ROTTERDAM CONVENTION

鹿特丹公约

on the Prior Informed Consent Procedure for Certain Hazardous Chemicals and Pesticides in International Trade

关于在国际贸易中对某些 危险化学品和农药 采用事先知情同意程序的鹿特丹公约

TEXT and ANNEXES

正文和附件

(Revised in 2011)

(于2011年修订)

Published by the Secretariat of the Rotterdam Convention on the Prior Informed Consent Procedure for Certain Hazardous Chemicals and Pesticides in International Trade.

由关于在国际贸易中对某些危险化学品和农药采用事先知情同意程序的鹿特丹公约秘书处出版。

This booklet is published for information only. It does not substitute the original authentic texts of the Rotterdam Convention and amendments thereto as deposited with the Secretary-General of the United Nations acting as the Depository of the Convention.

本简册仅作为资料性文件发表；不得以之取代那些业已交存作为《公约》保存人的联合国秘书长的正本作准文本及随后对之作出的各项修正。

For further information please contact the Secretariat at one of the following addresses:

如需获得进一步资料，请按下列任一联系地址与秘书处接洽：

Introduction

导言

The dramatic growth in chemicals production and trade during the past three decades has raised both public and official concern about the potential risks posed by hazardous chemicals and pesticides.

过去30年来，随着化学品生产和贸易出现大幅激增，广大公众和政府对危险化学品和农药可能造成的各种危害日趋关注。

Countries lacking adequate infrastructure to monitor the import and use of these chemicals are particularly vulnerable.

那些缺乏适足的基础设施来监视这些化学品的进口和使用情况的国家尤其易于因此而受到损害。

In response to these concerns, the United Nations Environment Programme (UNEP) and the Food and Agriculture Organization of the United Nations (FAO) started developing and promoting voluntary information-exchange programmes in the mid 1980’s.

鉴于各方对此事项极为关注，联合国环境规划署(环境署)与联合国粮食及农业组织(粮农组织)自80年代中期开始订立和推动实施自愿性信息交流方案。

FAO launched its International Code of Conduct on the Distribution and Use of Pesticides in 1985 and UNEP set up the London Guidelines for the Exchange of Information on Chemicals in International Trade in 1987.

粮农组织于1985年发表了《国际农药供销与使用行为守则》；环境署则于1987年订立了《关于国际贸易中化学品资料交流的伦敦准则》。

Soon after, the two organizations jointly introduced the 1989 Prior Informed Consent (PIC) procedure.

其后不久，这两个组织共同订立了1989年事先知情同意(知情同意)程序，并联合实施了这一知情同意方案。

Jointly implemented by FAO and UNEP this programme has helped to ensure that governments have the information they need about hazardous chemicals for assessing risks and taking informed decisions on chemical imports.

各国政府在这一方案的协助下获得了它们所需要的、关于危险化学品的资料，以便进行危害评估，并在此基础上就化学品的进口作出知情的决定。

Seeing the need for mandatory controls, officials attending the 1992 Rio Summit adopted Chapter 19 of Agenda 21, which called for the adoption of a legally binding instrument on the PIC procedure by the year 2000.

鉴于需要采用强制性的控制措施，出席1992年里约地球首脑会议的官员们通过了《21世纪议程》第19章，其中呼吁在2000年前通过关于采用知情同意程序的具有法律约束力的文书。

Consequently, the FAO Council (in 1994) and the UNEP Governing Council (in 1995) mandated their executive heads to launch negotiations which lead to the finalization of the text of the Convention on the Prior Informed Consent Procedure for Certain Hazardous Chemicals in International Trade in March 1998.

为此，粮农组织理事会(于1994年)和环境署理事会(于1995年)授权其各自组织的行政首长着手发起谈判。 谈判最终于1998年确定了《关于在国际贸易中对某些危险化学品和农药采用事先知情同意程序的公约》的案文。

The Convention was adopted and opened for signature at a Conference of Plenipotentiaries in Rotterdam on 10 September 1998 and entered into force on 24 February 2004.

本《公约》在1998年9月10日于鹿特丹举行的一次全权代表会议上通过并开放供签署，并于2004年2月24日正式生效。

The first Conference of the Parties to the Rotterdam Convention (COP-1) was held in September 2004 resulting in the addition of 14 chemicals to Annex III (decision RC-1/3) and the adoption of Annex VI on arbitration and conciliation (decision RC-1/11).

《鹿特丹公约》缔约方大会第一届会议于2004年9月举行；会议商定在附件III中增列14种化学品(RC-1/3号决定)，并通过了有关仲裁和调解内容的附件VI(RC-1/11号决定)。

The amendments to Annex III entered into force on 1 February 2005, except the deletion of the existing entries for certain severely hazardous formulations of Monocrotophos and Parathion that entered into force on 1 January 2006.

对附件III的各项修正案于2005年2月1日开始生效，但那些订于2006年1月1日开始生效的、关于从中删除久效磷和对硫磷某些极为危险制剂的现有条目的内容不在此列。

Annex VI, as communicated to all Parties by the Depositary, entered into force on 11 January 2006 in accordance with paragraph 3 of Article 22 of the Convention.

保存人已就附件VI向所有缔约方作了通报，依照《公约》第22条第3款的规定，于2006年1月11日生效。

The fourth Conference of the Parties (COP-4) was held in October 2008 resulting in the addition of one chemical (all tributyltin compounds) to Annex III (decision RC-4/5).

缔约方大会第四届会议于2008年10月举行；会议商定在附件III中增列1种化学品(所有三丁基锡化合物)(RC-4/5号决定)。

This amendment to Annex III entered into force on 1 February 2009.

该项附件III修正案于2009年2月1日生效。

The fifth Conference of the Parties (COP-5) was held in June 2011 resulting in the addition of three chemicals (alachlor, aldicarb and endosulfan) to Annex III (decisions RC-5/3, RC-5/4 and RC-5/5).

缔约方大会第五届会议于2011年6月举行；会议商定在附件III中增列3种化学品(甲草胺，涕灭威，硫丹)(RC-5/3，RC5/4和RC5/5号决定)。

These amendments to Annex III entered into force on 24 October 2011.

该项附件III修正案于2011年10月24日生效。

FAO and UNEP jointly perform the Secretariat functions for the Rotterdam Convention.

粮农组织和环境署联合履行《鹿特丹公约》秘书处职能。

Should you wish to obtain additional information about the Rotterdam Convention, please consult the website at www.pic.int.

如需获得有关《鹿特丹公约》的其他资料，请查阅网页：www.pic.int。

ROTTERDAM CONVENTION ON THE PRIOR INFORMED CONSENT PROCEDURE FOR CERTAIN HAZARDOUS CHEMICALS AND PESTICIDES IN INTERNATIONAL TRADE

关于在国际贸易中对某些危险化学品和 农药采用事先知情同意程序的鹿特丹公约

The Parties to this Convention,

本公约缔约方，

Aware of the harmful impact on human health and the environment from certain hazardous chemicals and pesticides in international trade,

意识到国际贸易中的某些危险化学品和农药对人类健康和环境具有有害影响，

Recalling the pertinent provisions of the Rio Declaration on Environment and Development and chapter 19 of Agenda 21 on "Environmentally sound management of toxic chemicals, including prevention of illegal international traffic in toxic and dangerous products",

忆及《关于环境与发展的里约热内卢宣言》和《21世纪议程》关于“有毒化学品的无害环境管理，包括防止在国际上非法贩运有毒和危险产品”的第19章的有关规定，

Mindful of the work undertaken by the United Nations Environment Programme (UNEP) and the Food and Agriculture Organization of the United Nations (FAO) in the operation of the voluntary Prior Informed Consent procedure, as set out in the UNEP Amended London Guidelines for the Exchange of Information on Chemicals in International Trade (hereinafter referred to as the "Amended London Guidelines") and the FAO International Code of Conduct on the Distribution and Use of Pesticides (hereinafter referred to as the "International Code of Conduct"),

铭记联合国环境规划署(环境署)和联合国粮食及农业组织(粮农组织)在实施环境署《经修正的关于化学品国际贸易资料交流的伦敦准则》(以下简称“经修正的伦敦准则”)和粮农组织的《农药的销售与使用国际行为守则》(以下简称“国际行为守则”)中规定的自愿性事先知情同意程序方面所开展的工作，

Taking into account the circumstances and particular requirements of developing countries and countries with economies in transition, in particular the need to strengthen national capabilities and capacities for the management of chemicals, including transfer of technology, providing financial and technical assistance and promoting cooperation among the Parties,

考虑到发展中国家和经济转型国家的具体情况和特殊需要，特别是有必要加强管理化学品的国家能力和力量，包括技术转让，提供财务和技术援助以及推动缔约方之间的合作，

Noting the specific needs of some countries for information on transit movements,

注意到一些国家对有关过境转移资料的特殊需求，

Recognizing that good management practices for chemicals should be promoted in all countries, taking into account, inter alia, the voluntary standards laid down in the International Code of Conduct and the UNEP Code of Ethics on the International Trade in Chemicals,

认识到应在所有国家推动采用良好的化学品管理做法，特别是顾及《国际行为守则》和环境署的《国际化学品贸易道德守则》中制定的自愿标准，

Desiring to ensure that hazardous chemicals that are exported from their territory are packaged and labelled in a manner that is adequately protective of human health and the environment, consistent with the principles of the Amended London Guidelines and the International Code of Conduct,

希望根据《经修正的伦敦准则》和《国际行为守则》中的原则，确保从其境内输出的危险化学品以能充分保护人类健康和环境的方式加以包装和张贴标签，

Recognizing that trade and environmental policies should be mutually supportive with a view to achieving sustainable development,

认识到贸易和环境政策应相辅相成，以实现可持续发展，

Emphasizing that nothing in this Convention shall be interpreted as implying in any way a change in the rights and obligations of a Party under any existing international agreement applying to chemicals in international trade or to environmental protection,

强调不得将本公约的任何规定理解为缔约方根据适用于化学品国际贸易或环境保护的任何现行国际协定所享有的权利和所承担的义务有任何改变，

Understanding that the above recital is not intended to create a hierarchy between this Convention and other international agreements,

认为以上陈述无意在本公约与其它国际协定之间建立一个等级体系，

Determined to protect human health, including the health of consumers and workers, and the environment against potentially harmful impacts from certain hazardous chemicals and pesticides in international trade,

决心保护包括消费者和工人健康在内的人类健康和环境免受国际贸易中某些危险化学品和农药的潜在有害影响，

Have agreed as follows:

兹协议如下：

Article 1

第1条

Objective

目 标

The objective of this Convention is to promote shared responsibility and cooperative efforts among Parties in the international trade of certain hazardous chemicals in order to protect human health and the environment from potential harm and to contribute to their environmentally sound use, by facilitating information exchange about their characteristics, by providing for a national decision-making process on their import and export and by disseminating these decisions to Parties.

本公约的目标是通过便利就国际贸易中的某些危险化学品的特性进行资料交流、为此类化学品的进出口规定一套国家决策程序并将这些决定通知缔约方，以促进缔约方在此类化学品的国际贸易中分担责任和开展合作，保护人类健康和环境免受此类化学品可能造成的危害，并推动以无害环境的方式加以使用。

Article 2

第2条

Definitions

定 义

For the purposes of this Convention:

为本公约的目的：

(a) "Chemical" means a substance whether by itself or in a mixture or preparation and whether manufactured or obtained from nature, but does not include any living organism.

(a) “化学品”是指一种物质，无论是该物质本身还是其混合物或制剂的一部分，无论是人工制造的还是取自大自然的，但不包括任何生物体。

It consists of the following categories: pesticide (including severely hazardous pesticide formulations) and industrial;

它由以下类别组成：农药(包括极为危险的农药制剂)和工业用化学品；

(b) "Banned chemical" means a chemical all uses of which within one or more categories have been prohibited by final regulatory action, in order to protect human health or the environment.

