2003/106/EC: Council Decision of 19 December 2002 concerning the approval, on behalf of the European Community, of the Rotterdam Convention on the Prior Informed Consent Procedure for certain hazardous chemicals and pesticides in international trade
Date: 2002-12-19
Institutions: Council of the European Union
Subjects: UN convention, chemical product, dangerous substance, decision-making, environmental protection, exchange of information, international trade, pesticide, public health

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II

(Acts whose publication is not obligatory)

COUNCIL

COUNCIL DECISION

of 19 December 2002

concerning the approval, on behalf of the European Community, of the Rotterdam Convention on
the Prior Informed Consent Procedure for certain hazardous chemicals and pesticides in
international trade

(2003/106/EC)

THE COUNCIL OF THE EUROPEAN UNION,

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

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

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

(5)

(6)

the

terms of

the Convention,

regional
Under
economic integration organisation must declare in its
instrument of
approval or
accession the extent of its competence in respect of the
matters governed by the Convention.

acceptance,

ratification,

a

On 28 January 2003 Regulation (EC) No 304/2003 of
the European Parliament and the Council concerning
the export and import of dangerous chemicals (3) was
adopted.

Whereas:

(7)

In consequence thereof, the Community can approve
the Convention,

(1)

(2)

(3)

(4)

on behalf

of
the
The Commission participated
Community in the negotiation of
the Rotterdam
Convention on the Prior Informed Consent Procedure
in
for
international trade, in accordance with the negotiating
mandate given by the Council.

chemicals and pesticides

certain hazardous

the

conclusion

the
of
Upon
Convention was signed on behalf of the Community in
Rotterdam on 11 September 1998.

negotiations,

the

The Convention is an important step in improving the
international regulation of trade in certain hazardous
chemicals and pesticides in order to protect human
health and the environment from potential harm and to
such
promote
substances.

environmentally sound use of

the

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

(1) OJ C 126 E, 28.5.2002, p. 274.
(2) Opinion of 24 October 2002 (not yet published in the Official

HAS DECIDED AS FOLLOWS:

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 European Community.

The text of the Convention is set out in Annex A hereto.

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.

Journal).

(3) See p. 1 of this Journal.

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The person or persons empowered to deposit
the same time deposit

2.
the
the
instrument of approval shall at
declaration of competence set out in Annex B to this Decision,
as required by Article 25(3) of the Convention.

Done at Brussels, 19 December 2002.

For the Council

The President

L. ESPERSEN

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ANNEX A

TRANSLATION

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 (cid:145)Environmentally sound management of toxic chemicals, including prevention of illegal international traffic in
toxic and dangerous products(cid:146),

Mindful of the work undertaken by the United Nations Environment Programme (UNEP) and the Food and Agriculture
Organisation 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 (cid:145)Amended London Guidelines(cid:146)) and the FAO International Code of Conduct on the
Distribution and Use of Pesticides (hereinafter referred to as the (cid:145)International Code of Conduct(cid:146)),

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,

Recognising 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,

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

Emphasising 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
international agreements,

the above recital

is not

intended to create a hierarchy between this Convention and other

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,

HAVE AGREED AS FOLLOWS:

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Article 1

Objective

(f)

Party, the purpose of which is to ban or severely restrict a
chemical;

and

(cid:145)export(cid:146)
respective
connotations, the movement of a chemical from one Party
to another Party, but exclude mere transit operations;

(cid:145)import(cid:146) mean,

their

in

to promote shared
this Convention is
The objective of
responsibility and cooperative efforts among Parties in the
international trade of certain hazardous chemicals in order to
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

(g)

(cid:145)Party(cid:146) means a State or regional economic integration
organisation that has consented to be bound by this
Convention and for which the Convention is in force;

(h)

(cid:145)regional economic integration organisation(cid:146) means an
organisation 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 authorised,
in
to sign, ratify,
accordance with its internal procedures,
accept, approve or accede to this Convention;

For the purposes of this Convention:

(i)

(cid:145)Chemical Review Committee(cid:146) means the subsidiary body
referred to in paragraph 6 of Article 18.

(a)

(b)

(c)

(d)

(cid:145)chemical(cid:146) 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;

It

includes a chemical

(cid:145)banned chemical(cid:146) 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.
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
the
environment;

to protect human health or

(cid:145)severely restricted chemical(cid:146) 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;

pesticide

hazardous

(cid:145)severely
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;

formulation(cid:146) means

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;

(e) pharmaceuticals, including human and veterinary drugs;

(f) chemicals used as food additives;

(g)

food;

(e)

(cid:145)final regulatory action(cid:146) means an action taken by a Party,
that does not require subsequent regulatory action by that

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

the environment provided they are imported:

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(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.

