Annexes to the Helsinki Convention of 1992
Annex I Harmful substances
Annex II Criteria for the use of Best Environmental Practice and Best Available Technology
Annex III Criteria and measures concerning the prevention of pollution from land-based sources
Annex IV Prevention of pollution from ships
Annex V Exemptions from the general prohibition of dumping of waste and other matter in the Baltic Sea Area
Annex VI Prevention of pollution from offshore activities
Annex VII Response to pollution incidents
Annex I
Harmful substances
PART 1 GENERAL PRINCIPLES
1.0 Introduction
In order to fulfil the requirements of relevant parts of this Convention the following procedure shall be used by the Contracting Parties in identifying and evaluating harmful substances, as defined in Article 2, paragraph 7.
1.1 Criteria on the allocation of substances
The identification and evaluation of substances shall be based on the intrinsic properties of substances, namely:
- persistency;
- toxicity or other noxious properties;
- tendency to bio-accumulation, as well as on characteristics liable to cause pollution, such as
- the ratio between observed concentrations and concentrations having no observed effect;
- anthropogenically caused risk of eutrophication;
- transboundary or long-range significance;
- risk of undesirable changes in the marine ecosystem and irreversibility or durability of effects;
- radioactivity;
- serious interference with harvesting of sea-foods or with other legitimate uses of the sea;
- distribution pattern (i.e. quantities involved, use pattern and liability to reach the marine environment);
- proven carcinogenic, teratogenic or mutagenic properties in or through the marine environment.
These characteristics are not necessarily of equal importance for the identification and evaluation of a particular substance or group of substances.
1.2 Priority groups of harmful substances
The Contracting Parties shall, in their preventive measures, give priority to the following groups of substances which are generally recognized as harmful substances:
a) heavy metals and their compounds;
b) organohalogen compounds;
c) organic compounds of phosphorus and tin;
d) pesticides, such as fungicides, herbicides, insecticides, slimicides and chemicals used for the preservation of wood, timber, wood pulp, cellulose, paper, hides and textiles;
e) oils and hydrocarbons of petroleum origin;
f) other organic compounds especially harmful to the marine environment;
g) nitrogen and phosphorus compounds;
h) radioactive substances, including wastes;
i) persistent materials which may float, remain in suspension or sink;
j) substances which cause serious effects on taste and/or smell of products for human consumption from the sea, or effects on taste, smell, colour, transparency or other characteristics of the water.
PART 2 BANNED SUBSTANCES
In order to protect the Baltic Sea Area from hazardous substances, the Contracting Parties shall prohibit, totally or partially, the use of the following substances or groups of substances in the Baltic Sea Area and its catchment area:
2.1 Substances banned for all final uses, except for drugs
DDT (1,1,1-trichloro-2,2-bis-(chlorophenyl)-ethane) and its derivatives DDE and DDD;
2.2 Substances banned for all uses, except in existing closed system equipment until the end of service life or for research, development and analytical purposes
a) PCB's (polychlorinated biphenyls);
b) PCT's (polychlorinated terphenyls).
2.3 Substances banned for certain applications
Organotin compounds for antifouling paints for pleasure craft under 25 m and fish net cages.
PART 3 PESTICIDES
In order to protect the Baltic Sea Area from hazardous substances, the Contracting Parties shall endeavour to minimize and, whenever possible, to ban the use of the following substances as pesticides in the Baltic Sea Area and its catchment area:
CAS-number | |
Acrylonitrile | 107131 |
Aldrin | 309002 |
Aramite | 140578 |
Cadmium-compounds | - |
Chlordane | 57749 |
Chlordecone | 143500 |
Chlordimeform | 6164983 |
Chloroform | 67663 |
1,2-Dibromoethane | 106934 |
Dieldrin | 60571 |
Endrin | 72208 |
Fluoroacetic acid and derivatives | 7664393, 144490 |
Heptachlor | 76448 |
Isobenzane | 297789 |
Isodrin | 465736 |
Kelevan | 4234791 |
Lead-compounds | - |
Mercury-compounds | - |
Morfamquat | 4636833 |
nitrophen | 1836755 |
Pentachlorophenol | 87865 |
Polychlorinated terpenes | 8001501 |
Quintozene | 82688 |
Selenium-compounds | - |
2,4,5-T | 93765 |
Toxaphene | 8001352 |
Annex II
Criteria for the use of Best Environmental Practice and Best Available Technology
Regulation 1: General provisions
1. In accordance with the relevant parts of this Convention the Contracting Parties shall apply the criteria for Best Environmental Practice and Best Available Technology described below.
2. In order to prevent and eliminate pollution the Contracting Parties shall use Best Environmental Practice for all sources and Best Available Technology for point sources, minimizing or eliminating inputs to water and air from all sources by providing control strategies.
Regulation 2: Best Environmental Practice
1. The term "Best Environmental Practice" is taken to mean the application of the most appropriate combination of measures. In selecting for individual cases, at least the following graduated range of measures should be considered:
- provision of information and education to the public and to users about the environmental consequences of choosing particular activities and products, their use and final disposal;
- the development and application of Codes of Good Environmental Practice covering all aspects of activity in the product's life;
- mandatory labels informing the public and users of environmental risks related to a product, its use and final disposal;
- availability of collection and disposal systems;
- saving of resources, including energy;
- recycling, recovery and re-use;
- avoiding the use of hazardous substances and products and the generation of hazardous waste;
- application of economic instruments to activities, products or groups of products and emissions;
- a system of licencing involving a range of restrictions or a ban.
