第37/93號命令

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獨一條——通過一九八九年三月二十二日在巴塞爾議定之屬聯合國環境計劃範圍內之《控制危險廢物越境轉移及其處置公約》以待批准；該公約之英文原文及葡文譯本附於本命令。

一九九三年七月二十二日於部長會議內檢閱及通過——Aníbal António Cavaco Silva——José Manuel Durão Barroso——Maria Teresa Pinto Basto Gouveia——Eduardo Eugénio Castro de Azevedo Soares。

BASEL CONVENTION ON THE CONTROL OF TRANSBOUNDARY MOVEMENTS OF HAZARDOUS WASTES AND THEIR DISPOSAL

Preamble

Aware of the risk of damage to human health and the environment caused by hazardous wastes and other wastes and the transboundary movement thereof;

Mindful of the growing threat to human health and the environment posed by the increased generation and complexity, and transboundary movement of hazardous wastes and other wastes;

Mindful also that the most effective way of protecting human health and the environment from the dangers posed by such wastes is the reduction of their generation to a minimum in terms of quantity and/or hazard potential;

Convinced that States should take necessary measures to ensure that the management of hazardous wastes and other wastes including their transboundary movement and disposal is consistent with the protection of human health and the environment whatever the place of their disposal;

Noting that States should ensure that the generator should carry out duties with regard to the transport and disposal of hazardous wastes and other wastes in a manner that is consistent with the protection of the environment, whatever the place of disposal;

Fully recognizing that any State has the sovereign right to ban the entry or disposal of foreign hazardous wastes and other wastes in its territory;

Recognizing also the increasing desire for the prohibition of transboundary movements of hazardous wastes and their disposal in other States, especially developing countries;

Convinced that hazardous wastes and other wastes should, as far as is compatible with environmentally sound and efficient management, be disposed of in the State where they were generated;

Aware also that transboundary movements of such wastes from the State of their generation to any other State should be permitted only when conducted under conditions which do not endanger human health and the environment, and under conditions in conformity with the provisions of this Convention;

Considering that enhanced control of transboundary movement of hazardous wastes and other wastes will act as an incentive for their environmentally sound management and for the reduction of the volume of such transboundary movement;

Convinced that States should take measures for the proper exchange of information on and control of the transboundary movement of hazardous wastes and other wastes from and to those States;

Noting that a number of international and regional agreements have addressed the issue of protection and preservation of the environment with regard to the transit of dangerous goods;

Taking into account the Declaration of the United Nations Conference on the Human Environment (Stockholm, 1972), the Cairo Guidelines and Principles for the Environmentally Sound Management of Hazardous Wastes adopted by the Governing Council of the United Nations Environment Programme (UNEP) by decision 14/30 of 17 June 1987, the Recommendations of the United Nations Committee of Experts on the Transport of Dangerous Goods (formulated in 1957 and updated biennially), relevant recommendations, declarations, instruments and regulations adopted within the United Nations system and the work and studies done within other international and regional organizations;

Mindful of the spirit, principles, aims and functions of the World Charter for Nature adopted by the General Assembly of the United Nations at its thirty-seventh session (1982) as the rule of ethics in respect of the protection of the human environment and the conservation of natural resources;

Affirming that States are responsible for the fulfilment of their international obligations concerning the protection of human health and protection and preservation of the environment, and are liable in accordance with international law;

Recognizing that in the case of a material breach of the provisions of this Convention or any protocol thereto the relevant international law of treaties shall apply;

Aware of the need to continue the development and implementation of environmentally sound low-waste technologies, recycling options, good house-keeping and management systems with a view to reducing to a minimum the generation of hazardous wastes and other wastes;

Aware also of the growing international concern about the need for stringent control of transboundary movement of hazardous wastes and other wastes, and of the need as far as possible to reduce such movement to a minimum;

Concerned about the problem of illegal transboundary traffic in hazardous wastes and other wastes;

Taking into account also the limited capabilities of the developing countries to manage hazardous wastes and other wastes;

Recognizing the need to promote the transfer of technology for the sound management of hazardous wastes and other wastes produced locally, particularly to the developing countries in accordance with the spirit of the Cairo Guidelines and decision 14/16 of the Governing Council of UNEP on Promotion of the transfer of environmental protection technology;

Recognizing also that hazardous wastes and other wastes should be transported in accordance with relevant international conventions and recommendations;

Convinced also that the transboundary movement of hazardous wastes and other wastes should be permitted only when the transport and the ultimate disposal of such wastes is environmentally sound; and

Determined to protect, by strict control, human health and the environment against the adverse effects which may result from the generation and management of hazardous wastes and other wastes;

Article 1

Scope of the Convention

1 — The following wastes that are subject to transboundary movement shall be «hazardous wastes» for the purposes of this Convention:

a) Wastes that belong to any category contained in annex I, unless they do not possess any of the characteristics contained in annex III; and

b) Wastes that are not covered under paragraph (a) but are defined as, or are considered to be, hazardous wastes by the domestic legislation of the Party of export, import or transit.

2 — Wastes that belong to any category contained in annex II that are subject to transboundary movement shall be «other wastes» for the purposes of this Convention.

3 — Wastes which, as a result of being radioactive, are subject to other international control systems, including international instruments, applying specifically to radioactive materials, are excluded from the scope of this Convention.

4 — Wastes which derive from the normal operations of a ship, the discharge of which is covered by another international instrument, are excluded from the scope of this Convention.

Article 2

Definitions

1) «Wastes» are substances or objects which are disposed of or are intended to be disposed of or are required to be disposed of by the provisions of national law;

2) «Management» means the collection, transport and disposal of hazardous wastes or other wastes, including after-care of disposal sites;

3) «Transboundary movement» means any movement of hazardous wastes or other wastes from an area under the national jurisdiction of one State to or through an area under the national jurisdiction of another State or to or through an area not under the national jurisdiction of any State, provided at least two States are involved in the movement;

5) «Approved site or facility» means a site or facility for the disposal of hazardous wastes or other wastes which is authorized or permitted to operate for this purpose by a relevant authority of the State where the site or facility is located;

6) «Competent authority» means one governmental authority designated by a Party to be responsible, within such geographical areas as the Party may think fit, for receiving the notification of a transboundary movement of hazardous wastes or other wastes, and any information related to it, and for responding to such a notification, as provided in article 6;

7) «Focal point» means the entity of a Party referred to in article 5 responsible for receiving and submitting information as provided for in articles 13 and 16;

8) «Environmentally sound management of hazardous wastes or other wastes» means taking all practicable steps to ensure that hazardous wastes or other wastes are managed in a manner which will protect human health and the environment against the adverse effects which may result from such wastes;

9) «Area under the national jurisdiction of a State» means any land, marine area or airspace within which a State exercises administrative and regulatory responsibility in accordance with international law in regard to the protection of human health or the environment;

10) «State of export» means a Party from which a transboundary movement of hazardous wastes or other wastes is planned to be initiated or is initiated;

11) «State of import» means a Party to which a transboundary movement of hazardous wastes or other wastes is planned or takes place for the purpose of disposal therein or for the purpose of loading prior to disposal in an area not under the national jurisdiction of any State;

12) «State of transit» means any State, other than the State of export or import, through which a movement of hazardous wastes or other wastes is planned or takes place;

13) «States concerned» means Parties which are States of export or import, or transit States, whether or not Parties;

15) «Exporter» means any person under the jurisdiction of the State of export who arranges for hazardous wastes or other wastes to be exported;

16) «Importer» means any person under the jurisdiction of the State of import who arranges for hazardous wastes or other wastes to be imported;

17) «Carrier» means any person who carries out the transport of hazardous wastes or other wastes;

18) «Generator» means any person whose activity produces hazardous wastes or other wastes or, if that person is not known, the person who is in possession and/or control of those wastes;

19) «Disposer» means any person to whom hazardous wastes or other wastes are shipped and who carries out the disposal of such wastes;

20) «Political and/or economic integration organization» means an organization constituted by sovereign States 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, formally confirm or accede to it;

21) «Illegal traffic» means any transboundary movement of hazardous wastes or other wastes as specified in article 9.

Article 3

National definitions of hazardous wastes

1 — Each Party shall, within six months of becoming a Party to this Convention, inform the Secretariat of the Convention of the wastes, other than those listed in annexes I and II, considered or defined as hazardous under its national legislation and of any requirements concerning transboundary movement procedures applicable to such wastes.

2 — Each Party shall subsequently inform the Secretariat of any significant changes to the information it has provided pursuant to paragraph 1.

3 — The Secretariat shall forthwith inform all Parties of the information it has received pursuant to paragraphs 1 and 2.

4 — Parties shall be responsible for making the information transmitted to them by the Secretariat under paragraph 3 available to their exporters.

Article 4

General obligations

1 — a) Parties exercising their right to prohibit the import of hazardous wastes or other wastes for disposal shall inform the other Parties of their decision pursuant to article 13.

b) Parties shall prohibit or shall not permit the export of hazardous wastes and other wastes to the Parties which have prohibited the import of such wastes, when notified pursuant to subparagraph a) above.

c) Parties shall prohibit or shall not permit the export of hazardous wastes and other wastes if the State of import does not consent in writing to the specific import, in the case where that State of import has not prohibited the import of such wastes.

a) Ensure that the generation of hazardous wastes and other wastes within it is reduced to a minimum, taking into account social, technological and economic aspects;

b) Ensure the availability of adequate disposal facilities, for the environmentally sound management of hazardous wastes and other wastes, that shall be located, to the extent possible, within it, whatever the place of their disposal;

c) Ensure that persons involved in the management of hazardous wastes or other wastes within it take such steps as are necessary to prevent pollution due to hazardous wastes and other wastes arising from such management and, if such pollution occurs, to minimize the consequences thereof for human health and the environment;

d) Ensure that the transboundary movement of hazardous wastes and other wastes is reduced to the minimum consistent with the environmentally sound and efficient management of such wastes, and is conducted in a manner which will protect human health and the environment against the adverse effects which may result from such movement;

e) Not allow the export of hazardous wastes or other wastes to a State or group of States belonging to an economic and/or political integration organization that are Parties, particularly developing countries, which have prohibited by their legislation all imports, or if it has reason to believe that the wastes in question will not be managed in an environmentally sound manner, according to criteria to be decided on by the Parties at their first meeting;

f) Require that information about a proposed transboundary movement of hazardous wastes and other wastes be provided to the States concerned, according to annex V-A, to state clearly the effects of the proposed movement on human health and the environment;

g) Prevent the import of hazardous wastes and other wastes if it has reason to believe that the wastes in question will not be managed in an environmentally sound manner;

h) Co-operate in activities with other Parties and interested organizations, directly and through the Secretariat, including the dissemination of information on the transboundary movement of hazardous wastes and other wastes, in order to improve the environmentally sound management of such wastes and to achieve the prevention of illegal traffic.

3 — The Parties consider that illegal traffic in hazardous wastes or other wastes is criminal.

4 — Each Party shall take appropriate legal, administrative and other measures to implement and enforce the provisions of this Convention, including measures to prevent and punish conduct in contravention of the Convention.

