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)
Date: 1993-07-05
Institutions: European Commission
Subjects: Baltic Sea, environmental protection, international convention, international cooperation

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) 

-  2 -

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. 

-  3 -

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. 

-  4 -

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. 

The  President  of  the Council  shall  deposit  the  instrument  of  approval  with 
the  Finnish  Government  in accordance  with  Article  38 of  the  Convention. 

Article  2 

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 
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; 

to  embody  developments 

in 

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: 

"Pollution"  means introduction by man, directly or indirectly,  of  substances  or energy 
1. 
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; 

"Pollution  from  land-based  sourcesw  means  pollution  of  the  sea  by  point  or  diffuse 
2. 
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; 

"Ship" means a vessel  of any type whatsoever operating in the marine environment and 
3. 
includes  hydrofoil  boats,  air-cushion  vehicles,  submersibles,  floating  craft  and  fixed  or 
floating  platforms; 

4. 

a)  "Dumping" means: 

i) 

ii) 

any  deliberate  disposal  at  sea  or  into  the  seabed  of  wastes  or  other  matter 
from  ships,  other  man-made structures  at sea or  aircraft; 

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; 

"Incineration"  means the deliberate combustion  of  wastes or other  matter  at  sea  for  the 
5. 
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; 

"Oil"  means petroleum  in any  form  including crude oil,  fuel  oil,  sludge,  oil  refuse  and 

6. 
refined  products; 

"Harmful  substance"  means  any  substance,  which,  if  introduced  into  the  sea,  is  liable 

7. 
to cause  pollution; 

"Hazardous  substance"  means  any  harmful  substance  which  due  to  its  intrinsic 

8. 
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; 

The  "Commission"  means  the  Baltic  Marine  Environment  Protection  Commission 

11. 
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. 

The  Contracting  Parties  shall  use  their  best  endeavours  to  ensure  that  the 
6. 
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 

The  Contracting  Parties  shall  implement  the  procedures  and  measures  set  out  in 
2. 
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 

In  order  to  protect  the  Baltic  Sea  Area  from  pollution  from  ships,  the  Contracting 

1. 
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. 

Each  Contracting  Party  undertakes  to ensure  compliance  with  the  provisions  of  this 

2. 
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. 

In  case  of  suspected  incineration  the  Contracting  Parties  shall  co-operate  in 

3. 
investigating  the matter in accordance with Regulation  2 of  Annex IV. 

Article 11 
Prevention  of dumping 

The Contracting Parties shall, subject to exemptions set forth  in paragraphs  2 and 4 of 

1. 
this Article,  prohibit dumping in the Baltic Sea Area. 

Dumping  of  dredged  material  shall be subject  to a prior  special  permit  issued  by the 

2. 
appropriate  national  authority  in accordance with the provisions of  Annex  V. 

Each  Contracting  Party  undertakes  to  ensure  compliance  with  the  provisions  of  this 

3. 
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. 

The provisions of this Article shall not apply when the safety of human life or of a ship 
4. 
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 

Dumping  made under the provisions of paragraph 4 of this Article shall  be reported and 
5. 
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. 

In order to prevent and eliminate pollution  from  such activities  the Contracting  Parties 
2. 
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. 

Paragraphs  1 and 2  shall  also  apply  in cases  where  a Contracting  Party  has  sustained 

3. 
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 

The  Baltic  Marine  Environment  Protection  Commission,  referred  to  as  "the 

1. 
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. 

The chairmanship of  the Commission  shall  be given  to each  Contracting  Party  in turn 
3. 
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. 

Unless  otherwise  provided  under  this  Convention,  the  Commission  shall  take  its 

5. 
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. 

The  Commission  may  assume  such  other  functions  as  it deems  appropriate  to  further 

2. 
the purposes  of  this  Convention. 

Article  21 

Administrative  provisions  for the Commission 

1. 

The  working  language of  the Commission  shall  be English. 

2. 
3. 

The  Commission  shall  adopt  its Rules  of  Procedure. 
The office  of  the Commission,  known as  "the Secretariat",  shall  be  in  Helsinki. 

The  Commission  shall  appoint  an  Executive  Secretary  and  make  provisions  for  the 
4. 
appointment of  such other personnel as may be necessary,  and determine the duties,  terms and 
conditions  of  service  of  the  Executive  Secretary. 

The  Executive  Secretary  shall  be  the  chief  administrative  official  of  the  Commission 
5. 
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. 

The Commission  shall adopt an annual or biennial budget of proposed expenditures and 

2. 
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. 

The  European  Economic  Community  shall  contribute  no  more  than  2.5%  of  the 

4. 
administrative  costs  to  the budget. 

