Proposal for a Council Decision on the conclusion, on behalf of the European Community, of the UN-ECE Protocol on Pollutant Release and Transfer Registers
Date: 2004-10-06
Institutions: European Commission
Subjects: European Community, UNO, access to information, database, environmental policy, information technology applications, multilateral agreement, pollutant, pollution

COMMISSION OF THE EUROPEAN COMMUNITIES 

Brussels, 6.10.2004 
COM(2004) 635 final 

2004/0232 (CNS) 

. 

Proposal for a 

COUNCIL DECISION 

on the conclusion, on behalf of the European Community, of the UN-ECE Protocol 
on Pollutant Release and Transfer Registers 

(presented by the Commission) 

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EXPLANATORY MEMORANDUM 

1. 

THE PROTOCOL ON POLLUTANT RELEASE AND TRANSFER REGISTERS 

The  Protocol  on  Pollutant  Release  and  Transfer  Registers  was  signed  at  an  extra-ordinary 
meeting  of  the  Parties  to  the  Convention  on  21  May  2003.  The  meeting  took  place  in  the 
framework  of  the  fifth  'Environment  for  Europe'  Ministerial  Conference,  Kiev,  21-23  May 
2003. 

The Protocol is the first legally binding multilateral agreement, beyond the borders of the EU, 
on  pollutant  release  and  transfer  registers.  Its  objective  is  "to  enhance  public  access  to 
information through the establishment of coherent, nationwide pollutant release and transfer 
registers  (PRTRs)  ..."  Although  regulating  information  on  pollution,  rather  than  pollution 
directly,  the  protocol  is  expected  to  exert  a  significant  downward  pressure  on  levels  of 
pollution. 

The establishment of coherent pollution inventories or registers on a structured, computerized 
and  publicly  accessible  database  compiled  through  standardised  reporting  is  one  of  the 
obligations  of  the  Aarhus  Convention  on  access  to  information,  public  participation  in 
decision-making  and  access  to  justice  in  environmental  matters  (see  Article  5  paragraph  9). 
The  Protocol  was  developed  by  a  Working  Group  established  under  the  auspices  of  the 
Convention,  which  held  eight  sessions  between  February  2001  and  January  2003.  A  Task 
Force, established by the Meeting of Signatories held two meetings which inter alia collected 
and  discussed  national  experience  with  PRTRs  and  recommendations  for  further  work  on 
PRTRs under the Convention, which led to the setting up of the Working Group.  

The Protocol requires each Party to establish a PRTR which  

– 

– 

– 

– 

– 

– 

– 

– 

– 

is publicly accessible through Internet, free of charge  

is  searchable  according  to  separate  parameters  (facility,  pollutant,  location, 
medium, etc.)  

is user-friendly in its structure and provide links to other relevant registers,  

presents standardized, timely data on a structured, computerized database;  

covers releases and transfers of at least 86 pollutants covered by the Protocol, such as 
greenhouses  gases,  acid  rain  pollutants,  ozone-depleting  substances,  heavy  metals, 
and certain carcinogens, such as dioxins;  

types  of  major  point  sources 
covers  releases  and 
(e.g.  thermal  power  stations,  mining  and  metallurgical  industries,  chemical  plants, 
waste and waste-water treatment plants, paper and timber industries);  

transfers  from  certain 

accommodates 
(e.g. transport and agriculture);  

available 

data 

on 

releases 

from 

diffuse 

sources 

has limited confidentiality provisions;  

allows for public participation in its development and modification.  

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A PRTR should be based on a reporting scheme which is 

– 

– 

– 

– 

– 

– 

mandatory 

annual  

multimedia (air, water, land)  

facility-specific  

pollutant-specific for releases  

pollutant-specific or waste-specific for transfers.  

All  States  can  sign  and  ratify  the  Protocol,  including  those  which  have  not  ratified  the 
Convention and those which are not members of the Economic Commission for Europe and is 
thus a global protocol.  

Article  20  of  the  Protocol  lays  down  special  procedures  for  amendments  to  annexes  of  the 
Protocol.  These  annexes  list  the  activities  covered,  including  thresholds  (annex  I),  the 
pollutants to be reported (annex II) and the reporting format (annex III). 

Any amendment, be it of the Protocol itself or of the annexes, is subject to a decision by the 
Meeting of the Parties. Amendments of the Protocol itself are subject to a regular ratification 
procedure. 

For  amendments  to  an  annex,  Articles  20(8)  and  20(9)  of  the  Protocol  foresee  that  if  “…a 
Party that does not accept such an amendment (it) shall so notify the Depositary in writing 
within twelve months from the date of its circulation by the Depositary. The Depositary shall 
without delay inform  all  Parties  of  any such notification received.  A Party  may  at  any time 
withdraw a previous notification of non-acceptance, whereupon the amendment to an annex 
shall  enter  into  force  for  that  Party.  On  the  expiry  of  twelve  months  from  the  date  of  its 
circulation by the Depositary …, an amendment to an annex shall enter into force for those 
Parties  which  have  not  submitted  a  notification  to  the  Depositary  …,  provided  that,  at  that 
time, not more than one third of those which were Parties at the time of the adoption of the 
amendment have submitted such a notification.” 

This constitutes a “fast-track approach” that might lead to an automatic entry into force of an 
amendment to an annex for any Party unable to react appropriately, for whatever reasons, in 
case of non-acceptance of such an amendment. 

It seems therefore appropriate to foresee, within the Community’s decision-making process, 
appropriate measures to ensure a smooth and timely reaction. The Proposal therefore contains 
a  provision  granting  a  general  mandate  to  the  Commission  to  participate,  on  behalf  of  the 
Community, in the negotiation of amendments to the annexes, as well as for the case that the 
Community has to notify non-acceptance.  

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2. 

COMMUNITY LEGISLATION 

On 17 July 2000 the Commission adopted a Decision on the implementation of a European 
pollutant  emission  register  (EPER)  according  to  Article  15  of  Council  Directive  96/61/EC 
concerning  integrated  pollution  prevention  and  control  (IPPC)1.  The  Register  became 
operational  by  February  2004.  It  already  implements  many  key  elements  of  the  Protocol: 
harmonised  reporting  rules,  public  accessibility  by  electronic  means,  broad  coverage  of 
sources (industrial facilities) and polluting substances. The obligations of the Protocol extend 
beyond  the  scope  of  EPER  mainly  in  terms  of  facilities  covered,  substances  to  report, 
coverage of off-site waste transfers and the periodicity of reporting. 

In  order  to  ensure  full  compliance  with  the  Protocol,  the  Commission  has  submitted  a 
Proposal  for  a  Regulation  on  the  implementation  of  a  European  Pollutant  Release  and 
Transfer  Register  (E-PRTR),  COM  (2004)  xxx  final.  This  legal  Community  act  is  also 
designed to ensure full compliance with Art.5 (9) of the Aarhus Convention. 

It is worth noting that the Community signed the Aarhus Convention and recently adopted a 
proposal for its approval (COM (2003)625 final of 24.10.2003). A number of other legislative 
acts  have  already  been  adopted  or  at  least  proposed  in  order  to  ensure  the  Community’s 
compliance with the provisions of the Convention2.  

3. 

COMMUNITY COMPETENCE 

The Community, together will all Member States at that point in time as well as the candidate 
countries (Malta and Slovakia excepted), signed the Protocol in May 2003. 

The  European  Community,  in  accordance  with  the  Treaty  and  in  particular  Article  175(1) 
thereof,  is  competent  for  entering  into  international  agreements  and  for  implementing  the 
obligations resulting there from, obligations which contribute to the pursuit of the objectives 
listed in Article 174(1) of the EC Treaty. 

Under  this  Article,  the  Treaty  establishes  the  objectives  of  the  Community  policy  on  the 
environment as follows: preserving, protecting and improving the quality of the environment, 
protecting  human  health,  prudent  and  rational  utilisation  of  natural  resources,  promoting 
measures  at  the  international  level  to  deal  with  regional  or  worldwide  environmental 
problems. 

to  ensure  public  awareness  on  environmental 

The improvement of the public’s access to information by means of a PRTR is an essential 
tool 
to  promote  better 
implementation of environmental legislation. A PRTR is also a powerful information tool for 
the  policy  makers  themselves.  Thus,  it  contributes  to  strengthen  the  effectiveness  of 
environmental policy established in the view of the above mentioned objectives. 

issues  and 

1 
2 

OJ L 192, 28.7.2000, p. 36. 
Directive  2003/4/EC  on  public  access  to  environmental  information,  OJ  L  41,  14.2.2003,  p.  26 ; 
Directive  2003/35/EC  providing  for  public  participation,  OJ  L  156,  25.6.2003,  p.  17 ;  Proposal  for  a 
Directive  on  access  to  justice  in  environmental  matters,  COM(2003)  624  final;  Proposal  for  a 
Regulation on the application of the provisions of the Aarhus Convention to EC institutions and bodies, 
COM(2003)622 final. 

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By  signing  both  the  Aarhus  Convention  and  the  UN-ECE  PRTR  Protocol,  the  European 
Community  has  undertaken  to  introduce  the  necessary  measures  to  adhere  to  the  two 
multilateral  environmental  agreements.  The  Commission  has  submitted  appropriate  legal 
proposals to this effect. Moreover, Community competence has already been exerted in this 
field by the establishment of a Community-wide European Pollutant Emissions Register. 

4. 

CONCLUSION 

The  Community  should  therefore  conclude  the  UN-ECE  Protocol  on  Pollutant  Release  and 
Transfer  Registers.  The  Council  is  invited  to  approve  the  Protocol  by  adopting  the  attached 
proposal for a Decision. 

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2004/0232 (CNS) 

Proposal for a 

COUNCIL DECISION 

on the conclusion, on behalf of the European Community, of the UN-ECE Protocol 
on Pollutant Release and Transfer Registers 

THE COUNCIL OF THE EUROPEAN UNION, 

Having  regard  to  the  Treaty  establishing  the  European  Community,  and  in  particular 
Article  175  (1),  in  conjunction  with  the  first  sentence  of  the  first  subparagraph  of 
Article 300 (2) and the first subparagraph of Article 300 (3), as well as Article 300 (4) thereof, 

Having regard to the proposal from the Commission3, 

Having regard to the opinion of the European Parliament4, 

Whereas: 

(1) 

The  UN-ECE  Protocol  on  Pollutant  Release  and  Transfer  Registers  (hereafter  the 
Protocol)  aims  at  enhancing  public  access  to  information,  in  line  with  the  UN-ECE 
Convention  on  access  to  information,  public  participation  and  access  to  justice  in 
environmental matters (Århus Convention). 

