Proposal for a Council Decision approving, on behalf of the European Community, the Rotterdam Convention on the Prior Informed Consent Procedure for certain hazardous chemicals and pesticides in international trade
Date: 2002-01-24
Institutions: European Commission
Subjects: UN convention, chemical product, dangerous substance, environmental protection, international trade, pesticide, public health

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Proposal for a Council Decision approving, on behalf of the European Community, the Rotterdam
Convention on the Prior Informed Consent Procedure for certain hazardous chemicals and
pesticides in international trade

(2002/C 126 E/05)

(Text with EEA relevance)

COM(2001) 802 final — 2002/0030(ACC)

(Submitted by the Commission on 24 January 2002)

THE COUNCIL OF THE EUROPEAN UNION,

Having regard to the Treaty establishing the European
Community, and in particular Article 133,
in conjunction
with the first sentence of the first subparagraph of Article
300(2) and the first subparagraph of Article 300(3) thereof,

Having regard to the proposal from the Commission,

(5) Under the terms of the Convention, a regional economic
integration organisation must declare in its instrument of
ratification, acceptance, approval or accession the extent of
its competence in respect of the matters governed by the
Convention.

(6) In consequence,
Convention,

the Community

can approve

the

Having regard to the opinion of the European Parliament,

HAS DECIDED AS FOLLOWS:

Whereas:

(1) The Commission participated on behalf of the Community
in the negotiation of the Rotterdam Convention on the
Prior Informed Consent Procedure for certain hazardous
chemicals
in
accordance with the negotiating mandate given by the
Council.

in international

and pesticides

trade,

(2) Upon the conclusion of the negotiations, the Convention
was signed on behalf of the Community in Rotterdam on
11 September 1998.

(3) The Convention is an important step in improving the
trade in certain hazardous
international
chemicals and pesticides
to protect human
health and the environment from potential harm and to
promote the environmentally sound use of such substances.

regulation of

in order

(4) The Convention is open to ratification, acceptance or
approval by States and by regional economic integration
organisations.

Article 1

The Rotterdam Convention on the Prior Informed Consent
Procedure for certain hazardous chemicals and pesticides in
international trade, signed on 11 September 1998, is hereby
approved on behalf of the Community.

The text of the Convention is contained in the Annex to this
Decision.

Article 2

The President of

1.
is hereby authorised to
the Council
designate the person or persons empowered to deposit the
instrument of approval on behalf of the Community with the
Secretary-General of the United Nations,
in accordance with
Article 25(1) of the Convention.

The person or persons empowered to deposit

2.
the
the same time deposit a
instrument of approval shall at
declaration of competence, as required by Article 25(3) of
the Convention, stating that the Community is competent in
respect of all matters governed by the Convention.

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ANNEX

Rotterdam Convention on the Prior Informed Consent Procedure for certain hazardous chemicals
and pesticides in international trade

THE PARTIES TO THIS CONVENTION,

Aware of the harmful impact on human health and the environment from certain hazardous chemicals
and pesticides in international trade,

Recalling the pertinent provisions of the Rio Declaration on Environment and Development and chapter
19 of Agenda 21 on ‘Environmentally sound management of toxic chemicals, including prevention of
illegal international traffic in toxic and dangerous products’,

Mindful of the work undertaken by the United Nations Environment Programme (UNEP) and the Food and
Agriculture Organization of the United Nations (FAO) in the operation of the voluntary Prior Informed
Consent procedure, as set out in the UNEP Amended London Guidelines for the Exchange of Information
on Chemicals in International Trade (hereinafter referred to as the ‘Amended London Guidelines’) and the
FAO International Code of Conduct on the Distribution and Use of Pesticides (hereinafter referred to as the
‘International Code of Conduct’),

Taking into account the circumstances and particular requirements of developing countries and countries
with economies in transition, in particular the need to strengthen national capabilities and capacities for
the management of chemicals, including transfer of technology, providing financial and technical assistance
and promoting cooperation among the Parties,

Noting the specific needs of some countries for information on transit movements,

Recognizing that good management practices for chemicals should be promoted in all countries, taking
into account, inter alia, the voluntary standards laid down in the International Code of Conduct and the
UNEP Code of Ethics on the International Trade in Chemicals,

Desiring to ensure that hazardous chemicals that are exported from their territory are packaged and
labelled in a manner that is adequately protective of human health and the environment, consistent
with the principles of the Amended London Guidelines and the International Code of Conduct,

Recognizing that trade and environmental policies should be mutually supportive with a view to achieving
sustainable development,

Emphasizing that nothing in this Convention shall be interpreted as implying in any way a change in the
rights and obligations of a Party under any existing international agreement applying to chemicals in
international trade or to environmental protection,

Understanding that the above recital is not intended to create a hierarchy between this Convention and
other international agreements,

Determined to protect human health, including the health of consumers and workers, and the environment
against potentially harmful impacts from certain hazardous chemicals and pesticides in international trade,

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HAVE AGREED AS FOLLOWS:

Article 1

Objective

The objective of this Convention is to promote shared respon-
sibility and cooperative efforts among Parties in the inter-
trade of certain hazardous chemicals in order to
national
protect human health and the environment
from potential
harm and to contribute to their environmentally sound use,
by facilitating information exchange about their characteristics,
by providing for a national decision-making process on their
import and export and by disseminating these decisions to
Parties.

