1996 PROTOCOL TO THE CONVENTION ON THE PREVENTION OF MARINE POLLUTION BY DUMPING OF WASTES AND OTHER MATTER, 1972

THE CONTRACTING PARTIES TO THIS PROTOCOL,

STRESSING the need to protect the marine environment and to promote the sustainable use and conservation of marine resources,

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 co-operation 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 States,

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 generations,

HAVE AGREED as follows:

Article 1
DEFINITIONS

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, as amended.

2 «Organization» means the International Maritime Organization.

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 deliberate disposal.

.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 structures;

.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 (e.g., 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 destruction.

. 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 or 8.2.

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.

Article 2
OBJECTIVES

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.

Article 3
GENERAL OBLIGATIONS

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.

Article 4
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 alternatives.

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.

Article 5
INCINERATION AT SEA

Contracting Parties shall prohibit incineration at sea of wastes or other matter.

Article 6
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 at sea.

Article 7
INTERNAL WATERS

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 at sea.

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.

Article 8
EXCEPTIONS

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 or incineration at sea appears to be the only way of averting the threat and if there is every probability that the damage consequent upon such dumping or incineration at sea will be less than would otherwise occur. Such dumping or incineration at sea shall be conducted so as to minimize the likelihood of damage to human or marine life and shall be reported forthwith to the Organization.

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 18.1.6 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.

Article 9
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 relevant.

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.

Article 10
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; and

.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 co-operate 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.

Article 11
COMPLIANCE PROCEDURES

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 constructive manner.

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 co-operation to Contracting Parties and non-Contracting Parties.

Article 12
REGIONAL CO-OPERATION

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 co-operation 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 co-operate with the parties to regional agreements in order to develop harmonized procedures to be followed by Contracting Parties to the different conventions concerned.

Article 13
TECHNICAL CO-OPERATION AND ASSISTANCE

1 Contracting Parties shall, through collaboration within the Organization and in co-ordination 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 it for:

.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 national capabilities;

.2 advice on implementation of this Protocol;

.3 information and technical co-operation relating to waste minimization and clean production processes;

.4 information and technical co-operation 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 know-how, 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 functions:

.1 forward requests from Contracting Parties for technical co-operation to other Contracting Parties, taking into account such factors as technical capabilities;

.2 co-ordinate 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.

Article 14
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 programmes and their objectives; and

.3 the impacts observed from the monitoring and assessment conducted pursuant to article 9.1.3.

Article 15
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.

Article 16
SETTLEMENT OF DISPUTES

1 Any disputes regarding the interpretation or application of 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 concerned.

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.

Article 17
INTERNATIONAL CO-OPERATION

Contracting Parties shall promote the objectives of this Protocol within the competent international organizations.

Article 18
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 Protocol;

.4 promote co-operation 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 be required.

2 The Contracting Parties at their first Meeting shall establish rules of procedure as necessary.

Article 19
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 18.6.;

.5 conveying to the Contracting Parties concerned all notifications received by the Organization in accordance with this Protocol; and

.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 13.2.3.

.1 collaborate in assessments of the state of the marine environment; and

.2 co-operate with competent international organizations concerned with the prevention and control of pollution.

Article 20
ANNEXES

Annexes to this Protocol form an integral part of this Protocol.

Article 21
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.

Article 22
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 shall apply.

Article 23
RELATIONSHIP BETWEEN THE PROTOCOL AND THE CONVENTION

This Protocol will supersede the Convention as between Contracting Parties to this Protocol which are also Parties to the Convention.

Article 24
SIGNATURE, RATIFICATION, ACCEPTANCE, APPROVAL AND ACCESSION

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 State.

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 accession.

3 Ratification, acceptance, approval or accession shall be effected by the deposit of an instrument to that effect with the Secretary-General.

Article 25
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 1.1.

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.

Article 26
TRANSITIONAL PERIOD

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 matter.

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 is submitted.

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 programme and timetable to achieve full compliance with this Protocol, together with any requests for relevant technical co-operation 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 programmes 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.

Article 27
WITHDRAWAL

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.

Article 28
DEPOSITARY

1 This Protocol shall be deposited with the Secretary-General.

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 thereof;

.2 the date of entry into force of this Protocol; and

.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.

Article 29
AUTHENTIC TEXTS

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 Protocol1.

DONE AT LONDON, this seventh day of November, one thousand nine hundred and ninety-six.

ANNEX 1

WASTES OR OTHER MATTER THAT MAY BE CONSIDERED FOR DUMPING

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;

.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; and

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 22.

