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 STOCKHOLM CONVENTION ON ORGANIC POLLUTANTS                                __________                                 MESSAGE                                   from                    THE PRESIDENT OF THE UNITED STATES                               transmitting  STOCKHOLM CONVENTION ON PERSISTENT ORGANIC POLLUTANTS, WITH ANNEXES,                     DONE AT STOCKHOLM, MAY 22-23, 2001 May 7, 2002.--Convention was read the first time, and together with the  accompanying papers, referred to the Committee on Foreign Relations and              ordered to be printed for the use of the Senate                                __________                     U.S. GOVERNMENT PRINTING OFFICE 99-118                     WASHINGTON : 2002                          LETTER OF TRANSMITTAL                               ----------                                                                     The White House, May 6, 2002. To the Senate of the United States:     With a view to receiving the advice and consent of the  Senate to ratification, I transmit herewith the Stockholm  Convention on Persistent Organic Pollutants, with Annexes, done  at Stockholm, May 22-23, 2001. The report of the Secretary of  State is also enclosed for the information of the Senate.     The Convention, which was negotiated under the auspices of  the United Nations Environment Program with the leadership and  active participation of the United States, commits Parties to  take significant steps, similar to those already taken by the  United States, to eliminate or restrict the production, use,  and/or release of 12 specified persistent organic pollutants  (POPs). When I announced that the United States would sign the  Convention, I noted that POPs chemicals, even when released  abroad, can harm human health and the environment in the United  States. The Convention obligates Parties to take measures to  eliminate or restrict the production, use, and trade of  intentionally produced POPs, to develop action plans to address  the release of unintentionally produced POPs, and to use best  available techniques to reduce emissions from certain new  sources of unintentionally produced POPs. It also includes  obligations on the treatment of POPs stockpiles and wastes, as  well as a science-based procedure to add new chemicals that  meet defined criteria.     The United States, with the assistance and cooperation of  nongovernmental organizations and industry, plays an important  international leadership role in the safe management of  hazardous chemicals and pesticides. This Convention, which will  bring over time, an end to the production and use of certain of  these toxic chemicals beyond our borders, will positively  affect the U.S. environment and public health. All relevant  Federal agencies support early ratification of the Convention  for these reasons, and we understand that affected industries  and interest groups share this view.     I recommend that the Senate give prompt and favorable  consideration to the Convention and give its advice and consent  to ratification, subject to the understandings described in the  accompanying report of the Secretary of State, at the earliest  possible date.                                                     George W. Bush.                            LETTER OF SUBMITTAL                               ----------                                                                                   August 1, 2001. The President, The White House.     The President: I have the honor to submit to you the  Stockholm Convention on Persistent Organic Pollutants, with  Annexes, done at Stockholm, May 22-23, 2001. In accordance with  your announcement on April 19, the United States signed the  Convention, subject to ratification, on May 23, 2001, along  with 90 other States. I recommend that the Convention be  transmitted on a priority basis to the Senate for its advice  and consent to ratification.     Chemical synthesis and production advances have been  responsible for many important benefits currently enjoyed by  modern society. However, as scientific knowledge about these  substances has increased, it has become clear that the  continued production and use of certain chemicals and  pesticides with particular traits carries with it inherent  risks and poses both environmental and health hazards. The  chemicals of global concern that are the subject of this  Convention are often referred to as persistent organic  pollutants (POPs). These harmful chemicals share four basic  characteristics that cause them to adversely affect human  health and the environment: (1) they are toxic; (2) they  persist in the environment for long periods of time; (3) they  circulate globally through the atmosphere and oceans to regions  far from their source of origin; and (4) they biomagnify as  they move up through the food chain, accumulating in the fatty  tissue of higher organisms, including in other foods consumed  by Americans.     There is evidence of continuing transboundary deposition of  POPs chemicals far from their sources. Indigenous people in  Alaska and elsewhere in the United States are particularly at  risk due to their reliance on a subsistence diet. This  Convention will reduce or eliminate certain POPs that continue  to be released outside the United States and which pose a  threat to U.S. public health and the environment.     The United States has already taken substantial action to  address the risks associated with those POPs chemicals  currently covered by the Convention. Many other countries,  including some developing countries, have also taken steps to  address these risks. Nonetheless, certain of these chemicals  continue to be used and produced, mostly in developing  countries.     