2. In determining in general or individual cases what combination of measures constitute Best Environmental Practice, particular consideration should be given to:
- the precautionary principle;
- the ecological risk associated with the product, its production, use and final disposal;
- avoidance or substitution by less polluting activities or substances;
- scale of use;
- potential environmental benefit or penalty of substitute materials or activities;
- advances and changes in scientific knowledge and understanding;
- time limits for implementation;
- social and economic implications.
Regulation 3: Best Available Technology
1. The term "Best Available Technology" is taken to mean the latest stage of development (state of the art) of processes, of facilities or of methods of operation which indicate the practical suitability of a particular measure for limiting discharges.
2. In determining whether a set of processes, facilities and methods of operation constitute the Best Available Technology in general or individual cases, special consideration should be given to:
- comparable processes, facilities or methods of operation which have recently been successfully tried out;
- technological advances and changes in scientific knowledge and understanding;
- the economic feasibility of such technology;
- time limits for application;
- the nature and volume of the emissions concerned;
- non-waste/low-waste technology;
- the precautionary principle.
Regulation 4: Future developments
It therefore follows that "Best Environmental Practice" and "Best Available Technology" will change with time in the light of technological advances and economic and social factors, as well as changes in scientific knowledge and understanding.
Annex III
Criteria and measures concerning the prevention of pollution from land-based sources
Part I: Prevention of Pollution from Industry and Municipalities
Regulation 1: General provisions
In accordance with the relevant parts of this Convention the Contracting Parties shall apply the criteria and measures in this Annex in the whole catchment area and take into account Best Environmental Practice (BEP) and Best Available Technology (BAT) as described in Annex II.
Regulation 2: Specific requirements
1. Municipal sewage water shall be treated at least by biological or other methods equally effective with regard to reduction of significant parameters. Substantial reduction shall be introduced for nutrients.
2. Water management in industrial plants should aim at closed water systems or at a high rate of circulation in order to avoid waste water wherever possible.
3. Industrial waste waters should be separately treated before mixing with diluting waters.
4. Waste waters containing hazardous substances or other relevant substances shall not be jointly treated with other waste waters unless an equal reduction of the pollutant load is achieved compared to the separate purification of each waste water stream. The improvement of waste water quality shall not lead to a significant increase in the amount of harmful sludge.
5. Limit values for emissions containing harmful substances to water and air shall be stated in special permits.
6. Industrial plants and other point sources connected to municipal treatment plants shall use Best Available Technology in order to avoid hazardous substances which cannot be made harmless in the municipal sewage treatment plant or which may disturb the processes in the plant. In addition, measures according to Best Environmental Practice shall be taken.
7. Pollution from fish-farming shall be prevented and eliminated by promoting and implementing Best Environmental Practice and Best Available Technology.
8. Pollution from diffuse sources, including agriculture, shall be eliminated by promoting and implementing Best Environmental Practice.
9. Pesticides used shall comply with the criteria established by the Commission.
Regulation 3: Principles for issuing permits for industrial plants
The Contracting Parties undertake to apply the following principles and procedures when issuing the permits referred to in Article 6, paragraph 3 of this Convention:
1. The operator of the industrial plant shall submit data and information to the appropriate national authority using a form of application. It is recommended that the operator negotiates with the appropriate national authority concerning the data required for the application before submitting the application to the authority (agreement on the scope of required information and surveys).
At least the following data and information shall be included in the application:
General information
- name, branch, location and number of employees.
Actual situation and/or planned activities
- site of discharge and/or emission;
- type of production, amount of production and/or processing;
- production processes;
- type and amount of raw materials, agents and/or intermediate products;
- amount and quality of untreated wastewater and raw gas from all relevant sources (e.g. process water, cooling water);
- treatment of wastewater and raw gas with respect to type, process and efficiency of pretreatment and/or final treatment;
-treated wastewater and raw gas with respect to amount and quality at the outlet of the pretreatment and/or final treatment facilities;
- amount and quality of solid and liquid wastes generated during the process and the treatment of wastewater and raw gas;
- treatment of solid and liquid wastes;
- information about measures to prevent process failures and accidental spills;
- present status and possible impact on the environment.
Alternatives and their various impacts concerning, e.g., ecological, economic and safety aspects, if necessary:
- other possible production processes;
- other possible raw materials, agents and/or intermediate products;
- other possible treatment technologies.
2. The appropriate national authority shall evaluate the present status and potential impact of the planned activities on the environment.
3. The appropriate national authority issues the permit after comprehensive assessment with special consideration of the above mentioned aspects. At least the following shall be laid down in the permit:
- characterizations of all components (e.g. production capacity) which influence the amount and quality of discharge and/or emissions;
- limit values for amount and quality (load and/or concentration) of direct and indirect discharges and emissions;
- instructions concerning:
- construction and safety;
- production processes and/or agents;
- operation and maintenance of treatment facilities;
- recovery of materials and substances and waste disposal;
- type and extent of control to be performed by the operator (self-control);
- measures to be taken in case of process failures and accidental spills;
- analytical methods to be used;
- schedule for modernization, retrofitting and investigations done by the operator;
- schedule for reports of the operator on monitoring and/or selfcontrol, retrofitting and investigation measures.
4. The appropriate national authority or an independent institution authorized by the appropriate national authority shall:
- inspect the amount and quality of discharges and/or emissions by sampling and analysing;
- control the attainment of the permit requirements;
- arrange monitoring of the various impacts of wastewater discharges and emissions into the atmosphere;
- review the permit when necessary.
