
permitted in specifically sensitive parts of the Baltic Sea Area such as confined or shallow 
areas with limited water exchange and areas characterized by rare, valuable or particularly 
fragile ecosystems. 
Regulation 5; Discharges on the exploitation phase 
In addition to the provisions of Annex IV the following provisions shall apply to discharges: 
a) all chemicals and materials shall be taken ashore and may be discharged only 
exceptionally after obtaining permission from the appropriate national authority in each 
individual operation; 
b) the discharge of production water and displacement water is prohibited unless its oil 
content is proven to be less than 15 mg/1 measured by the methods of analysis and 
sampling to be adopted by the Commission; 
HS 
c) if compliance with this limit value cannot be achieved by the use of Best 
Environmental Practice and Best Available Technology the appropriate national 
authority may require adequate additional measures to prevent possible pollution of the 
marine environment of the Baltic Sea Area and allow, if necessary, a higher limit 
value which shall, however, be as low as possible and in no case exceed 40 mg/1; the 
oil content shall be measured as provided in sub-paragraph b) above. 
d) the permitted discharge shall not, in any case, create any unacceptable effects on the 
marine environment; 
e) in order to benefit from the future development in cleaning and production technology, 
discharge permits shall be regularly reviewed by the appropriate national authority and 
the discharge limits shall be revised accordingly. 
Regulation 6; Reporting procedure 
Each Contracting Party shall require that the operator or any other person having charge of 
the offshore unit shall report in accordance with the provisions of Regulation 5.1 of Annex 
VII of this Convention. 
Regulation 7; Contingency planning 
Each offshore unit shall have a pollution emergency plan approved in accordance with the 
procedure established by the appropriate national authority. The plan shall contain information 
on alarm and communication systems, organization of response measures, a list of 
prepositioned equipment and a description of the measures to be taken in different types of 
pollution incidents. 
Regulation 8; Disused offshore units 
The Contracting Parties shall ensure that abandoned, disused offshore units and accidentally 
wrecked offshore units are entirely removed and brought ashore under the responsibility of 
the owner and that disused drilling wells are plugged. 
Regulation 9; Exchange of information 
The Contracting Parties shall continuously exchange information through the Commission on 
the location and nature of all planned or accomplished offshore activities and on the nature 
and amounts of discharges as well as on contingency measures that are undertaken. 
W 
H< 
ANNEX VII 
Response to pollution incidents 
Regulation 1; General Provisions 
1. The Contracting Parties undertake to maintain the ability to respond to pollution incidents 
threatening the marine environment of the Baltic Sea Area. This ability shall include adequate 
equipment, ships and manpower prepared for operations in coastal waters as well as on the 
high sea. 
2. a) In addition to the incidents referred to in Article 13 the Contracting Party shall also 
notify without delay those pollution incidents occuring within its response region, 
which affect or are likely to affect the interests of other Contracting Parties. 
b) In the event of a significant pollution incident other Contracting Parties and the 
Commission shall also be informed as soon as possible. 
3. The Contracting Parties agree that subject to their capabilities and the availability of 
relevant resources, they shall co-operate in responding to pollution incidents when the severity 
of such incidents so justify. 
4. In addition the Contracting Parties shall take other measures to: 
a) conduct regular surveillance outside their coastlines; and 
b) otherwise co-operate and exchange information with other Contracting Parties in 
order to improve the ability to respond to pollution incidents. 
Regulation 2; Contingency Planning 
Each Contracting Party shall draw up a national contingency plan and in co-operation with 
other Contracting Parties, as appropriate, bilateral or multilateral plans for a joint response 
to pollution incidents. 
Regulation 3; Surveillance 
1. In order to prevent violations of the existing regulations on prevention of pollution from 
ships the Contracting Parties shall develop and apply individually or in co-operation, 
m 
surveillance activities covering the Baltic Sea Area in order to spot and monitor oil and other 
substances released into the sea. 
2. The Contracting Parties shall undertake appropriate measures to conduct the surveillance 
referred to in Paragraph 1. by using, inter alia, airborne surveillance equipped with remote 
sensing systems. 
Regulation 4; Response Regions 
The Contracting Parties shall as soon as possible agree bilaterally or multilaterally on those 
regions of the Baltic Sea Area in which they shall conduct surveillance activities and take 
action to respond whenever a significant pollution incident has occurred or is likely to occur. 
Such agreements shall not prejudice any other agreements concluded between Contracting 
Parties concerning the same subject. Neighboring States shall ensure the harmonization of 
different agreements. Contracting Parties shall inform other Contracting Parties and the 
Commission about such agreements. 
Regulation 5; Reporting Procedure 
1. a) Each Contracting Party shall require masters or other persons having charge of ships 
flying its flag to report without delay any event on their ship involving a discharge 
or probable discharge of oil or other harmful substances. 
b) The report shall be made to the nearest coastal state and in accordance with the 
provisions of Article 8 and Protocol I of the International Convention for the 
Prevention of Pollution from Ships, 1973, as modified by the Protocol of 1978 
related thereto (MARPOL 73/78). 
c) The Contracting Parties shall request masters or other persons having charge of ships 
and pilots of aircraft to report without delay and in accordance with this system on 
significant spillages of oil or other harmful substances observed at sea. Such reports 
should as far as possible contain the following data: time, position, wind and sea 
conditions, and kind, extent and probable source of the spill observed. 
