1996 Protocol to the
Convention on the Prevention of Marine Pollution by Dumping of Wastes and
Other Matter of 29 December 1972
(London, 7 November 1996)
THE CONTRACTING PARTIES TO THIS PROTOCOL,
STRESSING the need to protect the marine
environment and to promote the sustainable use and conservation of marine
NOTING in this regard the achievements
within the framework of the Convention on the Prevention of Marine Pollution
by Dumping of Wastes and Other Matter, 1972 and especially the evolution
towards approaches based on precaution and prevention,
NOTING FURTHER the contribution in
this regard by complementary regional and national instruments which aim
to protect the marine environment and which take account of specific circumstances
and needs of those regions and States,
REAFFIRMING the value of a global approach
to these matters and in particular the importance of continuing cooperation
and collaboration between Contracting Parties in implementing the Convention
and the Protocol,
RECOGNIZING that it may be desirable
to adopt, on a national or regional level, more stringent measures with
respect to prevention and elimination of pollution of the marine environment
from dumping at sea than are provided for in international conventions
or other types of agreements with a global scope,
TAKING INTO ACCOUNT relevant international
agreements and actions, especially the United Nations Convention on the
Law of the Sea, 1982, the Rio Declaration on Environment and Development
and Agenda 21,
RECOGNIZING ALSO the interests and
capacities of developing States and in particular small island developing
BEING CONVINCED that further international
action to prevent, reduce and where practicable eliminate pollution of
the sea caused by dumping can and must be taken without delay to protect
and preserve the marine environment and to manage human activities in such
a manner that the marine ecosystem will continue to sustain the legitimate
uses of the sea and will continue to meet the needs of present and future
HAVE AGREED as follows:
For the purposes of this Protocol:
1 "Convention" means the Convention on the
Prevention of Marine Pollution by Dumping of Wastes and Other Matter, 1972,
2 "Organization" means the International Maritime
3 "Secretary-General" means the Secretary-General
of the Organization.
4 .1 "Dumping" means:
.1 any deliberate disposal into the sea of
wastes or other matter from vessels, aircraft, platforms or other man-made
structures at sea;
.2 any deliberate disposal into the sea of
vessels, aircraft, platforms or other man-made structures at sea;
.3 any storage of wastes or other matter in
the seabed and the subsoil thereof from vessels, aircraft, platforms or
other man-made structures at sea; and
.4 any abandonment or toppling at site of
platforms or other man-made structures at sea, for the sole purpose of
.2 "Dumping" does not include:
.1 the disposal into the sea of wastes or
other matter incidental to, or derived from the normal operations of vessels,
aircraft, platforms or other man-made structures at sea and their equipment,
other than wastes or other matter transported by or to vessels, aircraft,
platforms or other man-made structures at sea, operating for the purpose
of disposal of such matter or derived from the treatment of such wastes
or other matter on such vessels, aircraft, platforms or other man-made
.2 placement of matter for a purpose other
than the mere disposal thereof, provided that such placement is not contrary
to the aims of this Protocol; and
.3 notwithstanding paragraph 4.1.4, abandonment
in the sea of matter (eg, cables, pipelines and marine research devices)
placed for a purpose other than the mere disposal thereof.
.3 The disposal or storage of wastes or other
matter directly arising from, or related to the exploration, exploitation
and associated off-shore processing of seabed mineral resources is not
covered by the provisions of this Protocol.
5 .1 "Incineration at sea" means the combustion
on board a vessel, platform or other man-made structure at sea of wastes
or other matter for the purpose of their deliberate disposal by thermal
.2 "Incineration at sea" does not include
the incineration of wastes or other matter on board a vessel, platform,
or other man-made structure at sea if such wastes or other matter were
generated during the normal operation of that vessel, platform or other
man-made structure at sea.
6 "Vessels and aircraft" means waterborne
or airborne craft of any type whatsoever. This expression includes air-cushioned
craft and floating craft, whether self-propelled or not.
7 "Sea" means all marine waters other than
the internal waters of States, as well as the seabed and the subsoil thereof;
it does not include sub-seabed repositories accessed only from land.
8 "Wastes or other matter" means material
and substance of any kind, form or description.
9 "Permit" means permission granted in advance
and in accordance with relevant measures adopted pursuant to Article 4.1.2
10 "Pollution" means the introduction, directly
or indirectly, by human activity, of wastes or other matter into the sea
which results or is likely to result in such deleterious effects as harm
to living resources and marine ecosystems, hazards to human health, hindrance
to marine activities, including fishing and other legitimate uses of the
sea, impairment of quality for use of sea water and reduction of amenities.
Contracting Parties shall individually and
collectively protect and preserve the marine environment from all sources
of pollution and take effective measures, according to their scientific,
technical and economic capabilities, to prevent, reduce and where practicable
eliminate pollution caused by dumping or incineration at sea of wastes
or other matter. Where appropriate, they shall harmonize their policies
in this regard.