5 — A Party shall not permit hazardous wastes or other wastes to be exported to a non-Party or to be imported from a non-Party.

6 — The Parties agree not to allow the export of hazardous wastes or other wastes for disposal within the area south of 60º South latitude, whether or not such wastes are subject to transboundary movement.

a) Prohibit all persons under its national jurisdiction from transporting or disposing of hazardous wastes or other wastes unless such persons are authorized or allowed to perform such types of operations;

b) Require that hazardous wastes and other wastes that are to be the subject of a transboundary movement be packaged, labelled, and transported in conformity with generally accepted and recognized international rules and standards in the field of packaging, labelling, and transport, and that due account is taken of relevant internationally recognized practices;

c) Require that hazardous wastes and other wastes be accompanied by a movement document from the point at which a transboundary movement commences to the point of disposal.

8 — Each Party shall require that hazardous wastes or other wastes, to be exported, are managed in an environmentally sound manner in the State of import or elsewhere. Technical guidelines for the environmentally sound management of wastes subject to this Convention shall be decided by the Parties at their first meeting.

9 — Parties shall take the appropriate measures to ensure that the transboundary movement of hazardous wastes and other wastes only be allowed if:

a) The State of export does not have the technical capacity and the necessary facilities, capacity or suitable disposal sites in order to dispose of the wastes in question in an environmentally sound and efficient manner; or

b) The wastes in question are required as a raw material for recycling or recovery industries in the State of import; or

c) The transboundary movement in question is in accordance with other criteria to be decided by the Parties, provided those criteria do not differ from the objectives of this Convention.

10 — The obligation under this Convention of States in which hazardous wastes and other wastes are generated to require that those wastes are managed in an environmentally sound manner may not under any circumstances be transferred to the States of import or transit.

11 — Nothing in this Convention shall prevent a Party from imposing additional requirements that are consistent with the provisions of this Convention, and are in accordance with the rules of international law, in order better to protect human health and the environment.

12 — Nothing in this Convention shall affect in any way the sovereignty of States over their territorial sea established in accordance with international law, and the sovereign rights and the jurisdiction which States have in their exclusive economic zones and their continental shelves in accordance with international law, and the exercise by ships and aircraft of all States of navigational rights and freedoms as provided for in international law and as reflected in relevant international instruments.

13 — Parties shall undertake to review periodically the possibilities for the reduction of the amount and/or the pollution potential of hazardous wastes and other wastes which are exported to other States, in particular to developing countries.

Article 5

Designation of competent authorities and focal point

1) Designate or establish one or more competent authorities and one focal point. One competent authority shall be designated to receive the notification in case of a State of transit;

2) Inform the Secretariat, within three months of the date of the entry into force of this Convention for them, which agencies they have designated as their focal point and their competent authorities;

3) Inform the Secretariat, within one month of the date of decision, of any changes regarding the designation made by them under paragraph 2) above.

Article 6

Transboundary movement between Parties

1 — The State of export shall notify, or shall require the generator or exporter to notify, in writing, through the channel of the competent authority of the State of export, the competent authority of the States concerned of any proposed transboundary movement of hazardous wastes or other wastes. Such notification shall contain the declarations and information specified in annex V-A, written in a language acceptable to the State of import. Only one notification needs to be sent to each State concerned.

2 — The State of import shall respond to the notifier in writing, consenting to the movement with or without conditions, denying permission for the movement, or requesting additional information. A copy of the final response of the State of import shall be sent to the competent authorities of the States concerned which are Parties.

3 — The State of export shall not allow the generator or exporter to commence the transboundary movement until it has received written confirmation that:

b) The notifier has received from the State of import confirmation of the existence of a contract between the exporter and the disposer specifying environmentally sound management of the wastes in question.

4 — Each State of transit which is a Party shall promptly acknowledge to the notifier receipt of the notification. It may subsequently respond to the notifier in writing, within 60 days, consenting to the movement with or without conditions, denying permission for the movement, or requesting additional information. The State of export shall not allow the transboundary movement to commence until it has received the written consent of the State of transit. However, if at any time a Party decides not to require prior written consent, either generally or under specific conditions, for transit transboundary movements of hazardous wastes or other wastes, or modifies its requirements in this respect, it shall forthwith inform the other Parties of its decision pursuant to article 13. In this latter case, if no response is received by the State of export within 60 days of the receipt of a given notification by the State of transit, the State of export may allow the export to proceed through the State of transit.

5 — In the case of a transboundary movement of wastes where the wastes are legally defined as or considered to be hazardous wastes only:

a) By the State of export, the requirements of paragraph 9 of this article that apply to the importer or disposer and the State of import shall apply mutatis mutandis to the exporter and State of export, respectively;

b) By the State of import, or by the States of import and transit which are Parties, the requirements of paragraphs 1, 3, 4 and 6 of this article that apply to the exporter and State of export shall apply mutatis mutandis to the importer or disposer and State of import, respectively; or

c) By any State of transit which is a Party, the provisions of paragraph 4 shall apply to such State.

6 — The State of export may, subject to the written consent of the States concerned, allow the generator or the exporter to use a general notification where hazardous wastes or other wastes having the same physical and chemical characteristics are shipped regularly to the same disposer via the same customs office of exit of the State of export via the same customs office of entry of the State of import, and, in the case of transit, via the same customs office of entry and exit of the State or States of transit.

7 — The States concerned may make their written consent to the use of the general notification referred to in paragraph 6 subject to the supply of certain information, such as the exact quantities or periodical lists of hazardous wastes or other wastes to be shipped.

8 — The general notification and written consent referred to in paragraphs 6 and 7 may cover multiple shipments of hazardous wastes or other wastes during a maximum period of 12 months.

9 — The Parties shall require that each person who takes charge of a transboundary movement of hazardous wastes or other wastes sign the movement document either upon delivery or receipt of the wastes in question. They shall also require that the disposer inform both the exporter and the competent authority of the State of export of receipt by the disposer of the wastes in question and, in due course, of the completion of disposal as specified in the notification. If no such information is received within the State of export, the competent authority of the State of export or the exporter shall so notify the State of import.

10 — The notification and response required by this article shall be transmitted to the competent authority of the Parties concerned or to such governmental authority as may be appropriate in the case of non-Parties.

11 — Any transboundary movement of hazardous wastes or other wastes shall be covered by insurance, bond or other guarantee as may be required by the State of import or any State of transit which is a Party.

Article 7

Transboundary movement from a Party through States which are not Parties

Paragraph 2 of article 6 of the Convention shall apply mutatis mutandis to transboundary movement of hazardous wastes or other wastes from a Party through a State or States which are not Parties.

Article 8

Duty to re-import

When a transboundary movement of hazardous wastes or other wastes to which the consent of the States concerned has been given, subject to the provisions of this Convention, cannot be completed in accordance with the terms of the contract, the State of export shall ensure that the wastes in question are taken back into the State of export, by the exporter, if alternative arrangements cannot be made for their disposal in an environmentally sound manner, within 90 days from the time that the importing State informed the State of export and the Secretariat, or such other period of time as the States concerned agree. To this end, the State of export and any Party of transit shall not oppose, hinder or prevent the return of those wastes to the State of export.

Article 9

Illegal traffic

1 — For the purpose of this Convention, any transboundary movement of hazardous wastes or other wastes:

a) Without notification pursuant to the provisions of this Convention to all States concerned; or

b) Without the consent pursuant to the provisions of this Convention of a State concerned; or

c) With consent obtained from States concerned through falsification, misrepresentation or fraud; or

e) That results in deliberate disposal (e.g. dumping) of hazardous wastes or other wastes in contravention of this Convention and of general principles of international law;

2 — In case of a transboundary movement of hazardous wastes or other wastes deemed to be illegal traffic as the result of conduct on the part of the exporter or generator, the State of export shall ensure that the wastes in question are:

a) Taken back by the exporter or the generator or, if necessary, by itself into the State of export; or, if impracticable;

b) Are otherwise disposed of in accordance with the provisions of this Convention;

within 30 days from the time the State of export has been informed about the illegal traffic or such other period of time as States concerned may agree. To this end the Parties concerned shall not oppose, hinder or prevent the return of those wastes to the State of export.

3 — In the case of a transboundary movement of hazardous wastes or other wastes deemed to be illegal traffic as the result of conduct on the part of the importer or disposer, the State of import shall ensure that the wastes in question are disposed of in an environmentally sound manner by the importer or disposer or, if necessary, by itself within 30 days from the time the illegal traffic has come to the attention of the State of import or such other period of time as the States concerned may agree. To this end, the Parties concerned shall co-operate, as necessary, in the disposal of the wastes in an environmentally sound manner.

4 — In cases where the responsibility for the illegal traffic cannot be assigned either to the exporter or generator or to the importer or disposer, the Parties concerned or other Parties, as appropriate, shall ensure, through co-operation, that the wastes in question are disposed of as soon as possible in an environmentally sound manner either in the State of export or the State of import or elsewhere as appropriate.

5 — Each Party shall introduce appropriate national/domestic legislation to prevent and punish illegal traffic. The Parties shall co-operate with a view to achieving the objects of this article.

Article 10

International co-operation

1 — The Parties shall co-operate with each other in order to improve and achieve environmentally sound management of hazardous wastes and other wastes.

a) Upon request, make available information, whether on a bilateral or multilateral basis, with a view to promoting the environmentally sound management of hazardous wastes and other wastes, including harmonization of technical standards and practices for the adequate management of hazardous wastes and other wastes;

b) Co-operate in monitoring the effects of the management of hazardous wastes on human health and the environment;

c) Co-operate, subject to their national laws, regulations and policies, in the development and implementation of new environmentally sound low-waste technologies and the improvement of existing technologies with a view to eliminating, as far as practicable, the generation of hazardous wastes and other wastes and achieving more effective and efficient methods of ensuring their management in an environmentally sound manner, including the study of the economic, social and environmental effects of the adoption of such new or improved technologies;

d) Co-operate actively, subject to their national laws, regulations and policies, in the transfer of technology and management systems related to the environmentally sound management of hazardous wastes and other wastes. They shall also co-operate in developing the technical capacity among Parties, especially those which may need and request technical assistance in this field;

e) Co-operate in developing appropriate technical guidelines and/or codes of practice.

3 — The Parties shall employ appropriate means to co-operate in order to assist developing countries in the implementation of subparagraphs a, b, c and d of paragraph 2 of article 4.

4 — Taking into account the needs of developing countries, co-operation between Parties and the competent international organizations is encouraged to promote, inter alia, public awareness, the development of sound management of hazardous wastes and other wastes and the adoption of new low-waste technologies.

Article 11

Bilateral, multilateral and regional agreements

1 — Notwithstanding the provisions of article 4, paragraph 5, Parties may enter into bilateral, multilateral, or regional agreements or arrangements regarding transboundary movement of hazardous wastes or other wastes with Parties or non-Parties provided that agreements or arrangements do not derogate from the environmentally sound management of hazardous wastes and other wastes as required by this Convention. These agreements or arrangements shall stipulate provisions which are not less environmentally sound than those provided for by this Convention in particular taking into account the interests of developing countries.