Article 2

Definitions

For the purposes of this Convention:

(a)

‘chemical’ means a substance whether by itself or in a
mixture or preparation and whether manufactured or
obtained from nature, but does not
include any living
organism. It consists of the following categories: pesticide
(including severely hazardous pesticide formulations) and
industrial;

(b) ‘banned chemical’ means a chemical all uses of which
within one or more categories have been prohibited by
final regulatory action, in order to protect human health
or the environment. It includes a chemical that has been
refused approval for first-time use or has been withdrawn
by industry either from the domestic market or from
further consideration in the domestic approval process
and where there is clear evidence that such action has
been taken in order to protect human health or the
environment;

(c)

‘severely restricted chemical’ means a chemical virtually all
use of which within one or more categories has been
prohibited by final regulatory action in order to protect
human health or the environment, but for which certain
specific uses remain allowed. It includes a chemical that
has,
for virtually all use, been refused for approval or
been withdrawn by industry either from the domestic
market or from further consideration in the domestic
approval process, and where there is clear evidence that
such action has been taken in order to protect human
health or the environment;

(e)

‘final regulatory action’ means an action taken by a Party,
that does not require subsequent regulatory action by that
Party, the purpose of which is to ban or severely restrict a
chemical;

(f)

‘export’ and ‘import’ mean, in their respective connotations,
the movement of a chemical from one Party to another
Party, but exclude mere transit operations;

(g)

‘Party’ means a State or regional economic integration
organization that has consented to be bound by this
Convention and for which the Convention is in force;

(h) ‘regional economic integration organization’ means an
organization constituted by sovereign States of a given
region to which its Member States have transferred
in respect of matters governed by this
competence
Convention and which has been duly authorized,
in
to sign, ratify,
accordance with its internal procedures,
accept, approve or accede to this Convention;

(i)

‘Chemical Review Committee’ means the subsidiary body
referred to in paragraph 6 of Article 18.

Article 3

Scope of the Convention

1.

This Convention applies to:

(a) banned or severely restricted chemicals; and

(b) severely hazardous pesticide formulations.

2.

This Convention does not apply to:

(a) narcotic drugs and psychotropic substances;

(b) radioactive materials;

(c) wastes;

(d) chemical weapons;

(d)

‘severely hazardous pesticide formulation’ means a chemical
formulated for pesticidal use that produces severe health or
environmental effects observable within a short period of
time after single or multiple exposure, under conditions of
use;

(f) chemicals used as food additives;

(g) food;

(e) pharmaceuticals, including human and veterinary drugs;

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(h) chemicals in quantities not likely to affect human health or

the environment provided they are imported:

received. If the notification does not contain the information
required, it shall inform the notifying Party accordingly.

(i) for the purpose of research or analysis; or

(ii) by an individual for his or her own personal use in

quantities reasonable for such use.

The Secretariat shall every six months communicate to
4.
the Parties a synopsis of the information received pursuant to
including information regarding those
paragraphs 1 and 2,
notifications which do not
information
required by Annex I.

contain all

the

Article 4

Designated national authorities

1.
Each Party shall designate one or more national auth-
orities that shall be authorized to act on its behalf in the
performance of the administrative functions required by this
Convention.

5. When the Secretariat has received at least one notification
from each of two Prior Informed Consent regions regarding a
particular chemical that it has verified meet the requirements of
Annex I,
forward them to the Chemical Review
Committee. The composition of the Prior Informed Consent
regions shall be defined in a decision to be adopted by
consensus at the first meeting of the Conference of the Parties.

it shall

2.
Each Party shall seek to ensure that such authority or
authorities have sufficient resources to perform their tasks
effectively.

Each Party shall, no later than the date of the entry into
3.
force of this Convention for it, notify the name and address of
such authority or authorities
shall
forthwith notify the Secretariat of any changes in the name
and address of such authority or authorities.

to the Secretariat.

It

The Secretariat shall forthwith inform the Parties of the

4.
notifications it receives under paragraph 3.

Article 5

Procedures for banned or severely restricted chemicals

1.
Each Party that has adopted a final regulatory action shall
notify the Secretariat in writing of such action. Such notifi-
cation shall be made as soon as possible, and in any event
no later than ninety days after the date on which the final
regulatory action has taken effect, and shall contain the
information required by Annex I, where available.

2.
Each Party shall, at the date of entry into force of this
Convention for it, notify the Secretariat in writing of its final
regulatory actions in effect at that time, except that each Party
that has submitted notifications of
final regulatory actions
under the Amended London Guidelines or the International
Code of Conduct need not resubmit those notifications.

The Chemical Review Committee

6.
review the
information provided in such notifications and, in accordance
in Annex II, recommend to the
with the criteria set out
Conference of the Parties whether the chemical
in question
should be made subject
Informed Consent
procedure and, accordingly, be listed in Annex III.

to the Prior

shall

Article 6

Procedures for severely hazardous pesticide formulations

1.
Any Party that is a developing country or a country with
an economy in transition and that is experiencing problems
caused by a severely hazardous pesticide formulation under
conditions of use in its territory, may propose to the Secretariat
the listing of the severely hazardous pesticide formulation in
Annex III. In developing a proposal, the Party may draw upon
technical expertise from any relevant source. The proposal shall
contain the information required by part 1 of Annex IV.

2.
The Secretariat shall, as soon as possible, and in any
event no later than six months after receipt of a proposal
under paragraph 1, verify whether the proposal contains the
information required by part 1 of Annex IV. If the proposal
contains
shall
forthwith forward to all Parties a summary of the information
If the proposal does not contain the information
received.
required, it shall inform the proposing Party accordingly.

information required,

the Secretariat

the

The Secretariat shall collect the additional information set
3.
out in part 2 of Annex IV regarding the proposal forwarded
under paragraph 2.

The Secretariat shall, as soon as possible, and in any
3.
event no later than six months after receipt of a notification
under paragraphs 1 and 2, verify whether the notification
contains the information required by Annex I. If the notifi-
cation contains the information required, the Secretariat shall
forthwith forward to all Parties a summary of the information

4. When the requirements of paragraphs 2 and 3 above
have been fulfilled with regard to a particular
severely
hazardous pesticide formulation, the Secretariat shall forward
the proposal and the related information to the Chemical
Review Committee.