ANNEX 2

ASSESSMENT OF WASTES OR OTHER MATTER THAT MAY BE CONSIDERED FOR DUMPING

GENERAL

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 generated;

.2 details of the production process and the sources of wastes within that process; and

.3 feasibility of the following waste reduction/prevention techniques:

.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 prevention requirements.

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:

.1 re-use;

.2 off-site recycling;

.3 destruction of hazardous constituents;

.4 treatment to reduce or remove the hazardous constituents; and

.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 the alternatives.

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 composition;

.2 properties: physical, chemical, biochemical and biological;

.3 toxicity;

.4 persistence: physical, chemical and biological; and

.5 accumulation and biotransformation in biological materials or sediments.

ACTION LIST

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 (e.g., 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 prevention considerations.

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; and

.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.

DUMP-SITE SELECTION

11 Information required to select a dump-site shall include:

.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 environment; and

.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, i.e., 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.

MONITORING

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 programmes 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 dumped;

.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 programmes. Review of monitoring results will indicate whether field programmes 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.

ANNEX 3

ARBITRAL PROCEDURE

Article 1

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.

Article 2

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.

Article 3

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 further 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.

Article 4

The Tribunal may hear and determine counter-claims arising directly out of the subject matter of the dispute.

Article 5

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.

Article 6

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 intervenor 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.

Article 7

A Tribunal established under the provisions of this Annex shall decide its own rules of procedure.

Article 8

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.

Article 9

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.

2006 AMENDMET TO THE 1996 PROTOCOL TO THE CONVENTION ON THE PREVENTION OF MARINE POLLUTION BY DAMPING OF WASTES AND OTHER MATTER, 1972
Resolution LP.1(1))
ON THE AMENDMENT TO INCLUDE CO₂ SEQUESTRATION IN SUB-SEABED GEOLOGICAL FORMATIONS IN ANNEX 1 TO THE LONDON PROTOCOL
(adopted on 2 november 2006)

THE FIRST MEETING OF CONTRACTING PARTIES TO THE 1996 PROTOCOL TO THE CONVENTION ON THE PREVENTION OF MARINE POLLUTION BY DUMPING OF WASTES AND OTHER MATTER 1972,

RECALLING the objectives of the 1996 Protocol to the London Convention («London Protocol») that include the protection and preservation of the marine environment from all sources of pollution;

BEING SERIOUSLY CONCERNED by the implications for the marine environment of climate change and ocean acidification due to elevated concentrations of carbon dioxide in the atmosphere;

EMPHASIZING the need to further develop low carbon forms of energy;

CONSIDERING that carbon dioxide capture and sequestration is one of a portfolio of options to reduce levels of atmospheric carbon dioxide;

RECOGNIZING that carbon dioxide capture and sequestration represents an important interim solution;

RECOGNIZING ALSO that carbon dioxide capture and sequestration should not be considered as a substitute to other measures to reduce carbon dioxide emissions;

NOTING that regulating such action is within the scope of the London Protocol;

NOTING ALSO that, since the adoption of the London Protocol, developments in technology have made it possible to capture carbon dioxide from industrial and energy-related sources, transport it and inject it into sub-seabed geological formations for long-term isolation from the atmosphere;

NOTING FURTHER that this resolution is restricted solely to carbon dioxide sequestration in sub-seabed geological formations;

WELCOMING the work of the Consultative Meeting’s Intersessional Legal and Related Issues Working Group on CO₂ Sequestration and its conclusions, as set out in its report LC/CM-CO2 1/5;

WELCOMING ALSO the work of the Scientific Group’s Intersessional Technical Working Group on CO₂ Sequestration and its conclusions, as set out in its report LC/SG-CO₂ 1/7;

WELCOMING FURTHER the work of the Intergovernmental Panel on Climate Change and in particular its Special Report on Carbon Capture and Storage;

DESIRING to regulate the sequestration of captured carbon dioxide streams into sub-seabed geological formations to seek to ensure protection of the marine environment

DESIRING ALSO, to update the London Protocol in light of these objectives;

STRESSING that this amendment may not be interpreted as legitimizing the disposal of any other waste or other matter for the purpose of disposing of those other wastes or other matter;

RECOGNIZING that guidance informing Parties on the means by which sub-seabed geological sequestration of carbon dioxide can be conducted in a manner that is safe for the marine environment, over the long and short term, should be developed as soon as possible, and will, when finalized form an important part of the regulation of sub-seabed geological sequestration of carbon dioxide.

