Proposal for a Council Decision concerning the conclusion, on behalf of the European Community, of the Stockholm Convention on Persistent Organic Pollutants
Date: 2003-06-12
Institutions: European Commission
Subjects: UN Environment Programme, environmental policy, international convention, organic pollution, pollutant

COMMISSION OF THE EUROPEAN COMMUNITIES

Brussels, 12.6.2003
COM(2003) 331 final

2003/0118 (CNS)

Proposal for a

COUNCIL DECISION

concerning the conclusion, on behalf of the European Community, of the Stockholm
Convention on Persistent Organic Pollutants

(presented by the Commission)

1. 

2. 

3. 

4. 

5. 

6. 

7. 

8. 

EXPLANATORY MEMORANDUM

Under  the  auspices  of  the  United  Nations  Environment  Programme  (UNEP),
negotiations for a Convention on the Persistent Organic Pollutants were concluded in
December  2000.  The  Community  together  with  its  Member  States  were  actively
participating in the negotiations.

The  Convention  was  adopted  and  opened  for  signature  at  a  Conference  of  the
Plenipotentiaries  in  Stockholm  in  May  2001.  The  Community  and  all  the  Member
States signed the Convention on 22 May 2001.

The  aim  of  the  Convention  is  to  protect  human  health  and  the  environment  from
persistent  organic  pollutants.  The  Convention  provides  a  framework,  based  on  the
precautionary principle, for elimination of production, use, import and export of the
initial  twelve priority  persistent  organic  pollutants,  their  safe  handling  and  disposal
and  elimination  or  reduction  of  releases  of  certain  unintentional  persistent  organic
pollutants.  In  addition,  the  Conventions  lays  down  the  rules  for  the  listing  of
additional persistent organic pollutants in the Convention.

To  ensure  that  proposals  for  listing  additional  substances  in  the  Convention  are
justified and have sufficient  support in the Community, only  joint  proposals  by the
Community and the Member States should be submitted to the Secretariat. Therefore,
appropriate  provisions  on  submitting  new  proposals  should  be  included  in  the
Decision.

When  Annexes  A,  B  or  C  of  the  Convention  have  been  amended,  and  the
Commission has not decided to implement the amendment within one year from the
date  of  communication  by  the  depositary  of  the  adoption  of  the  amendment,  the
Commission  should  be  obliged  to  notify  the  non-acceptance  of  the  amendment  in
accordance  with  Article  22(3)(b)  of  the  Convention  to  prevent  a  situation  of  non-
compliance.

While the main purpose and the content of the Convention concerns  environmental
protection,  the  provisions  concerning  prohibitions  and  restrictions  of  intentional
production  and  use  of  chemicals  are  relevant  to  the  functioning  of  the  internal
market.  Therefore,  it  is  appropriate  that  the  Decision  on  ratification  is  based  on
Articles 175(1) and 95(1), in conjunction with Article 300.

In parallel to this proposed Decision, the Commission has put forward a proposal for
a  Regulation  by  the  European  Parliament  and  the  Council  to  implement  certain
provisions  of  the  Convention,  which  are  not  yet  implemented  by  the  Community
legislation.

In  accordance  with  Article  25(3)  of  the  Convention,  regional  economic  integration
organisations must declare the extent of their competence with respect to the matters
governed by the Convention. To fulfil this obligation, the Commission has prepared
the Declaration annexed to the present proposal.

It is therefore possible for the Community to approve the Stockholm Convention on Persistent
Organic Pollutants.

2

2003/0118 (CNS)

Proposal for a

COUNCIL DECISION

concerning the conclusion, on behalf of the European Community, of the Stockholm
Convention on Persistent Organic Pollutants

THE COUNCIL OF THE EUROPEAN UNION,

Having regard to the Treaty establishing the European Community, and in particular Article
95(1)  and  Article  175(1),  in  conjunction  with  Article  300(2),  first  sentence  of  the  first
subparagraph and Article 300(3), first subparagraph thereof,

Having regard to the proposal from the Commission1,

Having regard to the opinion of the European Parliament2,

Having regard to the opinion of the European Economic and Social Committee3,

Having regard to the opinion of the Committee of the Regions4,

Whereas:

(1) 

(2) 

(3) 

(4) 

The  promotion  of  measures at  international level to  deal  with  regional  or  worldwide
environmental  problems  is  one  of  the  objectives  of  the  Community’s  policy  on  the
environment, in accordance with Article 174 of the Treaty.

In  1998  the  Council  authorised  the  Commission  to  participate,  on  behalf  of  the
Community,  in  the  negotiations  on  a  Convention  on  Persistent  Organic  Pollutants
under the auspices of the United Nations Environment Programme. The Commission
participated in those negotiations together with the Member States.

The  Stockholm  Convention  on  Persistent  Organic  Pollutants  was  adopted  in
Stockholm on 22 May 2001.

The  Convention  provides  a  framework,  based  on  the  precautionary  principle,  for
elimination  of  production,  use,  import  and  export  of  the  initial  twelve  priority
Persistent  Organic  Pollutants,  their  safe  handling  and  disposal  and  elimination  or
reduction of releases of certain unintentional Persistent Organic Pollutants. In addition,
the Convention lays down the rules for the listing of new chemicals in the Convention.

1

2

3

4

OJ C , , p. .
OJ C , , p. .
OJ C , , p. .
OJ C , , p. .

3

                                                
(5) 

(6) 

(7) 

The  Community  and  the  fifteen  Member  States  signed  the  Convention  during  a
Conference of Plenipotentiaries held in Stockholm from 22 to 23 May 2001.

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

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.

(8)  While  the  provisions  of  the  Convention  concern  environmental  protection,  certain
provisions  on  the  control  of  intentional  production  and  use  of  chemicals,  are  also
relevant  to  the  functioning  of  the  internal  market.  Consequently,  it  is  appropriate  to
choose Articles 175(1) and 95(1) as the legal basis, in conjunction with Article 300.

(9) 

The  Stockholm  Convention  contributes  to  the  achievement  of  the  objectives  of  the
environmental  policy  of  the  Community.  It  is  therefore  appropriate  that  the
Community approves this Convention as soon as possible.

(10)  The  Convention  foresees  that  Parties  submit  proposals  to  the  Secretariat  of  the
Convention for listing additional substances in Annexes A, B or C. As these proposals
may  affect  relevant  Community  legislation  and  as  it  is  necessary  to  ensure  that
proposals  are  justified  and  have  sufficient  support  in  the  Community,  only  joint
proposals  by  the  Community  and  the  Member  States  should  be  submitted  to  the
Secretariat. When preparing draft proposals, due account of Annex D to the Stockholm
Convention should be taken.

(11)  When  an  amendment  of  Annex  A,  B  or  C  of  the  Convention  has  been  adopted,  the
Commission  should  decide  on  its  implementation  in  the  framework  of  Regulation
(EC) No …/200. of the European Parliament and of the Council on persistent organic
pollutants and amending Directives 79/117/EEC and 96/59/EC5. If this amendment is
not implemented within one year from the date of communication by the depositary of
the  adoption  of  the  amendment,  and  to  avoid  situations  of  non-compliance,  the
Commission  should  be  obliged  to  notify  the  non-acceptance  of  the  amendment  in
accordance with Article 22(3)(b) of the Convention,

HAS DECIDED AS FOLLOWS:

Article 1

The  Stockholm  Convention  on  Persistent  Organic  Pollutants,  hereinafter  referred  to  as  “the
Convention”, is hereby approved on behalf of the Community.

The text of the Convention is attached to this Decision.

5

OJ C […], […]; p. […].

4

                                                
Article 2

Proposals to amend Annexes A, B and C to the Convention shall only be made, on behalf of
the Community and the Member States, by the Commission following a Council Decision to
be adopted by qualified majority on a proposal from the Commission.

1.

2.

1. 

2. 

Article 3

Whenever an amendment to Annexes A, B or C is not implemented in the Annexes
to Regulation [No…/200 ], within one year from the from the date of communication
by the depositary of the adoption of the amendment, the Commission shall notify the
depository that the Community is unable to accept the amendment.

In case an amendment to Annexes A, B or C is implemented after a notification of
non-acceptance  referred  to  in  paragraph  1,  the  Commission  shall  withdraw  the
notification without delay.

Article 4

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

The President of the Council is hereby authorised to designate the person or persons
empowered  to  deposit,  on  behalf  of  the  European  Community,  the  declaration  of
competence set out in Annex I to this Decision, in accordance with Article 25(3) of
the Stockholm Convention.

Done at Brussels,

For the Council
The President

5

STOCKHOLM CONVENTION ON PERSISTENT ORGANIC POLLUTANTS

The Parties to this Convention,

Recognising  that  persistent  organic  pollutants  possess  toxic  properties,  resist
degradation,  bioaccumulate  and  are  transported,  through  air,  water  and  migratory  species,
across  international  boundaries  and  deposited  far  from  their  place  of  release,  where  they
accumulate in terrestrial and aquatic ecosystems,

Aware of the health concerns, especially in developing countries, resulting from local
exposure  to  persistent  organic  pollutants,  in  particular  impacts  upon  women  and,  through
them, upon future generations,

Acknowledging  that  the  Arctic  ecosystems  and  indigenous  communities  are
particularly  at  risk  because  of  the  biomagnification  of  persistent  organic  pollutants  and  that
contamination of their traditional foods is a public health issue,

Conscious of the need for global action on persistent organic pollutants,

Mindful  of  decision  19/13  C  of  7  February  1997  of  the  Governing  Council  of  the
United Nations  Environment  Programme  to  initiate  international  action  to  protect  human
health and the  environment through measures  which  will  reduce  and/or  eliminate  emissions
and discharges of persistent organic pollutants,

Recalling  the  pertinent  provisions  of  the  relevant  international  environmental
conventions, especially the Rotterdam Convention on the Prior  Informed Consent Procedure
for  Certain  Hazardous  Chemicals  and  Pesticides  in  International  Trade,  and  the  Basel
Convention  on  the  Control  of  Trans-boundary  Movements  of  Hazardous  Wastes  and  their
Disposal including the regional agreements developed within the framework of its Article 11,

Recalling  also  the  pertinent  provisions  of  the  Rio  Declaration  on  Environment  and

Development and Agenda 21,

Acknowledging  that  precaution  underlies  the  concerns  of  all  the  Parties  and  is

embedded within this Convention,

Recognising  that  this  Convention  and  other  international  agreements  in  the  field  of

trade and the environment are mutually supportive,

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

Taking  into  account  the  circumstances  and  particular  requirements  of  developing
countries,  in  particular  the  least  developed  among  them,  and  countries  with  economies  in
transition, especially the need to strengthen their national capabilities for the management of
chemicals,  including  through  the  transfer  of  technology,  the  provision  of  financial  and
technical assistance and the promotion of co-operation among the Parties,

6

Taking full account of the Programme of Action for the Sustainable Development of

Small Island Developing States, adopted in Barbados on 6 May 1994,

Noting  the  respective  capabilities  of  developed  and  developing  countries,  as  well  as
the common but differentiated responsibilities of States as set forth in Principle 7 of the Rio
Declaration on Environment and Development,

Recognising the important contribution  that the  private sector  and non-governmental
organisations  can  make  to  achieving  the  reduction  and/or  elimination  of  emissions  and
discharges of persistent organic pollutants,

Underlining  the  importance  of  manufacturers  of  persistent  organic  pollutants  taking
responsibility  for  reducing  adverse  effects  caused  by  their  products  and  for  providing
information  to  users,  Governments  and  the  public  on  the  hazardous  properties  of  those
chemicals,

Conscious of the need to take measures to prevent adverse effects caused by persistent

organic pollutants at all stages of their life cycle,

Reaffirming  Principle  16  of  the  Rio  Declaration  on  Environment  and  Development
which  states  that  national  authorities  should  endeavour  to  promote  the  internalization  of
environmental  costs  and  the  use  of  economic  instruments,  taking  into  account  the  approach
that the polluter should, in principle, bear the cost of pollution, with due regard to the public
interest and without distorting international trade and investment,

Encouraging Parties not having regulatory and assessment schemes for pesticides and

industrial chemicals to develop such schemes,

Recognising  the  importance  of  developing  and  using  environmentally  sound

alternative processes and chemicals,

Determined to protect human health and the environment from the harmful impacts of

persistent organic pollutants,

Have agreed as follows:

Article 1

Objective

Mindful of the precautionary approach as set forth in Principle 15 of the Rio Declaration on
Environment and  Development, the objective  of  this  Convention  is  to  protect  human  health
and the environment from persistent organic pollutants.