2 — Parties shall notify the Secretariat of any bilateral, multilateral or regional agreements or arrangements referred to in paragraph 1 and those which they have entered into prior to the entry into force of this Convention for them, for the purpose of controlling transboundary movements of hazardous wastes and other wastes which take place entirely among the Parties to such agreements. The provisions of this Convention shall not affect transboundary movements which take place pursuant to such agreements provided that such agreements are compatible with the environmentally sound management of hazardous wastes and other wastes as required by this Convention.

Article 12

Consultations on Liability

The Parties shall co-operate with a view to adopting, as soon as practicable, a protocol setting out appropriate rules and procedures in the field of liability and compensation for damage resulting from the transboundary movement and disposal of hazardous wastes and other wastes.

Article 13

Transmission of information

1 — The Parties shall, whenever it come to their knowledge, ensure that, in the case of an accident occurring during the transboundary movement of hazardous wastes or other wastes or their disposal, which are likely to present risks to human health and the environment in other States, those states are immediately informed.

a) Changes regarding the designation of competent authorities and/or focal points, pursuant to article 5;

b) Changes in their national definition of hazardous wastes, pursuant to article 3; and, as soon as possible;

c) Decisions made by them not to consent totally or partially to the import of hazardous wastes or other wastes for disposal within the area under their national jurisdiction;

d) Decisions taken by them to limit or ban the export of hazardous wastes or other wastes;

3 — The Parties, consistent with national laws and regulations, shall transmit, through the Secretariat, to the Conference of the Parties established under article 15, before the end of each calendar year, a report on the previous calendar year, containing the following information:

a) Competent authorities and focal points that have been designated by them pursuant to article 5;

b) Information regarding transboundary movements of hazardous wastes or other wastes in which they have been involved, including:

i) The amount of hazardous wastes and other wastes exported, their category, characteristics, destination, any transit country and disposal method as stated on the response to notification;

ii) The amount of hazardous wastes and other wastes imported, their category, characteristics, origin, and disposal methods;

iv) Efforts to achieve a reduction of the amount of hazardous wastes or other wastes subject to transboundary movement;

c) Information on the measures adopted by them in implementation of this Convention;

d) Information on available qualified statistics which have been compiled by them on the effects of human health and the environment of the generation, transportation and disposal of hazardous wastes or other wastes;

e) Information concerning bilateral, multilateral and regional agreements and arrangements entered into pursuant to article 11 of this Convention;

f) Information on accidents occurring during the transboundary movement and disposal of hazardous wastes and other wastes and on the measures undertaken to deal with them;

g) Information on disposal options operated within the area of their national jurisdiction;

h) Information on measures undertaken for development of technologies for the reduction and/or elimination of production of hazardous wastes and other wastes; and

4 — The Parties, consistent with national laws and regulations, shall ensure that copies of each notification concerning any given transboundary movement of hazardous wastes or other wastes, and the response to it, are sent to the Secretariat when a Party considers that its environment may be affected by that transboundary movement has requested that this should be done.

Article 14

Financial aspects

1 — The Parties agree that, according to the specific needs of different regions and subregions, regional or sub-regional centres for training and technology transfers regarding the management of hazardous wastes and other wastes and the minimization of their generation should be established. The Parties shall decide on the establishment of appropriate funding mechanisms of a voluntary nature.

2 — The Parties shall consider the establishment of a revolving fund to assist on an interim basis in case of emergency situations to minimize damage from accidents arising from transboundary movements of hazardous wastes and other wastes or during the disposal of those wastes.

Article 15

Conference of the Parties

1 — A Conference of the Parties is hereby established. The first meeting of the Conference of the Parties shall be convened by the Executive Director of UNEP not later than one year after the entry into force of this Convention. Thereafter, ordinary meetings of the Conference of the Parties shall be held at regular intervals to be determined by the Conference at its first meeting.

2 — 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, within six months of the request being communicated to them by the Secretariat, it is supported by at least one third of the Parties.

3 — The Conference of the Parties shall be consensus agree upon and adopt rules of procedure for itself and for any subsidiary body it may establish, as well as financial rules to determine in particular the financial participation of the Parties under this Convention.

4 — The Parties at their first meeting shall consider any additional measures needed to assist them in fulfilling their responsibilities with respect to the protection and the preservation of the marine environment in the context of this Convention.

5 — The Conference of the Parties shall keep under continuous review and evaluation the effective implementation of this Convention, and, in addition, shall:

a) Promote the harmonization of appropriate policies, strategies and measures for minimizing harm to human health and the environment by hazardous wastes and other wastes;

b) Consider and adopt, as required, amendments to this Convention and its annexes, taking into consideration, inter alia, available scientific, technical, economic and environmental information;

c) Consider and undertake any additional action that may be required for the achievement of the purposes of this Convention in the light of experience gained in its operation and in the operation of the agreements and arrangements envisaged in article 11;

e) Establish such subsidiary bodies as are deemed necessary for the implementation of this Convention.

6 — The United Nations, its specialized agencies, as well as any State not party to this Convention, may be represented as observers at meetings of the Conference of the Parties. Any other body or agency, whether national or international, governmental or non-governmental, qualified in fields relating to hazardous wastes or other wastes which has informed the Secretariat of its wish to be represented as an observer at a meeting of the Conference of the Parties, may be admitted unless at least one third of the Parties present object. The admission and participation of observers shall be subject to the rules of procedure adopted by the Conference of the Parties.

7 — The Conference of the Parties shall undertake three years after the entry into force of this Convention, and at least every six years thereafter, an evaluation of its effectiveness and, if deemed necessary, to consider the adoption of a complete or partial ban of transboundary movements of hazardous wastes and other wastes in light of the latest scientific, environmental, technical and economic information.

Article 16

Secretariat

b) To prepare and transmit reports based upon information received in accordance with articles 3, 4, 6, 11 and 13 as well as upon information derived from meetings of subsidiary bodies established under article 15 as well as upon, as appropriate, information provided by relevant intergovernmental and non-governmental entities;

c) To prepare reports on its activities carried out in implementation of its functions under this Convention and present them to the Conference of the Parties;

d) To ensure the necessary coordination with relevant international bodies, and in particular to enter into such administrative and contractual arrangements as may be required for the effective discharge of its functions;

e) To communicate with focal points and competent authorities established by the Parties in accordance with article 5 of this Convention;

f) To compile information concerning authorized national sites and facilities of Parties available for the disposal of their hazardous wastes and other wastes and to circulate this information among Parties;

environmentally sound technologies relating to hazardous wastes and other wastes, such as low — and non — waste technology;

h) To provide Parties, upon request, with information on consultants or consulting firms having the necessary technical competence in the field, which can assist them to examine a notification for a transboundary movement, the concurrence of a shipment of hazardous wastes or other wastes with the relevant notification, and/or the fact that the proposed disposal facilities for hazardous wastes or other wastes are environmentally sound, when they have reason to believe that wastes in question will not be managed in an environmentally sound manner. Any such examination would not be at the expense of the Secretariat;

i) To assist Parties upon request in their identification of cases of illegal traffic and to circulate immediately to the Parties concerned any information it has received regarding illegal traffic;

j) To co-operate with Parties and with relevant and competent international organizations and agencies in the provision of experts and equipment for the purpose of rapid assistance to States in the event of an emergency situation; and

k) To perform such other functions relevant to the purposes of this Convention as may be determined by the Conference of the Parties.

2 — The secretariat functions will be carried out on an interim basis by UNEP until the completion of the first meeting of the Conference of the Parties held pursuant to article 15.

3 — At its first meeting, the Conference of the Parties shall designate the Secretariat from among those existing competent intergovernmental organizations which have signified their willingness to carry out the secretariat functions under this Convention. At this meeting, the Conference of the Parties shall also evaluate the implementation by the interim Secretariat of the functions assigned to it, in particular under paragraph 1 above, and decide upon the structures appropriate for those functions.

Article 17

Amendment of the Convention

1 — Any Party may propose amendments to this Convention and any Party to a protocol may propose amendments to that protocol. Such amendments shall take due account, inter alia, of relevant scientific and technical considerations.

2 — Amendments to this Convention shall be adopted at a meeting of the Conference of the Parties. Amendments to any protocol shall be adopted at a meeting of the Parties to the protocol in question. The text of any proposed amendment to this Convention or to any protocol, except as may otherwise be provided in such protocol, shall be communicated to the Parties by the Secretariat at least six months before the meeting at which it is proposed for adoption. The Secretariat shall also communicate proposed amendments to the Signatories to this Convention for information.

3 — The Parties shall make every effort to reach agreement on any proposed amendment to this Convention by consensus. 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, and shall be submitted by the Depositary to all Parties for ratification, approval, formal confirmation or acceptance.

4 — The procedure mentioned in paragraph 3 above shall apply to amendments to any protocol, except that a two-thirds majority of the Parties to that protocol present and voting at the meeting shall suffice for their adoption.

5 — Instruments of ratification, approval, formal confirmation or acceptance of amendments shall be deposited with the Depositary. Amendments adopted in accordance with paragraphs 3 or 4 above shall enter into force between Parties having accepted them on the ninetieth day after the receipt by the Depositary of their instrument of ratification, approval, formal confirmation or acceptance by at least three-fourths of the Parties who accepted the amendments to the protocol concerned, except as may otherwise be provided in such protocol. The amendments shall enter into force for any other Party on the ninetieth day after that Party deposits its instrument of ratification, approval, formal confirmation or acceptance of the amendments.

6 — For the purpose of this article, «Parties present and voting» means Parties present and casting an affirmative or negative vote.

Article 18

Adoption and amendment of annexes

1 — The annexes to this Convention or to any protocol shall form an integral part of this Convention or of such protocol, as the case may be and, unless expressly provided otherwise, a reference to this Convention or its protocols constitutes at the same time a reference to any annexes thereto. Such annexes shall be restricted to scientific, technical and administrative matters.

2 — Except as may be otherwise provided in any protocol with respect to its annexes, the following procedure shall apply to the proposal, adoption and entry into force of additional annexes to this Convention or of annexes to a protocol:

a) Annexes to this Convention and its protocols shall be proposed and adopted according to the procedure laid down in article 17, paragraphs 2, 3 and 4;

b) Any Party that is unable to accept an additional annex to this Convention or an annex to any protocol to which it is party shall so notify the Depositary, in writing, within six months from the date of the communication of the adoption by the Depositary. The Depositary shall without delay notify all Parties of any such notification received. A Party may at any time substitute an acceptance for a previous declaration of objection and the annexes shall thereupon enter into force for that Party;

c) On the expiry of six months from the date of the circulation of the communication by the Depositary, the annex shall become effective for all Parties to this Convention or to any protocol concerned, which have not submitted a notification in accordance with the provision of subparagraph b) above.

3 — The proposal, adoption and entry into force of amendments to annexes to this Convention or to any protocol shall be subject to the same procedure as for the proposal, adoption and entry into force of annexes to the Convention or annexes to a protocol. Annexes and amendments thereto shall take due account, inter alia, of relevant scientific and technical considerations.

4 — If an additional annex or an amendment to an annex involves an amendment to this Convention or to any protocol, the additional annex or amended annex shall not enter into force until such time the amendment to this Convention or to the protocol enters into force.

