Appendix I Text of the Basel Convention (Excerpts)

Basel Convention on the Control of Transboundary Movements of Hazardous Wastes and Their Disposal

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. [...]

ARTICLE 2 Definitions For the purposes of this Convention: 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; [...] 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; Ó Springer-Verlag Berlin Heidelberg 2015 311 J. Albers, Responsibility and Liability in the Context of Transboundary Movements of Hazardous Wastes by Sea, Hamburg Studies on Maritime Affairs 29, DOI 10.1007/978-3-662-43349-2 312 Appendix I: Text of the Basel Convention…

4. ‘‘Disposal’’ means any operation specified in Annex IV to this Convention; [...] 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; 14. ‘‘Person’’ means any natural or legal person; 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; [...] 21. ‘‘Illegal traffic’’ means any transboundary movement of hazardous wastes or other wastes as specified in Article 9. [...] 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. Appendix I: Text of the Basel Convention… 313

(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. 2. Each Party shall take the appropriate measures to: (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. 314 Appendix I: Text of the Basel Convention…

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 60° South latitude, whether or not such wastes are subject to transboundary movement. 7. Furthermore, each Party shall: (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. Appendix I: Text of the Basel Convention… 315

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 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: (a) The notifier has received the written consent of the State of import; and (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. […] 316 Appendix I: Text of the Basel Convention…

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. [...] 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. [...] 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 1 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. Appendix I: Text of the Basel Convention… 317

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 (d) that does not conform in a material way with the documents; 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, shall be deemed to be illegal traffic. 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 cooperate with a view to achieving the objects of this Article. [...] 318 Appendix I: Text of the Basel Convention…

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 such 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. [...] Appendix II Text of the Basel Protocol

Protocol on Liability and Compensation for Damage Resulting from Transboundary Movements of Hazardous Wastes and Their Disposal

The Parties to the Protocol, Having taken into account the relevant provisions of Principle 13 of the 1992 Rio Declaration on Environment and Development, according to which States shall develop international and national legal instruments regarding liability and compensation for the victims of pollution and other environmental damage, Being Parties to the Basel Convention on the Control of Transboundary Movements of Hazardous Wastes and their Disposal, Mindful of their obligations under the Convention, Aware of the risk of damage to human health, property and the environment caused by hazardous wastes and other wastes and the transboundary movement and disposal thereof, Concerned about the problem of illegal transboundary traffic in hazardous wastes and other wastes, Committed to Article 12 of the Convention, and emphasizing the need to set 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, Convinced of the need to provide for third party liability and environmental liability in order to ensure that adequate and prompt compensation is available for damage resulting from the transboundary movement and disposal of hazardous wastes and other wastes, Have agreed as follows:

ARTICLE 1 Objective The objective of the Protocol is to provide for a comprehensive regime for liability and for adequate and prompt compensation for damage resulting from the transboundary movement of hazardous wastes and other wastes and their disposal including illegal traffic in those wastes. Ó Springer-Verlag Berlin Heidelberg 2015 319 J. Albers, Responsibility and Liability in the Context of Transboundary Movements of Hazardous Wastes by Sea, Hamburg Studies on Maritime Affairs 29, DOI 10.1007/978-3-662-43349-2 320 Appendix II: Text of the Basel Protocol

ARTICLE 2 Definitions 1. The definitions of terms contained in the Convention apply to the Protocol, unless expressly provided otherwise in the Protocol. 2. For the purposes of the Protocol: (a) ‘‘The Convention’’ means the Basel Convention on the Control of Transboundary Movements of Hazardous Wastes and their Disposal; (b) ‘‘Hazardous wastes and other wastes’’ means hazardous wastes and other wastes within the meaning of Article 1 of the Convention; (c) ‘‘Damage’’ means: (i) Loss of life or personal injury; (ii) Loss of or damage to property other than property held by the person liable in accordance with the present Protocol; (iii) Loss of income directly deriving from an economic interest in any use of the environment, incurred as a result of impairment of the environment, taking into account savings and costs; (iv) The costs of measures of reinstatement of the impaired environment, limited to the costs of measures actually taken or to be undertaken; and (v) The costs of preventive measures, including any loss or damage caused by such measures, to the extent that the damage arises out of or results from hazardous properties of the wastes involved in the transboundary movement and disposal of hazardous wastes and other wastes subject to the Convention; (d) ‘‘Measures of reinstatement’’ means any reasonable measures aiming to assess, reinstate or restore damaged or destroyed components of the environment. Domestic law may indicate who will be entitled to take such measures; (e) ‘‘Preventive measures’’ means any reasonable measures taken by any person in response to an incident, to prevent, minimize, or mitigate loss or damage, or to effect environmental cleanup; (f) ‘‘Contracting Party’’ means a Party to the Protocol; (g) ‘‘Protocol’’ means the present Protocol; (h) ‘‘Incident’’ means any occurrence, or series of occurrences having the same origin that causes damage or creates a grave and imminent threat of causing damage; (i) ‘‘Regional economic integration organization’’ means an organization constituted by sovereign States to which its member States have transferred competence in respect of matters governed by the Protocol and which has been duly authorized, in accordance with its internal procedures, to sign, ratify, accept, approve, formally confirm or accede to it; (j) ‘‘Unit of account’’ means the Special Drawing Right as defined by the International Monetary Fund. Appendix II: Text of the Basel Protocol 321

ARTICLE 3 Scope of application 1. The Protocol shall apply to damage due to an incident occurring during a transboundary movement of hazardous wastes and other wastes and their disposal, including illegal traffic, from the point where the wastes are loaded on the means of transport in an area under the national jurisdiction of a State of export. Any Contracting Party may by way of notification to the Depositary exclude the application of the Protocol, in respect of all transboundary movements for which it is the State of export, for such incidents which occur in an area under its national jurisdiction, as regards damage in its area of national jurisdiction. The Secretariat shall inform all Contracting Parties of notifications received in accordance with this Article. 2. The Protocol shall apply: (a) In relation to movements destined for one of the operations specified in Annex IV to the Convention other than D13, D14, D15, R12 or R13, until the time at which the notification of completion of disposal pursuant to Article 6, paragraph 9, of the Convention has occurred, or, where such notification has not been made, completion of disposal has occurred; and (b) In relation to movements destined for the operations specified in D13, D14, D15, R12 or R13 of Annex IV to the Convention, until completion of the subsequent disposal operation specified in D1 to D12 and R1 to R11 of Annex IV to the Convention. 3. (a) The Protocol shall apply only to damage suffered in an area under the national jurisdiction of a Contracting Party arising from an incident as referred to in paragraph 1; (b) When the State of import, but not the State of export, is a Contracting Party, the Protocol shall apply only with respect to damage arising from an incident as referred to in paragraph 1 which takes place after the moment at which the disposer has taken possession of the hazardous wastes and other wastes. When the State of export, but not the State of import, is a Contracting Party, the Protocol shall apply only with respect to damage arising from an incident as referred to in paragraph 1 which takes place prior to the moment at which the disposer takes possession of the hazardous wastes and other wastes. When neither the State of export nor the State of import is a Contracting Party, the Protocol shall not apply; (c) Notwithstanding subparagraph (a), the Protocol shall also apply to the damages specified in Article 2, subparagraphs 2 (c) (i), (ii) and (v), of the Protocol occurring in areas beyond any national jurisdiction; (d) Notwithstanding subparagraph (a), the Protocol shall, in relation to rights under the Protocol, also apply to damages suffered in an area under the national jurisdiction of a State of transit which is not a Contracting Party provided that such State appears in Annex A and has acceded to a 322 Appendix II: Text of the Basel Protocol

multilateral or regional agreement concerning transboundary movements of hazardous waste which is in force. Subparagraph (b) will apply mutatis mutandis. 4. Notwithstanding paragraph 1, in case of re-importation under Article 8 or Article 9, subparagraph 2 (a), and Article 9, paragraph 4, of the Convention, the provisions of the Protocol shall apply until the hazardous wastes and other wastes reach the original State of export. 5. Nothing in the Protocol shall affect in any way the sovereignty of States over their territorial seas and their jurisdiction and the right in their respective exclusive economic zones and continental shelves in accordance with international law. 6. Notwithstanding paragraph 1 and subject to paragraph 2 of this Article: (a) The Protocol shall not apply to damage that has arisen from a transboundary movement of hazardous wastes and other wastes that has commenced before the entry into force of the Protocol for the Contracting Party concerned; (b) The Protocol shall apply to damage resulting from an incident occurring during a transboundary movement of wastes falling under Article 1, subparagraph 1 (b), of the Convention only if those wastes have been notified in accordance with Article 3 of the Convention by the State of export or import, or both, and the damage arises in an area under the national jurisdiction of a State, including a State of transit, that has defined or considers those wastes as hazardous provided that the requirements of Article 3 of the Convention have been met. In this case strict liability shall be channelled in accordance with Article 4 of the Protocol. 7. (a) The Protocol shall not apply to damage due to an incident occurring during a transboundary movement of hazardous wastes and other wastes and their disposal pursuant to a bilateral, multilateral or regional agreement or arrangement concluded and notified in accordance with Article 11 of the Convention if: (i) The damage occurred in an area under the national jurisdiction of any of the Parties to the agreement or arrangement; (ii) There exists a liability and compensation regime, which is in force and is applicable to the damage resulting from such a transboundary movement or disposal provided it fully meets, or exceeds the objective of the Protocol by providing a high level of protection to persons who have suffered damage; (iii) The Party to the Article 11 agreement or arrangement in which the damage has occurred has previously notified the Depositary of the nonapplication of the Protocol to any damage occurring in an area under its national jurisdiction due to an incident resulting Appendix II: Text of the Basel Protocol 323