(2) 

The European Community has signed the Århus Convention on 25 June 1998 and has 
approved it by Council Decision [xxx/xxx/EC5] on []. 

(3) 

The European Community has signed the Protocol on 21 May 2003. 

(4) 

(5) 

(6) 

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

Under  the  terms  of  the  Protocol,  a  regional  economic  integration  organisation  must 
declare in its instrument of ratification, acceptance, approval or accession, the extent 
of its competence with respect to the matters governed by the Protocol. 

Regulation  (EC)  N°  [xxxx/20xx]  of  the  European  Parliament  and  the  Council 
concerning the establishment of a European Pollutant Release and Transfer Register6 
of [] has incorporated the provisions of the Protocol into Community legislation. 

(7) 

It is therefore appropriate to approve the Protocol on behalf of the Community. 

3 
4 
5 
6 

OJ C […], […], p. […]. 
OJ C […], […], p. […]. 
OJ C […], […], p. […]. 
OJ C […], […], p. […]. 

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(8) 

The  Protocol,  in  its  Article  20,  stipulates  a  simplified  and  accelerated  procedure  for 
amendments to its annexes,  

HAS DECIDED AS FOLLOWS: 

Article 1 

The  UN-ECE  Protocol  on  Pollutant  Release  and  Transfer  Registers  is  hereby  approved  on 
behalf of the Community. 

The text of the Protocol is set out in Annex A to this Decision. 

Article 2 

The  President  of  the  Council  is  hereby  authorised  to  designate  the  person  or  persons 
empowered  to  deposit  the  instrument  of  approval  with  the  Secretary-General  of  the  United 
Nations, in accordance with Article 25 of the Protocol. 

Article 3 

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 B to this Decision, in accordance with Article 26(4) of the Protocol. 

Article 4 

The  Commission  is  hereby  authorised  to  participate,  on  behalf  of  the  Community,  in 
negotiations for the adoption of amendments to Annexes of the Protocol, pursuant to Article 
20 thereof, assisted by a special committee to be appointed by the Council.  

In the event that, within eleven months of the adoption of an amendment to Annexes of the 
Protocol,  the  legislative  measures  necessary  to  implement  the  amendments  within  the 
Community, as provided for in Article 18 of Regulation (EC) N° [xxxx/20xx], have not been 
adopted,  the  Commission  shall  notify  to  the  depositary  that  it  does  not  accept  such  an 
amendment, in accordance with Article 20(8) of the Protocol. As soon as the amendment is 
implemented, the Commission shall withdraw the notification of non-acceptance. 

Article 5 

This Decision shall be published in the Official Journal of the European Union. 

Done at Brussels, […] 

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For the Council 
The President 

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PROTOCOL ON POLLUTANT RELEASE AND TRANSFER REGISTERS 

ANNEX A 

The Parties to this Protocol, 

Recalling article 5, paragraph 9, and article 10, paragraph 2, of the 1998 Convention on Access to 
Information,  Public  Participation  in  Decision-making  and  Access  to  Justice  in  Environmental 
Matters (the Aarhus Convention), 

Recognizing that pollutant release and transfer registers provide an important mechanism to increase 
corporate  accountability,  reduce  pollution  and  promote  sustainable  development,  as  stated  in  the 
Lucca Declaration adopted at the first meeting of the Parties to the Aarhus Convention, 

Having regard to principle 10 of the 1992 Rio Declaration on Environment and Development, 

Having  regard  also  to  the  principles  and  commitments  agreed  to  at  the  1992  United  Nations 
Conference  on  Environment  and  Development,  in  particular  the  provisions  in  chapter  19  of 
Agenda 21, 

Taking note of the Programme for the Further Implementation of Agenda 21, adopted by the General 
Assembly of the United Nations at its nineteenth special session, 1997, in which it called for, inter 
alia,  enhanced  national  capacities  and  capabilities  for  information  collection,  processing  and 
dissemination,  to  facilitate  public  access  to  information  on  global  environmental  issues  through 
appropriate means, 

Having  regard  to  the  Plan  of  Implementation  of  the  2002  World  Summit  on  Sustainable 
Development, which encourages the development of coherent, integrated information on chemicals, 
such as through national pollutant release and transfer registers, 

Taking into account the work of the Intergovernmental Forum on Chemical Safety, in particular the 
2000 Bahia Declaration on Chemical Safety, the Priorities for Action Beyond 2000 and the Pollutant 
Release and Transfer Register/Emission Inventory Action Plan, 

Taking  into account  also  the  activities  undertaken  within  the  framework  of  the  Inter-Organization 
Programme for the Sound Management of Chemicals, 

Taking  into  account  furthermore  the  work  of  the  Organisation  for  Economic  Co-operation  and 
Development,  in  particular  its  Council  Recommendation  on  Implementing  Pollutant  Release  and 
Transfer  Registers,  in  which  the  Council  calls  upon  member  countries  to  establish  and  make 
publicly available national pollutant release and transfer registers, 

Wishing  to  provide  a  mechanism  contributing  to  the  ability  of  every  person  of  present  and  future 
generations to live in an environment adequate to his or her health and well-being, by ensuring the 
development of publicly accessible environmental information systems, 

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Wishing  also  to  ensure  that  the  development  of  such  systems  takes  into  account  principles 
contributing to sustainable development such as the precautionary approach set forth in principle 15 
of the 1992 Rio Declaration on Environment and Development,  

Recognizing the link between adequate environmental information systems and the exercise of the 
rights contained in the Aarhus Convention, 

Noting the need for cooperation with other international initiatives concerning pollutants and waste, 
including  the  2001  Stockholm  Convention  on  Persistent  Organic  Pollutants  and  the  1989  Basel 
Convention on the Control of Transboundary Movements of Hazardous Wastes and their Disposal, 

Recognizing that the objectives of an integrated approach to minimizing pollution and the amount of 
waste resulting from the operation of industrial installations and other sources are to achieve a high 
level of protection for the environment as a whole, to move towards sustainable and environmentally 
sound development and to protect the health of present and future generations, 

Convinced  of  the  value  of  pollutant  release  and  transfer  registers  as  a  cost-effective  tool  for 
encouraging  improvements  in  environmental  performance,  for  providing  public  access  to 
information on pollutants released into and transferred in and through communities, and for use by 
Governments  in  tracking  trends,  demonstrating  progress  in  pollution  reduction,  monitoring 
compliance with certain international agreements, setting priorities and evaluating progress achieved 
through environmental policies and programmes, 

Believing that pollutant release and transfer registers can bring tangible benefits to industry through 
the improved management of pollutants, 

Noting the opportunities for using data from pollutant release and transfer registers, combined with 
health,  environmental,  demographic,  economic  or  other  types  of  relevant  information,  for  the 
purpose  of  gaining  a  better  understanding  of  potential  problems,  identifying  ‘hot  spots’,  taking 
preventive and mitigating measures, and setting environmental management priorities, 

Recognizing the importance of protecting the privacy of identified or identifiable natural persons in 
the processing of information reported to pollutant release and transfer registers in accordance with 
applicable international standards relating to data protection, 

Recognizing also the importance of developing internationally compatible national pollutant release 
and transfer register systems to increase the comparability of data, 

Noting  that  many  member  States  of  the  United  Nations  Economic  Commission  for  Europe,  the 
European  Community  and  the  Parties  to  the  North  American  Free  Trade  Agreement  are  acting  to 
collect data on pollutant releases and transfers from various sources and to make these data publicly 
accessible,  and  recognizing  especially  in  this  area  the  long  and  valuable  experience  in  certain 
countries, 

Taking  into  account  the  different  approaches  in  existing  emission  registers  and  the  need  to  avoid 
duplication, and recognizing therefore that a certain degree of flexibility is needed, 

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Urging the progressive development of national pollutant release and transfer registers, 

Urging also the establishment of links between national pollutant release and transfer registers and 
information systems on other releases of public concern, 

Have agreed as follows: 

Article 1 

OBJECTIVE 

The objective of this Protocol is to enhance public access to information through the establishment 
of  coherent,  integrated,  nationwide  pollutant  release  and  transfer  registers  (PRTRs)  in  accordance 
with  the  provisions  of  this  Protocol,  which  could  facilitate  public  participation  in  environmental 
decision-making  as  well  as  contribute  to  the  prevention  and  reduction  of  pollution  of  the 
environment. 

Article 2 

DEFINITIONS 

For the purposes of this Protocol,  

1. 

2. 

3. 

4. 

5. 

6. 

“Party”  means,  unless  the  text  indicates  otherwise,  a  State  or  a  regional  economic 
integration organization referred to in article 24 which has consented to be bound by this 
Protocol and for which the Protocol is in force; 

“Convention”  means  the  Convention  on  Access  to  Information,  Public  Participation  in 
Decision-making  and  Access  to  Justice  in  Environmental  Matters,  done  at  Aarhus, 
Denmark, on 25 June 1998; 

“The public” means one or more natural or legal persons, and, in accordance with national 
legislation or practice, their associations, organizations or groups; 

“Facility” means one or more installations on the same site, or on adjoining sites, that are 
owned or operated by the same natural or legal person; 

“Competent authority” means the national authority or authorities, or any other competent 
body or bodies, designated by a Party to  manage a national pollutant release and transfer 
register system; 

“Pollutant”  means  a  substance  or  a  group  of  substances  that  may  be  harmful  to  the 
environment or to human health on account of its properties and of its introduction into the 
environment; 

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7. 

8. 

9. 

“Release”  means  any  introduction  of  pollutants  into  the  environment  as  a  result  of  any 
human activity, whether deliberate or accidental, routine or non-routine, including spilling, 
emitting,  discharging,  injecting,  disposing  or  dumping,  or  through  sewer  systems  without 
final waste-water treatment; 

“Off-site  transfer”  means  the  movement  beyond  the  boundaries  of  the  facility  of  either 
pollutants  or  waste  destined  for  disposal  or  recovery  and  of  pollutants  in  waste  water 
destined for waste-water treatment; 

“Diffuse sources” means the many smaller or scattered sources from which pollutants may 
be released to land, air or water, whose combined impact on those media may be significant 
and for which it is impractical to collect reports from each individual source; 

10. 

