Number of parties: 155
Theme: Chemicals and Waste Management
Abstract: The objectives of the Convention are: To promote shared responsibility and cooperative efforts among Parties in the international trade of certain hazardous chemicals in order to protect human health and the ...more »
Entry into force: 24-Feb-2004
The Parties to this Convention Chemicals and Pesticides
Prior Informed Consent (PIC) and Advanced Informed Agreement (AIA)
Aware of the harmful impact on human health and the environment from certain hazardous chemicals and pesticides in international trade,
Recalling the pertinent provisions of the Rio Declaration on Environment and Development and chapter 19 of Agenda 21 on "Environmentally sound management of toxic chemicals, including prevention of illegal international traffic in toxic and dangerous products",
Rio Principles & Concepts
Illegal Transboundary Movement
Mindful of the work undertaken by the United Nations Environment Programme (UNEP) and the Food and Agriculture Organization of the United Nations (FAO) in the operation of the voluntary Prior Informed Consent procedure, as set out in the UNEP Amended London Guidelines for the Exchange of Information on Chemicals in International Trade (hereinafter referred to as the "Amended London Guidelines") and the FAO International Code of Conduct on the Distribution and Use of Pesticides (hereinafter referred to as the "International Code of Conduct"),
International Cooperation and Coordination
Taking into account the circumstances and particular requirements of developing countries and countries with economies in transition, in particular the need to strengthen national capabilities and capacities for the management of chemicals, including transfer of technology, providing financial and technical assistance and promoting cooperation among the Parties,
Compliance and Enforcement
Noting the specific needs of some countries for information on transit movements,
Information Exchange and Knowledge Management
Recognizing that good management practices for chemicals should be promoted in all countries, taking into account, inter alia, the voluntary standards laid down in the International Code of Conduct and the UNEP Code of Ethics on the International Trade in Chemicals,
Standards and Guidelines
Best Available Technology and Best Practice
Desiring to ensure that hazardous chemicals that are exported from their territory are packaged and labelled in a manner that is adequately protective of human health and the environment, consistent with the principles of the Amended London Guidelines and the International Code of Conduct,
Handling and Labelling
Emphasizing that nothing in this Convention shall be interpreted as implying in any way a change in the rights and obligations of a Party under any existing international agreement applying to chemicals in international trade or to environmental protection,
Understanding that the above recital is not intended to create a hierarchy between this Convention and other international agreements,
Relationship between Instruments
Determined to protect human health, including the health of consumers and workers, and the environment against potentially harmful impacts from certain hazardous chemicals and pesticides in international trade,
- Aware of the harmful impact on human health and the environment from certain hazardous chemicals and pesticides in international trade, Human Health
ARTICLE 1 Objective
ARTICLE 2 Definitions
ARTICLE 3 Scope of the Convention
ARTICLE 4 Designated national authorities Competent Authority
ARTICLE 5 Procedures for banned or severely restricted chemicals
ARTICLE 6 Procedures for severely hazardous pesticide formulations
ARTICLE 7 Listing of chemicals in Annex III Listing or Amendments to Annexes
ARTICLE 8 Chemicals in the voluntary Prior Informed Consent procedure
ARTICLE 9 Removal of chemicals from Annex III Listing or Amendments to Annexes
ARTICLE 10 Obligations in relation to imports of chemicals listed in Annex III Prior Informed Consent (PIC) and Advanced Informed Agreement (AIA)
ARTICLE 11 Obligations in relation to exports of chemicals listed in Annex III Export
ARTICLE 12 Export notification
ARTICLE 13 Information to accompany exported chemicals Permits and Certificates
ARTICLE 14 Information exchange Information Exchange and Knowledge Management
ARTICLE 15 Implementation of the Convention Implementation
ARTICLE 16 Technical assistance Technical Assistance
ARTICLE 17 Non-Compliance Compliance and Enforcement
ARTICLE 18 Conference of the Parties Conference of the Parties (COP)
ARTICLE 19 Secretariat Secretariat
ARTICLE 20 Settlement of disputes Settlement of Disputes
ARTICLE 21 Amendments to the Convention Adjustment Procedure
ARTICLE 22 Adoption and amendment of annexes Listing or Amendments to Annexes
ARTICLE 23 Voting
ARTICLE 24 Signature Signature
ARTICLE 25 Ratification, acceptance, approval or accession Acceptance
Regional Economic Integration Organization
ARTICLE 26 Entry into force Accession
Entry into force
ARTICLE 27 Reservations Reservations
ARTICLE 28 Withdrawal Withdrawal
ARTICLE 29 Depositary Entry into force
ARTICLE 30 Authentic texts
Annex I INFORMATION REQUIREMENTS FOR NOTIFICATIONS MADE PURSUANT TO ARTICLE 5
Notifications shall include:
1. Properties, identification and uses
(a) Common name;
(b) Chemical name according to an internationally recognized nomenclature (for example, International Union of Pure and Applied Chemistry (IUPAC)), where such nomenclature exists;
(c) Trade names and names of preparations;
(d) Code numbers: Chemical Abstracts Service (CAS) number, Harmonized System customs code and other numbers;
(e) Information on hazard classification, where the chemical is subject to classification requirements;
(f) Use or uses of the chemical;
(g) Physico-chemical, toxicological and ecotoxicological properties.