(b) “禁用化学品”是指为保护人类健康或环境而采取最后管制行动禁止其在一种或多种类别中的所有用途的化学品。

It includes a chemical that has been refused approval for first-time use or has been withdrawn by industry either from the domestic market or from further consideration in the domestic approval process and where there is clear evidence that such action has been taken in order to protect human health or the environment;

它包括首次使用即未能获得批准或者已由工业界从国内市场上撤回或在国内审批过程中撤销对其作进一步审议 、且有明确证据表明采取此种行动是为了保护人类健康或环境的化学品；

(c) "Severely restricted chemical" means a chemical virtually all use of which within one or more categories has been prohibited by final regulatory action in order to protect human health or the environment, but for which certain specific uses remain allowed.

(c) “严格限用化学品”是指为保护人类健康或环境而采取最后管制行动禁止其在一种或多种类别中的几乎所有用途、但其某些特定用途仍获批准的化学品。

It includes a chemical that has, for virtually all use, been refused for approval or been withdrawn by industry either from the domestic market or from further consideration in the domestic approval process, and where there is clear evidence that such action has been taken in order to protect human health or the environment;

它包括几乎其所有用途皆未能获得批准或者已由工业界从国内市场上撤回或在国内审批过程中撤销对其作进一步审议、且有明确证据表明采取此种行动是为了保护人类健康或环境的化学品；

(d) "Severely hazardous pesticide formulation" means a chemical formulated for pesticidal use that produces severe health or environmental effects observable within a short period of time after single or multiple exposure, under conditions of use;

(d) “极为危险的农药制剂”是指用作农药用途的、在使用条件下一次或多次暴露后即可在短时期内观察到对健康或环境产生严重影响的化学品；

(e)"Final regulatory action" means an action taken by a Party, that does not require subsequent regulatory action by that Party, the purpose of which is to ban or severely restrict a chemical;

(e) “最后管制行动”是指一缔约方为禁用或严格限用某一化学品而采取的、且其后无需该缔约方再采取管制行动的行动；

(f) "Export" and "import" mean, in their respective connotations, the movement of a chemical from one Party to another Party, but exclude mere transit operations;

(f) “进口”和“出口”，就其各自涵义而言，是指化学品从一缔约方转移到另一缔约方，但不包括纯粹的过境运输；

(g) "Party" means a State or regional economic integration organization that has consented to be bound by this Convention and for which the Convention is in force;

(g) “缔约方”是指已同意受本公约约束、且本公约已对其生效的国家或区域经济一体化组织；

(h) "Regional economic integration organization" means an organization constituted by sovereign States of a given region to which its member States have transferred competence in respect of matters governed by this Convention and which has been duly authorized, in accordance with its internal procedures, to sign, ratify, accept, approve or accede to this Convention;

(h) “区域经济一体化组织”是指一个特定区域的主权国家组成的组织，它已获得其成员国转让的处理本公约所规定事项的权限、且已按照其内部程序获得正式授权可以签署、批准、接受、核准或加入本公约；

(i) "Chemical Review Committee" means the subsidiary body referred to in paragraph 6 of Article 18.

(i) “化学品审查委员会”是指第18条第6款提及的附属机构。

Article 3

第3条

Scope of the Convention

公约的范围

1. This Convention applies to:

1. 本公约适用于：

(a) Banned or severely restricted chemicals; and

(a) 禁用或严格限用的化学品；

(b) Severely hazardous pesticide formulations.

(b) 极为危险的农药制剂。

2. This Convention does not apply to:

2. 本公约不适用于：

(a) Narcotic drugs and psychotropic substances;

(a) 麻醉药品和精神药物；

(b) Radioactive materials;

(b) 放射性材料；

(c) Wastes;

(c) 废物；

(d) Chemical weapons;

(d) 化学武器；

(e) Pharmaceuticals, including human and veterinary drugs;

(e) 药品，包括人用和兽用药品；

(f) Chemicals used as food additives;

(f) 用作食物添加剂的化学品；

(g) Food;

(g) 食物；

(h) Chemicals in quantities not likely to affect human health or the environment provided they are imported:

(h) 其数量不可能影响人类健康或环境的化学品，但以下列情况为限：

(i) For the purpose of research or analysis; or

(i) 为了研究或分析而进口；或者

(ii) By an individual for his or her own personal use in quantities reasonable for such use.

(ii) 个人为自己使用而进口、且就个人使用而言数量合理。

Article 4

第4条

Designated national authorities

指定的国家主管部门

1. Each Party shall designate one or more national authorities that shall be authorized to act on its behalf in the performance of the administrative functions required by this Convention.

1. 各缔约方应指定一个或数个国家主管部门。 国家主管部门应获得授权，在行使本公约所规定的行政职能时代表缔约方行事。

2. Each Party shall seek to ensure that such authority or authorities have sufficient resources to perform their tasks effectively.

2. 各缔约方应力求确保国家主管部门有足够的资源以有效地履行其职责。

3. Each Party shall, no later than the date of the entry into force of this Convention for it, notify the name and address of such authority or authorities to the Secretariat.

3. 各缔约方应在不迟于本公约对其生效之日将国家主管部门的名称和地址通知秘书处。

It shall forthwith notify the Secretariat of any changes in the name and address of such authority or authorities.

各缔约方应在国家主管部门的名称和地址有变动时立即通知秘书处。

4. The Secretariat shall forthwith inform the Parties of the notifications it receives under paragraph 3.

4. 秘书处应立即向缔约方通报其根据第3款收到的通知。

Article 5

第5条

Procedures for banned or severely restricted chemicals

禁用或严格限用化学品的程序

1. Each Party that has adopted a final regulatory action shall notify the Secretariat in writing of such action.

1. 采取最后管制行动的各缔约方应将此类行动书面通知秘书处。

Such notification shall be made as soon as possible, and in any event no later than ninety days after the date on which the final regulatory action has taken effect, and shall contain the information required by Annex I, where available.

这一通知应尽早发出、且在任何情况下不得迟于最后管制行动生效后九十天，如有附件一所需提供的资料，则应包括这类资料。

2. Each Party shall, at the date of entry into force of this Convention for it, notify the Secretariat in writing of its final regulatory actions in effect at that time, except that each Party that has submitted notifications of final regulatory actions under the Amended London Guidelines or the International Code of Conduct need not resubmit those notifications.

2. 各缔约方应在本公约对其生效之日将届时已生效的最后管制行动书面通知秘书处，但已根据《经修正的伦敦准则》或《国际行为守则》提交了最后管制行动通知的各缔约方则无需再提交此种通知。

3. The Secretariat shall, as soon as possible, and in any event no later than six months after receipt of a notification under paragraphs 1 and 2, verify whether the notification contains the information required by Annex I.

3. 秘书处在收到第1款和第2款所述通知后应尽快、并在任何情况下不得迟于其后六个月核实通知是否包括附件一所需提供的资料。

If the notification contains the information required, the Secretariat shall forthwith forward to all Parties a summary of the information received.

如果通知包括所需资料，秘书处应立即将所收到资料的摘要送交所有缔约方。

If the notification does not contain the information required, it shall inform the notifying Party accordingly.

如果通知未包括所需资料，它应将此情况通知发出通知的缔约方。

4. The Secretariat shall every six months communicate to the Parties a synopsis of the information received pursuant to paragraphs 1 and 2, including information regarding those notifications which do not contain all the information required by Annex I.

4. 秘书处应每六个月向缔约方提交一份根据第1款和第2款收到的资料的概要，包括那些未载有附件一所需提供全部资料的通知的资料。

5. When the Secretariat has received at least one notification from each of two Prior Informed Consent regions regarding a particular chemical that it has verified meet the requirements of Annex I, it shall forward them to the Chemical Review Committee.

5. 秘书处在至少收到两个事先知情同意区域的每一个区域就一种特定的化学品发来的一份通知、并经其核实符合附件一的规定时，应将通知送交化学品审查委员会。

The composition of the Prior Informed Consent regions shall be defined in a decision to be adopted by consensus at the first meeting of the Conference of the Parties.

事先知情同意区域的组成方式应在将由缔约方大会第一次会议以协商一致方式通过的一项决定中予以确定。

6. The Chemical Review Committee shall review the information provided in such notifications and, in accordance with the criteria set out in Annex II, recommend to the Conference of the Parties whether the chemical in question should be made subject to the Prior Informed Consent procedure and, accordingly, be listed in Annex III.

6. 化学品审查委员会应审查通知中所提供的资料，并应根据附件二规定的标准向缔约方大会建议是否应该对该化学品采用事先知情同意程序并因此将其列入附件三。

Article 6

第6条

Procedures for severely hazardous pesticide formulations

极为危险的农药制剂的程序

1. Any Party that is a developing country or a country with an economy in transition and that is experiencing problems caused by a severely hazardous pesticide formulation under conditions of use in its territory, may propose to the Secretariat the listing of the severely hazardous pesticide formulation in Annex III.

1. 任何发展中国家缔约方或经济转型国家缔约方在其境内遇到由极为危险的农药制剂在使用条件下造成的问题时，可建议秘书处将此极为危险的农药制剂列入附件三。

In developing a proposal, the Party may draw upon technical expertise from any relevant source.

在起草提案时，缔约方可利用任何来源的技术专业知识。

The proposal shall contain the information required by part 1 of Annex IV.

提案应包括附件四第1部分所需提供的资料。

2. The Secretariat shall, as soon as possible, and in any event no later than six months after receipt of a proposal under paragraph 1, verify whether the proposal contains the information required by part 1 of Annex IV.

2. 秘书处应尽快、且在任何情况下不得迟于收到第1款所述提案后六个月核实提案是否包括附件四第1部分所需提供的资料。

If the proposal contains the information required, the Secretariat shall forthwith forward to all Parties a summary of the information received.

如提案包括所需资料，秘书处应立即将所收到资料的摘要送交所有缔约方。

If the proposal does not contain the information required, it shall inform the proposing Party accordingly.

如提案未包括所需资料，它应就此通知提出提案的缔约方。

3. The Secretariat shall collect the additional information set out in part 2 of Annex IV regarding the proposal forwarded under paragraph 2.

3. 秘书处应就按第2款送交的提案收集附件四第2部分所规定的其它资料。

4. When the requirements of paragraphs 2 and 3 above have been fulfilled with regard to a particular severely hazardous pesticide formulation, the Secretariat shall forward the proposal and the related information to the Chemical Review Committee.

4. 在一种特定的极为危险的农药制剂符合上述第2和3款的规定时，秘书处应将提案和有关资料送交化学品审查委员会。

5. The Chemical Review Committee shall review the information provided in the proposal and the additional information collected and, in accordance with the criteria set out in part 3 of Annex IV, recommend to the Conference of the Parties whether the severely hazardous pesticide formulation in question should be made subject to the Prior Informed Consent procedure and, accordingly, be listed in Annex III.

5. 化学品审查委员会应审查提案所提供的资料和所收集的其它资料，并应根据附件四第3部分所规定的标准，就是否应该对该极为危险的农药制剂采用事先知情同意程序并因此将其列入附件三向缔约方大会提出建议。

Article 7

第7条

Listing of chemicals in Annex III

将化学品列入附件三

1. For each chemical that the Chemical Review Committee has decided to recommend for listing in Annex III, it shall prepare a draft decision guidance document.

1. 对于化学品审查委员会已决定建议列入附件三的每一种化学品，化学品审查委员会均应编制一份决定指导文件草案。

The decision guidance document should, at a minimum, be based on the information specified in Annex I, or, as the case may be, Annex IV, and include information on uses of the chemical in a category other than the category for which the final regulatory action applies.

决定指导文件应该至少以附件一或酌情以附件四所规定的资料为基础，并包括有关在最后管制行动所适用类别之外的一种类别中的化学品用途的资料。

2. The recommendation referred to in paragraph 1 together with the draft decision guidance document shall be forwarded to the Conference of the Parties.