The  terms  “national”  and  “nationwide”  shall,  with  respect  to  the  obligations  under  the 
Protocol  on  Parties  that  are  regional  economic  integration  organizations,  be  construed  as 
applying to the region in question unless otherwise indicated; 

11. 

“Waste” means substances or objects which are: 

(a) 

Disposed of or recovered; 

(b) 

Intended to be disposed of or recovered; or 

12. 

13. 

14. 

1. 

2. 

(c) 

Required by the provisions of national law to be disposed of or recovered; 

“Hazardous waste” means waste that is defined as hazardous by the provisions of national 
law; 

“Other waste” means waste that is not hazardous waste; 

“Waste  water”  means  used  water  containing  substances  or  objects  that  is  subject  to 
regulation by national law. 

Article 3 

GENERAL PROVISIONS 

Each  Party  shall  take  the  necessary  legislative,  regulatory  and  other  measures,  and 
appropriate enforcement measures, to implement the provisions of this Protocol. 

The provisions of this Protocol shall not affect the right of a Party to maintain or introduce 
a  more  extensive  or  more  publicly  accessible  pollutant  release  and  transfer  register  than 
required by this Protocol. 

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3. 

4. 

5. 

6. 

Each  Party  shall  take  the  necessary  measures  to  require  that  employees  of  a  facility  and 
members of the public who report a violation by a facility of national laws implementing 
this Protocol to public authorities are not penalized, persecuted or harassed by that facility 
or public authorities for their actions in reporting the violation. 

In  the  implementation  of  this  Protocol,  each  Party  shall  be  guided  by  the  precautionary 
approach  as  set  forth  in  principle  15  of  the  1992  Rio  Declaration  on  Environment  and 
Development. 

To  reduce  duplicative  reporting,  pollutant  release  and  transfer  register  systems  may  be 
integrated  to  the  degree  practicable  with  existing  information  sources  such  as  reporting 
mechanisms under licences or operating permits. 

Parties  shall  strive  to  achieve  convergence  among  national  pollutant  release  and  transfer 
registers. 

Article 4 

CORE ELEMENTS OF A POLLUTANT RELEASE AND 
TRANSFER REGISTER SYSTEM 

In  accordance  with  this  Protocol,  each  Party  shall  establish  and  maintain  a  publicly  accessible 
national pollutant release and transfer register that: 

(a) 

Is facility-specific with respect to reporting on point sources; 

(b) 

Accommodates reporting on diffuse sources; 

(c) 

Is pollutant-specific or waste-specific, as appropriate; 

(d) 

Is multimedia, distinguishing among releases to air, land and water; 

(e) 

Includes information on transfers; 

(f) 

Is based on mandatory reporting on a periodic basis; 

(g) 

(h) 

Includes  standardized  and  timely  data,  a  limited  number  of  standardized  reporting 
thresholds and limited provisions, if any, for confidentiality; 

Is  coherent  and  designed  to  be  user-friendly  and  publicly  accessible,  including  in 
electronic form; 

(i) 

Allows for public participation in its development and modification; and 

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Is a structured, computerized database or several linked databases maintained by the 

(j) 
competent authority. 

Article 5 

DESIGN AND STRUCTURE 

1. 

Each  Party  shall  ensure  that  the  data  held  on  the  register  referred  to  in  article  4  are 
presented in both aggregated and non-aggregated forms, so that releases and transfers can 
be searched and identified according to:  

(a) 

Facility and its geographical location; 

(b) 

Activity; 

(c) 

Owner or operator, and, as appropriate, company; 

(d) 

Pollutant or waste, as appropriate; 

(e) 

(f) 

Each of the environmental media into which the pollutant is released; and  

As  specified  in  article  7,  paragraph  5,  the  destination  of  the  transfer  and,  where 
appropriate, the disposal or recovery operation for waste.  

2. 

3. 

4. 

5. 

6. 

Each Party shall also ensure that the data can be searched and identified according to those 
diffuse sources which have been included in the register. 

Each  Party  shall  design  its  register  taking  into  account  the  possibility  of  its  future 
expansion and ensuring that the reporting data from at least the ten previous reporting years 
are publicly accessible. 

The  register  shall  be  designed  for  maximum  ease  of  public  access  through  electronic 
means, such as the Internet. The design shall allow that, under normal operating conditions, 
the  information  on  the  register  is  continuously  and  immediately  available  through 
electronic means. 

Each  Party  should  provide  links  in its  register  to  its  relevant  existing,  publicly  accessible 
databases on subject matters related to environmental protection. 

Each Party shall provide links in its register to the pollutant release and transfer registers of 
other Parties to the Protocol and, where feasible, to those of other countries. 

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Article 6 

SCOPE OF THE REGISTER 

1. 

Each Party shall ensure that its register includes the information on: 

(a) 

Releases of pollutants required to be reported under article 7, paragraph 2; 

(b) 

Off-site transfers required to be reported under article 7, paragraph 2; and 

(c) 

Releases  of  pollutants  from  diffuse  sources  required  under  article  7, 
paragraph 4. 

2. 

Having assessed the experience gained from the development of national pollutant release 
and  transfer  registers  and  the  implementation  of  this  Protocol,  and  taking  into  account 
relevant  international  processes,  the  Meeting  of  the  Parties  shall  review  the  reporting 
requirements  under  this  Protocol  and  shall  consider  the  following  issues  in  its  further 
development: 

(a) 

Revision of the activities specified in annex I; 

(b) 

Revision of the pollutants specified in annex II; 

(c) 

Revision of the thresholds in annexes I and II; and 

(d) 

Inclusion of other relevant aspects such as information on on-site transfers, 
storage,  the  specification  of  reporting  requirements  for  diffuse  sources  or 
the development of criteria for including pollutants under this Protocol. 

Article 7 

REPORTING REQUIREMENTS 

1. 

Each Party shall either: 

(a)  Require  the  owner  or  the  operator  of  each  individual  facility  within  its  jurisdiction 
that undertakes one or more of the activities specified in annex I above the applicable 
capacity threshold specified in annex I, column 1, and: 

(i)  Releases  any  pollutant  specified  in  annex  II  in  quantities  exceeding  the 

applicable thresholds specified in annex II, column 1; 

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(ii)  Transfers off-site any pollutant specified in annex II in quantities exceeding the 
applicable threshold specified in annex II, column 2, where the Party has opted 
for pollutant-specific reporting of transfers pursuant to paragraph 5 (d); 

(iii)  Transfers  off-site  hazardous  waste  exceeding  2  tons  per  year  or  other  waste 
exceeding  2,000  tons  per  year,  where  the  Party  has  opted  for  waste-specific 
reporting of transfers pursuant to paragraph 5 (d); or 

(iv)  Transfers off-site any pollutant specified in annex II in waste water destined for 
waste-water treatment in quantities exceeding the applicable threshold specified 
in annex II, column 1b; 

(b) 

to  undertake  the  obligation  imposed  on  that  owner  or  operator  pursuant  to 
paragraph 2; or 

(c)  Require  the  owner  or  the  operator  of  each  individual  facility  within  its  jurisdiction 
that  undertakes  one  or  more  of  the  activities  specified  in  annex  I  at  or  above  the 
employee  threshold  specified  in  annex  I,  column  2,  and  manufactures,  processes  or 
uses  any  pollutant  specified  in  annex  II  in  quantities  exceeding  the  applicable 
threshold specified in annex II, column 3, to undertake the obligation imposed on that 
owner or operator pursuant to paragraph 2. 

Each  Party  shall  require  the  owner  or  operator  of  a  facility  referred  to  in  paragraph  1  to 
submit  the  information  specified  in  paragraphs  5  and  6,  and  in  accordance  with  the 
requirements therein, with respect to those pollutants and wastes for which thresholds were 
exceeded. 

In  order  to  achieve  the  objective  of  this  Protocol,  a  Party  may  decide  with  respect  to  a 
particular  pollutant  to  apply  either  a  release  threshold  or  a  manufacture,  process  or  use 
threshold,  provided  that  this  increases  the  relevant  information  on  releases  or  transfers 
available in its register. 

Each Party shall ensure that its competent authority collects, or shall designate one or more 
public authorities or competent bodies to collect, the information on releases of pollutants 
from diffuse sources specified in paragraphs 7 and 8, for inclusion in its register. 

Each  Party  shall  require  the  owners  or  operators  of  the  facilities  required  to  report  under 
paragraph 2 to complete and submit to its competent authority, the following information 
on a facility-specific basis: 

(a)  The  name,  street  address,  geographical  location  and  the  activity  or  activities  of  the 
reporting  facility,  and  the  name  of  the  owner  or  operator,  and,  as  appropriate, 
company; 

(b)  The name and numerical identifier of each pollutant required to be reported pursuant 

to paragraph 2; 

2. 

3. 

4. 

5. 

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(c)  The amount of each pollutant required to be reported pursuant to paragraph 2 released 
from  the  facility  to  the  environment  in  the  reporting  year,  both  in  aggregate  and 
according  to  whether  the  release  is  to  air,  to  water  or  to  land,  including  by 
underground injection; 

(d)  Either: 

(i)  The amount of each pollutant required to be reported pursuant to paragraph 2 
that  is  transferred  off-site  in  the  reporting  year,  distinguishing  between  the 
amounts transferred for disposal and for recovery, and the name and address of 
the facility receiving the transfer; or 

(ii)  The amount of waste required to be reported pursuant to paragraph 2 transferred 
off-site in the reporting year, distinguishing between hazardous waste and other 
waste, for any operations of recovery or  disposal, indicating respectively with 
‘R’  or  ‘D’  whether  the  waste  is  destined  for  disposal  or  recovery  pursuant  to 
annex III and, for transboundary movements of hazardous waste, the name and 
address  of  the  disposer  or  recoverer  of  the  waste  and  the  actual  disposal  or 
recovery site receiving the transfer; 

(e)  The  amount  of  each  pollutant  in  waste  water  required  to  be  reported  pursuant  to 

paragraph 2 transferred off-site in the reporting year; and 

(f)  The type of methodology used to derive the information referred to in subparagraphs 
(c)  to  (e),  according  to  article  9,  paragraph  2,  indicating  whether  the  information  is 
based on measurement, calculation or estimation. 

6. 

7. 

The information referred to in paragraph 5 (c) to (e) shall include information on releases 
and transfers resulting from routine activities and from extraordinary events. 