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shall

The Chemical Review Committee

review the
5.
information provided in the proposal and the additional
information collected and, in accordance with the criteria set
out in part 3 of Annex IV, recommend to the Conference of
the Parties whether the severely hazardous pesticide formu-
lation in question should be made subject
to the Prior
Informed Consent procedure and, accordingly, be listed in
Annex III.

Article 7

Listing of chemicals in Annex III

For each chemical that the Chemical Review Committee
1.
has decided to recommend for listing in Annex III,
it shall
prepare a draft decision guidance document. The decision
guidance document should, at a minimum, be based on the
information specified in Annex I, or, as the case may be,
Annex IV, and include information on uses of the chemical
in a category other than the category for which the final regu-
latory action applies.

2.
The recommendation referred to in paragraph 1 together
with the draft decision guidance document shall be forwarded
to the Conference of the Parties. The Conference of the Parties
shall decide whether the chemical should be made subject to
the Prior Informed Consent procedure and, accordingly, list the
chemical in Annex III and approve the draft decision guidance
document.

3. When a decision to list a chemical in Annex III has been
taken and the related decision guidance document has been
approved by the Conference of
the Secretariat
shall forthwith communicate this information to all Parties.

the Parties,

Article 8

Chemicals

in the voluntary Prior

Informed Consent

procedure

For any chemical, other than a chemical listed in Annex III,
that has been included in the voluntary Prior Informed Consent
procedure before the date of
the
Conference of the Parties, the Conference of the Parties shall
in Annex III,
decide at
provided that
the requirements for
listing in that Annex have been fulfilled.

the first meeting of

that meeting to list

is satisfied that all

the chemical

it

Annex II or, as the case may be, Annex IV, the Secretariat shall
forward the information to the Chemical Review Committee.

The Chemical Review Committee

review the
2.
information it receives under paragraph 1. For each chemical
that the Chemical Review Committee decides,
in accordance
with the relevant criteria in Annex II or, as the case may be,
Annex IV, to recommend for removal from Annex III, it shall
prepare a revised draft decision guidance document.

shall

3.
A recommendation referred to in paragraph 2 shall be
forwarded to the Conference of the Parties and be accompanied
by a revised draft decision guidance document. The Conference
of the Parties shall decide whether the chemical should be
removed from Annex III and whether to approve the revised
draft decision guidance document.

4. When a decision to remove a chemical from Annex III
has been taken and the revised decision guidance document
has been approved by the Conference of the Parties, the Secre-
tariat shall
forthwith communicate this information to all
Parties.

Article 10

Obligations in relation to imports of chemicals listed in
Annex III

Each Party shall

1.
administrative measures
respect to the import of chemicals listed in Annex III.

implement appropriate legislative or
timely decisions with

to ensure

2.
Each Party shall transmit to the Secretariat, as soon as
possible, and in any event no later than nine months after the
date of dispatch of the decision guidance document referred to
in paragraph 3 of Article 7, a response concerning the future
import of the chemical concerned.
If a Party modifies this
response,
forthwith submit the revised response to
the Secretariat.

it shall

The Secretariat shall, at the expiration of the time period
3.
in paragraph 2,
forthwith address to a Party that has not
provided such a response, a written request to do so. Should
the Party be unable to provide a response, the Secretariat shall,
where appropriate, help it to provide a response within the
time period specified in the last sentence of paragraph 2 of
Article 11.

Article 9

4.

A response under paragraph 2 shall consist of either:

(a) a final decision, pursuant to legislative or administrative

Removal of chemicals from Annex III

measures:

1.
If a Party submits to the Secretariat information that was
not available at the time of the decision to list a chemical in
Annex III and that information indicates that its listing may no
longer be justified in accordance with the relevant criteria in

(i) to consent to import;

(ii) not to consent to import; or

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(iii) to consent

to import only subject

to specified

conditions; or

Secretariat shall, in addition, inform the Parties of any cases
of failure to transmit a response.

(b) an interim response, which may include:

Article 11

(i) an interim decision consenting to import with or
without specified conditions, or not consenting to
import during the interim period;

Obligations in relation to exports of chemicals listed in
Annex III

1.

Each exporting Party shall:

(ii) a statement

that a final decision is under active

consideration;

(a)

appropriate

implement
administrative
measures to communicate the responses forwarded by the
Secretariat in accordance with paragraph 10 of Article 10
to those concerned within its jurisdiction;

legislative

or

(iii) a request to the Secretariat, or to the Party that notified
the final regulatory action, for further information;

(iv) a request to the Secretariat for assistance in evaluating

the chemical.

5.
A response under subparagraphs (a) or (b) of paragraph 4
shall relate to the category or categories specified for the
chemical in Annex III.

6.
A final decision should be accompanied by a description
of any legislative or administrative measures upon which it is
based.

7.
Each Party shall, no later than the date of entry into force
of this Convention for it, transmit to the Secretariat responses
with respect to each chemical listed in Annex III. A Party that
has provided such responses under the Amended London
Guidelines or the International Code of Conduct need not
resubmit those responses.

Each Party shall make its responses under this Article
in
concerned within its

8.
available
jurisdiction,
accordance with its legislative or administrative measures.

to those

9.
A Party that, pursuant to paragraphs 2 and 4 above and
paragraph 2 of Article 11, takes a decision not to consent to
import of a chemical or to consent to its import only under
specified conditions shall, if it has not already done so, simul-
taneously prohibit or make subject to the same conditions:

(a)

import of the chemical from any source; and

(b) domestic production of the chemical for domestic use.