2. 第1款中述及的建议应同决定指导文件草案一并呈交缔约方大会。

The Conference of the Parties shall decide whether the chemical should be made subject to the Prior Informed Consent procedure and, accordingly, list the chemical in Annex III and approve the draft decision guidance document.

缔约方大会应决定是否应该对有关化学品采用事先知情同意程序，并因此将其列入附件三和核准该决定指导文件草案。

3. When a decision to list a chemical in Annex III has been taken and the related decision guidance document has been approved by the Conference of the Parties, the Secretariat shall forthwith communicate this information to all Parties.

3. 如果缔约方大会决定将某一化学品列入附件三并已核准有关的决定指导文件，秘书处应立即将这一资料送交所有缔约方。

Article 8

第8条

Chemicals in the voluntary Prior Informed Consent procedure

自愿性事先知情同意程序中的化学品

For any chemical, other than a chemical listed in Annex III, that has been included in the voluntary Prior Informed Consent procedure before the date of the first meeting of the Conference of the Parties, the Conference of the Parties shall decide at that meeting to list the chemical in Annex III, provided that it is satisfied that all the requirements for listing in that Annex have been fulfilled.

缔约方大会如果确信在其第一次会议召开之前已列入自愿性事先知情同意程序、但不在附件三之列的任何化学品已符合列入附件三的所有要求，则应在其第一次会议上决定将此化学品列入附件三。

Article 9

第9条

Removal of chemicals from Annex III

将化学品从附件三删除

1. If a Party submits to the Secretariat information that was not available at the time of the decision to list a chemical in Annex III and that information indicates that its listing may no longer be justified in accordance with the relevant criteria in Annex II or, as the case may be, Annex IV, the Secretariat shall forward the information to the Chemical Review Committee.

1. 如果一缔约方向秘书处提交了在决定将某一化学品列入附件三时尚未获得的资料、且该资料表明根据附件二或酌情根据附件四的有关标准可能不再有理由将该化学品列于附件三，秘书处应将该资料送交化学品审查委员会。

2. The Chemical Review Committee shall review the information it receives under paragraph 1.

2. 化学品审查委员会应审查其根据第1款收到的资料。

For each chemical that the Chemical Review Committee decides, in accordance with the relevant criteria in Annex II or, as the case may be, Annex IV, to recommend for removal from Annex III, it shall prepare a revised draft decision guidance document.

化学品审查委员会应为其根据附件二或酌情根据附件四的有关标准决定建议从附件三中删除的每一种化学品编制一份经修订的决定指导文件草案。

3. A recommendation referred to in paragraph 2 shall be forwarded to the Conference of the Parties and be accompanied by a revised draft decision guidance document.

3. 第2款提及的建议应提交缔约方大会并附有经修订的决定指导文件。

The Conference of the Parties shall decide whether the chemical should be removed from Annex III and whether to approve the revised draft decision guidance document.

缔约方大会应决定是否应该从附件三中删除该化学品和核准经修订的决定指导文件草案。

4. When a decision to remove a chemical from Annex III has been taken and the revised decision guidance document has been approved by the Conference of the Parties, the Secretariat shall forthwith communicate this information to all Parties.

4. 在缔约方大会决定从附件三中删除某一化学品和核准了经修订的决定指导文件时，秘书处应立即将这一资料送交所有缔约方。

Article 10

第10条

Obligations in relation to imports of chemicals listed in Annex III

附件三所列化学品进口的相关义务

1. Each Party shall implement appropriate legislative or administrative measures to ensure timely decisions with respect to the import of chemicals listed in Annex III.

1. 各缔约方应采取适当的立法或行政措施，以确保及时就附件三所列化学品的进口作出决定。

2. Each Party shall transmit to the Secretariat, as soon as possible, and in any event no later than nine months after the date of dispatch of the decision guidance document referred to in paragraph 3 of Article 7, a response concerning the future import of the chemical concerned.

2. 各缔约方应在第7条第3款述及的决定指导文件发送后尽快、且无论如何不得迟于发送日期后九个月就今后该化学品的进口向秘书处作出回复。

If a Party modifies this response, it shall forthwith submit the revised response to the Secretariat.

如果缔约方修改其所作的回复，则应立即向秘书处提交经修改的回复。

3. The Secretariat shall, at the expiration of the time period in paragraph 2, forthwith address to a Party that has not provided such a response, a written request to do so.

3. 秘书处应在第2款中规定的时限期满时立即致函尚未作出回复的缔约方要求其作出回复。

Should the Party be unable to provide a response, the Secretariat shall, where appropriate, help it to provide a response within the time period specified in the last sentence of paragraph 2 of Article 11.

如该缔约方不能作出回复，秘书处应酌情协助其在第11条第2款最后一句所规定的时限内作出回复。

4. A response under paragraph 2 shall consist of either:

4. 根据第2款作出的回复应采取以下形式之一：

(a) A final decision, pursuant to legislative or administrative measures:

(a) 根据立法或行政措施作出的最后决定：

(i) To consent to import;

(i) 同意进口；

(ii) Not to consent to import; or

(ii) 不同意进口；或

(iii) To consent to import only subject to specified conditions; or

(iii) 同意在特定条件下的进口；或者

(b) An interim response, which may include:

(b) 临时回复，它可包括：

(i) An interim decision consenting to import with or without specified conditions, or not consenting to import during the interim period;

(i) 同意在有特定条件或无特定条件的情况下进口或者不同意在暂定时期内进口的临时决定；

(ii) A statement that a final decision is under active consideration;

(ii) 表示正在积极考虑作出最后决定的说明；

(iii) A request to the Secretariat, or to the Party that notified the final regulatory action, for further information;

(iii) 向秘书处或通知最后管制行动的缔约方提出提供进一步资料的要求；

(iv) A request to the Secretariat for assistance in evaluating the chemical.

(iv) 向秘书处提出协助评估该化学品的要求。

5. A response under subparagraphs (a) or (b) of paragraph 4 shall relate to the category or categories specified for the chemical in Annex III.

5. 在第4款(a)或(b)项下作出的回复应与附件三中为该化学品列明的类别相关。

6. A final decision should be accompanied by a description of any legislative or administrative measures upon which it is based.

6. 最后决定应附有据以作出最后决定的任何立法或行政措施的说明。

7. Each Party shall, no later than the date of entry into force of this Convention for it, transmit to the Secretariat responses with respect to each chemical listed in Annex III.

7. 各缔约方应在不迟于本公约对其生效之日向秘书处送交其就附件三所列各种化学品作出的回复。

A Party that has provided such responses under the Amended London Guidelines or the International Code of Conduct need not resubmit those responses.

已依照《经修正的伦敦准则》或《国际行为守则》作出此种回复的缔约方则无需另作回复。

8. Each Party shall make its responses under this Article available to those concerned within its jurisdiction, in accordance with its legislative or administrative measures.

8. 各缔约方应根据其立法或行政措施向其管辖范围内的有关各方提供本条作出的回复。

9. A Party that, pursuant to paragraphs 2 and 4 above and paragraph 2 of Article 11, takes a decision not to consent to import of a chemical or to consent to its import only under specified conditions shall, if it has not already done so, simultaneously prohibit or make subject to the same conditions:

9. 根据以上第2和第4款以及第11条第2款决定不同意进口某一化学品或只同意在特定条件下进口该化学品的缔约方，如其尚未同时禁止或以同样条件限制下列情形，则应同时禁止或以同样条件限制：

(a) Import of the chemical from any source; and

(a) 从任何来源进口该化学品；和

(b) Domestic production of the chemical for domestic use.

(b) 在国内生产供国内使用的该化学品。

10. Every six months the Secretariat shall inform all Parties of the responses it has received.

10. 秘书处应每六个月将所收到的回复通报各缔约方。

Such information shall include a description of the legislative or administrative measures on which the decisions have been based, where available.

如有可能，此类通报应包括有关据以作出决定的立法或行政措施的资料。

The Secretariat shall, in addition, inform the Parties of any cases of failure to transmit a response.

此外，秘书处还应向缔约方通报任何未能送交回复的情况。

Article 11

第11条

Obligations in relation to exports of chemicals listed in Annex III

附件三所列化学品出口的相关义务

1. Each exporting Party shall:

1. 各出口缔约方应：

(a) Implement appropriate legislative or administrative measures to communicate the responses forwarded by the Secretariat in accordance with paragraph 10 of Article 10 to those concerned within its jurisdiction;

(a) 采取适当的立法或行政措施，将秘书处根据第10条第10款送交的回复通知其管辖范围内的有关各方；

(b) Take appropriate legislative or administrative measures to ensure that exporters within its jurisdiction comply with decisions in each response no later than six months after the date on which the Secretariat first informs the Parties of such response in accordance with paragraph 10 of Article 10;

(b) 采取适当的立法或行政措施，以确保其管辖范围内的出口商在不迟于秘书处根据第10条第10款向缔约方首次通报此类回复之日后六个月遵守每一回复中的决定；

(c) Advise and assist importing Parties, upon request and as appropriate:

(c) 根据要求并酌情建议和协助进口缔约方：

(i) To obtain further information to help them to take action in accordance with paragraph 4 of Article 10 and paragraph 2 (c) below; and

(i) 获取进一步资料以协助其根据第10条第4款和下列第2款(c)项采取行动；和

(ii) To strengthen their capacities and capabilities to manage chemicals safely during their life-cycle.

(ii) 加强在化学品生命周期内对化学品进行安全管理的能力。

2. Each Party shall ensure that a chemical listed in Annex III is not exported from its territory to any importing Party that, in exceptional circumstances, has failed to transmit a response or has transmitted an interim response that does not contain an interim decision, unless:

2. 各缔约方应确保不从其境内将附件三所列化学品出口到因特殊情况未送交回复或送交了一份未包括临时决定的临时回复的缔约方，除非：

(a) It is a chemical that, at the time of import, is registered as a chemical in the importing Party; or

(a) 该化学品在进口时已作为化学品在进口缔约方注册登记；或

(b) It is a chemical for which evidence exists that it has previously been used in, or imported into, the importing Party and in relation to which no regulatory action to prohibit its use has been taken; or

(b) 有证据表明该化学品以前曾在进口缔约方境内使用过或进口过、且没有采取过任何管制行动予以禁用；或

(c) Explicit consent to the import has been sought and received by the exporter through a designated national authority of the importing Party.

(c) 出口商曾通过进口缔约方的指定国家主管部门要求给予明确同意、且已获得了此种同意。

The importing Party shall respond to such a request within sixty days and shall promptly notify the Secretariat of its decision.

进口缔约方应在六十天内对此要求作出回复，并应立即将其决定通知秘书处。

The obligations of exporting Parties under this paragraph shall apply with effect from the expiration of a period of six months from the date on which the Secretariat first informs the Parties, in accordance with paragraph 10 of Article 10, that a Party has failed to transmit a response or has transmitted an interim response that does not contain an interim decision, and shall apply for one year.

本款所规定的出口缔约方的义务应从秘书处根据第10条第10款将一缔约方未送交回复或送交了一份未包括临时决定的临时回复的情况首次通报各缔约方之日起期满六个月时开始适用，并应适用一年。

Article 12

第12条

Export notification

出口通知

1. Where a chemical that is banned or severely restricted by a Party is exported from its territory, that Party shall provide an export notification to the importing Party.

1. 缔约方从其境内出口其已禁用或严格限用的某一化学品时，应向进口缔约方发出出口通知。

The export notification shall include the information set out in Annex V.

出口通知应包括附件五所述及的资料。

2. The export notification shall be provided for that chemical prior to the first export following adoption of the corresponding final regulatory action.

2. 在采取相应的最后管制行动之后，该化学品的出口通知应在其首次出口之前发出。

Thereafter, the export notification shall be provided before the first export in any calendar year.

