The text of the Rotterdam Convention on the Prior Informed Consent (PIC) Procedure for Certain Hazardous Chemicals and Pesticides in International Trade was adopted at a Conference of Plenipotentiaries in Rotterdam on 10 September 1998. The Convention entered into force on 24 February 2004. For those unfamiliar with the details of the Convention, the obligations on participating countries and the operation of the Convention may seem complex and daunting to implement.
The primary purpose of this document is to provide guidance to Designated National Authorities (DNAs) on the rights and obligations of Parties under the Convention.
To facilitate the work of the DNAs, the guide includes:
Background and contextual information to countries on the purpose and function of the Rotterdam Convention.
A step–by–step plain English explanation of the responsibilities of countries as Parties to the Convention. Each section of the guide may be used separately; as such, there is some redundancy between sections.
A checklist as a guide to DNAs on actions that are required under the Convention.
The appendices to the guide include the text of the Convention and forms and instructions developed in support of the key operational articles (Annexes 7.3 and 7.5, respectively). They are included here in order to provide a comprehensive reference on the implementation of the Rotterdam Convention. A section on “Frequently Asked Questions” (“FAQs”) has also been included, based on the experience of the Secretariat in working with countries to implement the Convention (Annex 7.6). This guidance document, and in particular the “FAQs” section, is not intended to interpret the Convention but rather to provide simple guidance to governments. The Rotterdam Convention web site (www.pic.int) is an important source of current information on the operation and status of implementation of the Convention. Copies of all relevant forms and instructions, meeting reports etc., may be found therein.
Increased production, trade and use of chemicals during the 1960s and 1970s coincided with a growing awareness and concern of the risks that the use of hazardous chemicals could pose to human health and the environment. In addition, there were concerns that regulatory action in some countries to ban or restrict the use of certain chemicals could result in these same chemicals being exported to other countries where regulatory systems, infrastructure and resources were sometimes not adequate to assess and control the risks.
In response to these concerns FAO developed the voluntary International Code of Conduct on the Distribution and Use of Pesticides (the Code). The Code was adopted in 1985, and amended in 1989 and again in November 2001 to reflect changing trends in pest and pesticide management. In parallel with these initiatives, UNEP developed the London Guidelines for the Exchange of Information on Chemicals in International Trade to assist countries in managing the risks associated with industrial chemicals.
In 1989, both the FAO Code of Conduct and the London Guidelines were amended to address issues related to the export of pesticides from a country that had itself domestically banned these pesticides. At that time, the Governing Bodies of FAO and UNEP agreed to work co-operatively and in 1992 implemented a joint programme on the Prior Informed Consent (PIC) Procedure. This became known as the original PIC procedure and remained in operation until the adoption of the text of the Rotterdam Convention in September 1998.
The original PIC procedure was supported by the FAO/UNEP Joint Group of Experts on Prior Informed Consent, established to provide technical assistance in the assessment of candidate chemicals. During this period, the Expert Group met eight times and agreed to include 17 pesticides, five severely hazardous pesticide formulations (SHPFs) and five industrial chemicals in the PIC procedure.
UNCED Agenda 21, Chapter 19
In 1992, the United Nations Conference on Environment and Development (UNCED) recommended that the PIC procedure should be further developed into a legally-binding instrument (Agenda 21, Chapter 19, paragraph 19.39d). Following this recommendation, the FAO Council agreed at its 107th Session in November 1994 that “the Secretariat should proceed with the preparation of a draft legally-binding instrument on the operation of the PIC procedure as part of the joint FAO/UNEP programme on PIC and in cooperation with other international and non-governmental organizations concerned.” The Council also “agreed that the Organization should seek resources, jointly with UNEP, to finance the process for the preparation and conclusion of the legally binding instrument”. Subsequently the Governing Council of UNEP, at its 18th Session in May 1995, authorized the Executive Director to prepare for and convene, together with FAO, an intergovernmental negotiating committee (INC). Its mandate was to prepare an international legally-binding instrument for the application of the PIC procedure for certain hazardous chemicals and pesticides in international trade (Decision GC 18/12).
Commencing in March 1996, UNEP and FAO convened five meetings of the Intergovernmental Negotiating Committee (INC). Governments, inter-governmental and non-governmental organizations attended the negotiating sessions. The fifth and final negotiating session was held in Brussels, Belgium from 9 to 14 March 1998.