1 ADOPTS the following amendment to Annex 1 to the London Protocol, in accordance with Article 22 of the Protocol, as set out in the Annex to this resolution;

2 REQUESTS the Scientific Group of the London Protocol to develop specific guidance on the application of Annex 2 to the Protocol to carbon dioxide sequestration in sub-seabed geological formations for consideration, with a view to adopting it, at the 2nd Meeting of Contracting Parties, and to collaborate with the Scientific Group of the London Convention; and

3 INVITES Parties that issue permits to use, until specific guidance is completed, the best available guidance relevant to carbon dioxide sequestration in sub-seabed geological formations to ensure the protection of the marine environment, while also recognizing the requirements of Annex 2 to the London Protocol.

ANNEX

AMENDMENT TO ANNEX
1 TO THE LONDON PROTOCOL

1.8 Carbon dioxide streams from carbon dioxide capture processes for sequestration.

4 Carbon dioxide streams referred to in paragraph 1.8 may only be considered for dumping, if:

.1 disposal is into a sub-seabed geological formation; and

.2 they consist overwhelmingly of carbon dioxide. They may contain incidental associated substances derived from the source material and the capture and sequestration processes used; and

.3 no wastes or other matter are added for the purpose of disposing of those wastes or other matter.

In paragraph 3, replace «1.7» with «1.8», to take account of the new subparagraph 1.8.

2009 AMENDMET TO THE 1996 PROTOCOL TO THE CONVENTION ON THE PREVENTION OF MARINE POLLUTION BY DAMPING OF WASTES AND OTHER MATTER, 1972
Resolution LP.3(4))

ON THE AMENDMENT TO ARTICLE 6 OF THE LONDON PROTOCOL
(Adopted on 30 October 2009)

THE FOURTH MEETING OF CONTRACTING PARTIES TO THE 1996 PROTOCOL TO THE CONVENTION ON THE PREVENTION OF MARINE POLLUTION BY DUMPING OF WASTES AND OTHER MATTER, 1972

RECALLING the objectives of the 1996 Protocol to the London Convention («London Protocol») that include the protection and preservation of the marine environment from all sources of pollution;

REITERATING the serious concern regarding the implications for the marine environment of climate change and ocean acidification, as a result of elevated levels of carbon dioxide in the atmosphere;

WELCOMING the adoption and entry into force of the amendment to include the seqestration of carbon dioxide streams in sub-seabed geological foramtions in Annex 1 to the London Protocol, as set out in Resolution LP. 1(1);

RECALLING that Resolution LP.1(1) recognized that carbon dioxide capture and sequestration should not be considered as a substitute to other measures to reduce carbon dioxide emissions, but considered such sequestration as one of a portfolio of options to reduce levels of atmospheric carbon dioxide and as an important interim solution;

NOTING that not all countries have suitable sub-seabed geological foramtions for seqestration of carbon dioxide streams;

WELCOMING the work of the Legal and Technical Working Group on Transboundary CO₂ Sequestration Issues and its conclusions, as set out in its report LP/CO₂ 1/8;

WELCOMING FURTHER the work of the Intersessional Correspondence Group on Transboundary CO₂ Sequestration Issues and its conclusions, as set out in its report LC 31/5;

REITERATING the agreement of Contracting Parties in 2008 that London Protocol should not constitute a barrier to the transboundary movement of carbon dioxide streams to other countries for disposal as a measure to mitigate climate change and ocean acidification;

EMPHASIZING that this resolution should not be interpreted as legitimizing the export of any other waste or other matter to other countries for disposal;

EMPHASIZING ALSO that Contracting Parties should ensure that the long distance export of carbon dioxide streams between UN regions is reduced to the minimum consistent with the protection and preservation of the marine environment from all sources of pollution, taking into account the special position of developing countries;

STRESSING that the accountability for compliance with the provisions of the Protocol will rest with the Contracting Party in the case of export to non-Contracting Parties;

NOTING that the transboundary movement of carbon dioxide after injection (migration) is not export for dumping and therefore not prohibited by Article 6; and

STRESSING that management of shared formations is an important issue that should be addressed to ensure appropriate environmental protection;

1 ADOPTS the following amendment to Article 6 of the London Protocol, in accordance with Article 21 of the Protocol, as set out in the Annex to this resolution; and

2 INVITES the Scientific Group under the London Protocol in collaboration with the Scientific Group under the London Convention to consider the need for amendments to the Specific Guidelines for Assessment of Carbon Dioxide Streams for Disposal into Sub-seabed Geological Formations, to provide further specific guidance in cases of export of such streams to other countries for disposal and issues related to the management of transboundary movement of carbon dioxide after injection.