(b) take appropriate legislative or administrative measures to
ensure that exporters within its jurisdiction comply with
decisions in each response no later than six months after
the date on which the Secretariat first informs the Parties of
such response in accordance with paragraph 10 of Article
10;

(c) advise and assist importing Parties, upon request and as

appropriate:

(i) to obtain further information to help them to take
action in accordance with paragraph 4 of Article 10
and paragraph 2(c) below; and

(ii) to strengthen their capacities and capabilities to manage

chemicals safely during their life-cycle.

2.
Each Party shall ensure that a chemical listed in Annex III
is not exported from its territory to any importing Party that,
in exceptional circumstances, has failed to transmit a response
or has transmitted an interim response that does not contain
an interim decision, unless:

(a)

it is a chemical that, at the time of import, is registered as a
chemical in the importing Party; or

(b) it

is a chemical

for which evidence exists that

it has
previously been used in, or imported into, the importing
Party and in relation to which no regulatory action to
prohibit its use has been taken; or

10.
Every six months the Secretariat shall inform all Parties
of the responses it has received. Such information shall include
a description of the legislative or administrative measures on
which the decisions have been based, where available. The

(c) explicit consent to the import has been sought and received
by the exporter through a designated national authority of
the importing Party. The importing Party shall respond to
such a request within sixty days and shall promptly notify
the Secretariat of its decision.

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The obligations of exporting Parties under this paragraph shall
apply with effect from the expiration of a period of six months
from the date on which the Secretariat first informs the Parties,
in accordance with paragraph 10 of Article 10, that a Party has
failed to transmit a response or has transmitted an interim
response that does not contain an interim decision, and shall
apply for one year.

Article 12

Export notification

1. Where a chemical that is banned or severely restricted by
a Party is exported from its territory, that Party shall provide an
export notification to the importing Party. The export notifi-
cation shall include the information set out in Annex V.

2.
that
The export notification shall be provided for
chemical prior to the first export following adoption of the
corresponding final regulatory action. Thereafter, the export
notification shall be provided before the first export in any
calendar year. The requirement to notify before export may
be waived by the designated national authority of
the
importing Party.

to the individual chemicals or groups of
customs codes
chemicals listed in Annex III, as appropriate. Each Party shall
require that, whenever a code has been assigned to such a
chemical, the shipping document for that chemical bears the
code when exported.

2. Without prejudice to any requirements of the importing
Party, each Party shall require that both chemicals listed in
Annex III and chemicals banned or severely restricted in its
territory are, when exported, subject to labelling requirements
that ensure adequate availability of information with regard to
risks and/or hazards to human health or the environment,
taking into account relevant international standards.

3. Without prejudice to any requirements of the importing
to
Party, each Party may require that chemicals
environmental or health labelling requirements in its territory
to labelling requirements that
are, when exported, subject
ensure adequate availability of
information with regard to
risks and/or hazards to human health or the environment,
taking into account relevant international standards.

subject

3.
An exporting Party shall provide an updated export
notification after it has adopted a final regulatory action that
results in a major change concerning the ban or severe
restriction of that chemical.

4. With respect to the chemicals referred to in paragraph 2
that are to be used for occupational purposes, each exporting
Party shall require that a safety data sheet that follows an
internationally recognized format,
the most
up-to-date information available, is sent to each importer.

setting out

The importing Party shall acknowledge receipt of the first
4.
export notification received after the adoption of
the final
regulatory action. If the exporting Party does not receive the
acknowledgement within thirty days of the dispatch of the
export notification, it shall submit a second notification. The
exporting Party shall make reasonable efforts to ensure that the
importing Party receives the second notification.

The obligations of a Party set out in paragraph 1 shall

5.
cease when:

(a) the chemical has been listed in Annex III;

(b) the importing Party has provided a response for

the
chemical to the Secretariat in accordance with paragraph
2 of Article 10; and

(c) the Secretariat has distributed the response to the Parties in

accordance with paragraph 10 of Article 10.

Article 13

5.
The information on the label and on the safety data sheet
should, as far as practicable, be given in one or more of the
official languages of the importing Party.

Article 14

Information exchange

Each Party shall, as appropriate and in accordance with

1.
the objective of this Convention, facilitate:

(a) the exchange of scientific, technical, economic and legal
information concerning the chemicals within the scope of
including toxicological, ecotoxicological
this Convention,
and safety information;

(b) the provision of publicly available information on domestic
this

to the objectives of

relevant

regulatory actions
Convention; and

Information to accompany exported chemicals

1.
The Conference of the Parties shall encourage the World
Customs Organization to assign specific Harmonized System

(c)

the provision of information to other Parties, directly or
through the Secretariat, on domestic regulatory actions that
substantially restrict one or more uses of the chemical, as
appropriate.

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that

Parties

2.
Convention shall protect any confidential
mutually agreed.

exchange

information pursuant

to this
information as

The following information shall not be regarded as confi-

3.
dential for the purposes of this Convention:

(a) the information referred to in Annexes I and IV, submitted

pursuant to Articles 5 and 6 respectively;

(b) the information contained in the safety data sheet referred

to in paragraph 4 of Article 13;

(c) the expiry date of the chemical;

(d) information on precautionary measures,

including hazard
classification, the nature of the risk and the relevant safety
advice; and

(e) the summary results of the toxicological and ecotoxico-

logical tests.

The production date of the chemical shall generally not
4.
be considered confidential for the purposes of this Convention.

Any Party requiring information on transit movements
5.
through its territory of chemicals listed in Annex III may
report
inform all
Parties accordingly.

its need to the Secretariat, which shall

Article 15

Implementation of the Convention

Each Party shall take such measures as may be necessary
1.
to establish and strengthen its national infrastructures and insti-
tutions for the effective implementation of this Convention.
These measures may include, as required,
the adoption or
amendment of national legislative or administrative measures
and may also include:

Each Party shall ensure, to the extent practicable, that the
2.
public has appropriate access to information on chemical
handling and accident management and on alternatives that
are safer for human health or the environment
than the
chemicals listed in Annex III.