1 In implementing this Protocol, Contracting
Parties shall apply a precautionary approach to environmental protection
from dumping of wastes or other matter whereby appropriate preventative
measures are taken when there is reason to believe that wastes or other
matter introduced into the marine environment are likely to cause harm
even when there is no conclusive evidence to prove a causal relation between
inputs and their effects.
2 Taking into account the approach that the
polluter should, in principle, bear the cost of pollution, each Contracting
Party shall endeavour to promote practices whereby those it has authorized
to engage in dumping or incineration at sea bear the cost of meeting the
pollution prevention and control requirements for the authorized activities,
having due regard to the public interest.
3 In implementing the provisions of this Protocol,
Contracting Parties shall act so as not to transfer, directly or indirectly,
damage or likelihood of damage from one part of the environment to another
or transform one type of pollution into another.
4 No provision of this Protocol shall be interpreted
as preventing Contracting Parties from taking, individually or jointly,
more stringent measures in accordance with international law with respect
to the prevention, reduction and where practicable elimination of pollution.
Dumping of wastes or other matter
1 .1 Contracting Parties shall prohibit the
dumping of any wastes or other matter with the exception of those listed
in Annex 1.
.2 The dumping of wastes or other matter listed
in Annex 1 shall require a permit. Contracting Parties shall adopt administrative
or legislative measures to ensure that issuance of permits and permit conditions
comply with provisions of Annex 2. Particular attention shall be paid to
opportunities to avoid dumping in favour of environmentally preferable
2 No provision of this Protocol shall be interpreted
as preventing a Contracting Party from prohibiting, insofar as that Contracting
Party is concerned, the dumping of wastes or other matter mentioned in
Annex 1. That Contracting Party shall notify the Organization of such measures.
Incineration at sea
Contracting Parties shall prohibit incineration
at sea of wastes or other matter.
Export of wastes or other matter
Contracting Parties shall not allow the export
of wastes or other matter to other countries for dumping or incineration
1 Notwithstanding any other provision of this
Protocol, this Protocol shall relate to internal waters only to the extent
provided for in paragraphs 2 and 3.
2 Each Contracting Party shall at its discretion
either apply the provisions of this Protocol or adopt other effective permitting
and regulatory measures to control the deliberate disposal of wastes or
other matter in marine internal waters where such disposal would be "dumping"
or "incineration at sea" within the meaning of Article 1, if conducted
3 Each Contracting Party should provide the
Organization with information on legislation and institutional mechanisms
regarding implementation, compliance and enforcement in marine internal
waters. Contracting Parties should also use their best efforts to provide
on a voluntary basis summary reports on the type and nature of the materials
dumped in marine internal waters.
1 The provisions of Articles 4.1 and 5 shall
not apply when it is necessary to secure the safety of human life or of
vessels, aircraft, platforms or other man-made structures at sea in cases
of force majeure caused by stress of weather, or in any case which
constitutes a danger to human life or a real threat to vessels, aircraft,
platforms or other man-made structures at sea, if dumping appears to be
the only way of averting the threat and if there is every probability that
the damage consequent upon such dumping will be less than would otherwise
occur. Such dumping shall be conducted so as to minimize the likelihood
of damage to human or marine life and shall be reported forthwith to the
2 A Contracting Party may issue a permit as
an exception to Articles 4.1 and 5, in emergencies posing an unacceptable
threat to human health, safety, or the marine environment and admitting
of no other feasible solution. Before doing so the Contracting Party shall
consult any other country or countries that are likely to be affected and
the Organization which, after consulting other Contracting Parties, and
competent international organizations as appropriate, shall, in accordance
with Article 18.6 promptly recommend to the Contracting Party the most
appropriate procedures to adopt. The Contracting Party shall follow these
recommendations to the maximum extent feasible consistent with the time
within which action must be taken and with the general obligation to avoid
damage to the marine environment and shall inform the Organization of the
action it takes. The Contracting Parties pledge themselves to assist one
another in such situations.
3 Any Contracting Party may waive its rights
under paragraph 2 at the time of, or subsequent to ratification of, or
accession to this Protocol.
Issuance of permits and reporting
1 Each Contracting Party shall designate an
appropriate authority or authorities to:
.1 issue permits in accordance with this Protocol;
.2 keep records of the nature and quantities
of all wastes or other matter for which dumping permits have been issued
and where practicable the quantities actually dumped and the location,
time and method of dumping; and
.3 monitor individually, or in collaboration
with other Contracting Parties and competent international organizations,
the condition of the sea for the purposes of this Protocol.
2 The appropriate authority or authorities
of a Contracting Party shall issue permits in accordance with this Protocol
in respect of wastes or other matter intended for dumping or, as provided
for in Article 8.2, incineration at sea:
.1 loaded in its territory; and
.2 loaded onto a vessel or aircraft registered
in its territory or flying its flag, when the loading occurs in the territory
of a State not a Contracting Party to this Protocol.
3 In issuing permits, the appropriate authority
or authorities shall comply with the requirements of Article 4, together
with such additional criteria, measures and requirements as they may consider
4 Each Contracting Party, directly or through
a secretariat established under a regional agreement, shall report to the
Organization and where appropriate to other Contracting Parties:
.1 the information specified in paragraphs
1.2 and 1.3;
.2 the administrative and legislative measures
taken to implement the provisions of this Protocol, including a summary
of enforcement measures; and
.3 the effectiveness of the measures referred
to in paragraph 4.2 and any problems encountered in their application.