ANNEX

AMENDMENT
TO ARTICLE 6 OF THE LONDON PROTOCOL

Add «1» before: Contracting Parties shall not allow the export of wastes or other matter to other countries for dumping or incineration at sea.

Add a new paragraph 2 as follows:

«2 Notwithstanding paragraph 1, the export of carbon dioxide streams for disposal in accordance with annex 1 may occur, provided that an agreement or arrangement has been entered into by the countries concerned. Such an agreement or arrangement shall include:

.1 confirmation and allocation of permitting responsibilities between the exporting and receiving countries, consistent with the provisions of this Protocol and other applicable international law; and

.2 in the case of export to non-Contracting Parties, provisions at a minimum equivalent to those contained in this Protocol, including those relating to the issuance of permits and permit conditions for complying with the provisions of annex 2, to ensure that the agreement or arrangement does not derogate from the obligations of Contracting Parties under this Protocol to protect and preserve the marine environment.

A Contracting Party entering into such an agreement or arrangement shall notify it to the Organization.»

2013 AMENDMENT TO THE 1996 PROTOCOL TO
THE CONVENTION ON PREVENTION OF MARINE
POLLUTION BY DAMPING OF WASTES AND OTHER METTER, 1972
Resolution LP.4(8)

ON THE AMENDMENT TO THE LONDON PROTOCOL TO REGULATE THE PLACEMENT OF MATTER FOR OCEAN FERTILIZATION AND OTHER MARINE GEOENGINEERING ACTIVITIES
(Adopted on 18 October 2013.)

THE EIGHTH MEETING OF CONTRACTING PARTIES TO THE 1996 PROTOCOL TO THE CONVENTION ON THE PREVENTION OF MARINE POLLUTION BY DUMPING OF WASTES AND OTHER MATTER 1972,

RECALLING the objectives of the 1996 Protocol to the London Convention («London Protocol») that include the protection and preservation of the marine environment from all sources of pollution,

RECALLING that, in implementing the London Protocol, Contracting Parties are obliged to apply a precautionary approach to environmental protection,

RECOGNIZING the importance of the conservation and sustainable use of the ocean and seas adnof their resources for sustainable development and that oceans, seas adn coastals areas form an integrated and essential component of the Earth’s ecosystem adn are critical to sustaining it,

NOTING the ongoing work on geoengineering within the context of the Intergovernmental Panel on Climate Change (IPCC) and the relevant parts of the IPCC Fifth Assessment Report as well as the outcomes of the IPCC expert meeting on geoengineering (Lima, Peru, 2011),

NOTING United Nations General Assembly resolution A/RES/67/78 on «Oceans and the law of the sea» which recalled the importance of marine scientific research for understanding and conserving the world’s marine environment and resources; and United Nations General Assembly resolution 62/215, concerning «Oceans and the law of the sea», adopted on 22 December 2007, which in its paragraph 98 «encourages States to support the further study and enhance understanding of ocean iron fertilization»,

RECALLING resolution LC-LP.1(2008) that agreed the scope of the London Convention and the London Protocol includes ocean fertilization activities,

REITERATING ongoing concerns about the potential environmental impacts of ocean fertilization and noting the concerns about ocean fertilization expressed by, inter alia, the United Nations General Assembly, the United Nations Conference on Sustainable Development, the Conference of the Parties to the Convention on Biological Diversity and the Intergovernmental Oceanographic Commission of UNESCO,

RECALLING resolution LC-LP.2(2010) which affirmed that the London Convention and the London Protocol should continue to work towards providing a global, transparent and effective control and regulatory mechanism for ocean fertilization and other activities that fall within the scope of the London Convention and the London Protocol and have the potential to cause harm to the marine environment,

CONCERNED about the potential widespread, long-lasting or severe impacts on the marine environment of the placement of matter from unregulated ocean fertilization activities and other proposed marine geoengineering techniques, and determined to put in place a science based, global, transparent and effective control and regulatory mechanism for such activities,

NOTING decisions X/33 and XI/20 of the Conference of the Parties to the Convention on Biological Diversity which invited Parties to ensure, in accordance with the precautionary approach, that no climate-related geoengineering activities take place «in the absence of science based, global, transparent and effective control and regulatory mechanisms for geoengineering and that the Eleventh Conference of the Parties to the Convention on Biological Diversity concluded «that there is no single geoengineering approach that currently meets basic criteria for effectiveness, safety and affordability and that approaches may prove difficult to deploy or govern»,