The Parties agree to cooperate, directly or, where appro-
3.
priate, through competent international organizations,
in the
implementation of this Convention at the sub-regional, regional
and global levels.

Nothing in this Convention shall be interpreted as
4.
restricting the right of the Parties to take action that is more
stringently protective of human health and the environment
than that called for in this Convention, provided that such
action is consistent with the provisions of this Convention
and is in accordance with international law.

Article 16

Technical assistance

The Parties shall, taking into account in particular the needs of
developing countries and countries with economies in tran-
sition, cooperate in promoting technical assistance for the
development of the infrastructure and the capacity necessary
to manage
this
to enable
Convention. Parties with more advanced programmes for regu-
lating chemicals should provide technical assistance, including
training, to other Parties in developing their infrastructure and
capacity to manage chemicals throughout their life-cycle.

implementation of

chemicals

Article 17

Non-compliance

The Conference of the Parties shall, as soon as practicable,
develop and approve procedures and institutional mechanisms
for determining non-compliance with the provisions of this
Convention and for
treatment of Parties found to be in
non-compliance.

Article 18

Conference of the Parties

1.

A Conference of the Parties is hereby established.

(a) the establishment of national

registers and databases

including safety information for chemicals;

(b) the encouragement of initiatives by industry to promote

chemical safety; and

(c) the promotion of voluntary agreements,
consideration the provisions of Article 16.

taking into

2.
The first meeting of the Conference of the Parties shall be
convened by the Executive Director of UNEP and the Director-
General of FAO, acting jointly, no later than one year after the
entry into force of
this Convention. Thereafter, ordinary
meetings of the Conference of the Parties shall be held at
regular intervals to be determined by the Conference.

3.
Extraordinary meetings of the Conference of the Parties
shall be held at such other times as may be deemed necessary
by the Conference, or at the written request of any Party
provided that it is supported by at least one third of the Parties.

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The Conference of the Parties shall by consensus agree
4.
upon and adopt at its first meeting rules of procedure and
financial rules for itself and any subsidiary bodies, as well as
financial provisions governing the functioning of the Secre-
tariat.

wish to be represented at a meeting of the Conference of the
Parties as an observer may be admitted unless at least one third
of the Parties present object. The admission and participation
of observers shall be subject to the rules of procedure adopted
by the Conference of the Parties.

The Conference of

5.
shall keep under
the
continuous review and evaluation the implementation of this
Convention. It shall perform the functions assigned to it by the
Convention and, to this end, shall:

Parties

Article 19

Secretariat

1.

A Secretariat is hereby established.

(a) establish, further to the requirements of paragraph 6 below,
such subsidiary bodies as it considers necessary for the
implementation of the Convention;

2.

The functions of the Secretariat shall be:

(b) cooperate, where appropriate, with competent international
and non-govern-
and intergovernmental

organizations
mental bodies; and

(c) consider and undertake any additional action that may be
the

the objectives of

required for the achievement of
Convention.

6.
The Conference of the Parties shall, at its first meeting,
establish a subsidiary body, to be called the Chemical Review
for the purposes of performing the functions
Committee,
assigned to that Committee by this Convention. In this regard:

(a) the members of the Chemical Review Committee shall be
appointed by the Conference of the Parties. Membership of
the Committee shall consist of a limited number of
government-designated experts in chemicals management.
The members of the Committee shall be appointed on the
including
basis of equitable geographical distribution,
ensuring a balance between developed and developing
Parties;

(b) the Conference of the Parties shall decide on the terms of
reference, organization and operation of the Committee;

(a) to make arrangements for meetings of the Conference of
the Parties and its subsidiary bodies and to provide them
with services as required;

(b) to facilitate assistance to the Parties, particularly developing
Parties and Parties with economies in transition, on request,
in the implementation of this Convention;

(c)

to ensure the necessary coordination with the secretariats
of other relevant international bodies;

(d) to enter, under the overall guidance of the Conference of
into such administrative and contractual
effective
required for

the Parties,
arrangements
discharge of its functions; and

as may be

the

(e)

to perform the other Secretariat functions specified in this
Convention and such other functions as may be determined
by the Conference of the Parties.

The Secretariat

3.
functions for this Convention shall be
performed jointly by the Executive Director of UNEP and the
Director-General of FAO, subject to such arrangements as shall
be agreed between them and approved by the Conference of
the Parties.

(c) the Committee shall make every effort to make its recom-
mendations by consensus. If all efforts at consensus have
been exhausted, and no consensus reached, such recom-
mendation shall as a last resort be adopted by a two-thirds
majority vote of the members present and voting.

4.
The Conference of the Parties may decide, by a three-
fourths majority of the Parties present and voting, to entrust
the Secretariat functions to one or more other competent inter-
national organizations, should it find that the Secretariat is not
functioning as intended.

7.
The United Nations, its specialized agencies and the Inter-
national Atomic Energy Agency, as well as any State not Party
to this Convention, may be represented at meetings of the
Conference of the Parties as observers. Any body or agency,
or
whether
the
non-governmental, qualified in matters
its
Convention, and which has informed the Secretariat of

governmental
covered by

international,

national

or

Article 20

Settlement of disputes

1.
Parties shall settle any dispute between them concerning
the interpretation or application of this Convention through
negotiation or other peaceful means of their own choice.