The Convention commits Parties to take significant steps,  similar to those already taken by the United States, to  eliminate or restrict the production, use and/or release of  specified POPs. It initially identifies twelve chemicals, often  referred to as the ``dirty dozen.'' Several of these are  intentionally produced for use either as pesticides or  industrial chemicals (e.g., DDT); some are produced and  released as incidental byproducts of other processes (e.g.,  dioxin). Under the Convention, all of the intentionally  produced POPs except DDT are slated for elimination of  production and use. In recognition of the humanitarian need to  use DDT for disease vector control, notably to fight malaria,  the Convention allows its use for this purpose, while  encouraging the development of effective and economically  viable alternatives. The Convention obligates Parties to  develop action plans to address the release of byproduct POPs  and to use best available techniques to reduce emissions from  certain new sources of such POPs. It also imposes controls on  the handling of POPs wastes and on trade in POPs chemicals.  Additionally, it includes a science-based procedure to add new  chemicals that meet defined criteria to the lists of POPs  subject to the Convention.     The Convention does not differentiate in its basic  obligations between developing and developed countries. The  Convention does establish a flexible framework to provide  technical and financial assistance to help developing countries  implement their commitments.     The United States played a leading role in negotiating the  Convention, which was developed under the auspices of the  United Nations Environment Program (UNEP). Throughout the  negotiations, the Department of State and interested Federal  agencies, including the Environmental Protection Agency (EPA),  theDepartment of Commerce, the United States Trade  Representative, the Department of Health and Human Services, and the  Department of Agriculture, consulted with the Congress, industry and  environmental organizations. The relevant Federal agencies support  expeditious ratification of the Convention by the United States. The  Convention has the strong support of U.S. industry and environmental  organizations.     The following analysis reviews the Convention's key  provisions and sets forth the proposed understandings of the  United States with respect to several elements.                                 Preamble     The preamble highlights the key reasons for global action  on Persistent Organic Pollutants (POPs), including their  capacity for long-range transport and bioaccumulation; their  potential negative effects on human health and the environment,  and the particular risks they pose for developing countries,  Arctic ecosystems, indigenous communities (through POPs  contained in their traditional foods), women and, through them,  future generations. The preamble also includes language on  precaution, which is consistent with the U.S. view that the  Convention embodies a precautionary approach to protect health  and the environment.                           article 1--objective     Article 1 identifies the objective of the Convention: to  protect human health and the environment from persistent  organic pollutants.                          article 2--definitions     There are only three definitions in this Article:  ``Party''; ``Regional economic integration organization''; and  ``Parties present and voting''. These definitions are self- explanatory and consistent with usage in other multilateral  environmental agreements to which the United States is a party.  It should be noted that, with respect to obligations that  require Parties to take action on chemicals listed in Annexes  A, B or C, the term ``Party'' includes only those Parties that  are bound by particular listings for chemicals that are added  in the future. In order to make this definition clear, it is  recommended that the following understanding be included in the  U.S. instrument of ratification:           The United States understands that the term ``Party''          as defined in Article 2 includes only those Parties          that are bound by particular listings for chemicals          that are added in the future to Annexes A, B or C with          respect to the obligations to take action on those          chemicals.  article 3--measures to reduce or eliminate releases from intentional                             production and use     Article 3, together with Annexes A and B, contains core  obligations in the Convention regarding controls and  intentionally produced POPs chemicals. Paragraph 1 requires  each Party to ``[p]rohibit and/or take the legal and  administrative measures necessary to eliminate'' the production  and use of chemicals listed in Annex A, and to ``restrict''  production and use of chemicals listed in Annex B. Annexes A  and B include 10 intentionally produced pesticides and  industrial chemicals. Aldrin, chlordane, dieldrin, endrin,  heptachlor, hexachlorobenzene, mirex, toxaphene, and PCBs are  placed in Annex A. DDT is placed on Annex B. Time-limited  country-specific exemptions are allowed for the use, production  and trade of some chemicals in Annex A. There are also certain  general exemptions for chemicals listed on Annexes A and B, and  language addressing the special case of PCBs in Annex A and DDT  in Annex B, described below.     The United States is in large part already fulfilling the  obligations in paragraph 1, either because it has taken the  legal and administrative measures necessary to eliminate  production and use of the listed chemicals, or because nearly  all production and use of these chemicals have otherwise  ceased. For example, none of the listed chemicals are currently  registered under U.S. law for use as pesticides in the United  States.     At the same time, certain limitations to the existing  authorities under the main U.S. statutes in this area--namely,  the Federal Insecticide, Fungicide, and Rodenticide Act  (``FIFRA''), 7 U.S.C. Sec. 136 et. seq., and the Toxic  Substances Control Act (``TSCA''), 15 U.S.C. Sec. 2601 et  seq.