Part II: Prevention of Pollution from Agriculture
Regulation 1: General provisions
In accordance with the relevant parts of this Convention the Contracting Parties shall apply the measures described below and take into account Best Environment Practice (BEP) and Best Available Technology (BAT) to reduce the pollution from agricultural activities. The Contracting Parties shall elaborate Guidelines containing elements specified below and report to the Commission.
Regulation 2: Plant nutrients
The Contracting Parties shall integrate the following basic principles into national legislation or guidelines and adapt them to the prevailing conditions within the country to reduce the adverse environmental effects of agriculture. Specified requirement levels shall be considered to be a minimum basis for national legislation.
1. Animal density
To ensure that manure is not produced in excess in comparison to the amount of arable land, there must be a balance between the number of animals on the farm and the amount of land available for spreading manure, expressed as animal density. The maximum number of animals should be determined with consideration taken of the need to balance between the amount of phosphorus and nitrogen in manure and the crops’ requirements for plant nutrients.
2. Location and design of farm animal houses
Farm animal houses and similar enclosures for animals should be located and designed in such a way that ground and surface water will not be polluted.
3. Construction of manure storage
Manure storage must be of such a quality that prevents losses. The storage capacity shall be sufficiently large to ensure that manure only will be spread when the plants can utilize nutrients. The minimum level to be required should be 6 months’ storage capacity.
Manure storage should be constructed to safeguard against unintentional spillages and be of such a quality that prevents losses. With regard to different types of manure, the following principles should be considered:
- solid manure should be stored in dung yards with watertight floor and side walls
- liquid manure and farm waste should be stored in containers that are made of strong material impermeable to moisture and resistant to impacts of manure handling operations.
Animal manure should be used in such a way that as high a utilisation efficiency as possible is promoted.
Co-operation between farmers in the use of manure has to be encouraged.
5. Agricultural wastewater and silage effluents
Waste water from animal housing should either be stored in urine or slurry stores or else be treated in some suitable manner to prevent pollution. Effluents from manure or from preparation and storage of silage should be collected and directed to storage units for urine or liquid manure.
6. Application of organic manures
Organic manures (slurry, solid manure, urine, sewage sludge, composts, etc) should be used in such a way that a high utilisation efficiency can be achieved. Organic manures shall be spread in a way that minimises the risk of loss of plant nutrients and should not be spread on soils that are frozen, water saturated or covered with snow. Organic manures should be incorporated as soon as possible after application on bare soils. Periods shall be defined when no application is accepted.
7. Application rates for nutrients
The application of nutrients in agricultural land shall be limited, based on a balance between the foreseeable nutrient requirements of the crops and the nutrient supply to the crops from the soil and the nutrients with a view to minimise eutrophication.
National guidelines should be developed with fertilising recommendations and they should make reference to:
- soil conditions, soil nutrient content, soil type and slope;
- climatic conditions and irrigation;
- land use and agricultural practices, including crop rotation systems;
- all external potential nutrient sources.
The amount of livestock manure applied to the land each year including by the animals themselves should not exceed the amount of manure containing:
- 170 kg/ha nitrogen
- 25 kg/ha phosphorus
with a view to avoiding nutrient surplus, taking soil characteristics, agricultural practices and crop types into account.
8. Winter crop cover
In relevant regions the cultivated area should be sufficiently covered by crops in winter and autumn to effectively reduce the loss of plant nutrients.
9. Water protection measures and nutrient reduction areas
Protection measures should be established to prevent nutrient losses to water particularly as regards
- Surface water: buffer zones, riparian zones or sedimentation ponds should be established, if necessary.
- Groundwater: Groundwater protection zones should be established if necessary. Appropriate measures such as reduced fertilisation rates, zones where manure spreading is prohibited and permanent grassland areas should be established.
- Nutrient reduction areas: Wetland areas should be retained and where possible restored, to be able to reduce plant nutrient losses and to retain biological diversity.
10. Ammonia emissions
In order to reduce ammonia emissions from animal husbandry, a surplus of nitrogen in the manure should be avoided by adjusting the composition of the diet to the requirements of the individual animal. In poultry production, emissions should be brought down by reducing the moisture content of the manure or by removal of manure to storage outside the housing system as soon as possible.
Programmes including strategies and measures for reducing ammonia volatilisation from animal husbandry should be developed.
Urine and slurry stores should be covered or handled by a method that efficiently reduces ammonia emissions.
Regulation 3: Plant protection products
Plant protection products shall only be handled and used according to a national risk reduction strategy which shall be based on BEP. The strategy should be based on an inventory of the existing problems and define suitable goals. It shall include measures such as:
1. Registration and approval
Plant protection products shall not be sold, imported or applied until registration and approval for such purposes has been granted by the national authorities.
2. Storage and handling
Storage and handling of plant protection products shall be carried out so that the risks of spillage or leakage are prevented. Some crucial areas are transportation and filling and cleaning of equipment. Other dispersal of plant protection products outside the treated agricultural land area shall be prevented. Waste of plant protection products shall be disposed of according to national legislation.
3. Licence
A licence shall be required for commercial use of plant protection products. To obtain a licence suitable education and training on how to handle plant protection products with a minimum of impact on health and the environment shall be required. The users' knowledge regarding the handling and usage of plant protection products shall be updated regularly.
4. Application technology
Application technology and practice should be designed to prevent unintentional drift or run-off of plant protection products. Establishment of protection zones along surface waters should be encouraged. Application by aircraft shall be forbidden; exceptional cases require authorization.
5. Testing of spraying equipment
Testing of spraying equipment at regular intervals shall be promoted to ensure a reliable result when spraying with plant protection products.