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2. When ratifying, accepting, approving or acceding to this
Convention, or at any time thereafter, a Party that is not a
regional economic integration organization may declare in a
written instrument submitted to the Depositary that, with
to any dispute concerning the interpretation or
respect
application of the Convention,
it recognizes one or both of
the following means of dispute settlement as compulsory in
relation to any Party accepting the same obligation:

(a) arbitration in accordance with procedures to be adopted by
the Conference of the Parties in an annex as soon as prac-
ticable; and

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

Justice.

3.
A Party that is a regional economic integration organ-
ization may make a declaration with like effect in relation to
arbitration in accordance with the procedure referred to in
paragraph 2(a).

A declaration made pursuant to paragraph 2 shall remain
4.
in force until it expires in accordance with its terms or until
three months after written notice of its revocation has been
deposited with the Depositary.

The expiry of a declaration, a notice of revocation or a
5.
new declaration shall not
in any way affect proceedings
pending before an arbitral tribunal or the International Court
of Justice unless the parties to the dispute otherwise agree.

6.
If the parties to a dispute have not accepted the same or
any procedure pursuant to paragraph 2, and if they have not
been able to settle their dispute within twelve months
following notification by one party to another that a dispute
exists between them,
the dispute shall be submitted to a
conciliation commission at the request of any party to the
dispute. The conciliation commission shall render a report
with recommendations. Additional procedures relating to the
conciliation commission shall be included in an annex to be
adopted by the Conference of the Parties no later than the
second meeting of the Conference.

Article 21

Amendments to the Convention

Amendments to this Convention may be proposed by

1.
any Party.

2.
Amendments to this Convention shall be adopted at a
meeting of the Conference of the Parties. The text of any
proposed amendment shall be communicated to the Parties
by the Secretariat at least six months before the meeting at

which it is proposed for adoption. The Secretariat shall also
communicate the proposed amendment to the signatories to
this Convention and, for information, to the Depositary.

3.
The Parties shall make every effort to reach agreement on
any proposed amendment to this Convention by consensus. If
all efforts at consensus have been exhausted, and no agreement
reached, the amendment shall as a last resort be adopted by a
three-fourths majority vote of the Parties present and voting at
the meeting.

The

the
4.
Depositary to all Parties for ratification, acceptance or approval.

communicated

amendment

shall

by

be

Ratification, acceptance or approval of an amendment
5.
shall be notified to the Depositary in writing. An amendment
adopted in accordance with paragraph 3 shall enter into force
for the Parties having accepted it on the ninetieth day after the
date of deposit of instruments of ratification, acceptance or
approval by at least three fourths of the Parties. Thereafter,
the amendment shall enter into force for any other Party on
the ninetieth day after the date on which that Party deposits its
instrument of
the
amendment.

ratification, acceptance or approval of

Article 22

Adoption and amendment of annexes

1.
Annexes to this Convention shall form an integral part
thereof and, unless expressly provided otherwise, a reference to
this Convention constitutes at the same time a reference to any
annexes thereto.

Annexes

2.
technical or administrative matters.

shall be restricted to procedural,

scientific,

The following procedure shall apply to the proposal,
3.
adoption and entry into force of additional annexes to this
Convention:

(a) additional

annexes

shall be proposed and adopted
according to the procedure laid down in paragraphs 1, 2
and 3 of Article 21;

(b) any Party that is unable to accept an additional annex shall
so notify the Depositary, in writing, within one year from
the date of communication of
the
additional annex by the Depositary. The Depositary shall
without delay notify all Parties of any such notification
received. A Party may at any time withdraw a previous
notification of non-acceptance in respect of an additional
annex and the annex shall thereupon enter into force for
that Party subject to subparagraph (c) below; and

the adoption of

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(c) on the expiry of one year from the date of the communi-
cation by the Depositary of the adoption of an additional
annex, the annex shall enter into force for all Parties that
have not submitted a notification in accordance with the
provisions of subparagraph (b) above.

4.
Except in the case of Annex III, the proposal, adoption
and entry into force of amendments to annexes to this
Convention shall be subject to the same procedures as for
the proposal, adoption and entry into force of additional
annexes to the Convention.

The following procedure shall apply to the proposal,
5.
adoption and entry into force of amendments to Annex III:

(a) amendments to Annex III shall be proposed and adopted
according to the procedure laid down in Articles 5 to 9
and paragraph 2 of Article 21;

(b) the Conference of the Parties shall take its decisions on

adoption by consensus;

(c) a decision to amend Annex III

forthwith be
communicated to the Parties by the Depositary. The
amendment shall enter into force for all Parties on a date
to be specified in the decision.

shall

11 September 1998, and at United Nations Headquarters in
New York from 12 September 1998 to 10 September 1999.

Article 25

Ratification, acceptance, approval or accession

be

subject

This Convention shall

to ratification,
1.
acceptance or approval by States and by regional economic
integration organizations.
It shall be open for accession by
States and by regional economic integration organizations
from the day after the date on which the Convention is
Instruments of ratification, acceptance,
closed for signature.
approval or accession shall be deposited with the Depositary.

Any regional economic integration organization that
2.
becomes a Party to this Convention without any of
its
Member States being a Party shall be bound by all the obli-
gations under the Convention.
In the case of such organ-
izations, one or more of whose Member States is a Party to
this Convention, the organization and its Member States shall
decide on their respective responsibilities for the performance
of their obligations under the Convention. In such cases, the
organization and the Member States shall not be entitled to
exercise rights under the Convention concurrently.

6.
If an additional annex or an amendment to an annex is
related to an amendment to this Convention, the additional
annex or amendment shall not enter into force until such
time as the amendment to the Convention enters into force.

In its instrument of ratification, acceptance, approval or
3.
accession, a regional economic integration organization shall
declare the extent of its competence in respect of the matters
governed by this Convention. Any such organization shall also
inform the Depositary, who shall in turn inform the Parties, of
any relevant modification in the extent of its competence.