Article 19

Verification

Any Party which has reason to believe that another Party is acting or has acted in breach of its obligations under this Convention may inform the Secretariat thereof, and in such an event, shall simultaneously and immediately inform, directly or through the Secretariat, the Party against whom the allegations are made. All relevant information should be submitted by the Secretariat to the Parties.

Article 20

Settlement of disputes

1 — In case of a dispute between Parties as to the interpretation or apllication of, or compliance with, this Convention or any protocol thereto, they shall seek a settlement of the dispute through negotiation or any other peaceful means of their own choice.

2 — If the Parties concerned cannot settle their dispute through the means mentioned in the preceding paragraph, the dispute, if the parties to the dispute agree, shall be submitted to the International Court of Justice or to arbitration under the conditions set out in annex VI on Arbitration. However, failure to reach common agreement on submission of the dispute to the International Court of Justice or to arbitration shall not absolve the Parties from the responsibility of continuing to seek to resolve it by the means referred to in paragraph 1.

3 — When ratifying, accepting, approving, formally confirming or acceding to this Convention, or at any time thereafter, a State or political and/or economic integration organization may declare that it recognizes as compulsory ipso facto and without special agreement, in relation to any Party accepting the same obligation:

Such declaration shall be notified in writing to the Secretariat which shall communicate it to the Parties.

Article 21

Signature

This Convention shall be open for signature by States, by Namibia, represented by the United Nations Council for Namibia, and by political and/or economic integration organizations, in Basel on 22 March 1989, at the Federal Department of Foreign Affairs of Switzerland in Berne from 23 March 1989 to 30 June 1989, and at United Nations Headquarters in New York from 1 July 1989 to 22 March 1990.

Article 22

Ratification, acceptance, formal confirmation or approval

1 — This Convention shall be subject to ratification, acceptance or approval by States and by Namibia, represented by the United Nations Council for Namibia, and to formal confirmation or approval by political and/or economic integration organizations. Instruments of ratification, acceptance, formal confirmation, or approval shall be deposited with the Depositary.

2 — Any organization referred to in paragraph 1 above which 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. In the case of such organizations, one or more of whose member States is a Party to the Convention, the organization and its member States shall decide on their respective responsibilities for the performance or their obligations under the Convention. In such cases, the organization and the member States shall not be entitled to exercise rights under the Convention concurrently.

3 — In their instruments of formal confirmation or approval, the organizations referred to in paragraph 1 above shall declare the extent of their competence with respect to the matters governed by the Convention. These organizations shall also inform the Depositary, who will inform the Parties of any substancial modification in the extent of their competence.

Article 23

Accession

1 — This Convention shall be open for accession by States, by Namibia, represented by the United Nations Council for Namibia, and by political and/or economic integration organizations from the day after the date on which the Convention is closed for signature. The instruments of accession shall be deposited with the Depositary.

2 — In their instruments of accession, the organizations referred to in paragraph 1 above shall declare the extent of their competence with respect to the matters governed by the Convention. These organizations shall also inform the Depositary of any substantial modification in the extent of their competence.

3 — The provisions of article 22, paragraph 2, shall apply to political and/or economic integration organizations which accede to this Convention.

Article 24

Right to vote

1 — Except as provided for in paragraph 2 below, each Contracting Party to this Convention shall have one vote.

2 — Political and/or economic integration organizations, in matters within their competence, in accordance with article 22, paragraph 3, and article 23, paragraph 2, shall exercise their right to vote with a number of votes equal to the number of their member States which are Parties to the Convention or the relevant protocol. Such organizations shall not exercise their right to vote if their member States exercise theirs, and vice versa.

Article 25

Entry into force

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

2 — For each State or political and/or economic integration organization which ratifies, accepts, approves or formally confirms this Convention or accedes thereto after the date of the deposit of the twentieth instrument of ratification, acceptance, approval, formal confirmation or accession, it shall enter into force on the ninetieth day after the date of deposit by such State or political and/or economic integration organization of its instrument of ratification, acceptance, approval, formal confirmation or accession.

3 — For the purposes of paragraphs 1 and 2 above, any instrument deposited by a political and/or economic integration organization shall not be counted as additional to those deposited by member States of such organization.

Article 26

Reservations and declarations

2 — Paragraph 1 of this Article does not preclude a State or political and/or economic integration organization, when signing, ratifying, accepting, approving, formally confirming or acceding to this Convention, from making declarations or statements, however phrased or named, with a view, inter alia, to the harmonization of its laws and regulations with the provisions of this Convention, provided that such declarations or statements do not purport to exclude or to modify the legal effects of the provisions of the Convention in their application to that State.

Article 27

Withdrawal

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.

2 — Withdrawal shall be effective one year from receipt of notification by the Depositary, or on such later date as may be specified in the notification.

Article 28

Depository

The Secretary-General of the United Nations shall be the Depository of this Convention and of any protocol thereto.

Article 29

Authentic texts

The original Arabic, Chinese, English, French, Russian and Spanish texts of this Convention are equally authentic.

In witness whereof the undersigned, being duly authorized to that effect, have signed this Convention.

ANNEX I

Categories of wastes to be controlled

ANNEX II

Categories of wastes requiring special consideration

ANNEX III

List of hazardous characteristics

UN Class (*)	Code	Characteristics
1	H1	Explosive. An explosive substance or waste is a solid or liquid substance or waste (or mixture of substances or wastes) which is in itself capable by chemical reaction of producing gas at such a temperature and pressure and at such a speed as to cause damage to the surroundings.
3	H3	Flammable liquids. The word «flammable» has the same meaning as «inflammable». Flammable liquids are liquids, or mixtures of liquids, or liquids containing solids in solution or suspension (for example, paints, varnishes, lacquers, etc., but not including substances or wastes otherwise classified on account of their dangerous characteristics) which give off a flammable vapour at temperatures of not more than 60.5 ºC, closed-cup test, or not more than 65.6 ºC, open-cup test. (Since the results of open-cup tests and of closed-cup tests are not strictly comparable and even individual results by the same test are often variable, regulations varying from the above figures to make allowance for such differences would be within the spirit of this definition.)
4.1	H4.1	Flammable solids. Solids, or waste solids, other than those classed as explosives, which under conditions encountered in transport are readily combustible, or may cause or contribute to fire through friction.
4.2	H4.2	Substances or wastes liable to spontaneous combustion. Substances or wastes which are liable to spontaneous heating under normal conditions encountered in transport, or to heating up on contact with air, and being then liable to catch fire.
4.3	H4.3	Substances or wastes which, in contact with water emit flammable gases. Substances or wastes which, by interaction with water, are liable to become spontaneously flammable or to give off flammable gases in dangerous quantities.
5.1	H5.1	Oxidizing. Substances or wastes which, while in themselves not necessarily combustible, may, generally by yielding oxygen cause, or contribute to, the combustion of other materials.
5.2	H5.2	Organic peroxides. Organic substances or wastes which contain he bivalent-o-o-structure are thermally unstable substances which may undergo exothermic self-accelerating decomposition.
6.1	H6.1	Poisonous (acute). Substances or wastes liable either to cause death or serious injury or to harm human health if swallowed or inhaled or by skin contact.
6.2	H6.2	Infectious substances. Substances or wastes containing viable micro organisms or their toxins which are known or suspected to cause disease in animals or humans.
8	H8	Corrosives. Substances or wastes which, by chemical action, will cause severe damage when in contact with living tissue, or, in the case of leakage, will materially damage, or even destroy, other goods or the means of transport; they may also cause other hazards.
9	H10	Liberation of toxic gases in contact with air or water. Substances or wastes which, by interaction with air or water, are liable to give off toxic gases in dangerous quantities.
9	H11	Toxic (delayed or chronic). Substances or wastes which, if they are inhaled or ingested or if they penetrate the skin, may involve delayed or chronic effects, including carcinogenicity.
9	H12	Ecotoxic. Substances or wstes which if released present or may present immediate or delayed adverse impacts to the environment by means of bioaccumulation and/or toxic effects upon biotic systems.
9	H13	Capable, by any means, after disposal, of yielding another material, e.g., leachate, which possesses any of the characteristics listed above.

(*) Corresponds to the hazard classification system included in the United Nations Recommendations on the Transport of Dangerous Goods (ST/SG/AC.10/1/Rev.5, United Nations, New York, 1988).

Tests

The potential hazards posed by certain types of wastes are not yet fully documented; tests to define quantitatively these hazards do not exist. Further research is necessary in order to develop means to characterise potential hazards posed to man and/or the environment by these wastes. Standardized tests have been derived with respect to pure substances and materials. Many countries have developed national tests which can be applied to materials listed in annex I, in order to decide if these materials exhibit any of the characteristics listed in this annex.

ANNEX IV

Disposal operations

A — Operations which do not lead to the possibility of resource recovery, recycling, reclamation, direct re-use or alternative uses

D2 — Land treatment, (e.g., biodegradation of liquid or sludgy discards in soils, etc.).

D3 — Deep injection, (e.g. injection of pumpable discards into wells, salt domes or naturally occurring repositories, etc.).

D4 — Surface impoundment, (e.g., placement of liquid or sludge discards into pits, ponds or lagoons, etc.).

D5 — Specially engineered landfill, (e.g., placement into lined discrete cells which are capped and isolated from one another and the environment, etc.

D8 — Biological treatment not specified elsewhere in this annex which results in final compounds or mixtures which are discarded by means of any of the operations in section A.

D9 — Physico chemical treatment not specified elsewhere in this annex which results in final compounds or mixtures which are discarded by means of any of the operations in section A, (e.g., evaporation, drying, calcination, neutralisation, precipitation, etc.).

D13 — Blending or mixing prior to submission to any of the operations in section A.

B — Operations which may lead to resource recovery, reclycling, reclamation direct re-use or alternative uses

Section B encompasses all such operations whith respect to materials legally defined as or considered to be hazardous wastes and which otherwise would have been destined for operations included in section A.

R1 — Use as a fuel (other than in direct incineration) or other means to generate energy.

R3 — Recycling/reclamation of organic substances which are not used as solvents.

R10 — Land treatment resulting in benefit to agriculture or ecological improvement.

R11 — Uses of residual materials obtained from any of the operations numbered R1-R10.

R12 — Exchange of wastes for submission to any of the operations numbered R1-R11.

ANNEX V-A

Information to be provided on notification

10 — Projected date(s) of shipment(s) and period of time over which waste is to be exported and proposed itinerary (including point of entry and exit) (3).

13 — Designation and physical description of the waste including Y number and UN number and its composition (5) and information on any special handling requirements including emergency provisions in case of accidents.

17 — For wastes listed in annex I, classifications from annex III: hazardous characteristic, H number, and UN class.

19 — Declaration by the generator and exporter that the information is correct.

20 — Information transmitted (including technical description of the plant) to the exporter or generator from the disposer of the waste upon which the latter has based his assessment that there was no reason to believe that the wastes will not be managed in an environmentally sound manner in accordance with the laws and regulations of the country of import.

(1) Full name and address, telephone, telex or telefax number and the name, address, telephone, telex or telefax number of the person to be contacted.