Each  Contracting  Party  shall  pay  the  expenses  related  to  the  participation  in  the 

5. 
Commission  of  its  representatives,  experts  and advisers. 

•16 

Article  23 
Right to vote 

Except as provided for in Paragraph 2 of this Article, each Contracting  Party shall have 

1. 
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 

The  Contracting  Parties  undertake  directly,  or  when  appropriate  through  competent 
1. 
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. 

The  organization  and  scope  of  work  connected  with  the  implementation  of  tasks 

4. 
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 

The Commission  may recommend  amendments to the Articles of  this Convention.  Any 
2. 
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. 

The  amendment  shall  enter  into  force  ninety  days  after  the  Depositary  has  received 

3. 
notifications  of  acceptance  of  that amendment  from  all  Contracting  Parties. 

Article 32 
Amendments  to  the Annexes  and the adoption  of  Annexes 

Any  amendment 

to  the  Annexes  proposed  by  a  Contracting  Party  shall  be 
1. 
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. 

An Annex  to this Convention  may be adopted in accordance with the provisions of  this 

4. 
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. 

The  instruments  of  ratification,  approval  or  accession  shall  be  deposited  with  the 

3. 
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. 

For each State which ratifies or approves this Convention before or after  the deposit of 
2. 
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 

Notwithstanding  paragraph  4  of  this  Article,  amendments  to  the  annexes  of  the  said 
5. 
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) 
ii) 

the signatures; 
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 

4) 

SL 

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) 
b) 
c) 
d) 

e) 
f) 
g) 
h) 
i) 
j) 

heavy  metals  and  their  compounds; 
organohalogen  compounds; 
organic  compounds  of  phosphorus  and  tin; 
pesticides,  such  as  fungicides,  herbicides,  insecticides,  slimicides  and  chemicals  used 
for  the preservation  of  wood,  timber,  wood pulp, cellulose,  paper,  hides and  textiles; 
oils  and  hydrocarbons  of  petroleum  origin; 
other  organic  compounds  especially  harmful  to  the  marine  environment; 
nitrogen  and  phosphorus  compounds; 
radioactive  substances,  including  wastes; 

persistent  materials  which  may  float,  remain  in  suspension  or  sink; 
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) 
b) 

PCB's  (polychlorinated  biphenyls); 
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: 

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 

CAS-number 

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 

In determining in general or individual cases what combination of measures constitute 

2. 
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. 

Industrial  waste  waters  should  be  separately  treated  before  mixing  with  diluting 

3. 
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. 

Limit  values  for  emissions  containing  harmful  substances  to  water  and  air  shall  be 

5. 
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*> 

Pollution  from  fish-farming  shall  be  prevented  and  eliminated  by  promoting  and 

7. 
implementing  Best  Environmental  Practice and  Best  Available  Technology. 

Pollution from diffuse sources,  including agriculture, shall be eliminated by promoting 

8. 
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 

The appropriate national authority shall evaluate the present  status and potential impact 

2. 
of  the planned  activities  on  the environment. 

The  appropriate  national  authority  issues  the  permit after  comprehensive  assessment 
3. 
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. 

The  appropriate  national  authority  or  an  independent  institution  authorized  by  the 

4. 
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) 

in  relation 

"Discharge", 
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) 

b) 

drainage  and  other  wastes  from  any  form  of  toilets,  urinals,  and  WC 
scuppers; 

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) 

b) 

c) 

ships of  200 tons gross tonnage and above; 

ships of less than 200 tons gross tonnage which are certified  to carry more than 
10 persons; 

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. 

2. 

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. 

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 

According  to pipe  outside  diameter 

Bolt circle  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 

16 mm 

Bolts  and  nuts: 
quantity  and  diameter 

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) 

ii) 

iii) 

iv) 

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; 

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; 

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 

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. 

2. 

3. 

4. 

5. 

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. 

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. 

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. 

A Sewage Pollution Prevention Certificate shall be issued  for a period certified 
by  the Administration,  which  shall  not exceed  five  years. 

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) 

b) 

the  dumping  of  dredged  material  containing  harmful  substances  indicated  in  Annex I 
is  only  permitted  according  to the guidelines adopted  by  the Commission;  and 

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) 

b) 

c) 

d) 

its  organization  for  dealing  with  spillages  at  sea  of  oil  and  other  harmful  substan 
ces; 

its  regulations  and other  matters  which  have  a  direct  bearing  on  preparedness  and 
response  to pollution  at sea  by oil  and other harmful  substances; 

the competent authority responsible for receiving and dispatching reports of pollution 
at  sea  by  oil  and other harmful  substances; 

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