2001/379/EC: Council Decision of 4 April 2001 on the approval, on behalf of the European Community, of the Protocol to the 1979 Convention on Long-range Transboundary Air Pollution on Heavy Metals
Date: 2001-04-04
Institutions: Council of the European Union
Subjects: air quality, cooperation policy, heavy metal, international convention, metal pollution, transfrontier pollution

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II

(Acts whose publication is not obligatory)

COUNCIL

COUNCIL DECISION

of 4 April 2001

on the approval, on behalf of the European Community, of the Protocol to the 1979 Convention
on Long-range Transboundary Air Pollution on Heavy Metals

(2001/379/EC)

THE COUNCIL OF THE EUROPEAN UNION,

(6)

The Community should approve the Protocol,

Having regard to the Treaty establishing the European
Community, and in particular Article 175(1), in conjunction
with Article 300(2), first sentence of the first subparagraph,
and (3), first subparagraph, thereof,

Having regard to the proposal from the Commission (1),

Having regard to the opinion of the European Parliament (2),

Whereas:

(1)

(2)

(3)

(4)

(5)

The Community signed in Aarhus on 24 June 1998 the
Protocol to the 1979 Convention on Long-range Trans-
boundary Air Pollution on Heavy Metals (hereinafter ‘the
Protocol’).

The Protocol aims at controlling emissions of heavy
metals caused by anthropogenic activities
that are
subject to long-range transboundary atmospheric trans-
port and that are likely to have significant adverse effects
on human health or the environment.

The Protocol stipulates the reduction of total annual
emissions into the atmosphere of cadmium,
lead and
mercury, and the application of product control meas-
ures.

The measures envisaged in the Protocol contribute to
achieving objectives of the Community policy on envir-
onment.

The Community and the Member States cooperate, in
the framework of their respective competences, with
non-member countries and the competent international
organisations.

HAS DECIDED AS FOLLOWS:

Article 1

The Protocol to the 1979 Convention on Long-range Trans-
boundary Air Pollution on Heavy Metals, signed on 24 June
the European
1998,
Community.

is hereby approved on behalf of

The text of the Protocol

is attached to this Decision.

Article 2

The President of the Council is hereby authorised to designate
the person empowered to deposit the instrument of approval
with the Secretary-General of the United Nations, in accordance
with Article 16 of the Protocol.

Article 3

This Decision will be published in the Official Journal of the
European Communities.

Done at Luxembourg, 4 April 2001.

For the Council

The President

B. ROSENGREN

(1) OJ C 311 E, 31.10.2000, p. 136.
(2) Opinion given on 24 October 2000 (not yet published in the

Official Journal).

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ANNEX

PROTOCOL TO THE 1979 CONVENTION ON LONG-RANGE TRANSBOUNDARY AIR POLLUTION ON
HEAVY METALS

The Parties,

Determined to implement the Convention on Long-range Transboundary Air Pollution,

Concerned hat emissions of certain heavy metals are transported across national boundaries and may cause damage to

ecosystems of environmental and economic importance and may have harmful effects on human health,

Considering hat combustion and industrial processes are the predominant anthropogenic sources of emissions of heavy

metals into the atmosphere,

Acknowledging that heavy metals are natural constituents of the Earth's crust and that many heavy metals in certain

forms and appropriate concentrations are essential to life,

Taking into consideration existing scientific and technical data on the emissions, geochemical processes, atmospheric
transport and effects on human health and the environment of heavy metals, as well as on abatement techniques and
costs,

Aware that techniques and management practices are available to reduce air pollution caused by the emissions of

heavy metals,

Recognising that countries in the region of the United Nations Economic Commission for Europe (UN/ECE) have

different economic conditions, and that in certain countries the economies are in transition,

Resolved to take measures to anticipate, prevent or minimise emissions of certain heavy metals and their related
compounds, taking into account the application of the precautionary approach, as set forth in principle 15 of the Rio
Declaration on Environment and Development,

Reaffirming that States have, in accordance with the Charter of the United Nations and the principles of international
law, the sovereign right to exploit their own resources pursuant to their own environmental and development policies,
and the responsibility to ensure that activities within their jurisdiction or control do not cause damage to the environment
of other States or of areas beyond the limits of national

jurisdiction,

Mindful

that measures to control emissions of heavy metals would also contribute to the protection of

the
including the Arctic and international waters,

environment and human health in areas outside the UN/ECE region,

Noting that abating the emissions of specific heavy metals may provide additional benefits for the abatement of

emissions of other pollutants,

Aware that further and more effective action to control and reduce emissions of certain heavy metals may be needed

and that, for example, effects-based studies may provide a basis for further action,

Noting the important contribution of the private and non-governmental sectors to knowledge of the effects associated
with heavy metals, available alternatives and abatement techniques, and their role in assisting in the reduction of
emissions of heavy metals,

Bearing in mind the activities related to the control of heavy metals at the national level and in international forums,

4.

‘Commission’ means
Commission for Europe

the United Nations Economic

5.

‘Parties’ means, unless the context otherwise requires, the
Parties to the present Protocol

Have agreed as follows:

Article 1

Definitions

For the purposes of the present Protocol,

‘Convention’ means the Convention on Long-range Trans-
boundary Air Pollution, adopted in Geneva on 13
November 1979

1.

2.

3.

‘EMEP’ means the Cooperative Programme for Monitoring
and Evaluation of Long-range Transmission of Air Pollu-
tants in Europe

‘Executive Body’ means
the
Convention constituted under Article 10(1) of the Conven-
tion

the Executive Body for

6.

‘Geographical scope of EMEP’ means the area defined in
Article 1(4) of the Protocol to the 1979 Convention on
Long-range Transboundary Air Pollution on Long-term
Financing of the Cooperative Programme for Monitoring
and Evaluation of the Long-range Transmission of Air
Pollutants in Europe (EMEP), adopted in Geneva on 28
September 1984

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7.

8.

9.

10.

in some cases,
‘Heavy metals’ means those metals or,
metalloids which are stable and have a density greater than
4,5 g/cm3 and their compounds

‘Emission’ means a release from a point or diffuse source
into the atmosphere

‘Stationary source’ means any fixed building, structure,
facility, installation, or equipment that emits or may emit a
heavy metal listed in Annex I directly or indirectly into the
atmosphere

‘New stationary source’ means any stationary source of
which the construction or substantial modification is
commenced after the expiry of two years from the date of
entry into force of: (i) this Protocol; or (ii) an amendment
to Annex I or II, where the stationary source becomes
subject to the provisions of this Protocol only by virtue of
that amendment. It shall be a matter for the competent
national authorities to decide whether a modification is
substantial or not, taking into account such factors as the
environmental benefits of the modification

11.

‘Major stationary source category’ means any stationary
source category that is listed in Annex II and that contri-
butes at
least 1 % to a Party's total emissions from
stationary sources of a heavy metal listed in Annex I for
the reference year specified in accordance with Annex I.

Article 2

Objective

The objective of the present Protocol is to control emissions of
heavy metals caused by anthropogenic activities that are subject
to long-range transboundary atmospheric transport and are
likely to have significant adverse effects on human health or
the environment,
in accordance with the provisions of the
following Articles.

Article 3

Basic obligations

(c) the best available techniques,

taking into consideration
Annex III, to each existing stationary source within a major
stationary source category for which Annex III identifies
best available techniques. A Party may, as an alternative,
apply different emission reduction strategies that achieve
equivalent overall emission reductions;

(d) the limit values specified in Annex V to each existing
stationary source within a major stationary source category,
in so far as this is technically and economically feasible. A
Party may, as an alternative, apply different emission reduc-
tion strategies that achieve equivalent overall emission
reductions.

Each Party shall apply product control measures in
3.
accordance with the conditions and timescales specified in
Annex VI.

4.
Each Party should consider applying additional product
management measures, taking into consideration Annex VII.

5.
Each Party shall develop and maintain emission inven-
tories for the heavy metals listed in Annex I, for those Parties
within the geographical scope of EMEP, using as a minimum
the methodologies specified by the Steering Body of EMEP,
and, for those Parties outside the geographical scope of EMEP,
using as guidance the methodologies developed through the
work plan of the Executive Body.

6.
A Party that, after applying paragraphs 2 and 3, cannot
achieve the requirements of paragraph 1 for a heavy metal
listed in Annex I, shall be exempted from its obligations in
paragraph 1 for that heavy metal.

total

Any Party whose

land area is greater

7.
than
6 000 000 km2 shall be exempted from its obligations in para-
graphs 2(b), (c), and (d), if it can demonstrate that, no later than
eight years after the date of entry into force of the present
Protocol, it will have reduced its total annual emissions of each
of the heavy metals listed in Annex I from the source catego-
ries specified in Annex II by at least 50 % from the level of
emissions from these categories in the reference year specified
in accordance with Annex I. A Party that intends to act in
accordance with this paragraph shall so specify upon signature
of, or accession to, the present Protocol.