--exist with regard to implementation of discrete  obligations in Article 3. For example, U.S. law currently does  not provide unambiguous authority to prevent production of all  POPs chemicals for export. In addition, two of the listed POPs  chemicals (DDT and HCB) theoretically are eligible for  production under TSCA under certain circumstances without prior  notice, although no such production is known to occur in the  United States. New production and use of the other listed POPs  chemicals theoretically could be proposed in the future, and  their prohibition cannot be guaranteed under existing law.  Targeted, legislative authority therefore will be sought to  ensure the U.S. ability to implement in full the obligations on  all production and use of the listed POPs.     Paragraph 2 places restrictions on the import and export of  chemicals listed in Annexes A and B. Paragraph 2(a) requires  each Party to take measures to ensure that a chemical is  imported only for environmentally sound disposal or for a use  or purpose permitted under Annex A or B. Paragraph 2(b)  restricts exports both to other Parties and to non-Parties to  the Convention. Annex A and B chemicals can be exported only:  (i) for environmentally sound disposal; (ii) to another Party  permitted to use the chemical under Annexes A or B; or (iii) to  a State not Party to the Convention, provided that the non- Party has provided an annual certification to the exporting  Party. That certification must address the non-Party's intended  use of the chemical and its commitment to minimize or prevent  releases of the chemical and to dispose of any wastes in an  environmentally sound manner. In addition, exports of chemicals  listed in Annex A are prohibited to both Parties and non- Parties, except for environmentally sound disposal, once there  are no longer any specific exemptions in effect for any Party  regarding that chemical.     The United States presently is unaware of any U.S.  production or export of the listed POPs chemicals that  conflicts with Article 3 obligations. Nevertheless, additional  legislative authority is required to ensure the United States'  ability to implement effectively the export-related obligations  in paragraph 2. As noted above, for example, FIFRA does not  provide authority to prohibit all exports of POPs pesticides  from the United States. Additional authority will also be  sought to address certain narrow exceptions in FIFRA and TSCA  with respect to the import-related obligations in paragraph 2.     Paragraph 3 requires each Party that has regulatory and  assessment schemes for new pesticides or industrial chemicals  to take measures to regulate, with the aim of preventing, the  production and use of new POPs. The United States will  implement this obligation through measures, including some that  are already in place, aimed at preventing new persistent,  bioaccumulative, and toxic (``PBT'') chemicals from entering  commerce.     Paragraph 4 requires Parties that have regulatory and  assessment schemes for chemicals currently in use to take into  consideration, ``where appropriate,'' Annex D criteria when  assessing such pesticides or chemicals. (Annex D sets out  criteria for listing a new POPs chemical, which consist of  persistence, bioaccumulation, potential for long-range  environmental, transport, and toxicity.) The United States is  already fulfilling this requirement under existing programs and  EPA may under its current authorities expand the extent to  which it takes such factors into account when assessing  existing chemicals or pesticides.     Paragraph 5 provides that the control measures on  production, use, and import and export set out in paragraphs 1  and 2 do not apply to chemicals used for lab-scale research or  as a reference standard.     Paragraph 6 requires any Party that takes a specific  exemption under Annexes A or B, or uses a chemical under an  allowable purpose under Annex B, to ``take appropriate  measures'' to prevent or minimize human exposure and release  into the environment of that POP during its production and use.  The United States does not intend to seek a specific exemption  orutilize an allowable purpose for any of the currently listed  chemicals.                article 4--register of specific exemptions     As noted above, any State may, upon becoming a Party and by  notification to the Secretariat, register for one or more types  of specific exemptions listed in Annex A or B. The purpose of  such exemptions is to allow individual countries to take  specific exemptions according to particular needs that might  otherwise prevent them from joining the Convention, without the  need for more categorical differential of obligations among  Parties. The United States does not anticipate the need to  submit any registrations for specific exemptions for the  substances currently in the POPs Convention.     Article 4 establishes a Register to identify Parties that  have taken such specific exemptions. It also specifies the  process for new registrations, and for their withdrawal and  termination. Importantly, it also provides that all  registrations will be subject to a review process, the details  of which will be developed at the first meeting of the  Conference of the Parties (``COP''). Unless an earlier date is  indicated in the Register by a Party, or an extension is  granted by the COP, registrations of specific exemptions shall  expire five years after the date of entry into force of the  obligation with respect to a particular chemical.     Paragraph 1 specifies that these procedures do not apply to  provisions in Annex A or Annex B that may be exercised by all  Parties. This includes, for example, provisions regarding use  of PCBs in Part I and Part II of Annex A, provisions regarding  chemicals that occur in articles manufactured or already in  use, and provisions that allow Parties to use a chemical as a  closed-system, site-limited intermediate in the production of  other chemicals. The Article also does not apply to  ``acceptable purposes'' identified in Annex B (at present  limited to DDT).     