Article 23

Voting

Each Party to this Convention shall have one vote, except

1.
as provided for in paragraph 2 below.

2.
A regional economic integration organization, on matters
within its competence, shall exercise its right to vote with a
number of votes equal to the number of its Member States that
are Parties to this Convention. Such an organization shall not
exercise its right to vote if any of its Member States exercises
its right to vote, and vice versa.

For the purposes of this Convention, ‘Parties present and
3.
voting’ means Parties present and casting an affirmative or
negative vote.

Article 26

Entry into force

1.
This Convention shall enter into force on the ninetieth
day after the date of deposit of the fiftieth instrument of rati-
fication, acceptance, approval or accession.

For each State or regional economic integration organ-
2.
ization that ratifies, accepts or approves this Convention or
accedes thereto after the deposit of the fiftieth instrument of
ratification, acceptance, approval or accession, the Convention
shall enter into force on the ninetieth day after the date of
deposit by such State or regional economic integration organ-
ization of its instrument of ratification, acceptance, approval or
accession.

Article 24

Signature

This Convention shall be open for signature at Rotterdam by
all States and regional economic integration organizations on

3.
For the purpose of paragraphs 1 and 2, any instrument
deposited by a regional economic integration organization shall
not be counted as additional to those deposited by Member
States of that organization.

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Article 27

Reservations

Article 29

Depositary

No reservations may be made to this Convention.

The Secretary-General of
Depositary of this Convention.

the United Nations shall be the

Article 28

Withdrawal

Article 30

Authentic texts

1.
At any time after three years from the date on which this
Convention has entered into force for a Party, that Party may
withdraw from the Convention by giving written notification
to the Depositary.

The original of this Convention, of which the Arabic, Chinese,
English,
equally
authentic, shall be deposited with the Secretary-General of
the United Nations.

French, Russian and Spanish texts

are

Any such withdrawal shall take effect upon expiry of one
2.
year from the date of receipt by the Depositary of the notifi-
cation of withdrawal, or on such later date as may be specified
in the notification of withdrawal.

In witness whereof the undersigned, being duly authorized to
that effect, have signed this Convention.

Done at Rotterdam on this tenth day of September, one
thousand nine hundred and ninety-eight.

Information requirements for notifications made pursuant to Article 5

Annex I

Notifications shall include:

1. Properties, identification and uses

(a) Common name;

(b) chemical name according to an internationally recognized nomenclature (for example, International Union of

Pure and Applied Chemistry (IUPAC)), where such nomenclature exists;

(c) trade names and names of preparations;

(d) code numbers: Chemicals Abstract Service (CAS) number, Harmonized System customs code and other numbers;

(e)

information on hazard classification, where the chemical is subject to classification requirements;

(f) use or uses of the chemical;

(g) physico-chemical, toxicological and ecotoxicological properties.

2. Final regulatory action

(a)

Information specific to the final regulatory action:

(i) summary of the final regulatory action;

(ii) reference to the regulatory document;

(iii) date of entry into force of the final regulatory action;

(iv) indication of whether the final regulatory action was taken on the basis of a risk or hazard evaluation and, if

so, information on such evaluation, covering a reference to the relevant documentation;

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(v) reasons for the final regulatory action relevant to human health, including the health of consumers and

workers, or the environment;

(vi) summary of the hazards and risks presented by the chemical to human health,

including the health of

consumers and workers, or the environment and the expected effect of the final regulatory action.

(b) Category or categories where the final regulatory action has been taken, and for each category:

(i) use or uses prohibited by the final regulatory action;

(ii) use or uses that remain allowed;

(iii) estimation, where available, of quantities of the chemical produced, imported, exported and used.

(c) An indication, to the extent possible, of the likely relevance of the final regulatory action to other States and

regions.

(d) Other relevant information that may cover:

(i) assessment of socio-economic effects of the final regulatory action;

(ii) information on alternatives and their relative risks, where available, such as:

— integrated pest management strategies;

— industrial practices and processes, including cleaner technology.

Criteria for listing banned or severely restricted chemicals in Annex III

Annex II

In reviewing the notifications forwarded by the Secretariat pursuant to paragraph 5 of Article 5, the Chemical Review
Committee shall:

(a) confirm that the final regulatory action has been taken in order to protect human health or the environment;

(b) establish that the final regulatory action has been taken as a consequence of a risk evaluation. This evaluation shall
be based on a review of scientific data in the context of the conditions prevailing in the Party in question. For this
purpose, the documentation provided shall demonstrate that:

(i) data have been generated according to scientifically recognized methods;

(ii) data reviews have been performed and documented according to generally recognized scientific principles and

procedures;

(iii) the final regulatory action was based on a risk evaluation involving prevailing conditions within the Party taking

the action;

(c) consider whether the final regulatory action provides a sufficiently broad basis to merit listing of the chemical in

Annex III, by taking into account:

(i) whether the final regulatory action led, or would be expected to lead, to a significant decrease in the quantity of

the chemical used or the number of its uses;

(ii) whether the final regulatory action led to an actual reduction of risk or would be expected to result in a
significant reduction of risk for human health or the environment of the Party that submitted the notification;

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(iii) whether the considerations that led to the final regulatory action being taken are applicable only in a limited

geographical area or in other limited circumstances;

(iv) whether there is evidence of ongoing international trade in the chemical;

(d) take into account that intentional misuse is not in itself an adequate reason to list a chemical in Annex III.