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

Article 4

Designated national authorities

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

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

3.
Each Party shall, no later than the date of the entry into
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

Each Party that has adopted a final regulatory action shall
1.
notify the Secretariat
such action. Such
in writing of
notification shall be made as soon as possible, and in any
event no later than 90 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

information required by Annex I.

3.
The Secretariat shall, as soon as possible, and in any
event no later than six months after receipt of a notification
under paragraphs 1 and 2, verify whether the notification
the
contains
notification contains the information required, the Secretariat
shall
the
forthwith forward to all Parties a summary of
information received. If the notification does not contain the
information required,
inform the notifying Party
accordingly.

shall

If

it

at

received

Secretariat has

5. When the
least one
notification from each of two Prior Informed Consent regions
regarding a particular chemical that it has verified meets the
forward them to the
it
requirements of Annex I,
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.

shall

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
in question
Conference of the Parties whether the chemical
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
territory, may propose to the
conditions of use in its
Secretariat
the severely hazardous pesticide
the listing of
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
the proposal does not contain the information
received.
required, it shall inform the proposing Party accordingly.

information required,

the Secretariat

the

If

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

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.

The Chemical Review Committee

5.
review the
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

shall

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Parties whether

the
pesticide
formulation in question should be made subject to the Prior
Informed Consent procedure and, accordingly, be listed in
Annex III.

hazardous

severely

the

The Chemical Review Committee

2.
review the
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

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
regulatory 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 Parties, the Secretariat shall
forthwith communicate this information to all Parties.

Article 8

Chemicals in the voluntary Prior Informed Consent
procedure

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

that meeting to list

the chemical

Article 9

Removal of chemicals from Annex III

If a Party submits to the Secretariat information that was
1.
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
Annex II or, as the case may be, Annex IV, the Secretariat shall
forward the information to the Chemical Review Committee.

to the Conference of

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

shall decide whether

the Parties

Parties

the

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
Secretariat shall forthwith communicate this information to all
Parties.

the Parties,

Article 10

Obligations in relation to imports of chemicals listed in
Annex III

Each Party shall

1.
implement appropriate legislative or
administrative measures to ensure timely decisions with respect
to the import of chemicals listed in Annex III.

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, it shall forthwith submit the revised response to the
Secretariat.

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.

4.

A response under paragraph 2 shall consist of either:

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

measures:

(i)

to consent to import;

(ii) not to consent to import; or

(iii) to consent

to import only subject

to specified

conditions; or

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(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)

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

appropriate

administrative
implement
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

(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.

this Convention for it,

Each Party shall, no later than the date of entry into
7.
force of
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.

transmit

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

8.
available
accordance with its legislative or administrative measures.

jurisdiction,

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
it has not already done so,
specified conditions shall,
simultaneously prohibit or make
same
conditions:

to the

subject

if

(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)

is a chemical

for which evidence exists that

it
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

(a)

import of the chemical from any source; and

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

(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 60 days and shall
promptly notify the Secretariat of its decision.

Every six months the Secretariat shall inform all Parties
10.
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
Secretariat shall, in addition, inform the Parties of any cases of
failure to transmit a response.

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

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response that does not contain an interim decision, and shall
apply for one year.

chemical, the shipping document for that chemical bears the
code when exported.

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
notification 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.

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.

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 30 days of the dispatch of the export
notification,
second notification. The
exporting Party shall make reasonable efforts to ensure that the
importing Party receives the second notification.

submit

shall

it

a

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
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.

subject

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
the most
up-to-date information available, is sent to each importer.

recognised format,

setting out

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

The obligations of a Party set out in paragraph 1 shall

5.
cease when:

(a)

the chemical has been listed in Annex III;

Each Party shall, as appropriate and in accordance with

1.
the objective of this Convention, facilitate:

(b) the importing Party has provided a response for

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

(a)

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

(c)

the Secretariat has distributed the response to the Parties in
accordance with paragraph 10 of Article 10.

Article 13

Information to accompany exported chemicals

1.
The Conference of the Parties shall encourage the World
Customs Organisation to assign specific Harmonised System
customs codes
to the individual chemicals or groups of
chemicals listed in Annex III, as appropriate. Each Party shall
require that, whenever a code has been assigned to such a

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

to the objectives of

relevant

regulatory actions
Convention; and

(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.

Parties

that exchange information pursuant

2.
Convention shall protect any confidential
mutually agreed.

to this
information as

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The following information shall not be regarded as

3.
confidential for the purposes of this Convention:

the implementation of
regional and global levels.

this Convention at

the subregional,

(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;

4.
Nothing in this Convention shall be interpreted as
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.

(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)

summary
the
ecotoxicological tests.

results

of

the

toxicological

and

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

5.
Any Party requiring information on transit movements
through its territory of chemicals listed in Annex III may
report its need to the Secretariat, which shall inform all Parties
accordingly.