此后，出口通知应在任何日历年内的首次出口之前发出。

The requirement to notify before export may be waived by the designated national authority of the importing Party.

进口缔约方指定的国家主管部门可放弃在出口前发出通知的要求。

3. An exporting Party shall provide an updated export notification after it has adopted a final regulatory action that results in a major change concerning the ban or severe restriction of that chemical.

3. 在出口缔约方采取了一项导致该化学品的禁用或严格限用状况发生重大变化的最后管制行动后，该出口缔约方应发出经过更新的出口通知。

4. The importing Party shall acknowledge receipt of the first export notification received after the adoption of the final regulatory action.

4. 进口缔约方应确认在采取最后管制行动后收到的首次出口通知。

If the exporting Party does not receive the acknowledgement within thirty days of the dispatch of the export notification, it shall submit a second notification.

出口缔约方如果在发出出口通知30天之内未收到此种确认，则应发出第二次通知。

The exporting Party shall make reasonable efforts to ensure that the importing Party receives the second notification.

出口缔约方应做出合理努力，以确保进口缔约方收到第二次通知。

5. The obligations of a Party set out in paragraph 1 shall cease when:

5. 缔约方应在下列情况下停止履行第1款所规定的义务：

(a) The chemical has been listed in Annex III;

(a) 该化学品已列入附件三；

(b) The importing Party has provided a response for the chemical to the Secretariat in accordance with paragraph 2 of Article 10; and

(b) 进口缔约方已根据第10条第2款就该化学品向秘书处作了回复；以及

(c) The Secretariat has distributed the response to the Parties in accordance with paragraph 10 of Article 10.

(c) 秘书处已根据第10条第10款向缔约方分发了回复。

Article 13

第13条

Information to accompany exported chemicals

出口化学品应附的资料

1. The Conference of the Parties shall encourage the World Customs Organization to assign specific Harmonized System customs codes to the individual chemicals or groups of chemicals listed in Annex III, as appropriate.

1. 缔约方大会应鼓励世界海关组织酌情为附件三所列各种化学品或各化学品类别指定特定的协调制度海关编码。

Each Party shall require that, whenever a code has been assigned to such a chemical, the shipping document for that chemical bears the code when exported.

在为此类化学品指定了编码的情况下，各缔约方应要求该化学品在出口时其装运文件中填有这一编码。

2. Without prejudice to any requirements of the importing Party, each Party shall require that both chemicals listed in Annex III and chemicals banned or severely restricted in its territory are, when exported, subject to labelling requirements that ensure adequate availability of information with regard to risks and/or hazards to human health or the environment, taking into account relevant international standards.

2. 在不损害进口缔约方任何要求的情况下，各缔约方应要求附件三所列化学品和在其境内禁用或严格限用的化学品在出口时均符合张贴标签的规定，以确保充分提供有关对人类健康或环境所构成风险和/或危害的资料，同时顾及有关国际标准。

3. Without prejudice to any requirements of the importing Party, each Party may require that chemicals subject to environmental or health labelling requirements in its territory are, when exported, subject to labelling requirements that ensure adequate availability of information with regard to risks and/or hazards to human health or the environment, taking into account relevant international standards.

3. 在不损害进口缔约方任何要求的情况下，各缔约方可要求在其境内须遵守张贴环境或健康标签规定的化学品在出口时要符合张贴标签的规定，以确保充分提供有关对人类健康或环境所构成风险和/或危害的资料，同时顾及有关国际标准。

4. With respect to the chemicals referred to in paragraph 2 that are to be used for occupational purposes, each exporting Party shall require that a safety data sheet that follows an internationally recognized format, setting out the most up-to-date information available, is sent to each importer.

4. 关于第2款所述用于职业目的的化学品，各出口缔约方应要求向每个进口商发送一份采用国际公认格式、并列有现有最新资料的安全数据单。

5. The information on the label and on the safety data sheet should, as far as practicable, be given in one or more of the official languages of the importing Party.

5. 标签和安全数据单上的资料应尽可能用进口缔约方的一种或多种正式语文填写。

Article 14

第14条

Information exchange

资料交流

1. Each Party shall, as appropriate and in accordance with the objective of this Convention, facilitate:

1. 各缔约方应酌情并根据本公约的目标，促进：

(a) The exchange of scientific, technical, economic and legal information concerning the chemicals within the scope of this Convention, including toxicological, ecotoxicological and safety information;

(a) 交流有关本公约范围内化学品的科学、技术、经济和法律资料，包括毒理学、生态毒理学和安全性方面的资料；

(b) The provision of publicly available information on domestic regulatory actions relevant to the objectives of this Convention; and

(b) 提供与本公约目标相关的国内管制行动方面的公开资料；并且

(c) The provision of information to other Parties, directly or through the Secretariat, on domestic regulatory actions that substantially restrict one or more uses of the chemical, as appropriate.

(c) 酌情直接或通过秘书处向其它缔约方提供关于实质性地限制所涉化学品一种或多种用途的国内管制行动的资料。

2. Parties that exchange information pursuant to this Convention shall protect any confidential information as mutually agreed.

2. 缔约方在根据本公约交流资料时，应依照共同商定的办法保护机密资料。

3. The following information shall not be regarded as confidential for the purposes of this Convention:

3. 为本公约的目的，以下资料不应视为机密资料：

(a) The information referred to in Annexes I and IV, submitted pursuant to Articles 5 and 6 respectively;

(a) 根据第5和第6条分别提交的、附件一和附件四所述及的资料；

(b) The information contained in the safety data sheet referred to in paragraph 4 of Article 13;

(b) 第13条第4款述及的安全数据单上的资料；

(c) The expiry date of the chemical;

(c) 化学品的失效日期；

(d) Information on precautionary measures, including hazard classification, the nature of the risk and the relevant safety advice; and

(d) 关于预防措施的资料，包括危害类别、风险性质和有关安全性建议；以及

(e) The summary results of the toxicological and ecotoxicological tests.

(e) 毒理学和生态毒理学试验结果摘要。

4. The production date of the chemical shall generally not be considered confidential for the purposes of this Convention.

4. 为本公约的目的，有关化学品的生产日期一般不应视为机密资料。

5. Any Party requiring information on transit movements through its territory of chemicals listed in Annex III may report its need to the Secretariat, which shall inform all Parties accordingly.

5. 任何缔约方如果需要有关附件三所列化学品经其领土过境转移方面的资料，则可向秘书处表明此种需要。 秘书处应就此通知所有缔约方。

Article 15

第15条

Implementation of the Convention

公约的实施

1. Each Party shall take such measures as may be necessary to establish and strengthen its national infrastructures and institutions for the effective implementation of this Convention.

1. 各缔约方应采取可能必要的措施，建立和加强其国家基础设施和机构，以便有效地实施本公约。

These measures may include, as required, the adoption or amendment of national legislative or administrative measures and may also include:

这些措施可酌情包括采取或修订国家立法或行政措施，并亦可包括：

(a) The establishment of national registers and databases including safety information for chemicals;

(a) 建立包括化学品安全资料在内的国家化学品登记机构和数据库；

(b) The encouragement of initiatives by industry to promote chemical safety; and

(b) 鼓励工业界采取主动行动，以提高化学品的安全程度；以及

(c) The promotion of voluntary agreements, taking into consideration the provisions of Article 16.

(c) 在考虑到第16条的规定的情况下，促进达成自愿协议。

2. Each Party shall ensure, to the extent practicable, that the public has appropriate access to information on chemical handling and accident management and on alternatives that are safer for human health or the environment than the chemicals listed in Annex III.

2. 各缔约方应在切实可行的程度上确保公众有适当机会获得下列资料：化学品的处理和意外事故的管理以及比附件三所列化学品对人类健康或环境更安全的替代品。

3. The Parties agree to cooperate, directly or, where appropriate, through competent international organizations, in the implementation of this Convention at the subregional, regional and global levels.

3. 在次区域、区域和全球各级实施本公约时，各缔约方同意直接或酌情通过具有资格的国际组织开展合作。

4. Nothing in this Convention shall be interpreted as restricting the right of the Parties to take action that is more stringently protective of human health and the environment than that called for in this Convention, provided that such action is consistent with the provisions of this Convention and is in accordance with international law.

4. 本公约中的任何规定均不得解释为限制缔约方采取比本公约所要求的更为严格地保护人类健康和环境的行动的权利，但此种行动须符合本公约的规定和国际法。

Article 16

第16条

Technical assistance

技术援助

The Parties shall, taking into account in particular the needs of developing countries and countries with economies in transition, cooperate in promoting technical assistance for the development of the infrastructure and the capacity necessary to manage chemicals to enable implementation of this Convention.

缔约方在特别考虑到发展中国家和经济转型国家的需要的同时，应开展合作促进技术援助，以发展管理化学品所必需的基础设施和能力，从而能够实施本公约。

Parties with more advanced programmes for regulating chemicals should provide technical assistance, including training, to other Parties in developing their infrastructure and capacity to manage chemicals throughout their life-cycle.

拥有更先进的化学品管制规划的缔约方应该向其它缔约方提供技术援助，包括培训，以发展它们在化学品整个生命周期内对其进行管理的基础设施和能力。

Article 17

第17条

Non-Compliance

不遵守情事

The Conference of the Parties shall, as soon as practicable, develop and approve procedures and institutional mechanisms for determining non-compliance with the provisions of this Convention and for treatment of Parties found to be in non-compliance.

缔约方大会应尽快制定并通过用于确定不遵守本公约规定的情事和处理被查明处于不遵守状况的缔约方的程序和体制机制。

Article 18

第18条

Conference of the Parties

缔约方大会

1. A Conference of the Parties is hereby established.

1. 兹设立缔约方大会。

2. The first meeting of the Conference of the Parties shall be convened by the Executive Director of UNEP and the Director-General of FAO, acting jointly, no later than one year after the entry into force of this Convention.

2. 缔约方大会第一次会议应在不迟于本公约生效后一年由环境署执行主任和粮农组织总干事共同召开。

Thereafter, ordinary meetings of the Conference of the Parties shall be held at regular intervals to be determined by the Conference.

其后，缔约方大会的常会应按缔约方大会所确定的间隔时间定期召开。

3. Extraordinary meetings of the Conference of the Parties shall be held at such other times as may be deemed necessary by the Conference, or at the written request of any Party provided that it is supported by at least one third of the Parties.

3. 缔约方大会的非常会议可在缔约方大会认为必要的其它时间举行，或应任何缔约方的书面请求举行，但这一请求须得到至少三分之一缔约方的支持。

4. The Conference of the Parties shall by consensus agree upon and adopt at its first meeting rules of procedure and financial rules for itself and any subsidiary bodies, as well as financial provisions governing the functioning of the Secretariat.

4. 缔约方大会应以协商一致方式在其第一次会议上议定并通过缔约方大会和任何附属机构的议事规则和财务规则以及有关秘书处运作的财务规定。

5. The Conference of the Parties shall keep under continuous review and evaluation the implementation of this Convention.

5. 缔约方大会应不断审查和评价本公约的执行情况。

It shall perform the functions assigned to it by the Convention and, to this end, shall:

它应履行公约为其指定的职责，为此目的，应：

(a) Establish, further to the requirements of paragraph 6 below, such subsidiary bodies as it considers necessary for the implementation of the Convention;

(a) 根据以下第6款的规定设立它认为执行公约所必需的附属机构；

(b) Cooperate, where appropriate, with competent international organizations and intergovernmental and non-governmental bodies; and

(b) 酌情与具有资格的国际组织以及政府间组织和非政府组织合作；以及

(c) Consider and undertake any additional action that may be required for the achievement of the objectives of the Convention.

(c) 考虑并采取为实现本公约的目标可能所需的任何其它行动。

6. The Conference of the Parties shall, at its first meeting, establish a subsidiary body, to be called the Chemical Review Committee, for the purposes of performing the functions assigned to that Committee by this Convention.