Annex III

Chemicals subject to the Prior Informed Consent Procedure

Chemical

Relevant CAS number(s)

Category

2,4,5-T

Aldrin

Captafol

Chlordane

Chlordimeform

Chlorobenzilate

DDT

Dieldrin

93-76-5

309-00-2

2425-06-1

57-74-9

6164-98-3

510-15-6

50-29-3

60-57-1

Dinoseb and dinoseb salts

88-85-7

1,2-dibromoethane (EDB)

106-93-4

Fluoroacetamide

HCH (mixed isomers)

Heptachlor

Hexachlorobenzene

Lindane

640-19-7

608-73-1

76-44-8

118-74-1

58-89-9

Mercury
including
compounds,
inorganic mercury compounds, alkyl
mercury compounds and alkyloxyalkyl
and aryl mercury compounds

Pesticide

Pesticide

Pesticide

Pesticide

Pesticide

Pesticide

Pesticide

Pesticide

Pesticide

Pesticide

Pesticide

Pesticide

Pesticide

Pesticide

Pesticide

Pesticide

Pentachlorophenol

87-86-5

Pesticide

Monocrotophos
(Soluble liquid formulations of
the
substance that exceed 600 g active
ingredient/l)

6923-22-4

Severely hazardous pesticide formu-
lation

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Chemical

Relevant CAS number(s)

Category

Methamidophos
(Soluble liquid formulations of
the
substance that exceed 600 g active
ingredient/l)

10265-92-6

Severely hazardous pesticide formu-
lation

Phosphamidon
(Soluble liquid formulations of
the
substance that exceed 1 000 g active
ingredient/l)

13171-21-6 (mixture,
(E)&(Z) isomers)
23783-98-4 ((Z)-isomer)
297-99-4 ((E)-isomer)

Severely hazardous pesticide formu-
lation

Methyl-parathion
(EC) with
concentrates
(emulsifiable
19,5 %, 40 %, 50 %, 60 % active
ingredient and dusts containing 1,5 %,
2 % and 3 % active ingredient)

298-00-0

Severely hazardous pesticide formu-
lation

Parathion
(all formulations — aerosols, dustable
powder (DP), emulsifiable concentrate
and wettable
(EC),
(GR)
powders (WP) of
this substance are
included, except capsule suspensions
(CS))

granules

56-38-2

Severely hazardous pesticide formu-
lation

Crocidolite

12001-28-4

Polybrominated biphenyls (PBB)

36355-01-8 (hexa-)
27858-07-7 (octa-)
13654-09-6 (deca-)

Polychlorinated biphenyls (PCB)

1336-36-3

Polychlorinated terphenyls (PCT)

61788-33-8

Tris (2,3-dibromopropyl) phosphate

126-72-7

Industrial

Industrial

Industrial

Industrial

Industrial

Information and criteria for listing severely hazardous pesticide formulations in Annex III

Annex IV

Part 1: Documentation required from a proposing Party

Proposals submitted pursuant to paragraph 1 of Article 6 shall include adequate documentation containing the following
information:

(a) name of the hazardous pesticide formulation;

(b) name of the active ingredient or ingredients in the formulation;

(c) relative amount of each active ingredient in the formulation;

(d) type of formulation;

(e)

trade names and names of the producers, if available;

(f) common and recognized patterns of use of the formulation within the proposing Party;

(g) a clear description of incidents related to the problem, including the adverse effects and the way in which the

formulation was used;

(h) any regulatory, administrative or other measure taken, or intended to be taken, by the proposing Party in response

to such incidents.

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Part 2: Information to be collected by the Secretariat

Pursuant to paragraph 3 of Article 6, the Secretariat shall collect relevant information relating to the formulation,
including:

(a)

the physico-chemical, toxicological and ecotoxicological properties of the formulation;

(b) the existence of handling or applicator restrictions in other States;

(c)

information on incidents related to the formulation in other States;

(d)

information submitted by other Parties,
relevant sources, whether national or international;

international organizations, non-governmental organizations or other

(e) risk and/or hazard evaluations, where available;

(f)

indications, if available, of the extent of use of the formulation, such as the number of registrations or production or
sales quantity;

(g) other formulations of the pesticide in question, and incidents, if any, relating to these formulations;

(h) alternative pest-control practices;

(i) other information which the Chemical Review Committee may identify as relevant.

Part 3: Criteria for listing severely hazardous pesticide formulations in Annex III

In reviewing the proposals forwarded by the Secretariat pursuant to paragraph 5 of Article 6, the Chemical Review
Committee shall take into account:

(a) the reliability of the evidence indicating that use of the formulation, in accordance with common or recognized

practices within the proposing Party, resulted in the reported incidents;

(b) the relevance of such incidents to other States with similar climate, conditions and patterns of use of the formu-

lation;

(c) the existence of handling or applicator restrictions involving technology or techniques that may not be reasonably or

widely applied in States lacking the necessary infrastructure;

(d) the significance of reported effects in relation to the quantity of the formulation used;

(e)

that intentional misuse is not in itself an adequate reason to list a formulation in Annex III.

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Annex V

Information requirements for export notification

1. Export notifications shall contain the following information:

(a) name and address of the relevant designated national authorities of the exporting Party and the importing Party;

(b) expected date of export to the importing Party;

(c) name of the banned or severely restricted chemical and a summary of the information specified in Annex I that is
to be provided to the Secretariat in accordance with Article 5. Where more than one such chemical is included in
a mixture or preparation, such information shall be provided for each chemical;

(d) a statement indicating, if known, the foreseen category of the chemical and its foreseen use within that category

in the importing Party;

(e)

information on precautionary measures to reduce exposure to, and emission of, the chemical;

(f)

in the case of a mixture or a preparation, the concentration of the banned or severely restricted chemical or
chemicals in question;

(g) name and address of the importer;

(h) any additional information that is readily available to the relevant designated national authority of the exporting

Party that would be of assistance to the designated national authority of the importing Party.

2. In addition to the information referred to in paragraph 1, the exporting Party shall provide such further information

specified in Annex I as may be requested by the importing Party.