The text of the Convention agreed at the fifth session of the INC was adopted on 10 September 1998 in Rotterdam, The Netherlands as the “Rotterdam Convention on the Prior Informed Consent Procedure for Certain Hazardous Chemicals and Pesticides in International Trade”. At the time, a total of 62 governments signed the Convention and 80 governments signed the Final Act.
The Convention remained open for signature at the UN Headquarters in New York from 12 September 1998 until 10 September 1999, at which time 72 States and one regional economic integration organization had signed the Convention.
The Conference agreed that the 27 chemicals that were subject to the original PIC procedure should be included in Annex III of the Convention.
The Conference also adopted a resolution on interim arrangements so that the original PIC procedure might continue to operate, pending the entry into force of the Convention, and to prepare for its effective operation once it entered into force. The resolution made changes to the original PIC procedure to bring it in line with the provisions of the Convention. During the interim period, the PIC procedure was consequently known as the interim PIC procedure. During the interim period, any state or regional economic integration organization that nominated a designated national authority (DNA) was considered as participating in the interim PIC procedure. FAO and UNEP jointly provided the secretariat.
The Rotterdam Convention entered into force on 24 February 2004, 90 days after the 50th instrument of ratification, acceptance or accession to the Convention was deposited in New York. The first meeting of the Conference of the Parties was convened in September 2004.
The overall objective of the Convention is 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 environment from potential harm and contribute to environmentally sound use of these chemicals.
The chemicals eligible for inclusion in the Rotterdam Convention are industrial chemicals and pesticides that have been banned or severely restricted for health and environmental concerns. A group of pesticides called severely hazardous pesticide formulations (SHPFs) are also included. This latter group refers to pesticide formulations found to cause health or environmental problems under the conditions of use in a developing country or a country with an economy in transition.
On the adoption of the text of the Convention (September 1998) the 27 chemicals listed in Annex III of the Convention included 17 pesticides, five severely hazardous pesticide formulations and five industrial chemicals. Between September 1998 and entry into force of the Convention, 15 additional chemicals were identified for inclusion in the interim PIC procedure. For a current list of the chemicals included in Annex III of the Rotterdam Convention consult the Rotterdam Convention Web site www.pic.int or Appendix II of the most recent PIC Circular (see Section 3.3.1).
What the Convention is
The Convention is a multilateral environmental agreement whose primary purpose is to protect human health and the environment. It does this by facilitating information exchange on chemicals that have been banned or severely restricted by one or more national governments as well as severely hazardous pesticide formulations (SHPF) causing problems under the conditions of use in developing countries or countries with economies in transition.
The PIC procedure is an integral part of the Rotterdam Convention. For those chemicals listed in Annex III of the Convention, it provides countries with a means to assess the risks associated with their use and to decide whether or not they will allow future imports. It also provides a means for formally obtaining and disseminating the decisions of countries regarding future imports of these chemicals. Exporting Parties are obliged to ensure that exports do not occur contrary to these decisions.
In cases where a chemical has been banned or severely restricted by an exporting country, but is not subject to the PIC procedure (i.e. included in Annex III of the Convention), this same type of information should still be provided by the exporting country.
What the Convention is not
The listing of a chemical in Annex III of the Rotterdam Convention is not a recommendation to ban or severely restrict its use. The decision to include a chemical in Annex III is triggered by the final regulatory actions to ban or severely restrict a chemical by at least two Parties from two different PIC regions (see Section 1.4.4). Pesticide formulations causing problems under the conditions of use in a Party that is a developing country or country with an economy in transition may also be included. Parties to the Convention are expected to make their own informed decisions regarding the future import and use of chemicals listed in Annex III and subject to the PIC procedure. It is not intended that these chemicals be automatically subject to national regulatory actions to ban or severely restrict their use.
Other international conventions for the management of chemicals exist in tandem with the Rotterdam Convention. These include the Stockholm Convention on Persistent Organic Pollutants and the Basel Convention on the Control of Transboundary Movement of Hazardous Wastes and Their Disposal. Each of these agreements is related in its aim to manage chemicals, but is distinct in scope, objectives and function.
Stockholm Convention on Persistent Organic Pollutants (POPs)
The Stockholm Convention on Persistent Organic Pollutants (POPs) seeks the elimination or restriction of production and use of all intentionally produced POPs (i.e. industrial chemicals and pesticides). It also seeks the continuing minimization and, where feasible, ultimate elimination of the releases of unintentionally produced POPs such as dioxins and furans.