2. Final regulatory action
(a) Information specific to the final regulatory action:
(i) Summary of the final regulatory action;
(ii) Reference to the regulatory document;
(iii) Date of entry into force of the final regulatory action;
(iv) Indication of whether the final regulatory action was taken on the basis of a risk or hazard evaluation and, if so, information on such evaluation, covering a reference to the relevant documentation;
(v) Reasons for the final regulatory action relevant to human health, including the health of consumers and workers, or the environment;
(vi) Summary of the hazards and risks presented by the chemical to human health, including the health of consumers and workers, or the environment and the expected effect of the final regulatory action;
(b) Category or categories where the final regulatory action has been taken, and for each category:
(i) Use or uses prohibited by the final regulatory action;
(ii) Use or uses that remain allowed;
(iii) Estimation, where available, of quantities of the chemical produced, imported, exported and used;
(c) An indication, to the extent possible, of the likely relevance of the final regulatory action to other States and regions;
(d) Other relevant information that may cover:
(i) Assessment of socio-economic effects of the final regulatory action;
(ii) Information on alternatives and their relative risks, where available, such as:
- Integrated pest management strategies;
- Industrial practices and processes, including cleaner technology.
ANNEX II CRITERIA FOR LISTING BANNED OR SEVERELY RESTRICTED CHEMICALS IN ANNEX III
In reviewing the notifications forwarded by the Secretariat pursuant to paragraph 5 of Article 5, the Chemical Review Committee shall:
(a) Confirm that the final regulatory action has been taken in order to protect human health or the environment;
(b) Establish that the final regulatory action has been taken as a consequence of a risk evaluation. This evaluation shall be based on a review of scientific data in the context of the conditions prevailing in the Party in question. For this purpose, the documentation provided shall demonstrate that:
(i) Data have been generated according to scientifically recognized methods;
(ii) Data reviews have been performed and documented according to generally recognized scientific principles and procedures;
(iii) The final regulatory action was based on a risk evaluation involving prevailing conditions within the Party taking the action;
(c) Consider whether the final regulatory action provides a sufficiently broad basis to merit listing of the chemical in Annex III, by taking into account:
(i) Whether the final regulatory action led, or would be expected to lead, to a significant decrease in the quantity of the chemical used or the number of its uses;
(ii) Whether the final regulatory action led to an actual reduction of risk or would be expected to result in a significant reduction of risk for human health or the environment of the Party that submitted the notification;
(iii) Whether the considerations that led to the final regulatory action being taken are applicable only in a limited geographical area or in other limited circumstances;
(iv) Whether there is evidence of ongoing international trade in the chemical;
(d) Take into account that intentional misuse is not in itself an adequate reason to list a chemical in Annex III.
ANNEX III CHEMICALS SUBJECT TO THE PRIOR INFORMED CONSENT PROCEDURE
Relevant CAS number(s)
2,4,5-T and its salts and esters
and its salts (such as ammonium salt, potassium salt and sodium salt)
Dinoseb and its salts and esters
HCH (mixed isomers)
including inorganic mercury compounds, alkyl mercury compounds and alkyloxyalkyl and aryl mercury compounds
Pentachlorophenol and its salts and esters
All tributyltin compounds including:
– Tributyltin oxide
– Tributyltin fluoride
– Tributyltin methacrylate
– Tributyltin benzoate
– Tributyltin chloride
– Tributyltin linoleate
– Tributyltin naphthenate
Dustable powder formulations containing a combination of:
– Benomyl at or above 7 per cent,
– Carbofuran at or above 10 per cent,
– Thiram at or above 15 per cent
Severely hazardous pesticide formulation
(Soluble liquid formulations of the substance that exceed 600 g active ingredient/l)
Severely hazardous pesticide formulation
(Soluble liquid formulations of the substance that exceed 1000 g active ingredient/l)
13171-21-6 (mixture, (E)&(Z) isomers)
Severely hazardous pesticide formulation
(emulsifiable concentrates (EC) at or above 19.5% active ingredient and dusts at or above 1.5% active ingredient)
Severely hazardous pesticide formulation
Polybrominated biphenyls (PBB)
Polychlorinated biphenyls (PCB)
Polychlorinated terphenyls (PCT)
Tris (2,3-dibromopropyl) phosphate
* Only the CAS numbers of parent compounds are listed. For a list of other relevant CAS numbers, reference may be made to the relevant decision guidance document.