(3) In the case of a general notification covering several shipments, either the expected dates of each shipment or, if this is not known, the expected frequency of the shipments will be required.

(4) Information to be provided on relevant insurance requirements and how they are met by exporter, carrier and disposer.

(5) The nature and the concentration of the most hazardous components, in terms of toxicity and other dangers presented by the waste both in handling and in relation to the proposed disposal method.

(6) In the case of a general notification covering several shipments, both the estimated total quantity and the estimated quantities for each individual shipment will be required.

7 Insofar as this is necessary to assess the hazard and determine the appropriateness of the proposed disposal operation.

ANNEX V-B

Information to be provided on the movement document

6 — The date the transboundary movement started and date(s) and signature on receipt by each person who takes charge of the waste.

7 — Means of transport (road, rail, inland waterway, sea, air) including countries of export, transit and import, also point of entry and exit where these have been designated.

8 — General description of the waste (physical state, proper UN shipping name and class, UN number, Y number and H number as applicable).

9 — Information on special handling requirements including emergency provision in case of accidents.

12 — Declaration by the generator or exporter that the information is correct.

13 — Declaration by the generator or exporter indicating no objection from the competent authorities of all States concerned which are Parties.

14 — Certification by disposer of receipt at designated disposal facility and indication of method of disposal and of the approximate date of disposal.

Note. — The information required on the movement document shall where possible be integrated in one document with that required under transport rules. Where this is not possible the information should complement rather than duplicate that required under the transport rules. The movement document shall carry instructions as to who is to provide information and fill-out any form.

(1) Full name and address, telephone, telex or telefax number and the name, address, telephone, telex or telefax number of the person to be contacted in case of emergency.

ANNEX VI

Arbitration

Article 1

Unless the agreement referred to in Article 20 of the Convention provides otherwise, the arbitration procedure shall be conducted in accordance with articles 2 to 10 below.

Article 2

The claimant party shall notify the Secretariat that the parties have agreed to submit the dispute to arbitration pursuant to paragraph 2 or paragraph 3 of article 20 and include, in particular, the articles of the Convention the interpretation or application of which are at issue. The Secretariat shall forward the information thus received to all Parties to the Convention.

Article 3

The arbitral tribunal shall consist of three members. 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 chairman of the tribunal. The latter shall not be a national of one of the Parties to the dispute, nor have his 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.

Article 4

1 — If the chairman of the arbitral tribunal has not been designated within two months of the appointment of the second arbitrator, the Secretary-General of the United Nations shall, at the request of either Party, designate him within a further two months period.

2 — If one of the Parties to the dispute does not appoint an arbitrator within two months of the receipt of the request, the other Party may inform the Secretary-General of the United Nations who shall designate the chairman of the arbitral tribunal within a further two months’ period. Upon designation, the chairman of the arbitral tribunal shall request the Party which has not appointed an arbitrator to do so within two months. After such period, he shall inform the Secretary-General of the United Nations, who shall make this appointment within a further two months’ period.

Article 5

1 — The arbitral tribunal shall render its decision in accordance with international law and in accordance with the provisions of this Convention.

2 — Any arbitral tribunal constituted under the provisions of this annex shall draw up its own rules of procedure.

Article 6

1 — The decisions of the arbitral tribunal both on procedure and on substance, shall be taken by majority vote of its members.

2 — The tribunal may take all appropriate measures in order to establish the facts. It may, at the request of one of the Parties, recommend essential interim measures of protection.

3 — The Parties to the dispute shall provide all facilities necessary for the effective conduct of the proceedings.

4 — The absence or default of a Party in the dispute shall not constitute an impediment to the proceedings.

Article 7

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

Article 8

Unless the arbitral tribunal determines otherwise because of the particular circumstances of the case, the expenses of the tribunal, including the remuneration of its members, shall be borne by the Parties to the dispute in equal shares. The tribunal shall keep a record of all its expenses, and shall furnish a final statement thereof to the Parties.

Article 9

Any Party taht 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 tribunal.

Article 10

1 — The tribunal shall render its award within five months of the date on which it is established unless it finds it necessary to extend the time-limit for a period which should not exceed five months.

2 — The award of the arbitral tribunal shall be accompanied by a statement of reasons. It shall be final and binding upon the Parties to the dispute.

3 — Any dispute which may arise between the Parties concerning the interpretation or execution of the award may be submitted by either Party to the arbitral tribunal which made the award or, if the latter cannot be seized thereof, to another tribunal constituted for this purpose in the same manner as the first.

控制危險廢物越境轉移及其處置

巴塞爾公約

（1989年3月22日訂於巴塞爾）

序言

意識到危險廢物和其他廢物及其越境轉移對人類和環境可能造成的損害，

銘記着危險廢物和其他廢物的產生、其複雜性和越境轉移的增長對人類健康和環境所造成的威脅日趨嚴重，

又銘記着保護人類健康和環境免受這類廢物的危害的最有效方法是把其產生的數量和（或）潛在危害程度減至最低限度，

深信各國應採取必要措施，以保證危險廢物和其他廢物的管理包括其越境轉移和處置符合保護人類健康和環境的目的，不論處置場所位於何處，

注意到各國應確保產生者必須以符合環境保護的方式在危險廢物和其他廢物的運輸和處置方面履行義務，不論處置場所位於何處，

充分確認任何國家皆享有禁止來自外國的危險廢物和其他廢物進入其領土或在其領土內處置的主權權利，

又確認人們日益盼望禁止危險廢物的越境轉移及其在其他國家特別是在發展中國家的處置，

深信危險廢物和其他廢物應盡量在符合對環境無害的有效管理下，在廢物產生國的國境內處置，

又意識到這類廢物從產生國到任何其他國家的越境轉移應僅在進行此種轉移不致危害人類健康和環境並遵照本公約各項規定的情況下才予以許可，

認為加強對危險廢物和其他廢物越境轉移的控制將起到鼓勵其無害於環境的處置和減少其越境轉移量的作用，

深信各國應採取措施，適當交流有關危險廢物和其他廢物來往於那些國家的越境轉移的資料並控制此種轉移，

考慮到（聯合國人類環境會議宣言）（1972年，斯德哥爾摩）和聯合國環境規劃署（環境署）理事會1987年6月17日第14/30號決定通過的《關於危險廢物環境無害管理的開羅準則和原則》、聯合國危險物品運輸問題專家委員會的建議（於1957年擬定後，每兩年訂正一次）、在聯合國系統內通過的有關建議、宣言、文書和條例以及其他國際和區域組織內部所做的工作和研究，

銘記着聯合國大會第三十七屆（1982年）會議所通過的《世界大自然憲章》的精神、原則、目標和任務乃是保護人類環境和養護自然資源方面的道德準則，

申明各國有責任履行其保護人類健康和維護環境的國際義務並按照國際法承擔責任，

確認存一旦發生對本公約或其任何議定書條款的重大違反事件時，則應適用有關的國際條約法的規定，

意識到必須繼續發展和實施無害於環境的低廢技術、再循環方法、良好的管理制度，以便盡量減少危險廢物和其他廢物的產生，

又意識到國際上日益關注嚴格控制危險廢物和其他廢物越境轉移的必要性，以及必須盡量把這類轉移減少到最低限度，

並考慮到發展中國家管理危險廢物和其他廢物的能力有限，並

確認有必要按照開羅準則和環境署理事會關於促進環境保護技術的轉讓的第14/16號決定的精神，促進特別向發展中國家轉讓技術，以便對於本國產生的危險廢物和其他廢物進行無害管理，

並確認應該按照有關的國際公約和建議從事危險廢物和其他廢物的運輸，

並深信危險廢物和其他廢物的越境轉移應僅僅在此種廢物的運輸和最後處置對環境無害的情況下才給予許可，

決心採取嚴格的控制措施來保護人類健康和環境，使其免受危險廢物和其他廢物的產生和管理可能造成的不利影響，

第一條

本公約的範圍

1. 為本公約的目的，越境轉移所涉下列廢物即為“危險廢物”：

（a）屬於附件一所載任何類別的廢物，除非它們不具備附件三所列的任何特性；

（b）任一出口、進口或過境締約國的國內立法確定為或視為危險廢物的不包括在（a）項內的廢物。

3. 由於具有放射性而應由專門適用於放射性物質的國際管制制度包括國際文書管轄的廢物不屬於本公約的範圍。

4. 由船舶正常作業產生的廢物，其排放已由其他國際文書作出規定者，不屬於本公約的範圍。

第二條

定義

1.“廢物”是指處置的或打算予以處置的或按照國家法律規定必須加以處置的物質或物品；

2.“管理”是指對危險廢物或其他廢物的收集、運輸和處置，包括對處置場所的事後處理；

3.“越境轉移”是指危險廢物或其他廢物從一國的國家管轄地區移至或通過另一國的國家管轄地區的任何轉移，或移至或通過不是任何國家的國家管轄地區的任何轉移，但該轉移須涉及至少兩個國家；

5.“核准的場地或設施”是指經該場地或設施所在國的有關當局授權或批准從事危險廢物或其他廢物處置作業的場地或設施；

6.“主管當局”是指由一締約國指定在該國認為適當的地理範圍內負責接收第六條所規定關於危險廢物或其他廢物越境轉移的通知及任何有關資料並負責對此類通知作出答覆的一個政府當局；

7.“聯絡點”是指第五條所指一締約國內負責接收和提交第十三和第十五條所規定的資料的一個實體；

8.“危險廢物或其他廢物的環境無害管理”是指採取一切可行步驟．確保危險廢物或其他廢物的管理方式將能保護人類健康和環境，使其免受這類廢物可能產生的不利後果；

9.“在一國國家管轄下的區域”是指任何陸地、海洋或空間區域，在該區域範圍內一國按照國際法就人類健康或環境的保護方面履行行政和管理上的責任；

10.“出口國”是指危險廢物或其他廢物越境轉移起始或預定起始的締約國；

11.“進口國”是指作為危險廢物或其他廢物進行或預定進行越境轉移的目的地的締約國，以便在該國進行處置，或裝運到不屬於任何國家管轄的區域內進行處置；

12.“過境國”是指危險廢物或其他廢物轉移中通過或計劃通過的除出口國或進口國之外的任何國家；

13.“有關國家”是指出口締約國或進口締約國，或不論是否締約國的任何過境國；

15.“出口者”是指安排危險廢物或其他廢物的出口、在出口國管轄下的任何人；

16.“進口者”是指安排危險廢物或其他廢物的進口、在進口國管轄下的任何人；

18.“產生者”是指其活動產生了危險廢物或其他廢物的任何人，或者，如果不知此人為何人，則指擁有和（或）控制着那些廢物的人；

19.“處置者”是指作為危險廢物或其他廢物裝運的收貨人並從事該廢物處置作業的任何人；

20.“政治和（或）經濟一體化組織”是指由一些主權國家組成的組織，它得到其成員國授權處理與本公約有關的事項，並經按照其內部程序正式授權簽署、批准、接受、核准、正式確認或加入本公約；