The information referred to in paragraphs
1.2 and 1.3 shall be submitted on an annual basis. The information referred
to in paragraphs 4.2 and 4.3 shall be submitted on a regular basis.
5 Reports submitted under paragraphs 4.2 and
4.3 shall be evaluated by an appropriate subsidiary body as determined
by the Meeting of Contracting Parties. This body will report its conclusions
to an appropriate Meeting or Special Meeting of Contracting Parties.
Application and enforcement
1 Each Contracting Party shall apply the measures
required to implement this Protocol to all:
.1 vessels and aircraft registered in its
territory or flying its flag;
.2 vessels and aircraft loading in its territory
the wastes or other matter which are to be dumped or incinerated at sea;
.3 vessels, aircraft and platforms or other
man-made structures believed to be engaged in dumping or incineration at
sea in areas within which it is entitled to exercise jurisdiction in accordance
with international law.
2 Each Contracting Party shall take appropriate
measures in accordance with international law to prevent and if necessary
punish acts contrary to the provisions of this Protocol.
3 Contracting Parties agree to cooperate in
the development of procedures for the effective application of this Protocol
in areas beyond the jurisdiction of any State, including procedures for
the reporting of vessels and aircraft observed dumping or incinerating
at sea in contravention of this Protocol.
4 This Protocol shall not apply to those vessels
and aircraft entitled to sovereign immunity under international law. However,
each Contracting Party shall ensure by the adoption of appropriate measures
that such vessels and aircraft owned or operated by it act in a manner
consistent with the object and purpose of this Protocol and shall inform
the Organization accordingly.
5 A State may, at the time it expresses its
consent to be bound by this Protocol, or at any time thereafter, declare
that it shall apply the provisions of this Protocol to its vessels and
aircraft referred to in paragraph 4, recognising that only that State may
enforce those provisions against such vessels and aircraft.
1 No later than two years after the entry
into force of this Protocol, the Meeting of Contracting Parties shall establish
those procedures and mechanisms necessary to assess and promote compliance
with this Protocol. Such procedures and mechanisms shall be developed with
a view to allowing for the full and open exchange of information, in a
2 After full consideration of any information
submitted pursuant to this Protocol and any recommendations made through
procedures or mechanisms established under paragraph 1, the Meeting of
Contracting Parties may offer advice, assistance or cooperation to Contracting
Parties and non-Contracting Parties.
In order to further the objectives of this
Protocol, Contracting Parties with common interests to protect the marine
environment in a given geographical area shall endeavour, taking into account
characteristic regional features, to enhance regional cooperation including
the conclusion of regional agreements consistent with this Protocol for
the prevention, reduction and where practicable elimination of pollution
caused by dumping or incineration at sea of wastes or other matter. Contracting
Parties shall seek to cooperate with the parties to regional agreements
in order to develop harmonized procedures to be followed by Contracting
Parties to the different conventions concerned.
Technical cooperation and assistance
1 Contracting Parties shall, through collaboration
within the Organization and in coordination with other competent international
organizations, promote bilateral and multilateral support for the prevention,
reduction and where practicable elimination of pollution caused by dumping
as provided for in this Protocol to those Contracting Parties that request
.1 training of scientific and technical personnel
for research, monitoring and enforcement, including as appropriate the
supply of necessary equipment and facilities, with a view to strengthening
.2 advice on implementation of this Protocol;
.3 information and technical cooperation relating
to waste minimization and clean production processes;
.4 information and technical cooperation relating
to the disposal and treatment of waste and other measures to prevent, reduce
and where practicable eliminate pollution caused by dumping; and
.5 access to and transfer of environmentally
sound technologies and corresponding knowhow, in particular to developing
countries and countries in transition to market economies, on favourable
terms, including on concessional and preferential terms, as mutually agreed,
taking into account the need to protect intellectual property rights as
well as the special needs of developing countries and countries in transition
to market economies.
2 The Organization shall perform the following
.1 forward requests from Contracting Parties
for technical cooperation to other Contracting Parties, taking into account
such factors as technical capabilities;
.2 coordinate requests for assistance with
other competent international organizations, as appropriate; and
.3 subject to the availability of adequate
resources, assist developing countries and those in transition to market
economies, which have declared their intention to become Contracting Parties
to this Protocol, to examine the means necessary to achieve full implementation.
Scientific and technical research
1 Contracting Parties shall take appropriate
measures to promote and facilitate scientific and technical research on
the prevention, reduction and where practicable elimination of pollution
by dumping and other sources of marine pollution relevant to this Protocol.
In particular, such research should include observation, measurement, evaluation
and analysis of pollution by scientific methods.
2 Contracting Parties shall, to achieve the
objectives of this Protocol, promote the availability of relevant information
to other Contracting Parties who request it on:
.1 scientific and technical activities and
measures undertaken in accordance with this Protocol;
.2 marine scientific and technological programs
and their objectives; and
.3 the impacts observed from the monitoring
and assessment conducted pursuant to Article 9.1.3.