Article 15

Implementation of the Convention

Each Party shall take such measures as may be necessary
infrastructures and
this
the
or

1.
to establish and strengthen its national
institutions
effective
the
Convention. These measures may include, as required,
legislative
national
amendment
adoption
administrative measures and may also include:

implementation

for

or

of

of

Article 16

Technical assistance

countries

and countries with economies

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

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
treatment of Parties found to be in
Convention and for
non-compliance.

Article 18

Conference of the Parties

(a)

the establishment of national
including safety information for chemicals;

registers and databases

1.

A Conference of the Parties is hereby established.

(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
this Convention. Thereafter,
ordinary meetings of the Conference of the Parties shall be
held at regular intervals to be determined by the Conference.

the entry into force of

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

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

is supported by at

least one third of

it

3.
The Parties agree to cooperate, directly or, where
appropriate, through competent international organisations, in

4.
The Conference of the Parties shall by consensus agree
upon and adopt at its first meeting rules of procedure and

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financial rules for itself and any subsidiary bodies, as well as
the
financial provisions
Secretariat.

functioning

governing

the

of

The Conference of

keep under
the
5.
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

shall

(a) establish,

further

to the requirements of paragraph 6
below, such subsidiary bodies as it considers necessary for
the implementation of the Convention;

(b) cooperate,

where

international organisations
non-governmental bodies; and

appropriate,

with
and intergovernmental

competent
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, organisation and operation of the Committee;

(c)

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

The United Nations,

7.
its specialised agencies and the
International Atomic Energy Agency, as well as any State not
Party to this Convention, may be represented at meetings of
the Conference of
the Parties as observers. Any body or
agency, whether national or international, governmental or
non-governmental, qualified in matters
the
Convention, and which has informed the Secretariat of its wish
to be represented at a meeting of the Conference of the Parties
as an observer may be admitted unless at least one third of the
Parties present object. The admission and participation of
observers shall be subject to the rules of procedure adopted by
the Conference of the Parties.

covered by

Article 19

Secretariat

1.

A Secretariat is hereby established.

2.

The functions of the Secretariat shall be:

(a)

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

(b) to facilitate assistance to the Parties, particularly developing
in transition, on

Parties and Parties with economies
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
as may be
functions
determined by the Conference of the Parties.

such other

3.
The Secretariat 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.

The Conference of

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

the Secretariat

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.

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

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(a) arbitration in accordance with procedures to be adopted
by the Conference of the Parties in an Annex as soon as
practicable; and

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

Justice.

is

that

A Party

3.
integration
organisation may make a declaration with like effect in relation
to arbitration in accordance with the procedure referred to in
paragraph 2(a).

economic

regional

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 12 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
a
conciliation
report with
render
shall
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.

commission

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
shall also
it
communicate the proposed amendment to the signatories to
this Convention and, for information, to the Depositary.

is proposed for adoption. The Secretariat

The Parties shall make every effort to reach agreement on
3.
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

amendment

4.
Depositary to all Parties
approval.

shall

be

communicated

for

ratification,

by
the
acceptance or

5.
Ratification, acceptance or approval of an amendment
shall be notified to the Depositary in writing. An amendment
adopted in accordance with paragraph 3 shall enter into force
for the Parties having accepted it on the 90th 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
90th 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

Annexes to this Convention shall form an integral part
1.
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,

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

(a) additional Annexes

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

(b) any Party that is unable to accept an additional Annex
shall so notify the Depositary, in writing, within one year
from the date of communication of the adoption 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

(c) on the

expiry of one year

the
communication by the Depositary of the adoption of an
additional Annex, the Annex shall enter into force for all
Parties
a notification in
accordance with the provisions of subparagraph (b) above.

from the date of

that have not

submitted

Except in the case of Annex III, the proposal, adoption
4.
and entry into force of amendments
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.

to annexes

The following procedure shall apply to the proposal,

5.
adoption and entry into force of amendments to Annex III:

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(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

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

Article 23

Voting

Each Party to this Convention shall have one vote, except

1.
as provided for in paragraph 2 below.

2.
A regional economic integration organisation, 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 organisation shall
not exercise its right
its Member States
exercises its right to vote, and vice versa.

to vote if any of

3.
For the purposes of this Convention, (cid:145)Parties present and
voting(cid:146) means Parties present and casting an affirmative or
negative vote.

Article 24

Signature

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

to

be

subject

This Convention shall

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

of whose Member States is a Party to this Convention, the
organisation and its Member States shall decide on their
their
respective
obligations under
the
organisation and the Member States shall not be entitled to
exercise rights under the Convention concurrently.

for
the Convention.

the performance of

In such cases,

responsibilities

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

Article 26

Entry into force

1.
This Convention shall enter into force on the 90th day
after the date of deposit of the 50th instrument of ratification,
acceptance, approval or accession.