Paragraph 9 is an important ``sunset'' provision, providing  that once there are no longer any Parties registered for a  particular specific exemption, no new registrations for that  exemption may be made. article 5--measures to reduce or eliminate releases from unintentional                                 production     Article 5 contains obligations with respect to releases of  chemicals listed in Annex C, and includes a goal of  ``continuing minimization and, where feasible, ultimate  elimination.'' This is consistent with existing U.S. law under  the Clean Air Act, 42 U.S.C. Sec. 7401 et seq., and the Clean  Water Act, 33 U.S.C. Sec. 1251 et seq. With respect to the term  ``feasible,'' negotiators agreed that this term included both  technical and economic considerations.     Paragraph (a) requires development by each Party of an  action plan addressing releases of Annex C chemicals. The plan  must include, among other things, development of source  inventories and release estimates. The United States has  existing authority to develop such inventories under the Clean  Air Act, which is routinely used for developing inventories and  release estimates of the kind described in this paragraph, and  under the Clean Water Act with respect to releases of the  pollutants to waters of the United States.     Paragraph (b) requires each Party to promote measures to  achieve meaningful reduction in POPs releases or in elimination  of sources of POPs releases. The United States will implement  this obligation through the Pollution Prevention Act, 42 U.S.C.  Sec. 13101 et seq., which already requires EPA to establish a  source reduction program and engage in other activities that  promote reduction of releases.     Paragraph (c) requires each Party to promote the use of  substitute or modified materials, products and processes to  prevent formation and release of Annex C chemicals. The United  States will implement this obligation through the Pollution  Prevention Act, which currently authorizes the promotion of  reduction of sources of POPs releases through ``technology  modifications, process or procedure modifications,  reformulation or redesign of products, substitution of raw  materials,'' as wellas through other authorities already  provided in the Clean Air Act and Clean Water Act.     Paragraph (d) requires each Party to require the use of  best available techniques (``BAT'') for new sources it  identifies as warranting such action in its action plan, and in  any case for new sources in the categories listed in Part II of  Annex C (for example, municipal waste combustors), no later  than four years after entry into force of the Convention for  that Party. The United States already has sufficient authority  under the Clean Air Act, with respect to emissions to air, and  under the Clean Water Act, with respect to discharges to water,  to implement these obligations. In most cases, moreover, the  United States has regulations already in place for these source  categories that will fully implement the BAT requirement.     Paragraph (e) applies an obligation ``to promote'' the use  of BAT on existing sources in the categories listed in Part II,  as well as to such other categories of new and existing sources  to the extent that a Party identifies the need for action  regrading these sources as part of this action plan. Those  additional categories may include categories listed in Part III  if the United States considers them appropriate for inclusion.  The United States already has sufficient existing statutory  authority with respect to all of the required source categories  (i.e., those listed in Part II), as well as most of the  additional source categories under Part III, under the Clean  Air Act and Clean Water Act.     Paragraph (f) provides definitions of the terms ``best  available techniques,'' ``best environmental practices'' and  ``new source.'' These definitions are consistent with U.S. law.  Paragraph (g) allows Parties to use ``release limit values'' or  ``performance standards'' in place of best available  techniques. This paragraph provides an alternative means to  satisfy the requirements under paragraphs (d), (e) and (f). article 6--measures to reduce or eliminate releases from stockpiles and                                   wastes     Article 6, which contains obligations regarding the  treatment of POPs wastes, generally requires that Parties take  certain specified measures to ensure that such wastes are  managed in a manner protective of human health and the  environment. The United States has sufficient existing  authority under FIFRA, TSCA, the Comprehensive Environmental  Responsibility, Compensation and Liability Act, 42 U.S.C.  Sec. 9601 et seq., and the Resource Conservation and Recovery  Act, 42 U.S.C. Sec. 6901 et seq., (``RCRA'') to implement  almost all of the obligations in Article 6.     Paragraph 1(a) requires each Party to develop ``appropriate  strategies'' for identifying both stockpiles containing  chemicals in Annexes A or B, and also products and articles in  use, and wastes, containing chemicals in Annexes A, B or C. To  the extent that stockpiles containing chemicals in Annexes A or  B exist in the United States, the United States is already  implementing strategies to identify them through existing  policy programs (for example, the ``Clean Sweeps'' program).  The United States can also implement this obligation through  authority under FIFRA section 6(g) and TSCA section 8(a), which  provide authority to require certain persons to notify EPA of  their possession and respective amounts of certain cancelled  pesticides and other chemicals.     Paragraph 1(b) requires each Party to identify ``to the  extent practicable'' and ``on the basis of the strategies  referred to in paragraph 1(a),'' stockpiles containing  chemicals listed in either Annex A or B. The United states will  implement this obligation using the authorities noted above.     