from movements or disposals referred to in this subparagraph; and (iv) The Parties to the Article 11 agreement or arrangement have not declared that the Protocol shall be applicable; (b) In order to promote transparency, a Contracting Party that has notified the Depositary of the non-application of the Protocol shall notify the Secretariat of the applicable liability and compensation regime referred to in subparagraph (a) (ii) and include a description of the regime. The Secretariat shall submit to the Meeting of the Parties, on a regular basis, summary reports on the notifications received; (c) After a notification pursuant to subparagraph (a) (iii) is made, actions for compensation for damage to which subparagraph (a) (i) applies may not be made under the Protocol. 8. The exclusion set out in paragraph 7 of this Article shall neither affect any of the rights or obligations under the Protocol of a Contracting Party which is not party to the agreement or arrangement mentioned above, nor shall it affect rights of States of transit which are not Contracting Parties. 9. Article 3, paragraph 2, shall not affect the application of Article 16 to all Contracting Parties. ARTICLE 4 Strict liability 1. The person who notifies in accordance with Article 6 of the Convention, shall be liable for damage until the disposer has taken possession of the hazardous wastes and other wastes. Thereafter the disposer shall be liable for damage. If the State of export is the notifier or if no notification has taken place, the exporter shall be liable for damage until the disposer has taken possession of the hazardous wastes and other wastes. With respect to Article 3, subparagraph 6 (b), of the Protocol, Article 6, paragraph 5, of the Convention shall apply mutatis mutandis. Thereafter the disposer shall be liable for damage. 2. Without prejudice to paragraph 1, with respect to wastes under Article 1, subparagraph 1 (b), of the Convention that have been notified as hazardous by the State of import in accordance with Article 3 of the Convention but not by the State of export, the importer shall be liable until the disposer has taken possession of the wastes, if the State of import is the notifier or if no notification has taken place. Thereafter the disposer shall be liable for damage. 3. Should the hazardous wastes and other wastes be re-imported in accordance with Article 8 of the Convention, the person who notified shall be liable for damage from the time the hazardous wastes leave the disposal site, until the wastes are taken into possession by the exporter, if applicable, or by the alternate disposer. 4. Should the hazardous wastes and other wastes be re-imported under Article 9, subparagraph 2 (a), or Article 9, paragraph 4, of the Convention, subject to Article 3 of the Protocol, the person who reimports shall be held liable for 324 Appendix II: Text of the Basel Protocol

damage until the wastes are taken into possession by the exporter if applicable, or by the alternate disposer. 5. No liability in accordance with this Article shall attach to the person referred to in paragraphs 1 and 2 of this Article, if that person proves that the damage was: (a) The result of an act of armed conflict, hostilities, civil war or insurrection; (b) The result of a natural phenomenon of exceptional, inevitable, unforeseeable and irresistible character; (c) Wholly the result of compliance with a compulsory measure of a public authority of the State where the damage occurred; or (d) Wholly the result of the wrongful intentional conduct of a third party, including the person who suffered the damage. 6. If two or more persons are liable according to this Article, the claimant shall have the right to seek full compensation for the damage from any or all of the persons liable. ARTICLE 5 Fault-based liability Without prejudice to Article 4, any person shall be liable for damage caused or contributed to by his lack of compliance with the provisions implementing the Convention or by his wrongful intentional, reckless or negligent acts or omissions. This Article shall not affect the domestic law of the Contracting Parties governing liability of servants and agents.

ARTICLE 6 Preventive measures 1. Subject to any requirement of domestic law any person in operational control of hazardous wastes and other wastes at the time of an incident shall take all reasonable measures to mitigate damage arising therefrom. 2. Notwithstanding any other provision in the Protocol, any person in possession and/or control of hazardous wastes and other wastes for the sole purpose of taking preventive measures, provided that this person acted reasonably and in accordance with any domestic law regarding preventive measures, is not thereby subject to liability under the Protocol. ARTICLE 7 Combined cause of the damage 1. Where damage is caused by wastes covered by the Protocol and wastes not covered by the Protocol, a person otherwise liable shall only be liable according to the Protocol in proportion to the contribution made by the wastes covered by the Protocol to the damage. 2. The proportion of the contribution to the damage of the wastes referred to in paragraph 1 shall be determined with regard to the volume and properties of the wastes involved, and the type of damage occurring. Appendix II: Text of the Basel Protocol 325

3. In respect of damage where it is not possible to distinguish between the contribution made by wastes covered by the Protocol and wastes not covered by the Protocol, all damage shall be considered to be covered by the Protocol. ARTICLE 8 Right of recourse 1. Any person liable under the Protocol shall be entitled to a right of recourse in accordance with the rules of procedure of the competent court: (a) Against any other person also liable under the Protocol; and (b) As expressly provided for in contractual arrangements. 2. Nothing in the Protocol shall prejudice any rights of recourse to which the person liable might be entitled pursuant to the law of the competent court. ARTICLE 9 Contributory fault Compensation may be reduced or disallowed if the person who suffered the damage, or a person for whom he is responsible under the domestic law, by his own fault, has caused or contributed to the damage having regard to all circumstances.

ARTICLE 10 Implementation 1. The Contracting Parties shall adopt the legislative, regulatory and administrative measures necessary to implement the Protocol. 2. In order to promote transparency, Contracting Parties shall inform the Secretariat of measures to implement the Protocol, including any limits of liability established pursuant to paragraph 1 of Annex B. 3. The provisions of the Protocol shall be applied without discrimination based on nationality, domicile or residence. ARTICLE 11 Conflicts with other liability and compensation agreements Whenever the provisions of the Protocol and the provisions of a bilateral, multilateral or regional agreement apply to liability and compensation for damage caused by an incident arising during the same portion of a transboundary movement, the Protocol shall not apply provided the other agreement is in force for the Party or Parties concerned and had been opened for signature when the Protocol was opened for signature, even if the agreement was amended afterwards.

ARTICLE 12 Financial limits 1. Financial limits for the liability under Article 4 of the Protocol are specified in Annex B to the Protocol. Such limits shall not include any interest or costs awarded by the competent court. 2. There shall be no financial limit on liability under Article 5. 326 Appendix II: Text of the Basel Protocol

ARTICLE 13 Time limit of liability 1. Claims for compensation under the Protocol shall not be admissible unless they are brought within ten years from the date of the incident. 2. Claims for compensation under the Protocol shall not be admissible unless they are brought within five years from the date the claimant knew or ought reasonably to have known of the damage provided that the time limits established pursuant to paragraph 1 of this Article are not exceeded. 3. Where the incident consists of a series of occurrences having the same origin, time limits established pursuant to this Article shall run from the date of the last of such occurrences. Where the incident consists of a continuous occurrence, such time limits shall run from the end of that continuous occurrence. ARTICLE 14 Insurance and other financial guarantees 1. The persons liable under Article 4 shall establish and maintain during the period of the time limit of liability, insurance, bonds or other financial guarantees covering their liability under Article 4 of the Protocol for amounts not less than the minimum limits specified in paragraph 2 of Annex B. States may fulfil their obligation under this paragraph by a declaration of self- insurance. Nothing in this paragraph shall prevent the use of deductibles or co- payments as between the insurer and the insured, but the failure of the insured to pay any deductible or co-payment shall not be a defence against the person who has suffered the damage. 2. With regard to the liability of the notifier, or exporter under Article 4, paragraph 1, or of the importer under Article 4, paragraph 2, insurance, bonds or other financial guarantees referred to in paragraph 1 of this Article shall only be drawn upon in order to provide compensation for damage covered by Article 2 of the Protocol. 3. A document reflecting the coverage of the liability of the notifier or exporter under Article 4, paragraph 1, or of the importer under Article 4, paragraph 2, of the Protocol shall accompany the notification referred to in Article 6 of the Convention. Proof of coverage of the liability of the disposer shall be delivered to the competent authorities of the State of import. 4. Any claim under the Protocol may be asserted directly against any person providing insurance, bonds or other financial guarantees. The insurer or the person providing the financial guarantee shall have the right to require the person liable under Article 4 to be joined in the proceedings. Insurers and persons providing financial guarantees may invoke the defences which the person liable under Article 4 would be entitled to invoke. 5. Notwithstanding paragraph 4, a Contracting Party shall, by notification to the Depositary at the time of signature, ratification, or approval of, or accession to the Protocol, indicate if it does not provide for a right to bring a direct action Appendix II: Text of the Basel Protocol 327

pursuant to paragraph 4. The Secretariat shall maintain a record of the Contracting Parties who have given notification pursuant to this paragraph. ARTICLE 15 Financial mechanism 1. Where compensation under the Protocol does not cover the costs of damage, additional and supplementary measures aimed at ensuring adequate and prompt compensation may be taken using existing mechanisms. 2. The Meeting of the Parties shall keep under review the need for and possibility of improving existing mechanisms or establishing a new mechanism. ARTICLE 16 State responsibility The Protocol shall not affect the rights and obligations of the Contracting Parties under the rules of general international law with respect to State responsibility.

PROCEDURES

ARTICLE 17 Competent courts 1. Claims for compensation under the Protocol may be brought in the courts of a Contracting Party only where either: (a) The damage was suffered; or (b) The incident occurred; or (c) The defendant has his habitual residence, or has his principal place of business. 2. Each Contracting Party shall ensure that its courts possess the necessary competence to entertain such claims for compensation. ARTICLE 18 Related actions 1. Where related actions are brought in the courts of different Parties, any court other than the court first seized may, while the actions are pending at first instance, stay its proceedings. 2. A court may, on the application of one of the Parties, decline jurisdiction if the law of that court permits the consolidation of related actions and another court has jurisdiction over both actions. 3. For the purpose of this Article, actions are deemed to be related where they are so closely connected that it is expedient to hear and determine them together to avoid the risk of irreconcilable judgements resulting from separate proceedings. 328 Appendix II: Text of the Basel Protocol

ARTICLE 19 Applicable law All matters of substance or procedure regarding claims before the competent court which are not specifically regulated in the Protocol shall be governed by the law of that court including any rules of such law relating to conflict of laws.