ANNEX IV INFORMATION AND CRITERIA FOR LISTING SEVERELY HAZARDOUS PESTICIDE FORMULATIONS IN ANNEX III
Part 1. Documentation required from a proposing Party
Proposals submitted pursuant to paragraph 1 of Article 6 shall include adequate documentation containing the following information:
(a) Name of the hazardous pesticide formulation;
(b) Name of the active ingredient or ingredients in the formulation;
(c) Relative amount of each active ingredient in the formulation;
(d) Type of formulation;
(e) Trade names and names of the producers, if available;
(f) Common and recognized patterns of use of the formulation within the proposing Party;
(g) A clear description of incidents related to the problem, including the adverse effects and the way in which the formulation was used;
(h) Any regulatory, administrative or other measure taken, or intended to be taken, by the proposing Party in response to such incidents.
Part 2. Information to be collected by the Secretariat
Pursuant to paragraph 3 of Article 6, the Secretariat shall collect relevant information relating to the formulation, including:
(a) The physico-chemical, toxicological and ecotoxicological properties of the formulation;
(b) The existence of handling or applicator restrictions in other States;
(c) Information on incidents related to the formulation in other States;
(d) Information submitted by other Parties, international organizations, non-governmental organizations or other relevant sources, whether national or international;
(e) Risk and/or hazard evaluations, where available;
(f) Indications, if available, of the extent of use of the formulation, such as the number of registrations or production or sales quantity;
(g) Other formulations of the pesticide in question, and incidents, if any, relating to these formulations;
(h) Alternative pest‑control practices;
(i) Other information which the Chemical Review Committee may identify as relevant.
Part 3. Criteria for listing severely hazardous pesticide formulations in Annex III
In reviewing the proposals forwarded by the Secretariat pursuant to paragraph 5 of Article 6, the Chemical Review Committee shall take into account:
(a) The reliability of the evidence indicating that use of the formulation, in accordance with common or recognized practices within the proposing Party, resulted in the reported incidents;
(b) The relevance of such incidents to other States with similar climate, conditions and patterns of use of the formulation;
(c) The existence of handling or applicator restrictions involving technology or techniques that may not be reasonably or widely applied in States lacking the necessary infrastructure;
(d) The significance of reported effects in relation to the quantity of the formulation used;
(e) That intentional misuse is not in itself an adequate reason to list a formulation in Annex III.
ANNEX V INFORMATION REQUIREMENTS FOR EXPORT NOTIFICATION
1. Export notifications shall contain the following information:
(a) Name and address of the relevant designated national authorities of the exporting Party and the importing Party;
(b) Expected date of export to the importing Party;
(c) Name of the banned or severely restricted chemical and a summary of the information specified in Annex I that is to be provided to the Secretariat in accordance with Article 5. Where more than one such chemical is included in a mixture or preparation, such information shall be provided for each chemical;
(d) A statement indicating, if known, the foreseen category of the chemical and its foreseen use within that category in the importing Party;
(e) Information on precautionary measures to reduce exposure to, and emission of, the chemical;
(f) In the case of a mixture or a preparation, the concentration of the banned or severely restricted chemical or chemicals in question;
(g) Name and address of the importer;
(h) Any additional information that is readily available to the relevant designated national authority of the exporting Party that would be of assistance to the designated national authority of the importing Party.
2. In addition to the information referred to in paragraph 1, the exporting Party shall provide such further information specified in Annex I as may be requested by the importing Party.
ANNEX VI SETTLEMENTS OF DISPUTES
A. Rules on arbitration
The arbitration procedure for purposes of paragraph 2 (a) of article 20 of the Rotterdam Convention on the Prior Informed Consent Procedure for Certain Hazardous Chemicals and Pesticides in International Trade shall be as follows:
1. A Party may initiate recourse to arbitration in accordance with article 20 of the Convention by written notification addressed to the other Party to the dispute. The notification shall be accompanied by a statement of the claim, together with any supporting documents, and shall state the subject matter for arbitration including, in particular, the articles of the Convention the interpretation or application of which are at issue.
2. The claimant Party shall notify the secretariat that the Parties are referring a dispute to arbitration pursuant to article 20. The written notification of the claimant Party shall be accompanied by the statement of claim and the supporting documents referred to in paragraph 1 above. The secretariat shall forward the information thus received to all Parties.
1. In disputes between two Parties, an Arbitral Tribunal shall be established. It shall consist of three members.
2. Each of the 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 Tribunal. The President of the Tribunal 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.