Each  Party  shall  present  on  its  register,  in  an  adequate  spatial  disaggregation,  the 
information on releases of pollutants from diffuse sources for which that Party determines 
that  data  are  being  collected  by  the  relevant  authorities  and  can  be  practicably  included. 
Where  the  Party  determines  that  no  such  data  exist,  it  shall  take  measures  to  initiate 
reporting on releases of relevant pollutants from one or more diffuse sources in accordance 
with its national priorities. 

8. 

The  information  referred  to  in  paragraph  7  shall  include  information  on  the  type  of 
methodology used to derive the information. 

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Article 8 

REPORTING CYCLE 

1. 

2. 

3. 

1. 

2. 

Each  Party  shall  ensure  that  the  information  required  to  be  incorporated  in  its  register  is 
publicly available, compiled and presented on the register by calendar year. The reporting 
year  is  the  calendar  year  to  which  that  information  relates.  For  each  Party,  the  first 
reporting  year  is  the  calendar  year  after  the  Protocol  enters  into  force  for  that  Party.  The 
reporting required under article 7 shall be annual. However, the second reporting year may 
be the second calendar year following the first reporting year. 

Each  Party  that  is  not  a  regional  economic  integration  organization  shall  ensure  that  the 
information  is  incorporated  into  its  register  within  fifteen  months  from  the  end  of  each 
reporting year. However, the information for the first reporting year shall be incorporated 
into its register within two years from the end of that reporting year. 

Each  Party  that  is  a  regional  economic  integration  organization  shall  ensure  that  the 
information for a particular reporting year is incorporated into its register six months after 
the Parties that are not regional economic integration organizations are required to do so. 

Article 9 

DATA COLLECTION AND RECORD-KEEPING 

Each  Party  shall  require  the  owners  or  operators  of  the  facilities  subject  to  the  reporting 
requirements  of  article  7  to  collect  the  data  needed  to  determine,  in  accordance  with 
paragraph  2  below  and  with  appropriate  frequency,  the  facility’s  releases  and  off-site 
transfers  subject  to  reporting  under  article  7  and  to  keep  available  for  the  competent 
authorities the records of the  data from which the reported information was derived for a 
period of five years, starting from the end of the reporting year concerned. These records 
shall also describe the methodology used for data gathering. 

Each Party shall require the owners or operators of the facilities subject to reporting under 
article 7 to use the best available information, which may include monitoring data, emission 
factors,  mass  balance  equations,  indirect  monitoring  or  other  calculations,  engineering 
judgments and other methods. Where appropriate, this should be done in accordance with 
internationally approved methodologies. 

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Article 10 

QUALITY ASSESSMENT 

1. 

2. 

1. 

2. 

3. 

4. 

5. 

Each  Party  shall  require  the  owners  or  operators  of  the  facilities  subject  to  the  reporting 
requirements  of  article  7,  paragraph  1,  to  assure  the  quality  of  the  information  that  they 
report. 

Each  Party  shall  ensure  that  the  data  contained  in  its  register  are  subject  to  quality 
assessment by the competent authority, in particular as to their completeness, consistency 
and credibility, taking into account any guidelines that may be developed by the Meeting of 
the Parties. 

Article 11 

PUBLIC ACCESS TO INFORMATION 

Each Party shall ensure public access to information contained in its pollutant release and 
transfer register, without an interest having to be stated, and according to the provisions of 
this  Protocol,  primarily  by  ensuring  that  its  register  provides  for  direct  electronic  access 
through public telecommunications networks. 

Where  the  information  contained  in  its  register  is  not  easily  publicly  accessible  by  direct 
electronic means, each Party shall ensure that its competent authority upon request provides 
that information by any other effective means, as soon as possible and at the latest within 
one month after the request has been submitted. 

Subject to paragraph 4, each Party shall ensure that access to information contained in its 
register is free of charge. 

Each Party may allow its competent authority to make a charge for reproducing and mailing 
the  specific  information  referred  to  in  paragraph  2,  but  such  charge  shall  not  exceed  a 
reasonable amount. 

Where  the  information  contained  in  its  register  is  not  easily  publicly  accessible  by  direct 
electronic  means,  each  Party  shall  facilitate  electronic  access  to  its  register  in  publicly 
accessible  locations,  for  example  in  public  libraries,  offices  of  local  authorities  or  other 
appropriate places. 

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Article 12 

CONFIDENTIALITY 

1. 

Each Party may authorize the competent authority to keep information held on the register 
confidential where public disclosure of that information would adversely affect:  

(a) 

International relations, national defence or public security; 

(b) 

(c) 

The course of justice, the ability of a person to receive a fair trial or the ability of a 
public authority to conduct an enquiry of a criminal or disciplinary nature; 

The  confidentiality  of  commercial  and 
confidentiality is protected by law in order to protect a legitimate economic interest; 

information,  where  such 

industrial 

(d) 

Intellectual property rights; or 

(e) 

The  confidentiality  of  personal  data  and/or  files  relating  to  a  natural  person  if  that 
person  has  not  consented  to  the  disclosure  of  the  information  to  the  public,  where 
such confidentiality is provided for in national law. 

The  aforementioned  grounds  for  confidentiality  shall  be  interpreted  in  a  restrictive  way, 
taking  into  account  the  public  interest  served  by  disclosure  and  whether  the  information 
relates to releases into the environment. 

Within the framework of paragraph 1 (c), any information on releases which is relevant for 
the protection of the environment shall be considered for disclosure according to national 
law. 

Whenever  information  is  kept  confidential  according  to  paragraph  1,  the  register  shall 
indicate  what  type  of  information  has  been  withheld,  through,  for  example,  providing 
generic chemical information if possible, and for what reason it has been withheld. 

Article 13 

PUBLIC PARTICIPATION IN THE DEVELOPMENT OF NATIONAL POLLUTANT 
RELEASE AND TRANSFER REGISTERS 

Each  Party  shall  ensure  appropriate  opportunities  for  public  participation  in  the 
development of its national pollutant release and transfer register, within the framework of 
its national law. 

2. 

3. 

1. 

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2. 

3. 

1. 

2. 

1. 

2. 

For  the  purpose  of  paragraph  1,  each  Party  shall  provide  the  opportunity  for  free  public 
access  to  the  information  on  the  proposed  measures  concerning  the  development  of  its 
national  pollutant  release  and  transfer  register  and  for  the  submission  of  any  comments, 
information, analyses or opinions that are relevant to the decision-making process, and the 
relevant authority shall take due account of such public input. 

Each Party shall ensure that, when a decision to establish or significantly change its register 
has been taken, information on the decision and the considerations on which it is based are 
made publicly available in a timely manner. 

Article 14 

Access to Justice 

Each  Party  shall,  within  the  framework  of  its  national  legislation,  ensure  that  any  person 
who considers that his or her request for information under article 11, paragraph 2, has been 
ignored, wrongfully refused, whether in part or in full, inadequately answered, or otherwise 
not dealt with in accordance with the provisions of that paragraph has access to a review 
procedure  before  a  court  of  law  or  another  independent  and  impartial  body  established 
by law. 

The  requirements  in  paragraph  1  are  without  prejudice  to  the  respective  rights  and 
obligations  of  Parties  under  existing  treaties  applicable  between  them  dealing  with  the 
subject matter of this article. 

Article 15 

CAPACITY-BUILDING 

Each Party shall promote public awareness of its pollutant release and transfer register, and 
shall  ensure  that  assistance  and  guidance  are  provided  in  accessing  its  register  and  in 
understanding and using the information contained in it. 

Each Party should provide adequate capacity-building for and guidance to the responsible 
authorities and bodies to assist them in carrying out their duties under this Protocol. 

Article 16 

INTERNATIONAL COOPERATION 

1. 

The Parties shall, as appropriate, cooperate and assist each other: 

(a) 

In international actions in support of the objectives of this Protocol; 

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(b)  On  the  basis  of  mutual  agreement  between  the  Parties  concerned,  in  implementing 

national systems in pursuance of this Protocol; 

(c) 

In  sharing  information  under  this  Protocol  on  releases  and  transfers  within  border 
areas; and 

(d) 

In sharing information under this Protocol concerning transfers among Parties. 

2. 

The Parties shall encourage cooperation among each other and with relevant international 
organizations, as appropriate, to promote: 

(a)  Public awareness at the international level; 

(b)  The transfer of technology; and 

(c)  The  provision  of  technical  assistance  to  Parties  that  are  developing  countries  and 

Parties with economies in transition in matters relating to this Protocol. 

Article 17 

MEETING OF THE PARTIES 

1. 

2. 

A Meeting of the Parties is hereby established. Its first session shall be convened no later 
than  two  years  after the  entry  into  force  of  this Protocol.  Thereafter,  ordinary sessions  of 
the Meeting of the Parties shall be held sequentially with or parallel to ordinary meetings of 
the Parties to the Convention, unless otherwise decided by the Parties to this Protocol. The 
Meeting of the Parties shall hold an extraordinary session if it so decides in the course of an 
ordinary session or at the written request of any Party provided that, within six months of it 
being communicated by the Executive Secretary of the Economic Commission for Europe 
to all Parties, the said request is supported by at least one third of these Parties. 

The  Meeting  of  the  Parties  shall  keep  under  continuous  review  the  implementation  and 
development of this Protocol on the basis of regular reporting by the Parties and, with this 
purpose in mind, shall: 

(a)  Review the development of pollutant release and transfer registers, and promote their 

progressive strengthening and convergence; 

(b)  Establish  guidelines  facilitating  reporting  by  the  Parties  to  it,  bearing  in  mind  the 

need to avoid duplication of effort in this regard;  

(c)  Establish a programme of work; 

(d)  Consider  and,  where  appropriate,  adopt  measures  to  strengthen  international 

cooperation in accordance with article 16; 

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(e)  Establish such subsidiary bodies as it deems necessary; 

(f)  Consider and adopt proposals for such amendments to this Protocol and its annexes 
as  are  deemed  necessary  for  the  purposes  of  this  Protocol,  in  accordance  with  the 
provisions of article 20; 

(g)  At  its  first  session,  consider  and  by  consensus  adopt  rules  of  procedure  for  its 
sessions and those of its subsidiary bodies, taking into account any rules of procedure 
adopted by the Meeting of the Parties to the Convention; 

(h)  Consider  establishing  financial  arrangements  by  consensus  and  technical  assistance 

mechanisms to facilitate the implementation of this Protocol; 

(i) 

Seek,  where  appropriate,  the  services  of  other  relevant  international  bodies  in  the 
achievement of the objectives of this Protocol; and 

(j)  Consider and take any additional action that may be required to further the objectives 
of  this  Protocol,  such  as  the  adoption  of  guidelines  and  recommendations  which 
promote its implementation. 