EMPHASIZING that ocean fertilization and other types of marine geoengineering should not be considered as a substitute for mitigation measures to reduce carbon dioxide emissions,

1 ADOPTS the following amendments to the London Protocol, in accordance with Article 21 of the Protocol, as set out in the annex to this resolution;

2 REAFFIRMS that resolutions LC-LP.1(2008) and LC-LP.2(2010) continue to apply for all Contracting Parties, pending the entry into force of the amendments to the London Protocol set out in the annex to this resolution for those Contracting Parties that accept them;

3 CONFIRMS that the Assessment Framework for Scientific Research involving Ocean Fertilization adopted by the Contracting Parties to the London Convention and the London Protocol in 2010 is the relevant specific assessment framework referred to in annex 4 for ocean fertilization and should continue to be used to determine, with utmost caution, whether a proposed ocean fertilization activity constitutes legitimate scientific research that is not contrary to the aims of the London Protocol;

4 REAFFIRMS that new and relevant scientific information and knowledge on ocean fertilization and other marine geoengineering activities should continue to be reviewed by the Contracting Parties to the London Protocol in the context of the amendments; and

5 DECIDES that the Contracting Parties to the London Protocol should continue to develop guidance for listing additional marine geoengineering[1](See also explanatory text in the Report of the Meeting of Contracting Parties, paragraph 4.12.) activities in annex 4 that includes a multi-stakeholder approach consistent with article 21;

6 DECIDES ALSO that Contracting Parties to the London Protocol should undertake further work to develop the arrangements for seeking independent expert advice referred to in paragraph 12 of annex 5.

ANNEX

AMENDMENTS TO ARTICLE 1 AND NEW ARTICLE 6BIS AND NEW ANNEXES 4 AND 5

Article 1
DEFINITIONS

Add new paragraph, as follows:

«5bis «Marine geoengineering» means a deliberate intervention in the marine environment to manipulate natural processes, including to counteract anthropogenic climate change and/or its impacts, and that has the potential to result in deleterious effects, especially where those effects may be widespread, long lasting or severe.»

Add new article, as follows:

«Article 6bis
MARINE GEOENGINEERING ACTIVITIES

1 Contracting Parties shall not allow the placement of matter into the sea from vessels, aircraft, platforms or other man-made structures at sea for marine geoengineering activities listed in annex 4, unless the listing provides that the activity or the subcategory of an activity may be authorized under a permit.

2 Contracting Parties shall adopt administrative or legislative measures to ensure that the issuance of permits and permit conditions comply with provisions of annex 5 and takes into account any Specific Assessment Framework developed for an activity and adopted by the Meeting of the Contracting Parties. A permit shall only be issued after the activity has undergone assessment which has determined that pollution of the marine environment from the proposed activity is, as far as practicable, prevented or reduced to a minimum. A permit shall only be issued if the outcome of the assessment is that the activity is not contrary to the aims of the Protocol.

3 Article 4 does not apply to activities listed in annex 4.»

Add new annex, as follows:

«ANNEX 4

MARINE GEOENGINEERING ACTIVITIES

1 OCEAN FERTILIZATION

.1 Ocean fertilization is any activity undertaken by humans with the principal intention of stimulating primary productivity in the oceans. Ocean fertilization does not include conventional aquaculture, or mariculture, or the creation of artificial reefs.

.2 All ocean fertilization activities other than those referred to in paragraph.3 shall not be permitted.

.3 An ocean fertilization activity may only be considered for a permit if it is assessed as constituting legitimate scientific research taking into account any specific placement assessment framework.»

Add new annex, as follows:

«ANNEX 5

ASSESSMENT FRAMEWORK FOR MATTER THAT MAY BE CONSIDERED FOR PLACEMENT UNDER ANNEX 4

GENERAL

1 The purpose of this Framework is:

.1 to assess placement activities listed in annex 4; and

.2 to be the basis for developing Specific Assessment Frameworks for placement activities listed in annex 4.

2 Specific Assessment Frameworks developed for placement activities listed in annex 4 shall meet the requirements of this annex and may provide further guidance for assessing and issuing permits.

3 Parties meeting the terms of any Specific Assessment Framework that has been adopted by the Parties shall be deemed to be in compliance with this annex.

DESCRIPTION OF ACTIVITY

4 It first has to be determined whether the proposed activity is an activity covered by the listing in annex 4 and may be permitted in accordance with that annex. The determination requires a full description of the proposed placement activity, including its purpose and covering all stages. It furthermore requires a description of both the working practices during the different stages and the wastes produced (if any) in the relevant stage.