The Convention will initially apply to 12 chemicals. Six of the pesticides and two industrial chemicals included in the Stockholm Convention are also subject to the Rotterdam Convention. They include: polychlorinated biphenyls (PCBs), aldrin, dieldrin, DDT, chlordane, hexachlorobenzene, toxaphene and heptachlor.
It is important to recognize that chemicals are included in the Stockholm Convention based on a defined set of characteristics including their toxicity, potential for bio-accumulation, environmental persistence and transboundary movement to locations remote from their release. However, it should be noted that chemicals are not subject to the Stockholm Convention because of any national regulatory action to ban or severely restrict their use.
Chemicals that are subject to final regulatory actions to ban or severely restrict their use, demonstrating one or more of the characteristics stated above, would be candidates for inclusion in the Rotterdam Convention. Therefore, some chemicals will be subject to both Conventions. Ultimately it is expected that most, if not all, of the pesticides and industrial chemicals identified for inclusion in the Stockholm Convention will have already been subject to the Rotterdam Convention. Further information on the Stockholm Convention may be found at www.pops.int.
Basel Convention on the Control of Transboundary Movements of Hazardous Wastes and Their Disposal
The Basel Convention sets out a global mechanism for the control of the transboundary movement of hazardous and other wastes. It has similarities to the Rotterdam Convention in that it promotes information exchange and has provisions to control trade. The Rotterdam Convention specifically excludes wastes. Therefore, a chemical that has become a waste will fall within the scope of the Basel Convention rather than the Rotterdam Convention. Further information on the Basel Convention may be found at www.basel.int.
The prior informed consent (PIC) procedure applies to the chemicals listed in Annex III of the Convention. For each of these chemicals a document, known as a Decision Guidance Document (DGD), is prepared and sent to all Parties with a request that they take a decision as to whether or not they will allow future import of this chemical. These decisions, known as import responses, are sent to the Secretariat. The Secretariat compiles these decisions and circulates them to all Parties every six months via the PIC Circular (see Section 3.3.1).
All Parties are required to ensure that exports of chemicals subject to the PIC procedure do not occur contrary to the decision of an importing Party. This means that an export must not be made to a Party that has indicated that it does not wish to receive imports of these chemicals. Similarly, if the importing Party has indicated that it will allow import subject to certain condition(s), then the exporting Party must ensure that exports to that importing Party are subject to these condition(s).
The key is that shipments of these chemicals from exporting Parties do not take place without the prior informed consent of the importing Party.
The Convention contains several provisions pertaining to information exchange. These include Parties receiving summaries of all notifications of final regulatory actions to ban or severely restrict chemicals as well as proposals for severely hazardous pesticide formulations (SHPFs). The Convention requires Parties, that have banned or severely restricted a chemical in their own territory, to notify individual importing Parties of the first proposed export in each calendar year (see section 4 Export Notification). Exports of such chemicals, as well as those subject to the PIC procedure (listed in Annex III of the Convention), are to be appropriately labelled and accompanied by basic health and safety information in the form of a safety data sheet. In addition, Parties have access to information about the DNA(s) in every other Party. The Convention also contains general obligations for the provision of information on chemicals to be made publicly available, as well as to be provided when requested by other Parties.
The text of the Rotterdam Convention
The text of the Convention sets out the provisions and obligations that apply to all Parties. A copy of the full text of the Convention is included in Annex 7.3 to this document. Copies of the text of the Convention in six languages (Arabic, Chinese, English, French, Russian and Spanish) can be obtained from the Secretariat or downloaded from the Rotterdam Convention web site (www.pic.int).
Forms and Instructions
The Secretariat has developed a set of forms and instructions to facilitate the implementation of the key operational articles of the Convention. These include:
Notification of Final Regulatory Actions form and instructions (Article 5);
Import Response form and instructions (Article 10);
Severely Hazardous Pesticide Formulations (SHPF) Incident Report forms (one for human poisoning incidents and one for environmental incidents) and instructions (Article 6).
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Copies of these forms have been included in Annex 7.5 to this guide. Additional copies can be obtained from the Secretariat or downloaded from the Rotterdam Convention web site (www.pic.int). |
PIC Circular
The PIC Circular is one of the key documents in the operation of the Rotterdam Convention. It provides information to Parties on the status of implementation of the Convention and, in particular, responds to the requirements of Articles 4, 5, 6, 7, 10, 11 and 14 of the Convention regarding communications between the Secretariat and Parties.