Article 2

Definitions

For the purposes of this Convention:

(a)

“Party”  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;

7

(b)

"Regional  economic integration  organisation"  means  an  organisation  constituted  by
sovereign  States  of  a  given  region  to  which  its  member  States  have  transferred
competence in respect of matters  governed  by this Convention and which has been
duly  authorised,  in  accordance  with  its  internal  procedures,  to  sign,  ratify,  accept,
approve or accede to this Convention;

(c)

"Parties  present  and  voting"  means  Parties  present  and  casting  an  affirmative  or
negative vote.

Measures to reduce or eliminate releases from intentional production and use

Article 3

1.

Each Party shall:

(a)

Prohibit  and/or  take  the  legal  and  administrative  measures  necessary  to
eliminate:

(i)

ii)

Its production and use of the chemicals listed in Annex A subject to the
provisions of that Annex; and

Its import and  export of  the  chemicals  listed  in  Annex A  in  accordance
with the provisions of paragraph 2; and

(b) Restrict  its  production  and  use  of  the  chemicals  listed  in  Annex  B  in

accordance with the provisions of that Annex.

2.

Each Party shall take measures to ensure:

(a)

That a chemical listed in Annex A or Annex B is imported only:

(i)

(ii)

For  the  purpose  of  environmentally  sound  disposal  as  set  forth  in
paragraph 1 (d) of Article 6; or

For a use or purpose which is permitted for that Party under Annex A or
Annex B;

(b) That  a  chemical  listed  in  Annex  A  for  which  any  production  or  use  specific
exemption  is  in  effect  or  a  chemical  listed  in  Annex  B  for  which  any
production or use specific exemption or acceptable purpose is in effect, taking
into  account  any  relevant  provisions  in  existing  international  prior  informed
consent instruments, is exported only:

(i)

For  the  purpose  of  environmentally  sound  disposal  as  set  forth  in
paragraph 1 (d) of Article 6;

(ii) To  a  Party  which  is  permitted  to  use  that  chemical  under  Annex  A  or

Annex B; or

(iii) To  a  State  not  Party  to  this  Convention  which  has  provided  an  annual
certification  to  the  exporting  Party.  Such  certification  shall  specify  the
intended use of the chemical and include a statement that, with respect to
that chemical, the importing State is committed to:

8

a.

b.

c.

Protect human health and the environment by taking the necessary
measures to minimise or prevent releases;

Comply with the provisions of paragraph 1 of Article 6; and

Comply,  where appropriate, with the  provisions of paragraph 2 of
Part II of Annex B.

The  certification  shall  also  include  any  appropriate  supporting  documentation,  such  as
legislation, regulatory instruments, or administrative or policy guidelines. The exporting Party
shall transmit the certification to the Secretariat within sixty days of receipt.

3.

4.

5.

6.

(c)

(d)

That  a  chemical  listed  in  Annex  A,  for  which  production  and  use  specific
exemptions are no longer in effect for any Party, is not exported from it except
for the purpose of environmentally sound disposal as set  forth  in  paragraph 1
(d) of Article 6;

For  the  purposes  of  this  paragraph,  the  term  “State  not  Party  to  this
Convention”  shall  include,  with  respect  to  a  particular  chemical,  a  State  or
regional economic integration organisation that has not agreed to be bound by
the Convention with respect to that chemical.

Each  Party  that  has  one  or  more  regulatory  and  assessment  schemes  for  new
pesticides or new industrial chemicals shall take measures to regulate with the aim of
preventing  the  production  and  use  of  new  pesticides  or  new  industrial  chemicals
which, taking into consideration the criteria in paragraph 1 of Annex D, exhibit the
characteristics of persistent organic pollutants.

Each Party that has one or more regulatory and assessment schemes for pesticides or
industrial  chemicals  shall,  where  appropriate,  take  into  consideration  within  these
schemes  the  criteria  in  paragraph  1  of  Annex  D  when  conducting  assessments  of
pesticides or industrial chemicals currently in use.

Except as otherwise provided in this Convention, paragraphs 1 and 2 shall not apply
to quantities of a chemical to be used for laboratory-scale research or as a reference
standard.

Any  Party that has a  specific  exemption  in  accordance  with  Annex  A  or  a  specific
exemption  or  an  acceptable  purpose  in  accordance  with  Annex  B  shall  take
appropriate measures to ensure that any production or use under such exemption or
purpose is carried out in a manner that  prevents  or minimises human exposure and
release into the environment. For exempted uses or acceptable purposes that involve
intentional release into the environment under conditions of normal use, such release
shall  be  to  the  minimum  extent  necessary,  taking  into  account  any  applicable
standards and guidelines.

Article 4

Register of specific exemptions

1.
A  Register  is  hereby  established  for  the  purpose  of  identifying  the  Parties  that  have
specific exemptions listed in Annex A or Annex B. It shall not identify Parties that make use

9

of the provisions in Annex A or Annex B that may be exercised by all Parties. The Register
shall be maintained by the Secretariat and shall be available to the public.

2.

The Register shall include:

(a) A list of the types of specific exemptions reproduced from Annex A and Annex

B;

(b) A  list  of  the  Parties  that  have  a  specific  exemption  listed  under  Annex  A  or

Annex B; and

(c) A list of the expiry dates for each registered specific exemption.

3.
Any  State  may,  on  becoming  a  Party,  by  means  of  a  notification  in  writing  to  the
Secretariat, register for one or more types of specific exemptions listed in Annex A or Annex
B.

4.
Unless an earlier date is indicated in the Register by a Party, or an extension is granted
pursuant to paragraph 7, all registrations of specific exemptions shall expire five  years  after
the date of entry into force of this Convention with respect to a particular chemical.

At its first meeting, the Conference of the Parties shall decide upon its review process

5.
for the entries in the Register.

Prior to a review of an entry in the Register, the Party concerned shall submit a report
6.
to the Secretariat justifying its continuing need for registration of that exemption. The report
shall be circulated by the Secretariat to all Parties. The review of a registration shall be carried
out on the basis  of all  available  information.  Thereupon,  the  Conference  of  the  Parties  may
make such recommendations to the Party concerned as it deems appropriate.

7.
The Conference of the Parties may, upon request from the Party concerned, decide to
extend the expiry date of a specific exemption for a period of up to five years. In making its
decision, the Conference of the Parties shall take due account of the special circumstances of
the developing country Parties and Parties with economies in transition.

A  Party  may,  at  any  time,  withdraw  an  entry  from  the  Register  for  a  specific
8.
exemption upon written notification to the Secretariat. The withdrawal shall take effect on the
date specified in the notification.

When  there  are  no  longer  any  Parties  registered  for  a  particular  type  of  specific

9.
exemption, no new registrations may be made with respect to it.

Article 5

Measures to reduce or eliminate releases from unintentional production

Each  Party  shall  at  a  minimum  take  the  following  measures  to  reduce  the  total  releases
derived from anthropogenic sources of each of the chemicals listed in Annex C, with the goal
of their continuing minimisation and, where feasible, ultimate elimination:

a)

Develop an action plan or, where appropriate, a regional or subregional action
plan within two years of the date of entry into force of this Convention for it,
and subsequently  implement it  as part of its implementation plan specified in

10

Article  7,  designed  to  identify,  characterise  and  address  the  release  of  the
chemicals listed in Annex C and to facilitate implementation of subparagraphs
(b) to (e). The action plan shall include the following elements:

(i) An  evaluation  of  current  and  projected  releases, 

the
inventories  and  release
development  and  maintenance  of  source 
estimates,  taking  into  consideration  the  source  categories  identified  in
Annex C;

including 

(ii) An  evaluation  of  the  efficacy  of  the  laws  and  policies  of  the  Party

relating to the management of such releases;

(iii) Strategies to  meet the obligations of this paragraph, taking into  account

the evaluations in (i) and (ii);

(iv) Steps to promote education and training with regard to, and awareness of,

those strategies;

(v) A  review  every  five  years  of  those  strategies  and  of  their  success  in
meeting the obligations of this paragraph; such reviews shall be included
in reports submitted pursuant to Article 15;

(vi) A  schedule  for  implementation  of  the  action  plan,  including  for  the

strategies and measures identified therein;

Promote the application of available, feasible and  practical  measures  that  can
expeditiously  achieve  a  realistic  and  meaningful  level  of  release  reduction  or
source elimination;

Promote the  development and,  where it  deems appropriate,  require the  use of
substitute  or  modified  materials,  products  and  processes  to  prevent  the
formation  and  release  of  the  chemicals  listed  in  Annex  C,  taking  into
consideration  the  general  guidance  on  prevention  and  release  reduction
measures  in  Annex  C  and  guidelines  to  be  adopted  by  decision  of  the
Conference of the Parties;

Promote  and,  in  accordance  with  the  implementation  schedule  of  its  action
plan, require the use of best available techniques for new sources within source
categories which a Party has identified as warranting such action in its action
plan, with a particular initial focus on source categories identified in Part II of
Annex C. In any case, the requirement to use best available techniques for new
sources  in  the  categories  listed  in  Part  II  of  that  Annex  shall  be  phased  in  as
soon as practicable but no later than four years after the entry into force of the
Convention for  that Party.  For the identified categories,  Parties shall promote
the  use  of  best  environmental  practices.  When  applying  best  available
techniques  and  best  environmental  practices,  Parties  should  take  into
consideration  the  general  guidance  on  prevention  and  release  reduction
measures  in  that  Annex  and  guidelines  on  best  available  techniques  and  best
environmental  practices  to  be  adopted  by  decision  of  the  Conference  of  the
Parties;

b)

c)

(d)

e)

Promote,  in  accordance  with  its  action  plan,  the  use  of  best  available
techniques and best environmental practices:

11

(i)

For  existing  sources,  within  the  source  categories  listed  in  Part  II  of
Annex  C  and  within  source  categories  such  as  those  in  Part  III  of  that
Annex; and

(ii)

For new sources, within source categories such as those listed in Part III
of Annex C which a Party has not addressed under subparagraph (d).