1.
Each Party shall reduce its total annual emissions into the
atmosphere of each of the heavy metals listed in Annex I from
the level of the emission in the reference year set in accordance
with that Annex by taking effective measures, appropriate to its
particular circumstances.

Each Party shall, no later than the timescales specified in

2.
Annex IV, apply:

(a) the best available techniques,

taking into consideration
Annex III, to each new stationary source within a major
stationary source category for which Annex III identifies
best available techniques;

(b) the limit values

specified in Annex V to each new
stationary source within a major stationary source category.
A Party may, as an alternative, apply different emission
reduction strategies that achieve equivalent overall emission
levels;

Article 4

Exchange of information and technology

The Parties shall, in a manner consistent with their laws,
1.
regulations and practices, facilitate the exchange of technolo-
gies and techniques designed to reduce emissions of heavy
metals, including but not limited to exchanges that encourage
the development of product management measures and the
application of best available techniques,
in particular by
promoting:

(a) the commercial exchange of available technology

(b) direct industrial contacts and cooperation, including joint

ventures

(c) the exchange of information and experience and

(d) the provision of technical assistance.

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In promoting the activities specified in paragraph 1, the
2.
Parties shall create favourable conditions by facilitating contacts
and cooperation among appropriate organisations and individ-
uals in the private and public sectors that are capable of
providing technology, design and engineering services, equip-
ment or finance.

Article 5

Strategies, policies, programmes and measures

1.
Each Party shall develop, without undue delay, strategies,
policies and programmes to discharge its obligations under the
present Protocol.

2.

A Party may,

in addition:

(a) apply economic instruments to encourage the adoption of
cost-effective approaches to the reduction of heavy metal
emissions

(b) develop government/industry covenants and voluntary

agreements

(c) encourage the more efficient use of resources and raw

materials

(d) encourage the use of less polluting energy sources

(e) take measures to develop and introduce less polluting

transport systems

(f) take measures to phase out certain heavy metal emitting
processes where substitute processes are available on an
industrial scale

(g) take measures to develop and employ cleaner processes for

the prevention and control of pollution.

The Parties may take more stringent measures than those

3.
required by the present Protocol.

Article 6

Research, development and monitoring

The Parties shall encourage research, development, monitoring
and cooperation, primarily focusing on the heavy metals listed
in Annex I, related, but not limited, to:

(a) emissions, long-range transport and deposition levels and
their modelling, existing levels in the biotic and abiotic
environment, the formulation of procedures for harmo-
nising relevant methodologies

(b) pollutant pathways

and inventories

in representative

ecosystems

(c) relevant effects on human health and the environment,

including quantification of those effects

(d) best available techniques and practices and emission
control techniques currently employed by the Parties or
under development

(e) collection, recycling and, if necessary, disposal of products

or wastes containing one or more heavy metals

(f) methodologies permitting consideration of socioeconomic
factors in the evaluation of alternative control strategies

including

information

(g) an effects-based approach which integrates appropriate
information,
under
subparagraphs (a) to (f), on measured or modelled environ-
mental levels, pathways, and effects on human health and
the environment, for the purpose of formulating future
optimised control strategies which also take into account
economic and technological factors

obtained

(h) alternatives to the use of heavy metals in products listed in

Annexes VI and VII

(i) gathering information on levels of heavy metals in certain
products, on the potential for emissions of those metals to
occur during the manufacture, processing, distribution in
commerce, use, and disposal of the product, and on tech-
niques to reduce such emissions.

Article 7

Reporting

Subject
1.
commercial

to its

laws governing the confidentiality of

information:

(a) each Party shall report, through the Executive Secretary of
the Commission, to the Executive Body, on a periodic basis
as determined by the Parties meeting within the Executive
Body,
information on the measures that it has taken to
implement the present Protocol

(b) each Party within the geographical scope of EMEP shall
report, through the Executive Secretary of the Commission,
to EMEP, on a periodic basis to be determined by the
Steering Body of EMEP and approved by the Parties at a
session of the Executive Body, information on the levels of
emissions of the heavy metals listed in Annex I, using as a
minimum the methodologies and the temporal and spatial
resolution specified by the Steering Body of EMEP. Parties
in areas outside the geographical scope of EMEP shall make
available similar information to the Executive Body if
requested to do so. In addition, each Party shall, as appro-
priate, collect and report relevant information relating to its
emissions of other heavy metals, taking into account the
guidance on the methodologies and the temporal and
spatial resolution of the Steering Body of EMEP and the
Executive Body.

2.
The information to be reported in accordance with para-
graph 1(a) shall be in conformity with a decision regarding
format and content to be adopted by the Parties at a session of
the Executive Body. The terms of
this decision shall be
reviewed as necessary to identify any additional elements
regarding the format or the content of the information that is
to be included in the reports.

3.
In good time before each annual session of the Executive
Body, EMEP shall provide information on the long-range trans-
port and deposition of heavy metals.

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Article 8

Calculations

EMEP shall, using appropriate models and measurements and
in good time before each annual session of the Executive Body,
provide to the Executive Body calculations of transboundary
fluxes and depositions of heavy metals within the geographical
scope of EMEP. In areas outside the geographical scope of
EMEP, models appropriate to the particular circumstances of
Parties to the Convention shall be used.

Article 9

Compliance

Compliance by each Party with its obligations under the
present Protocol shall be reviewed regularly. The Implementa-
tion Committee established by Decision 1997/2 of the Execu-
tive Body at its 15th session shall carry out such reviews and
report to the Parties meeting within the Executive Body in
accordance with the terms of the Annex to that Decision,
including any amendments thereto.

Article 10

Reviews by the Parties at sessions of the Executive Body

The Parties shall, at sessions of

1.
the Executive Body,
pursuant to Article 10(2)(a), of the Convention, review the
information supplied by the Parties, EMEP and other subsidiary
bodies and the reports of
the Implementation Committee
referred to in Article 9 of the present Protocol.

2.
The Parties shall, at sessions of the Executive Body, keep
under review the progress made towards meeting the obliga-
tions set out in the present Protocol.

3.
The Parties shall, at sessions of the Executive Body, review
the sufficiency and effectiveness of the obligations set out in
the present Protocol.

(a) Such reviews will

the best available
take into account
scientific information on the effects of the deposition of
heavy metals, assessments of technological developments,
and changing economic conditions.

(b) Such reviews will, in the light of the research, development,
monitoring and cooperation undertaken under the present
Protocol:

(i) evaluate progress towards meeting the objective of the

present Protocol

(ii) evaluate whether
additional
emission reductions
required by this Protocol are
beyond the levels
warranted to reduce further the adverse effects on
human health or the environment and

(iii) take into account the extent to which a satisfactory
basis exists for the application of an effects-based
approach.

(c) The procedures, methods and timing for such reviews shall
be specified by the Parties at a session of the Executive
Body.

The Parties shall, based on the conclusion of the reviews
4.
referred to in paragraph 3 and as soon as practicable after
completion of the review, develop a work plan on further steps
to reduce emissions into the atmosphere of the heavy metals
listed in Annex I.

Article 11

Settlement of disputes

1.
In the event of a dispute between any two or more Parties
concerning the interpretation or application of the present
Protocol, the Parties concerned shall seek a settlement of the
dispute through negotiation or any other peaceful means of
their own choice. The parties to the dispute shall inform the
Executive Body of their dispute.

2. When ratifying, accepting, approving or acceding to the
present Protocol, or at any time thereafter, a Party which is not
a regional economic integration organisation may declare in a
written instrument submitted to the Depositary that, in respect
of any dispute concerning the interpretation or application of
the Protocol, it recognises one or both of the following means
of dispute settlement as compulsory
ipso facto and without
special agreement, in relation to any Party accepting the same
obligation:

(a) submission of the dispute to the International Court of

Justice

(b) arbitration in accordance with procedures to be adopted by
the Parties at a session of the Executive Body, as soon as
practicable,

in an annex on arbitration.

A Party which is a regional economic integration organisation
may make a declaration with like effect in relation to arbitra-
tion in accordance with the procedures referred to in subpara-
graph (b).

3.
A declaration made under paragraph 2 shall remain in
force until it expires in accordance with its terms or until three
months after written notice of its revocation has been depos-
ited with the Depositary.

4.
A new declaration, a notice of revocation or the expiry of
a declaration shall not in any way affect proceedings pending
before the International Court of Justice or the arbitral tribunal,
unless the parties to the dispute agree otherwise.

5.
Except in a case where the parties to a dispute have
accepted the same means of dispute settlement under para-
graph 2, if after 12 months following notification by one Party
to another that a dispute exists between them, the Parties
concerned have not been able to settle their dispute through
the means mentioned in paragraph 1, the dispute shall be
submitted, at the request of any of the parties to the dispute, to
conciliation.