6. 缔约方大会应在其第一次会议上设立一个附属机构，称为化学品审查委员会，以行使本公约为其指定的职责。

In this regard:

在这方面：

(a) The members of the Chemical Review Committee shall be appointed by the Conference of the Parties.

(a) 化学品审查委员会的成员应由缔约方大会任命。

Membership of the Committee shall consist of a limited number of government-designated experts in chemicals management.

委员会成员应由限定人数的化学品管理方面的政府指定专家组成。

The members of the Committee shall be appointed on the basis of equitable geographical distribution, including ensuring a balance between developed and developing Parties;

委员会的成员应在公平地域分配的基础上任命，包括确保在发达国家与发展中国家缔约方之间达成平衡；

(b) The Conference of the Parties shall decide on the terms of reference, organization and operation of the Committee;

(b) 缔约方大会应确定该委员会的职责范围、组织和运作方式；

(c) The Committee shall make every effort to make its recommendations by consensus.

(c) 委员会应尽一切努力以协商一致方式提出建议。

If all efforts at consensus have been exhausted, and no consensus reached, such recommendation shall as a last resort be adopted by a two-thirds majority vote of the members present and voting.

如果已尽了一切努力仍未达成协商一致意见，则作为最后手段，应以出席并参加表决的成员的三分之二多数票通过此类建议。

7. The United Nations, its specialized agencies and the International Atomic Energy Agency, as well as any State not Party to this Convention, may be represented at meetings of the Conference of the Parties as observers.

7. 联合国、其专门机构和国际原子能机构以及任何非本公约缔约方的国家均可作为观察员出席缔约方大会的会议。

Any body or agency, whether national or international, governmental or nongovernmental, qualified in matters covered by the Convention, and which has informed the Secretariat of its wish to be represented at a meeting of the Conference of the Parties as an observer may be admitted unless at least one third of the Parties present object.

任何其它组织或机构，无论是国家或国际性质、政府或非政府性质，只要在本公约所涉事项方面具有资格，并通知秘书处愿意以观察员身份出席缔约方大会的会议，均可被接纳参加会议，除非至少三分之一出席的缔约方反对。

The admission and participation of observers shall be subject to the rules of procedure adopted by the Conference of the Parties.

观察员的接纳和参加应遵守缔约方大会通过的议事规则。

Article 19

第19条

Secretariat

秘书处

1. A Secretariat is hereby established.

1. 兹设立秘书处。

2. The functions of the Secretariat shall be:

2. 秘书处的职责应为：

(a) To make arrangements for meetings of the Conference of the Parties and its subsidiary bodies and to provide them with services as required;

(a) 为缔约方大会及其附属机构的会议做出安排，并向它们提供所需的服务；

(b) To facilitate assistance to the Parties, particularly developing Parties and Parties with economies in transition, on request, in the implementation of this Convention;

(b) 根据要求，便利协助缔约方、特别是发展中国家缔约方和经济转型国家缔约方实施本公约；

(c) To ensure the necessary coordination with the secretariats of other relevant international bodies;

(c) 确保与其它有关的国际组织的秘书处进行必要的协调；

(d) To enter, under the overall guidance of the Conference of the Parties, into such administrative and contractual arrangements as may be required for the effective discharge of its functions; and

(d) 在缔约方大会的全面指导下，达成有效履行其职责可能需要的行政和合同安排；以及

(e) To perform the other secretariat functions specified in this Convention and such other functions as may be determined by the Conference of the Parties.

(e) 履行本公约规定的其它秘书处职责以及缔约方大会可能确定的其它职责。

3. The secretariat functions for this Convention shall be performed jointly by the Executive Director of UNEP and the Director-General of FAO, subject to such arrangements as shall be agreed between them and approved by the Conference of the Parties.

3. 本公约的秘书处职责应由环境署执行主任与粮农组织总干事共同履行，并须遵循他们之间所商定的、并经缔约方大会核可的安排。

4. The Conference of the Parties may decide, by a three-fourths majority of the Parties present and voting, to entrust the secretariat functions to one or more other competent international organizations, should it find that the Secretariat is not functioning as intended.

4. 如果缔约方大会认为秘书处没有履行其预期的职责，它可由出席并参加表决的缔约方四分之三多数票决定将秘书处职责交给一个或多个其它具有资格的国际组织。

Article 20

第20条

Settlement of disputes

争端的解决

1. Parties shall settle any dispute between them concerning the interpretation or application of this Convention through negotiation or other peaceful means of their own choice.

1. 缔约方应通过谈判或其选择的其它和平方式解决它们之间就本公约的解释或适用而产生的任何争端。

2. When ratifying, accepting, approving or acceding to this Convention, or at any time thereafter, a Party that is not a regional economic integration organization may declare in a written instrument submitted to the Depositary that, with respect to any dispute concerning the interpretation or application of the Convention, it recognizes one or both of the following means of dispute settlement as compulsory in relation to any Party accepting the same obligation:

2. 非区域经济一体化组织的缔约方在批准、接受、核准或加入本公约时，或在其后任何时候，可在交给保存人的一份书面文书中声明，关于本公约的解释或适用方面的任何争端，它承认在涉及接受同样义务的任何缔约方时，以下一种或两种争端解决方式具有强制性：

(a) Arbitration in accordance with procedures to be adopted by the Conference of the Parties in an annex as soon as practicable; and

(a) 按照将由缔约方大会尽早通过的、载于一附件中的程序进行仲裁；和

(b) Submission of the dispute to the International Court of Justice.

(b) 将争端提交国际法院。

3. A Party that is a regional economic integration organization may make a declaration with like effect in relation to arbitration in accordance with the procedure referred to in paragraph 2 (a).

3. 区域经济一体化组织的缔约方可就根据第2(a)款所述程序进行仲裁发表类似声明。

4. A declaration made pursuant to paragraph 2 shall remain in force until it expires in accordance with its terms or until three months after written notice of its revocation has been deposited with the Depositary.

4. 根据第2款所作的声明，在依照其有效期失效之前，或在撤销声明的书面通知交存于保存人之后三个月内，应一直有效。

5. The expiry of a declaration, a notice of revocation or a new declaration shall not in any way affect proceedings pending before an arbitral tribunal or the International Court of Justice unless the parties to the dispute otherwise agree.

5. 除非争端各方另有协议，声明的失效、撤销声明的通知或作出新的声明，丝毫不得影响仲裁法庭或国际法院正在进行的审理。

6. If the parties to a dispute have not accepted the same or any procedure pursuant to paragraph 2, and if they have not been able to settle their dispute within twelve months following notification by one party to another that a dispute exists between them, the dispute shall be submitted to a conciliation commission at the request of any party to the dispute.

6. 如果争端的双方尚未根据第2款接受相同程序或任何程序，且它们未能在一方通知另一方存在争端后十二个月内解决其争端，则该争端应根据争端任何一方的要求提交调解委员会。

The conciliation commission shall render a report with recommendations.

调解委员会应提出载有建议的报告。

Additional procedures relating to the conciliation commission shall be included in an annex to be adopted by the Conference of the Parties no later than the second meeting of the Conference.

与调解委员会有关的其它程序应列入最迟由缔约方大会第二次会议通过的一项附件中。

Article 21

第21条

Amendments to the Convention

公约的修正

1. Amendments to this Convention may be proposed by any Party.

1. 任何缔约方均可对本公约提出修正案。

2. Amendments to this Convention shall be adopted at a meeting of the Conference of the Parties.

2. 本公约的修正案应在缔约方大会的会议上通过。

The text of any proposed amendment shall be communicated to the Parties by the Secretariat at least six months before the meeting at which it is proposed for adoption.

提出的任何修正案案文均应由秘书处至少在拟议通过该修正案的会议之前六个月送交缔约方。

The Secretariat shall also communicate the proposed amendment to the signatories to this Convention and, for information, to the Depositary.

秘书处还应将提出的修正案送交本公约签署方，并呈交保存人以供参考。

3. The Parties shall make every effort to reach agreement on any proposed amendment to this Convention by consensus.

3. 缔约方应尽一切努力以协商一致的方式就对本公约提出的任何修正案达成协议。

If all efforts at consensus have been exhausted, and no agreement reached, the amendment shall as a last resort be adopted by a three-fourths majority vote of the Parties present and voting at the meeting.

如为谋求协商一致已尽了一切努力而仍未达成协议，则作为最后手段，应以出席会议并参加表决的缔约方的四分之三多数通过该修正案。

4. The amendment shall be communicated by the Depositary to all Parties for ratification, acceptance or approval.

4. 该修正案应由保存人送交所有缔约方，供其批准、接受或核准。

5. Ratification, acceptance or approval of an amendment shall be notified to the Depositary in writing.

5. 对修正案的批准、接受或核准应以书面形式通知保存人。

An amendment adopted in accordance with paragraph 3 shall enter into force for the Parties having accepted it on the ninetieth day after the date of deposit of instruments of ratification, acceptance or approval by at least three fourths of the Parties.

依照第3款通过的修正案，应自至少四分之三的缔约方交存批准、接受或核准书之日后的第九十天起对接受该修正案的缔约方生效。

Thereafter, the amendment shall enter into force for any other Party on the ninetieth day after the date on which that Party deposits its instrument of ratification, acceptance or approval of the amendment.

其后，该修正案应自任何其它缔约方交存批准、接受或核准该修正案的文书之日后的第九十天起对其生效。

Article 22

第22条

Adoption and amendment of annexes

附件的通过和修正

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

1. 本公约的附件应成为本公约的组成部分，除非另有明文规定，凡提及本公约时，亦包括其任何附件在内。

2. Annexes shall be restricted to procedural, scientific, technical or administrative matters.

2. 附件应限于程序、科学、技术或行政事项。

3. The following procedure shall apply to the proposal, adoption and entry into force of additional annexes to this Convention:

3. 下列程序应适用于本公约增补附件的提出、通过和生效：

(a) Additional annexes shall be proposed and adopted according to the procedure laid down in paragraphs 1, 2 and 3 of Article 21;

(a) 增补附件应根据第21条第1、第2和第3款规定的程序提出和通过；

(b) Any Party that is unable to accept an additional annex shall so notify the Depositary, in writing, within one year from the date of communication of the adoption of the additional annex by the Depositary.

(b) 任何缔约方如果不能接受一项增补附件，则应在保存人就通过该增补附件发出通知之日起一年内将此情况书面通知保存人。

The Depositary shall without delay notify all Parties of any such notification received.

保存人应在接到任何此类通知后立即通知所有缔约方。

A Party may at any time withdraw a previous notification of non-acceptance in respect of an additional annex and the annex shall thereupon enter into force for that Party subject to subparagraph (c) below; and

缔约方可随时撤销以前对某一增补附件提出的不接受通知，该附件即应根据以下第(c)项的规定对该缔约方生效；

(c) On the expiry of one year from the date of the communication by the Depositary of the adoption of an additional annex, the annex shall enter into force for all Parties that have not submitted a notification in accordance with the provisions of subparagraph (b) above.

(c) 在保存人就通过一项增补附件发出通知之日起一年后，该附件应对未曾依以上第(b)项的规定提交通知的所有缔约方生效。

4. Except in the case of Annex III, the proposal, adoption and entry into force of amendments to annexes to this Convention shall be subject to the same procedures as for the proposal, adoption and entry into force of additional annexes to the Convention.

4. 除附件三外，本公约附件的修正案的提出、通过和生效均应遵守本公约增补附件的提出、通过和生效所采用的同一程序。

5. The following procedure shall apply to the proposal, adoption and entry into force of amendments to Annex III:

5. 下列程序应适用于附件三的修正案的提出、通过和生效：

(a) Amendments to Annex III shall be proposed and adopted according to the procedure laid down in Articles 5 to 9 and paragraph 2 of Article 21;

(a) 附件三的修正案应根据第5至第9条以及第21条第2款规定的程序提出和通过；

(b) The Conference of the Parties shall take its decisions on adoption by consensus;

(b) 缔约方大会应以协商一致的方式就通过问题作出决定；

(c) A decision to amend Annex III shall forthwith be communicated to the Parties by the Depositary.