6. Alternative methods of control
Development of alternative methods for plant protection control should be encouraged.
Regulation 4: Environmental permits
Farms with livestock production above a specified size should require approval with regard to environmental aspects and impacts of the farms.
Installations for the intensive rearing of poultry, pigs and cattle with more than 40,000 places for poultry, 2,000 places for production pigs (over 30 kg), 750 places for sows or 400 animal units cattle shall have a permit fully co-ordinated by the relevant authorities.
The permits must take into account the whole environmental performance of the enterprise, covering e.g. emissions to air, water and land, generation of waste and prevention of environmental accidents. The permit conditions must be based on BAT.
The competent authorities, in determining permit conditions, can take into account the technical characteristics of the enterprise, its geographical location and the local environmental conditions.
These large animal enterprises shall be considered as point sources and shall have adequate measures.
For installations with more than 100 AU the Contracting Parties shall put in practice general rules or a system corresponding to a simplified permit system to ensure the implementation of the requirements in this Annex.
Both of these permit systems shall be applied to existing installations and new installations and existing installations which are subject to substantial changes by 2012.
Regulation 5: Monitoring and evaluation
The Contracting Parties shall describe the implementation and monitoring of measures in this Annex in their national programmes.
To evaluate the effectiveness of the measures, the Contracting Parties shall develop projects to assess the effects of measures and the impacts of the agricultural sector on the environment.
Regulation 6: Education, information and extension service
The Contracting parties shall promote systems for education, information and extension (advisory service) on environmental issues in the agricultural sector.
Annex IV
Prevention of pollution from ships
Regulation 1: Co-operation
The Contracting Parties shall, in matters concerning the protection of the Baltic Sea Area from pollution by ships, co-operate:
a) within the International Maritime Organization, in particular in promoting the development of international rules, based, inter alia, on the fundamental principles and obligations of this Convention which also includes the promotion of the use of Best Available Technology and Best Environmental Practice as defined in Annex II;
b) in the effective and harmonized implementation of rules adopted by the International Maritime Organization.
Regulation 2: Assistance in investigations
The Contracting Parties shall, without prejudice to Article 4, paragraph 3 of this Convention, assist each other as appropriate in investigating violations of the existing legislation on anti-pollution measures, which have occurred or are suspected to have occurred within the Baltic Sea Area. This assistance may include but is not limited to inspection by the competent authorities of oil record books, cargo record books, log books and engine log books and taking oil samples for analytical identification purposes.
Regulation 3: Definitions
For the purposes of this Annex:
1. "Administration" means the Government of the Contracting Party under whose authority the ship is operating. With respect to a ship entitled to fly a flag of any State, the Administration is the Government of that State. With respect to fixed or floating platforms engaged in exploration and exploitation of the sea-bed and subsoil thereof adjacent to the coast over which the coastal State exercises sovereign rights for the purposes of exploration and exploitation of their natural resources, the Administration is the Government of the coastal State concerned.
2. a) "Discharge", in relation to harmful substances or effluents containing such substances, means any release howsoever caused from a ship and includes any escape, disposal, spilling, leaking, pumping, emitting or emptying;
2. b) "Discharge" does not include:
i) dumping within the meaning of the Convention on the Prevention of Marine Pollution by Dumping of Wastes and Other Matter done at London on 29 December 1972; or
ii) release of harmful substances directly arising from the exploration, exploitation and associated off-shore processing of sea-bed mineral resources; or
iii) release of harmful substances for purposes of legitimate scientific research into pollution abatement or control.
3. The term "from the nearest land" means from the baseline from which the territorial sea of the territory in question is established in accordance with international law.
4. The term "jurisdiction" shall be interpreted in accordance with international law in force at the time of application or interpretation of this Annex.
5. The term "MARPOL 73/78" means the International Convention for the Prevention of Pollution from Ships, 1973, as modified by the Protocol of 1978 relating thereto.
Regulation 4: Application of the Annexes of MARPOL 73/78
1. The Contracting Parties shall apply the provisions of Annexes I-V of MARPOL 73/78.
2. At the entry into force of the revised Regulation 13G of Annex I to MARPOL 73/78 the Contracting Parties:
a) shall amend the conditions under which ships are permitted to fly their flags so as not to allow the operation of ships which may not comply with the requirements of Regulation 13F in accordance with Regulation 13G(4);
b) shall refrain from making use of the provisions of either paragraph (5)(a) or paragraph (5)(b) of Regulation 13G and thus will not allow ships entitled to fly their flag to which paragraph (5)(a) and (5)(b) may be applied to continue operating beyond the date specified in Regulation 13G(4); and
c) shall make use, as from 1 January 2015, of the provisions of paragraph 8(b) of Regulation 13G for the purpose of denying entry into their ports or offshore terminals of ships which have been permitted, on the basis of the provisions of paragraph (5)(a) or (5)(b) of Regulation 13G, to continue operating beyond the anniversary of the date of their delivery in 2015;
d) may under exceptional circumstances allow an individual ship not complying with Regulation 13F in accordance with Regulation 13G(4), to enter their ports or off-shore terminals, when:
- an oil tanker is in difficulty and in search of a safe haven or of a place of refuge,
- an unloaded oil tanker is proceeding to a port of repair.
3. As from 1 January 2004 the Contracting Parties shall:
a) Apply the provisions for discharge of sewage as stated in Regulation 11, Paragraphs 1 and 3 of the revised Annex IV of MARPOL 73/78; and
b) Ensure the provision of facilities at ports and terminals for the reception of sewage as stated in Regulation 12, Paragraph 1 of the revised Annex IV of MARPOL 73/78.”