ARTICLE 20 Relation between the Protocol and the law of the competent court 1. Subject to paragraph 2, nothing in the Protocol shall be construed as limiting or derogating from any rights of persons who have suffered damage, or as limiting the protection or reinstatement of the environment which may be provided under domestic law. 2. No claims for compensation for damage based on the strict liability of the notifier or the exporter liable under Article 4, paragraph 1, or the importer liable under Article 4, paragraph 2, of the Protocol, shall be made otherwise than in accordance with the Protocol. ARTICLE 21 Mutual recognition and enforcement of judgements 1. Any judgement of a court having jurisdiction in accordance with Article 17 of the Protocol, which is enforceable in the State of origin and is no longer subject to ordinary forms of review, shall be recognized in any Contracting Party as soon as the formalities required in that Party have been completed, except: (a) Where the judgement was obtained by fraud; (b) Where the defendant was not given reasonable notice and a fair opportunity to present his case; (c) Where the judgement is irreconcilable with an earlier judgement validly pronounced in another Contracting Party with regard to the same cause of action and the same parties; or (d) Where the judgement is contrary to the public policy of the Contracting Party in which its recognition is sought. 2. A judgement recognized under paragraph 1 of this Article shall be enforceable in each Contracting Party as soon as the formalities required in that Party have been completed. The formalities shall not permit the merits of the case to be re-opened. 3. The provisions of paragraphs 1 and 2 of this Article shall not apply between Contracting Parties that are Parties to an agreement or arrangement in force on mutual recognition and enforcement of judgements under which the judgement would be recognizable and enforceable. ARTICLE 22 Relationship of the Protocol with the Basel Convention Except as otherwise provided in the Protocol, the provisions of the Convention relating to its Protocols shall apply to the Protocol. Appendix II: Text of the Basel Protocol 329

ARTICLE 23 Amendment of Annex B 1. At its sixth meeting, the Conference of the Parties to the Basel Convention may amend paragraph 2 of Annex B following the procedure set out in Article 18 of the Basel Convention. 2. Such an amendment may be made before the Protocol enters into force.

FINAL CLAUSES

ARTICLE 24 Meeting of the Parties 1. A Meeting of the Parties is hereby established. The Secretariat shall convene the first Meeting of the Parties in conjunction with the first meeting of the Conference of the Parties to the Convention after entry into force of the Protocol. 2. Subsequent ordinary Meetings of the Parties shall be held in conjunction with meetings of the Conference of the Parties to the Convention unless the Meeting of the Parties decides otherwise. Extraordinary Meetings of the Parties shall be held at such other times as may be deemed necessary by a Meeting of the Parties, or at the written request of any Contracting Party, provided that within six months of such a request being communicated to them by the Secretariat, it is supported by at least one third of the Contracting Parties. 3. The Contracting Parties, at their first meeting, shall adopt by consensus rules of procedure for their meetings as well as financial rules. 4. The functions of the Meeting of the Parties shall be: (a) To review the implementation of and compliance with the Protocol; (b) To provide for reporting and establish guidelines and procedures for such reporting where necessary; (c) To consider and adopt, where necessary, proposals for amendment of the Protocol or any annexes and for any new annexes; and (d) To consider and undertake any additional action that may be required for the purposes of the Protocol. ARTICLE 25 Secretariat 1. For the purposes of the Protocol, the Secretariat shall: (a) Arrange for and service Meetings of the Parties as provided for in Article 24; (b) Prepare reports, including financial data, on its activities carried out in implementation of its functions under the Protocol and present them to the Meeting of the Parties; 330 Appendix II: Text of the Basel Protocol

(c) Ensure the necessary coordination with relevant international bodies, and in particular enter into such administrative and contractual arrangements as may be required for the effective discharge of its functions; (d) Compile information concerning the national laws and administrative provisions of Contracting Parties implementing the Protocol; (e) Cooperate with Contracting Parties and with relevant and competent international organisations and agencies in the provision of experts and equipment for the purpose of rapid assistance to States in the event of an emergency situation; (f) Encourage non-Parties to attend the Meetings of the Parties as observers and to act in accordance with the provisions of the Protocol; and (g) Perform such other functions for the achievement of the purposes of this Protocol as may be assigned to it by the Meetings of the Parties. 2. The secretariat functions shall be carried out by the Secretariat of the Basel Convention. ARTICLE 26 Signature The Protocol shall be open for signature by States and by regional economic integration organizations Parties to the Basel Convention in Berne at the Federal Department of Foreign Affairs of Switzerland from 6 to 17 March 2000 and at United Nations Headquarters in New York from 1 April to 10 December 2000.

ARTICLE 27 Ratification, acceptance, formal confirmation or approval 1. The Protocol shall be subject to ratification, acceptance or approval by States and to formal confirmation or approval by regional 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 of this Article which becomes a Contracting Party without any of its member States being a Contracting Party shall be bound by all the obligations under the Protocol. In the case of such organizations, one or more of whose member States is a Contracting Party, the organization and its member States shall decide on their respective responsibilities for the performance of their obligations under the Protocol. In such cases, the organization and the member States shall not be entitled to exercise rights under the Protocol concurrently. 3. In their instruments of formal confirmation or approval, the organizations referred to in paragraph 1 of this Article shall declare the extent of their competence with respect to the matters governed by the Protocol. These organizations shall also inform the Depositary, who will inform the Contracting Parties, of any substantial modification in the extent of their competence. Appendix II: Text of the Basel Protocol 331

ARTICLE 28 Accession 1. The Protocol shall be open for accession by any States and by any regional economic integration organization Party to the Basel Convention which has not signed the Protocol. The instruments of accession shall be deposited with the Depositary. 2. In their instruments of accession, the organizations referred to in paragraph 1 of this Article shall declare the extent of their competence with respect to the matters governed by the Protocol. These organizations shall also inform the Depositary of any substantial modification in the extent of their competence. 3. The provisions of Article 27, paragraph 2, shall apply to regional economic integration organizations which accede to the Protocol. ARTICLE 29 Entry into force 1. The Protocol 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 regional economic integration organization which ratifies, accepts, approves or formally confirms the Protocol 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 regional economic integration organization of its instrument of ratification, acceptance, approval, formal confirmation or accession. 3. For the purpose of paragraphs 1 and 2 of this Article, any instrument deposited by a regional economic integration organization shall not be counted as additional to those deposited by member States of such organization. ARTICLE 30 Reservations and declarations 1. No reservation or exception may be made to the Protocol. For the purposes of the Protocol, notifications according to Article 3, paragraph 1, Article 3, paragraph 6, or Article 14, paragraph 5, shall not be regarded as reservations or exceptions. 2. Paragraph 1 of this Article does not preclude a State or a regional economic integration organization, when signing, ratifying, accepting, approving, formally confirming or acceding to the Protocol, 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 the Protocol, provided that such declarations or statements do not purport to exclude or to modify the legal effects of the provisions of the Protocol in their application to that State or that organization. 332 Appendix II: Text of the Basel Protocol

ARTICLE 31 Withdrawal 1. At any time after three years from the date on which the Protocol has entered into force for a Contracting Party, that Contracting Party may withdraw from the Protocol 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 32 Depositary The Secretary-General of the United Nations shall be the Depositary of the Protocol.

ARTICLE 33 Authentic texts The original Arabic, Chinese, English, French, Russian and Spanish texts of the Protocol are equally authentic.

ANNEX A List of States of Transit as referred to in Article 3, subparagraph 3 (d) 1. Antigua and Barbuda 2. Bahamas 3. Bahrain 4. Barbados 5. Cape Verde 6. Comoros 7. Cook Islands 8. Cuba 9. Cyprus 10. Dominica 11. Dominican Republic 12. Fiji 13. Grenada 14. Haiti 15. Jamaica 16. Kiribati 17. Maldives 18. Malta 19. Marshall Islands 20. Mauritius 21. Micronesia (Federated States of) 22. Nauru 23. Netherlands, on behalf of Aruba, and the Netherlands Antilles 24. New Zealand, on behalf of Tokelau 25. Niue Appendix II: Text of the Basel Protocol 333

26. Palau 27. Papua New Guinea 28. Samoa 29. Sao Tome and Principe 30. Seychelles 31. Singapore 32. Solomon Islands 33. St. Lucia 34. St. Kitts and Nevis 35. St. Vincent and the Grenadines 36. Tonga 37. Trinidad and Tobago 38. Tuvalu 39. Vanuatu

ANNEX B Financial limits 1. Financial limits for the liability under Article 4 of the Protocol shall be determined by domestic law. 2. The limits of liability shall: (a) For the notifier, exporter or importer, for any one incident, be not less than: (i) 1 million units of account for shipments up to and including 5 tonnes; (ii) 2 million units of account for shipments exceeding 5 tonnes, up to and including 25 tonnes; (iii) 4 million units of account for shipments exceeding 25 tonnes, up to and including 50 tonnes; (iv) 6 million units of account for shipments exceeding 50 tonnes, up to and including to 1,000 tonnes; (v) 10 million units of account for shipments exceeding 1,000 tonnes, up to and including 10,000 tonnes; (vi) Plus an additional 1,000 units of account for each additional tonne up to a maximum of 30 million units of account; (b) For the disposer, for any one incident, be not less than 2 million units of account for any one incident. 3. The amounts referred to in paragraph 2 shall be reviewed by the Contracting Parties on a regular basis taking into account, inter alia, the potential risks posed to the environment by the movement of hazardous wastes and other wastes and their disposal, recycling, and the nature, quantity and hazardous properties of the wastes. Bibliography

Part 1: Literature, Press, Encyclopaedias

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Part 2: Documents, Reports, Press Releases

A. United Nations and Subsidiary Bodies I. United Nations General Assembly: A/44/461 (of 18 September 1989): Protection and preservation of the marine environment, Report of the Secretary-General. II. United Nations Environment Programme: UNEP, Press Release of 14 December 1999: Compensation and Liability Protocol Adopted by Basel Convention on Hazardous Wastes, available at www.unep.org. III. Conference of the Parties to the Basel Convention: 350 Bibliography