The  Meeting  of  the  Parties  shall  facilitate  the  exchange  of  information  on  the  experience 
gained in reporting transfers using the pollutant-specific and waste-specific approaches, and 
shall review that experience in order to investigate the possibility of convergence between 
the  two  approaches,  taking  into  account  the  public  interest  in  information  in  accordance 
with  article  1  and  the  overall  effectiveness  of  national  pollutant  release  and  transfer 
registers. 

The United Nations, its specialized agencies and the International Atomic Energy Agency, 
as well as any State or regional economic integration organization entitled under article 24 
to sign this Protocol but which is not a Party to it, and any intergovernmental organization 
qualified  in  the  fields  to  which  the  Protocol  relates,  shall  be  entitled  to  participate  as 
observers in  the  sessions  of  the  Meeting  of  the Parties.  Their admission  and  participation 
shall be subject to the rules of procedure adopted by the Meeting of the Parties. 

Any  non-governmental  organization  qualified  in  the  fields  to  which  this  Protocol  relates 
which has informed the Executive Secretary of the Economic Commission for Europe of its 
wish  to  be  represented  at  a  session  of  the  Meeting  of  the  Parties  shall  be  entitled  to 
participate  as  an  observer  unless  one  third  of  the  Parties  present  at  the  session  raise 
objections.  Their  admission  and  participation  shall  be  subject  to  the  rules  of  procedure 
adopted by the Meeting of the Parties. 

3. 

4. 

5. 

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Article 18 

RIGHT TO VOTE 

1. 

2. 

Except as provided for in paragraph 2, each Party to this Protocol shall have one vote. 

Regional  economic  integration  organizations,  in  matters  within  their  competence,  shall 
exercise  their  right  to  vote  with  a  number  of  votes  equal  to  the  number  of  their  member 
States  which  are  Parties.  Such  organizations  shall  not  exercise  their  right  to  vote  if  their 
member States exercise theirs, and vice versa. 

Article 19 

ANNEXES 

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

Article 20 

AMENDMENTS 

1. 

2. 

3. 

4. 

5. 

Any Party may propose amendments to this Protocol. 

Proposals for amendments to this Protocol shall be considered at a session of the Meeting 
of the Parties. 

Any proposed amendment to this Protocol shall be submitted in writing to the secretariat, 
which shall communicate it at least six months before the session at which it is proposed 
for adoption to all Parties, to other States and regional economic integration organizations 
that have consented to be bound by the Protocol and for which it has not yet entered into 
force and to Signatories. 

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

For  the  purposes  of  this  article,  “Parties  present  and  voting”  means  Parties  present  and 
casting an affirmative or negative vote. 

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6. 

7. 

8. 

9. 

Any  amendment  to  this  Protocol  adopted  in  accordance  with  paragraph  4  shall  be 
communicated by the secretariat to the Depositary, who shall circulate it to all Parties, to 
other  States  and  regional  economic  integration  organizations  that  have  consented  to  be 
bound by the Protocol and for which it has not yet entered into force and to Signatories. 

An amendment, other than one to an annex, shall enter into force for those Parties having 
ratified,  accepted  or  approved  it  on  the  ninetieth  day  after  the  date  of  receipt  by  the 
Depositary  of  the  instruments  of  ratification,  acceptance  or  approval  by  at  least  three 
fourths of those which were Parties at the time of its adoption. Thereafter it shall enter into 
force  for  any  other  Party  on  the  ninetieth  day  after  that  Party  deposits  its  instrument  of 
ratification, acceptance or approval of the amendment. 

In the case of an amendment to an annex, a Party that does not accept such an amendment 
shall  so  notify  the  Depositary  in  writing  within  twelve  months  from  the  date  of  its 
circulation by the Depositary. The Depositary shall without delay inform all Parties of any 
such  notification  received.  A  Party  may  at  any  time  withdraw  a  previous  notification  of 
non-acceptance, whereupon the amendment to an annex shall enter into force for that Party. 

On  the  expiry  of  twelve  months  from  the  date  of  its  circulation  by  the  Depositary  as 
provided  for  in  paragraph  6,  an  amendment  to  an  annex  shall  enter  into  force  for  those 
Parties  which  have  not  submitted  a  notification  to  the  Depositary  in  accordance  with 
paragraph 8, provided that, at that time, not more than one third of those which were Parties 
at the time of the adoption of the amendment have submitted such a notification. 

10. 

If an amendment to an annex is directly related to an amendment to this Protocol, it shall 
not enter into force until such time as the amendment to this Protocol enters into force. 

Article 21 

SECRETARIAT 

The  Executive  Secretary  of  the  Economic  Commission  for  Europe  shall  carry  out  the  following 
secretariat functions for this Protocol: 

(a)  The preparation and servicing of the sessions of the Meeting of the Parties; 

(b)  The  transmission  to  the  Parties  of  reports  and  other  information  received  in 

accordance with the provisions of this Protocol; 

(c)  The reporting to the Meeting of the Parties on the activities of the secretariat; and 

(d)  Such other functions as may be determined by the Meeting of the Parties on the basis 

of available resources. 

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Article 22 

REVIEW OF COMPLIANCE 

At its first session, the Meeting of the Parties shall by consensus establish cooperative procedures 
and  institutional  arrangements  of  a  non-judicial,  non-adversarial  and  consultative  nature  to  assess 
and  promote  compliance  with  the  provisions  of  this  Protocol  and  to  address  cases  of  non-
compliance.  In  establishing  these  procedures  and  arrangements,  the  Meeting  of  the  Parties  shall 
consider, inter alia, whether to allow for information to be received from members of the public on 
matters related to this Protocol. 

Article 23 

SETTLEMENT OF DISPUTES 

1. 

2. 

If  a  dispute  arises  between  two  or  more  Parties  about  the  interpretation  or  application  of 
this Protocol, they shall seek a solution by negotiation or by any other peaceful means of 
dispute settlement acceptable to the parties to the dispute. 

When signing, ratifying, accepting, approving or acceding to this Protocol, or at any time 
thereafter, a State may declare in writing to the Depositary that, for a dispute not resolved 
in accordance with paragraph 1, it accepts one or both of the following  means of  dispute 
settlement as compulsory in relation to any Party accepting the same obligation: 

(a)  Submission of the dispute to the International Court of Justice; 

(b)  Arbitration in accordance with the procedure set out in annex IV. 

A  regional  economic  integration  organization  may  make  a  declaration  with  like  effect  in 
relation to arbitration in accordance with the procedures referred to in subparagraph (b). 

3. 

If the parties to the dispute have accepted both means of dispute settlement referred to in 
paragraph 2, the dispute may be submitted only to the International Court of Justice, unless 
the parties to the dispute agree otherwise. 

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Article 24 

SIGNATURE 

This Protocol shall be open for signature at Kiev (Ukraine) from 21 to 23 May 2003 on the occasion 
of  the  fifth  Ministerial  Conference  “Environment  for  Europe,”  and  thereafter  at  United  Nations 
Headquarters in New York until 31 December 2003, by all States which are members of the United 
Nations  and  by  regional  economic  integration  organizations  constituted  by  sovereign  States 
members  of  the  United  Nations  to  which  their  member  States  have  transferred  competence  over 
matters governed by this Protocol, including the competence to enter into treaties in respect of these 
matters. 

Article 25 

DEPOSITARY 

The Secretary-General of the United Nations shall act as the Depositary of this Protocol. 

Article 26 

1. 

2. 

3. 

4. 

RATIFICATION, ACCEPTANCE, APPROVAL AND ACCESSION 

This Protocol shall be subject to ratification, acceptance or approval by signatory States and 
regional economic integration organizations referred to in article 24. 

This Protocol shall be open for accession as from 1 January 2004 by the States and regional 
economic integration organizations referred to in article 24. 

Any regional economic integration organization referred to in article 24 which becomes a 
Party without any of its member States being a Party shall be bound by all the obligations 
under this Protocol. If one or more member States of such an organization is a Party, the 
organization and its member States shall decide on their respective responsibilities for the 
performance of their obligations under this Protocol. In such cases, the organization and the 
member States shall not be entitled to exercise rights under this Protocol concurrently. 

In  their  instruments  of  ratification,  acceptance,  approval  or  accession,  the  regional 
economic integration organizations referred to in article 24 shall declare the extent of their 
competence with respect to the matters governed by this Protocol. These organizations shall 
also  inform  the  Depositary  of  any  substantial  modifications  to  the  extent  of  their 
competence. 

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Article 27 

ENTRY INTO FORCE 

1. 

2. 

3. 

This  Protocol  shall  enter  into  force  on  the  ninetieth  day  after  the  date  of  deposit  of  the 
sixteenth instrument of ratification, acceptance, approval or accession. 

For  the  purposes  of  paragraph  1,  any  instrument  deposited  by  a  regional  economic 
integration organization shall not be counted as additional to those deposited by the States 
members of such an organization. 

For  each  State  or  regional  economic  integration  organization  which  ratifies,  accepts  or 
approves  this  Protocol  or  accedes  thereto  after  the  deposit  of  the  sixteenth  instrument  of 
ratification,  acceptance,  approval  or  accession,  the  Protocol  shall  enter  into  force  on  the 
ninetieth  day  after  the  date  of  deposit  by  such  State  or  organization  of  its  instrument  of 
ratification, acceptance, approval or accession. 

Article 28 

RESERVATIONS 

No reservations may be made to this Protocol. 

Article 29 

WITHDRAWAL 

At any time after three years from the date on which this Protocol has come into force with respect 
to  a  Party,  that  Party  may  withdraw  from  the  Protocol  by  giving  written  notification  to  the 
Depositary. Any such withdrawal shall take effect on the ninetieth day after the date of its receipt by 
the Depositary. 

Article 30 

AUTHENTIC TEXTS 

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

IN  WITNESS  WHEREOF  the  undersigned,  being  duly  authorized  thereto,  have  signed  this 
Protocol. 

DONE at Kiev, this twenty-first day of May, two thousand and three. 

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27 

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ANNEX I 

ACTIVITIES 

No. 