5 The proposal shall demonstrate that:

• the proposed activity is for a purpose other than mere disposal;

• it is designed to fulfil its purpose;

• the rationale, goals, methods, scale, timings and locations as well as predicted benefits and risks are stated as a clear justification for the proposal;

• the proposed activity has the financial resources available to fulfil the programme of work before it commences.

6 A detailed description and characterization of the placement and all its constituents is an essential precondition for the assessment of the proposed activity and the basis for a decision as to whether a permit may be issued. If the proposed activity is so poorly characterized that proper assessment cannot be made a permit shall not be issued.

Marine Scientific Research related to Marine Geoengineering

7 Potential marine geoengineering techniques may require specific marine scientific research in order to, inter alia:

• better understand the natural processes which will be affected;

• understand their potential impacts on the marine environment;

• understand their potential efficacy for geoengineering purposes; and

• be able to effectively apply the assessment framework(s) to proposals for marine geoengineering

8 In case of such a specific marine scientific research activity, the following considerations apply:

• the proposed activity is designed to answer questions that will add to scientific knowledge. Proposals should state their rationale, research goals, scientific hypotheses and methods, scale, timings, duration and locations with clear justification for why the expected outcomes cannot reasonably be achieved by other methods.

• the research methodology to be applied should be appropriate and based on best available scientific knowledge and technology. The methodology should be described in sufficient detail to allow a peer review.

• the proposed activity is subject to scientific peer review at appropriate stages in the assessment process.

• economic interests do not influence the design, conduct and/or outcomes of the proposed activity. There should not be any financial and/or economic gain arising directly from the experiment or its outcomes. This does not preclude payment for services rendered in support of the experiment or future financial impacts of patented technology.

• the proponents of the proposed activity make a commitment to publish the results in peer reviewed scientific publications and include a plan in the proposal to make the data and outcomes publicly available in an appropriate and specified time frame.

• the proposed activity has the financial resources available before the work commences to fulfil the program of work.

9 Paragraphs 4 and 6 above also apply to marine scientific research.

CONSULTATION

10 Where the placement activity proposed for consideration by a Contracting Party may have any effect in any area of the sea in which another State is entitled to exercise jurisdiction in accordance with international law or in any area of the sea beyond the jurisdiction of any State, potentially affected countries and relevant regional intergovernmental agreements and arrangements should be identified and notified and a plan should be developed for ongoing consultations on the potential impacts, and to encourage scientific cooperation.

11 Contracting Parties should encourage proponents of listed activities to initiate early consultations with stakeholders so that they can address any issues prior to submitting proposals. Contracting Parties shall establish a consultation process with all relevant stakeholders nationally or internationally when a proposal is submitted. This consultation process shall be carried out during the assessment process and before a final permit decision is made. Consent should be sought from all countries with jurisdiction or interests in the region of potential impact without prejudice to international law. Where the placement activity has the potential to have any effects on an area subject to a regional intergovernmental agreement or arrangement, the process should include consultation with the relevant regional organization, with a view to ensuring consistency with applicable regional objectives and requirements.

12 Contracting Parties should consider any advice on proposals for activities listed in annex 4 from independent international experts or an independent international advisory group of experts, especially in situations where paragraph 10 applies. The advice could address scientific, technical, social or economic aspects of the proposal. It shall, as appropriate, include a peer review of the information and data provided by the proponent with regard to its scientific and technical quality. In situations where paragraph 10 applies, potentially affected countries could seek such advice from independent international experts or an independent international advisory group of experts.

INFORMATION FOR ASSESSMENT

13 A common set of information is required for each of the assessment elements of the framework below, namely:

• Placement site selection

• Assessment of matter to be placed into the marine environment

• Assessment of potential effects including the Impact Hypothesis

• Risk management

• Monitoring including the environmental baseline

PLACEMENT SITE SELECTION

14 In order to address placement site selection, Contracting Parties shall require the following information, as appropriate, to evaluate and to justify the selection of the site(s):

• the physical, geological, chemical, and biological conditions at the proposed site and the area of potential impact, and the uncertainties in these conditions in relation to the proposed activity;

• the impact on amenities, values and other uses of the sea at the proposed site and in the area of potential impacts;

• any constituent fluxes associated with the activity in relation to existing fluxes of substances in the marine environment; and

• economic and operational feasibility.

ASSESSMENT OF MATTER TO BE PLACED INTO
THE MARINE ENVIRONMENT

15 Characterization and assessment of matter proposed to be placed into the marine environment, including its constituents shall take into account as appropriate:

.1 origin, total amount, form and average composition and fate;

.2 properties: physical, chemical, biochemical and biological;

.3 toxicity;

.4 persistence: physical, chemical and biological; and

.5 accumulation and biotransformation in biological materials or sediments.