When  applying  best  available  techniques  and  best  environmental  practices,  Parties  should
take into consideration the general guidance on prevention and release reduction measures in
Annex C and guidelines on best available techniques and best environmental practices to be
adopted by decision of the Conference of the Parties;

f)

For the purposes of this paragraph and Annex C:

(i)

"Best available techniques" means the most effective and advanced stage
in  the  development  of  activities  and  their  methods  of  operation  which
indicate the practical suitability of particular techniques for providing in
principle the basis for release limitations designed to prevent and, where
that is not practicable, generally to reduce releases of chemicals listed in
Part I of Annex C and their impact on the environment as a whole. In this
regard:

(ii)

“Techniques”  includes  both  the  technology  used  and  the  way  in  which
is  designed,  built,  maintained,  operated  and
installation 
the 
decommissioned;

(iii) “Available” techniques means those techniques that are accessible to the
operator and that are developed on a scale that allows implementation in
the relevant industrial sector, under economically and technically viable
conditions, taking into consideration the costs and advantages; and

(iv)

(v)

“Best”  means  most  effective  in  achieving  a  high  general  level  of
protection of the environment as a whole;

"Best  environmental  practices"  means  the  application  of  the  most
appropriate  combination  of  environmental  control  measures  and
strategies;

(vi)

“New source” means any source of which the construction or substantial
modification is commenced at least one year after the date of:

a.

b.

Entry into force of this Convention for the Party concerned; or

Entry into force for the Party concerned of an amendment to Annex
C  where  the  source  becomes  subject  to  the  provisions  of  this
Convention only by virtue of that amendment.

g)

Release limit values or performance standards may be used by a Party to fulfill
its commitments for best available techniques under this paragraph.

12

Article 6

Measures to reduce or eliminate releases from stockpiles and wastes

In order to ensure that stockpiles consisting of or containing chemicals listed either in
1.
Annex  A  or  Annex  B  and  wastes,  including  products  and  articles  upon  becoming  wastes,
consisting  of,  containing  or  contaminated  with  a  chemical  listed  in  Annex  A,  B  or  C,  are
managed in a manner protective of human health and the environment, each Party shall:

(a) Develop appropriate strategies for identifying:

i)

ii)

Stockpiles consisting of or containing chemicals listed either in Annex A
or Annex B; and

Products  and  articles  in  use  and  wastes  consisting  of,  containing  or
contaminated with a chemical listed in Annex A, B or C;

(b)

Identify,  to  the  extent  practicable,  stockpiles  consisting  of  or  containing
chemicals  listed  either  in  Annex  A  or  Annex  B  on  the  basis  of  the  strategies
referred to in subparagraph (a);

(c) Manage  stockpiles,  as  appropriate,  in  a  safe,  efficient  and  environmentally
sound manner. Stockpiles of chemicals listed either in Annex A or  Annex  B,
after they are no longer allowed to be used according to any specific exemption
specified  in  Annex  A  or  any  specific  exemption  or  acceptable  purpose
specified  in  Annex  B,  except  stockpiles  which  are  allowed  to  be  exported
according to paragraph 2 of Article 3, shall be deemed to be waste and shall be
managed in accordance with subparagraph (d);

(d) Take appropriate measures so that such wastes, including products and articles

upon becoming wastes, are:

i)

ii)

Handled,  collected,  transported  and  stored  in  an  environmentally  sound
manner;

Disposed of in such a way that the persistent organic pollutant content is
destroyed  or  irreversibly  transformed  so  that  they  do  not  exhibit  the
characteristics of persistent organic pollutants or otherwise disposed of in
an  environmentally  sound  manner  when  destruction  or  irreversible
transformation does not represent  the  environmentally  preferable  option
or  the  persistent  organic  pollutant  content  is  low,  taking  into  account
international rules, standards, and guidelines, including those that may be
developed  pursuant  to  paragraph  2,  and  relevant  global  and  regional
regimes governing the management of hazardous wastes;

(iii) Not  permitted  to  be  subjected  to  disposal  operations  that  may  lead  to
recovery,  recycling,  reclamation,  direct  reuse  or  alternative  uses  of
persistent organic pollutants; and

(iv) Not  transported  across  international  boundaries  without  taking  into

account relevant international rules, standards and guidelines;

13

(e)

Endeavour to develop appropriate strategies for identifying sites contaminated
by  chemicals  listed  in  Annex  A,  B  or  C;  if  remediation  of  those  sites  is
undertaken it shall be performed in an environmentally sound manner.

2.
The Conference of the Parties shall co-operate closely with the appropriate bodies of
the Basel Convention on the Control of Trans-boundary Movements of Hazardous Wastes and
their Disposal to, inter alia:

(a)

Establish  levels  of  destruction  and  irreversible  transformation  necessary  to
ensure  that  the  characteristics  of  persistent  organic  pollutants  as  specified  in
paragraph 1 of Annex D are not exhibited;

(b) Determine  what 

they  consider 
environmentally sound disposal referred to above; and

to  be 

the  methods 

that  constitute

(c) Work  to  establish,  as  appropriate,  the  concentration  levels  of  the  chemicals
listed  in  Annexes  A,  B  and  C  in  order  to  define  the  low  persistent  organic
pollutant content referred to in paragraph 1 (d)(ii).

Article 7

Implementation plans

1.

Each Party shall:

a)

b)

c)

Develop  and  endeavour  to  implement  a  plan  for  the  implementation  of  its
obligations under this Convention;

Transmit  its implementation  plan  to the  Conference  of  the  Parties  within  two
years of the date on which this Convention enters into force for it; and

Review and update, as appropriate, its implementation plan on a periodic basis
and in a manner to be specified by a decision of the Conference of the Parties.

2.

3.

The Parties shall, where appropriate, co-operate directly or through global, regional
and  sub-regional  organisations,  and  consult  their  national  stakeholders,  including
women’s groups and groups involved in the health of children, in order to facilitate
the development, implementation and updating of their implementation plans.

The  Parties  shall  endeavour  to  utilise  and,  where  necessary,  establish  the  means  to
integrate  national  implementation  plans  for  persistent  organic  pollutants  in  their
sustainable development strategies where appropriate.

Article 8

Listing of chemicals in Annexes A, B and C

1.
A Party may submit a proposal to the Secretariat for listing a chemical in Annexes A,
B and/or C. The proposal shall contain the information specified in Annex D. In developing a
proposal, a Party may be assisted by other Parties and/or by the Secretariat.

14

2.
The Secretariat shall verify whether the proposal contains the information specified in
Annex D. If the Secretariat is satisfied that the proposal contains the information so specified,
it shall forward the proposal to the Persistent Organic Pollutants Review Committee.

3.
The Committee shall examine the proposal and apply the screening criteria specified
in Annex D in a flexible and transparent way, taking all information provided into account in
an integrative and balanced manner.

4.

If the Committee decides that:

a)

b)

It is satisfied that the screening criteria have been fulfilled, it shall, through the
Secretariat, make the proposal and the evaluation of the Committee available to
all Parties and observers and invite them to submit the information specified in
Annex E; or

It is not satisfied that the screening criteria have been fulfilled, it shall, through
the Secretariat, inform all Parties and observers and make the proposal and the
evaluation of the Committee available to  all Parties and the proposal  shall be
set aside.

Any Party  may resubmit a proposal to the Committee  that has  been  set  aside  by  the
5.
Committee pursuant to paragraph 4. The resubmission may include any concerns of the Party
as  well  as  a  justification  for  additional  consideration  by  the  Committee.  If,  following  this
procedure, the Committee again sets the proposal aside, the Party may challenge the decision
of  the  Committee  and  the  Conference  of  the  Parties  shall  consider  the  matter  at  its  next
session. The Conference of the Parties may decide, based on the screening criteria in Annex D
and  taking  into  account  the  evaluation  of  the  Committee  and  any  additional  information
provided by any Party or observer, that the proposal should proceed.

6.
Where the Committee has decided that the screening criteria have been fulfilled, or the
Conference of the Parties has decided that the proposal should proceed, the Committee shall
further review the proposal, taking into account any relevant additional information received,
and  shall  prepare  a  draft  risk  profile  in  accordance  with  Annex  E.  It  shall,  through  the
Secretariat, make that draft available to all Parties and observers, collect technical comments
from them and, taking those comments into account, complete the risk profile.

If,  on  the  basis  of  the  risk  profile  conducted  in  accordance  with  Annex  E,  the

7.
Committee decides:

(a)

That the chemical is likely as a result of its long-range environmental transport
to lead to significant adverse human health and/or environmental effects such
that  global  action  is  warranted,  the  proposal  shall  proceed.  Lack  of  full
scientific  certainty  shall  not  prevent  the  proposal  from  proceeding.  The
Committee  shall,  through  the  Secretariat,  invite  information  from  all  Parties
and observers relating to the considerations specified in Annex F. It shall then
prepare  a  risk  management  evaluation  that  includes  an  analysis  of  possible
control measures for the chemical in accordance with that Annex; or

(b) That the proposal should not proceed, it shall, through the Secretariat, make the
risk profile available to all Parties and observers and set the proposal aside.

8.
For  any  proposal  set  aside  pursuant  to  paragraph  7  (b),  a  Party  may  request  the
Conference  of  the  Parties  to  consider  instructing  the  Committee  to  invite  additional

15

information  from  the  proposing  Party  and  other  Parties  during  a  period  not  to  exceed  one
year.  After  that  period  and  on  the  basis  of  any  information  received,  the  Committee  shall
reconsider  the  proposal  pursuant  to  paragraph  6  with  a  priority  to  be  decided  by  the
Conference of the Parties. If, following this procedure, the Committee again sets the proposal
aside,  the  Party  may  challenge  the  decision  of  the  Committee  and  the  Conference  of  the
Parties shall consider the matter at its next session. The Conference of the Parties may decide,
based  on  the  risk  profile  prepared  in  accordance  with  Annex  E  and  taking  into  account  the
evaluation  of  the  Committee  and  any  additional  information  provided  by  any  Party  or
observer, that the proposal  should  proceed.  If  the Conference  of the Parties decides that  the
proposal shall proceed, the Committee shall then prepare the risk management evaluation.

9.
The Committee shall, based on the risk profile referred to in paragraph 6 and the risk
management evaluation referred to in paragraph 7 (a) or paragraph 8, recommend whether the
chemical should be considered by the Conference of the Parties for listing in Annexes A, B
and/or C. The Conference of the Parties, taking due account of the recommendations of the
Committee,  including  any  scientific  uncertainty,  shall  decide,  in  a  precautionary  manner,
whether to list the chemical, and specify its related control measures, in Annexes A, B and/or
C.

Article 9

Information exchange

1.

Each Party shall facilitate or undertake the exchange of information relevant to:

(a)

The  reduction  or  elimination  of  the  production,  use  and  release  of  persistent
organic pollutants; and

(b) Alternatives to persistent  organic  pollutants,  including  information  relating  to

their risks as well as to their economic and social costs.

2.

3.

The  Parties  shall  exchange  the  information  referred  to  in  paragraph  1  directly  or
through the Secretariat.

Each  Party  shall  designate  a  national  focal  point  for  the  exchange  of  such
information.

4.
The  Secretariat  shall  serve  as  a  clearing-house  mechanism  for  information  on
persistent  organic  pollutants,  including  information  provided  by  Parties,  intergovernmental
organisations and non-governmental organisations.

5.
For the purposes of this Convention, information on health and safety of humans and
the environment shall not be regarded as confidential. Parties that exchange other information
pursuant to this Convention shall protect any confidential information as mutually agreed.