6.
For the purpose of paragraph 5, a conciliation commis-
sion shall be created. The commission shall be composed of
equal numbers of members appointed by each Party concerned
or, where the Parties in conciliation share the same interest, by
the group sharing that interest, and a chairman chosen jointly
by the members so appointed. The commission shall render a
recommendatory award, which the Parties shall consider in
good faith.

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Article 12

Annexes

The Annexes to the present Protocol shall form an integral part
of the Protocol. Annexes III and VII are recommendatory in
character.

Article 13

Amendments to the Protocol

Any Party may propose amendments to the present

1.
Protocol.

2.
Proposed amendments shall be submitted in writing to
the Executive Secretary of the Commission, who shall commu-
nicate them to all Parties. The Parties meeting within the Execu-
tive Body shall discuss the proposed amendments at its next
session, provided that the proposals have been circulated by
the Executive Secretary to the Parties at
least 90 days in
advance.

3.
Amendments to the present Protocol and to Annexes I, II,
IV, V and VI shall be adopted by consensus of the Parties
present at a session of the Executive Body, and shall enter into
force for the Parties which have accepted them on the 90th day
after the date on which two thirds of the Parties have deposited
with the Depositary their instruments of acceptance thereof.
Amendments shall enter into force for any other Party on the
90th day after the date on which that Party has deposited its
instrument of acceptance thereof.

4.
Amendments to Annexes III and VII shall be adopted by
consensus of the Parties present at a session of the Executive
Body. On the expiry of 90 days from the date of its communi-
cation to all Parties by the Executive Secretary of the Commis-
sion, an amendment to any such Annex shall become effective
for those Parties which have not submitted to the Depositary a
notification in accordance with the provisions of paragraph 5,
provided that at least 16 Parties have not submitted such a
notification.

5.
Any Party that is unable to approve an amendment to
Annex III or VII shall so notify the Depositary in writing within
90 days of the date of the communication of its adoption. The
Depositary shall without delay notify all Parties of any such
notification received. A Party may at any time substitute an
acceptance for its previous notification and, on deposit of an
instrument of acceptance with the Depositary, the amendment
to such an Annex shall become effective for that Party.

6.
In the case of a proposal to amend Annex I, VI or VII by
adding a heavy metal, a product control measure or a product
or product group to the present Protocol:

(a) the proposer shall provide the Executive Body with the
information specified in Executive Body Decision 1998/1,
including any amendments thereto and

(b) the Parties shall evaluate the proposal in accordance with
the procedures set forth in Executive Body Decision 1998/
1,

including any amendments thereto.

7.
Any decision to amend Executive Body Decision 1998/1
shall be taken by consensus of the Parties meeting within the
Executive Body and shall take effect 60 days after the date of
adoption.

Article 14

Signature

1.
The present Protocol shall be open for signature at
Aarhus (Denmark) from 24 to 25 June 1998, then at United
Nations Headquarters in New York until 21 December 1998 by
States members of the Commission as well as States having
consultative status with the Commission pursuant to paragraph
8 of Economic and Social Council Resolution 36 (IV) of 28
March 1947, and by regional economic integration organ-
isations, constituted by sovereign States members of
the
Commission, which have competence in respect of the nego-
tiation, conclusion and application of international agreements
in matters covered by the Protocol, provided that the States
and organisations concerned are Parties to the Convention.

In matters within their competence,

such regional
2.
economic integration organisations shall, on their own behalf,
exercise the rights and fulfil
the responsibilities which the
present Protocol attributes to their member States. In such
cases, the member States of these organisations shall not be
entitled to exercise such rights individually.

Article 15

Ratification, acceptance, approval and accession

The present Protocol shall be subject

1.
acceptance or approval by Signatories.

to ratification,

2.
The present Protocol shall be open for accession as from
21 December 1998 by the States and organisations that meet
the requirements of Article 14(1).

Article 16

Depositary

The instruments of ratification, acceptance, approval or acces-
sion shall be deposited with the Secretary-General of the United
Nations, who will perform the functions of Depositary.

Article 17

Entry into force

1.
The present Protocol shall enter into force on the 90th
day following the date on which the 16th instrument of ratifi-
cation, acceptance, approval or accession has been deposited
with the Depositary.

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For each State and organisation referred to in Article
2.
14(1), which ratifies, accepts or approves the present Protocol
or accedes thereto after the deposit of the 16th instrument of
ratification, acceptance, approval or accession, the Protocol
shall enter into force on the 90th day following the date of
deposit by such Party of its instrument of ratification, accep-
tance, approval or accession.

Article 18
Withdrawal
At any time after five years from the date on which the present
Protocol has come into force with respect to a Party, that Party
may withdraw from it by giving written notification to the
Depositary. Any such withdrawal shall take effect on the 90th
day following the date of its receipt by the Depositary, or on

such later date as may be specified in the notification of the
withdrawal.

Article 19

Authentic texts

The original of the present Protocol, of which the English,
French and Russian texts are equally authentic, shall be depos-
ited with the Secretary-General of the United Nations.

IN WITNESS WHEREOF the undersigned, being duly authorised
thereto, have signed the present Protocol.

Done at Aarhus (Denmark), this twenty-fourth day of June, one
thousand nine hundred and ninety-eight.

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Heavy metals referred to in Article 3(1) and the reference year for the obligation

ANNEX I

Heavy metal

Reference year

Cadmium (Cd)

1990; or an alternative year from 1985 to 1995 inclusive, specified by a Party on ratification,
acceptance, approval or accession

Lead (Pb)

Mercury (Hg)

1990; or an alternative year from 1985 to 1995 inclusive, specified by a Party on ratification,
acceptance, approval or accession

1990; or an alternative year from 1985 to 1995 inclusive, specified by a Party on ratification,
acceptance, approval or accession.

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ANNEX II

Stationary source categories

I. INTRODUCTION

1. Installations or parts of installations for research, development and the testing of new products and processes are

not covered by this Annex.

2. The threshold values given below generally refer to production capacities or output. Where one operator carries out
several activities falling under the same subheading at the same installation or the same site, the capacities of such
activities are added together.

II. LIST OF CATEGORIES

Category

Description of the category

1

2

3

4

5

6

7

8

9

10

11

Combustion installations with a net rated thermal input exceeding 50 MW

Metal ore (including sulphide ore) or concentrate roasting or sintering installations with a capacity
exceeding 150 tonnes of sinter per day for ferrous ore or concentrate, and 30 tonnes of sinter per
day for the roasting of copper,

lead or zinc, or any gold and mercury ore treatment

Installations for the production of pig-iron or steel (primary or secondary fusion, including electric
arc furnaces) including continuous casting, with a capacity exceeding 2,5 tonnes per hour

Ferrous metal foundries with a production capacity exceeding 20 tonnes per day

Installations for the production of copper, lead and zinc from ore, concentrates or secondary raw
materials by metallurgical processes with a capacity exceeding 30 tonnes of metal per day for
primary installations and 15 tonnes of metal per day for secondary installations, or for any primary
production of mercury

Installations for the smelting (refining, foundry casting, etc.), including the alloying, of copper, lead
and zinc, including recovered products, with a melting capacity exceeding 4 tonnes per day for lead
or 20 tonnes per day for copper and zinc

Installations for the production of cement clinker in rotary kilns with a production capacity
exceeding 500 tonnes per day or in other furnaces with a production capacity exceeding 50 tonnes
per day

Installations for the manufacture of glass using lead in the process with a melting capacity
exceeding 20 tonnes per day

Installations for chlor-alkali production by electrolysis using the mercury cell process

Installations for the incineration of hazardous or medical waste with a capacity exceeding 1 tonne
per hour, or for the coincineration of hazardous or medical waste specified in accordance with
national

legislation

Installations for the incineration of municipal waste with a capacity exceeding 3 tonnes per hour,
legislation
or for the coincineration of municipal waste specified in accordance with national

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Best available techniques for controlling emissions of heavy metals and their compounds from the source
categories listed in Annex II

ANNEX III

I.

INTRODUCTION

1. This Annex aims to provide Parties with guidance on identifying best available techniques for stationary sources

to enable them to meet the obligations of the Protocol.

2.

‘Best available techniques’ (BAT) means the most effective and advanced stage in the development of activities and
their methods of operation which indicate the practical suitability of particular techniques for providing in
principle the basis for emission limit values designed to prevent and, where that is not practicable, generally to
reduce emissions and their impact on the environment as a whole:

— ‘techniques’

includes both the technology used and the way in which the installation is designed, built,

maintained, operated and decommissioned,

— ‘available’ techniques means those developed on a scale which allows implementation in the relevant
industrial sector, under economically and technically viable conditions, taking into consideration the costs
and advantages, whether or not the techniques are used or produced inside the territory of the Party in
question, as long as they are reasonably accessible to the operator,

— ‘best’ means most effective in achieving a high general level of protection of the environment as a whole.