21.“非法運輸”是指第九條所指的對危險廢物或其他廢物的任何越境轉移。

第三條

國家對危險廢物的定義

1. 每一締約國在成為本公約締約國的6個月內，應將附件一和附件二所列之外的、但其國家立法視為或確定為危險廢物的廢物名單連同有關適用於這類廢物的越境轉移程序的任何規定通知本公約秘書處。

2. 每一締約國應隨後將它依據第1款提供的資料的任何重大變更情況通知秘書處。

3. 秘書處應立即將它依據第1和第2款收到的資料通知所有締約國。

4. 各締約國應負責將秘書處遞送的第3款之下的資料提供給本國的出口者。

第四條

一般義務

1. （a）各締約國行使其權利禁止危險廢物或其他廢物進口處置時，應按照第十三條的規定將其決定通知其他締約國。

（b）各締約國在接獲按照以上（a）項發出的通知後，應禁止或不許可向禁止這類廢物進口的締約國出口危險廢物和其他廢物。

（c）對於尚未禁止進口危險廢物和其他廢物的進口國，在該進口國未以書面同意某一進口時，各締約國應禁止成不許可此類廢物的出口。

（a）考慮到社會、技術和經濟方面，保證將其國內產生的危險廢物和其他廢物減至最低限度；

（b）保證提供充分的處置設施用以從事危險廢物和其他廢物的環境無害管理，不論處置場所位於何處，在可能範圍內，這些設施應設在本國領土內；

（c）保證在其領土內參與危險廢物和其他廢物管理的人員視需要採取步驟，防止在這類管理工作中產生危險廢物和其他廢物的污染，並在產生這類污染時，盡量減少其對人類健康和環境的影響；

（d）保證在符合危險廢物和其他廢物的環境無害和有效管理下，把這類廢物越境轉移減至最低限度，進行此類轉移時，應保護環境和人類健康，免受此類轉移可能產生的不利影響；

（e）禁止向屬於一經濟和（或）政治一體化組織而且在法律上完全禁止危險廢物或其他廢物進口的某一締約國或一組締約國，特別是發展中國家，出口此類廢物，或者，如果有理由相信此類廢物不會按照締約國第一次會議決定的標準以環境無害方式加以管理時，也禁止向上述國家進行此種出口；

（f）規定向有關國家提供附件五一A所要求的關於擬議的危險廢物和其他廢物越境轉移的資料，詳細說明擬議的轉移對人類健康和環境的影響；

（g）如果有理由相信危險廢物和其他廢物將不會以對環境無害的方式加以管理時，防止此類廢物的進口；

（h）直接地並通過秘書處同其他締約國和其他有關組織合作從事各項活動，包括傳播關於危險廢物和其他廢物越境轉移的資料，以期改善對這類廢物的環境無害管理並防止非法運輸。

3. 各締約國認為危險廢物或其他廢物的非法運輸為犯罪行為。

4. 各締約國應採取適當的法律、行政和其他措施，以期實施本公約的各項規定，包括採取措施以防止和懲辦違反本公約的行為。

5. 締約國應不許可將危險廢物或其他廢物從其領土出口到非締約國，亦不許可從一非締約國進口到其領土。

6. 各締約國協議不許可將危險廢物或其他廢物出口到南緯60^o以南的區域處置，不論此類廢物是否涉及越境轉移。

（a）禁止在其國家管轄下所有的人從事危險廢物或其他廢物的運輸或處置工作，但得到授權或許可從事這類工作的人不在此限；

（b）規定涉及越境轉移的危險廢物和其他廢物須按照有關包裝、標籤和運輸方面普遍接受和承認的國際規則和標準進行包裝、標籤和運輸，並應適當計及國際上公認的有關慣例；

（c）規定在危險廢物和其他廢物的越境轉移中，從越境轉移起點至處置地點皆須隨附一份轉移文件。

8. 每一締約國應規定，擬出口的危險廢物或其他廢物必須以對環境無害的方式在進口國或他處處理。公約所涉廢物的環境無害管理技術準則應由締約國在其第一次會議上決定。

9. 各締約國應採取適當措施，以確保危險廢物和其他廢物的越境轉移僅在下列情況下才予以許可：

（a）出口國沒有技術能力和必要的設施、設備能力或適當的處置場所以無害於環境而且有效的方式處置有關廢物；

（c）有關的越境轉移符合由締約國決定的其他標準，但這些標準不得背離本公約的目標。

10. 產生危險廢物的國家遵照本公約以環境無害方式管理此種廢物的義務不得在任何情況下轉移到進口國或過境國。

11. 本公約不妨礙一締約國為了更好地保護人類健康和環境而實施與本公約條款一致並符合國際法規則的其他規定。

12. 本公約的任何規定不應在任何方面影響按照國際法確定的各國對其領海的主權，以及按照國際法各國對其專屬經濟區及其大陸架擁有的主權和管轄權，以及按照國際法規定並在各有關國際文書上反映的所有國家的船隻和飛機所享有的航行權和自由。

13. 各締約國應承擔定期審查是否可能把輸往其他國家尤其是發展中國家的危險廢物和其他廢物的數量和（或）污染潛力減低。

第五條

指定主管當局和聯絡點

1. 指定或設立一個或一個以上主管當局以及一個聯絡點。過境國則應指定一個主管當局接受通知書。

2. 在本公約對本國生效後3個月內通知本公約秘書處，說明本國已指定哪些機構作為本國的聯絡點和主管當局。

3. 在作出變動決定的1個月內，將其有關根據以上第2款所指定機構的任何變動通知本公約秘書處。

第六條

締約國之間的越境轉移

1. 出口國應將危險廢物或其他廢物任何擬議的越境轉移書面通知或要求產生者或出口者通過出口國主管當局的渠道以書面通知有關國家的主管當局。該通知書應以進口國可接受的一種語文載列附件五一A所規定的聲明和資料。僅需向每個有關國家發送一份通知書。

2. 進口國應以書面答覆通知者，表示無條件或有條件同意轉移、不允許轉移、或要求進一步資料。進口國最後答覆的副本應送交有關締約國的主管當局。

3. 出口締約國在得到書面證實下述情況之前不應允許產生者或出口者開始越境轉移：

（b）通知人已得到進口國證實存在一份出口者與處置者之間的契約協議，詳細說明對有關廢物的環境無害管理辦法。

4. 每一過境締約國應迅速同通知人表示收到通知。它可在收到通知後60天內以書面答覆通知人表示無條件或有條件同意轉移、不允許轉移、或要求進一步資料。出口國在收到過境國的書面同意之前，應不准許開始越境轉移。不過，如果在任何時候一締約國決定對危險廢物或其他廢物的過境轉移一般地或在特定條件下不要求事先的書面同意，或修改它在這方面的要求，該國應按照第十三條立即將此決定通知其他締約國。在後一情況下，如果在過境國收到某一通知後60天內，出口國尚未收到答覆，出口國可允許通過該過境國進行出口。

（a）出口國的法律確定為或視為危險廢物時，對進口者或處置者及進口國適用的本條第9款的各項要求應分別比照適用於出口者和出口國；

（b）進口國或進口和過境締約國的法律確定為或視為危險廢物時，對出口者和出口國適用的本條第1、3、4、6款應分別比照適用於進口者或處置者和進口國；

（c）過境締約國的法律確定為或視為危險廢物時，第4款的規定應對該國適用。

6. 出口國可經有關國家書面同意，在具有同一物理化學特性的危險廢物或其他廢物通過出口國的同一出口海關並通過進口國的同一進口海關——就過境而言，通過過境國的同一進口和出口海關——定期裝運給同一個處置者的情況下，允許產生者或出口者使用一總通知。

7. 有關國家可書面同意使用第6款所指的總通知，但須提供某些資料，例如關於預定裝運的危險廢物或其他廢物的確切數量或定期清單。

8. 第6和第7款所指的總通知和書面同意可適用於最多在12個月期限內的危險廢物或其他廢物的多次裝運。

9. 各締約國應要求每一個處理危險廢物或其他廢物越境轉移的人在發送或收到有關危險廢物時在運輸文件上簽名。締約國還應要求處置者將他已收到危險廢物的情況，並在一定時候將他完成通知書上說明的處置的情況通知出口者和出口國主管當局。如果出口國內部沒有收到這類資料，出口國主管當局或出口者應將該情況通知進口國。

10. 本條所規定的通知和答覆皆應遞送有關締約國的主管當局或有關非締約國的適當政府當局。

11. 危險廢物或其他廢物的任何越境轉移都應有保險、保證或進口或過境締約國可能要求的其他擔保。

第七條

從一締約國通過非締約國的越境轉移

本公約第六條第1款應比照適用於從一締約國通過非締約國的危險廢物或其他廢物的越境轉移。

第八條

再進口的責任

在有關國家遵照本公約規定已表示同意的危險廢物或其他廢物的越境轉移未能按照契約的條件完成的情況下，如果在進口國通知出口國和秘書處之後90天內或在有關國家同意的另一期限內不能作出環境上無害的處置替代安排，出口國應確保出口者將廢物運回出口國。為此，出口國和任何過境締約國不應反對、妨礙或阻止該廢物運回出口國。

第九條

非法運輸

1. 為本公約的目的，任何下列情況的危險廢物或其他廢物的越境轉移：

（e）違反本公約以及國際法的一般原則，造成危險廢物或其他廢物的蓄意處置（例如傾卸），均應視為非法運輸。

2. 如果危險廢物或其他廢物的越境轉移由於出口者或產生者的行為而被視為非法運輸，則出口國應確保在被告知此種非法運輸情況後30天內或在有關國家可能商定的另一期限內，將有關的危險廢物作出下述處理：

（a）由出口者或產生者或必要時由它自己運回出口國，如不可行，則

為此目的，有關締約國不應反對、妨礙或阻止將那些廢物退回出口國。

3. 如果危險廢物或其他廢物的越境轉移由於進口者或處置者的行為而被視為非法運輸，則進口國應確保在它知悉此種非法運輸情況後30天內或在有關國家可能商定的另一期限內，由進口者或處置者或必要時由它自己將有關的危險廢物以對環境無害方式加以處置。為此目的，有關的締約國應進行必要的合作，以便以環境無害的方式處置此類廢物。

4. 如果非法運輸的責任既不能歸於出口者或產生者，也不能歸於進口者或處置者，則有關締約國或其他適當的締約國應通過合作，確保有關的危險廢物盡快以對環境無害的方式在出口國或進口國或在其他適宜的地方進行處置。

5. 每一締約國應採取適當的國家/國內立法，防止和懲辦非法運輸。各締約國應為實現本條的目標而通力合作。

第十條

國際合作

1. 各締約國應互相合作，以便改善和實現危險廢物和其他廢物的環境無害管理。

（a）在接獲請求時，在雙邊或多邊的基礎上提供資料，以期促進危險廢物和其他廢物的環境無害管理，包括協調對危險廢物和其他廢物的適當管理的技術標準和規範；

（c）在不違反其國家法律、條例和政策的情況下，合作發展和實施新的環境無害低廢技術並改進現行技術，以期在可行範圍內消除危險廢物和其他廢物的產生，求得確保其環境無害管理的更實際有效的辦法，其中包括對採用這類新的或改良的技術所產生經濟、社會和環境效果的研究；