For

regional

economic

each State or

2.
integration
organisation that ratifies, accepts or approves this Convention
or accedes thereto after the deposit of the 50th instrument of
ratification, acceptance, approval or accession, the Convention
shall enter into force on the 90th day after the date of deposit
by such State or regional economic integration organisation of
its
approval or
accession.

ratification,

acceptance,

instrument

of

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

Article 27

Reservations

No reservations may be made to this Convention.

Article 28

Withdrawal

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

2.
Any regional economic integration organisation that
becomes a Party to this Convention without any of its Member
States being a Party shall be bound by all the obligations under
the Convention. In the case of such organisations, one or more

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

receipt by the Depositary of

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Article 29

Depositary

Article 30

Authentic texts

The Secretary-General of
Depositary of this Convention.

the United Nations shall be the

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

IN WITNESS WHEREOF the undersigned, being duly authorised to that effect, have signed this
Convention.

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

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Annex I to Annex A

INFORMATION REQUIREMENTS FOR NOTIFICATIONS MADE PURSUANT TO ARTICLE 5

Notifications shall include:

1. Properties, identification and uses

(a) common name;

(b) chemical name according to an internationally recognised 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, Harmonised 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;

(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 socioeconomic effects of the final regulatory action;

(ii)

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

(cid:151) integrated pest management strategies,

(cid:151) industrial practices and processes, including cleaner technology.

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Annex II to Annex A

CRITERIA FOR LISTING BANNED OR SEVERELY RESTRICTED CHEMICALS IN ANNEX III

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 recognised methods;

(ii) data reviews have been performed and documented according to generally recognised 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;

(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.

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Annex III to Annex A

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

Dinoseb and dinoseb salts

93-76-5

309-00-2

2425-06-1

57-74-9

6164-98-3

510-15-6

50-29-3

60-57-1

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

Pentachlorophenol

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

87-86-5

6923-22-4

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

10265-92-6

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)

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

298-00-0

Pesticide

Pesticide

Pesticide

Pesticide

Pesticide

Pesticide

Pesticide

Pesticide

Pesticide

Pesticide

Pesticide

Pesticide

Pesticide

Pesticide

Pesticide

Pesticide

Pesticide

Severely hazardous pesticide
formulation

Severely hazardous pesticide
formulation

Severely hazardous pesticide
formulation

Severely hazardous pesticide
formulation

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Chemical

Relevant CAS number(s)

Category

56-38-2

Severely hazardous pesticide
formulation

Parathion (all formulations (cid:151)
aerosols, dustable powder (DP),
emulsifiable concentrate (EC), granules
(GR) and wettable powders (WP) of
this substance are included, except
capsule suspensions (CS))

Crocidolite

Polybrominated biphenyls (PBB)

12001-28-4

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

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Annex IV to Annex A

INFORMATION AND CRITERIA FOR LISTING SEVERELY HAZARDOUS PESTICIDE FORMULATIONS IN
ANNEX III

Part 1: Documentation required from a proposing Party

Proposals submitted pursuant
following information:

to paragraph 1 of Article 6 shall

include adequate documentation containing the

(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 recognised 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.

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 organisations, non-governmental organisations 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 recognised
practices within the proposing Party, resulted in the reported incidents;

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(b)

(c)

the relevance of such incidents to other States with similar climate, conditions and patterns of use of
formulation;

the

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 to Annex A

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

the exporting Party shall provide such further

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DECLARATION BY THE EUROPEAN COMMUNITY IN ACCORDANCE WITH ARTICLE 25 (PARAGRAPH 3)
OF THE ROTTERDAM CONVENTION

ANNEX B

(cid:145)The European Community declares that, in accordance with the Treaty establishing the European Community, and in
particular Article 175(1)
the
is competent
obligations resulting therefrom, which contribute to the pursuit of the following objectives:

to enter into international agreements, and to implement

thereof,

it

(cid:151) preserving, protecting and improving the quality of the environment,

(cid:151) protecting human health,

(cid:151) prudent and rational utilisation of natural resources,

(cid:151) promoting measures at international level to deal with regional or worldwide environmental problems.

Moreover, the European Community declares that it has already adopted legal instruments, including Regulation (EC)
No 304/2003 of the European Parliament and the Council concerning the export and import of dangerous chemicals,
binding on its Member States, covering matters governed by this Convention, and will submit and update, as
appropriate, a list of those legal instruments to the Secretariat of the Convention.

The European Community is responsible for the performance of those obligations resulting from the Convention which
are covered by Community law in force.

The exercise of Community competence is, by its nature, subject to continuous development.(cid:146)