Activity 

Capacity threshold 
(column 1) 

Employee threshold
(column 2) 

1.  Energy sector 

(a)  Mineral oil and gas refineries 

(b) 

Installations for gasification and liquefaction 

(c)  Thermal power stations and other combustion installations 

(d)  Coke ovens 

(e)  Coal rolling mills  

* 

* 

With  a  heat  input  of  50 
megawatts (MW) 

* 

10 employees 

With a capacity of 1 ton 
per hour  

(f) 

Installations  for  the  manufacture  of  coal  products  and  solid 
smokeless fuel 

2.  Production and processing of metals 

(a)  Metal  ore  (including  sulphide  ore)  roasting  or  sintering 

installations 

* 

* 

10 employees 

Installations for the production of pig iron or steel (primary or 
secondary melting) including continuous casting 

With  a  capacity  of  2.5 
tons per hour 

(b) 

(c) 

Installations for the processing of ferrous metals: 

(i) Hot-rolling mills 

(ii) Smitheries with hammers 

(iii) Application of protective fused metal coats 

(d)  Ferrous metal foundries 

With  a  capacity  of  20 
tons  of  crude  steel  per 
hour 

With  an  energy  of  50 
kilojoules  per  hammer, 
where 
calorific 
the 
power  used  exceeds  20 
MW 

With  an  input  of  2  tons 
of crude steel per hour 

a 

production 
With 
capacity  of  20  tons  per 
day 

EN 

28 

   EN 

 
 
 
No. 

Activity 

Capacity threshold 
(column 1) 

Employee threshold
(column 2) 

(e) 

Installations: 

(i) 
For the production of non-ferrous crude metals from 
ore, concentrates or secondary raw materials by metallurgical, 
chemical or electrolytic processes 

* 

(ii) 
ferrous  metals, 
foundry casting, etc.) 

For  the  smelting,  including  the  alloying,  of  non-
including  recovered  products  (refining, 

(f) 

Installations  for  surface  treatment  of  metals  and  plastic 
materials using an electrolytic or chemical process 

With a melting capacity 
of  4  tons  per  day  for 
lead and cadmium or 20 
tons per day for all other 
metals 

Where  the  volume  of 
the 
vats 
treatment 
equals 30 m3 

10 employees 

3.  Mineral industry 

(a)  Underground mining and related operations 

* 

(b)  Opencast mining 

(c) 

Installations for the production of: 

(i) Cement clinker in rotary kilns 

(ii) Lime in rotary kilns 

(iii) Cement clinker or lime in other furnaces 

(d) 

Installations 
manufacture of asbestos-based products 

for 

the  production  of  asbestos  and 

Where the surface of the 
area being mined equals 
25 hectares 

a 

With 
production 
capacity of 500 tons per 
day 

a 

With 
production 
capacity  exceeding  50 
tons per day 

a 

production 
With 
capacity  of  50  tons  per 
day 

the 

* 

10 employees 

(e) 

Installations for the manufacture of glass, including glass fibre With a melting capacity 

of 20 tons per day 

(f) 

(g) 

Installations  for  melting  mineral  substances,  including  the 
production of mineral fibres  

With a melting capacity 
of 20 tons per day 

Installations  for  the  manufacture  of  ceramic  products  by 
firing,  in  particular  roofing  tiles,  bricks,  refractory  bricks, 
tiles, stoneware or porcelain  

a 

With 
production 
capacity  of  75  tons  per 
day,  or  with  a  kiln 
capacity  of  4  m3  and 
with  a  setting  density 
per kiln of 300 kg/m3  

EN 

29 

   EN 

 
 
 
 
No. 

Activity 

Capacity threshold 
(column 1) 

Employee threshold
(column 2) 

4.  Chemical industry 

(a)  Chemical installations for the production on an industrial scale 

of basic organic chemicals, such as: 

Simple  hydrocarbons  (linear  or  cyclic,  saturated  or 

(i) 
unsaturated, aliphatic or aromatic) 

(ii)  Oxygen-containing  hydrocarbons  such  as  alcohols, 
aldehydes, ketones, carboxylic acids, esters, acetates, ethers, 
peroxides, epoxy resins 

(iii)  Sulphurous hydrocarbons 

(iv)  Nitrogenous  hydrocarbons  such  as  amines,  amides, 
nitrous compounds, nitro compounds or nitrate compounds, 
nitriles, cyanates, isocyanates 

(v) 

Phosphorus-containing hydrocarbons 

(vi)  Halogenic hydrocarbons 

(vii)  Organometallic compounds 

(viii)  Basic  plastic  materials  (polymers,  synthetic  fibres 
and cellulose-based fibres) 

(ix)  Synthetic rubbers 

(x)  Dyes and pigments 

∗ 

10 employees 

(xi)  Surface-active agents and surfactants 

(b)  Chemical installations for the production on an industrial scale 

of basic inorganic chemicals, such as: 

(i) 
Gases,  such  as  ammonia,  chlorine  or  hydrogen 
chloride,  fluorine  or  hydrogen  fluoride,  carbonoxides, 
sulphur  compounds,  nitrogen  oxides,  hydrogen,  sulphur 
dioxide, carbonyl chloride 

(ii)  Acids,  such  as  chromic  acid,  hydrofluoric  acid, 
phosphoric  acid,  nitric  acid,  hydrochloric  acid,  ulphuric 
acid, oleum, sulphurous acids 

(iii)  Bases,  such  as  ammonium  hydroxide,  potassium 
hydroxide, sodium hydroxide 

* 

chloride, 
(iv)  Salts, 
potassiumchlorate,  potassium  carbonate,  sodium  carbonate, 
perborate, silver nitrate 

ammonium 

such 

as 

(v)  Non-metals,  metal  oxides  or  other 
inorganic 
compounds such as calcium carbide, silicon, silicon carbide 

EN 

30 

   EN 

 
No. 

Activity 

Capacity threshold 
(column 1) 

Employee threshold
(column 2) 

(c)  Chemical installations for the production on an industrial scale 
of  phosphorous-,  nitrogen-  or  potassium-based  fertilizers 
(simple or compound fertilizers)  

(d)  Chemical installations for the production on an industrial scale 

of basic plant health products and of biocides 

(e) 

Installations  using  a  chemical  or  biological  process  for  the 
production  on  an  industrial  scale  of  basic  pharmaceutical 
products 

(f) 

Installations  for  the  production  on  an  industrial  scale  of 
explosives and pyrotechnic products 

5.  Waste and waste-water management 

* 

* 

* 

* 

(a) 

Installations for the incineration, pyrolysis, recovery, chemical 
treatment or landfilling of hazardous waste  

Receiving  10  tons  per 
day 

(b) 

Installations for the incineration of municipal waste  

(c) 

Installations for the disposal of non-hazardous waste  

(d)  Landfills (excluding landfills of inert waste) 

(e) 

Installations for the disposal or recycling  of animal carcasses 
and animal waste  

(f)  Municipal waste-water treatment plants  

(g) 

Independently  operated 
plants which serve one or more activities of this annex  

industrial  waste-water 

treatment 

With  a  capacity  of  3 
tons per hour 

With  a  capacity  of  50 
tons per day 

Receiving  10  tons  per 
day  or  with  a 
total 
capacity of 25,000 tons 

a 

With 
treatment 
capacity  of  10  tons  per 
day 

With  a  capacity  of 
100,000 
population 
equivalents 

With  a  capacity  of 
10,000 m3 per day 

10 employees 

10 employees 

6.  Paper and wood production and processing 

(a) 

(b) 

Industrial  plants  for  the  production  of  pulp  from  timber  or 
similar fibrous materials 

* 

Industrial  plants  for  the  production  of  paper  and  board  and 
other  primary  wood  products  (such  as  chipboard,  fibreboard 
and plywood)  

a 

production 
With 
capacity  of  20  tons  per 
day 

10 employees 

(c) 

Industrial  plants  for  the  preservation  of  wood  and  wood 
products with chemicals  

a 

With 
production 
capacity  of  50  m3  per 
day 

EN 

31 

   EN 

 
 
No. 

Activity 

Capacity threshold 
(column 1) 

Employee threshold
(column 2) 

7. 

Intensive livestock production and aquaculture 

(a) 

Installations for the intensive rearing of poultry or pigs 

(i)  With  40,000  places 
for poultry 

(ii)  With  2,000  places 
for 
pigs 
production 
(over 30 kg) 

(iii) With 750 places for 
sows 

10 employees 

(b) 

Intensive aquaculture  

1,000  tons  of  fish  and 
shellfish per year 

10 employees 

8.  Animal and vegetable products from the food and beverage sector 

(a)  Slaughterhouses 

(b) 

Treatment and processing intended for the production of food 
and beverage products from: 

(i) Animal raw materials (other than milk) 

With 
carcass 
a 
production  capacity  of 
50 tons per day 

With  a  finished  product 
production  capacity  of 
75 tons per day 

(ii) Vegetable raw materials  

(c)  Treatment and processing of milk  

10 employees 

With  a  finished  product 
production  capacity  of 
300 
day 
(average  value  on  a 
quarterly basis) 

tons 

per 

to 
With  a  capacity 
receive 200 tons of milk 
per  day  (average  value 
on an annual basis) 

EN 

32 

   EN 

 
 
 
 
 
 
No. 

Activity 

Capacity threshold 
(column 1) 

Employee threshold
(column 2) 

9.  Other activities 

(a)  Plants  for  the  pretreatment  (operations  such  as  washing, 
bleaching, mercerization) or dyeing of fibres or textiles  

(b)  Plants for the tanning of hides and skins  

a 

With 
treatment 
capacity  of  10  tons  per 
day 

a 

With 
treatment 
capacity  of  12  tons  of 
finished product per day 

(c) 

(d) 

(e) 

Installations for the surface treatment of substances, objects or 
products  using  organic  solvents,  in  particular  for  dressing, 
printing,  coating,  degreasing,  waterproofing,  sizing,  painting, 
cleaning or impregnating  

With  a  consumption 
capacity  of  150  kg  per 
hour  or  200  tons  per 
year 

10 employees 

Installations for the production of carbon (hard-burnt coal) or 
electrographite by means of incineration or graphitization 

* 

Installations  for  the  building  of,  and  painting  or  removal  of 
paint from ships  

With  a  capacity 
ships 100 m long 

for 

Explanatory notes: 

Column 1 contains the capacity thresholds referred to article 7, paragraph 1 (a). 

An asterisk (∗) indicates that no capacity threshold is applicable (all facilities are subject to reporting). 

Column 2 contains the employee threshold referred to in article 7, paragraph 1 (b). 

“10 employees” means the equivalent of 10 full-time employees. 

EN 

33 

   EN 

 
ANNEX II 

POLLUTANTS 

No. 