Article 10

Public information, awareness and education

1.

Each Party shall, within its capabilities, promote and facilitate:

(a) Awareness  among  its  policy  and  decision  makers  with  regard  to  persistent

organic pollutants;

16

(b)

Provision  to  the  public  of  all  available  information  on  persistent  organic
pollutants, taking into account paragraph 5 of Article 9;

(c) Development and implementation, especially for women, children and the least
educated,  of  educational  and  public  awareness  programmes  on  persistent
organic pollutants, as well as on their health and environmental effects and on
their alternatives;

(d)

Public participation in addressing persistent organic pollutants and their health
and  environmental  effects  and  in  developing  adequate  responses,  including
opportunities for providing input at the national level regarding implementation
of this Convention;

(e)

Training  of  workers,  scientists,  educators  and  technical  and  managerial
personnel;

(f) Development  and  exchange  of  educational  and  public  awareness  materials  at

the national and international levels; and

(g) Development and implementation of education and training programmes at the

national and international levels.

Each Party shall, within its capabilities, ensure that the public has access to the public

2.
information referred to in paragraph 1 and that the information is kept up-to-date.

3.
Each Party shall, within its capabilities, encourage industry and professional users to
promote  and  facilitate  the  provision  of  the  information  referred  to  in  paragraph  1  at  the
national level and, as appropriate, sub-regional, regional and global levels.

4.
In providing information on persistent organic pollutants and their alternatives, Parties
may use safety data sheets, reports, mass media and other means of communication, and may
establish information centres at national and regional levels.

5.
Each  Party  shall  give  sympathetic  consideration  to  developing  mechanisms,  such  as
pollutant release and transfer registers, for the collection and dissemination of information on
estimates of the annual quantities of the chemicals listed in Annex A, B or C that are released
or disposed of.

Article 11

Research, development and monitoring

The  Parties  shall,  within  their  capabilities,  at  the  national  and  international  levels,
1.
encourage and/or undertake appropriate research, development, monitoring and  co-operation
pertaining  to  persistent  organic  pollutants  and,  where  relevant,  to  their  alternatives  and  to
candidate persistent organic pollutants, including on their:

(a)

Sources and releases into the environment;

(b)

Presence, levels and trends in humans and the environment;

(c)

Environmental transport, fate and transformation;

17

(d) Effects on human health and the environment;

(e)

Socio-economic and cultural impacts;

(f)

Release reduction and/or elimination; and

(g) Harmonised  methodologies  for  making  inventories  of  generating  sources  and

analytical techniques for the measurement of releases.

2.

In undertaking action under paragraph 1, the Parties shall, within their capabilities:

(a)

(b)

(c)

Support  and  further  develop,  as  appropriate,  international  programmes,
networks  and  organisations  aimed  at  defining,  conducting,  assessing  and
financing research, data collection and monitoring, taking into account the need
to minimise duplication of effort;

Support national and international efforts to strengthen national scientific and
technical  research  capabilities,  particularly  in  developing  countries  and
countries  with  economies  in  transition,  and  to  promote  access  to,  and  the
exchange of, data and analyses;

Take into account the concerns and needs, particularly in the field of financial
and technical resources, of developing countries and countries with economies
in  transition  and  co-operate  in  improving  their  capability  to  participate  in  the
efforts referred to in subparagraphs (a) and (b);

(d) Undertake  research  work  geared  towards  alleviating  the  effects  of  persistent

organic pollutants on reproductive health;

(e) Make  the  results  of  their  research,  development  and  monitoring  activities
referred  to  in  this  paragraph  accessible  to  the  public  on  a  timely  and  regular
basis; and

(f)

Encourage  and/or  undertake  co-operation  with  regard 
to  storage  and
maintenance  of  information  generated  from  research,  development  and
monitoring.

Article 12

Technical assistance

1.
The Parties recognise that rendering of timely and appropriate technical assistance in
response to requests from developing country Parties and Parties with economies in transition
is essential to the successful implementation of this Convention.

2.
The Parties shall co-operate to provide timely and appropriate technical assistance to
developing country Parties and Parties with economies in transition, to assist them, taking into
account  their  particular  needs,  to  develop  and  strengthen  their  capacity  to  implement  their
obligations under this Convention.

In this regard, technical  assistance to  be provided  by  developed  country  Parties,  and
3.
other  Parties  in  accordance  with  their  capabilities,  shall  include,  as  appropriate  and  as
mutually agreed, technical assistance for  capacity-building relating to implementation of the

18

obligations  under  this  Convention.  Further  guidance  in  this  regard  shall  be  provided  by  the
Conference of the Parties.

4.
The Parties shall establish, as appropriate, arrangements for the purpose of providing
technical  assistance  and  promoting  the  transfer  of  technology  to  developing  country  Parties
and  Parties  with  economies  in  transition  relating  to  the  implementation  of  this  Convention.
These arrangements shall include regional and sub-regional centres for capacity-building and
transfer  of  technology  to  assist  developing  country  Parties  and  Parties  with  economies  in
transition  to  fulfil  their  obligations  under  this  Convention.  Further  guidance  in  this  regard
shall be provided by the Conference of the Parties.

5.
The Parties shall, in the context of this Article, take full account of the specific needs
and special situation of least developed countries and small island developing states in their
actions with regard to technical assistance.

Article 13

Financial resources and mechanisms

1.
Each  Party  undertakes  to  provide,  within  its  capabilities,  financial  support  and
incentives in respect of those national activities that are intended to achieve the objective of
this Convention in accordance with its national plans, priorities and programmes.

The developed country Parties shall provide new and additional financial resources to
2.
enable developing country Parties and Parties with economies in transition to meet the agreed
full  incremental  costs  of  implementing  measures  which  fulfil  their  obligations  under  this
Convention as agreed between a recipient Party and an entity participating in the mechanism
described in paragraph 6. Other Parties may also on a voluntary basis and in accordance with
their  capabilities  provide  such  financial  resources.  Contributions  from  other  sources  should
also  be  encouraged.  The  implementation  of  these  commitments  shall  take  into  account  the
need  for  adequacy,  predictability,  the  timely  flow  of  funds  and  the  importance  of  burden
sharing among the contributing Parties.

3.
Developed country Parties, and other Parties in accordance with their capabilities and
in  accordance  with  their  national  plans,  priorities  and  programmes,  may  also  provide  and
developing  country  Parties  and  Parties  with  economies  in  transition  avail  themselves  of
financial resources to assist in their implementation of this Convention through other bilateral,
regional and multilateral sources or channels.

4.
The  extent  to  which  the  developing  country  Parties  will  effectively  implement  their
commitments  under  this  Convention  will  depend  on  the  effective  implementation  by
developed  country  Parties  of  their  commitments  under  this  Convention  relating  to  financial
resources,  technical  assistance  and  technology  transfer.  The  fact  that  sustainable  economic
and social development and eradication of poverty are the first and overriding priorities of the
developing  country  Parties  will  be  taken  fully  into  account,  giving  due  consideration  to  the
need for the protection of human health and the environment.

5.
The  Parties  shall  take  full  account  of  the  specific  needs  and  special  situation  of  the
least developed countries and the small island developing states in their actions with regard to
funding.

6.
A  mechanism  for  the  provision  of  adequate  and  sustainable  financial  resources  to
developing country Parties and Parties with economies in transition on a grant or concessional

19

basis to assist in their implementation of the Convention is  hereby defined. The mechanism
shall function under the authority, as appropriate, and guidance of, and be accountable to the
Conference of the Parties for the purposes of this Convention. Its operation shall be entrusted
to one or more entities, including existing international entities, as may be decided upon by
the  Conference  of  the  Parties.  The  mechanism  may  also  include  other  entities  providing
multilateral,  regional  and  bilateral  financial  and  technical  assistance.  Contributions  to  the
mechanism shall  be additional  to other  financial transfers to developing  country Parties  and
Parties with economies in transition as reflected in, and in accordance with, paragraph 2.

7.
Pursuant to the objectives of this Convention and paragraph 6, the Conference of the
Parties shall at its first meeting adopt appropriate guidance to be provided to the mechanism
and  shall  agree  with  the  entity  or  entities  participating  in  the  financial  mechanism  upon
arrangements to give effect thereto. The guidance shall address, inter alia:

(a)

The determination of the policy, strategy and programme priorities, as well as
clear and detailed criteria and guidelines regarding eligibility for access to and
utilisation  of  financial  resources  including  monitoring  and  evaluation  on  a
regular basis of such utilisation;

(b) The provision by the  entity or entities of regular reports to  the  Conference of
the Parties on adequacy and sustainability of funding for activities relevant to
the implementation of this Convention;

(c)

The  promotion  of  multiple-source  funding  approaches,  mechanisms  and
arrangements;

(d) The modalities  for  the  determination  in  a  predictable  and  identifiable  manner
of the amount of funding necessary and available for the implementation of this
Convention,  keeping  in  mind  that  the  phasing  out  of  persistent  organic
pollutants might require sustained funding, and the conditions under which that
amount shall be periodically reviewed; and

(e)

The modalities for the provision to interested Parties of assistance with needs
assessment, information on available sources of funds and on funding patterns
in order to facilitate co-ordination among them.

8.
The  Conference  of  the  Parties  shall  review,  not  later  than  its  second  meeting  and
thereafter  on  a  regular  basis,  the  effectiveness  of  the  mechanism  established  under  this
Article, its ability to address the changing needs of the developing country Parties and Parties
with economies in transition, the criteria and guidance referred to in paragraph 7, the level of
funding as well as the effectiveness of the performance of the institutional entities entrusted to
operate  the  financial  mechanism.  It  shall,  based  on  such  review,  take  appropriate  action,  if
necessary,  to  improve  the  effectiveness  of  the  mechanism,  including  by  means  of
recommendations  and  guidance  on  measures  to  ensure  adequate  and  sustainable  funding  to
meet the needs of the Parties.

Article 14

Interim financial arrangements

The  institutional  structure  of  the  Global  Environment  Facility,  operated  in  accordance  with
the Instrument for the Establishment of the Restructured Global Environment Facility, shall,
on  an  interim  basis,  be  the  principal  entity  entrusted  with  the  operations  of  the  financial

20

mechanism referred to in Article 13, for the period between the date of entry into force of this
Convention and the  first meeting of  the  Conference of the  Parties, or until such time  as  the
Conference  of  the  Parties  decides  which  institutional  structure  will  be  designated  in
accordance  with  Article  13.  The  institutional  structure  of  the  Global  Environment  Facility
should  fulfill  this  function  through  operational  measures  related  specifically  to  persistent
organic pollutants taking into account that new arrangements for this area may be needed.

Article 15

Reporting

1.
Each Party shall report to the Conference of the Parties on the measures it has taken to
implement  the  provisions  of  this  Convention  and  on  the  effectiveness  of  such  measures  in
meeting the objectives of the Convention.

2.

Each Party shall provide to the Secretariat:

(a)

Statistical data on its total quantities of production, import and export of each
of the  chemicals  listed  in  Annex  A  and  Annex  B  or  a  reasonable  estimate  of
such data; and

(b) To the extent practicable, a list of the States from which it has imported each
such substance and the States to which it has exported each such substance.

Such  reporting  shall  be  at  periodic  intervals  and  in  a  format  to  be  decided  by  the

3.
Conference of the Parties at its first meeting.

Article 16

Effectiveness evaluation.