In determining the best available techniques, special consideration should be given, generally or in specific cases,
to the factors below, bearing in mind the likely costs and benefits of a measure and the principles of precaution
and prevention:

— the use of low-waste technology,

— the use of less hazardous substances,

— the furthering of recovery and recycling of substances generated and used in the process and of waste,

— comparable processes, facilities or methods of operation which have been tried with success on an industrial

scale,

— technological advances and changes in scientific knowledge and understanding,

— the nature, effects and volume of the emissions concerned,

— the commissioning dates for new or existing installations,

— the time needed to introduce the best available technique,

— the consumption and nature of raw materials (including water) used in the process and its energy efficiency,

— the need to prevent or reduce to a minimum the overall impact of the emissions on the environment and the

risks to it,

— the need to prevent accidents and to minimise their consequences for the environment.

The concept of best available techniques is not aimed at the prescription of any specific technique or technology,
but at taking into account the technical characteristics of the installation concerned, its geographical location and
the local environmental conditions.

3. The information regarding emission control performance and costs is based on official documentation of the
Executive Body and its subsidiary bodies, in particular documents received and reviewed by the Task Force on
Heavy Metal Emissions and the Ad Hoc Preparatory Working Group on Heavy Metals. Furthermore, other
international information on best available techniques for emission control has been taken into consideration
(e.g. the European Community's technical notes on BAT, the Parcom recommendations for BAT, and information
provided directly by experts).

4. Experience with new products and new plants incorporating low-emission techniques, as well as with the
retro-fitting of existing plants, is growing continuously; this Annex may, therefore, need amending and updating.

5. The Annex lists a number of measures spanning a range of costs and efficiencies. The choice of measures for any
particular case will depend on, and may be limited by, a number of factors, such as economic circumstances,
technological infrastructure, any existing emission control device, safety, energy consumption and whether the
source is a new or existing one.

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6. This Annex takes into account the emissions of cadmium, lead and mercury and their compounds, in solid
(particle-bound) and/or gaseous form. Specification of these compounds is,
in general, not considered here.
Nevertheless, the efficiency of emission control devices with regard to the physical properties of the heavy metal,
especially in the case of mercury, has been taken into account.

7. Emission values expressed as mg/m3 refer to standard conditions (volume at 273,15 K, 101,3 kPa, dry gas) not
corrected for oxygen content unless otherwise specified, and are calculated in accordance with draft CEN (Comité
européen de normalisation) and,

in some cases, national sampling and monitoring techniques.

II. GENERAL OPTIONS FOR REDUCING EMISSIONS OF HEAVY METALS AND THEIR COMPOUNDS

8. There are several possibilities for controlling or preventing heavy metal emissions. Emission reduction measures
focus on add-on technologies and process modifications (including maintenance and operating control). The
following measures, which may be implemented depending on the wider technical and/or economic conditions,
are available:

(a) application of low-emission process technologies,

in particular in new installations

(b) off-gas cleaning (secondary reduction measures) with filters, scrubbers, absorbers, etc.

(c) change or preparation of raw materials, fuels and/or other feed materials (e.g. use of raw materials with low

heavy metal content)

(d) best management practices such as good housekeeping, preventive maintenance programmes, or primary

measures such as the enclosure of dust-creating units

(e) appropriate environmental management techniques for the use and disposal of certain products containing

Cd, Pb, and/or Hg.

9. It is necessary to monitor abatement procedures to ensure that appropriate control measures and practices are
properly implemented and achieve an effective emission reduction. Monitoring abatement procedures will
include:

(a) developing an inventory of those reduction measures identified above that have already been implemented

(b) comparing actual reductions in Cd, Pb and Hg emissions with the objectives of the Protocol

(c) characterising quantified emissions of Cd, Pb and Hg from relevant sources with appropriate techniques

(d) regulatory authorities periodically auditing abatement measures to ensure their continued efficient operation.

10. Emission reduction measures should be cost-efficient. Cost-efficient strategy considerations should be based on
total costs per year per unit abated (including capital and operating costs). Emission reduction costs should also
be considered with respect to the overall process.

III. CONTROL TECHNIQUES

11. The major categories of available control techniques for Cd, Pb and Hg emission abatement are primary measures
such as raw material and/or fuel substitution and low-emission process technologies, and secondary measures
such as fugitive emission control and off-gas cleaning. Sector-specific techniques are specified in Chapter IV.

12. The data on efficiency are derived from operating experience and are considered to reflect the capabilities of
current installations. The overall efficiency of flue gas and fugitive emission reductions depends to a great extent
on the evacuation performance of the gas and dust collectors (e.g. suction hoods). Capture/collection efficiencies
of over 99 % have been demonstrated. In particular cases experience has shown that control measures are able to
reduce overall emissions by 90 % or more.

13. In the case of particle-bound emissions of Cd, Pb and Hg, the metals can be captured by dust-cleaning devices.
Typical dust concentrations after gas cleaning with selected techniques are given in Table 1. Most of these
measures have generally been applied across sectors. The minimum expected performance of selected techniques
for capturing gaseous mercury is outlined in Table 2. The application of these measures depends on the specific
processes and is most relevant if concentrations of mercury in the flue gas are high

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Table 1: Performance of dust-cleaning devices expressed as hourly average dust concentrations

Fabric filters

Fabric filters, membrane type

Dry electrostatic precipitators

Wet electrostatic precipitators

High-efficiency scrubbers

Dust concentrations after cleaning
(mg/m3)

< 10

< 1

< 50

< 50

< 50

Note: Medium- and low-pressure scrubbers and cyclones generally show lower dust removal efficiencies.

Table 2: Minimum expected performance of mercury separators expressed as hourly average mercury concentrations

Selenium filter

Selenium scrubber

Carbon filter

Carbon injection + dust separator

Odda Norzink chloride process

Lead sulphide process

Bolkem (Thiosulphate) process

Mercury content after cleaning
(mg/m3)

< 0,01

< 0,2

< 0,01

< 0,05

< 0,1

< 0,05

< 0,1

14. Care should be taken to ensure that these control techniques do not create other environmental problems. The
choice of a specific process because of its low emission into the air should be avoided if it worsens the total
environmental impact of the heavy metals' discharge, for example due to more water pollution from liquid
effluents. The fate of captured dust resulting from improved gas cleaning must also be taken into consideration.
A negative environmental impact from the handling of such wastes will reduce the gain from lower process dust
and fume emissions into the air.

15. Emission reduction measures can focus on process techniques as well as on off-gas cleaning. The two are not
independent of each other; the choice of a specific process might exclude some gas-cleaning methods.

16. The choice of a control technique will depend on such parameters as the pollutant concentration and/or
specification in the raw gas, the gas volume flow, the gas temperature, and others. Therefore, the fields of
application may overlap; in that case, the most appropriate technique must be selected according to case-specific
conditions.

17. Adequate measures to reduce stack gas emissions in various sectors are described below. Fugitive emissions have
to be taken into account. Dust emission control associated with the discharging, handling, and stockpiling of raw
materials or by-products, although not relevant to long-range transport, may be important for the local
environment. The emissions can be reduced by moving these activities to completely enclosed buildings, which
may be equipped with ventilation and dedusting facilities, spray systems or other suitable controls. When
stockpiling in unroofed areas, the material surface should be otherwise protected against wind entrainment.
Stockpiling areas and roads should be kept clean.

18. The investment/cost figures listed in the tables have been collected from various sources and are highly
case-specific. They are expressed in 1990 USD (USD 1 (1990) = ECU 0,8 (1990)). They depend on such factors
as plant capacity, removal efficiency and raw gas concentration, type of technology, and the choice of new
installations as opposed to retro-fitting.

IV. SECTORS

19. This chapter contains a table per relevant sector with the main emission sources, control measures based on the
best available techniques, their specific reduction efficiency and the related costs, where available. Unless stated
otherwise, the reduction efficiencies in the tables refer to direct stack gas emissions.

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C o m b u s t i o n o f
(Annex II, category 1)

f o s s i l

f u e l s i n u t i l i t y a n d i n d u s t r i a l b o i l e r s

20. The combustion of coal in utility and industrial boilers is a major source of anthropogenic mercury emissions.
The heavy metal content is normally several orders of magnitude higher in coal than in oil or natural gas.

21. Improved energy conversion efficiency and energy conservation measures will result in a decline in the emissions
of heavy metals because of reduced fuel requirements. Combusting natural gas or alternative fuels with a low
heavy metal content instead of coal would also result in a significant reduction in heavy metal emissions such as
mercury. Integrated gasification combined-cycle (IGCC) power plant technology is a new plant technology with a
low-emission potential.