The PIC Circular is distributed by the Secretariat, to all Parties every six months, in June and December. It contains:
summaries of notifications of final regulatory actions for banned or severely restricted chemicals and proposals for SHPFs;
a list of the chemicals included in Annex III and subject to the PIC procedure;
import decisions for all of the chemicals subject to the PIC procedure;
a list of those countries that have failed to provide import decisions for chemicals subject to the PIC procedure;
the contact details for all DNAs;
requests from a Party for information about the transit of chemicals included in Annex III of the Convention through its territory.
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A detailed outline of the contents of the PIC Circular is provided in Annex 7.2 to this guide. |
Decision Guidance Documents (DGDs)
For each chemical listed in Annex III of the Convention and subject to the PIC procedure a decision guidance document (DGD) is prepared. It sets out the scope of the chemical subject to the PIC procedure and contains basic information on the chemical, inter alia its hazard classification, additional sources of information on the chemical and information on possible alternatives.
For banned or severely restricted chemicals, it contains details of the regulatory actions of two or more Parties that led to the chemical being included in Annex III and a summary of the risk evaluation and supporting documentation considered in support of these regulatory actions.
For SHPFs, it includes a description of the common and recognized patterns of use of the formulation in the proposing country as well as the incidents related to the formulation that were considered in deciding to include it in Annex III.
A decision guidance document is not intended as the only source of information on a chemical, nor is it updated or revised following its adoption. Additional information submitted by Parties for chemicals in Annex III is posted on the Rotterdam Convention web site (www.pic.int).
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A detailed outline of the contents of a decision guidance document is provided in Annex 7.1 to this guide. |
Parties and their Designated National Authorities (DNAs)
For the Rotterdam Convention, “Parties” are the countries or regional economic integration organizations (REIOs) that have ratified, accepted, approved or acceded to the Convention. Parties are required to nominate one or more DNAs, who are the primary contact point(s) for matters related to the operation of the Convention and who are authorized to perform the administrative functions necessary for the operation of the Convention. For a current list of the Parties to the Rotterdam Convention and the contact details for their respective DNAs, consult the Rotterdam Convention web site (www.pic.int).
Secretariat
The Secretariat for the Rotterdam Convention is provided jointly by FAO and UNEP. The functions of the Secretariat are outlined in Article 19 of the Convention. Briefly, the Secretariat is responsible for making the administrative arrangements for meetings of the Conference of the Parties and its subsidiary bodies, verifying that information required to accompany notifications of final regulatory actions and proposals for severely hazardous pesticide formulations has been provided, facilitating assistance to developing country Parties, facilitating information exchange between Parties and ensuring coordination with other international organizations.
Conference of the Parties (COP)
A Conference of the Parties (COP) oversees the operation of the Convention. The COP is comprised of those countries or regional economic integration organizations that have ratified, accepted, approved or acceded to the Convention. The COP is the body responsible for making decisions regarding amendments to the Convention, including amendments to Annexes, such as Annex III of the Convention, where chemicals subject to the PIC procedure are listed.
Chemical Review Committee (CRC)
Article 18 of the Convention provides for the establishment of a subsidiary body called the Chemical Review Committee (CRC). This Committee reviews the relevant supporting information for candidate chemicals including severely hazardous pesticide formulations, in line with the information requirements and criteria set out in the Convention. The CRC recommends to the Conference of the Parties whether or not a chemical should be listed in Annex III of the Convention and subject to the PIC procedure. The members of the CRC are government-designated experts in chemical management and are appointed by the COP. The Convention specifies that the members of the Committee shall be appointed on the basis of equitable geographical distribution, including ensuring a balance between developed and developing Parties. For further information on the operation of the CRC and the process by which chemicals are added to Annex III, see section 2.3 of this document. For information on the composition of the CRC consult the Rotterdam Convention web site (www.pic.int).
Prior Informed Consent (PIC) Regions
Article 5 of the Convention requires that, when the secretariat has received at least one notification of final regulatory action from each of two PIC regions regarding a particular chjemical, it shall forward them to the Chemical Review Committee. For information on the composition of the Prior Informed Consent Regions, consult the Rotterdam Convention web site (www.pic.int).
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[1] The full text of the
Convention may be found in Annex 7.3 to this guide. |