（d）在不違反其國家法律、條例和政策的情況下，就轉讓涉及危險廢物和其他廢物無害環境管理的技術和管理體制方面積極合作。它們還應合作建立各締約國特別是那些在這方面可能需要並要求技術援助的國家的技術能力；

3. 各締約國應採取適當手段從事合作，以協助發展中國家執行第四條第2款（a）、（b）和（c）項。

4. 考慮到發展中國家的需要，鼓勵各締約國之間和有關國際組織之間進行合作，以促進特別是提高公眾認識，發展對危險廢物和其他廢物的無害管理和採用新的低廢技術。

第十一條

雙邊、多邊和區域協定

1. 儘管有第四條第5款的規定，各締約國可同其他締約國或非締約國締結關於危險廢物或其他廢物越境轉移的雙邊、多邊或區域協定或協議，只要此類協定或協議不減損本公約關於以對環境無害方式管理危險廢物和其他廢物的要求。這些協定或協議應特別考慮到發展中國家的利益，對無害於環境方面作出的規定不應低於本公約的有關規定。

2. 各締約國應將第1款所指的任何雙邊、多邊和區域協定和協議，以及它們在本公約對其生效之前締結的旨在控制純粹在此類協定的締約國之間的危險廢物和其他廢物越境轉移的雙邊、多邊和區域協定和協議通知秘書處。本公約各條款不應影響遵照此種協定進行的越境轉移，只要此種協定符合本公約關於以對環境無害的方式管理危險廢物的要求。

第十二條

關於責任問題的協商

各締約國應進行合作，以斯在可行時盡早通過一項議定書，就危險廢物和其他廢物越境轉移和處置所引起損害的責任和賠償方面制定適當的規則和程序。

第十三條

遞送資料

1. 各締約國應保證，一旦獲悉危險廢物和其他廢物越境轉移及其處置過程中發生意外，可能危及其他國家的人類健康和環境時，立即通知有關國家。

（a）依照第五條作出的關於指定主管當局和（或）聯絡點的更動；

（b）依照第三條作出的國家對於危險廢物的定義的修改；和盡快告知；

（c）由它們作出的全部或局部不同意將危險廢物或其他廢物進口到它們國家管轄範圍內的地區內處置的決定；

（d）由它們作出的、限制或禁止出口危險廢物或其他廢物的決定；

3. 各締約國在符合其國家法律和規章的情形下，應通過秘書處向依照第十五條設立的締約國會議於每個日曆年年底以前提交一份關於前一日曆年的報告，其中包括下列資料：

（b）關於與它們有關的危險廢物或其他廢物的越境轉移的資料，包括。

（1）所出口危險廢物和其他廢物的數量、種類、特性、目的地、過境國、以及在對通知的答覆中說明的處置方法：

（2）所進口危險廢物和其他廢物的數量、種類和特性、來源及處置方法：

（4）為了減少危險廢物或其他廢物越境轉移的數量而作出的努力：

（d）它們彙編的關於危險廢物或其他廢物的產生、運輸和處置對人類健康和環境的影響的現有合格統計資料；

（e）依照本公約第十一條締定的雙邊、多邊和區域協定及協議；

（f）危險廢物和其他廢物越境轉移及處置過程中發生的意外事件，以及所採取的處理措施；

（h）為了發展出減少和（或）消除危險廢物和其他廢物的產生的技術而採取的措施；

4. 各締約國在符合其國家法律和條例的情況下，在某一締約國認為其環境可能受到某一越境轉移的影響而請求這樣做時，應保證將關於危險廢物或其他廢物的任何越境轉移的每一份通知及其答覆的副本送交秘書處。

第十四條

財務方面

1. 各締約國同意，根據各區域和分區域的具體需要，應針對危險廢物和其他廢物的管理並使其產生減至最低限度，建立區域的或分區域的培訓和技術轉讓中心。各締約國應就建立適當的自願性籌資機制作出決定。

2. 各締約國應考慮建立一循環基金，以便對一些緊急情況給予臨時支援，盡量減少由於危險廢物和其他廢物的越境轉移或其處置過程中發生意外事故所造成的損害。

第十五條

締約國會議

1. 締約國會議特此設立。締約國會議的第一次會議應由聯合國環境規劃署執行主任於本公約生效後1年內召開。

其後的締約國會議常會應依照第一次會議所規定的時間按期舉行。

2. 締約國會議可於其認為必要的其他時間舉行非常會議；如經任何締約國書面請求，由秘書處將該項請求轉致各締約國後6個月內至少有1/3締約國表示支持時，亦可舉行非常會議。

3. 締約國會議應以協商一致方式商定和通過其本身的和它可能設立的任何附屬機構的議事規則和財務細則，以便確定特別是本公約下各締約國的財務參與辦法。

4. 各締約國在其第一次會議上，應審議為協助履行其在本公約範圍內保護和維護海洋環境方面的責任所需的任何其他措施。

5. 締約國會議應不斷地審查和評價本公約的有效執行，同時應：

（a）促進適當政策、戰略和措施的協調，以盡量減少危險廢物和其他廢物對人類健康和環境的損害；

（b）視需要審議和通過對本公約及其附件的修正，除其他外，應考慮到現有的科技、經濟和環境資料；

（c）參照本公約實施中以及第十一條斯設想的協定和協議的運作中所獲的經驗，審議並採取為實現本公約宗旨所需的任何其他行動；

6. 聯合國及其各專門機構以及任何非本公約締約國的國家，均可派觀察員出席締約國會議。任何其他組織或機構，無論是國家或國際性質、政府或非政府性質，只要在與危險廢物或其他廢物有關的領域具有資格，並通知秘書處願意以觀察員身分出席締約國會議，在此情況下，除非有至少1/3的出席締約國表示反對，都可被接納參加。觀察員的接納與參加應遵照締約國通過的議事規則處理。

7. 締約國會議應於本公約生效3年後並至少在其後每6年對其有效性進行評價，並於認為必要時，參照最新的科學、環境、技術和經濟資料，審議是否全部或局部禁止危險廢物和其他廢物的越境轉移。

第十六條

秘書處

（a）為第十五條和第十七條規定的會議作出安排並提供服務；

（b）根據按第三、四，六、十一和十三條收到的資料，根據從第十五條規定成立的附屬機構的會議得來的資料，以及在適當時根據有關的政府間和非政府實體提供的資料，編寫和提交報告；

（c）就執行其本公約規定的職責進行的各項活動編寫報告，提交締約國會議；

（d）保證同其他有關的國際機構進行必要的協調，特別是為有效地執行其職責而訂定所需的行政和契約安排；

（e）同各締約國按本公約第五條規定設立的聯絡點和主管當局進行聯繫；

（f）彙編各締約國批准可用來處置其危險廢物和其他廢物的本國場地和設施的資料並將此種資料分發各締約國；

（h）根據請求，向締約國提供具有該領域必要技術能力的顧問或顧問公司的資料，以便這些顧問或公司能夠幫助它們審查某一越境轉移通知，審查危險廢物或其他廢物的裝運情況是否與有關的通知相符，和（或）在它們有理由認為有關廢物的處理方式並非對環境無害時，審查擬議的危險廢物或其他廢物的處置設施是否不對環境造成危害。任何此種審查涉及的費用不應由秘書處承擔；

（i）根據請求，幫助締約國查明非法運輸案件，並將它收到的有關非法運輸的任何資料立即轉告有關締約國；

（j）在發生緊急情況時，與各締約國以及與有關的和主管的國際組織和機構合作，以便提供專家和設備，迅速援助有關國家；

（k）履行締約國會議可能決定的與本公約宗旨有關的其他職責。

2. 在依照第十五條舉行的締約國會議第一次會議結束之前，由聯合國環境規劃署暫時履行秘書處職責。

3. 締約國會議應在其第一次會議上從已經表示願意執行本公約規定的秘書處職責的現有合格政府間組織之中指定某一組織作為秘書處。在這次會議上，締約國會議還應評價臨時秘書處特別是執行以上第1款所述職責的情況，並決定適宜於履行那些職責的組織結構。

第十七條

公約的修改

1. 任何締約國可對本公約提出修正案，議定書的任何締約國可對該議定書提出修正案。這種修正，除其他外，應適當考慮到有關的科學和技術方面。

2. 對本公約的修正案應在締約國會議的一次會議上通過。對任何議定書的修正應於該議定書的締約國會議上通過。對本公約或任何議定書建議的任何修正案案文，除在有關議定書裏另有規定外，應由秘書處至遲於準備通過修正案的會議6個月以前送交各締約國。秘書處亦應將建議的修正送交本公約的簽署國，以供參考。

3. 各締約國應盡量以協商一致方式對本公約的任何修正達成協議。如果盡了一切努力謀求一致意見而仍然未能達成協議，則最後的辦法是以出席並參加表決的締約國的3/4多數票通過修正案。通過的修正應由保存人送交所有締約國，供其批准、核准、正式確認或接受。

4. 以上第3款內說明的程序應適用於對任何議定書的修正，唯一不同的是這種修正的通過只需要出席並參加表決的締約國的2/3多數票。

5. 修正的批准，核准、正式確認或接受文書應交保存人保存。依照以上第3或第4款通過的修正，除非有關議定書裏另有規定，應於保存人接得至少3/4接受修正的締約國的批准、核准、正式確認或接受文書之後第90天，在接受修正的各締約國之間開始生效。任何其他締約國存放其對修正的批准、核准、正式確認或接受文書90天之後，修正對它生效。

6. 為本條的目的，“出席並參加表決的締約國”一語，是指在場投贊成票或反對票的締約國。

第十八條

附件的通過和修正

1. 本公約或任何議定書的附件應成為本公約或該議定書的一個構成部分，因此，除非另有明確規定，凡提及本公約或其議定書時，亦包括其任何附件在內。這種附件只限於科學、技術和行政事項。

2. 除任何議定書就其附件另有規定者外，本公約的增補附件或一項議定書的附件的提出、通過和生效，應適用下列程序：

（a）本公約及其議定書的附件應依照第十七條第2、3和4款規定的程序提出和通過；

（b）任何締約國如果不能接受本公約的某一增補附件或其作為締約國的任何議定書的某一附件，應於保存人就其通過發出通知之日起6個月內將此情況書面通知保存人。保存人應於接到任何此種通知後立即通知所有締約國。一締約國可於任何時間以接受文書代替前此的反對聲明，有關附件即對它生效；

（c）在保存人發出通知之日起滿6個月之後，該附件應即對未曾依照以上（b）項規定發出通知的本公約或任何有關議定書的所有締約國生效。

3. 本公約附件或任何議定書附件的修正案的提出、通過和生效，應遵照本公約附件或議定書附件的提出、通過和生效所適用的同一程序。附件及其修正，除其他外，應適當考慮到有關的科學和技術方面。

4. 如果一個增補附件或對某一附件的修正．涉及對本公約或對任何議定書的修正，則該增補附件或修正後的附件應於對本公約或對該議定書的修正生效以後才能生效。

第十九條

核查

任何締約國如有理由相信另一締約國正在作出或已作出違背其公約義務的行為，可將該情況通知秘書處，並應同時立即直接地或通過秘書處通知被指控的一方。所有有關資料應由秘書處送交各締約國。