ASSESSMENT OF POTENTIAL EFFECTS

16 Assessment of potential effects shall lead to the «Impact Hypothesis», a concise statement of the expected consequences of the placement activity within the area of the activity and within the area of potential impacts, including transboundary effects. It provides a basis for deciding whether to approve, reject or suggest revisions to the proposed placement activity and for defining risk management and mitigation measures and environmental monitoring requirements.

17 The assessment of potential effects should integrate information on the characteristics of the proposed placement activity, conditions at the proposed site(s), any relevant fluxes, and any proposed construction techniques. The assessment shall specify the potential effects on human health, on marine ecosystem structure and dynamics including sensitivity of species, populations, communities, habitats and processes, amenities and other legitimate uses of the sea. It shall define the nature, temporal and spatial scales and duration of expected impacts based on reasonably conservative assumptions.

18 An analysis of the proposed placement activity should be considered in the light of an assessment of the following concerns: human health risks, environmental costs, hazards, (including accidents), economics and exclusion of future uses. Cumulative impacts from repeated activities or from other activities may also be a relevant consideration. If this assessment reveals that adequate information is not available to determine the likely effects of the proposed placement activity then this activity shall not be considered further.

19 Each assessment of potential effects shall conclude with a statement supporting a decision to approve, reject or suggest revisions to a proposed placement activity.

RISK MANAGEMENT

20 Risk Management procedures are necessary to ensure that, as far as practicable, environmental risks are minimized, inter alia, through mitigation and contingency planning, and the benefits maximized and that a precautionary approach is applied.

21 Strategies to manage or mitigate risks need to be appropriate for the risks under consideration. They may be imposed as additional conditions by a Contracting Party or included as an intrinsic part of the proposal. The strategies may include temporal, spatial or operational restrictions.

22 Contingency planning will also need to be considered for responding to monitoring in cases where the Impact Hypothesis is found to be incorrect. This may include the cessation of placement activities.

MONITORING

23 A well-designed monitoring regime is necessary and should consider both short and long-term impacts and, where possible, determine whether the activity has achieved its purpose.

24 The purpose of monitoring is 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 programmes have clearly defined objectives. The type, frequency and extent of monitoring will depend on the Impact Hypothesis as well as on predicted local and regional consequences.

25 Monitoring is also used to determine the area of impact and to ascertain that changes are within the range of those predicted. The establishment of baseline conditions prior to a placement activity as well as monitoring of control sites is essential for ongoing monitoring and the detection of any impacts beyond those predicted.

PERMIT AND PERMIT CONDITIONS

26 A decision to issue a permit shall only be made if:

.1 the assessment has been satisfactorily completed and has shown that the proposed activity is an activity covered by the listing in annex 4 and may be permitted in accordance with that annex;

.2 the activity is designed to fulfil its purpose. It has to be demonstrated that the proposed activity has the financial resources available before it commences to fulfil the programme of work including any permit conditions requiring e.g. mitigation, contingency planning and monitoring;

.3 all impact evaluations are satisfactorily completed;

.4 the risk management and monitoring requirements have been determined;

.5 conditions are in place to ensure that, as far as practicable, environmental disturbance and detriment would be minimized and the benefits maximized;

.6 the consultation requirements are fulfilled pursuant to paragraphs 10, 11 and 12;

.7 it is determined that pollution of the marine environment from the proposed activity is, as far as practicable, prevented or reduced to a minimum, therefore not contrary to the aims of the Protocol.

27 In case that adequate information is not available to make the determinations in paragraph 26, the permitting authority shall request additional information before taking a decision or shall not issue a permit.

28 The provisions of the permit shall ensure, as far as practicable, that risks for human health and the marine environment are avoided, environmental disturbance and detriment are minimized and the benefits maximized. Any permit issued shall contain conditions specifying among others:

.1 the types and sources of matter to be placed;

.2 the location of the placement site(s);

.3 the methods to be used in achieving the placement activity;

.4 risk management, monitoring and reporting requirements; and

.5 removal and/or disposal/reuse/recycling of items, as appropriate, at the end of placement activity.

29 Permits should be reviewed at regular intervals, taking into account the results of monitoring, the objectives of monitoring programmes and relevant research. Review of monitoring results will indicate whether field programmes need to be continued, revised or terminated and will contribute to informed decisions regarding the continuance, modification or revocation of permits. Monitoring provides an important feedback mechanism into future permitting decisions for the protection of human health and the marine environment.