Paragraph 1(c) requires the appropriate management of  stockpiles in a safe, efficient and environmentally sound  manner. Existing U.S. laws, notably FIFRA section 19(a) and  TSCA section 6, provide sufficient authority for the United  States to implement this obligation through labeling and other  means to ensure that stockpiles of pesticides and industrial  chemicals listed in Annex A or B are handled, transported, and  stored in an environmentally sound manner. This paragraph also  provides that stockpiles, once they are no longer permitted to  be used orexported in accordance with other provisions of the  Convention, shall be deemed to be waste subject to paragraph (1)(d).     Paragraph 1(d)(i) requires each Party to take appropriate  measures for the treatment of wastes containing or contaminated  with a chemical listed in Annex A, B or C. It requires that  such POPs wastes be handled, collected, transported and stored  in an environmentally sound manner. The United States will  implement these obligations through existing waste disposal  requirements in place under RCRA and TSCA.     Paragraph 1(d)(ii) requires each Party to take appropriate  measures so that POPs wastes are treated using destruction or  irreversible transformation, or otherwise disposed of in an  environmentally sound manner when destruction or irreversible  transformation does not represent the environmentally  preferable option or the POPs content is low. The United States  will implement these obligations through existing waste  disposal requirements in place under RCRA and TSCA.     Paragraph 1(d)(iii) requires that POPs wastes must not be  permitted to be subject to operations that may lead to the  recycling, recovery or alternative use of the POPs content. The  United States is not aware of any existing operations involving  the recycling or recovery of POPs in the United States. There  is nothing in current U.S. law, however, that clearly  authorizes the regulation of POPs wastes in accordance with  this obligation. To guarantee that the United States will be  able to implement effectively this obligation, additional  legislative authority will be sought to address recycling and  recovery of POPs chemicals under FIFRA and TSCA authorities.     Paragraph 1(d)(iv) requires that POPs wastes must not be  exported or imported without taking into account relevant  international standards. The United States already has in place  requirements that will fulfill this obligation. For example,  EPA has established requirements under RCRA for the export  (including transport) of hazardous wastes such that exporters  and transporters must comply with requirements of international  agreements between the United States and receiving countries.     Paragraph 1(e) requires each Party to endeavor to develop  appropriate strategies for identifying sites contaminated by  chemicals listed in Annex A, B or C. It does not require  remediation of sites, but requires that, if undertaken, it be  performed in an environmentally sound manner. The United States  already has existing authority under RCRA and CERCLA to develop  appropriate strategies for identifying sites contaminated by  chemicals listed in these annexes, and to ensure that necessary  remediation will be performed in an environmentally sound  manner.     Paragraph 2 directs the COP to cooperate with the  appropriate bodies of the Basel Convention on the Control of  Transboundary Movements of Hazardous Wastes and their Disposal  to develop certain guidance relating to the handling of POPs  waste. Paragraph 2(c) calls on the COP to work to establish, in  cooperation with the Basel COP, ``as appropriate,'' the  concentration levels of the chemicals listed in Annexes A, B  and C in order to define the low POP content referred to in  paragraph 1(d). The criteria of what constitutes ``low'' POP  content is an important factor in determining whether ``other  disposal'' is permitted under paragraph 1(d). The United States  does not interpret paragraph 2(c), however, as giving a mandate  to the COP to set a definition of the term ``low'' that would  be binding on Parties through paragraph 1(d): indeed, paragraph  1(d) makes it clear that meaning of ``low'' is to be determined  ``taking into account international rules, standards and  guidelines, including those that may be developed pursuant to  paragraph 2. * * * '' In order to clarify and emphasize this  view, it is recommended that the following understanding be  included in the U.S. instrument of ratification:           It is the understanding of the United States of          America that any work completed by the Conference of          the Parties under paragraph 2(c) of Article 6 would not          be considered binding on Parties, but rather would          constitute non-binding guidance on the meaning of the          term ``low'' that Parties would take into account in          accordance with paragraph 1(d) of Article 6.                     article 7--implementation plans     The Article calls upon Parties to develop and endeavor to  implement a plan to implement its obligations under the  Convention, and contains provisions regarding the  transmittal,review and update of such plans. Plans are required to be  submitted within two years of entry into force of the Convention for  that Party. It also states that Parties shall, wherever appropriate,  cooperate directly or through global, regional and subregional  organizations, and consult with their national stakeholders to  facilitate the development, implementation and updating of the  implementation plans.          article 8--listing of chemicals in annexes a, b and c     As noted above, the Convention is intended to be a dynamic  instrument, under which additional chemicals that meet certain  key criteria may be added to the regime in the future. Article  8, together with Annexes D, E and F and Article 22 (on  amendments to annexes), set out the procedure by which those  additional chemicals will be considered and added.     