3. In disputes between more than two Parties, Parties in the same interest shall appoint one arbitrator jointly by agreement.
4. Any vacancy shall be filled in the manner prescribed for the initial appointment.
5. If the Parties do not agree on the subject matter of the dispute before the President of the Arbitral Tribunal is designated, the Arbitral Tribunal shall determine the subject matter.
1. If one of the Parties to the dispute does not appoint an arbitrator within two months of the date on which the respondent Party receives the notification of the arbitration, the other Party may inform the Secretary-General of the United Nations who shall make the designation within a further two-month period.
2. If the President of the Arbitral Tribunal has not been designated within two months of the date of the appointment of the second arbitrator, the Secretary-General of the United Nations shall, at the request of a Party, designate the President within a further two‑month period.
The Arbitral Tribunal shall render its decisions in accordance with the provisions of the Convention and international law.
Unless the parties to the dispute agree otherwise, the Arbitral Tribunal shall determine its own rules of procedure.
The Arbitral Tribunal may, at the request of one of the Parties, recommend essential interim measures of protection.
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, information and facilities; and
(b) Enable it, when necessary, to call witnesses or experts and receive their evidence.
The Parties and the arbitrators are under an obligation to protect the confidentiality of any information they receive in confidence during the proceedings of the Arbitral Tribunal.
Unless the Arbitral Tribunal determines otherwise because of the particular circumstances of the case, the costs of the Tribunal shall be borne by the Parties to the dispute in equal shares. The Tribunal shall keep a record of all its costs and shall furnish a final statement thereof to the Parties.
A Party that has an interest of a legal nature in the subject matter of the dispute which may be affected by the decision in the case, may intervene in the proceedings with the consent of the Arbitral Tribunal.
The Arbitral Tribunal may hear and determine counterclaims arising directly out of the subject matter of the dispute.
Decisions of the Arbitral Tribunal on both procedure and substance shall be taken by a majority vote of its members.
1. 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 decision. Absence of a Party or failure of a Party to defend its case shall not constitute a bar to the proceedings.
2. Before rendering its final decision, the Arbitral Tribunal must satisfy itself that the claim is well founded in fact and law.
The Arbitral Tribunal shall render its final decision within five months of the date on which it is fully constituted, unless it finds it necessary to extend the time limit for a period which should not exceed five more months.
The final decision of the Arbitral Tribunal shall be confined to the subject matter of the dispute and shall state the reasons on which it is based. It shall contain the names of the members who have participated and the date of the final decision. Any member of the Tribunal may attach a separate or dissenting opinion to the final decision.
The award shall be binding on the parties to the dispute. The interpretation of the Convention given by the award shall also be binding upon a Party intervening under article 10 above insofar as it relates to matters in respect of which that Party intervened. The award shall be without appeal unless the parties to the dispute have agreed in advance to an appellate procedure.
Any controversy which may arise between those bound by the final decision in accordance with article 16 above, as regards the interpretation or manner of implementation of that decision, may be submitted by any of them for decision to the Arbitral Tribunal which rendered it.
B. Rules on conciliation
The conciliation procedure for purposes of paragraph 6 of article 20 of the Convention shall be as follows.
1. A request by a party to a dispute to establish a conciliation commission in consequence of paragraph 6 of article 20 shall be addressed in writing to the Secretariat. The Secretariat shall forthwith inform all Parties accordingly.
2. The conciliation commission shall, unless the parties otherwise agree, be composed of five members, two appointed by each Party concerned and a President chosen jointly by those members.
In disputes between more than two parties, parties in the same interest shall appoint their members of the commission jointly by agreement.
If any appointments by the parties are not made within two months of the date of receipt by the Secretariat of the written request referred to in article 1, the Secretary-General of the United Nations shall, upon request by a party, make those appointments within a further two-month period.
If the President of the conciliation commission has not been chosen within two months of the fourth member of the commission being appointed, the Secretary-General of the United Nations shall, upon request by a party, designate the President within a further two-month period.
1. The conciliation commission shall, unless the parties to the dispute otherwise agree, determine its own rules of procedure.
2. The parties and members of the commission are under an obligation to protect the confidentiality of any information they receive in confidence during the proceedings of the commission.
The conciliation commission shall take its decisions by a majority vote of its members.
The conciliation commission shall render a report with recommendations for resolution of the dispute within twelve months of being established, which the parties shall consider in good faith.
Any disagreement as to whether the conciliation commission has competence to consider a matter referred to it shall be decided by the commission.
The costs of the Commission shall be borne by the parties to the dispute in shares agreed by them. The Commission shall keep the record of all its costs and shall furnish a final statement thereof to the parties.