UNEP/CHW.1/5 (of 7 July 1992): Note of the Secretariat on Draft Articles of a Protocol on Liability and Compensation for Damage Resulting from the Transboundary Movement of Hazardous Wastes and their Disposal. UNEP/CHW.1/24 (of 5 December 1992): Report of the First Meeting of the Conference of the Parties to the Basel Convention, 3 - 4 December 1992. UNEP/CHW.2/30 (of 25 March 1994): Report of the Second Meeting of the Conference of the Parties to the Basel Convention, 21 - 25 March 1994. UNEP/CHW.3/35 (of 28 November 1995): Decisions Adopted by the Third Meeting of the Conference of the Parties to the Basel Convention, 18 - 22 September 1995. UNEP/CHW.4/35 (of 18 March 1998): Report of the Fourth Meeting of the Conference of the Parties to the Basel Convention, 23 - 27 February 1998. UNEP/CHW.5/29 (of 10 December 1999): Report of the Fifth Meeting of the Conference of the Parties to the Basel Convention, 6 - 10 December 1999. UNEP/CHW.6/10 (of 14 August 2002): Enlargement of the Scope of the Technical Cooperation Trust Fund. UNEP/CHW.6/40 (of 10 February 2003): Report of the Sixth Meeting of the Conference of the Parties to the Basel Convention, 9 - 13 December 2002. UNEP/CHW.7/INF/11 (of 16 September 2004): Report of the Regional Workshop Aimed at Promoting Ratification of the Basel Protocol held in Addis Ababa, Ethiopia from 30 August to 2 September 2004. UNEP/CHW.7/INF/11/Add. 1 (of 30 September 2004): Report of the Regional Workshop Aimed at Promoting Ratification of the Basel Protocol held in Buenos Aires, Argentina from 22 to 25 June 2005. UNEP/CHW.7/INF/11/Add. 2 (of 28 October 2004): Report of the Regional Workshop Aimed at Promoting Ratification of the Basel Protocol held in San Salvador, El Salvador from 25 June to 1 July 2004. UNEP/CHW.7/33 (of 25 January 2005): Report of the Seventh Meeting of the Conference of the Parties to the Basel Convention, 25 - 29 October 2004. UNEP/CHW.8/INF/16 (of 6 November 2006): Report of the Regional Workshop Aimed at Promoting Ratification of the Basel Protocol held in Cairo, Egypt from 30 October to 1 November 2006. UNEP/CHW.8/INF/16/Add.1 (of 16 June 2006): Report of the Regional Workshop Aimed at Promoting Ratification of the Basel Protocol held in Yogyakarta, Indonesia from 16 to 18 May 2006. UNEP/CHW.8/16 (of 5 January 2007): Report of the Parties to the Basel Convention on its Eight Meeting, 27 November - 1 December 2006. UNEP/CHW.9/29 (17 April 2008): Protocol on Liability and Compensation: Note by the Secretariat. UNEP/CHW.9/39 (27 June 2008): Report of the Parties to the Basel Convention on its Ninth Meeting, 23 - 27 June 2008. UNEP/CHW.10/INF/4 (of 10 August 2011): Transboundary Movements of Hazardous Wastes: Quantities Moved, Reasons for Movements and their Impact on Human Health and the Environment. UNEP/CHW.10/INF/16 (of 7 October 2011): Legal Analysis of the Application of the Basel Convention to Hazardous Wastes and Other Wastes Generated on board Ships. UNEP/CHW.10/28 (of 1 November 2011): Report of the Conference of the Parties to the Basel Convention on its Tenth Meeting, 17 – 21 October 2011. IV. Legal Working Group of the Basel Convention: UNEP/CHW/LWG/4/4 (of 4 December 2001): Legal Aspects of the Full and Partial Dismantling of Ships. Bibliography 351

V. Open-ended Working Group of the Basel Convention on the Control of Transboundary Movements of Hazardous Wastes and Their Disposal: UNEP/CHW/OEWG/4/8 (of 25 May 2005): Instruction manual for the implementation of the Basel Protocol on Liability and Compensation. UNEP/CHW/OEWG/4/INF/4 (of 26 May 2005): Summary of the obstacles and difficulties faced by the Parties in the process of ratification or accession to the Protocol. UNEP/CHW/OEWG/4/INF/20 (of 27 June 2005): Environmentally Sound Management of Ship Dismantling : Note by Greenpeace and the Basel Action Network (BAN). UNEP/CHW/OEWG/5/INF/6 (of 6 February 2006): Report of the Regional Workshop Aimed at Promoting Ratification of the Basel Protocol held in Warsaw, Poland from 18 to 20 January 2006. UNEP/CHW/OEWG/5/2/Add. 7 (of 2 March 2006): Basel Protocol on Liability and Compen- sation: insurance, other financial guarantees and financial limits. UNEP/CHW/OEWG/6/2 (of 2 July 2007): Decision VIII/1 on Côte d’Ivoire. UNEP/CHW/OEWG/6/14 (of 29 June 2007): Basel Protocol on Liability and Compensation: insurance, bonds or other financial guarantees. VI. Ad Hoc Working Group on Legal and Technical Experts to Consider and Develop a Draft Protocol on Liability and Compensation for Damage Resulting from Transboundary Movements of Hazardous Wastes and their Disposal: UNEP/CHW.1/WG.1/1/5 (of 16 September 1993): Report on the Work of the 1st Session, 13 - 17 September 1993. UNEP/CHW.1/WG.1/2/4 (of 24 October 1994): Report on the Work of the 2nd Session, 10 - 14 October 1994. UNEP/CHW.1/WG.1/3/2 (of 17 March 1995): Report on the Work of the 3rd Session, 20 - 24 February 1995. UNEP/CHW.1/WG.1/4/2 (of 3 July 1996): Report on the Work of the 4th Session, 24 - 28 June 1996. UNEP/CHW.1/WG.1/5/5 (of 23 May 1997): Report on the Work of the 5th Session, 20 - 23 May 1997. UNEP/CHW.1/WG.1/6/2 (of 26 June 1998): Report on the Work of the 6th Session, 24 - 26 June 1998. UNEP/CHW.1/WG.1/7/2 (of 9 October 1998): Report on the Work of the 7th Session, 7 - 9 October 1998. UNEP/CHW.1/WG.1/8/5 (of 15 January 1999): Report on the Work of the 8th Session, 11 - 15 January 1999. UNEP/CHW.1/WG.1/9/2 (of 28 April 1999): Report on the Work of the 9th Session, 19 - 23 April 1999. UNEP/CHW.1/WG.1/10/2 (of 20 September 1999): Report on the Work of the 10th Session, 30 August - 3 September 1999. VII. Expanded Bureau of the Conference of the Parties to the Basel Convention: UNEP/SBC/BUREAU/8/1/INF/2 (of 16 April 2007): Report of the mission undertaken in Côte d’Ivoire following the incident of the Probo Koala, in the context of decision V/32. VIII. Secretariat of the Basel Convention: Bocken, H., de Kezel, E., Bernauw, K., Limitations of Liability and Compulsory Insurance under the Protocol on Liability for Transboundary Movements of Hazardous Waste and Other Waste : Report Prepared at the Request of the Secretariat of the Basel Convention in Connection with the Preparation of the Protocol on Liability and Compensation for Damage Resulting from the Transboundary Movement of Hazardous Wastes and their Disposal, available at www.basel.int. 352 Bibliography

Secretariat of the Basel Convention (ed.), Global Trends in Generation and Transboundary Movement of Hazardous Wastes and Other Wastes : Analysis of the Data Provided by Parties to the Secretariat of the Basel Convention, prepared by Wielenga, Kees (Châtelaine: Secretariat of the Basel Convention, 2002). Secretariat of the Basel Convention (ed.), Instruction Manual for the Implementation of the Basel Protocol on Liability and Compensation for Damage Resulting from Transboundary Movements of Hazardous Wastes and their Disposal, as adopted by OEWG Decision IV/7 and as published in OEWG Doc. UNEP/CHW/OEWG/4/8. Secretariat of the Basel Convention (ed.), Technical Guidelines for the Environmentally Sound Management of the Full and Partial Dismantling of Ships, as adopted by OEWG Decision VI/ 24 (Châtelaine: Secretariat of the Basel Convention, 2003). Secretariat of the Basel Convention (ed.), Waste without Frontiers : Global Trends in Generation and Transboundary Movements of Hazardous Wastes and Other Wastes : Analysis of the Data from National Reporting to the Secretariat of the Basel Convention for the Years 2004-2006, prepared by Wielenga, Kees (Geneva: Secretariat of the Basel Convention, 2010). IX. International Law Commission: Report to the General Assembly, Yearbook of the International Law Commission (1949), pp. 277- 290. A/7610/Rev. 1: Report of the International Law Commission on the Work of its Twenty-First Session, 2 June - 8 August 1969, Yearbook of the International Law Commission (1969, Volume II), pp. 203-237. A/CN.4/246 and Add. 1-3 (of 5 March, 7 April, 28 April and 18 May 1971): Third Report on State Responsibility, by Mr. Roberto Ago, Special Rapporteur: The Internationally Wrongful Act of the State, Source of International Responsibility, Yearbook of the International Law Commission (1971, Volume II, Part One), pp. 199-274. A/9010/Rev. 1: Report of the International Law Commission on the Work of its Twenty-Fifth Session, 7 May - 13 July 1973, Yearbook of the International Law Commission (1973, Volume II), pp. 161-235. A/32/10: Report of the International Law Commission on the Work of its Twenty-Ninth Session, 9 May - 29 July 1977, Yearbook of the International Law Commission (1977, Volume II, Part 2), pp. 1-135. A/33/10: Report of the International Law Commission on the Work of its Thirtieth Session, 8 May - 28 July 1978, Yearbook of the International Law Commission (1978, Volume II, Part 2), pp. 1-189. A/CN.4/325 (of 23 July 1979): Report of the Working Group on Review of the Multilateral Treaty-Making Process, Yearbook of the International Law Commission (1979, Volume II, Part 1), pp. 183-212. A/CN.4/334 and Add. l and 2 (of 24 and 27 June and 4 July 1980): Preliminary Report on International Liability for Injurious Consequences Arising out of Acts not Prohibited by International Law, by Mr. Robert Q. Quentin Baxter, Special Rapporteur, Yearbook of the International Law Commission (1980, Volume II, Part One), pp. 247-266. A/35/10: Report of the International Law Commission on the Work of its Thirty-Second Session, 5 May - 25 July 1980, Yearbook of the International Law Commission (1980, Volume II, Part 2), pp. 1-174. A/CN.4/360 (of 23 June 1982): Third Report on International Liability for Injurious Consequences Arising out of Acts not Prohibited by International Law, by Mr. Robert Q. Quentin-Baxter, Special Rapporteur, Yearbook of the International Law Commission (1982, Volume II, Part 1), pp. 51-64. A/37/10: Report of the International Law Commission on the Work of its Thirty-Fourth Session, 3 May - 23 July 1982, Yearbook of the International Law Commission (1982, Volume II, Part 2), pp. 1-146. Bibliography 353