Responsibility and liability
In accordance with the principles of international
law regarding State responsibility for damage to the environment of other
States or to any other area of the environment, the Contracting Parties
undertake to develop procedures regarding liability arising from the dumping
or incineration at sea of wastes or other matter.
Settlement of disputes
1 Any disputes regarding the interpretation
or application or this Protocol shall be resolved in the first instance
through negotiation, mediation or conciliation, or other peaceful means
chosen by parties to the dispute.
2 If no resolution is possible within twelve
months after one Contracting Party has notified another that a dispute
exists between them, the dispute shall be settled, at the request of a
party to the dispute, by means of the Arbitral Procedure set forth in Annex
3, unless the parties to the dispute agree to use one of the procedures
listed in paragraph 1 of Article 287 of the 1982 United Nations Convention
on the Law of the Sea. The parties to the dispute may so agree, whether
or not they are also States Parties to the 1982 United Nations Convention
on the Law of the Sea
3 In the event an agreement to use one of
the procedures listed in paragraph 1 of Article 287 of the 1982 United
Nations Convention on the Law of the Sea is reached, the provisions set
forth in Part XV of that Convention that are related to the chosen procedure
would also apply, mutatis mutandis .
4 The twelve month period referred to in paragraph
2 may be extended for another twelve months by mutual consent of the parties
5 Notwithstanding paragraph 2, any State may,
at the time it expresses its consent to be bound by this Protocol, notify
the Secretary-General that, when it is a party to a dispute about the interpretation
or application of Article 3.1 or 3.2, its consent will be required before
the dispute may be settled by means of the Arbitral Procedure set forth
in Annex 3.
Contracting Parties shall promote the objectives
of this Protocol within the competent international organizations.
Meetings of Contracting Parties
1 Meetings of Contracting Parties or Special
Meetings of Contracting Parties shall keep under continuing review the
implementation of this Protocol and evaluate its effectiveness with a view
to identifying means of strengthening action, where necessary, to prevent,
reduce and where practicable eliminate pollution caused by dumping and
incineration at sea of wastes or other matter. To these ends, Meetings
of Contracting Parties or Special Meetings of Contracting Parties may:
.1 review and adopt amendments to this Protocol
in accordance with Articles 21 and 22;
.2 establish subsidiary bodies, as required,
to consider any matter with a view to facilitating the effective implementation
of this Protocol;
.3 invite appropriate expert bodies to advise
the Contracting Parties or the Organization on matters relevant to this
.4 promote cooperation with competent international
organizations concerned with the prevention and control of pollution;
.5 consider the information made available
pursuant to article 9.4;
.6 develop or adopt, in consultation with
competent international organizations, procedures referred to in Article
8.2, including basic criteria for determining exceptional and emergency
situations, and procedures for consultative advice and the safe disposal
of matter at sea in such circumstances;
.7 consider and adopt resolutions; and
.8 consider any additional action that may
2 The Contracting Parties at their first Meeting
shall establish rules of procedure as necessary.
Duties of the Organization
1 The Organization shall be responsible for
Secretariat duties in relation to this Protocol. Any Contracting Party
to this Protocol not being a member of this Organization shall make an
appropriate contribution to the expenses incurred by the Organization in
performing these duties.
2 Secretariat duties necessary for the administration
of this Protocol include:
.1 convening Meetings of Contracting Parties
once per year, unless otherwise decided by Contracting Parties, and Special
Meetings of Contracting Parties at any time on the request of two-thirds
of the Contracting Parties;
.2 providing advice on request on the implementation
of this Protocol and on guidance and procedures developed thereunder;
.3 considering enquiries by, and information
from Contracting Parties, consulting with them and with the competent international
organizations, and providing recommendations to Contracting Parties on
questions related to, but not specifically covered by, this Protocol;
.4 preparing and assisting, in consultation
with Contracting Parties and the competent international organizations,
in the development and implementation of procedures referred to in Article
.5 conveying to the Contracting Parties concerned
all notifications received by the Organization in accordance with this
.6 preparing, every two years, a budget and
a financial account for the administration of this Protocol which shall
be distributed to all Contracting Parties.
3 The Organization shall, subject to the availability
of adequate resources, in addition to the requirements set out in Article
.1 collaborate in assessments of the state
of the marine environment; and
.2 cooperate with competent international
organizations concerned with the prevention and control of pollution.
Annexes to this Protocol form an integral
part of this Protocol.
Amendment of the Protocol
1 Any Contracting Party may propose amendments
to the Articles of this Protocol. The text of a proposed amendment shall
be communicated to Contracting Parties by the Organization at least six
months prior to its consideration at a Meeting of Contracting Parties or
a Special Meeting of Contracting Parties.
2 Amendments to the Articles of this Protocol
shall be adopted by a two-thirds majority vote of the Contracting Parties
which are present and voting at the Meeting of Contracting Parties or Special
Meeting of Contracting Parties designated for this purpose.