Regulation 5: Discharge of sewage by other ships
A. Compliance
All other ships including pleasure craft not referred to in Regulation 2 of the revised Annex IV of MARPOL 73/78 fitted with toilets shall comply with Regulation 1, Paragraph 3 and 4, Regulation 11, Paragraphs 1 and 3 and Regulation 3 of the revised Annex IV of MARPOL 73/78 as follows, cf. paragraph D below:
a) on 1 January 2005 for ships built before 1 January 2000, and
b) upon the entry into force of this Regulation for ships built on or after 1 January 2000.
B. Toilet retention systems
Ships referred to in paragraph A shall be fitted with toilet retention systems for sewage in accordance with guidelines approved by the Helsinki Commission.
C. Reception facilities
1. Regulation 12, Paragraph 1 of the revised Annex IV of MARPOL 73/78 shall apply, as appropriate, to ships referred to in Paragraph A.
2. To enable pipes of reception facilities to be connected with the discharge pipeline of ships referred to in Paragraph A, both lines shall be fitted with a standard discharge connection in accordance with guidelines approved by the Helsinki Commission.
D. Exceptions
a) Provisions of paragraph A and B of this regulation may not apply to certain types of pleasure craft and other ships fitted with toilets not referred to in Regulation 2 of the revised Annex IV of MARPOL 73/78 if
i) according to guidelines approved by the Helsinki Commission the installation of toilet retention systems in these pleasure craft and other ships is technically difficult or the costs of installation is high compared to the value of the ship, and
ii) these pleasure craft and other ships are built before 1 January 2000.
b) A Contracting Party making use of the exceptions stated above shall inform the Helsinki Commission of the concrete wording of the exception, who shall then inform the other Contracting Parties.
c) This paragraph is only valid for waters under the jurisdiction of the said Contracting Party.
Regulation 6: Mandatory discharge of all wastes to a port reception facilities
A. Definitions
For the purpose of this Regulation:
1. “Ship-generated wastes” means all residues generated during the service of the ship, including oily residues from engine room spaces, sewage, and garbage as defined in Annex V of MARPOL 73/78, cargo associated waste including but not limited to loading/unloading excess and spillage, dunnage, shoring, pallets, lining and packing materials, plywood, paper, cardboard, wire and steel strapping;
2. “Cargo residues” means the remnants of any cargo material on board in cargo holds which remain for disposal after unloading procedures are completed.
B. Discharge of wastes to a port reception facility
Before leaving port ships shall discharge all ship-generated wastes, which are not allowed to be discharged into the sea in the Baltic Sea Area in accordance with MARPOL 73/78 and this Convention, to a port reception facility. Before leaving port all cargo residues shall be discharged to a port reception facility in accordance with the requirements of MARPOL 73/78.
C. Exemptions
1. Exemptions may be granted by the Administration from mandatory discharge of all wastes to a port reception facility taking into account the need for special arrangements for, e.g., passenger ferries engaged in short voyages. The Administration shall inform the Helsinki Commission on the issued exemptions.
2. In case of inadequate reception facilities ships shall have the right to properly stow and keep wastes on board for delivery to next adequate port reception facility. The Port Authority or the Operator shall provide a ship with a document informing on inadequacy of reception facilities.
3. A ship should be allowed to keep on board minor amounts of wastes which are unreasonable to discharge to port reception facilities.
Regulation 7: Incineration of ship-generated wastes on board ships
A. Definition
For the purpose of this Regulation "incineration of ship-generated wastes on board ships" means the deliberate combustion of ship-generated wastes, incidental to the normal operation of ships, for the purpose of thermal destruction of such wastes.
B. Prohibition
The Contracting Parties shall prohibit any incineration of ship-generated wastes on board ships, irrespective of their nationality, operating in their territorial seas.
Regulation 8: Improved hydrographic services and promotion of the use of Electronic Navigational Charts (ENC)
1. The Contracting Parties:
a) shall develop a scheme for systematic re-surveying of major shipping routes and ports in order to ensure that safety of navigation is not endangered by inadequate source information. The survey shall be carried out to a standard not inferior to the latest edition of IHO S-44. The scheme shall be elaborated jointly by the hydrographic services responsible for the areas in question not later than by the end of 2002 with the aim to begin implementation by 2003.
b) shall develop Electronic Navigational Charts (ENC):
i) for major shipping routes and ports by the end of 2002. Major shipping routes and ports shall be selected on the basis of volumes of dangerous goods and number of passengers; and
ii) for secondary shipping routes and ports by the end of 2004.
2. The Contracting Parties:
a) shall accept Electronic Chart Display and Information Systems (ECDIS) as equivalent to paper charts in accordance with Chapter V of SOLAS;
b) undertake to enter into negotiations with shippers and recipients in their States, who are involved in transport of goods to and from ports in the Baltic Sea Area, with the aim that the commercial parties (e.g. national shippers and receivers) make arrangements to the effect that:
- ships with a draft of 11 metres or more, oil tankers with a draft of 7 metres or more, chemical tankers and gas carriers irrespective of size and ships carrying a shipment of INF cargo carry ECDIS;
c) shall by the end of the year 2002 as a matter of particular interest ensure that port State control of paper charts is intensified on board ships with a draught of 11 metres or more, oil tankers with a draft of 7 metres or more, chemical tankers and gas carriers irrespective of size and ships carrying a shipment of INF cargo.