A/CN.4/402 (of 13 May 1986): Second Report on International Liability for Injurious Consequences Arising out of Acts not Prohibited by International Law, by Mr. Julio Barboza, Special Rapporteur, Yearbook of the International Law Commission (1986, Volume II, Part One), pp. 145-161. A/CN.4/428 and Add. 1 (of 15 March 1990): Sixth Report on International Liability for Injurious Consequences Arising out of Acts not Prohibited by International Law, by Mr. Julio Barboza, Special Rapporteur, Yearbook of the International Law Commission (1990, Volume II, Part 1), pp. 83-109. A/47/10: Report of the International Law Commission on the Work of its Forty-Fourth Session, 4 May - 24 July 1992, Yearbook of the International Law Commission (1992, Volume II, Part 2), pp. 1-80. A/51/10: Report of the International Law Commission on the Work of its Forty-Eighth Session, 6 May - 26 July 1996, Yearbook of the International Law Commission (1996, Volume II, Part 2), pp. 1-143. A/52/10: Report of the International Law Commission on the Work of its Forty-Ninth Session, 12 May - 18 July 1997, Yearbook of the International Law Commission (1997, Volume II, Part 2), pp. 1-74. A/CN.4/498 and Add. 1-4 (of 17 March, 1 and 30 April, 19 July 1999): Second Report on State Responsibility, by Mr. James Crawford, Special Rapporteur, Yearbook of the International Law Commission (1999, Volume II, Part 2), pp. 3-96. A/53/10: Report of the International Law Commission on the Work of its Fiftieth Session, 20 April - 12 June and 27 July - 14 August 1998, Yearbook of the International Law Commission (1998, Volume 2, Part 2), pp. 1-113. A/CN.4/510 (of 9 June 2000): Third Report on International Liability for Injurious Consequences Arising out of Acts not Prohibited by International Law (Prevention of Transboundary Damage from Hazardous Activities), by Mr. Pemmaraju Sreenivasa Rao, Special Rapporteur, Yearbook of the International Law Commission (2000, Volume II, Part 1), pp. 113-125. A/56/10: Report of the International Law Commission on the Work of its Fifty-Third Session (23 April - 1 June and 2 July - 10 August 2001), Yearbook of the International Law Commission (2001, Volume II, Part 2), pp. 1-208. A/59/10: Report of the International Law Commission on the Work of its Fifty-Sixth Session (3 May - 4 June and 5 July - 6 August 2004). A/61/10: Report of the International Law Commission on the Work of its Fifty-Eighth Session (1 May - 9 June and 3 July - 11 August 2006). International Law Commission, Commentaries on the Draft Articles on Responsibility of States for Internationally Wrongful Acts, as adopted in 2001 (ILC Doc. A/56/10). International Law Commission, Commentaries on the Draft Articles on Prevention of Transboundary Harm from Hazardous Activities, as adopted in 2001 (ILC Doc. A/56/10). X. International Conference on Hazardous and Noxious Substances and Limitation of Liability, 1996: LEG/CONF.10/8/3 (of 9 May 1996): Adoption of the Final Act and any Instruments, Recommendations and Resolutions Resulting from the Work of the Conference. XI. IMCO/IMO: C/ES.III/5 (of 8 May 1967): Conclusions of the IMCO Council on the Action to be Taken on the Problems Brought to Light by the Los of the ‘Torrey Canyon’. LEG 71/3/4 (of 5 August 1994): Consideration of a Draft HNS Convention. LEG 80/10/2 (of 5 July 1999): Special Consultative Meeting to Discuss the Hazardous and Noxious Substances Convention, Friday, 16 April 1999. LEG 80/10/3 (6 August 1999): Draft Terms of Reference for a HNS Correspondence Group. LEG 80/11 (of 25 October 1999): Report of the Legal Committee on the Work of its Eightieth Session. 354 Bibliography

LEG 87/11 (of 6 August 2003): Report of the Special Consultative Meeting of the HNS Correspondence Group in Ottawa, 3-5 June 2003. LEG 87/11/1 (of 8 August 2003): Papers Discussed at the Special Consultative Meeting of the HNS Correspondence Group in Ottawa, 3-5 June 2003. LEG 93/13 (of 2 November 2007): Report of the Legal Committee on the Work of its Ninety- Third Session. LEG 94/12 (of 31 October 2008): Report of the Legal Committee on the Work of its Ninety- Fourth Session. LEG 95/10 (of 31 October 2008): Report of the Legal Committee on the Work of its Ninety-Fifth Session. XII. IOPC Fund: 71FUND/EXC.52/9 (20 January 1997): Admissibility of Claims Relating to Salvage Operations and similar Activities. 92FUND/A.1/34 (of 28 June 1996): Record of Decisions of the 1st Session of the Assembly. 92FUND/A.12/25/1 (of 20 September 2007): Report of the Correspondence Group on Annual Contributions to the LNG Account. 92FUND/A.12/25/2 (of 20 September 2007): Implementation of the Definition of ‘Receiver’ in Article 1.4(A) of the HNS Convention. 92FUND/A.12/25/3 (of 20 September 2007): Depositing Instruments of Ratification without Accompanying Contributing Cargo Reports and Common Ratification of the HNS Convention. 92FUND/A.12/28 (of 19 October 2007): Records of the Decisions of the Twelfth Session of the Assembly. 92FUND/WGR.5/2 (of 18 January 2008): Facilitating the Entry into Force of the HNS Convention. Consideration of a Draft Text of a Protocol to the HNS Convention. 92FUND/WGR.5/3 (of 18 January 2008): Facilitating the Entry into Force of the HNS Convention. Consideration of a Draft Text of a Protocol to the HNS Convention. 92FUND/WGR.5/4 (of 18 January 2008): Facilitating the Entry into Force of the HNS Convention. Consideration of a Draft Text of a Protocol to the HNS Convention. 92FUND/A/ES.13/5, 92FUND/WGR.5/8 (of 16 May 2008): Report on the First Meeting of the Fifth Intersessional Working Group (‘HNS Focus Group’). 92FUND/A/ES.13/5/2, 92 FUND/WGR.5/10/1 (of 5 June 2008): Draft Protocol - Consolidated Text 92FUND/A.13/22, 92FUND/WGR.5/13 (of 17 September 2008): Report on the Second Meeting of the Fifth Intersessional Working Group (‘HNS Focus Group’). IOPC Fund Annual Report 1988. IOPC Fund Annual Report 1991. IOPC Fund Annual Report 1992. IOPC Fund Annual Report 1999. XIII. International Conference on the Revision of the HNS Convention: LEG/CONF.17/10 (of 4 May 2010): Text adopted by the Conference LEG/CONF.17/11 (of 4 May 2010): Conference Resolutions. LEG/CONF.17/12 (of 4 May 2010): Final Act of the International Conference on the Revision of the HNS Convention. XIV. Human Rights Council: A/HRC/12/26/Add.2 (of 3 September 2009): Report of the Special Rapporteur on the Adverse Effects of the Movement and Dumping of Toxic and Dangerous Products and Wastes on the Enjoyment of Human Rights. XV. Office for the Coordination of Humanitarian Affairs: OCHA/GVA/2006/0184 (of 7 September 2006): OCHA Situation Report No. 1, Toxic Waste Pollution Crisis – Côte d’Ivoire. Bibliography 355

OCHA/GVA/2006/0190 (of 14 September 2006): OCHA Situation Report No. 5, Toxic Waste Pollution Crisis – Côte d’Ivoire. XVI. UN Compensation Commission: S/AC.26/1991/7/Rev.1 (of 17 March 1992): Decision Taken by the Governing Council of the United Nations Compensation Commission. B. OECD OECD (ed.), OECD Environmental Data : Compendium 2006-2008 – Waste (Paris: OECD, 2008). C. European Union COM(2006) 430 final (of 1 August 2006): Report on the Implementation of Council Regulation (EEC) No 259/93 of 1 February 1993 on the Supervision and Control of Shipments of Waste within, into and out of the European Community: Generation, Treatment and Transboundary Shipment of Hazardous Waste and Other Waste in the Member States of the European Union, 1997-2000. SEC(2006) 1053 (of 1 August 2006): Commission Staff Working Document annexed to EC Doc. COM(2006) 430 final. COM(2007) 269 final (of 22 May 2007): Green Paper on Better Ship Dismantling. COM(2009) 282 final (of 24 June 2009): Report on the Implementation of Council Regulation (EEC) No 259/93 of 1 February 1993 on the Supervision and Control of Shipments of Waste within, into and out of the European Community: Generation, Treatment and Transboundary Shipment of Hazardous Waste and Other Waste in the Member States of the European Union, 2001-2006. SEC(2009) 811 final (of 24 June 2009): Commission Staff Working Document accompanying EC Doc. COM(2009) 282 final. COM(2011) 131 final (of 17 March 2011): Report on Statistics Compiled Pursuant to Regulation (EC) No 2150/2002 on Waste Statistics and their Quality. European Union (ed.), Europe in Figures : Eurostat Yearbook 2011 (Luxembourg: European Union, 2011). D. National Governmental Institutions Haitian Government, Press Release of 22 April 2000: The Haitian People Achieve Environmental Justice for Earth Day, available at www.essentialaction.org/return/government.txt. E. Other Institutions Basel Action Network, Press Release of 10 December 1999: Hazardous Waste Agreement on Liability Protocol Reached at Basel Conference of Parties, available at http://ban.org/ban_ news/hazardous3.html. Basel Action Network and Greenpeace, Press Release of 10 January 2002: Shipbreaking and the Legal Obligations under the Basel Convention, available at: http://ban.org/library/ ShipbreakingLegal%20Final.pdf Greenpeace, Press Release of 29 October 1998: Philadelphia Incinerator Ash to Return from Haiti to the U.S., available at www.essentialaction.org/return/Clean_Up.html. Table of Cases