(c) 保存人应立即将修正附件三的决定通知缔约方。

The amendment shall enter into force for all Parties on a date to be specified in the decision.

该修正案应在该决定规定的日期对所有缔约方生效。

6. If an additional annex or an amendment to an annex is related to an amendment to this Convention, the additional annex or amendment shall not enter into force until such time as the amendment to the Convention enters into force.

6. 如果一项增补附件或对一项附件的修正案涉及对本公约的修正，则该增补附件或修正案应在对本公约的修正生效后方能生效。

Article 23

第23条

Voting

表决权

1. Each Party to this Convention shall have one vote, except as provided for in paragraph 2 below.

1. 除以下第2款之规定外，本公约每一缔约方应有一票表决权。

2. A regional economic integration organization, on matters within its competence, shall exercise its right to vote with a number of votes equal to the number of its member States that are Parties to this Convention.

2. 区域经济一体化组织对属于其权限范围内的事项行使表决权时，其票数应与其作为本公约缔约方的成员国数目相同。

Such an organization shall not exercise its right to vote if any of its member States exercises its right to vote, and vice versa.

如果此类组织中的任何成员国行使表决权，则该组织就不应行使表决权，反之亦然。

3. For the purposes of this Convention, "Parties present and voting" means Parties present and casting an affirmative or negative vote.

3. 为本公约的目的，“出席并参加表决的缔约方”是指出席会议并投赞成票或反对票的缔约方。

Article 24

第24条

Signature

签 署

This Convention shall be open for signature at Rotterdam by all States and regional economic integration organizations on 11 September 1998, and at United Nations Headquarters in New York from 12 September 1998 to 10 September 1999.

本公约应于1998年9月11日在鹿特丹并自1998年9月12日至1999年9月10日在纽约联合国总部开放供所有国家和区域经济一体化组织签署。

Article 25

第25条

Ratification, acceptance, approval or accession

批准、接受、核准或加入

1. This Convention shall be subject to ratification, acceptance or approval by States and by regional economic integration organizations.

1. 本公约须经各国和各区域经济一体化组织批准、接受或核准。

It shall be open for accession by States and by regional economic integration organizations from the day after the date on which the Convention is closed for signature.

本公约应从签署截止日之后开放供各国和各区域经济一体化组织加入。

Instruments of ratification, acceptance, approval or accession shall be deposited with the Depositary.

批准、接受、核准或加入书应交存于保存人。

2. Any regional economic integration organization that becomes a Party to this Convention without any of its member States being a Party shall be bound by all the obligations under the Convention.

2. 任何成为本公约缔约方但其成员国却均未成为缔约方的区域经济一体化组织应受本公约规定的一切义务的约束。

In the case of such organizations, one or more of whose member States is a Party to this Convention, the organization and its member States shall decide on their respective responsibilities for the performance of their obligations under the Convention.

如果此类组织的一个或多个成员国为本公约的缔约方，则该组织及其成员国应决定各自在履行本公约义务方面的责任。

In such cases, the organization and the member States shall not be entitled to exercise rights under the Convention concurrently.

在此种情况下，该组织及其成员国无权同时行使本公约所规定的权利。

3. In its instrument of ratification, acceptance, approval or accession, a regional economic integration organization shall declare the extent of its competence in respect of the matters governed by this Convention.

3. 区域经济一体化组织应在其批准、接受、核准或加入书中声明其在本公约所规定事项上的权限。

Any such organization shall also inform the Depositary, who shall in turn inform the Parties, of any relevant modification in the extent of its competence.

任何此类组织还应将其权限范围的任何有关变更通知保存人，再由保存人通知各缔约方。

Article 26

第26条

Entry into force

生 效

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

1. 本公约应自第五十份批准、接受、核准或加入书交存之日后第九十天起生效。

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

2. 对于在第五十份批准、接受、核准或加入书交存之后批准、接受或核准或加入本公约的各国或各区域经济一体化组织，本公约应自该国或该区域经济一体化组织交存其批准、接受、核准或加入书之日后第九十天起生效。

3. For the purpose of paragraphs 1 and 2, any instrument deposited by a regional economic integration organization shall not be counted as additional to those deposited by member States of that organization.

3. 为第1和第2款的目的，区域经济一体化组织所交存的任何文书不应视为该组织的成员国所交存文书之外的额外文书。

Article 27

第27条

Reservations

保 留

No reservations may be made to this Convention.

不得对本公约作任何保留。

Article 28

第28条

Withdrawal

退 出

1. At any time after three years from the date on which this Convention has entered into force for a Party, that Party may withdraw from the Convention by giving written notification to the Depositary.

1. 自本公约对一缔约方生效之日起三年后，该缔约方可随时向保存人发出书面通知，退出本公约。

2. Any such withdrawal shall take effect upon expiry of one year from the date of receipt by the Depositary of the notification of withdrawal, or on such later date as may be specified in the notification of withdrawal.

2. 任何此种退出应在保存人收到退出通知之日起一年后生效，或在退出通知中可能指明的一个更晚日期生效。

Article 29

第29条

Depositary

保存人

The Secretary-General of the United Nations shall be the Depositary of this Convention.

联合国秘书长应为本公约保存人。

Article 30

第30条

Authentic texts

作准文本

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

本公约正本应交存于联合国秘书长，其阿拉伯文、中文、英文、法文、俄文和西班牙文文本均为作准文本。

IN WITNESS WHEREOF the undersigned, being duly authorized to that effect, have signed this Convention.

下列签署人，经正式授权，在本公约上签字，以昭信守。

Done at Rotterdam on this tenth day of September, one thousand nine hundred and ninety-eight.

一九九八年九月十日订于鹿特丹。

Annex I

附 件 一

INFORMATION REQUIREMENTS FOR NOTIFICATIONS MADE PURSUANT TO ARTICLE 5

根据第5条发出通知所需提供的资料

Notifications shall include:

通知应包括：

1. Properties, identification and uses

1. 特性、名称和用途

(a) Common name;

(a) 通用名称；

(b) Chemical name according to an internationally recognized nomenclature (for example, International Union of Pure and Applied Chemistry (IUPAC)), where such nomenclature exists;

(b) 如有国际公认的术语集，根据该术语集(例如国际纯化学和应用化学联合会的术语集等)所命名的化学名称；

(c) Trade names and names of preparations;

(c) 贸易名称和制剂名称；

(d) Code numbers: Chemical Abstracts Service (CAS) number, Harmonized System customs code and other numbers;

(d) 编码号：化学文摘社编号、协调制度海关编码和其它编号；

(e) Information on hazard classification, where the chemical is subject to classification requirements;

(e) 如果要求对有关化学品进行分类，有关危害分类的资料；

(f) Use or uses of the chemical;

(f) 有关化学品的用途；

(g) Physico-chemical, toxicological and ecotoxicological properties.

(g) 有关化学品的物理－化学、毒理学和生态毒理学特性。

2. Final regulatory action

2. 最后管制行动

(a) Information specific to the final regulatory action:

(a) 有关最后管制行动的资料：

(i) Summary of the final regulatory action;

(i) 最后管制行动概要；

(ii) Reference to the regulatory document;

(ii) 所依据的管制文件；

(iii) Date of entry into force of the final regulatory action;

(iii) 最后管制行动生效日期；

(iv) Indication of whether the final regulatory action was taken on the basis of a risk or hazard evaluation and, if so, information on such evaluation, covering a reference to the relevant documentation;

(iv) 关于最后管制行动是否根据风险或危害评估作出的说明，如果是，关于此类评估资料，包括述及的有关文件的说明；

(v) Reasons for the final regulatory action relevant to human health, including the health of consumers and workers, or the environment;

(v) 采取涉及人类健康、包括涉及消费者和工人的健康或环境的最后管制行动的原因；

(vi) Summary of the hazards and risks presented by the chemical to human health, including the health of consumers and workers, or the environment and the expected effect of the final regulatory action;

(vi) 有关化学品对人类健康、包括对消费者和工人的健康或环境造成的危害和风险以及最后管制行动预期产生影响的摘要；

(b) Category or categories where the final regulatory action has been taken, and for each category:

(b) 已采取最后管制行动的类别，以及对每种类别：

(i) Use or uses prohibited by the final regulatory action;

(i) 最后管制行动禁止的用途；

(ii) Use or uses that remain allowed;

(ii) 仍允许的用途；

(iii) Estimation, where available, of quantities of the chemical produced, imported, exported and used;

(iii) 如有可能，化学品的生产、进口、出口和使用的估计数量；

(c) An indication, to the extent possible, of the likely relevance of the final regulatory action to other States and regions;

(c) 关于最后管制行动可能与其它国家和区域之间的相关性的尽可能详细的说明；

(d) Other relevant information that may cover:

(d) 可能涉及以下方面的其它有关资料：

(i) Assessment of socio-economic effects of the final regulatory action;

(i) 对最后管制行动的社会-经济影响的评估；

(ii) Information on alternatives and their relative risks, where available, such as:

(ii) 如有替代品，有关替代品及其相对风险的资料，例如：

- Integrated pest management strategies;

害物综合治理战略；

- Industrial practices and processes, including cleaner technology.

工业习惯做法和工艺，包括更为清洁的技术。

Annex II

附 件 二

CRITERIA FOR LISTING BANNED OR SEVERELY RESTRICTED CHEMICALS IN ANNEX III

将禁用或严格限用化学品列入附件三的标准

In reviewing the notifications forwarded by the Secretariat pursuant to paragraph 5 of Article 5, the Chemical Review Committee shall:

化学品审查委员会在审查秘书处根据第5条第5款送交的通知时应：

(a) Confirm that the final regulatory action has been taken in order to protect human health or the environment;

(a) 确认为保护人类健康或环境已采取了最后管制行动；

(b) Establish that the final regulatory action has been taken as a consequence of a risk evaluation.

(b) 确定已根据风险评估结果采取了最后管制行动。

This evaluation shall be based on a review of scientific data in the context of the conditions prevailing in the Party in question.

该评估应在根据有关缔约方的现有条件对科学数据进行审查的基础上进行。

For this purpose, the documentation provided shall demonstrate that:

为此，所提供的文件应表明：

(i) Data have been generated according to scientifically recognized methods;

(i) 数据是根据公认的科学方法得出的；

(ii) Data reviews have been performed and documented according to generally recognized scientific principles and procedures;

(ii) 数据的审查和记录是根据公认的科学原则和程序进行的；

(iii) The final regulatory action was based on a risk evaluation involving prevailing conditions within the Party taking the action;

(iii) 最后管制行动是根据采取此种行动的缔约方的现有条件的风险评估确定的；

(c) Consider whether the final regulatory action provides a sufficiently broad basis to merit listing of the chemical in Annex III, by taking into account:

(c) 通过考虑下列因素审议有关的最后管制行动是否提供了充分的依据、因而值得将有关化学品列入附件三：

(i) Whether the final regulatory action led, or would be expected to lead, to a significant decrease in the quantity of the chemical used or the number of its uses;

(i) 有关的最后管制行动是否导致了或预期将导致所用化学品数量或使用次数大幅度下降；

(ii) Whether the final regulatory action led to an actual reduction of risk or would be expected to result in a significant reduction of risk for human health or the environment of the Party that submitted the notification;

(ii) 有关的最后管制行动是否导致了对发出通知缔约方的人民健康或环境的风险的实际减少或预期将使这类风险大幅度减少；

(iii) Whether the considerations that led to the final regulatory action being taken are applicable only in a limited geographical area or in other limited circumstances;

(iii) 导致采取最后管制行动的考虑因素是否仅适用于一个有限的地理区域或其它有限的情况；

(iv) Whether there is evidence of ongoing international trade in the chemical;

(iv) 是否有证据表明仍在进行该化学品的国际贸易；

(d) Take into account that intentional misuse is not in itself an adequate reason to list a chemical in Annex III.