Commencing  four  years  after  the  date  of  entry  into  force  of  this  Convention,  and
1.
periodically  thereafter  at  intervals  to  be  decided  by  the  Conference  of  the  Parties,  the
Conference shall evaluate the effectiveness of this Convention.

In  order  to  facilitate  such  evaluation,  the  Conference  of  the  Parties  shall,  at  its  first
2.
meeting,  initiate  the  establishment  of  arrangements  to  provide  itself  with  comparable
monitoring  data  on  the  presence  of  the  chemicals  listed  in  Annexes  A,  B  and  C  as  well  as
their regional and global environmental transport. These arrangements:

(a)

Should be implemented by the Parties on a regional basis when appropriate, in
accordance  with  their  technical  and  financial  capabilities,  using  existing
monitoring programmes and mechanisms to the extent possible and promoting
harmonisation of approaches;

(b) May  be  supplemented  where  necessary,  taking  into  account  the  differences

between regions and their capabilities to implement monitoring activities; and

(c)

Shall  include  reports  to  the  Conference  of  the  Parties  on  the  results  of  the
monitoring activities on a regional and global basis at intervals to be specified
by the Conference of the Parties.

21

The evaluation described in paragraph 1 shall be conducted on the basis of available

3.
scientific, environmental, technical and economic information, including:

(a) Reports and other monitoring information provided pursuant to paragraph 2;

(b) National reports submitted pursuant to Article 15; and

(c) Non-compliance  information  provided  pursuant  to  the  procedures  established

under Article 17.

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 the treatment of Parties found to be in non-compliance.

Article 18

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  the  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 depository 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:

(a) Arbitration in accordance with procedures to be adopted by the Conference of

the Parties in an annex as soon as practicable;

(b)

Submission of the dispute to the International Court of Justice.

3.
A Party that is a regional economic integration  organisation 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 or paragraph 3 shall remain in force until
4.
it  expires  in  accordance  with  its  terms  or  until  three  months  after  written  notice  of  its
revocation has been deposited with the depository.

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

If  the  parties  to  a  dispute  have  not  accepted  the  same  or  any  procedure  pursuant  to
6.
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

22

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 at its second meeting.

Article 19

Conference of the Parties

1.

A Conference of the Parties is hereby established.

2.
The first meeting of the Conference of the Parties shall be convened by the Executive
Director of the United Nations Environment Programme 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 decided by the Conference.

Extraordinary  meetings  of  the  Conference  of  the  Parties  shall  be  held  at  such  other
3.
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.

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

5.
The Conference of the Parties shall keep under 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:

(a)

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

(b) Co-operate, where appropriate, with competent international organisations and

intergovernmental and non-governmental bodies; and

(c) Regularly  review  all  information  made  available  to  the  Parties  pursuant  to
Article 15, including consideration of the effectiveness of paragraph 2 (b) (iii)
of Article 3;

(d) Consider  and  undertake  any  additional  action  that  may  be  required  for  the

achievement of the objectives of the Convention.

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

(a)

The members of the Persistent Organic Pollutants Review Committee shall be
appointed  by  the  Conference  of  the  Parties.  Membership  of  the  Committee
shall  consist  of  government-designated  experts  in  chemical  assessment  or
management. The members of the Committee shall be  appointed on the  basis
of equitable geographical distribution;

(b) The  Conference  of  the  Parties  shall  decide  on  the  terms  of  reference,

organisation and operation of the Committee; and

23

(c)

The  Committee  shall  make  every  effort  to  adopt  its  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 Conference of the Parties shall, at its third meeting, evaluate the continued need
7.
for  the  procedure  contained  in  paragraph  2  (b)  of  Article  3,  including  consideration  of  its
effectiveness.

8.
The  United  Nations,  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  covered  by  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.

Article 20

Secretariat

1.

2.

A Secretariat is hereby established.

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  country  Parties
and Parties with economies in transition, on request, in the implementation of
this Convention;

(c)

To  ensure  the  necessary  co-ordination  with  the  secretariats  of  other  relevant
international bodies;

(d) To  prepare  and  make  available  to  the  Parties  periodic  reports  based  on
information received pursuant to Article 15 and other available information;

(e)

(f)

To enter, under the overall guidance of the Conference of the Parties, into such
administrative  and  contractual  arrangements  as  may  be  required  for  the
effective discharge of its functions; and

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  functions  for  this  Convention  shall  be  performed  by  the  Executive
3.
Director of the United Nations Environment Programme, unless the Conference of the Parties
decides, by a three-fourths majority of the Parties present and voting, to entrust the secretariat
functions to one or more other international organisations.

24

Article 21

Amendments to the Convention

1.

Amendments to this Convention may be proposed by 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  proposed  amendments  to  the  signatories  to  this
Convention and, for information, to the depository.

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

The amendment shall be communicated by the depository to all Parties for ratification,

4.
acceptance or approval.

5.
Ratification,  acceptance  or  approval  of  an  amendment  shall  be  notified  to  the
depository 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 ratification, acceptance or approval of
the amendment.

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.

Any  additional  annexes  shall  be  restricted  to  procedural,  scientific,  technical  or

2.
administrative matters.

The following procedure shall apply to the proposal, adoption and entry into force of

3.
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
depository, in writing, within one year from the date of communication by the
depository  of  the  adoption  of  the  additional  annex.  The  depository  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
any  additional  annex,  and  the  annex  shall  thereupon  enter  into  force  for  that
Party subject to subparagraph (c); and

25

(c) On  the  expiry  of  one  year  from  the  date  of  the  communication  by  the
depository  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).

The proposal, adoption and entry into force of amendments to Annex A, B or C shall
4.
be  subject  to  the  same  procedures  as  for  the  proposal,  adoption  and  entry  into  force  of
additional annexes  to this Convention, except that an amendment to Annex  A, B  or C  shall
not  enter  into  force  with  respect  to  any  Party  that  has  made  a  declaration  with  respect  to
amendment to those Annexes in accordance with paragraph 4 of Article 25, in which case any
such amendment shall enter into force for such a Party on the ninetieth day after the date of
deposit with the depository of its instrument of ratification, acceptance, approval or accession
with respect to such amendment.

The following procedure shall apply to the proposal, adoption and entry into force of

5.
an amendment to Annex D, E or F:

(a) Amendments shall be proposed according to the procedure in paragraphs 1 and

2 of Article 21;

(b) The  Parties  shall  take  decisions  on  an  amendment  to  Annex  D,  E  or  F  by

consensus; and

(c) A decision to amend Annex D, E or F shall forthwith be communicated to the
Parties by the depository. The amendment shall enter into force for all Parties
on a date to be specified in the decision.

If an additional annex or an amendment to an annex is related to an amendment to this
6.
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

Right to vote

Each  Party  to  this  Convention  shall  have  one  vote,  except  as  provided  for  in

1.
paragraph 2.

A regional economic integration organisation, on matters within its competence, shall
2.
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 to vote if any
of its member States exercises its right to vote, and vice versa.

Article 24

Signature

This Convention shall be open for signature at Stockholm by all States and regional economic
integration  organisations  on  23  May  2001,  and  at  the  United Nations  Headquarters  in  New
York from 24 May 2001 to 22 May 2002.

26

Article 25

Ratification, acceptance, approval or accession

This Convention shall be subject to ratification, acceptance or approval by States and
1.
by regional economic integration organisations.  It shall  be open for  accession by 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 depository.

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  of  whose
member  States  is  a  Party  to  this  Convention,  the  organisation  and  its  member  States  shall
decide on  their  respective responsibilities for the  performance of their  obligations  under the
Convention.  In  such  cases,  the  organisation  and  the  member  States  shall  not  be  entitled  to
exercise rights under the Convention concurrently.

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 depository,
who  shall  in  turn  inform  the  Parties,  of  any  relevant  modification  in  the  extent  of  its
competence.

4.
In  its  instrument  of  ratification,  acceptance,  approval  or  accession,  any  Party  may
declare that, with respect to it, any amendment to Annex A, B or C shall enter into force only
upon  the  deposit  of  its  instrument  of  ratification,  acceptance,  approval  or  accession  with
respect thereto.

Article 26

Entry into force

This Convention shall enter into force on the ninetieth day after the date of deposit of

1.
the fiftieth instrument of ratification, acceptance, approval or accession.

2.
For each  State  or  regional  economic  integration  organization  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
organization of its instrument of ratification, acceptance, approval or accession.

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.

27

Article 28

Withdrawal

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

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

Article 29

Depository

The Secretary-General of the United Nations shall be the depository of this Convention.

Article 30

Authentic texts

The original of this Convention, of which the Arabic, Chinese, English, French, Russian and
Spanish  texts  are  equally  authentic,  shall  be  deposited  with  the  Secretary-General  of  the
United Nations.

IN WITNESS WHEREOF the undersigned, being duly authorised to that effect, have

signed this Convention.

Done  at  Stockholm  on  this  twenty-second  day  of  May,  two  thousand  and  one.

28

Annex A

ELIMINATION

Part I

Chemical

Aldrin*

CAS No: 309-00-2

Activity

Specific exemption

Production

None

Use

Local ectoparasiticide

Chlordane*

Production

CAS No: 57-74-9

Insecticide

As allowed for  the  Parties  listed  in
the Register

Use

Local ectoparasiticide

Insecticide

Termiticide

Termiticide in buildings and dams

Termiticide in roads

Additive in plywood adhesives

Dieldrin*

Production

None

CAS No: 60-57-1

Use

In agricultural operations

Endrin*

Production

None

CAS No: 72-20-8

Use

None

29

Chemical

Activity

Specific exemption

Heptachlor*

Production

None

CAS No: 76-44-8

Use

Termiticide

Termiticide in structures of houses

Termiticide (subterranean)

Wood treatment

In use in underground cable boxes

As allowed for  the  Parties  listed  in
the Register

Hexachlorobenzene

Production

CAS No: 118-74-1

Use

Intermediate

Mirex*

Production

CAS No: 2385-85-5

Solvent in pesticide

Closed 
intermediate

system 

site 

limited

As allowed for  the  Parties  listed  in
the Register

Use

Termiticide

Toxaphene*

Production

None

CAS No: 8001-35-2

Use

None

Polychlorinated
Biphenyls (PCB)*

Production

None

Use

Articles  in  use  in  accordance  with
the  provisions  of  Part  II  of  this
Annex

30

Notes:

(i)
Except as otherwise specified in this Convention, quantities of a chemical occurring as
unintentional trace contaminants in products and articles shall not be considered to be listed in
this Annex;

(ii)
This  note  shall  not  be  considered  as  a  production  and  use  specific  exemption  for
purposes  of  paragraph  2  of  Article  3.  Quantities  of  a  chemical  occurring  as  constituents  of
articles manufactured or already in use before or on the date of entry into force of the relevant
obligation  with  respect  to  that  chemical,  shall  not  be  considered  as  listed  in  this  Annex,
provided that a Party has notified the Secretariat that a particular type of article remains in use
within that Party. The Secretariat shall make such notifications publicly available;

(iii)
This note, which does not apply to a chemical that has an asterisk following its name
in the Chemical column in Part I of this Annex, shall not be considered as a production and
use  specific  exemption  for  purposes  of  paragraph  2  of  Article  3.  Given  that  no  significant
quantities  of  the  chemical  are  expected  to  reach  humans  and  the  environment  during  the
production and use of a closed-system site-limited intermediate, a Party, upon notification to
the  Secretariat,  may  allow  the  production  and  use  of  quantities  of  a  chemical  listed  in  this
Annex  as  a  closed-system  site-limited  intermediate  that  is  chemically  transformed  in  the
manufacture of other chemicals  that, taking into consideration the criteria in  paragraph 1  of
Annex D, do not exhibit the characteristics of persistent organic pollutants. This notification
shall  include  information  on  total  production  and  use  of  such  chemical  or  a  reasonable
estimate of such information and information regarding the nature of the closed-system site-
limited  process  including  the  amount  of  any  non-transformed  and  unintentional  trace
contamination  of  the  persistent  organic  pollutant-starting  material  in  the  final  product.  This
procedure  applies  except  as  otherwise  specified  in  this  Annex.  The  Secretariat  shall  make
such  notifications  available  to  the  Conference  of  the  Parties  and  to  the  public.  Such
production  or  use  shall  not  be  considered  a  production  or  use  specific  exemption.  Such
production and use shall cease  after a ten-year period, unless the Party  concerned submits a
new notification to the Secretariat, in which case the period will be extended for an additional
ten  years  unless  the  Conference  of  the  Parties,  after  a  review  of  the  production  and  use
decides otherwise. The notification procedure can be repeated;

All  the  specific  exemptions  in  this  Annex  may  be  exercised  by  Parties  that  have
(iv)
registered exemptions in respect of them in accordance with Article 4  with the exception of
the  use  of  polychlorinated  biphenyls  in  articles  in  use  in  accordance  with  the  provisions  of
Part II of this Annex, which may be exercised by all Parties.