Jan Albers

I. Permanent Court of International Justice The S.S. Wimbledon Case, Judgment of 17 August 1923, PCIJ Series A No. 1 (1923), pp. 14–34. German Settlers in Poland, Advisory Opinion of 10 September 1923, PCIJ Series B No. 6 (1923), pp. 5–43. The S.S. Lotus Case (France v. Turkey), Judgment of 7 September 1927, PCIJ Series A No. 10 (1927), pp. 3–33. Factory at Chorzów Case (Germany v. Poland), Claim for Indemnity, Merits, Judgment of 13 September 1928, PCIJ Series A No. 17 (1928), pp. 3–65. Case Relating to the Territorial Jurisdiction of the International Commission of the River Oder, Judgment of 10 September 1929, PCIJ Series A No. 23 (1929), pp. 4–32. The Diversion of Water from the Meuse (Netherlands v. Belgium), Judgment of 28 June 1937, PCIJ Series A/B No. 70, pp. 3–33. Phosphates in Morocco Case (Italy v. France), Preliminary Objections, Judgment of 14 June 1938, PCIJ Series A/B No. 74 (1938), pp. 9–30. II. International Court of Justice The Corfu Channel Case (United Kingdom v. Albania), Merits, Judgment of 9 April 1949, ICJ Reports 1949, pp. 2–169. South West Africa Cases (Ethiopia v. South Africa; Liberia v. South Africa), Preliminary Objections, Judgment of 21 December 1962, ICJ Reports 1962, pp. 319–348. Case Concerning the Barcelona Traction, Light and Power Company, Limited, (Belgium v. Spain), Second Phase, Judgment of 5 February 1970, ICJ Reports 1970, pp. 3–53. Case Concerning United States Diplomatic and Consular Staff in Tehran (United States v. Iran), Judgment of 24 May 1980, ICJ Reports 1980, pp. 3–46. Legality of the Threat or Use of Nuclear Weapons, Advisory Opinion of 8 July 1996, ICJ Reports 1996, pp. 226–267. The Gabcˇíkovo-Nagymaros Project Case (Hungary v. Slovakia), Judgment of 25 September 1997, ICJ Reports 1997, pp. 4–84.

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Difference Relating to Immunity from Legal Process of a Special Rapporteur of the Commission on Human Rights, Advisory Opinion of 29 April 1999, ICJ Reports 1999, pp. 62–91. Case Concerning Pulp Mills on the River Uruguay (Argentina v. Uruguay), Judgment of 20 April 2010, ICJ Reports 2010, pp. 14–107. III. International Tribunal for the Law of the Sea The M/V ‘‘Saiga’’ (No. 2) Case (St. Vincent and the Grenadines v. Guinea), Judgment of 1 July 1999, ITLOS Reports 1999, pp. 10 et seq. IV. Iran-United States Claims Tribunal Cases No. A15(IV) and A24 (Islamic Republic of Iran v. United States of America), Partial Award of 28 December 1998, 11 World Trade and Arbitration Materials (1999), pp. 47–164. V. Permanent Court of Arbitration The MOX Plant Case (Ireland v. United Kingdom), Order No. 3 (Suspension of Proceedings on Jurisdiction and Merits and Request for Further Provisional Measures) of 24 June 2003. VI. International Arbitral Tribunals Davis Case, Merits, Arbitral Award of 1903, 9 RIAA (1959), pp. 460–464. Salas Case, Arbitral Award of 1903, 10 RIAA (1960), pp. 720–721. Affaire de Casablanca (Germany v. France), Arbitral Award of 22 May 1909, 11 RIAA (1961), pp. 119–131. Home Frontier and Foreign Missionary Society of the United Brethren in Christ (United States) v. Great Britain, Arbitral Award of 18 December 1920, 6 RIAA (1955), pp. 42–44. Owners of the Jessie, the Thomas F. Bayard and the Pescawha (Great Britain) v. United States, Arbitral Award of 2 December 1921, 6 RIAA (1955), pp. 57–60. China Navigation Co., Ltd. (Great Britain) v. United States (Newchwang Case), Arbitral Award of 9 December 1921, 6 RIAA (1955), pp. 64–68. British Claims in the Spanish Zone of Morocco (Spain v. United Kingdom), Arbitral Award of 1 May 1925, 2 RIAA (1949), pp. 615–742. D. Earnshaw and Others (Great Britain) v. United States (Zafiro Case), Arbitral Award of 30 November 1925, 6 RIAA (1955), pp. 160–165. L. F. H. Neer and Pauline Neer (U.S.A.) v. United Mexican States, Arbitral Award of 15 October 1926, 4 RIAA (1951), pp. 60–66. H. G. Venable (U.S.A.) v. United Mexican States, Arbitral Award of 8 July 1927, 4 RIAA (1951), pp. 219–261. Responsabilité de l’Allemagne à raison des dommages causés dans les colonies portugaises du sud de l’Afrique (sentence sur le principe de la responsabilité) (Portugal v. Germany), Arbitral Award of 31 July 1928, 2 RIAA (1949), pp. 1011–1033. Table of Cases 359

Estate of Jean-Baptiste Caire (France) v. United Mexican States, Arbitral Award of 7 June 1929, 5 RIAA (1952), pp. 516–534. Walter A. Noyes (United States) v. Panama, Arbitral Award of 22 May 1933, 6 RIAA (1955), pp. 308–312. Trail Smelter Arbitration Award (United States v. Canada), Arbitral Award of 16 April 1938 and 11 March 1941, 3 RIAA (1949), pp. 1905–1982. Case Concerning the Difference between New Zealand and France Concerning the Interpretation or Application of two Agreements, Concluded on 9 July 1986 between the two States and which Related to the Problems Arising from the Rainbow Warrior Affair, Decision of 30 April 1990, 20 RIAA (1990), pp. 215–284. Table of International Conventions and Agreements, OECD, EU and Other Legal Instruments

I. International Conventions and Agreements: Convention for the Unification of Certain Rules of Law Respecting Assistance and Salvage at Sea, Brusses, 23 September 1910, entered into force 1 March 1913; as amended by the Protocol of 27 May 1967 (entered into force 15 August 1977). International Convention for the Unification of Certain Rules of Law related to Bills of Lading (Hague Rules), Brussels, 25 August 1924, entered into force 2 June 1931; as amended by the Protocol of 23 February 1968 (Visby Protocol) (entered into force 23 June 1977) and by the Protocol of 21 December 1979 (entered into force 14 February 1984). Charter of the United Nations, San Francisco, 26 June 1945, entered into force 24 October 1945. General Agreement on Tariffs and Trade (GATT), 30 October 1947, entered into force 1 January 1948. International Convention for the Prevention of Pollution of the Sea by Oil (OILPOL), London, 12 May 1954, entered into force, 26 July 1958. European Agreement Concerning the International Carriage of Dangerous Goods by Road (ADR), Geneva, 30 September 1957, entered into force 29 January 1968; as amended by the Protocol of 21 August 1975 (entered into force 19 April 1985). Convention on the Territorial Sea and the Contiguous Zone, Geneva, 29 April 1958, entered into force 10 September 1964. Convention on the Continental Shelf, Geneva, 29 April 1958, entered into force 10 June 1964. Convention on the High Seas, Geneva, 29 April 1958, entered into force 30 September 1962. Convention on Fishing and Conversation of Living Resources of the High Seas, Geneva, 29 April 1958, entered into force 20 March 1966. Antarctic Treaty, Washington, 1 December 1959, entered into force 23 June 1961. Paris Convention on Third Party Liability in the Field of Nuclear Energy, Paris, 29 July 1960, entered into force 1 April 1968; as amended by the Protocol of 28 January 1964 (entered into force 1 April 1968), by the Protocol of 16 November

Ó Springer-Verlag Berlin Heidelberg 2015 361 J. Albers, Responsibility and Liability in the Context of Transboundary Movements of Hazardous Wastes by Sea, Hamburg Studies on Maritime Affairs 29, DOI 10.1007/978-3-662-43349-2 362 Table of International Conventions…