(d) 考虑到有意滥用行为本身并不构成将某一化学品列入附件三的充分理由。

Annex III

附件三

CHEMICALS SUBJECT TO THE PRIOR INFORMED CONSENT PROCEDURE

适用事先知情同意程序的化学品

Chemical

化学品

2,4,5-T and its salts and esters

2，4，5-涕及其各种盐类和酯类

Alachlor

甲草胺

Aldicarb

涕灭威

Aldrin

艾氏剂

Binapacryl

乐杀螨

Captafol

敌菌丹

Chlordane

氯丹

Chlordimeform

杀虫眯

Chlorobenzilate

乙酯杀螨醇

DDT

滴滴涕

Dieldrin

狄氏剂

Dinitro-ortho-cresol (DNOC) and its salts (such as ammonium salt, potassium salt and sodium salt)

二硝基－邻－甲酚 (DNOC) 及其各种盐类 (例如铵盐、钾盐和钠盐)

Dinoseb and its salts and esters

地乐酚及其盐类和和酯类

1,2-dibromoethane (EDB)

1，2-二溴乙烷(EDB)

Endosulfan

硫丹

Ethylene dichloride

二氯化乙烷

Ethylene oxide

环氧乙烷

Fluoroacetamide

敌蚜胺

HCH (mixed isomers)

六六六 (混合异构体)

Heptachlor

七氯

Hexachlorobenzene

六氯苯

Lindane

林丹

Mercury compounds, including inorganic mercury compounds, alkyl mercury compounds and alkyloxyalkyl and aryl mercury compounds

汞化合物，包括无机汞化合物，烷基汞化合物和烷氧烷基及芳基汞化合物

Monocrotophos

久效磷

Parathion

对硫磷

Pentachlorophenol and its salts and esters

五氯苯酚及其盐类和和酯类

Toxaphene

毒杀芬

All tributyltin compounds including:

所有三丁锡化合物 包括：

– Tributyltin oxide

– 三丁锡氧化物

– Tributyltin fluoride

– 三丁锡氟化物

– Tributyltin methacrylate

– 三丁锡甲基丙烯酸

– Tributyltin benzoate

– 三丁锡苯甲酸

– Tributyltin chloride

– 三丁锡氯化物

– Tributyltin linoleate

– 三丁锡亚油酸

– Tributyltin naphthenate

– 三丁锡环烷酸

Dustable powder formulations containing a combination of:

含有以下成份的可粉化混合粉剂：

– Benomyl at or above 7 per cent,

– 含量等于或高于7％的苯菌灵，

– Carbofuran at or above 10 per cent, and

– 含量等于或高于10％的虫螨威，

– Thiram at or above 15 per cent

– 含量等于或高于15％的福美双

Methamidophos (soluble liquid formulations of the substance that exceed 600 g active ingredient/l)

甲胺磷 (有效成份含量超过 600 g /l 的可溶性液剂)

Phosphamidon (soluble liquid formulations of the substance that exceed 1,000 g active ingredient/l)

磷胺 (有效成份含量超过 1000 g /l 的可溶性液剂)

Methyl-parathion (emulsifiable concentrates (EC) at or above 19.5% active ingredient and dusts at or above 1.5% active ingredient)

甲基对硫磷 (有效成份含量等于或高于19.5％的乳油 (EC)及有效成份含量等于或高于 1.5% 的粉剂)

Asbestos:

石棉：

– Actinolite

– 阳起石石棉

– Anthophyllite

– 铁石棉

– Amosite

– 透闪石石棉

– Crocidolite

– 青石棉

– Tremolite

– 直闪石石棉

Polybrominated biphenyls (PBB)

多溴联苯 (PBB)

Polychlorinated biphenyls (PCB)

多氯联苯(PCB)

Polychlorinated terphenyls (PCT)

多氯三联苯 (PCT)

Tetraethyl lead

四乙基铅

Tetramethyl lead

四甲基铅

Tris (2,3-dibromopropyl) phosphate

三 (2，3-二溴丙磷酸脂)磷酸盐

* Only the CAS numbers of parent compounds are listed.

*仅列出原生化合物的化学文摘编号。

For a list of other relevant CAS numbers, reference may be made to the relevant decision guidance document.

关于其他相关的化学文摘编号，可参阅与之相关的决定指导文件。

Annex IV

附 件 四

INFORMATION AND CRITERIA FOR LISTING SEVERELY HAZARDOUS PESTICIDE FORMULATIONS IN ANNEX III

将极为危险的农药制剂列入附件三的标准

Part 1. Documentation required from a proposing Party

第1部分. 提出提案的缔约方需提供的文件

Proposals submitted pursuant to paragraph 1 of Article 6 shall include adequate documentation containing the following information:

根据第6条第1款提交的提案应包括载有以下资料的适当文件：

(a) Name of the hazardous pesticide formulation;

(a) 有关危险农药制剂名称；

(b) Name of the active ingredient or ingredients in the formulation;

(b) 制剂中有效成分名称；

(c) Relative amount of each active ingredient in the formulation;

(c) 每种有效成份在制剂中的相对含量；

(d) Type of formulation;

(d) 制剂种类；

(e) Trade names and names of the producers, if available;

(e) 如有可能，贸易名称和生产商名称；

(f) Common and recognized patterns of use of the formulation within the proposing Party;

(f) 有关制剂在提出提案缔约方境内的常规和公认的使用方式；

(g) A clear description of incidents related to the problem, including the adverse effects and the way in which the formulation was used;

(g) 有关问题所涉事件的明确说明，包括有害影响和有关制剂的使用方法；

(h) Any regulatory, administrative or other measure taken, or intended to be taken, by the proposing Party in response to such incidents.

(h) 提出提案缔约方对这种事件已经采取或准备采取的任何立法、行政或其它措施。

Part 2. Information to be collected by the Secretariat

第2 部分. 秘书处需收集的资料

Pursuant to paragraph 3 of Article 6, the Secretariat shall collect relevant information relating to the formulation, including:

秘书处应根据第6条第3款收集与有关制剂相关的资料，包括：

(a) The physico-chemical, toxicological and ecotoxicological properties of the formulation;

(a) 有关制剂的物理－化学、毒理学和生态毒理学特性；

(b) The existence of handling or applicator restrictions in other States;

(b) 其它国家是否对处理或施用器械有所限制；

(c) Information on incidents related to the formulation in other States;

(c) 其它国家涉及有关制剂的事件的资料；

(d) Information submitted by other Parties, international organizations, nongovernmental organizations or other relevant sources, whether national or international;

(d) 其它缔约方、国际组织、非政府组织或其它有关来源-无论是国家或国际性来源-所提供的资料；

(e) Risk and/or hazard evaluations, where available;

(e) 如有可能，风险和/或危害评估报告；

(f) Indications, if available, of the extent of use of the formulation, such as the number of registrations or production or sales quantity;

(f) 如有可能，有关农药制剂的使用范围的说明，例如登记数或生产量或销售量等，

(g) Other formulations of the pesticide in question, and incidents, if any, relating to these formulations;

(g) 有关农药的其它制剂；如曾发生事件，与这些制剂有关的事件；

(h) Alternative pest-control practices;

(h) 防治害物的替代方法；

(i) Other information which the Chemical Review Committee may identify as relevant.

(i) 化学品审查委员会可能认为有关的其它资料。

Part 3. Criteria for listing severely hazardous pesticide formulations in Annex III

第3部分. 将极为危险的农药制剂列入附件三的标准

In reviewing the proposals forwarded by the Secretariat pursuant to paragraph 5 of Article 6, the Chemical Review Committee shall take into account:

化学品审查委员会在审查秘书处根据第6条第5款提交的提案时应考虑到：

(a) The reliability of the evidence indicating that use of the formulation, in accordance with common or recognized practices within the proposing Party, resulted in the reported incidents;

(a) 说明按照常规或公认的做法在提出提案的缔约方境内使用有关制剂而导致发生所报告的事件的证据是否可靠；

(b) The relevance of such incidents to other States with similar climate, conditions and patterns of use of the formulation;

(b) 此类事件与其它具有类似的气候、条件和制剂使用方式的国家是否相关；

(c) The existence of handling or applicator restrictions involving technology or techniques that may not be reasonably or widely applied in States lacking the necessary infrastructure;

(c) 处理或施用器械方面的限制是否涉及在缺乏基础设施的国家中可能没有得到合理或广泛应用的技术或工艺；

(d) The significance of reported effects in relation to the quantity of the formulation used;

(d) 就制剂的使用量而言，所报告的影响是否具有意义；

(e) That intentional misuse is not in itself an adequate reason to list a formulation in Annex III.

(e) 有意滥用行为本身并不构成将制剂列入附件三的充分理由。

Annex V

附 件 五

INFORMATION REQUIREMENTS FOR EXPORT NOTIFICATION

出口通知所需提供的资料

1. Export notifications shall contain the following information:

1. 出口通知应包括以下资料：

(a) Name and address of the relevant designated national authorities of the exporting Party and the importing Party;

(a) 出口缔约方和进口缔约方的有关指定国家主管部门的名称和地址；

(b) Expected date of export to the importing Party;

(b) 向进口缔约方出口的预定日期；

(c) Name of the banned or severely restricted chemical and summary of the information specified in Annex I that is to be provided to the Secretariat in accordance with Article 5.

(c) 禁用或严格限用化学品的名称以及根据第5条将向秘书处提供的附件一所规定的资料的摘要。

Where more than one such chemical is included in a mixture or preparation, such information shall be provided for each chemical;

如混合物或制剂中含有一种以上此类化学品，则应就每种化学品提供此类资料。

(d) A statement indicating, if known, the foreseen category of the chemical and its foreseen use within that category in the importing Party;

(d) 如已知悉，有关化学品的预期用途类别和在进口缔约方境内该预期用途类别中的预期用途的说明；

(e) Information on precautionary measures to reduce exposure to and emission of, the chemical;

(e) 为减少有关化学品的暴露及其排放而采取的预防措施的资料；

(f) In case of a mixture or a preparation, the concentration of the banned or severely restricted chemical or chemicals in question;

(f) 如为混合物或制剂，有关禁用或严格限用化学品的浓度；

(g) Name and address of the importer;

(g) 进口商的名称和地址；

(h) Any additional information that is readily available to the relevant designated national authority of the exporting Party that would be of assistance to the designated national authority of the importing Party.

(h) 出口缔约方有关指定国家主管部门现有的、对进口缔约方指定国家主管部门具有帮助的任何其它资料；

2. In addition to the information referred to in paragraph 1, the exporting Party shall provide such further information specified in Annex I as may be requested by the importing Party.

2. 除第1款提及的资料外，出口缔约方应提供进口缔约方可能要求提供的附件一所规定的进一步资料。

Annex VI

附件六

SETTLEMENTS OF DISPUTES

争端的解决

A. Rules on arbitration

A. 仲裁规则

The arbitration procedure for purposes of paragraph 2 (a) of article 20 of the Rotterdam Convention on the Prior Informed Consent Procedure for Certain Hazardous Chemicals and Pesticides in International Trade shall be as follows:

为《关于在国际贸易中对某些危险化学品和农药采用事先知情同意程序的鹿特丹公约》第20条第2(a)款之目的，兹订立仲裁程序如下：

Article 1

第1 条

1. A Party may initiate recourse to arbitration in accordance with article 20 of the Convention by written notification addressed to the other Party to the dispute.

1. 任何缔约方均可根据本公约第20条以书面形式通知争端的另一当事方，将争端交付仲裁。

The notification shall be accompanied by a statement of the claim, together with any supporting documents, and shall state the subject matter for arbitration including, in particular, the articles of the Convention the interpretation or application of which are at issue.