22. With the exception of mercury, heavy metals are emitted in solid form in association with fly-ash particles.
Different coal combustion technologies show different magnitudes of fly-ash generation: grate-firing boilers 20 to
40 %; fluidised-bed combustion 15 %; dry bottom boilers (pulverised coal combustion) 70 to 100 % of total ash.
The heavy metal content in the small particle size fraction of the fly-ash has been found to be higher.

23. Beneficiation, for example ‘washing’ or ‘bio-treatment’, of coal reduces the heavy metal content associated with
the inorganic matter in the coal. However, the degree of heavy metal removal with this technology varies widely.

24. A total dust removal of more than 99,5 % can be obtained with electrostatic precipitators (ESP) or fabric filters
(FF), achieving dust concentrations of about 20 mg/m3 in many cases. With the exception of mercury, heavy
metal emissions can be reduced by at least 90 to 99 %, the lower figure for the more easily volatilised elements.
Low filter temperature helps to reduce the gaseous mercury off-gas content.

25. The application of techniques to reduce emissions of nitrogen oxides, sulphur dioxide and particulates from the
flue gas can also remove heavy metals. Possible cross media impact should be avoided by appropriate waste water
treatment.

26. Using the techniques mentioned above, mercury removal efficiencies vary extensively from plant to plant, as seen
in Table 3. Research is ongoing to develop mercury removal techniques, but until such techniques are available
on an industrial scale, no best available technique is identified for the specific purpose of removing mercury.

Table 3: Control measures, reduction efficiencies and costs for fossil-fuel combustion emissions

Emission source

Control measure(s)

Reduction efficiency
(%)

Abatement costs

Combustion of fuel
oil

Switch fuel oil to gas

Cd, Pb
Hg: 70-80

Highly case-specific

Combustion of coal

Switch from coal
to fuels
with lower heavy metals
emissions

Dust 70-100

Highly case-specific

ESP (cold-side)

Cd, Pb: > 90
Hg: 10-40

investment USD 5-

Specific
10/m3 waste gas per hour
(> 200 000 m3/h)

Wet fuel-gas desulphurisation
(FGD)(a)

Cd, Pb: > 90
Hg: 10-90 (b)

15-30/Mg waste

Fabric filters (FF)

Cd: > 95
Pb: > 99
Hg: 10-60

investment USD 8-
gas per

Specific
15 USD/m3 waste
hour
(> 200 000 m3/h)

(a) Hg removal efficiencies increase with the proportion of ionic mercury. High-dust selective catalytic reduction (SCR) installa-

tions facilitate Hg(II) formation.

(b) This is primarily for SO
)
. Reduction in heavy metal emissions is a side benefit. (Specific investment USD 60-250 USD/kW
el
2

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P r i m a r y i r o n a n d s t e e l
(Annex II, category 2)

i n d u s t r y

27. This section deals with emissions from sinter plants, pellet plants, blast furnaces, and steelworks with a basic
oxygen furnace (BOF). Emissions of Cd, Pb and Hg occur in association with particulates. The content of the
heavy metals of concern in the emitted dust depends on the composition of the raw materials and the types of
alloying metals added in steelmaking. The most relevant emission reduction measures are outlined in Table 4.
Fabric filters should be used whenever possible; if conditions make this impossible, electrostatic precipitators
and/or high-efficiency scrubbers may be used.

28. When using BAT in the primary iron and steel industry, the total specific emission of dust directly related to the

process can be reduced to the following levels:

Sinter plants

Pellet plants

Blast furnace

BOF

40 to 120 g/Mg

40 g/Mg

35-50 g/Mg

35-70 g/Mg.

29. Purification of gases using fabric filters will reduce the dust content to less than 20 mg/m3, whereas electrostatic
precipitators and scrubbers will reduce the dust content to 50 mg/m3 (as an hourly average). However, there are
many applications of fabric filters in the primary iron and steel industry that can achieve much lower values.

Table 4: Emission sources, control measures, dust reduction efficiencies and costs for the primary iron and steel industry

Emission source

Control measure(s)

Dust reduction
efficiency
(%)

Abatement costs
(total costs USD)

Sinter plants

Emission optimised sintering

ca. 50

Scrubbers and ESP

Fabric filters

Pellet plants

ESP + lime reactor + fabric
filters

Scrubbers

Blast furnaces

FF/ESP

Blast furnace gas

Wet scrubbers

Wet ESP

> 90

> 99

> 99

> 95

> 99

> 99

> 99

—

—

—

—

—

ESP: 0,24-l/Mg pig-iron

—

—

cleaning

BOF

Primary dedusting: wet
rator ESP/FF

sepa-

> 99

Dry ESP: 2,25/Mg steel

Secondary dedusting: dry ESP/FF

> 97

FT: 0,26/Mg steel

Fugitive emissions

Closed conveyor belts, enclo-
sure, wetting stored feedstock,
cleaning of reads

80-99

—

30. Direct reduction and direct smelting are under development and may reduce the need for sinter plants and blast
furnaces in the future. The application of these technologies depends on the ore characteristics and requires the
resulting product to be processed in an electric arc furnace, which should be equipped with appropriate controls.

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S e c o n d a r y i r o n a n d s t e e l
(Annex II, category 3)

i n d u s t r y

31. It is very important to capture all the emissions efficiently. That is possible by installing doghouses or movable
hoods or by total building evacuation. The captured emissions must be cleaned. For all dust-emitting processes in
the secondary iron and steel industry, dedusting in fabric filters, which reduces the dust content to less than
20 mg/m3, shall be considered as BAT. When BAT is used also for minimising fugitive emissions, the specific
dust emission (including fugitive emission directly related to the process) will not exceed the range of 0,1 to
0,35 kg/Mg steel. There are many examples of clean gas dust content below 10 mg/m3 when fabric filters are
used. The specific dust emission in such cases is normally below 0,1 kg/Mg.

32. For the melting of scrap, two different types of furnace are in use: open-hearth furnaces and electric arc furnaces

(EAF) where open-hearth furnaces are about to be phased out.

33. The content of the heavy metals of concern in the emitted dust depends on the composition of the iron and steel
scrap and the types of alloying metals added in steelmaking. Measurements at EAF have shown that 95 % of
emitted mercury and 25 % of cadmium emissions occur as vapour. The most relevant dust emission reduction
measures are outlined in Table 5.

Table 5: Emission sources, control measures, dust reduction efficiences and costs for the secondary iron and steel industry

Emission source

Control measure(s)

Dust reduction efficiency
(%)

Abatement costs
(total costs USD)

EAF

ESP

FF

> 99

> 99,5

—

FF: 24/Mg steel

I r o n f o u n d a r i e s
(Annex II, category 4)

34. It is very important to capture all the emissions efficiently. That is possible by installing doghouses or movable
hoods or by total building evacuation. The captured emissions must be cleaned. In iron foundries, cupola
furnaces, electric arc furnaces and induction furnaces are operated. Direct particulate and gaseous heavy metal
emissions are especially associated with melting and sometimes, to a small extent, with pouring. Fugitive
emissions arise from raw material handling, melting, pouring and fettling. The most relevant emission reduction
measures are outlined in table 6 with their achievable reduction efficiencies and costs, where available. These
measures can reduce dust concentrations to 20 mg/m3, or less.

Table 6: Emission sources, control measures, dust reduction efficiencies and costs for iron foundries

Emission source

Control measure(s)

Dust reduction efficiency
(%)

Abatement costs
(total costs USD)

EAF

ESP

FF

> 99

> 99,5

—

FF: 24/Mg iron

Induction furnace

FF/dry absorption + FT

Cold blast cupola

Below-the-door take-off: FF

Above-the-door take-off

FF + pre-dedusting

FT + chemisorption

Hot blast cupola

FF + pre-dedusting

Disintegrator/venturi
scrubber

> 99

> 98

> 97

> 99

> 99

> 97

—

—

8-12/Mg iron

45/Mg iron

23/Mg iron

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35. The iron foundry industry comprises a very wide range of process sites. For existing smaller installations, the

measures listed may not be BAT if they are not economically viable.

P r i m a r y a n d s e c o n d a r y n o n - f e r r o u s m e t a l
(annex II, categories 5 and 6)

i n d u s t r y

36. This section deals with emissions and emission control of Cd, Pb and Hg in the primary and secondary
production of non-ferrous metals like lead, copper, zinc, tin and nickel. Due to the large number of different raw
materials used and the various processes applied, nearly all kinds of heavy metals and heavy metal compounds
might be emitted from this sector. Given the heavy metals of concern in this Annex, the production of copper,
lead and zinc are particularly relevant.