Paragraphs 1 and 2 set out the procedure for proposing the  addition of a new chemical and the Secretariat's initial  information screening process. Paragraphs 3 and 4 set forth the  process by which the Persistent Organic Pollutant Review  Committee (the Committee) reviews whether the proposal  satisfies the screening criteria in Annex D. The criteria are:  persistence, bioaccumulation, toxicity, long-range transport,  and evidence of adverse effects. The Committee shall review and  apply the proposal ``in a flexible and transparent way, taking  all information provided into account in an integrative and  balanced manner.'' If the Committee believes that the screening  criteria are satisfied, it makes the proposal available and  invites Parties and observers to submit information specified  in Annex E (concerning risk). If not, the Committee sets the  proposal aside.     Paragraph 5 allows any Party to resubmit a proposal that  the Committee has set aside under paragraph 4. If the Committee  sets it aside again, the Party may appeal that decision to the  COP. The COP may then decide, ``based on the screening criteria  in Annex D'' and taking other information into account, that  the proposal shall proceed. This formulation was sought by the  United States in order to tie the COP's decision to the  scientific criteria.     Paragraph 6 provides for a further review of proposals that  proceed beyond the screening stage. The Committee prepares a  draft risk profile in accordance with Annex E, makes that draft  available and receives comments on it, and then completes the  risk profile.     Paragraph 7 sets out a key decision point for the  Committee: on the basis of the risk profile, the Committee must  decide whether ``the chemical is likely as a result of its  long-range environmental transport to lead to significant  adverse human health and/or environmental effects such that  global action is warranted.'' If the Committee so decides, the  proposal shall proceed to the next stage: a risk management  review in accordance with Annex F, including an evaluation of  the possible associated control measures for the chemical, as  well as costs and alternatives.     If the Committee decides that the chemical does not meet  this standard, the proposal is set aside. The text provides  that ``[l]ack of full scientific certainty shall not prevent  the proposal from proceeding.'' This provision merely allows  the Committee to conclude that ``global action is warranted''  such that the proposal should proceed to the risk management  review, even where it lacks ``full'' scientific certainty. It  does not allow the Committee to move forward where it lacks any  scientific certainty; it must still determine that the chemical  is ``likely as a result of its long-range environmental  transport to lead to significant adverse human health and/or  environmental effects.'' This formulation is consistent with  risk-based decision-making by chemical regulators under  existing U.S. law.     Paragraph 8 provides an appeal process for Parties similar  to that in paragraph 5. If, following this process, the  Committee sets the proposal aside once again, the Party may  appeal the decision to the COP, which ``based on the risk  profile'' may decide the proposal shall proceed to a risk  management review.     Paragraph 9 provides that the Committee shall, ``based on  the risk profile * * * and the risk management evaluation,''  make a recommendation whether the chemical should be listed  inAnnexes A, B and/or C. In the end, the COP, ``taking the account of  the recommendations of the Committee, including any scientific  uncertainly, shall decide, in a precautionary manner'' whether to list  the chemical and associated control measures. This is consistent with  U.S. approaches to precaution in chemicals regulation, which provide  for risk management decisions even when there is lack of full  scientific certainty.                     ARTICLE 9--INFORMATION EXCHANGE     Article 9 requires Parties to ``facilitate or undertake''  the exchange of information relevant to the reduction or  elimination of production, use, and release of POPs and on  alternatives to POPs. Paragraph 5 provides further that  information on the health and safety of humans and the  environment is not confidential, but that Parties that exchange  other information shall protect any confidential information as  mutually agreed. Because this Article does not require the  exchange of any information, it does not conflict with U.S. law  regarding the protection of confidential business information  (``CBI'').         ARTICLE 10--PUBLIC INFORMATION, AWARENESS AND EDUCATION     Article 19 contains a number of obligations to promote and  facilitate the provision of available POPs-related information  to the public. Most of these provisions are obligations that  the United States already is implementing through various  public awareness campaigns and programs.     Paragraph 2 requires each Party ``within its capabilities''  to ensure that the public has access to ``the public  information'' referred to in paragraph 1. Paragraph 1 concerns  ``available information persistent organic pollutions.''  Although release of all available information on POPs could  theoretically require release of certain health and safety  information that would be protected as CBI under U.S. law, the  obligation in paragraph 2 applies only to ``the public  information referred to in paragraph 1.'' (emphasis added)  Thus, this requirement excludes CBI data, which is not public.     Paragraph 5 requires Parties to give sympathetic  consideration to developing mechanisms for the collection and  dissemination of information on estimates of annual quantities  of POPs released or disposed. EPA, with its Toxic Release  Inventory (TRI) program, requires release and disposal  reporting on most of the Annex A, B and C chemicals.             