3 An amendment shall enter into force for
the Contracting Parties which have accepted it on the sixtieth day after
two-thirds of the Contracting Parties shall have deposited an instrument
of acceptance of the amendment with the Organization. Thereafter the amendment
shall enter into force for any other Contracting Party on the sixtieth
day after the date on which that Contracting Party has deposited its instrument
of acceptance of the amendment.
4 The Secretary-General shall inform Contracting
Parties of any amendments adopted at Meetings of Contracting Parties and
of the date on which such amendments enter into force generally and for
each Contracting Party.
5 After entry into force of an amendment to
this Protocol, any State that becomes a Contracting Party to this Protocol
shall become a Contracting Party to this Protocol as amended, unless two-thirds
of the Contracting Parties present and voting at the Meeting or Special
Meeting of Contracting Parties adopting the amendment agree otherwise.
Amendment of the Annexes
1 Any Contracting Party may propose amendments
to the Annexes to this Protocol. The text of a proposed amendment shall
be communicated to Contracting Parties by the Organization at least six
months prior to its consideration by a Meeting of Contracting Parties or
Special Meeting of Contracting Parties.
2 Amendments to the Annexes other than Annex
3 will be based on scientific or technical considerations and may take
into account legal, social and economic factors as appropriate. Such amendments
shall be adopted by a two-thirds majority vote of the Contracting Parties
present and voting at a Meeting of Contracting Parties or Special Meeting
of Contracting Parties designated for this purpose.
3 The Organization shall without delay communicate
to Contracting Parties amendments to the Annexes that have been adopted
at a Meeting of Contracting Parties or Special Meeting of Contracting Parties.
4 Except as provided in paragraph 7, amendments
to the Annexes shall enter into force for each Contracting Party immediately
on notification of its acceptance to the Organization or 100 days after
the date of their adoption at a Meeting of Contracting Parties, if that
is later, except for those Contracting Parties which before the end of
the 100 days make a declaration that they are not able to accept the amendment
at that time. A Contracting Party may at any time substitute an acceptance
for a previous declaration of objection and the amendment previously objected
to shall thereupon enter into force for that Contracting Party.
5 The Secretary-General shall without delay
notify Contracting Parties of instruments of acceptance or objection deposited
with the Organization.
6 A new Annex or an amendment to an Annex
which is related to an amendment to the Articles of this Protocol shall
not enter into force until such time as the amendment to the Articles of
this Protocol enters into force.
7 With regard to amendments to Annex 3 concerning
the Arbitral Procedure and with regard to the adoption and entry into force
of new Annexes the procedures on amendments to the Articles of this Protocol
Relationship between the Protocol and the
This Protocol will supersede the Convention
as between Contracting Parties to this Protocol which are also Parties
to the Convention.
Signature, ratification, acceptance, approval
1 This Protocol shall be open for signature
by any State at the Headquarters of the Organization from 1 April 1997
to 31 March 1998 and shall thereafter remain open for accession by any
2 States may become Contracting Parties to
this Protocol by:
.1 signature not subject to ratification,
acceptance or approval; or
.2 signature subject to ratification, acceptance
or approval, followed by ratification, acceptance or approval; or
3 Ratification, acceptance, approval or accession
shall be effected by the deposit of an instrument to that effect with the
Entry into force
1 This Protocol shall enter into force on
the thirtieth day following the date on which:
.1 at least 26 States have expressed their
consent to be bound by this Protocol in accordance with Article 24; and
.2 at least 15 Contracting Parties to the
Convention are included in the number of States referred to in paragraph
2 For each State that has expressed its consent
to be bound by this Protocol in accordance with Article 24 following the
date referred to in paragraph 1, this Protocol shall enter into force on
the thirtieth day after the date on which such State expressed its consent.
1 Any State that was not a Contracting Party
to the Convention before 31 December 1996 and that expresses its consent
to be bound by this Protocol prior to its entry into force or within five
years after its entry into force may, at the time it expresses its consent,
notify the Secretary-General that, for reasons described in the notification,
it will not be able to comply with specific provisions of this Protocol
other than those provided in paragraph 2, for a transitional period that
shall not exceed that described in paragraph 4.
2 No notification made under paragraph 1 shall
affect the obligations of a Contracting Party to this Protocol with respect
to incineration at sea or the dumping of radioactive wastes or other radioactive
3 Any Contracting Party to this Protocol that
has notified the Secretary-General under paragraph 1 that, for the specified
transitional period, it will not be able to comply, in part or in whole,
with Article 4.1 or Article 9 shall nonetheless during that period prohibit
the dumping of wastes or other matter for which it has not issued a permit,
use its best efforts to adopt administrative or legislative measures to
ensure that issuance of permits and permit conditions comply with the provisions
of Annex 2, and notify the Secretary-General of any permits issued.
4 Any transitional period specified in a notification
made under paragraph 1 shall not extend beyond five years after such notification
5 Contracting Parties that have made a notification
under paragraph 1 shall submit to the first Meeting of Contracting Parties
occurring after deposit of their instrument of ratification, acceptance,
approval or accession a program and timetable to achieve full compliance
with this Protocol, together with any requests for relevant technical cooperation
and assistance in accordance with Article 13 of this Protocol.