37. Mercury ores and concentrates are initially processed by crushing, and sometimes screening. Ore beneficiation
techniques are not used extensively, although flotation has been used at some facilities processing low-grade ore.
The crushed ore is then heated in either retorts, at small operations, or furnaces, at large operations, to the
temperatures at which mercuric sulphide sublimates. The resulting mercury vapour is condensed in a cooling
system and collected as mercury metal. Soot from the condensers and settling tanks should be removed, treated
with lime and returned to the retort or furnace.

38. For efficient recovery of mercury the following techniques can be used:

— measures to reduce dust generation during mining and stockpiling,

including minimising the size of

stockpiles,

— indirect heating of the furnace,

— keeping the ore as dry as possible,

— Bringing the gas temperature entering the condenser to only 10 to 20 °C above the dew point,

— keeping the outlet temperature as low as possible and

— passing reaction gases through a post-condensation scrubber and/or a selenium filter.

Dust formation can be kept down by indirect heating, separate processing of fine grain classes of ore, and control
of ore water content. Dust should be removed from the hot reaction gas before it enters the mercury
condensation unit with cyclones and/or electrostatic precipitators.

39. For gold production by amalgamation, similar strategies as for mercury can be applied. Gold is also produced
using techniques other than amalgamation, and these are considered to be the preferred option for new plants.

40. Non-ferrous metals are mainly produced from sulphitic ores. For technical and product quality reasons, the
off-gas must go through a thorough dedusting (< 3 mg/m3) and could also require additional mercury removal
before being fed to an SO3 contact plant, thereby also minimising heavy metal emissions.

41. Fabric filters should be used when appropriate. A dust content of less than 10 mg/m3 can be obtained. The dust
of all pyrometallurgical production should be recycled in-plant or off-site, while protecting occupational health.

42. For primary lead production, first experiences indicate that there are interesting new direct smelting reduction
technologies without sintering of the concentrates. These processes are examples of a new generation of direct
autogenous lead smelting technologies which pollute less and consume less energy.

43. Secondary lead is mainly produced from used car and truck batteries, which are dismantled before being charged
to the smelting furnace. This BAT should include one melting operation in a short rotary furnace or shaft
furnace. Oxy-fuel burners can reduce waste gas volume and flue dust production by 60 %. Cleaning the flue-gas
with fabric filters makes it possible to achieve dust concentration levels of 5 mg/m3.

44. Primary zinc production is carried out by means of roast-leach electrowin technology. Pressure leaching may be
an alternative to roasting and may be considered as a BAT for new plants depending on the concentrate
characteristics. Emissions from pyrometallurgical zinc production in Imperial Smelting (IS) furnaces can be
minimised by using a double bell furnace top and cleaning with high-efficiency scrubbers, efficient evacuation
and cleaning of gases from slag and lead casting, and thorough cleaning (< 10 mg/m3) of the CO-rich furnace
off-gases.

45. To recover zinc from oxidised residues these are processed in an IS furnace. Very low-grade residues and flue dust
(e.g. from the steel industry) are first treated in rotary furnaces (Waelz-furnaces) in which a high-content zinc
oxide is manufactured. Metallic materials are recycled through melting in either induction furnaces or furnaces
with direct or indirect heating by natural gas or liquid fuels or in vertical New Jersey retorts, in which a large
variety of oxidic and metallic secondary material can be recycled. Zinc can also be recovered from lead furnace
slags by a slag fuming process.

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46. In general, processes should be combined with an effective dust collecting device for both primary gases and
fugitive emissions. The most relevant emission reduction measures are outlined in tables 7(a) and (b). Dust
concentrations below 5 mg/m3 have been achieved in some cases using fabric filters.

Table 7(a): Emission sources, control measures, dust reduction efficiencies and costs for the primary non-ferrous metal

industry

Emission source

Control measure(s)

Dust reduction
efficiency
(%)

Fugitive emissions

Suction hoods, enclosure, etc.
off-gas cleaning by FF

> 99

Abatement costs
(total costs USD)

—

Roasting/sintering

Updraught sintering:
to
ESP + scrubbers
double contact sulphuric acid
plant) + FF for tail gases

(prior

—

7-10/Mg H2SO4

Conventional smelting
(blast furnace
reduction)

evacuation

furnace: closed top/effi-
tap
covered launders,

Shaft
cient
holes + FF,
double bell furnace top

of

Imperial smelting

High-efficiency scrubbing
Venturi scrubbers
Double bell furnace top

—

> 95
—
—

—

—
—

4/Mg metal produced

Pressure leaching

Application
leaching
concentrates

depends

characteristics

on
of

> 99

site-specific

Direct smelting
reduction processes

Flash smelting,
Outokumpu
process

e.g. Kivcet,
and Mitsubishi

—

—

Bath smelting, e.g. top blown
rotary converter, Ausmelt, Isas-
melt, QSL
Noranda
processes

and

Ausmelt: Pb
77, Cd 97
QSL: Pb 92,
Cd 93

QSL: operating costs 60/Mg Pb

Table 7(b): Emission sources, control measures, dust reduction efficiencies and costs for the secondary non-ferrous metal

industry

Emission source

Control measure(s)

Dust reduction efficiency
(%)

Abatement costs
(total costs, USD)

Lead production

rotary
for

Short
furnace:
tap holes + FF;
hoods
condenser, oxy-fuel burner

suction
tube

99,9

45/Mg Pb

Zinc production

Imperial Smelting

> 95

14/Mg Zn

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C e m e n t
(Annex II, category 7)

i n d u s t r y

47. Cement kilns may use secondary fuels such as waste oil or waste tyres. Where waste is used, emission
requirements for waste incineration processes may apply, and where hazardous waste is used, depending on the
amount used in the plant, emission requirements for hazardous waste incineration processes may apply.
However, this section refers to fossil fuel fired kilns.

48. Particulates are emitted at all stages of the cement production process, consisting of material handling, raw
material preparation (crushers, dryers), clinker production and cement preparation. Heavy metals are brought into
the cement kiln with the raw materials, fossil and waste fuels.

49. For clinker production the following kiln types are available: long wet rotary kiln, long dry rotary kiln, rotary kiln
with cyclone preheater, rotary kiln with grate preheater, shaft furnace. In terms of energy demand and emission
control opportunities, rotary kilns with cyclone preheaters are preferable.

50. For heat recovery purposes, rotary kiln off-gases are conducted through the preheating system and the mill dryers

(where installed) before being dedusted. The collected dust is returned to the feed material.

51. Less than 0,5 % of lead and cadmium entering the kiln is released in exhaust gases. The high alkali content and

the scrubbing action in the kiln favour metal retention in the clinker or kiln dust.

52. The emissions of heavy metals into the air can be reduced by, for instance, taking off a bleed stream and
stockpiling the collected dust instead of returning it to the raw feed. However, in each case these considerations
should be weighed against the consequences of releasing the heavy metals into the waste stockpile. Another
possibility is the hot-meal bypass, where calcined hot-meal is in part discharged right in front of the kiln entrance
and fed to the cement preparation plant. Alternatively, the dust can be added to the clinker. Another important
measure is a very well controlled steady operation of the kiln in order to avoid emergency shut-offs of the
electrostatic precipitators. These may be caused by excessive CO concentrations. It is important to avoid high
peaks of heavy metal emissions in the event of such an emergency shut-off.

53. The most relevant emission reduction measures are outlined in Table 8. To reduce direct dust emissions from
crushers, mills, and dryers, fabric filters are mainly used, whereas kiln and clinker cooler waste gases are
controlled by electrostatic precipitators. With ESP, dust can be reduced to concentrations below 50 mg/m3 When
FF are used, the clean gas dust content can be reduced to 10 mg/m3.

Table 8: Emission sources, control measures, reduction efficiencies and costs for the cement industry

Emission source

Control measure(s)

Direct emissions from
crushers, mills, dryers

FF

Direct emissions from
rotary
clinker
kilns,
coolers

ESP

Reduction efficiency
(%)

Cd, Pb: > 95

Cd, Pb: > 95

Direct emissions from
rotary kilns

Carbon adsorption

Hg: > 95

Abatement costs

—

—

—

G l a s s i n d u s t r y
(Annex II, category 8)

54. In the glass industry, lead emissions are particularly relevant given the various types of glass in which lead is
introduced as raw material (e.g. crystal glass, cathode ray tubes). In the case of soda-lime container glass, lead
emissions depend on the quality of the recycled glass used in the process. The lead content in dusts from crystal
glass melting is usually about 20 to 60 %.

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55. Dust emissions stem mainly from batch mixing, furnaces, diffuse leakages from furnace openings, and finishing
and blasting of glass products. They depend notably on the type of fuel used, the furnace type and the type of
glass produced. Oxy-fuel burners can reduce waste gas volume and flue dust production by 60 %. The lead
emissions from electrical heating are considerably lower than from oil/gas-firing.