Regulation 9: Use of Automatic Identification Systems (AIS)
The Contracting Parties:
a) shall establish national, land-based monitoring systems for ships, based on AIS signals. A full monitoring of the Baltic Sea Area within A1 sea area shall take place not later than 1 July 2005;
b) shall establish a common Baltic Sea monitoring system based on - and with access to - all national Baltic AIS monitoring systems; and
c) shall elaborate reliable statistics on ships’ traffic in the Baltic Sea Area to assess the need for further additional measures to improve the safety of navigation and the emergency capacity. These statistics shall be elaborated on the basis of specified and conformed national AIS data.
Regulation 10: Port State control
The Contracting Parties shall carry out port State control on the basis of either the 1982 Paris Memorandum of Understanding on Port State Control or the Council Directive 95/21/EC of 19 June 1995, as amended, concerning the enforcement, in respect of shipping using Community ports and sailing in the waters under the jurisdiction of the Member States, of international standards for ship safety, pollution prevention and shipboard living and working conditions (port State control).
Regulation 11: Promotion of a safety and environmental culture through the establishment of a common procedure for the investigations into marine casualties
The Contracting Parties:
a) shall identify major non conformities under the ISM Code when investigating any safety or environment related occurrences on board a ship and marine casualties, distribute the findings to the maritime industry via IMO with the aim to improve safety management systems applied and act accordingly with respect to the possible withdrawal of the Document of Compliance or the Safety Management Certificate; and
b) shall make use of the IMO Code for the Investigation of Marine Casualties and Incidents with a view to co-operating if involved as flag State or other substantially interested State and to exchange, within the legal framework of data protection, the data of the voyage data recorders of involved ships under their flag.
Regulation 12: Places of refuge
The Contracting Parties:
a) shall, following-up the work of EC and IMO, draw up plans to accommodate, in the waters under their jurisdiction, ships in distress in order to ensure that ships in distress may immediately go to a place of refuge subject to authorisation by the competent authority; and
b) shall exchange details on plans for accommodating ships in distress.
Annex V
Exemptions from the general prohibition of dumping of waste and other matter in the Baltic Sea Area
Regulation 1
In accordance with Article 11, paragraph 2 of this Convention the prohibition of dumping shall not apply to the disposal at sea of dredged materials provided that:
a) the dumping of dredged material containing harmful substances indicated in Annex I is only permitted according to the guidelines adopted by the Commission; and
b) the dumping is carried out under a prior special permit issued by the appropriate national authority, either
i) within the area of internal waters and the territorial sea of the Contracting Party; or
ii) outside the area of internal waters and the territorial sea, whenever necessary, after prior consultations in the Commission.
When issuing such permits the Contracting Party shall comply with the provisions in Regulation 3 of this Annex.
Regulation 2
1. The appropriate national authority referred to in Article 11, paragraph 2 of of this Convention shall:
a) issue the special permits provided for in Regulation 1 of this Annex;
b) keep records of the nature and quantities of matter permitted to be dumped and the location, time and method of dumping;
c) collect available information concerning the nature and quantities of matter that has been dumped in the Baltic Sea Area recently and up to the coming into force of this Convention, provided that the dumped matter in question could be liable to contaminate water or organisms in the Baltic Sea Area, to be caught by fishing equipment, or otherwise to give rise to harm, and information concerning the location, time and method of such dumping.
2. The appropriate national authority shall issue special permits in accordance with Regulation 1 of this Annex in respect of matter intended for dumping in the Baltic Sea Area:
a) loaded in its territory;
b) loaded by a ship or aircraft registered in its territory or flying its flag, when the loading occurs in the territory of a State which is not a Contracting Party to this Convention.
3. Each Contracting Party shall report to the Commission, and where appropriate to other Contracting Parties, the information specified in sub-paragraph 1 c) of Regulation 2 of this Annex. The procedure to be followed and the nature of such reports shall be determined by the Commission.
Regulation 3
When issuing special permits according to Regulation 1 of this Annex the appropriate national authority shall take into account:
a) the quantity of dredged material to be dumped;
b) the content of harmful substances as referred to in Annex I;
c) the location (e.g. co-ordinates of the dumping area, depth and distance from the coast) and its relation to areas of special interest (e.g. amenity areas, spawning, nursery and fishing areas, etc.); d) the water characteristics, if dumping is carried out outside the territorial sea, consisting of:
i) hydrographic properties (e.g. temperature, salinity, density, profile);
ii) chemical properties (e.g. pH, dissolved oxygen, nutrients);
iii) biological properties (e.g. primary production and benthic animals);
d) the data should include sufficient information on the annual mean levels and seasonal variation of the properties mentioned in this paragraph; and
e) the existence and effects of other dumping which may have been carried out in the dumping area.
Regulation 4
Reports made in accordance with Article 11, paragraph 5 of this Convention shall include the information to be provided in the Reporting Form to be determined by the Commission.
Annex VI
Prevention of pollution from offshore activities
Regulation 1: Definitions
For the purposes of this Annex:
1. "Offshore activity" means any exploration and exploitation of oil and gas by a fixed or floating offshore installation or structure including all associated activities thereon;
2. "Offshore unit" means any fixed or floating offshore installation or structure engaged in gas or oil exploration, exploitation or production activities, or loading or unloading of oil;
3. "Exploration" includes any drilling activity but not seismic investigations;
4. "Exploitation" includes any production, well testing or stimulation activity.
Regulation 2: Use of Best Available Technology and Best Environmental Practice
The Contracting Parties undertake to prevent and eliminate pollution from offshore activities by using the principles of Best Available Technology and Best Environmental Practice as defined in Annex II.