6 Contracting Parties that have made a notification
under paragraph 1 shall establish procedures and mechanisms for the transitional
period to implement and monitor submitted programs designed to achieve
full compliance with this Protocol. A report on progress toward compliance
shall be submitted by such Contracting Parties to each Meeting of Contracting
Parties held during their transitional period for appropriate action.
1 Any Contracting Party may withdraw from
this Protocol at any time after the expiry of two years from the date on
which this Protocol enters into force for that Contracting Party.
2 Withdrawal shall be effected by the deposit
of an instrument of withdrawal with the Secretary-General.
3 A withdrawal shall take effect one year
after receipt by the Secretary-General of the instrument of withdrawal
or such longer period as may be specified in that instrument.
1 This Protocol shall be deposited with the
2 In addition to the functions specified in
Articles 10.5, 16.5, 21.4, 22.5 and 26.5, the Secretary-General shall:
.1 inform all States which have signed this
Protocol or acceded thereto of:
.1 each new signature or deposit of an instrument
of ratification, acceptance, approval or accession, together with the date
.2 the date of entry into force of this Protocol;
.3 the deposit of any instrument of withdrawal
from this Protocol together with the date on which it was received and
the date on which the withdrawal takes effect.
.2 transmit certified copies of this Protocol
to all States which have signed this Protocol or acceded thereto.
3 As soon as this Protocol enters into force,
a certified true copy thereof shall be transmitted by the Secretary-General
to the Secretariat of the United Nations for registration and publication
in accordance with Article 102 of the Charter of the United Nations.
This Protocol is established in a single original
in the Arabic, Chinese, English, French, Russian and Spanish languages,
each text being equally authentic.
IN WITNESS WHEREOF the undersigned
being duly authorized by their respective Governments for that purpose
have signed this Protocol.
DONE at London, this seventh day of
November, one thousand nine hundred and ninety-six.
WASTES OR OTHER MATTER THAT MAY BE CONSIDERED
1 The following wastes or other matter are
those that may be considered for dumping being mindful of the Objectives
and General Obligations of this Protocol set out in Articles 2 and 3:
.1 dredged material;
.2 sewage sludge;
.3 fish waste, or material resulting from
industrial fish processing operations;
.4 vessels and platforms or other man-made
structures at sea;
.5 inert, inorganic geological material;
.6 organic material of natural origin; and
.7 bulky items primarily comprising iron,
steel, concrete and similarly unharmful materials for which the concern
is physical impact, and limited to those circumstances where such wastes
are generated at locations, such as small islands with isolated communities,
having no practicable access to disposal options other than dumping.
2 The wastes or other matter listed in paragraphs
1.4 and 1.7 may be considered for dumping, provided that material capable
of creating floating debris or otherwise contributing to pollution of the
marine environment has been removed to the maximum extent and provided
that the material dumped poses no serious obstacle to fishing or navigation.
3 Notwithstanding the above, materials listed
in paragraphs 1.1 to 1.7 containing levels of radioactivity greater than
de minimis (exempt) concentrations as defined by the IAEA and adopted
by Contracting Parties, shall not be considered eligible for dumping; provided
further that within 25 years of 20 February 1994, and at each 25 year interval
thereafter, Contracting Parties shall complete a scientific study relating
to all radioactive wastes and other radioactive matter other than high
level wastes or matter, taking into account such other factors as Contracting
Parties consider appropriate and shall review the prohibition on dumping
of such substances in accordance with the procedures set forth in Article
ASSESSMENT OF WASTES OR OTHER MATTER THAT
MAY BE CONSIDERED FOR DUMPING
1 The acceptance of dumping under certain
circumstances shall not remove the obligations under this Annex to make
further attempts to reduce the necessity for dumping.
WASTE PREVENTION AUDIT
2 The initial stages in assessing alternatives
to dumping should, as appropriate, include an evaluation of:
.1 types, amounts and relative hazard of wastes
.2 details of the production process and the
sources of wastes within that process; and
.3 feasibility of the following waste reduction/prevention
.1 product reformulation;
.2 clean production technologies;
.3 process modification;
.4 input substitution; and
.5 on-site, closed-loop recycling.
3 In general terms, if the required audit
reveals that opportunities exist for waste prevention at source, an applicant
is expected to formulate and implement a waste prevention strategy, in
collaboration with relevant local and national agencies, which includes
specific waste reduction targets and provision for further waste prevention
audits to ensure that these targets are being met. Permit issuance or renewal
decisions shall assure compliance with any resulting waste reduction and
4 For dredged material and sewage sludge,
the goal of waste management
should be to identify and control the sources
of contamination. This should be achieved through implementation of waste
prevention strategies and requires collaboration between the relevant local
and national agencies involved with the control of point and non-point
sources of pollution. Until this objective is met, the problems of contaminated
dredged material may be addressed by using disposal management techniques
at sea or on land.