CAS 
number 

Pollutant 

Threshold for releases 
(column 1) 

to air 
(column 1a)

to water 
(column 1b)

to land 
(column 1c) 

Threshold for 
off-site 
transfers of 
pollutants 
(column 2) 

Manufacture, 
process or use 
threshold 
(column 3) 

kg/year 

kg/year 

kg/year 

kg/year 

kg/year 

1 

2 

3 

4 

74-82-8  Methane (CH4) 

100 000 

630-08-0  Carbon monoxide (CO) 

500 000 

124-38-9  Carbon dioxide (CO2) 

100 million 

Hydro-fluorocarbons (HFCs)

100 

5  10024-97-2  Nitrous oxide (N2O) 

6  7664-41-7  Ammonia (NH3) 

10 000 

10 000 

Non-methane 
organic 
(NMVOC) 

volatile 
compounds 

100 000 

Nitrogen oxides (NOx/NO2) 

100 000 

Perfluorocarbons (PFCs) 

10  2551-62-4  Sulphur hexafluoride (SF6) 

Sulphur oxides (SOx/SO2) 

150 000 

Total nitrogen 

Total phosphorus 

Hydrochlorofluorocarbons 
(HCFCs) 

Chlorofluorocarbons (CFCs)

Halons 

17  7440-38-2 

Arsenic  and  compounds  (as 
As) 

EN 

-

-

-

-

-

-

-

-

-

-

-

- 

- 

- 

- 

- 

- 

- 

- 

- 

- 

- 

- 

- 

- 

- 

- 

- 

- 

- 

- 

- 

- 

50 000

50 000 

10 000 

5 000

5 000 

10 000 

-

-

-

5

- 

- 

- 

5 

100 

100 

100 

50 

* 

* 

* 

* 

* 

10 000 

* 

* 

* 

* 

* 

10 000 

10 000 

10 000 

10 000 

10 000 

50 

   EN 

100 

50 

- 

- 

1 

1 

1 

20 

34 

7 

8 

9 

11 

12 

13 

14 

15 

16 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
No. 

CAS 
number 

Pollutant 

Threshold for releases 
(column 1) 

to air 
(column 1a)

to water 
(column 1b)

to land 
(column 1c) 

Threshold for 
off-site 
transfers of 
pollutants 
(column 2) 

Manufacture, 
process or use 
threshold 
(column 3) 

kg/year 

kg/year 

kg/year 

kg/year 

kg/year 

18  7440-43-9 

Cadmium  and  compounds 
(as Cd) 

19  7440-47-3 

Chromium  and  compounds 
(as Cr) 

20  7440-50-8 

Copper  and  compounds  (as 
Cu) 

21  7439-97-6 

Mercury  and  compounds  (as 
Hg) 

22  7440-02-0 

Nickel  and  compounds  (as 
Ni) 

23  7439-92-1  Lead and compounds (as Pb)

24  7440-66-6  Zinc and compounds (as Zn)

25  15972-60-8  Alachlor 

26  309-00-2  Aldrin 

27  1912-24-9  Atrazine 

28 

57-74-9  Chlordane 

29  143-50-0  Chlordecone 

30  470-90-6  Chlorfenvinphos 

31  85535-84-8  Chloro-alkanes, C10-C13 

32  2921-88-2  Chlorpyrifos 

33 

50-29-3  DDT 

34  107-06-2  1,2-dichloroethane (EDC) 

35 

75-09-2  Dichloromethane (DCM) 

10 

100 

100 

10 

50 

200 

200 

- 

1 

- 

1 

1 

- 

- 

- 

1 

1 000 

1 000 

35 

EN 

5

50

50

1

20

20

5 

50 

50 

1 

20 

20 

5 

5 

200 

10 000 

500 

10 000 

5 

500 

50 

100

100 

1 000 

1

1

1

1

1

1

1

1

1

10

10

1 

1 

1 

1 

1 

1 

1 

1 

1 

10 

10 

5 

1 

5 

1 

1 

5 

10 

5 

1 

100 

100 

5 

10 000 

50 

10 000 

10 000 

1 

10 000 

1 

1 

10 000 

10 000 

10 000 

1 

10 000 

10 000 

   EN 

 
 
 
 
 
 
 
 
No. 

CAS 
number 

Pollutant 

Threshold for releases 
(column 1) 

to air 
(column 1a)

to water 
(column 1b)

to land 
(column 1c) 

Threshold for 
off-site 
transfers of 
pollutants 
(column 2) 

Manufacture, 
process or use 
threshold 
(column 3) 

36 

60-57-1  Dieldrin 

37  330-54-1  Diuron 

38  115-29-7  Endosulphan 

39  72-20-8 

Endrin 

40 

Halogenated organic 
compounds (as AOX) 

41  76-44-8  Heptachlor 

42  118-74-1  Hexachlorobenzene (HCB) 

43  87-68-3 

Hexachlorobutadiene 
(HCBD) 

44  608-73-1 

1,2,3,4,5, 
6-hexachlorocyclohexane 
(HCH) 

45  58-89-9 

Lindane 

46  2385-85-5  Mirex 

47 

PCDD +PCDF (dioxins 
+furans) (as Teq) 

48  608-93-5  Pentachlorobenzene 

49  87-86-5 

Pentachlorophenol (PCP) 

50  1336-36-3 

Polychlorinated biphenyls 
(PCBs) 

51  122-34-9  Simazine 

kg/year 

kg/year 

kg/year 

kg/year 

kg/year 

1 

- 

- 

1 

- 

1 

10 

- 

10 

1 

1 

1

1

1

1

1 

1 

1 

1 

1 

5 

5 

1 

1 

10 000 

10 000 

1 

1 000

1 000 

1 000 

10 000 

1

1

1

1

1

1

1 

1 

1 

1 

1 

1 

1 

1 

5 

1 

1 

1 

1 

5 

10 000 

10 

1 

1 

0.001 

0.001

0.001 

0.001 

0.001 

1 

10 

0.1 

- 

1

1

1 

1 

0.1

0.1 

1

-

-

1 

- 

- 

5 

5 

1 

5 

1 000 

1 000 

50 

10 000 

50 

10 000 

10 000 

10 000 

   EN 

52  127-18-4  Tetrachloroethylene (PER)  

2 000 

53  56-23-5 

Tetrachloromethane (TCM) 

100 

EN 

36 

 
 
 
 
 
 
 
 
 
 
No. 

CAS 
number 

Pollutant 

Threshold for releases 
(column 1) 

to air 
(column 1a)

to water 
(column 1b)

to land 
(column 1c) 

Threshold for 
off-site 
transfers of 
pollutants 
(column 2) 

Manufacture, 
process or use 
threshold 
(column 3) 

kg/year 

kg/year 

kg/year 

kg/year 

kg/year 

54 12002-48-1  Trichlorobenzenes (TCBs)  

55  71-55-6 

1,1,1-trichloroethane  

56  79-34-5 

1,1,2,2-tetrachloroethane 

57  79-01-6 

Trichloroethylene  

58  67-66-3 

Trichloromethane  

59  8001-35-2  Toxaphene 

60  75-01-4  Vinyl chloride  

61  120-12-7  Anthracene 

62  71-43-2  Benzene  

10 

100 

50 

2 000 

500 

1 

1 000 

50 

-

-

-

-

-

1

10

1

- 

- 

- 

- 

- 

1 

10 

1 

1 000 

1 000 

1 000 

1 000 

1 000 

1 

100 

50 

1 000 

200
(as BTEX) a/

200 
(as BTEX) a/ 

2 000 
(as BTEX) a/ 

63 

64 

Brominated diphenylethers 
(PBDE) 

Nonylphenol ethoxylates 
(NP/NPEs) and related 
substances 

65  100-41-4  Ethyl benzene 

- 

- 

- 

66  75-21-8 

Ethylene oxide  

1 000 

67  34123-59-6  Isoproturon 

68 

91-20-3  Naphthalene 

69 

Organotin compounds 
(as total Sn) 

70  117-81-7 

Di-(2-ethyl  hexyl)  phthalate 
(DEHP) 

- 

100 

- 

10 

37 

EN 

1

1

1 

1 

5 

5 

200
(as BTEX)a/

200 
(as BTEX)a/ 

2 000 
(as BTEX)a/ 

100 

5 

100 

50 

10

1

10

50

1

10 

1 

10 

50 

1 

10 000 

10 000 

10 000 

10 000 

10 000 

1 

10 000 

50 

10 000 

10 000 

10 000 

10 000 

10 000 

10 000 

10 000 

10 000 

100 

10 000 

   EN 

 
 
 
 
 
 
 
 
 
 
 
No. 

CAS 
number 

Pollutant 

Threshold for releases 
(column 1) 

to air 
(column 1a)

to water 
(column 1b)

to land 
(column 1c) 

Threshold for 
off-site 
transfers of 
pollutants 
(column 2) 

Manufacture, 
process or use 
threshold 
(column 3) 

71  108-95-2  Phenols (as total C) 

72 

Polycyclic aromatic 
hydrocarbons (PAHs)b/ 

73  108-88-3  Toluene 

74 

75 

76 

Tributyltin and compounds  

Triphenyltin and compounds 

Total  organic  carbon  (TOC) 
(as total C or COD/3) 

77  1582-09-8  Trifluralin  

78  1330-20-7  Xylenes  

kg/year 

kg/year 

kg/year 

kg/year 

kg/year 

- 

50 

- 

- 

- 

- 

- 

- 

- 

20

5

20 

5 

200 

50 

200
(as BTEX)a/

200 
(as BTEX)a/ 

2 000 
(as BTEX)a/ 

1

1

50 000

1

1 

1 

- 

1 

5 

5 

- 

5 

200
(as BTEX)a/

200 
(as BTEX)a/ 

2 000 
(as BTEX)a/ 

10 000 

50 

10 000 

10 000 

10 000 

** 

10 000 

10 000 

2 million

2 million 

2 million 

10 000c/ 

79 

80 

82 

83 

84 

Chlorides (as total Cl) 

Chlorine and inorganic 
compounds (as HCl) 

10 000 

81  1332-21-4  Asbestos 

Cyanides (as total CN) 

Fluorides (as total F) 

1 

- 

- 

Fluorine and inorganic 
compounds (as HF) 

5 000 

85 

74-90-8  Hydrogen cyanide (HCN)  

200 

86 

Particulate matter (PM10) 

50 000 

- 

10 000 

-

1

50

- 

1 

50 

10 

500 

2 000

2 000 

10 000 

-

-

-

- 

- 

- 

- 

- 

- 

10 000 

10 000 

10 000c/ 

10 000 

10 000 

* 

EN 

38 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
Explanatory notes: 

The CAS number of the pollutant means the precise identifier in Chemical Abstracts Service. 