2. The provisions of paragraph 1. b) shall also be applied with regard to dumping made 
under the provisions of Article 11, paragraph 4 of this Convention. 
Regulation 6; Emergency Measures on Board Ships 
1. Each Contracting Party shall require that ships en'Hled to fly its flag have on board a 
shipboard oil pollution emergency plan as required r- .d in accordance with the provisions 
of MARPOL 73/78. 
2. Each Contracting Party shall request masters of ships flying its flag or, in case of fixed 
or floating platforms operating under its jurisdiction, the persons having charge of platforms 
to provide, in case of a pollution incident and on request by the proper authorities, such 
detailed information about the ship and its cargo or in case of platform its production which 
n 
is relevant to actions for preventing or responding to pollution of the sea, and to co-operate 
with these authorities. 
Regulation 7; Response Measures 
1. The Contracting Party shall, when a pollution incident occurs in its response region, make 
the necessary assessments of the situation and take adequate response action in order to avoid 
or minimize subsequent pollution effects. 
2. a) The Contracting Parties shall, subject to sub-paragraph b), use mechanical means to 
respond to pollution incidents. 
b) Chemical agents may be used only in exceptional cases and after authorization, in 
each individual case, by the appropriate national authority. 
3. When such a spillage is drifting or is likely to drift into a response region of another 
Contracting Party, that Party shall without delay be informed of the situation and the actions 
that have been taken. 
Regulation 8; Assistance 
1. According to the provisions of paragraph 3 of Regulation 1: 
a) a Contracting Party is entitled to call for assistance by other Contracting Parties 
when responding to a pollution incident at sea; and 
b) Contracting Parties shall use their best endeavours to bring such assistance. 
2. Contracting Parties shall take necessary legal or administrative measures to facilitate: 
a) the arrival and utilization in and departure from its territory of ships, aircraft and 
other modes of transport engaged in responding to a pollution incident or transporting 
personnel, cargoes, materials and equipment required to deal with such an incident; 
and 
b) the expeditious movement into, through, and out of its territory of personnel, 
cargoes, materials and equipment referred to in sub-paragraph a). 
Regulation 9; Reimbursement of Cost of Assistance 
1. The Contracting Parties shall bear the costs of assistance referred to in Regulation 8 in 
accordance with this Regulation. 
2. a) If the action was taken by one Contracting Party at the express request of another 
Contracting Party, the requesting Party shall reimburse to the assisting Party the 
costs of the action of the assisting Party. If the request is cancelled the requesting 
Party shall bear the costs already incurred or committed by the assisting Party. 
« 
b) If the action was taken by a Contracting Party on its own initiative, this Party shall 
bear the costs of its action. 
c) The principles laid down above in sub-paragraphs a) and b) shall apply unless the 
Parties concerned otherwise agree in any individual case. 
3. Unless otherwise agreed, the costs of the action taken by a Contracting Party at the 
request of another Party shall be fairly calculated according to the law and current practice of 
the assisting Party concerning the reimbursement of such costs. 
4. The provisions of this regulation shall not be interpreted as in any way prejudicing the 
rights of Contracting Parties to recover from third parties the costs of actions taken to deal 
with pollution incidents under other applicable provisions and rules of international law and 
national or supra-national regulations. 
Regulation 10; Regular Co-operation 
1. Each Contracting Party shall provide information to the other Contracting Parties and the 
Commission about: 
a) its organization for dealing with spillages at sea of oil and other harmful substan­
ces; 
b) its regulations and other matters which have a direct bearing on preparedness and 
response to pollution at sea by oil and other harmful substances; 
c) the competent authority responsible for receiving and dispatching reports of pollution 
at sea by oil and other harmful substances; 
d) the competent authorities for dealing with questions concerning measures for mutual 
assistance, information and co-operation between the Contracting Parties according 
to this Annex; and 
e) actions taken in accordance with Regulations 7 and 8 of this Annex. 
2. The Contracting Parties shall exchange information on research and development 
programs, results concerning ways in which pollution by oil and other harmful substances at 
sea may be dealt with and experiences in surveillance activities and in responding to such 
pollution. 
3. The Contracting Parties shall on a regular basis arrange joint operational combatting exer­
cises as well as alarm exercises. 
4. The Contracting Parties shall co-operate within the mcernational Maritime Organization 
in matters concerning the implementation and further development of the International 
Convention on Oil Pollution Preparedness, Response and Co-operation. 
* 
Regulation 11; HELCOM Combatting Manual 
The Contracting Parties agree to apply, as far as practicable, the principles and rules included 
in the Manual on Co-operation in Combatting Marine Pollution, detailing this Annex and 
adopted by the Commission or by the Committee designated by the Commission for this 
purpose. 
ro 
ISSN 0254-1475 
COM(93) 285 final 
DOCUMENTS 
EN 14 
Catalogue number : CB-CO-93-318-EN-C 
ISBN 92-77-56896-8 
c )£fice for Official Publications of the European Communities 
i.y-2985 Luxembourg