Regulation 3: Environmental impact assessment and monitoring
1. An environmental impact assessment shall be made before an offshore activity is permitted to start. In case of exploitation referred to in Regulation 5 the outcome of this assessment shall be notified to the Commission before the offshore activity is permitted to start.
2. In connection with the environmental impact assessment the environmental sensitivity of the sea area around a proposed offshore unit should be assessed with respect to the following:
a) the importance of the area for birds and marine mammals;
b) the importance of the area as fishing or spawning grounds for fish and shellfish, and for aquaculture;
c) the recreational importance of the area;
d) the composition of the sediment measured as: grain size distribution, dry matter, ignition loss, total hydrocarbon content, and Ba, Cr, Pb, Cu, Hg and Cd content;
e) the abundance and diversity of benthic fauna and the content of selected aliphatic and aromatic hydrocarbons.
3. In order to monitor the consequent effects of the exploration phase of the offshore activity studies, at least those referred to in sub-paragraph d) above, shall be carried out before and after the operation.
4. In order to monitor the consequent effects of the exploitation phase of the offshore activity studies, at least those referred to in sub-paragraphs d) and e) above, shall be carried out before the operation, at annual intervals during the operation, and after the operation has been concluded.
Regulation 4: Discharges on the exploration phase
1. The use of oil-based drilling mud or muds containing other harmful substances shall be restricted to cases where it is necessary for geological, technical or safety reasons and only after prior authorization by the appropriate national authority. In such cases appropriate measures shall be taken and appropriate installations provided in order to prevent the discharge of such muds into the marine environment.
2. Oil-based drilling muds and cuttings arising from the use of oil-based drilling muds should not be discharged in the Baltic Sea Area but taken ashore for final treatment or disposal in an environmentally acceptable manner.
3. The discharge of water-based mud and cuttings shall be subject to authorization by the appropriate national authority. Before authorization the content of the water-based mud must be proven to be of low toxicity.
4. The discharge of cuttings arising from the use of water based drilling mud shall not be permitted in specifically sensitive parts of the Baltic Sea Area such as confined or shallow areas with limited water exchange and areas characterized by rare, valuable or particularly fragile ecosystems.
Regulation 5: Discharges on the exploitation phase
In addition to the provisions of Annex IV the following provisions shall apply to discharges:
a) all chemicals and materials shall be taken ashore and may be discharged only exceptionally after obtaining permission from the appropriate national authority in each individual operation;
b) the discharge of production water and displacement water is prohibited unless its oil content is proven to be less than 15 mg/l measured by the methods of analysis and sampling to be adopted by the Commission;
c) if compliance with this limit value cannot be achieved by the use of Best Environmental Practice and Best Available Technology the appropriate national authority may require adequate additional measures to prevent possible pollution of the marine environment of the Baltic Sea Area and allow, if necessary, a higher limit value which shall, however, be as low as possible and in no case exceed 40 mg/l; the oil content shall be measured as provided in sub-paragraph b) above.
d) the permitted discharge shall not, in any case, create any unacceptable effects on the marine environment;
e) in order to benefit from the future development in cleaning and production technology, discharge permits shall be regularly reviewed by the appropriate national authority and the discharge limits shall be revised accordingly.
Regulation 6: Reporting procedure
Each Contracting Party shall require that the operator or any other person having charge of the offshore unit shall report in accordance with the provisions of Regulation 5.1 of Annex VII of this Convention.
Regulation 7: Contingency planning
Each offshore unit shall have a pollution emergency plan approved in accordance with the procedure established by the appropriate national authority. The plan shall contain information on alarm and communication systems, organization of response measures, a list of prepositioned equipment and a description of the measures to be taken in different types of pollution incidents.
Regulation 8: Disused offshore units
The Contracting Parties shall ensure that abandoned, disused offshore units and accidentally wrecked offshore units are entirely removed and brought ashore under the responsibility of the owner and that disused drilling wells are plugged.
Regulation 9: Exchange of information
The Contracting Parties shall continuously exchange information through the Commission on the location and nature of all planned or accomplished offshore activities and on the nature and amounts of discharges as well as on contingency measures that are undertaken.
Annex VII
Response to pollution incidents
Regulation 1: General Provisions
1. The Contracting Parties undertake to maintain the ability to respond to pollution incidents threatening the marine environment of the Baltic Sea Area. This ability shall include adequate equipment, ships and manpower prepared for operations in coastal waters as well as on the high sea.
2. a) In addition to the incidents referred to in Article 13 the Contracting Party shall also notify without delay those pollution incidents occuring within its response region, which affect or are likely to affect the interests of other Contracting Parties.
b) In the event of a significant pollution incident other Contracting Parties and the Commission shall also be informed as soon as possible.
3. The Contracting Parties agree that subject to their capabilities and the availability of relevant resources, they shall co-operate in responding to pollution incidents when the severity of such incidents so justify.
4. In addition the Contracting Parties shall take other measures to:
a) conduct regular surveillance outside their coastlines; and
b) otherwise co-operate and exchange information with other Contracting Parties in order to improve the ability to respond to pollution incidents.
Regulation 2: Contingency Planning
Each Contracting Party shall draw up a national contingency plan and in co-operation with other Contracting Parties, as appropriate, bilateral or multilateral plans for a joint response to pollution incidents.
Regulation 3: Surveillance
1. In order to prevent violations of the existing regulations on prevention of pollution from ships the Contracting Parties shall develop and apply individually or in co-operation, surveillance activities covering the Baltic Sea Area in order to spot and monitor oil and other substances released into the sea.
2. The Contracting Parties shall undertake appropriate measures to conduct the surveillance referred to in Paragraph 1. by using, inter alia, airborne surveillance equipped with remote sensing systems.