31

Part II

Polychlorinated biphenyls

Each Party shall:

(a)
With regard to  the  elimination  of  the  use  of  polychlorinated  biphenyls  in  equipment
(e.g. transformers, capacitors or other receptacles containing liquid stocks) by 2025, subject to
review  by  the  Conference  of  the  Parties,  take  action  in  accordance  with  the  following
priorities:

(i) Make  determined  efforts  to  identify,  label  and  remove  from  use  equipment
containing  greater  than  10  per  cent  polychlorinated  biphenyls  and  volumes
greater than 5 litres;

(ii) Make  determined  efforts  to  identify,  label  and  remove  from  use  equipment
containing  greater  than  0.05  per  cent  polychlorinated  biphenyls  and  volumes
greater than 5 litres;

(iii) Endeavour to identify and remove from use equipment containing greater than

0.005 percent polychlorinated biphenyls and volumes greater than 0.05 litres;

Consistent with the priorities in subparagraph (a), promote the following measures to

(b)
reduce exposures and risk to control the use of polychlorinated biphenyls:

(i) Use only in intact and non-leaking equipment and only in areas where the risk

from environmental release can be minimised and quickly remedied;

(ii) Not use in equipment in areas associated with the production or processing of

food or feed;

(iii) When used in populated areas, including schools and hospitals, all reasonable
measures  to  protect  from  electrical  failure  which  could  result  in  a  fire,  and
regular inspection of equipment for leaks;

(c)
Notwithstanding  paragraph  2  of  Article  3,  ensure  that  equipment  containing
polychlorinated biphenyls, as described in subparagraph (a), shall not be exported or imported
except for the purpose of environmentally sound waste management;

(d)
Except for maintenance and servicing operations, not allow recovery for the purpose
of reuse in other equipment of liquids with polychlorinated biphenyls content above 0.005 per
cent;

Make  determined  efforts  designed 

(e)
to  environmentally  sound  waste
management  of  liquids  containing  polychlorinated  biphenyls  and  equipment  contaminated
with  polychlorinated  biphenyls  having  a  polychlorinated  biphenyls  content  above  0.005  per
cent, in accordance with paragraph 1 of Article 6, as soon as possible but no later than 2028,
subject to review by the Conference of the Parties;

lead 

to 

In  lieu  of  note  (ii)  in  Part  I  of  this  Annex,  endeavour  to  identify  other  articles
(f)
containing  more  than  0.005  per  cent  polychlorinated  biphenyls  (e.g.  cable-sheaths,  cured
caulk and painted objects) and manage them in accordance with paragraph 1 of Article 6;

32

Provide a report every five years on progress in eliminating polychlorinated biphenyls

(g)
and submit it to the Conference of the Parties pursuant to Article 15;

(h)
The reports described in subparagraph (g) shall, as appropriate, be considered by the
Conference of the Parties in its reviews relating to polychlorinated biphenyls. The Conference
of the Parties shall review progress towards  elimination of polychlorinated biphenyls at five
year intervals or other period, as appropriate, taking into account such reports.

33

Annex B

RESTRICTION

Part I

Notes:

Chemical

Activity

Acceptable 
or specific exemption

purpose

DDT

Production

Acceptable purpose:

(1,1,1-trichloro-2,2-
bis(4-
chlorophenyl)ethane)

CAS No: 50-29-3

Disease  vector 
in
accordance with Part II of this Annex

control  use 

Specific exemption:

Intermediate in production of dicofol

Intermediate

Use

Acceptable purpose:

Disease  vector  control  in  accordance
with Part II of this Annex

Specific exemption:

Production of dicofol

Intermediate

(i)
Except as otherwise specified in this Convention, quantities of a chemical occurring as
unintentional trace contaminants in products and articles shall not be considered to be listed in
this Annex;

(ii)
This  note  shall  not  be  considered  as  a  production  and  use  acceptable  purpose  or
specific  exemption  for  purposes  of  paragraph  2  of  Article  3.  Quantities  of  a  chemical
occurring as constituents of articles manufactured or already in use before or on the date of
entry  into  force  of  the  relevant  obligation  with  respect  to  that  chemical,  shall  not  be
considered  as  listed  in  this  Annex,  provided  that  a  Party  has  notified  the  Secretariat  that  a
particular  type  of  article  remains  in  use  within  that  Party.  The  Secretariat  shall  make  such
notifications publicly available;

(iii)
This  note  shall  not  be  considered  as  a  production  and  use  specific  exemption  for
purposes of paragraph 2 of Article 3. Given that no significant quantities of the chemical are
expected  to  reach  humans  and  the  environment  during  the  production  and  use  of  a  closed-
system site-limited intermediate, a Party, upon notification to the Secretariat, may  allow the
production and use of quantities of  a  chemical  listed  in  this  Annex  as  a  closed-system  site-
limited  intermediate  that  is  chemically  transformed  in  the  manufacture  of  other  chemicals
that,  taking  into  consideration  the  criteria  in  paragraph  1  of  Annex  D,  do  not  exhibit  the
characteristics of persistent organic pollutants. This notification shall include information on

34

total production  and  use  of such  chemical or  a reasonable estimate  of such  information  and
information  regarding  the  nature  of  the  closed-system  site-limited  process  including  the
amount  of  any  non-transformed  and  unintentional  trace  contamination  of  the  persistent
organic  pollutant-starting  material  in  the  final  product.  This  procedure  applies  except  as
otherwise specified in this Annex. The Secretariat shall make such notifications available to
the Conference of the Parties and to the public. Such production or use shall not be considered
a production or use specific exemption. Such production and use shall cease after a ten-year
period, unless the Party concerned submits a new notification to the Secretariat, in which case
the period will be extended for an additional ten  years unless the Conference of the  Parties,
after a review of the production and use decides otherwise. The notification procedure can be
repeated;

All  the  specific  exemptions  in  this  Annex  may  be  exercised  by  Parties  that  have

(iv)
registered in respect of them in accordance with Article 4.

Part II

DDT (1,1,1-trichloro-2,2-bis(4-chlorophenyl)ethane)

The  production  and  use  of  DDT  shall  be  eliminated  except  for  Parties  that  have
1.
notified the Secretariat of their intention to produce and/or use it. A DDT Register is hereby
established  and  shall  be  available  to  the  public.  The  Secretariat  shall  maintain  the  DDT
Register.

2.
Each Party that produces and/or uses DDT shall restrict such production and/or use for
disease  vector  control  in  accordance  with  the  World  Health  Organisation  recommendations
and guidelines on the use of DDT and when locally safe, effective and affordable alternatives
are not available to the Party in question.

3.
In  the  event  that  a  Party  not  listed  in  the  DDT  Register  determines  that  it  requires
DDT for disease vector control, it shall notify the Secretariat as soon as possible in order to
have its name added forthwith to the DDT Register. It shall at the same time notify the World
Health Organisation.

Every  three  years,  each  Party  that uses DDT  shall  provide  to  the  Secretariat  and  the
4.
World Health Organisation information on the amount used, the conditions of such use and its
relevance  to  that  Party’s  disease  management  strategy,  in  a  format  to  be  decided  by  the
Conference of the Parties in consultation with the World Health Organisation.

With the goal of reducing and ultimately eliminating the use of DDT, the Conference

5.
of the Parties shall encourage:

a.

Each Party using DDT to develop and implement an action plan as part of the
implementation plan specified in Article 7. That action plan shall include:

i)

ii)

Development  of  regulatory  and  other  mechanisms  to  ensure  that  DDT
use is restricted to disease vector control;

Implementation  of suitable  alternative products,  methods  and  strategies,
including  resistance  management  strategies  to  ensure  the  continuing
effectiveness of these alternatives;

35

iii) Measures  to  strengthen  health  care  and  to  reduce  the  incidence  of  the

disease.

b.

The Parties, within their capabilities, to promote research and development of
safe  alternative  chemical  and  non-chemical  products,  methods  and  strategies
for  Parties  using  DDT,  relevant  to  the  conditions  of  those  countries  and  with
the goal of decreasing the human and economic burden of disease. Factors to
be  promoted  when  considering  alternatives  or  combinations  of  alternatives
shall  include  the  human  health  risks  and  environmental  implications  of  such
alternatives.  Viable  alternatives  to  DDT  shall  pose  less  risk  to  human  health
and the environment, be suitable for disease control based on conditions in the
Parties in question and be supported with monitoring data.

6.
Commencing  at  its  first  meeting,  and  at  least  every  three  years  thereafter,  the
Conference of the Parties shall, in consultation with the World Health Organization, evaluate
the  continued  need  for  DDT  for  disease  vector  control  on  the  basis  of  available  scientific,
technical, environmental and economic information, including:

a)

b)

c)

The production and use of DDT and the conditions set out in paragraph 2;

The availability, suitability and implementation of the alternatives to DDT; and

Progress in strengthening the capacity of countries to transfer safely to reliance
on such alternatives.

7.
A  Party  may,  at  any  time,  withdraw  its  name  from  the  DDT  Registry  upon  written
notification  to  the  Secretariat.  The  withdrawal  shall  take  effect  on  the  date  specified  in  the
notification.