ARTICLE 11--RESEARCH, DEVELOPMENT AND MONITORING     Article 11 requires the Parties collectively, at the  national and international level, to encourage or undertake  ``appropriate research, development, monitoring and cooperation  pertaining to'' POPs. The United States, through existing  research programs and international cooperation programs, is  already undertaking or providing support for POPs research,  cooperation and monitoring.                     ARTICLE 12--TECHNICAL ASSISTANCE     Article 12 concerns the provision of technical assistance  to developing country Parties and Parties with economies in  transition to help them implement their obligations under the  Convention. Paragraph 3 specifies that the technical assistance  to be provided, ``as appropriate and as mutually agreed,'' by  developed country Parties shall include assistance for  capacity-building related to implementation of the obligations  under the Convention. This language gives developed country  Parties considerable flexibility to decide the scope of their  collective technical assistance obligation. Paragraph 5  obligates the Parties collectively to establish  ``arrangements,'' including centers for capacity-building and  transfer of technology.     The United States will implement its obligations under this  article through a range of ongoing bilateral and multilateral  aid and assistance programs, including, for example, programs  administered by USAID, EPA and other agencies, as well as  through contributions to the Global Environment Facility (GEF)  and other multilateral organizations. Such programs and  contributions will require appropriations.              ARTICLE 13--FINANCIAL RESOURCES AND MECHANISMS     This article, and paragraph 2 in particular, reflect the  commitment of developed country Parties collectively to provide  financial resources to assist developing country Parties to  meet their commitments under the Convention. This obligation is  qualified in significant respects. Developed country Parties as  a collective are to provide ``new and additional'' financial  resources to meet the agreed full incremental costs of  implementing measures by developing country Parties which  fulfill their obligations under the Convention. Both the costs  and the implementing measures must be agreed between the  recipient Party and an entity participating in the mechanism  established in paragraph 6. The mechanism in paragraph 6 will  consist of, at least for an interim period, the GEF. Paragraph  6 also reiterates the requirement of paragraph 2 that  contributions to the mechanism be ``additional'' to other  financial transfers.     Paragraph 7 provides that the COP shall provide guidance to  the mechanism regarding policies for access to financial  resources, promotion of multiple-source funding, and modalities  for determining the amount of funding necessary and available  to implement the Convention, and for providing Parties with  assistance for needs assessment.     The Convention does not create either a new fund or mandate  the funding of recurrent and non-incremental costs, and does  not establish new or specific assessments. The United States  will implement this obligation through its contributions to the  GEF and other multilateral, regional and bilateral entities  that provide financial assistance. Such contributions will  require an appropriation.                ARTICLE 14--INTERIM FINANCIAL ARRANGEMENTS     Article 14 provides that the GEF shall be the principal  entity entrusted with the operations of the Article 13  financial mechanism on an interim basis. It or another entity  could have this role permanently by a decision of the COP.                          ARTICLE 15--REPORTING     Article 15 requires generally that each Party report on  measures it has taken to implement the provisions of this  Convention, as well as their effectiveness. It requires  reporting of certain statistical data, or reasonable estimates  thereof, on production and trade.                   ARTICLE 16--EFFECTIVENESS EVALUATION     This article provides for a periodic evaluation by the COP  of the Convention's effectiveness, based on monitoring  arrangements to be initiated at the first COP. The monitoring  arrangements are intended to give the COP comparable monitoring  data on the presence and transport of the listed POPs, and  should use existing monitoring programs and mechanisms to the  extent possible. The United States is already participating in  several global monitoring and research initiatives that could  provide monitoring data to be used under Article 16.                        ARTICLE 17--NON-COMPLIANCE     Article 17 instructs the COP ``as soon as practicable'' to  establish mechanisms and procedures for determining non- compliance with the Convention's obligations and for the  treatment of Parties found to be in non-compliance. Article 17  is typical of non-compliance provisions contained in several  multilateral environmental agreements to which the United  States is a Party.                    ARTICLE 18--SETTLEMENT OF DISPUTES     This article provides that the Parties shall settle  disputes through negotiation or other peaceful means.  Consistent with many recent environmental agreements, this  article also provides for mandatory recourse, at the request of  one party to a dispute, to non-binding conciliation. Procedures  for this non-binding process will be elaborated in an annex to  be adopted by the COP. In addition, paragraph 2 provides that a  Party may declare with respect to Parties that have made  similar declarations that it is prepared to submit to  compulsory dispute settlement by arbitration or before the  International Court of Justice.Consistent with prior practice,  it is recommended that the United States not make such a declaration.                  