1982 (entered into force 7 October 1988) and by the Protocol of 12 February 2004 (not yet in force). Convention on the Organisation for Economic Co-operation and Development (OECD Convention), Paris, 14 December 1960, entered into force 30 September 1961. Convention on the Liability of Operators of Nuclear Ships, Brussels, 25 May 1962, not yet in force. Brussels Convention Supplementary to the Paris Convention, Brussels, 31 January 1963, entered into force 4 December 1974; as amended by the Protocol of 28 January 1964 (entered into force 4 December 1974), the Protocol of 16 November 1982 (entered into force 1 August 1991) and the Protocol of 12 February 2004 (not yet in force). Vienna Convention on Civil Liability for Nuclear Damage, Vienna, 21 May 1963, entered into force 12 November 1977; as amended by the Protocol of 29 September 1997 (entered into force on 4 October 2003). Treaty on Principles Governing the Activities of States in the Exploration and Use of Outer Space, including the Moon and Other Celestial Bodies (Outer Space Treaty), London, Moscow, Washington, 27 January 1967, entered into force 10 October 1967. Vienna Convention of the Law of Treaties, Vienna, 23 May 1969, entered into force 27 January 1980. International Convention on Civil Liability for Oil Pollution Damage (CLC), Brussels, 29 November 1969, entered into force 19 June 1975; as amended by the Protocol of 19 November 1976 (entered into force 8 April 1981) and by the Protocol of 27 November 1992 (entered into force 30 May 1996). Convention Relating to Civil Liability in the Field of Maritime Carriage of Nuclear Material (NUCLEAR Convention), Brussels, 17 December 1971, entered into force 15 July 1975. International Convention on the Establishment of an International Fund for Compensation for Oil Pollution Damage (Fund Convention), Brussels, 18 December 1971, entered into force 16 October 1978, ceased to be in force from 24 May 2002; as amended by the Protocol of 19 December 1976 (entered into force 22 November 1994) and of the Protocol of 27 September 2000 (entered into force 27 June 2001). Convention on International Liability for Damage Caused by Space Objects (Space Liability Convention), London Moscow, Washington, 29 March 1972, entered into force 1 September 1972. London Convention on the Prevention of Marine Pollution by Dumping of Wastes and Other Matter (London Dumping Convention), London, 29 December 1972, entered into force 24 March 2006; as amended by the Protocol of 7 November 1996 (entered into force 24 March 2006). International Convention for the Prevention of Pollution from Ships (73/78 MARPOL Convention), London, 2 November 1973, as amended by the Protocol of 17 February 1978, entered into force 2 October 1983; as supplemented by Annex III (entered into force 1 July 1992), Annex IV (entered into force 27 Table of International Conventions… 363

September 2003), Annex V (entered into force 31 December 1988) and Annex VI (entered into force 19 May 2005). International Convention for the Safety of Life at Sea (SOLAS), London, 1 November 1974, entered into force 25 May 1980. Athens Convention relating to the Carriage of Passengers and their Luggage by Sea, Athens, 13 December 1974, entered into force 28 April 1987. Barcelona Convention for the Protection of the Marine Environment and the Coastal Region of the Mediterranean, Barcelona, 16 February 1976, entered into force 12 February 1978; as amended by the Protocol of 10 June 1995 (entered into force 9 July 2004). Convention on Limitation of Liability for Maritime Claims (LLMC Convention), London, 19 November 1976, entered into force 1 December 1986; as amended by the Protocol of 2 May 1996 (entered into force 13 May 2004) and Amendments to the Protocol of 19 April 2010 (entered into force 8 June 2015). Convention on Civil Liability for Oil Pollution Damage Resulting from Exploration and Exploitation of Seabed Mineral Resources, London, 1 May 1977, not yet in force. United Nations Convention on the Carriage of Goods by Sea (Hamburg Rules), Hamburg, 31 March 1978, entered into force 1 November 1992. Kuwait Regional Convention for Co-operation on the Protection of the Marine Environment from Pollution, Kuwait, 24 April 1978, entered into force 1 July 1979. Convention the Physical Protection of Nuclear Material, Vienna, 26 October 1979, entered into force 8 February 1987. Agreement Governing the Activities of States on the Moon and Other Celestial Bodies (Moon Treaty), New York, 5 December 1979, entered into force 11 July 1984. Convention Concerning International Carriage by Rail (COTIF), Berne, 9 May 1980, as amended by the Protocol of 3 June 1999, entered into force 1 July 2006. Abidjan Convention for Co-operation in the protection and Development of the Marine and Coastal Environment of the West and Central African Region, Abidjan, 1 October 1981, entered into force 5 August 1984. Lima Convention for the Protection of the Marine Environment and Coastal Areas of the South-East Pacific, Lima, 12 November 1981, entered into force 19 May 1986. Jeddah Regional Convention for the Conservation of the Red Sea and Gulf of Aden Environment, Jeddah, 14 February 1982, entered into force 20 August 1985. United Nations Convention for the Law of the Sea (UNCLOS), Montego Bay, 10 December 1982, entered into force 16 November 1994; Agreement Relating to the Implementation of Part XI of the United Nations Convention on the Law of the Sea of 10 December 1982, 28 July 1994, entered into force 28 July 1996. Cartagena Convention for the Protection and Development of the Marine Environment of the Wider Caribbean Region, Cartagena, 24 March 1983, entered into force 11 October 1986. 364 Table of International Conventions…

Nairobi Convention for the Protection, Management and Development of the Marine and Coastal Environment of the Eastern African Region, Nairobi, 21 June 1985, entered into force 30 May 1996; as amended on 31 March 2010, not yet in force. Noumea Convention for the Protection of Natural Resources and Environment of the South Pacific Region, Noumea, 24 November 1986, entered into force 22 August 1990. Joint Protocol Relating to the Application of the Vienna Convention and the Paris Convention, Vienna, 21 September 1988, entered into force 27 April 1992. Basel Convention on the Control of Transboundary Movements of Hazardous Wastes and Their Disposal, Basel, 22 March 1989, entered into force 5 May 1992; Ban Amendment to the Basel Convention, Geneva, 22 September 1995, not yet in force. International Convention on Salvage, London, 28 April 1989, entered into force 14 July 1996. Convention on Civil Liability for Damage Caused During Carriage of Dangerous Goods by Road, Rail and Inland Navigation Vessels (CRTD Convention), Geneva, 10 October 1989, not yet in force. The Fourth African, Caribbean and Pacific States – European Economic Community Convention of Lomé (Lomé IV Convention), Lomé, 15 December 1989, entered into force 1 March 1990. International Convention on Oil Pollution Preparedness, Response and Cooperation (OPRC Convention), Paris, 30 November 1990, entered into force 13 May 1995. Bamako Convention on the Ban on the Import into Africa and the Control of Transboundary Movement and Management of Hazardous Wastes within Africa, Bamako, 30 January 1991, entered into force 22 April 1998. Espoo Convention on Transboundary Environmental Impact Assessment, Espoo, 25 February 1991, entered into force 10 September 1997. Madrid Protocol on Environmental Protection to the 1959 Antarctic Treaty, Madrid, 4 October 1991, entered into force, 14 January 1998. Helsinki Convention on the Transboundary Effects of Industrial Accidents, Helsinki, 17 March 1992, entered into force 19 April 2000. Helsinki Water Convention on the Protection and Use of Transboundary Watercourses and International Lakes, Helsinki, 17 March 1992, entered into force 6 October 1996. Helsinki Convention on the Protection of the Marine Environment of the Baltic Sea Area, Helsinki, 9 April 1992, entered into force 17 January 2000. Bucharest Convention on the Protection of the Black Sea Against Pollution, Bucharest, 21 April 1992, entered into force 15 January 1994. OSPAR Convention for the Protection of the Marine Environment of the North- East Atlantic, Paris, 22 September 1992, entered into force 25 March 1998. International Maritime Organization Protocol of 1992 to amend the International Convention on the Establishment of an International Fund for Compensation for Oil Pollution Damage of 18 December 1971 (1992 Fund Table of International Conventions… 365

Convention), London, 27 November 1992, entered into force 30 May 1996; as amended by the 2003 Protocol on the Establishment of a Supplementary Fund for Oil Pollution Damage, 16 May 2003, entered into force on 3 March 2005. Convention on Civil Liability for Damage Resulting from Activities Dangerous to the Environment (Lugano Convention), Lugano, 21 June 1993, not yet in force. Waigani Convention to Ban the Importation into Forum Island Countries of Hazardous and Radioactive Wastes and to Control the Transboundary Movement and Management of Hazardous Wastes within the South Pacific Region, Waigani, 16 September 1995, entered into force 12 December 2008. International Convention on Liability and Compensation for Damage in Connection with the Carriage of Hazardous and Noxious Substances by Sea (HNS Convention), London, 3 May 1996, not yet in force; as amended by the Protocol of 30 April 2010 (not yet in force). Izmir Protocol on the Prevention of Pollution of the Mediterranean Sea by Transboundary Movements of Hazardous Wastes and Their Disposal (to the Barcelona Convention), Izmir, 1 October 1996, entered into force 19 January 2008. Protocol to the Convention on the Prevention of Marine Pollution by Dumping of Wastes and Other Matter (to the London Convention), London, 7 November 1996, entered into force 24 March 2006. Vienna Convention on Supplementary Compensation for Nuclear Damage, Vienna, 12 September 1997, not yet in force. Kyoto Protocol to the United Nations Framework Convention on Climate Change, Kyoto, 11 December 1997, entered into force 16 February 2005. Tehran Protocol on the Control of Marine Transboundary Movements and Disposal of Hazardous Wastes to the Kuwait Regional Convention for Cooperation on the Protection of the Marine Environment from Pollution (to the Kuwait Convention), Tehran, 17 March 1998, entered into force 6 September 2005. Rotterdam PIC Convention on the Prior Informed Consent Procedure for Certain Hazardous Chemicals and Pesticides in International Trade, Rotterdam, 10 September 1998, entered into force 24 February 2004. Basel Protocol on Liability and Compensation for Damage Resulting from Transboundary Movements of Hazardous Wastes and Their Disposal (to the Basel Convention), Basel, 10 December 1999, not yet in force. Protocol on Preparedness, Response and Co-operation to Pollution Incidents by Hazardous and Noxious Substances (OPRC-HNS Protocol), London, 15 March 2000, entered into force 14 June 2007. European Agreement concerning the International Carriage of Dangerous Goods by Inland Waterways (ADN), Geneva, 26 May 2000, entered into force 29 February 2008. Partnership Agreement between the Members of the African, Caribbean and Pacific Group of States, of the One Part, and the European Community and its Member States, of the Other Part (Cotonou Agreement), Cotonou, 23 June 2000, entered into force 1 April 2003. 366 Table of International Conventions…