Regulation 4: Response Regions
The Contracting Parties shall as soon as possible agree bilaterally or multilaterally on those regions of the Baltic Sea Area in which they shall conduct surveillance activities and take action to respond whenever a significant pollution incident has occurred or is likely to occur. Such agreements shall not prejudice any other agreements concluded between Contracting Parties concerning the same subject. Neighboring States shall ensure the harmonization of different agreements. Contracting Parties shall inform other Contracting Parties and the Commission about such agreements.
Regulation 5: Reporting Procedure
1. a) Each Contracting Party shall require masters or other persons having charge of ships flying its flag to report without delay any event on their ship involving a discharge or probable discharge of oil or other harmful substances.
b) The report shall be made to the nearest coastal state and in accordance with the provisions of Article 8 and Protocol I of the International Convention for the Prevention of Pollution from Ships, 1973, as modified by the Protocol of 1978 related thereto (MARPOL 73/78).
c) The Contracting Parties shall request masters or other persons having charge of ships and pilots of aircraft to report without delay and in accordance with this system on significant spillages of oil or other harmful substances observed at sea. Such reports should as far as possible contain the following data: time, position, wind and sea conditions, and kind, extent and probable source of the spill observed.
2. The provisions of paragraph 1. b) shall also be applied with regard to dumping made under the provisions of Article 11, paragraph 4 of this Convention.
Regulation 6: Emergency Measures on Board Ships
1. Each Contracting Party shall require that ships entitled to fly its flag have on board a shipboard oil pollution emergency plan as required by and in accordance with the provisions of MARPOL 73/78.
2. Each Contracting Party shall request masters of ships flying its flag or, in case of fixed or floating platforms operating under its jurisdiction, the persons having charge of platforms to provide, in case of a pollution incident and on request by the proper authorities, such detailed information about the ship and its cargo or in case of platform its production which is relevant to actions for preventing or responding to pollution of the sea, and to co-operate with these authorities.
Regulation 7: Response Measures
1. The Contracting Party shall, when a pollution incident occurs in its response region, make the necessary assessments of the situation and take adequate response action in order to avoid or minimize subsequent pollution effects.
2. a) The Contracting Parties shall, subject to sub-paragraph b), use mechanical means to respond to pollution incidents.
b) Chemical agents may be used only in exceptional cases and after authorization, in each individual case, by the appropriate national authority.
3. When such a spillage is drifting or is likely to drift into a response region of another Contracting Party, that Party shall without delay be informed of the situation and the actions that have been taken.
Regulation 8: Assistance
1. According to the provisions of paragraph 3 of Regulation 1:
a) a Contracting Party is entitled to call for assistance by other Contracting Parties when responding to a pollution incident at sea; and
b) Contracting Parties shall use their best endeavours to bring such assistance
2. Contracting Parties shall take necessary legal or administrative measures to facilitate:
a) the arrival and utilization in and departure from its territory of ships, aircraft and other modes of transport engaged in responding to a pollution incident or transporting personnel, cargoes, materials and equipment required to deal with such an incident; and
b) the expeditious movement into, through, and out of its territory of personnel, cargoes, materials and equipment referred to in sub-paragraph a).
Regulation 9: Reimbursement of Cost of Assistance
1. The Contracting Parties shall bear the costs of assistance referred to in Regulation 8 in accordance with this Regulation.
2. a) If the action was taken by one Contracting Party at the express request of another Contracting Party, the requesting Party shall reimburse to the assisting Party the costs of the action of the assisting Party. If the request is cancelled the requesting Party shall bear the costs already incurred or committed by the assisting Party.
b) If the action was taken by a Contracting Party on its own initiative, this Party shall bear the costs of its action.
c) The principles laid down above in sub-paragraphs a) and b) shall apply unless the Parties concerned otherwise agree in any individual case.
3. Unless otherwise agreed, the costs of the action taken by a Contracting Party at the request of another Party shall be fairly calculated according to the law and current practice of the assisting Party concerning the reimbursement of such costs.
4. The provisions of this regulation shall not be interpreted as in any way prejudicing the rights of Contracting Parties to recover from third parties the costs of actions taken to deal with pollution incidents under other applicable provisions and rules of international law and national or supra-national regulations.
Regulation 10: Regular Co-operation
1. Each Contracting Party shall provide information to the other Contracting Parties and the Commission about:
a) its organization for dealing with spillages at sea of oil and other harmful substances;
b) its regulations and other matters which have a direct bearing on preparedness and response to pollution at sea by oil and other harmful substances;
c) the competent authority responsible for receiving and dispatching reports of pollution at sea by oil and other harmful substances;
d) the competent authorities for dealing with questions concerning measures for mutual assistance, information and co-operation between the Contracting Parties according to this Annex; and
e) actions taken in accordance with Regulations 7 and 8 of this Annex.
2. The Contracting Parties shall exchange information on research and development programs, results concerning ways in which pollution by oil and other harmful substances at sea may be dealt with and experiences in surveillance activities and in responding to such pollution.
3. The Contracting Parties shall on a regular basis arrange joint operational combatting exercises as well as alarm exercises.
4. The Contracting Parties shall co-operate within the International Maritime Organization in matters concerning the implementation and further development of the International Convention on Oil Pollution Preparedness, Response and Co-operation.
Regulation 11: HELCOM Combatting Manual
The Contracting Parties agree to apply, as far as practicable, the principles and rules included in the Manual on Co-operation in Combatting Marine Pollution, detailing this Annex and adopted by the Commission or by the Committee designated by the Commission for this purpose.