CONSIDERATION OF WASTE MANAGEMENT OPTIONS
5 Applications to dump wastes or other matter
shall demonstrate that appropriate consideration has been given to the
following hierarchy of waste management options, which implies an order
of increasing environmental impact:
.2 off-site recycling;
.3 destruction of hazardous constituents;
.4 treatment to reduce or remove the hazardous
.5 disposal on land, into air and in water.
6 A permit to dump wastes or other matter
shall be refused if the permitting authority determines that appropriate
opportunities exist to re-use, recycle or treat the waste without undue
risks to human health or the environment or disproportionate costs. The
practical availability of other means of disposal should be considered
in the light of a comparative risk assessment involving both dumping and
CHEMICAL, PHYSICAL AND BIOLOGICAL PROPERTIES
7 A detailed description and characterization
of the waste is an essential precondition for the consideration of alternatives
and the basis for a decision as to whether a waste may be dumped. If a
waste is so poorly characterized that proper assessment cannot be made
of its potential impacts on human health and the environment, that waste
shall not be dumped.
8 Characterization of the wastes and their
constituents shall take into account:
.1 origin, total amount, form and average
.2 properties: physical, chemical, biochemical
.4 persistence: physical, chemical and biological;
.5 accumulation and biotransformation in biological
materials or sediments.
9 Each Contracting Party shall develop a national
Action List to provide a mechanism for screening candidate wastes and their
constituents on the basis of their potential effects on human health and
the marine environment. In selecting substances for consideration in an
Action List, priority shall be given to toxic, persistent and bioaccumulative
substances from anthropogenic sources (eg, cadmium, mercury, organohalogens,
petroleum hydrocarbons, and, whenever relevant, arsenic, lead, copper,
zinc, beryllium, chromium, nickel and vanadium, organosilicon compounds,
cyanides, fluorides and pesticides or their by-products other than organohalogens).
An Action List can also be used as a trigger mechanism for further waste
10 An Action List shall specify an upper level
and may also specify a lower level. The upper level should be set so as
to avoid acute or chronic effects on human health or on sensitive marine
organisms representative of the marine ecosystem. Application of an Action
List will result in three possible categories of waste:
.1 wastes which contain specified substances,
or which cause biological responses, exceeding the relevant upper level
shall not be dumped, unless made acceptable for dumping through the use
of management techniques or processes;
.2 wastes which contain specified substances,
or which cause biological responses, below the relevant lower levels should
be considered to be of little environmental concern in relation to dumping;
.3 wastes which contain specified substances,
or which cause biological responses, below the upper level but above the
lower level require more detailed assessment before their suitability for
dumping can be determined.
11 Information required to select a dump-site
.1 physical, chemical and biological characteristics
of the water-column and the seabed;
.2 location of amenities, values and other
uses of the sea in the area under consideration;
.3 assessment of the constituent fluxes associated
with dumping in relation to existing fluxes of substances in the marine
.4 economic and operational feasibility.
ASSESSMENT OF POTENTIAL EFFECTS
12 Assessment of potential effects should
lead to a concise statement of the expected consequences of the sea or
land disposal options, ie, the "Impact Hypothesis". It provides a basis
for deciding whether to approve or reject the proposed disposal option
and for defining environmental monitoring requirements.
13 The assessment for dumping should integrate
information on waste characteristics, conditions at the proposed dump-site(s),
fluxes, and proposed disposal techniques and specify the potential effects
on human health, living resources, amenities and other legitimate uses
of the sea. It should define the nature, temporal and spatial scales and
duration of expected impacts based on reasonably conservative assumptions.
14 An analysis of each disposal option should
be considered in the light of a comparative assessment of the following
concerns: human health risks, environmental costs, hazards (including accidents),
economics and exclusion of future uses. If this assessment reveals that
adequate information is not available to determine the likely effects of
the proposed disposal option then this option should not be considered
further. In addition, if the interpretation of the comparative assessment
shows the dumping option to be less preferable, a permit for dumping should
not be given.
15 Each assessment should conclude with a
statement supporting a decision to issue or refuse a permit for dumping.
16 Monitoring is used to verify that permit
conditions are met - compliance monitoring - and that the assumptions made
during the permit review and site selection process were correct and sufficient
to protect the environment and human health - field monitoring. It is essential
that such monitoring programs have clearly defined objectives.
PERMIT AND PERMIT CONDITIONS
17 A decision to issue a permit should only
be made if all impact evaluations are completed and the monitoring requirements
are determined. The provisions of the permit shall ensure, as far as practicable,
that environmental disturbance and detriment are minimized and the benefits
maximized. Any permit issued shall contain data and information specifying:
.1 the types and sources of materials to be
.2 the location of the dump-site(s);
.3 the method of dumping; and
.4 monitoring and reporting requirements.
18 Permits should be reviewed at regular intervals,
taking into account the results of monitoring and the objectives of monitoring
programs. Review of monitoring results will indicate whether field programs
need to be continued, revised or terminated and will contribute to informed
decisions regarding the continuance, modification or revocation of permits.
This provides an important feedback mechanism for the protection of human
health and the marine environment.