International Convention on Civil Liability for Bunker Oil Pollution Damage (Bunker Oil Convention), London, 23 March 2001, entered into force 21 November 2008. Stockholm Convention on Persistent Organic Pollutants (Stockholm POPs Convention), Stockholm, 22 May 2001, entered into force 17 May 2004. Antigua Convention for Cooperation in the Protection and Sustainable Development of the Marine and Coastal Environment of the Northeast Pacific, Antigua, 18 February 2002, not yet in force. Kiev Protocol on Civil Liability and Compensation for Damage Caused by the Transboundary Effects of Industrial Accidents on Transboundary Waters to the Convention on the Protection and Use of Transboundary Watercourses and International Lakes and to the 1992 Convention on the Transboundary Effects of Industrial Accidents, Kiev, 21 May 2003, not yet in force. Tehran Framework Convention for the Protection of the Marine Environment of the Caspian Sea, Tehran, 4 November 2003, not yet in force. Hong Kong International Convention for the Safe and Environmentally Sound Recycling of Ships, Hong Kong, 15 May 2009, not yet in force. United Nations Convention on Contracts for the International Carriage of Goods Wholly or Partly by Sea (Rotterdam Rules), Rotterdam and New York, 23 September 2009, not yet in force. II. OECD Instruments: C(83)180/FINAL (of 1 February 1984): Decision-Recommendation of the Council on Transfrontier Movements of Hazardous Waste. C(86)64/FINAL (of 5 June 1986): Decision-Recommendation of the Council on Exports of Hazardous Wastes from the OECD area. C(89)1/FINAL (of 30 January 1989): Resolution of the Council on the Control of Transfrontier Movements of Hazardous Wastes. C(89)112/FINAL (of 18-20 July 1989): Resolution of the Council on the Control of Transfrontier Movements of Hazardous Wastes. C(92)39/FINAL (of 30 March 1992): Decision of the Council Concerning the Control of Transfrontier Movements of Wastes Destined for Recovery Operations. C(2001)107/FINAL (of 14 June 2001): Decision of the Council concerning the Control of Transboundary Movements of Wastes Destined for Recovery Operations, as amended by C(2001)107/ADD1, C(2004)20, C(2005)141 and C(2008)156. III. EU Legislation: Council Directive 75/439/EEC of 16 June 1975 on the Disposal of Waste Oils. Council Directive 78/176/EEC of 20 February 1978 on Waste from the Titanium Dioxide Industry. Council Directive 82/883/EEC of 3 December 1982 on Procedures for the Surveillance and Monitoring of Environments Concerned by Waste from the Titanium Dioxide Industry. Council Directive 91/689/EEC of 12 December 1991 on Hazardous Wastes. Table of International Conventions… 367

Council Directive 92/112/EEC of 15 December 1992 on Procedures for Harmonizing the Programmes for the Reduction and Eventual Elimination of Pollution Caused by Waste from the Titanium Dioxide Industry. European Parliament and Council Directive 94/62/EC of 20 December 1994 on Packaging and Packaging Waste. Council Directive 96/59/EC of 16 September 1996 on the Disposal of Polychlorinated Biphenyls and Polychlorinated Terphenyls. Council Directive 1999/31/EC of 26 April 1999 on the Landfill of Waste. Directive 2000/53/EC of the European Parliament and of the Council of 18 September 2000 on End-of-life Vehicles. Directive 2000/76/EC of the European Parliament and of the Council of 4 December 2000 on the Incineration of Waste. Council Regulation (EC) No 44/2001 of 22 December 2000 on Jurisdiction and the Recognition and Enforcement of Judgments in Civil and Commercial Matters. Regulation (EC) No 2150/2002 of the European Parliament and of the Council of 25 November 2002 on Waste Statistics. Directive 2002/96/EC of the European Parliament and of the Council of 27 January 2003 on Waste Electrical and Electronic Equipment. Directive 2004/35/CE of the European Parliament and of the Council of 21 April 2004 on Environmental Liability with Regard to the Prevention and Remedying of Environmental Damage. Regulation (EC) No 850/2004 of the European Parliament and of the Council of 29 April 2004 on Persistent Organic Pollutants and Amending Directive 79/11/ EEC. Directive 2006/12/EC of the European Parliament and of the Council of 5 April 2006 on Waste. Regulation (EC) No 1013/2006 of the European Parliament and of the Council of 14 June 2006 on Shipments of Waste. Directive 2006/66/EC of the European Parliament and of the Council of 6 September 2006 on Batteries and Accumulators and Waste Batteries and Accumulators and Repealing Directive 91/157/EEC. Regulation (EC) No 864/2007 of the European Parliament and of the Council of 11 July 2007 on the Law Applicable to Non-contractual Obligations (Rome II). Directive 2008/68/EC of the European Parliament and of the Council of 24 September 2008 on the Inland Transport of Dangerous Goods. Directive 2008/98/EC of the European Parliament and of the Council of 19 November 2008 on Waste and Repealing Certain Directives. IV. Non-binding Instruments: Stockholm Declaration on Human Environment, adopted by the United Nations Conference on the Human Environment, Stockholm, 16 June 1972. Cairo-Guidelines and Principles of the Environmentally Sound Management of Hazardous Wastes, of 17 June 1987. IAEA Code of Practice on the International Transboundary Movement of Radioactive Waste, IAEA, Vienna 1990. 368 Table of International Conventions…

Rio Declaration on Environment and Development, adopted by the United Nations Conference on Environment and Development, Rio de Janeiro, 14 June 1992. 2001 ILC Draft Articles on Responsibility of States for Internationally Wrongful Acts, adopted at the 53rd Session of the ILC (23 April - 1 June and 2 July - 10 August 2001). 2001 ILC Draft Articles on the Prevention of Transboundary Harm from Hazardous Activities, adopted at the 53rd Session of the ILC (23 April - 1 June and 2 July - 10 August 2001). 2006 ILC Draft Principles on the Allocation of Loss in the Case of Transboundary Harm Arising out of Hazardous Activities, adopted at the 58th Session of the ILC (1 May - 9 June and 3 July - 11 August 2006). IAEA Regulations for the Safe Transport of Radioactive Material, IAEA, Vienna 2009. About the International Max Planck Research School for Maritime Affairs at the University of Hamburg

The International Max Planck Research School for Maritime Affairs at the University of Hamburg was established by the Max Planck Society for the Advancement of Science, in co-operation with the Max Planck Institute for Foreign Private Law and Private International Law (Hamburg), the Max Planck Institute for Comparative Foreign Public Law and International Law (Heidelberg), the Max Planck Institute for Meteorology (Hamburg) and the University of Hamburg. The School’s research is focused on the legal, economic, and geophysical aspects of the use, protection, and organization of the oceans. Its researchers work in the fields of law, economics, and natural sciences. The School provides extensive research capacities as well as its own teaching curriculum. Currently, the School has 22 Directors who determine the general work of the School, act as supervisors for dissertations, elect applicants for the School’s PhD- grants, and are the editors of this book series: Prof. Dr. Dr. h.c. mult. Jürgen Basedow is Director of the Max Planck Institute for Foreign Private Law and Private International Law; President and Professor Monika Breuch-Moritz is the President of the German Federal Maritime and Hydrographic Agency; Prof. Dr. Dr. h.c. Peter Ehlers is the Director ret. of the German Federal Maritime and Hydrographic Agency; Prof. Dr. Dr. h.c. Hartmut Graßl is Director emeritus of the Max Planck Institute for Meteorology; Dr. Tatiana Ilyina is the Leader of the Research Group ‘‘Ocean Biogeochemistry’’ at the Max Planck Institute for Meteorology in Hamburg; Prof. Dr. Florian Jeßberger is Head of the International and Comparative Criminal Law Division at the University of Hamburg; Prof. Dr. Lars Kaleschke is Junior Professor at the Institute of Oceanography of the University of Hamburg; Prof. Dr. Hans-Joachim Koch is Director emeritus of the Seminar of Environmental Law at the University of Hamburg; Prof. Dr. Robert Koch is Director of the Institute of Insurance Law at the University of Hamburg; Prof. Dr. Doris König is the President of the Bucerius Law School; Prof. Dr. Rainer Lagoni is Director emeritus of the Institute of Maritime Law and the Law of the Sea at the University of Hamburg; Prof. Dr. Gerhard Lammel is Senior Scientist and Lecturer at the Max Planck Institute for Chemistry, Mainz; Prof. Dr. Ulrich Magnus is Managing Director of the Seminar of Foreign Law and Private International Law at the University of Hamburg; Prof. Dr. Peter Mankowski is Director of the Seminar of Foreign and Private Ó Springer-Verlag Berlin Heidelberg 2015 369 J. Albers, Responsibility and Liability in the Context of Transboundary Movements of Hazardous Wastes by Sea, Hamburg Studies on Maritime Affairs 29, DOI 10.1007/978-3-662-43349-2 370 About the International Max Planck…

International Law at the University of Hamburg; Prof. Stefan Oeter is Managing Director of the Institute for International Affairs at the University of Hamburg; Prof. Dr. Marian Paschke is Managing Director of the Institute of Maritime Law and the Law of the Sea at the University of Hamburg; PD Dr. Thomas Pohlmann is Senior Scientist at the Centre for Marine and Climate Research and Member of the Institute of Oceanography at the University of Hamburg; Dr. Uwe A. Schneider is Assistant Professor at the Research Unit Sustainability and Global Change of the University of Hamburg; Prof. Dr. Detlef Stammer is Professor in Physical Oceanography and Remote Sensing at the Institute of Oceanography of the University of Hamburg; Prof. Dr. Jürgen Sündermann is Director emeritus of the Centre for Marine and Climate Research at the University of Hamburg; Prof. Dr. Rüdiger Wolfrum is Director emeritus at the Max Planck Institute for Comparative Foreign Public Law and International Law and a judge at the International Tribunal for the Law of the Sea; Prof. Dr. Wilfried Zahel is Professor emeritus at the Centre for Marine and Climate Research of the University of Hamburg. At present, Prof. Dr. Dr. h.c. Jürgen Basedow and Prof. Dr. Ulrich Magnus serve as speakers of the Research School.