Column  1  contains  the  thresholds  referred  to  in  article  7,  paragraph  1  (a)(i)  and  (iv).  If  the  threshold  in  a  given  sub-
column (air, water or land) is exceeded, reporting of releases or, for pollutants in waste water destined for waste-water 
treatment, transfers to the environmental medium referred to in that sub-column is required with respect to the facility in 
question, for those Parties which have opted for a system of reporting pursuant to article 7, paragraph 1 (a). 

Column 2 contains the thresholds referred to in article 7, paragraph 1 (a)(ii). If the threshold in this column is exceeded 
for a given pollutant, reporting of the off-site transfer of that pollutant is required with respect to the facility in question, 
for those Parties which have opted for a system of reporting pursuant to article 7, paragraph 1 (a)(ii). 

Column 3 contains the thresholds referred to in article 7, paragraph (1)(b). If the threshold in this column is exceeded for 
a given pollutant, reporting of the releases and off-site transfers of that pollutant is required with respect to the facility in 
question, for those Parties which have opted for a system of reporting pursuant to article 7, paragraph 1 (b). 

A hyphen (-) indicates that the parameter in question does not trigger a reporting requirement. 

An  asterisk  (∗)  indicates  that,  for  this  pollutant,  the  release  threshold  in  column  (1)(a)  is  to  be  used  rather  than  a 
manufacture, process or use threshold.  

A double asterisk (**) indicates that, for this pollutant, the release threshold in column (1)(b) is to be used rather than a 
manufacture, process or use threshold. 

Footnotes: 

a/  
benzene, xylene) is exceeded. 

Single pollutants  are to be reported if the  threshold for BTEX  (the  sum  parameter  of benzene, toluene, ethyl 

Polycyclic  aromatic  hydrocarbons 

b/  
(50-32-8), 
benzo(b)fluoranthene  (205-99-2),  benzo(k)fluoranthene  (207-08-9),  indeno(1,2,3-cd)pyrene  (193-39-5)  (derived  from 
the Protocol on Persistent Organic Pollutants to the Convention on Long-range Transboundary Air Pollution). 

to  be  measured  as  benzo(a)pyrene 

(PAHs)  are 

c/  

As inorganic compounds. 

EN 

39 

   EN 

 
ANNEX III 

PART A 

DISPOSAL OPERATIONS (‘D’) 

–  Deposit into or onto land (e.g. landfill) 
–  Land treatment (e.g. biodegradation of liquid or sludgy discards in soils) 
–  Deep  injection  (e.g.  injection  of  pumpable  discards  into  wells,  salt  domes  of  naturally 

occurring repositories) 

–  Surface  impoundment  (e.g.  placement  of  liquid  or  sludge  discards  into  pits,  ponds  or 

lagoons) 

–  Specially engineered landfill (e.g. placement into lined discrete cells which are capped 

and isolated from one another and the environment) 

–  Release into a water body except seas/oceans 
–  Release into seas/oceans including sea-bed insertion 
–  Biological  treatment  not  specified  elsewhere  in  this  annex  which  results  in  final 
compounds or mixtures which are discarded by means of any of the operations specified 
in this part 

–  Physico-chemical treatment not specified elsewhere in this annex which results in final 
compounds or mixtures which are discarded by means of any of the operations specified 
in this part (e.g. evaporation, drying, calcination, neutralization, precipitation) 

–  Incineration on land 
–  Incineration at sea 
–  Permanent storage (e.g. emplacement of containers in a mine) 
–  Blending or mixing prior to submission to any of the operations specified in this part 
–  Repackaging prior to submission to any of the operations specified in this part 
–  Storage pending any of the operations specified in this part 

PART B 

RECOVERY OPERATIONS (‘R’) 

–  Use as a fuel (other than in direct incineration) or other means to generate energy 
–  Solvent reclamation/regeneration 
–  Recycling/reclamation of organic substances which are not used as solvents 
–  Recycling/reclamation of metals and metal compounds 
–  Recycling/reclamation of other inorganic materials 
–  Regeneration of acids or bases 
–  Recovery of components used for pollution abatement 
–  Recovery of components from catalysts 

–  Used oil re-refining or other reuses of previously used oil 

–  Land treatment resulting in benefit to agriculture or ecological improvement 

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–  Uses of residual materials obtained from any of the recovery operations specified above 

in this part 

–  Exchange of wastes for submission to any of the recovery operations specified above in 

this part 

–  Accumulation of material intended for any operation specified in this part 

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1. 

2. 

3. 

4. 

5. 

6. 

7. 

8. 

9. 

ANNEX IV 

ARBITRATION 

In  the  event  of  a  dispute  being  submitted  for  arbitration  pursuant  to  article  23, 
paragraph 2, of this Protocol, a party or parties shall notify the other party or parties 
to the dispute by diplomatic means as well as the secretariat of the subject matter of 
arbitration  and  indicate,  in  particular,  the  articles  of  this  Protocol  whose 
interpretation or application is at issue. The secretariat shall forward the information 
received to all Parties to this Protocol. 

The  arbitral  tribunal  shall  consist  of  three  members.  Both  the  claimant  party  or 
parties and the other party or parties to the dispute shall appoint an arbitrator, and the 
two  arbitrators  so  appointed  shall  designate  by  common  agreement  the  third 
arbitrator, who shall be the president of the arbitral tribunal. The latter shall not be a 
national  of  one  of  the  parties  to  the  dispute,  nor  have  his  or  her  usual  place  of 
residence in the territory of one of these parties, nor be employed by any of them, nor 
have dealt with the case in any other capacity. 

If the president of the arbitral tribunal has not been designated within two months of 
the  appointment  of  the  second  arbitrator,  the  Executive  Secretary  of  the  Economic 
Commission for Europe shall, at the request of either party to the dispute, designate 
the president within a further two-month period. 

If one of the parties to the dispute does not appoint an arbitrator within two months 
of  the  notification  referred  to  in  paragraph  1,  the  other  party  may  so  inform  the 
Executive  Secretary  of  the  Economic  Commission  for  Europe,  who  shall  designate 
the  president  of  the  arbitral  tribunal  within  a  further  two-month  period.  Upon 
designation, the president of the arbitral tribunal shall request the party which has not 
appointed  an  arbitrator  to  do  so  within  two  months.  If  it  fails  to  do  so  within  that 
period,  the  president  shall  so  inform  the  Executive  Secretary  of  the  Economic 
Commission  for  Europe,  who  shall  make  this  appointment  within  a  further 
two-month period. 

The  arbitral  tribunal  shall  render  its  decision  in  accordance  with  international  law 
and the provisions of this Protocol. 

Any arbitral tribunal constituted under the provisions set out in this annex shall draw 
up its own rules of procedure. 

The decisions of the arbitral tribunal, both on procedure and on substance, shall be 
taken by majority vote of its members. 

The tribunal may take all appropriate measures to establish the facts. 

The  parties  to  the  dispute  shall  facilitate  the  work  of  the  arbitral  tribunal  and,  in 
particular, using all means at their disposal, shall: 

(a)  Provide it with all relevant documents, facilities and information; 

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10. 

11. 

12. 

13. 

14. 

15. 

16. 

17. 

18. 

(b)  Enable  it,  where  necessary,  to  call  witnesses  or  experts  and  receive  their 

evidence. 

The parties and the arbitrators shall protect the confidentiality of any information that 
they receive in confidence during the proceedings of the arbitral tribunal. 

The  arbitral  tribunal  may,  at  the  request  of  one  of  the  parties,  recommend  interim 
measures of protection. 

If one of the parties to the dispute does not appear before the arbitral tribunal or fails 
to  defend  its  case,  the  other  party  may  request  the  tribunal  to  continue  the 
proceedings and to render its final decision. Absence of a party or failure of a party 
to defend its case shall not constitute a bar to the proceedings. Before rendering its 
final decision, the arbitral tribunal must satisfy itself that the claim is well founded in 
fact and law. 

The arbitral tribunal may hear and determine counterclaims arising directly out of the 
subject matter of the dispute. 

Unless  the  arbitral  tribunal  determines  otherwise  because  of  the  particular 
circumstances of the case, the expenses of the tribunal, including the remuneration of 
its members, shall be borne by the parties to the dispute in equal shares. The tribunal 
shall keep a record of all its expenses, and shall furnish a final statement thereof to 
the parties. 

Any Party to this Protocol which has an interest of a legal nature in the subject matter 
of the dispute, and which may be affected by a decision in the case, may intervene in 
the proceedings with the consent of the tribunal. 

The arbitral tribunal shall render its award within five months of the date on which it 
is established, unless it finds it necessary to extend the time limit for a period which 
should not exceed five months. 

The award of the arbitral tribunal shall be accompanied by a statement of reasons. It 
shall  be  final  and  binding  upon  all  parties  to  the  dispute.  The  award  will  be 
transmitted by the arbitral tribunal to the parties to the dispute and to the secretariat. 
The secretariat will forward the information received to all Parties to this Protocol. 

Any  dispute  which  may  arise  between  the  parties  concerning  the  interpretation  or 
execution  of  the  award  may  be  submitted  by  either  party  to  the  arbitral  tribunal 
which  made  the  award  or,  if  the  latter  cannot  be  seized  thereof,  to  another  tribunal 
constituted for this purpose in the same manner as the first. 

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ANNEX B 

Declaration by the European Community in accordance with Article 26(4) of 
the UN-ECE Protocol on Pollutant Release and Transfer Registers 

The  European  Community  declares  that,  in  accordance  with  the  Treaty  establishing  the 
European  Community,  and  in  particular  Article  175(1)  thereof,  it  is  competent  for  entering 
into  international  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  international  level  to  deal  with  regional  or  worldwide 
environmental problems. 

Pollutant release and transfer register are appropriate tools for encouraging improvements in 
environmental performance, for providing public access to information on pollutants released, 
and  for  use  by  competent  authorities  in  tracking trends,  demonstrating progress in pollution 
reduction, supporting compliance monitoring and evaluating progress, thereby contributing to 
the achievement of the above mentioned objectives. 

Moreover,  the  European  Community  declares  that  it  has  already  adopted  legal  instruments, 
binding on its Member States, covering matters governed by this Protocol. 

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

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