1 An Arbitral Tribunal (hereinafter referred
to as the "Tribunal") shall be established upon the request of a Contracting
Party addressed to another Contracting Party in application of Article
16 of this Protocol. The request for arbitration shall consist of a statement
of the case together with any supporting documents.
2 The requesting Contracting Party shall inform
the Secretary-General of:
.1 its request for arbitration; and
.2 the provisions of this Protocol the interpretation
or application of which is, in its opinion, the subject of disagreement.
3 The Secretary-General shall transmit this
information to all Contracting States.
1 The Tribunal shall consist of a single arbitrator
if so agreed between the parties to the dispute within 30 days from the
date of receipt of the request for arbitration.
2 In the case of the death, disability or
default of the arbitrator, the parties to a dispute may agree upon a replacement
within 30 days of such death, disability or default.
1 Where the parties to a dispute do not agree
upon a Tribunal in accordance with Article 2 of this Annex, the Tribunal
shall consist of three members:
.1 one arbitrator nominated by each party
to the dispute; and
.2 a third arbitrator who shall be nominated
by agreement between the two first named and who shall act as its Chairman.
2 If the Chairman of a Tribunal is not nominated
within 30 days of nomination of the second arbitrator, the parties to a
dispute shall, upon the request of one party, submit to the Secretary-General
within a period of 30 days an agreed list of qualified persons. The Secretary-General
shall select the Chairman from such list as soon as possible. He shall
not select a Chairman who is or has been a national of one party to the
dispute except with the consent of the other party to the dispute.
3 If one party to a dispute fails to nominate
an arbitrator as provided in paragraph 1.1 within 60 days from the date
of receipt of the request for arbitration, the other party may request
the submission to the Secretary-General within a period of 30 days of an
agreed list of qualified persons. The Secretary-General shall select the
Chairman of the Tribunal from such list as soon as possible. The Chairman
shall then request the party which has not nominated an arbitrator to do
so. If this party does not nominate an arbitrator within 15 days of such
request, the Secretary-General shall, upon request of the Chairman, nominate
the arbitrator from the agreed list of qualified persons.
4 In the case of the death, disability or
default of an arbitrator, the party to the dispute who nominated him shall
nominate a replacement within 30 days of such death, disability or default.
If the party does not nominate a replacement, the arbitration shall proceed
with the remaining arbitrators. In the case of the death, disability or
default of the Chairman, a replacement shall be nominated in accordance
with the provision of paragraphs 1.2 and 2 within 90 days of such death,
disability or default.
5 A list of arbitrators shall be maintained
by the Secretary-General and composed of qualified persons nominated by
the Contracting Parties. Each Contracting Party may designate for inclusion
in the list four persons who shall not necessarily be its nationals. If
the parties to the dispute have failed within the specified time limits
to submit to the Secretary-General an agreed list of qualified persons
as provided for in paragraphs 2, 3 and 4, the Secretary-General shall select
from the list maintained by him the arbitrator or arbitrators not yet nominated.
The Tribunal may hear and determine counter-claims
arising directly out of the subject matter of the dispute.
Each party to the dispute shall be responsible
for the costs entailed by the preparation of its own case. The remuneration
of the members of the Tribunal and of all general expenses incurred by
the arbitration shall be borne equally by the parties to the dispute. The
Tribunal shall keep a record of all its expenses and shall furnish a final
statement thereof to the parties.
Any Contracting Party which has an interest
of a legal nature which may be affected by the decision in the case may,
after giving written notice to the parties to the dispute which have originally
initiated the procedure, intervene in the arbitration procedure with the
consent of the Tribunal and at its own expense. Any such intervener shall
have the right to present evidence, briefs and oral argument on the matters
giving rise to its intervention, in accordance with procedures established
pursuant to Article 7 of this Annex, but shall have no rights with respect
to the composition of the Tribunal.
A Tribunal established under the provisions
of this Annex shall decide its own rules of procedure.
1 Unless a Tribunal consists of a single arbitrator,
decisions of the Tribunal as to its procedure, its place of meeting, and
any question related to the dispute laid before it, shall be taken by majority
vote of its members. However, the absence or abstention of any member of
the Tribunal who was nominated by a party to the dispute shall not constitute
an impediment to the Tribunal reaching a decision. In case of equal voting,
the vote of the Chairman shall be decisive.
2 The parties to the dispute shall facilitate
the work of the Tribunal and in particular shall, in accordance with their
legislation and using all means at their disposal:
.1 provide the Tribunal with all necessary
documents and information; and
.2 enable the Tribunal to enter their territory,
to hear witnesses or experts, and to visit the scene.
3 The failure of a party to the dispute to
comply with the provisions of paragraph 2 shall not preclude the Tribunal
from reaching a decision and rendering an award.
The Tribunal shall render its award within
five months from the time it is established unless it finds it necessary
to extend that time limit for a period not to exceed five months. The award
of the Tribunal shall be accompanied by a statement of reasons for the
decision. It shall be final and without appeal and shall be communicated
to the Secretary-General who shall inform the Contracting Parties. The
parties to the dispute shall immediately comply with the award.