56. The batch is melted in continuous tanks, day tanks or crucibles. During the melting cycle using discontinuous
furnaces, the dust emission varies greatly. The dust emissions from crystal glass tanks (<5 kg/Mg melted glass)
are higher than from other tanks (< 1 kg/Mg melted soda and potash glass).

57. Some measures to reduce direct metal-containing dust emissions are: pelleting the glass batch, changing the
heating system from oil/gas-firing to electrical heating, charging a larger share of glass returns in the batch, and
applying a better selection of raw materials (size distribution) and recycled glass (avoiding lead-containing
fractions). Exhaust gases can be cleaned in fabric filters, reducing the emissions below 10 mg/m3. With
electrostatic precipitators 30 mg/m3 is achieved. The corresponding emission reduction efficiencies are given in
Table 9.

58. The development of crystal glass without lead compounds is in progress.

Table 9: Emission sources, control measures, dust reduction efficiencies and costs for the glass industry

Emission source

Control measure(s)

Dust reduction efficiency
(%)

Abatement costs
(total costs)

Direct emissions

FF

ESP

> 98

> 90

—

—

C h l o r - a l k a l i
(Annex II, category 9)

i n d u s t r y

59. In the chlor-alkali industry, Cl2, alkali hydroxides and hydrogen are produced through electrolysis of a salt
solution. Commonly used in existing plants are the mercury process and the diaphragm process, both of which
need the introduction of good practices to avoid environmental problems. The membrane process results in no
direct mercury emissions. Moreover, it shows a lower electrolytic energy and higher heat demand for alkali
hydroxide concentration (the global energy balance resulting in a slight advantage for membrane cell technology
in the range of 10 to 15 %) and a more compact cell operation. It is, therefore, considered as the preferred option
for new plants. Decision 90/3 of 14 June 1990 of the Commission for the Prevention of Marine Pollution from
Land-based Sources (Parcom) recommends that existing mercury cell chlor-alkali plants should be phased out as
soon as practicable with the objective of phasing them out completely by 2010.

60. The specific investment for replacing mercury cells by the membrane process is reported to be in the region of
capacity. Although additional costs may result from, inter alia, higher utility costs and
USD 700 to 1 000/Mg Cl2
brine purification cost, the operating cost will in most cases decrease. This is due to savings mainly from lower
energy consumption, and lower waste-water treatment and waste-disposal costs.

61. The sources of mercury emissions into the environment in the mercury process are: cell room ventilation; process
exhausts; products, particularly hydrogen; and wastewater. With regard to emissions into air, Hg diffusely emitted
from the cells to the cell room are particularly relevant. Preventive measures and control are of great importance
and should be prioritised according to the relative importance of each source at a particular installation. In any
case specific control measures are required when mercury is recovered from sludges resulting from the process.

62. The following measures can be taken to reduce emissions from existing mercury process plants:

— process control and technical measures to optimise cell operation, maintenance and more efficient working

methods

— coverings, sealings and controlled bleeding-off by suction

— cleaning of cell rooms and measures that make it easier to keep them clean and

— cleaning of limited gas streams (certain contaminated air streams and hydrogen gas).

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63. These measures can cut mercury emissions to values well below 2,0 g/Mg of Cl2 production capacity, expressed
as an annual average. There are examples of plants that achieve emissions well below 1,0 g/Mg of Cl
production
2
capacity. As a result of Parcom Decision 90/3, existing mercury-based chlor-alkali plants were required to meet
the level of 2 g of Hg/Mg of Cl
by 31 December 1996 for emissions covered by the Convention for the
2
Prevention of Marine Pollution from Land-based Sources. Since emissions depend to a large extent on good
operating practices, the average should depend on and include maintenance periods of one year or less.

M u n i c i p a l , m e d i c a l a n d h a z a r d o u s w a s t e i n c i n e r a t i o n
(Annex II, categories 10 and 11)

64. Emissions of cadmium, lead and mercury result from the incineration of municipal, medical and hazardous waste.
Mercury, a substantial part of cadmium and minor parts of lead are volatilised in the process. Particular actions
should be taken both before and after incineration to reduce these emissions.

65. The best available technology for dedusting is considered to be fabric filters in combination with dry or wet
methods for controlling volatiles. Electrostatic precipitators in combination with wet systems can also be
designed to reach low dust emissions, but they offer fewer opportunities than fabric filters especially with
pre-coating for adsorption of volatile pollutants.

66. When BAT is used for cleaning the flue gases, the concentration of dust will be reduced to a range of 10 to
20 mg/m3, in practice lower concentrations are reached, and in some cases concentrations of less than 1 mg/m3
have been reported. The concentration of mercury can be reduced to a range of 0,05 to 0,10 mg/m
(normalised
3
to 11 % O
2

).

67. The most relevant secondary emission reduction measures are outlined in Table 10. It is difficult to provide
generally valid data because the relative costs in USD/tonne depend on a particularly wide range of site-specific
variables, such as waste composition.

68. Heavy metals are found in all fractions of the municipal waste stream (e.g. products, paper, organic materials).
Therefore, by reducing the quantity of municipal waste that is incinerated, heavy metal emissions can be reduced.
This can be accomplished through various waste management strategies, including recycling programmes and the
composting of organic materials. In addition, some UN/ECE countries allow municipal waste to be landfilled. In a
properly managed landfill, emissions of cadmium and lead are eliminated and mercury emissions may be lower
than with incineration. Research on emissions of mercury from landfills is taking place in several UN/ECE
countries.

Table 10: Emission sources, control measures, reduction efficiencies and costs for municipal, medical and hazardous water

incineration

Emission source

Control measure(s)

Reduction efficiency
(%)

Abatement costs
(total costs USD)

Stack gases

High-efficiency scrubbers

Pb, Cd: > 98
Hg: ca. 50

—

ESP (3 fields)

Pb, Cd: 80-90

10-20/Mg waste

Wet ESP (1 field)

Pb, Cd: 95-99

—

Fabric filters

Pb, Cd: 95-99

15-30/Mg waste

Carbon injection + FF

Hg: > 85

Carbon bed filtration

Hg: > 99

operating
waste

operating
waste

costs:

ca 2-3/Mg

costs:

ca. 50/Mg

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ANNEX IV

Timescales for the application of limit values and best available techniques to new and existing stationary
sources

The timescales for the application of limit values and best available techniques are:

(a) for new stationary sources: two years after the date of entry into force of the present Protocol

(b) for existing stationary sources: eight years after the date of entry into force of the present Protocol. If necessary, this
period may be extended for specific existing stationary sources in accordance with the amortisation period provided
for by national

legislation.

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ANNEX V

Limit values for controlling emissions from major stationary sources

I. INTRODUCTION

1. Two types of limit value are important for heavy metal emission control:

— values for specific heavy metals or groups of heavy metals and

— values for emissions of particulate matter in general.

2. In principle,

limit values for particulate matter cannot replace specific limit values for cadmium,

lead and
mercury, because the quantity of metals associated with particulate emissions differs from one process to
another. However, compliance with these limits contributes significantly to reducing heavy metal emissions in
general. Moreover, monitoring particulate emissions is generally less expensive than monitoring individual
species and continuous monitoring of individual heavy metals is in general not feasible. Therefore, particulate
limit values are of great practical importance and are also laid down in this Annex in most cases to complement
or replace specific limit values for cadmium or lead or mercury.

3. Limit values, expressed as mg/m3, refer to standard conditions (volume at 273,15 K, 101,3 kPa, dry gas) and are
calculated as an average value of one-hour measurements, covering several hours of operation, as a rule 24
hours. Periods of start-up and shutdown should be excluded. The averaging time may be extended when required
to achieve sufficiently precise monitoring results. With regard to the oxygen content of the waste gas, the values
given for selected major stationary sources shall apply. Any dilution for the purpose of lowering concentrations
of pollutants in waste gases is forbidden. Limit values for heavy metals include the solid, gaseous and vapour
form of the metal and its compounds, expressed as the metal. Whenever limit values for total emissions are
given, expressed as g/unit of production or capacity respectively, they refer to the sum of stack and fugitive
emissions, calculated as an annual value.

4. In cases in which an exceeding of given limit values cannot be excluded, either emissions or a performance
parameter that indicates whether a control device is being properly operated and maintained shall be monitored.
Monitoring of either emissions or performance indicators should take place continuously if the emitted mass
flow of particulates is above 10 kg/h. If emissions are monitored, the concentrations of air pollutants in
gas-carrying ducts have to be measured in a representative fashion. If particulate matter is monitored discontinu-
ously, the concentrations should be measured at regular intervals, taking at least three independent readings per
check. Sampling and analysis of all pollutants as well as reference measurement methods to calibrate automated
measurement systems shall be carried out according to the standards laid down by the Comité européen de
normalisation (CEN) or the International Organisation for Standardization (ISO). While awaiting the development
of the CEN or ISO standards, national standards shall apply. National standards can also be used if they provide
equivalent results to CEN or ISO standards.