此种书面通知应附有关于追索要求的说明以及任何佐证文件，同时阐明仲裁的主题事项并特别列明在解释或适用方面引发争端的本公约条款。

2. The claimant Party shall notify the secretariat that the Parties are referring a dispute to arbitration pursuant to article 20.

2. 原告一方应向秘书处发出通知，说明当事双方正在依照第20条的规定将争端提交仲裁。

The written notification of the claimant Party shall be accompanied by the statement of claim and the supporting documents referred to in paragraph 1 above.

通知中应附有原告一方的书面通知、追索声明以及以上第1款所述及的佐证文件。

The secretariat shall forward the information thus received to all Parties.

秘书处应将所收到的资料转送本公约所有缔约方。

Article 2

第2条

1. In disputes between two Parties, an Arbitral Tribunal shall be established.

1. 如果两个缔约方之间发生争端，应即为此设立仲裁庭。

It shall consist of three members.

仲裁庭应由三名仲裁员组成。

2. Each of the Parties to the dispute shall appoint an arbitrator and the two arbitrators so appointed shall designate by common agreement the third arbitrator, who shall be the President of the Tribunal.

2. 争端所涉的每一方均应指派仲裁员一名，且以此种方式指派的这两名仲裁员应共同协议指定第三名仲裁员，并应由该名仲裁员担任仲裁庭庭长。

The President of the Tribunal shall not be a national of one of the Parties to the dispute, nor have his or her usual place of residence in the territory of one of these Parties, nor be employed by any of them, nor have dealt with the case in any other capacity.

仲裁庭庭长不应是争端的任何一方的国民，其惯常居所亦不应在争端的任何一方境内或受雇于其中任何一方，且从未以任何其他身份涉及该案件。

3. In disputes between more than two Parties, Parties in the same interest shall appoint one arbitrator jointly by agreement.

3. 对于涉及两个以上当事方的争端，所涉利害关系相同的当事方应通过协议共同指派一名仲裁员。

4. Any vacancy shall be filled in the manner prescribed for the initial appointment.

4. 仲裁员的任何空缺均应以最初的指派方式予以填补。

5. If the Parties do not agree on the subject matter of the dispute before the President of the Arbitral Tribunal is designated, the Arbitral Tribunal shall determine the subject matter.

5. 若当事各方在仲裁庭庭长指定之前对争端的主题事项持不同意见，仲裁庭应有权决定所涉的主题事项。

Article 3

第3条

1. If one of the Parties to the dispute does not appoint an arbitrator within two months of the date on which the respondent Party receives the notification of the arbitration, the other Party may inform the Secretary-General of the United Nations who shall make the designation within a further two-month period.

1. 如果争端当事方之一于被告一方接获仲裁通知后两个月之内仍未指派其仲裁员，则另一当事方可就此通知联合国秘书长；联合国秘书长应于其后两个月内指定一名仲裁员。

2. If the President of the Arbitral Tribunal has not been designated within two months of the date of the appointment of the second arbitrator, the Secretary-General of the United Nations shall, at the request of a Party, designate the President within a further two-month period.

2. 如自指派了第二名仲裁员的日期起两个月内仍未指定仲裁庭庭长，则应由联合国秘书长，经任何一方的请求，在其后的两个月内指定仲裁庭庭长。

Article 4

第4条

The Arbitral Tribunal shall render its decisions in accordance with the provisions of the Convention and international law.

仲裁庭应依照本公约的条款以及国际法的规定作出裁决。

Article 5

第5条

Unless the parties to the dispute agree otherwise, the Arbitral Tribunal shall determine its own rules of procedure.

除非争端各方另有协议，仲裁庭应自行确定其审理程序。

Article 6

第6条

The Arbitral Tribunal may, at the request of one of the Parties, recommend essential interim measures of protection.

仲裁庭可应一当事方提出的请求，建议采取必要的临时保护措施。

Article 7

第7条

The Parties to the dispute shall facilitate the work of the Arbitral Tribunal and, in particular, using all means at their disposal, shall:

争端所涉各方应便利仲裁庭的工作，尤应以一切可用手段：

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

(a) 向仲裁庭提供所有相关文件、资料和便利；和

(b) Enable it, when necessary, to call witnesses or experts and receive their evidence.

(b) 于必要时使仲裁庭得以传唤证人或专家并接受其提供的证词。

Article 8

第8条

The Parties and the arbitrators are under an obligation to protect the confidentiality of any information they receive in confidence during the proceedings of the Arbitral Tribunal.

当事各方和仲裁员均有义务保护其在仲裁庭审理案件期间秘密所收到的任何资料的机密性。

Article 9

第9条

Unless the Arbitral Tribunal determines otherwise because of the particular circumstances of the case, the costs of the Tribunal shall be borne by the Parties to the dispute in equal shares.

除非仲裁庭因案情特殊而另有决定，否则仲裁庭的费用应由争端所涉各方平均分担。

The Tribunal shall keep a record of all its costs and shall furnish a final statement thereof to the Parties.

仲裁庭应负责保存所涉全部费用的记录，并应向各当事方送交一份费用决算表。

Article 10

第10条

A Party that has an interest of a legal nature in the subject matter of the dispute which may be affected by the decision in the case, may intervene in the proceedings with the consent of the Arbitral Tribunal.

任何因其与争端主题事项有法律性质的利害关系而可能由于该案件裁决结果而受到影响的缔约方，经仲裁庭同意可介入仲裁过程。

Article 11

第11条

The Arbitral Tribunal may hear and determine counterclaims arising directly out of the subject matter of the dispute.

仲裁庭可就争端的主题事项所直接引起的反诉听取陈诉并作出裁决。

Article 12

第12条

Decisions of the Arbitral Tribunal on both procedure and substance shall be taken by a majority vote of its members.

仲裁庭关于程序和实质问题的裁决均应以其仲裁员的多数票作出。

Article 13

第13条

1. If one of the Parties to the dispute does not appear before the Arbitral Tribunal or fails to defend its case, the other Party may request the Tribunal to continue the proceedings and to render its decision.

1. 如果争端的当事方之一不出庭或未能作出答辩，则另一当事方可要求仲裁庭继续进行仲裁程序并作出裁决。

Absence of a Party or failure of a Party to defend its case shall not constitute a bar to the proceedings.

一方缺席或未能作出答辩，不得成为停止仲裁程序的理由。

2. Before rendering its final decision, the Arbitral Tribunal must satisfy itself that the claim is well founded in fact and law.

2. 仲裁庭在作出最后裁决之前，必须确切查明所提出的追索要求在事实和法律上均有确切的依据。

Article 14

第14条

The Arbitral Tribunal shall render its final decision within five months of the date on which it is fully constituted, unless it finds it necessary to extend the time limit for a period which should not exceed five more months.

除非仲裁庭认定有必要延长作出最后裁决的期限，否则它应在正式组庭后五个月之内作出最后裁决；决定予以延长的期限不得超过其后五个月。

Article 15

第15条

The final decision of the Arbitral Tribunal shall be confined to the subject matter of the dispute and shall state the reasons on which it is based.

仲裁庭的最后裁决应以争端所涉主题事项的范围为限，并应阐明其裁决所依据的理由。

It shall contain the names of the members who have participated and the date of the final decision.

裁决书应载明参与作出裁决的仲裁员姓名和作出最后裁决的日期。

Any member of the Tribunal may attach a separate or dissenting opinion to the final decision.

仲裁庭的任何仲裁员均可在最后裁决书中附上单独的意见或异议。

Article 16

第16条

The award shall be binding on the parties to the dispute.

裁决应对争端各方具有约束力。

The interpretation of the Convention given by the award shall also be binding upon a Party intervening under article 10 above insofar as it relates to matters in respect of which that Party intervened.

对于上文第10条所述介入仲裁过程的当事方，在其介入所涉事项上，裁决书中对《公约》的解释也应对该当事方具有约束力。

The award shall be without appeal unless the parties to the dispute have agreed in advance to an appellate procedure.

裁决不得上诉，除非争端各方已事前议定了上诉程序。

Article 17

第17条

Any controversy which may arise between those bound by the final decision in accordance with article 16 above, as regards the interpretation or manner of implementation of that decision, may be submitted by any of them for decision to the Arbitral Tribunal which rendered it.

按照上文第16条受最后裁决约束的当事方之间如对最后裁决的解释或其执行方式发生任何争执，其中任何一方均可就此提请作出裁决的仲裁庭对之作出裁定。

B. Rules on conciliation

B. 调解规则

The conciliation procedure for purposes of paragraph 6 of article 20 of the Convention shall be as follows.

为《公约》第20条第6款之目的，兹订立调解程序如下：

Article 1

第1条

1. A request by a party to a dispute to establish a conciliation commission in consequence of paragraph 6 of article 20 shall be addressed in writing to the Secretariat.

1. 争端任何一方如按《公约》第20条第6款提出设立调解委员会要求，应以书面形式向秘书处提出此种要求。

The Secretariat shall forthwith inform all Parties accordingly.

秘书处应旋即将此事通知所有缔约方。

2. The conciliation commission shall, unless the parties otherwise agree, be composed of five members, two appointed by each Party concerned and a President chosen jointly by those members.

2. 除非各当事方另有协议，否则调解委员会应由五名成员组成，由每一有关缔约方分别指定其中的两名成员并由这些成员共同选定一名委员会主席。

Article 2

第2条

In disputes between more than two parties, parties in the same interest shall appoint their members of the commission jointly by agreement.

对于涉及两个以上当事方的争端，所涉利害关系相同的当事方应通过协议共同指派其调解委员会成员。

Article 3

第3条

If any appointments by the parties are not made within two months of the date of receipt by the Secretariat of the written request referred to in article 1, the Secretary-General of the United Nations shall, upon request by a party, make those appointments within a further two-month period.

如自秘书处收到第1条提到的书面要求之日起两个月内，尚有任何当事方未指定其委员会成员，则应由联合国秘书长根据任一当事方的请求，于其后两个月内指定这些成员。

Article 4

第4条

If the President of the conciliation commission has not been chosen within two months of the fourth member of the commission being appointed, the Secretary-General of the United Nations shall, upon request by a party, designate the President within a further two-month period.

如自任命了调解委员会第四名成员之日起两个月内尚未选定委员会主席，则应由联合国秘书长根据一当事方的请求，于其后两个月内指定委员会主席。

Article 5

第5条

1. The conciliation commission shall, unless the parties to the dispute otherwise agree, determine its own rules of procedure.

1. 除非各当事方另有协议，调解委员会应确定其议事规则。

2. The parties and members of the commission are under an obligation to protect the confidentiality of any information they receive in confidence during the proceedings of the commission.

2. 当事各方及调解委员会成员有义务对委员会议事期间所收到的机密材料保守机密。

Article 6

第6条

The conciliation commission shall take its decisions by a majority vote of its members.

调解委员会应按其成员的多数票作出决定。

Article 7

第7条

The conciliation commission shall render a report with recommendations for resolution of the dispute within twelve months of being established, which the parties shall consider in good faith.

调解委员会应在其设立后的十二个月内提出一份报告，就解决争端的办法提出建议，各当事方应认真考虑那些建议。

Article 8

第8条

Any disagreement as to whether the conciliation commission has competence to consider a matter referred to it shall be decided by the commission.

对于调解委员会是否对所涉事项拥有审理权限的意见分歧，应由委员会予以裁定。

Article 9

第9条

The costs of the Commission shall be borne by the parties to the dispute in shares agreed by them.

调解委员会的费用应由争端各方按商定的份额分摊支付。

The Commission shall keep the record of all its costs and shall furnish a final statement thereof to the parties.

调解委员会应负责保存其所有费用的记录，并向各方提供一份最后的费用决算表。

Adopted by the First Meeting of the Conference of the Parties by its decision RC-1/11 of 24 September 2004.

经缔约方大会第一届会议2004年9月24日第RC 1/11号决定通过。