REPORTING

30 The outcomes of any assessment and documentation of any permit issued shall be reported to the Secretariat and shall be made publicly available at or shortly after the time the decision is made. The Secretariat should then inform Contracting Parties.»

CONSEQUENTIAL AMENDMENTS

Consequential amendments are shown, as follows:

Article 1.9 of the Protocol is amended as follows: «Permit» means permission granted in advance and in accordance with relevant measures adopted pursuant to article 4.1.2, 6bis or 8.2

Article 3.1 of the Protocol is amended as follows: «In implementing this Protocol, Contracting Parties shall apply a precautionary approach to environmental protection from dumping of wastes or other matter or from placement of matter for marine geoengineering activities which may be considered for permits according to annex 4».

Article 9.1.2 of the Protocol is amended as follows: «keep records of the nature and quantities of waste or other matter for which dumping permits have been issued and where practicable the quantities actually dumped, or placed in accordance with article 6bis, and the location, time and method of dumping or placement; and»

Article 9.2 of the Protocol is amended as follows: «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 6bis, placement or, as provided for in article 8.2, incineration at sea:»

Article 9.3 of the Protocol is amended as follows: «In issuing permits, the appropriate authority or authorities shall comply with the requirements of article 4 and article 6bis, together with such additional criteria, measures and requirements as they may consider relevant.»

Article 10.1.2 of the Protocol is amended as follows: «vessels and aircraft loading in its territory the wastes or other matter which are to be dumped, or incinerated, or placed in accordance with article 6bis, at sea; and»

Article 10.1.3 of the Protocol is amended as follows: «vessels, aircraft and platforms or other man-made structures believed to be engaged in dumping, or incineration, or placement in accordance with article 6bis, at sea in areas within which it is entitled to exercise jurisdiction in accordance with international law.»

Article 13.1 of the Protocol is amended as follows: «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 or placement of matter for marine geoengineering activities as provided for in this Protocol to those Contracting Parties that request it…».

Article 18.1 of the Protocol is amended as follows: «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, or placement in accordance with article 6bis, at sea of wastes or other matter. To these ends, Meetings of Contracting Parties or Special Meetings of Contracting Parties may:»

2022 AMENDMET TO THE 1996 PROTOCOL TO THE CONVENTION ON THE PREVENTION OF MARINE
POLLUTION BY DAMPING OF WASTES AND OTHER MATTER, 1972
Resolution LP.6(17)

ON AMENDMENTS TO ANNEXES 1 AND 2 TO THE
LONDON PROTOCOL TO REMOVE SEWAGE SLUDGE FROM THE LIST AND ASSESSMENT OF WASTES OR OTHER MATTER THAT MAY BE CONSIDERED FOR DUMPING
(Adopted on 7 October 2022)

THE SEVENTEENTH MEETING OF CONTRACTING PARTIES TO THE 1996 PROTOCOL TO THE CONVENTION ON THE PREVENTION OF MARINE POLLUTION BY DUMPING OF WASTES AND OTHER MATTER, 1972

RECALLING the objectives of the 1996 Protocol to the London Convention («London Protocol») that include the protection and preservation of the marine environment from all sources of pollution;

RECALLING ALSO the agreement by the sixteenth Meeting of Contracting Parties that there was sufficient evidence and justification for amending Annex 1 to remove sewage sludge from the list of permissible wastes;

CONFIRMS that Contracting Parties shall not issue new permits for dumping of sewage sludge after the entry into force of the amendment;

DECIDES that Contracting Parties with active permits which have been issued may maintain those permits until the expiry date, but not later than 31 May 2027;

CLARIFIES that sewage sludge previously being dumped at sea would not be diverted to alternative ocean placement activities;

ENCOURAGES the sharing of best practices for the management of this waste on land to assist with any necessary transition;

ADOPTS the following amendments to the Annexes to the London Protocol, in accordance with article 22 of the Protocol, as set out in the annex to this resolution.

ANNEX

AMENDMENTS TO ANNEX 1 TO THE LONDON PROTOCOL PARAGRAPH 1

Delete sub-paragraph 1.2, as follows:

.2 sewage sludge;

Renumber the subsequent sub-paragraphs of paragraph 1.

CONSEQUENTIAL AMENDMENT TO
ANNEX 2 TO THE LONDON PROTOCOL

PARAGRAPH 4

Delete «sewage sludge» as follows:

4 «For dredged material and sewage sludge, the goal of waste management should beto 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.»