36

Annex C

UNINTENTIONAL PRODUCTION

Part I: Persistent organic pollutants subject to the requirements of Article 5

This Annex applies to the following persistent organic pollutants when formed and released
unintentionally from anthropogenic sources:

Chemical

Polychlorinated dibenzo-p-dioxins and dibenzofurans (PCDD/PCDF)

Hexachlorobenzene (HCB) (CAS No: 118-74-1)

Polychlorinated biphenyls (PCB)

Part II: Source categories

dibenzo-p-dioxins 

Polychlorinated 
and
polychlorinated  biphenyls  are  unintentionally  formed  and  released  from  thermal  processes
involving  organic  matter  and  chlorine  as  a  result  of  incomplete  combustion  or  chemical
reactions. The following industrial source categories have the potential for comparatively high
formation and release of these chemicals to the environment:

hexachlorobenzene 

dibenzofurans, 

and 

(a) Waste  incinerators,  including  co-incinerators  of  municipal,  hazardous  or

medical waste or of sewage sludge;

(b) Cement kilns firing hazardous waste;

(c)

Production of pulp using elemental chlorine or chemicals generating elemental
chlorine for bleaching;

(d) The following thermal processes in the metallurgical industry:

(i)

Secondary copper production;

(ii)

Sinter plants in the iron and steel industry;

(iii) Secondary aluminium production;

(iv) Secondary zinc production.

Part III: Source categories

Polychlorinated 
and
polychlorinated  biphenyls  may  also  be  unintentionally  formed  and  released  from  the
following source categories, including:

hexachlorobenzene 

dibenzo-p-dioxins 

dibenzofurans, 

and 

(a) Open burning of waste, including burning of landfill sites;

37

(b) Thermal processes in the metallurgical industry not mentioned in Part II;

(c) Residential combustion sources;

(d)

Fossil fuel-fired utility and industrial boilers;

(e)

Firing installations for wood and other biomass fuels;

(f)

Specific  chemical  production  processes  releasing  unintentionally  formed
persistent  organic  pollutants,  especially  production  of  chlorophenols  and
chloranil;

(g) Crematoria;

(h) Motor vehicles, particularly those burning leaded gasoline;

(i) Destruction of animal carcasses;

(j)

Textile  and  leather  dyeing  (with  chloranil)  and  finishing  (with  alkaline
extraction);

(k)

Shredder plants for the treatment of end of life vehicles;

(l)

Smouldering of copper cables;

(m) Waste oil refineries.

Part IV: Definitions

1.

For the purposes of this Annex:

(a)

(b)

"Polychlorinated  biphenyls"  means  aromatic  compounds  formed  in  such  a
manner that the hydrogen atoms on the biphenyl molecule (two benzene rings
bonded together by a single carbon-carbon bond) may be replaced by up to ten
chlorine atoms; and

“Polychlorinated  dibenzo-p-dioxins”  and  “polychlorinated  dibenzofurans”  are
tricyclic, aromatic compounds formed by two benzene rings connected by two
oxygen  atoms  in  polychlorinated  dibenzo-p-dioxins  and  by  one  oxygen  atom
and  one  carbon-carbon  bond  in  polychlorinated  dibenzofurans  and  the
hydrogen atoms of which may be replaced by up to eight chlorine atoms.

2.
In this Annex, the toxicity of polychlorinated dibenzo-p-dioxins and dibenzofurans is
expressed  using  the  concept  of  toxic  equivalency  which  measures  the  relative  dioxin-like
toxic activity of different congeners of polychlorinated dibenzo-p-dioxins and dibenzofurans
and coplanar polychlorinated biphenyls in comparison to 2,3,7,8-tetrachlorodibenzo-p-dioxin.
The  toxic  equivalent  factor  values  to  be  used  for  the  purposes  of  this  Convention  shall  be
consistent  with  accepted  international  standards,  commencing  with  the  World  Health
Organization 1998 mammalian toxic equivalent factor values for polychlorinated dibenzo-p-
dioxins  and  dibenzofurans  and  coplanar  polychlorinated  biphenyls.  Concentrations  are
expressed in toxic equivalents.

38

Part V: General guidance on best available techniques and best environmental practices

This  Part  provides  general  guidance  to  Parties  on  preventing  or  reducing  releases  of  the
chemicals listed in Part I.

General  prevention  measures  relating  to  both  best  available  techniques  and  best

A.
environmental practices

Priority  should  be  given  to  the  consideration  of  approaches  to  prevent  the  formation  and
release of the chemicals listed in Part I. Useful measures could include:

(a)

The use of low-waste technology;

(b) The use of less hazardous substances;

(c)

The  promotion  of  the  recovery  and  recycling  of  waste  and  of  substances
generated and used in a process;

(d) Replacement of feed materials which are persistent organic pollutants or where
there  is  a  direct  link  between  the  materials  and  releases  of  persistent  organic
pollutants from the source;

(e) Good housekeeping and preventive maintenance programmes;

(f)

Improvements in waste management with the aim of the cessation of open and
other  uncontrolled  burning  of  wastes,  including  the  burning  of  landfill  sites.
When  considering  proposals  to  construct  new  waste  disposal  facilities,
consideration should be given to alternatives such as activities to minimise the
generation of municipal and medical waste, including resource recovery, reuse,
recycling,  waste  separation  and  promoting  products  that  generate  less  waste.
Under this approach, public health concerns should be carefully considered;

(g) Minimisation of these chemicals as contaminants in products;

(h) Avoiding  elemental  chlorine  or  chemicals  generating  elemental  chlorine  for

bleaching.

B.

Best available techniques

The  concept  of  best  available  techniques  is  not  aimed  at  the  prescription  of  any  specific
technique  or  technology,  but  at  taking  into  account  the  technical  characteristics  of  the
installation  concerned,  its  geographical  location  and  the  local  environmental  conditions.
Appropriate  control  techniques  to  reduce  releases  of  the  chemicals  listed  in  Part  I  are  in
general  the  same.  In  determining  best  available  techniques,  special  consideration  should  be
given, generally or in specific cases, to the following factors, bearing in mind the likely costs
and benefits of a measure and consideration of precaution and prevention:

a)

General considerations:

(i)  The  nature,  effects  and  mass  of  the  releases  concerned:  techniques  may  vary

depending on source size;

(ii) The commissioning dates for new or existing installations;

39

(iii) The time needed to introduce the best available technique;

(iv) The consumption and nature of raw materials used in the process and its energy

efficiency;

(v) The need to prevent or reduce to a minimum the overall impact of the releases to

the environment and the risks to it;

(vi)  The  need  to  prevent  accidents  and  to  minimize  their  consequences  for  the

environment;

(vii) The need to ensure occupational health and safety at workplaces;

(viii) Comparable processes, facilities or methods of operation which have been tried

with success on an industrial scale;

(ix) Technological advances and changes in scientific knowledge and understanding.

b)

General release reduction measures:

When  considering  proposals  to  construct  new  facilities  or  significantly  modify  existing
facilities  using  processes  that  release  chemicals  listed  in  this  Annex,  priority  consideration
should be given to alternative processes, techniques or practices that have similar usefulness
but which avoid the  formation and  release of such chemicals.  In cases  where  such  facilities
will be constructed or significantly modified, in addition to the prevention measures outlined
in  section  A  of  Part  V  the  following  reduction  measures  could  also  be  considered  in
determining best available techniques:

(i)  Use  of  improved  methods  for  flue-gas  cleaning  such  as  thermal  or  catalytic

oxidation, dust precipitation, or adsorption;

(ii) Treatment of  residuals, wastewater, wastes  and sewage sludge by, for example,
thermal treatment or rendering them inert  or chemical processes that detoxify
them;

(iii)  Process  changes  that  lead  to  the  reduction  or  elimination  of  releases,  such  as

moving to closed systems;

(iv) Modification of process designs to improve combustion and prevent formation of
the chemicals  listed  in  this  Annex,  through  the  control  of  parameters  such  as
incineration temperature or residence time.

C.

Best environmental practices

The  Conference  of  the  Parties  may  develop  guidance  with  regard  to  best  environmental
practices.

40

Annex D

INFORMATION REQUIREMENTS AND SCREENING CRITERIA

A  Party  submitting  a  proposal  to  list  a  chemical  in  Annexes  A,  B  and/or  C  shall
1.
identify the chemical in the manner described in subparagraph (a) and provide the information
on  the  chemical,  and  its  transformation  products  where  relevant,  relating  to  the  screening
criteria set out in subparagraphs (b) to (e):

(a) Chemical identity:

(i) Names, including trade name or names, commercial name or names and
synonyms,  Chemical  Abstracts  Service  (CAS)  Registry  number,
International Union of Pure and Applied Chemistry (IUPAC) name; and

(ii)

Structure,  including  specification  of  isomers,  where  applicable,  and  the
structure of the chemical class;

(b)

Persistence:

(i)

Evidence  that  the  half-life  of  the  chemical  in  water  is  greater  than  two
months, or that its half-life in soil is greater than six months,  or  that  its
half-life in sediment is greater than six months; or

(ii) Evidence that  the  chemical is  otherwise  sufficiently  persistent  to  justify

its consideration within the scope of this Convention;

(c) Bio-accumulation:

(i)

Evidence that the bio-concentration factor  or bio-accumulation factor in
aquatic species for the chemical is greater than 5,000 or, in the absence of
such data, that the log Kow is greater than 5;

(ii) Evidence that a chemical presents other reasons for concern, such as high
bio-accumulation in other species, high toxicity or ecotoxicity; or

(iii) Monitoring data in biota indicating that the bio-accumulation potential of
the chemical is sufficient to justify its consideration within the scope of
this Convention;

(d)

Potential for long-range environmental transport:

(i) Measured levels of the chemical in locations distant from the sources of

its release that are of potential concern;

(ii) Monitoring data showing that long-range environmental transport of the
chemical, with the potential for transfer to a receiving environment, may
have occurred via air, water or migratory species; or

(iii) Environmental fate properties and/or model results that demonstrate that
the  chemical  has  a  potential  for  long-range  environmental  transport
through air, water or migratory species, with the potential for transfer to a
receiving environment in locations distant from the sources of its release.

41

For a chemical that migrates significantly through the air, its half-life in
air should be greater than two days; and

(e) Adverse effects:

(i)

Evidence of  adverse  effects  to  human  health  or  to  the  environment  that
justifies  consideration  of  the  chemical  within  the  scope  of  this
Convention; or

(ii) Toxicity  or  ecotoxicity  data  that  indicate  the  potential  for  damage  to

human health or to the environment.

The  proposing  Party  shall  provide  a  statement  of  the  reasons  for  concern  including,
2.
where possible, a comparison of toxicity or ecotoxicity data with detected or predicted levels
of a chemical resulting or anticipated from its long-range environmental transport, and a short
statement indicating the need for global control.

3.
The  proposing  Party  shall,  to  the  extent  possible  and  taking  into  account  its
capabilities, provide additional information to support the review of the proposal referred to in
paragraph  6  of  Article  8.  In  developing  such  a  proposal,  a  Party  may  draw  on  technical
expertise from any source.

42

Annex E

INFORMATION REQUIREMENTS FOR THE RISK PROFILE

The purpose of the review is to evaluate whether the chemical is likely, as a result of its long-
range  environmental  transport,  to  lead  to  significant  adverse  human  health  and/or
environmental  effects,  such  that  global  action  is  warranted.  For  this  purpose,  a  risk  profile
shall  be  developed  that  further  elaborates  on,  and  evaluates,  the  information  referred  to  in
Annex D and includes, as far as possible, the following types of information:

(a)

Sources, including as appropriate:

i)

ii)

Production data, including quantity and location;

Uses; and

iii) Releases, such as discharges, losses and emissions;

(b) Hazard  assessment  for  the  endpoint  or  endpoints  of  concern,  including  a
consideration of toxicological interactions involving multiple chemicals;

(c)

to 

its  environmental 

Environmental  fate,  including  data  and  information  on  the  chemical  and
physical  properties  of  a  chemical  as  well  as  its  persistence  and  how  they  are
transfer  within  and  between
transport, 
linked 
environmental  compartments,  degradation  and 
to  other
chemicals. A determination of the bio-concentration factor or bio-accumulation
factor, based on measured  values, shall  be available, except  when  monitoring
data are judged to meet this need;

transformation 

(d) Monitoring data;

(e)

Exposure  in  local  areas  and,  in  particular,  as  a  result  of  long-range
environmental transport, and including information regarding bio-availability;

(f) National  and  international  risk  evaluations,  assessments  or  profiles  and

labelling information and hazard classifications, as available; and

(g)

Status of the chemical under international conventions.