第二十條

爭端的解決

1. 締約國之間就本公約或其任何議定書解釋、適用或遵守方面發生爭端時，有關締約國應通過談判或以它們自行選定的任何其他和平方式謀求爭端的解決。

2. 如果有關締約國無法以上款所述方式解決爭端，在爭端各方同意的情況下，應將爭端提交國際法院或按照關於仲裁的附件六所規定的條件提交仲裁。不過，不能就將該爭端提交國際法院或提交仲裁達成共同協議，並不免除爭端各方以第1款所指方式繼續謀求其解決的責任。

3. 在批准、接受．核准、正式確認或加入本公約時或其後的任何時候，一個國家或政治和（或）經濟一體化組織可以聲明，它承認對接受同樣義務的任何締約國而言，下列辦法為強制性的當然辦法並無需訂立特別協定：

第二十一條

簽字

本公約應於1989年3月22日在巴塞爾，並從1989年3月23日起至1989年6月30日在伯爾尼瑞士外交部，並從1989年7月1日起至1990年3月22日在紐約聯合國總部，開放供各國，由聯合國納米比亞理事會代表納米比亞以及由各政治和（或）經濟一體化組織簽字。

第二十二條

批准、接受、正式確認或核准

1. 本公約須由各國和由聯合國納米比亞理事會代表納米比亞批准、接受或核准並由各政治和（或）經濟一體化組織正式確認或核准。批准、接受，正式確認或核准的文書應交由保存人保存。

2. 以上第一款所指的任何組織如成為本公約的締約方而該組織並沒有任何一個成員國是締約國，則該締約組織應受本公約規定的一切義務的約束。如這種組織的一個或更多個成員國是本公約的締約國，則該組織及其成員國應就履行其本公約義務的各自責任作出決定。在這種情況下，該組織和成員國不應同時有權行使本公約規定的權利。

3. 以上第1款所指的組織應在其正式確認或核准文書中聲明其對本公約所涉事項的職權範圍。這些組織也應將其職權範圍發生任何重大變化的情況通知保存人，後者應轉告各締約國。

第二十三條

加入

1. 本公約應自公約簽署截止日期起開放供各國、由聯合國納米比亞理事會代表納米比亞以及由各政治和（或）經濟一體化組織加入。加入書應交由保存人保存。

2. 上文第1款中所指的組織應在其加入文書內聲明它們對本公約所涉事項的職權範圍。這些組織也應將其職權範圍發生任何重大變化的情況通知保存人。

3. 第二十二條第2款的規定應適用於加入本公約的經濟一體化組織。

第二十四條

表決權

2. 各政治和（或）經濟一體他組織對於按第二十二條第3款和第二十三條第2款規定屬於其職權範圍的事項行使表決權時，其票數相當於其作為本公約或有關議定書的締約國的成員國數目。如果這些組織的成員國行使其表決權，則該組織就不應行使其表決權，反之亦然。

第二十五條

生效

1. 本公約應於第20份批准、接受、正式確認、核准或加入文書交存之日以後第90天生效。

2. 對於在交存第20份批准、接受、核准、正式確認或加入文書之日以後批准、接受、核准或正式確認本公約或加入本公約的每一國家或政治和（或）經濟一體化組織，本公約應於該國或該政治和(或)經濟一體化組織的批准、接受、核准、正式確認或加入文書交存之日以後第90天生效。

3. 為以上第1和第2款的目的，一個政治和（或）經濟一體化組織交存的任何文書不應被視為該組織的成員國交存的文書以外的附加文書。

第二十六條

保留和聲明

2. 本條第1款的規定並不排除某一國家或政治和（或）經濟一體化組織在簽署、批准、接受、核准或加入本公約時，除其他外，為使其法律和條例與本公約的規定協調一致而作出無論何種措詞或名稱的宣言或聲明，只要此種宣言或聲明的意旨不是排除或改變本公約條款適用於該國時的法律效力。

第二十七條

退出

1. 在本公約對一締約國生效之日起3年之後的任何時間，該締約國經向保存人提出書面通知，得退出本公約。

2. 退出應在保存人接到退出通知起1年後生效，或在退出通知上指明的一個較後日期生效。

第二十八條

保存人

第二十九條

作準文本

本公約的阿拉伯文、中文，英文、法文、俄文和西班牙文原本均為作準文本。

為此，下列全權代表，經正式授權，在本公約土簽字，以昭信守。

附件一

應加控制的廢物類別

附件二

須加特別考慮的廢物類別

或附件三

危險特性的清單

檢驗

某些種類的廢物所造成的潛在危害尚未有充分的資料記載；尚不存在對這些危害進行定量分析的檢驗方法。必須進行進一步研究，以便制定方法來表明這些廢物對人和（或）環境的潛在危害。對於純物質和純原料已有標準化的檢驗方法。許多國家已發展出國家一級的檢驗方法，可以用來檢驗附件一所列的物質，以便確定這些物質是否具有本附件所列的任何特性。

附件四

處置作業

A. 不能導致資源回收、再循環、直接再利用或其他用途的作業方式

B. 可能導致資源回收、再循環、直接再利用或其他用途的作業方式

B 節包括所有對於在法律上確定為或視為危險廢物的物質的作業方式，這些物質若非以本節作業方式處理將以A節所列作業處置

附件五一A

通知書內應提供的資料

附件五一B

轉移文件內應提供的資料

* 姓名、地址和電話、用戶電報、電話傳真的號碼以及緊急情況聯絡人的姓名、地址和電話、用戶電報、電話傳真的號碼。

轉移文件所要求的資料應酌情與運輸規則所要求的資料合併在一個文件內。如果不可能做到，這類資料應補充而不重複運輸規則所要求的資料。轉移文件應附帶說明，指明哪些人應提供資料和填寫表格。

附件六

仲裁

第一條

除非本公約第二十條所指的協議另有規定，仲裁程序應按照以下第二至第十條進行。

第二條

求償一方應通知秘書處，當事雙方已協議依據第二十條第2或第3款將爭端提交仲裁，並特別列入在解釋或適用上發生爭端本公約條文。秘書處應將收到的上述資料遞送本公約所有締約國。

第三條

仲裁法庭應由仲裁員3人組成。爭端每一力應指派仲裁員1人，被指派的兩位仲裁員應共同協議指定第三位仲裁員，並由他擔任法庭庭長。後者不應是爭端任何一力的國民，且不得為爭端任何一方的工作人員或其境內的通常居民，亦不曾以任何其他身分涉及該案件。

第四條

1. 如在指派第二位仲裁員內兩個月內仍未指定仲裁法庭庭長，聯合國秘書長經任何一方請求，應在其後的兩個月內指定法庭庭長。

2. 如爭端一方在接到要求後兩個月內沒有指派一位仲裁員，另一方可通知聯合國秘書長，後者應在其後的兩個月內指定仲裁法庭庭長。一經指定，仲裁法庭庭長應要求尚未指派仲裁員的一方在兩個月內作出指派。如在兩個月後仍未指派，他應通知聯合國秘書長，後者應在其後的兩個月內作出指派。

第五條

2. 依據本附件規定組成的任何仲裁法庭應制定其本身的議事規則。

第六條

1. 仲裁法庭關於程序問題和實質問題的裁決都應以其成員的多數票作出。

2. 法庭得採取一切適當措施，以確定事實。法庭得應當事一方請求，建議必要的臨時保護措施。

第七條

法庭得就爭端的主題事項直接引起的反訴聽取陳述並作出裁決。

第八條

除非仲裁法庭因案情特殊而另有決定，法庭的開支，包括仲裁員的報酬，應由爭端各方平均分擔。法庭應保存一份所有開支的記錄，並向爭端各方提供一份開支決算表。

第九條

任何締約國在爭端的主題事項方面有法律性質的利害關係，可能因該案件的裁決受到影響，經法庭同意得參加仲裁程序。

第十條

1. 除非法庭認為必須延長期限，法庭應在組成後5個月內作出裁判，延長的期限不得超過5個月。

2. 仲裁法庭的裁判應附帶一份理由說明。法庭的裁判應為確定性並對爭端各方具有約束力。

3. 因裁判的解釋或執行而可能引起的當事各方之間的任何爭端，可由任何一方提請作出該裁判的仲裁法庭裁決，或如不能由後者處理此案，則提請為此目的以與該法庭同一方式組成的另一仲裁法庭裁決。

等級*	編號	特性
1	H1	爆炸物
		爆炸物或爆炸性廢物是固態或液態物質或廢物（或混合物或混合廢物），其本身能以化學反應產生足以對周圍造成損害的溫度、壓力和速度的氣體。
3	H3	易燃液體
		易燃液體是（在不超過60.5?C溫度的開杯試驗或不超過65.6?C的開杯試驗中產生易燃蒸汽的）液體、或混合液體，或含有溶解或懸浮固體的液體（例如，油漆、罩光漆、真漆等，但不包括由於其危險特性歸於別類的物質或廢物）。（由於開杯和閉杯試驗的結果不能作精確比較，甚至同類試驗的個別結果都往往有差異，因此斟酌這種差異，作出與以上數字不同的規定，仍然符合本定義的精神。）
4.1	H4.1	易燃固體
		在歸類為爆炸物之外的某些固體或固體廢物，在運輸中遇到的某些情況下容易起火，或由於磨擦可能引起或助成起火。
4.2	H4.2	易於自然的物質或廢物
		在運輸中的正常情況下易於自發生熱，或在接觸空氣後易於生熱，而後易於起火的物質或廢物。
4.3	H4.3	同水接觸後產生易燃氣體的物質或廢物與水相互作用後易於變為自發易燃或產生危險數量的易燃氣體的物質或廢物。
5.1	H5.1	氧化
		此類物質本身不一定可燃，但通常可因產生氧氣而引起或助長其他物質的燃燒。
5.2	H5.2	有機過氧化物
		含有兩價—O—O結構約有機物質或廢物是熱不穩定物質，可能進行放熱自加速分解。
6.1	H6.1	毒性（急性）
		如果攝入或吸入體內或由於皮膚接觸可使人致命、或嚴重傷害或損害人類健康的物質或廢物。
6.2	H6.2	傳染性物質
		含有已知或懷疑能引起動物或人類疾病的活微生物或其毒素的物質或廢物。
8	H8	腐蝕
		同生物組織接觸後可因化學作用引起嚴重傷害，或因滲漏，能嚴重損壞或毀壞其他物品或運輸工具的物質或廢物；它們還可能造成其他危害。
9	H10	同空氣或水接觸後釋放有毒氣體
		同空氣或水相互作用後可能釋放危險量的有毒氣體的物質或廢物。
9	H11	毒性（延遲或慢性）
		如果吸入或攝入體內或如果滲入皮膚可能造成延遲或慢性效應，包括致癌的物質或廢物。
9	H12	生態毒性
		如果釋出就能或可能因為生物累積和（或）因為對生物系統的毒性效應對環境產生立即或延遲不利影響的物質或廢物。
9	H13	經處置後能以任何方式產生具有上列任何特性的另一種物質，例如浸漏液。

澳門特別行政區法例