5. In the case of continuous monitoring, compliance with the limit values is achieved if none of the calculated
average 24-hour emission concentrations exceed the limit value or if the 24-hour average of the monitored
parameter does not exceed the correlated value of the parameter that was established during a performance test
when the control device was being properly operated and maintained. In the case of discontinuous emission
monitoring, compliance is achieved if the average reading per check does not exceed the value of the limit.
Compliance with each of the limit values expressed as total emissions per unit of production or total annual
emissions is achieved if the monitored value is not exceeded, as described above.

II. SPECIFIC LIMIT VALUES FOR SELECTED MAJOR STATIONARY SOURCES

C o m b u s t i o n o f
(Annex II, category 1)

f o s s i l

f u e l s

6. Limit values refer to 6 % O2

in flue gas for solid fuels and to 3 % O
2

for liquid fuels.

7. Limit value for particulate emissions for solid and liquid fuels: 50 mg/m3.

S i n t e r p l a n t s
(Annex II, category 2)

8. Limit value for particulate emissions: 50 mg/m3.

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P e l l e t p l a n t s
(Annex II, category 2)

9. Limit value for particulate emissions:

(a) grinding, drying: 25 mg/m3, and

(b) pelletising: 25 mg/m3, or

10. Limit value for total particulate emissions: 40 g/Mg of pellets produced.

B l a s t
f u r n a c e s
(Annex II, category 3)

11. Limit value for particulate emissions: 50 mg/m3.

E l e c t r i c a r c f u r n a c e s
(Annex II, category 3)

12. Limit value for particulate emissions: 20 mg/m3.

P r o d u c t i o n o f c o p p e r a n d z i n c ,
(Annex II, categories 5 and 6)

i n c l u d i n g I m p e r i a l S m e l t i n g f u r n a c e s

13. Limit value for particulate emissions: 20 mg/m3.

P r o d u c t i o n o f
(Annex II, categories 5 and 6)

l e a d

14. Limit value for particulate emissions: 10 mg/m3.

C e m e n t
(Annex II, category 7)

i n d u s t r y

15. Limit value for particulate emissions: 50 mg/m3.

G l a s s i n d u s t r y
(Annex II, category 8)

16. Limit values refer to different O
furnaces and day tanks: 13 %.

2 concentrations in flue gas depending on furnace type: tank furnaces: 8 %; pot

17. Limit value for lead emissions: 5 mg/m3.

C h l o r - a l k a l i
(Annex II, category 9)

i n d u s t r y

18. Limit values refer to the total quantity of mercury released by a plant into the air, regardless of the emission

source and expressed as an annual mean value.

19. Limit values for existing chlor-alkali plants shall be evaluated by the Parties meeting within the Executive Body

no later than two years after the date of entry into force of the present Protocol.

20. Limit value for new chlor-alkali plants: 0,01 g Hg/Mg Cl
2

production capacity.

M u n i c i p a l , m e d i c a l a n d h a z a r d o u s w a s t e i n c i n e r a t i o n
(Annex II, categories 10 and 11)

21. Limit values refer to 11 % O
2

concentration in flue gas.

22. Limit value for particulate emissions:

(a) 10 mg/m3 for hazardous and medical waste incineration

(b) 25 mg/m3 for municipal waste incineration.

23. Limit value for mercury emissions:

(a) 0,05 mg/m3 for hazardous waste incineration

(b) 0,08 mg/m3 for municipal waste incineration

(c) limit values for mercury-containing emissions from medical waste incineration shall be evaluated by the
Parties meeting within the Executive Body no later than two years after the date of entry into force of the
present Protocol.

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ANNEX VI

Product control measures

1. Except as otherwise provided in this Annex, no later than six months after the date of entry into force of the present
Protocol, the lead content of marketed petrol
intended for on-road vehicles shall not exceed 0,013 g/l. Parties
marketing unleaded petrol with a lead content lower than 0,013 g/l shall endeavour to maintain or lower that level.

2. Each Party shall endeavour to ensure that the change to fuels with a lead content as specified in paragraph 1 results in

an overall reduction in the harmful effects on human health and the environment.

3. Where a State determines that limiting the lead content of marketed petrol in accordance with paragraph 1 would
result in severe socioeconomic or technical problems for it, or would not lead to overall environmental or health
benefits because of, inter alia, its climate, it may extend the time period given in that paragraph to a period of up to 10
years, during which it may market leaded petrol with a lead content not exceeding 0,15 g/l. In such a case, the State
shall specify, in a declaration to be deposited together with its instrument of ratification, acceptance, approval or
accession, that it intends to extend the time period and present to the Executive Body in writing information on the
reasons for this.

4. A Party is permitted to market small quantities, up to 0,5 % of its total petrol sales, of leaded petrol with a lead content

not exceeding 0,15 g/l to be used by old on-road vehicles.

5. Each Party shall, no later than five years, or 10 years for countries with economies in transition that state their
intention to adopt a 10-year period in a declaration to be deposited with their instrument of ratification, acceptance,
approval or accession, after the date of entry into force of this Protocol, achieve concentration levels which do not
exceed:

(a) 0,05 % of mercury by weight in alkaline manganese batteries for prolonged use in extreme conditions (e.g.

temperature below 0 °C or above 50 °C, exposed to shocks), and

(b) 0,025 % of mercury by weight in all other alkaline manganese batteries.

The above limits may be exceeded for a new application of a battery technology, or use of a battery in a new product,
if reasonable safeguards are taken to ensure that the resulting battery or product without an easily removable battery
will be disposed of in an environmentally sound manner. Alkaline manganese button cells and batteries composed of
button cells shall also be exempted from this obligation.

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ANNEX VII

Product management measures

1. This Annex aims to provide guidance to Parties on product management measures.

2. The Parties may consider appropriate product management measures such as those listed below, where warranted as a
result of the potential risk of adverse effects on human health or the environment from emissions of one or more of
the heavy metals listed in Annex I, taking into account all relevant risks and benefits of such measures, with a view to
ensuring that any changes to products result in an overall reduction of harmful effects on human health and the
environment:

(a) the substitution of products containing one or more intentionally added heavy metals listed in Annex I, if a

suitable alternative exists

(b) the minimisation or substitution in products of one or more intentionally added heavy metals listed in Annex I

(c) the provision of product information including labelling to ensure that users are informed of the content of one or
more intentionally added heavy metals listed in Annex I and of the need for safe use and waste-handling

(d) the use of economic incentives or voluntary agreements to reduce or eliminate the content in products of the

heavy metals listed in Annex I and

(e) the development and implementation of programmes for the collection, recycling or disposal of products

containing one of the heavy metals in Annex I in an environmentally sound manner.

3. Each product or product group listed below contains one or more of the heavy metals listed in Annex I and is the
subject of regulatory or voluntary action by at least one Party to the Convention based for a significant part on the
contribution of that product to emissions of one or more of the heavy metals in Annex I. However, sufficient
information is not yet available to confirm that they are a significant source for all Parties, thereby warranting
inclusion in Annex VI. Each Party is encouraged to consider available information and, where satisfied of the need to
take precautionary measures, to apply product management measures such as those listed in paragraph 2 to one or
more of the products listed below:

(a) mercury-containing electrical components, i.e. devices that contain one or several contacts/sensors for the transfer
of electrical current such as relays, thermostats, level switches, pressure switches and other switches (actions taken
include a ban on most mercury-containing electrical components; voluntary programmes to replace some mercury
switches with electronic or special switches; voluntary recycling programmes for switches; and voluntary recycling
programmes for thermostats)

(b) mercury-containing measuring devices such as thermometers, manometers, barometers, pressure gauges, pressure
switches and pressure transmitters (actions taken include a ban on mercury-containing thermometers and ban on
measuring instruments)

(c) mercury-containing fluorescent lamps (actions taken include reductions in mercury content per lamp through both

voluntary and regulatory programmes and voluntary recycling programmes)

(d) mercury-containing dental amalgam (actions taken include voluntary measures and a ban with exemptions on the
use of dental amalgams and voluntary programmes to promote capture of dental amalgam before release to water
treatment plants from dental surgeries)

(e) mercury-containing pesticides including seed dressing (actions taken include bans on all mercury pesticides

including seed treatments and a ban on mercury use as a disinfectant)

(f) mercury-containing paint (actions taken include bans on all such paints, bans on such paints for interior use and

use on children's toys; and bans on use in antifouling paints) and

(g) mercury-containing batteries other than those covered in Annex VI (actions taken include reductions in mercury
content through both voluntary and regulatory programmes and environmental charges and voluntary recycling
programmes).