43

Annex F

INFORMATION ON SOCIO-ECONOMIC CONSIDERATIONS

An evaluation should be undertaken regarding possible control measures for chemicals under
consideration  for  inclusion  in  this  Convention,  encompassing  the  full  range  of  options,
including  management  and  elimination.  For  this  purpose,  relevant  information  should  be
provided relating to socio-economic considerations associated with possible control measures
to  enable  a  decision  to  be  taken  by  the  Conference  of  the  Parties.  Such  information  should
reflect due regard for the differing capabilities and conditions among the Parties and should
include consideration of the following indicative list of items:

(a)

Efficacy and efficiency of possible control measures in meeting risk reduction
goals:

(i)

Technical feasibility; and

(ii) Costs, including environmental and health costs;

(b) Alternatives (products and processes):

(i)

Technical feasibility;

(ii) Costs, including environmental and health costs;

(iii) Efficacy;

(iv) Risk;

(v) Availability; and

(vi) Accessibility;

(c)

Positive  and/or  negative  impacts  on  society  of  implementing  possible  control
measures:

(i) Health, including public, environmental and occupational health;

(ii) Agriculture, including aquaculture and forestry;

(iii) Biota (biodiversity);

(iv) Economic aspects;

(v) Movement towards sustainable development; and

(vi) Social costs;

(d) Waste  and  disposal  implications  (in  particular,  obsolete  stocks  of  pesticides

and clean-up of contaminated sites):

(i)

Technical feasibility; and

(ii) Cost;

44

(e) Access to information and public education;

(f)

Status of control and monitoring capacity; and

(g)

Any national or regional control actions taken, including information on alternatives,

and other relevant risk management information.

45

ANNEX I

DECLARATION BY THE EUROPEAN COMMUNITY IN ACCORDANCE WITH
ARTICLE 25(3) OF THE STOCKHOLM CONVENTION ON PERSISTENT
ORGANIC POLLUTANTS

The  European  Community  declares  that,  in  accordance  with  the  Treaty  establishing  the
European Community, and in particular Article 175 thereof, it is competent for entering into
international  environmental  agreements,  and  for  implementing  the  obligations  resulting
therefrom, which contribute to the pursuit of the following objectives:

–  Preserving, protecting and improving the quality of the environment,

–  Protecting human health,

–  Prudent and rational utilisation of natural resources,

–  Promoting  measures  at 
environmental problems.

international 

level 

to  deal  with  regional  or  worldwide

Moreover,  the  European  Community  declares  that  it  has  already  adopted  legal  instruments,
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 Conference of the Parties in
accordance with Article 15(1) of the Stockholm Convention.

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

The exercise of Community competence is, by its nature, subject to continuous development.

46

LEGISLATIVE FINANCIAL STATEMENT

Policy area(s): Environment

Activit(y/ies): Global Environmental Affairs

TITLE  OF  ACTION:  TO  CONCLUDE  ON  BEHALF  OF  THE  EUROPEAN  COMMUNITY  THE

STOCKHOLM CONVENTION ON PERSISTENT ORGANIC POLLUTANTS

1.

BUDGET LINE(S) + HEADING(S)

2.

2.1.

2.2.

2.3.

(a)

B7-8110B

OVERALL FIGURES

Total allocation for action (Part B): 0,6 € million for commitment

Period of application: Starts 2004 and is open-ended

Overall multiannual estimate of expenditure:

Schedule  of  commitment  appropriations/payment  appropriations 
intervention) (see point 6.1.1)

(financial

€ million ( to three decimal places)

Year

2004
0,100

Commitments

Payments

2005
2006
0,100 0,100

2007
0,100

2008
0,100

2009 - Total
0,600
0,100

(b)

Technical and administrative assistance and support expenditure(see point 6.1.2)

Commitments

Payments

Subtotal a+b

Commitments

Payments

(c)

Overall  financial  impact  of  human  resources  and  other  administrative  expenditure
(see points 7.2 and 7.3)

Commitments/
payments

47

TOTAL a+b+c

Commitments

Payments

2.4.

Compatibility with financial programming and financial perspective

[X] Proposal is compatible with existing financial programming.

Proposal  will  entail  reprogramming  of  the  relevant  heading  in  the  financial
perspective.

Proposal  may  require  application  of  the  provisions  of  the  Interinstitutional
Agreement.

2.5.

Financial impact on revenue:6

[X] Proposal  has  no  financial  implications  (involves  technical  aspects  regarding

implementation of a measure)

OR

Proposal has financial impact – the effect on revenue is as follows:

(NB All details and observations relating to the method of calculating the effect on
revenue should be shown in a separate annex.)

Budget line

Revenue

(€ million to one decimal place)

Prior to
action
[Year
n-1]

[Yea
r n]

Situation following action

[n+1] [n+2] [n+3

[n+4] [n+5]

]

a) Revenue in absolute terms

b) Change in revenue

 (cid:1)

(Please specify each budget line involved, adding the appropriate number of rows
to the table if there is an effect on more than one budget line.)

3.

BUDGET CHARACTERISTICS

Type of expenditure

New

Comp/
Non-comp

Diff

YES/
NO

EFTA
contribution

Contributions
form applicant
countries

Heading in
financial
perspective

NO

NO

No

6

For further information, see separate explanatory note.

48

                                                
4.

LEGAL BASIS

Decision No 1600/2002/EC of the European Parliament and of the Council of 22 July 2002
laying down the Sixth Community Environment Action Programme.

5.

5.1.

DESCRIPTION AND GROUNDS

Need for Community intervention 7

5.1.1. Objectives pursued

The  objective  of  the  Convention  is  to  protect  human  health  and  the  environment  from
persistent  organic  pollutants,  which  pose  threat  to  the  environment  and  to  human  health  all
over the  globe.  The Convention aims  to  eliminate the  production,  use,  trade and releases of
these substances to the environment.

Pursuant  to  the  Treaty  establishing  the  European  Community,  there  is  Community
competence  in  the  areas  covered  by  the  Stockholm  Convention.  This  competence  has  been
exercised at internal level through enactment of Community legislation.

For  this  reason,  it  is  important  that  the  European  Community  becomes  a  member  of  the
Convention  together  with  the  Member  States.  In  this  way  the  Community  can  pursue  the
objectives of the Treaty to protect the health of the public and the environment.

5.1.2. Measures taken in connection with ex ante evaluation

Not applicable.

5.2.

Action envisaged and budget intervention arrangements

According  to  the  draft  financial  rules  for  the  Conference  of  the  Parties  of  the  Stockholm
Convention, its subsidiary bodies and the Convention Secretariat, a General Trust Fund shall
be  established  to  cover  the  administrative  and  other  expenditures  raised  by  the  functions  of
the  Convention.  Each  Party  shall  make  financial  contributions  to  this  Fund  each  calendar
year. Contributions of the Parties will likely be based on a scale of assessments of the United
Nations. The contribution of the European Community would thus be, at the minimum, 2,5 %
of the total budget.

After  the  Convention  enters  into  force,  the  Conference  of  the  Parties  shall  establish  the
financial  rules  and  adopt  the  budget  for  the  first  financial  period  (biennium).  Before  the
Convention enters into force, yearly contributions are addressed to the UNEP POPs Club to
cover  the  costs  raised  by  Intergovernmental  Negotiation  Committee  and  the  Interim
Secretariat in the UNEP Chemicals.

5.3.

Methods of implementation

See 5.2.

7

For further information, see separate explanatory note.

49

                                                
6.

FINANCIAL IMPACT

6.1.

Total financial impact on Part B - (over the entire programming period)

6.1.1.

Financial intervention

Commitments (in € million to three decimal places)

Breakdown

2004

2005

2006

2007

2008

Total

2009
and
subs.
Years

0,100

0,100

0,100

0,100

0,100

0,100

0,600

Action 1

Action 2

etc.

TOTAL 0,100

0,100

0,100

0,100

0,100

0,100

0,600

6.1.2.

Technical  and  administrative  assistance,  support  expenditure  and  IT  expenditure
(commitment appropriations)

[Year n]

[n+1]

[n+2]

[n+3]

[n+4]

Total

[n+5
and
subs.
Years]

1) 
administrative assistance

Technical 

and

Technical 

a) 
offices

assistance

b)  Other 
administrative assistance:

technical 

and

- intra muros:

- extra muros:

of  which  for  construction
and 
of
maintenance 
computerised  management
systems

Subtotal 1

2) Support expenditure

a) Studies

b) Meetings of experts

c) Information and
publications

Subtotal 2

TOTAL

50

6.2.

Calculation  of  costs  by  measure  envisaged  in  Part  B  (over  the  entire
programming period)8

(Where  there  is  more  than  one  action,  give  sufficient  detail  of  the  specific  measures  to  be
taken for each one to allow the volume and costs of the outputs to be estimated.)

Breakdown

Commitments (in € million to three decimal places)

Type
of outputs
(projects, files )

Number of
outputs

Average unit
cost

(total for years
1…n)

Total cost

(total for years
1…n)

1

2

3

4=(2X3)

Action 1

- Measure 1

- Measure 2

Action 2

- Measure 1

- Measure 2

- Measure 3

etc.

TOTAL COST

If necessary explain the method of calculation

7.

IMPACT ON STAFF AND ADMINISTRATIVE EXPENDITURE

7.1.

Impact on human resources

Staff to be assigned to management of the
action using existing and/or additional
resources

Number of
permanent posts

Number of
temporary posts

Total

Description of tasks deriving from the
action

If necessary, a fuller description of the
tasks may be annexed.

Types of post

Officials 
temporary staff

or

A

B

C

Other human resources

Total

8

For further information, see separate explanatory note.

51

                                                
7.2.

Overall financial impact of human resources

Type of human resources

Amount (€)

Method of calculation  *

Officials

Temporary staff

Other human resources

(specify budget line)

Total

The amounts are total expenditure for twelve months.

7.3.

Other administrative expenditure deriving from the action

Amount €

Method of calculation

Budget line

(number and heading)

Overall allocation (Title A7)

A0701 – Missions

A07030 – Meetings
A07031 – Compulsory committees 1
A07032 – Non-compulsory committees 1

A07040 – Conferences

A0705 – Studies and consultations

Other expenditure (specify)

Information systems (A-5001/A-4300)

Other expenditure - Part A (specify)

Total

The amounts are total expenditure for twelve months.

1 Specify the type of committee and the group to which it belongs.

I.

II.

III.

8.

Annual total (7.2 + 7.3)

Duration of action

Total cost of action (I x II)

years

FOLLOW-UP AND EVALUATION

8.1.

Follow-up arrangements

Not applicable.

8.2.

Arrangements and schedule for the planned evaluation

Not applicable.

52

€
€
9.

ANTI-FRAUD MEASURES

Not applicable.

53