ARTICLE 19--CONFERENCE OF THE PARTIES     Article 19 establishes a COP, consistent with the standard  practice in multilateral environmental agreements. Paragraph 4  instructs the COP to adopt rules of procedure and financial  rules for itself and for any subsidiary bodies by consensus.  Paragraph 6 instructs the COP to establish a subsidiary body at  its first meeting, the Persistent Organic Pollutants Review  Committee, to perform the specific functions conferred upon the  committee under the Convention. It provides that the Committee  shall make every effort to adopt its recommendations by  consensus, but at a last resort shall adopt its recommendations  by a two-thirds majority vote.                         ARTICLE 20--SECRETARIAT     Article 20 establishes the Secretariat, delineates its  functions, and specifies that the functions of the Secretariat  are to be performed by the Executive Director of UNEP unless  the COP decides otherwise.                 ARTICLE 21--AMENDMENTS TO THE CONVENTION     Article 21 contains provisions that are common to several  international environmental agreements to which the United  States is a party. Paragraph 1 states that any Party may  propose amendments to the Convention. Paragraph 2 provides that  amendments shall be adopted at a meeting of the COP provided  that they have been circulated to all parties at least six  months in advance of the meeting.     Paragraph 3 requires that Parties must endeavor to reach  agreement on the proposed amendment by consensus. When  consensus cannot be reached, it requires a vote to adopt by a  three-fourths majority of the Parties present and voting.  Paragraph 4 requires amendments to be communicated to the  Depositary. Paragraph 5 provides that an amendment shall enter  into force for those Parties that have accepted it, ninety days  after it has been accepted by at least three-fourths of the  Parties. Thereafter, it enters into force for any other Party  ninety days after that Party deposits its instrument of  ratification, acceptance or approval of the amendment.              ARTICLE 22--ADOPTION AND AMENDMENT OF ANNEXES     Article 22 covers the process for amending the Convention's  annexes and adding new annexes. As noted above, it is an  important element of the process for adding new POPs chemicals  to the Convention. Paragraphs 1 and 2 of Article 22 provide  that the annexes form an integral part of the Convention and  restrict any additional annexes to ``procedural, scientific,  technical or administrative matters.''     Paragraph 3 sets out the procedure for adding additional  annexes to the Convention. It provides that the procedure for  proposal and adoption of such annexes shall be identical to  that for adoption of amendments to the Convention (i.e., all  efforts at consensus, or at a minimum three-fourths majority to  adopt an additional annex). However, new annexes will enter  into force through an ``opt-out'' procedure: once adopted, the  annex will bind all Parties one year after adoption, except for  those Parties that have submitted, during that year, a  notification of non-acceptance. As noted below, however,  paragraph 6 provides that, if the adoption of a new annex is  linked to an amendment of the Convention, the annex will enter  into force when the related amendment enters into force.     Paragraph 4 sets forth a special procedure for the  proposal, adoption and entry into force of amendments to  Annexes A, B, or C; these are the annexes that list the  chemicals covered by the convention and set out the related  control obligations. (Note: additional requirements for  proposing amendments to list a new chemical in these Annexes  are found in Article 8.) These amendments are to be proposed  and adopted in the same manner as adding a new annex (i.e.,  requiring all efforts to achieve consensus or, at a minimum, a  three-fourths majority to adopt the amendment). Once they are  adopted, amendments to add new chemicals will enter into force  for all Parties one year later, except in two cases:           (1) where, as with new annexes, a Party has notified          the depositary within that one-year period that it does          not accept the amendment (i.e., invokes an ``opt-out''          procedure); or           (2) where a Party has made a declaration, at the time          it deposits its instrument of ratification in          accordance with Article 25(4), that any amendment to          Annexes A, B or C shall enter into force for it only          upon its affirmative acceptance of that new obligation          (i.e., it invokes a Party-specific ``opt-in''          procedure).     The second alternative above, which was sought by the  United States, creates an optional Party-specific ``opt-in''  approach for the addition of new chemicals. In the absence of  its express consent, a Party that has made such a declaration  is not bound by any new listing.     Paragraph 5 sets forth a different procedure for the  proposal, adoption, and entry into force of amendments to  Annexes D, E and F. These are the annexes that set out the  criteria and information requirements governing the process for  listing new chemicals. These criteria must apply equally to all  Parties: the Committee could not properly carry out its  responsibilities, thus jeopardizing the effectiveness of the  Convention, if different Parties had agreed to different  listing criteria. Accordingly, more traditional amendment  procedures that allow parties to accept or reject particular  amendments would not work in these cases. Therefore, the  Convention provides for amendment of these annexes only by  consensus. Once consensus is achieved, however, the amendment  enters into force for all Parties. Importantly, the requirement  for consensus means that a change in the criteria annexes,  which contain no direct obligations or Parties but could affect  the ultimate scope of the Convention, could not be achieved  over the objection of the United States, if it became a Party.     Paragraph 6 provides that, if an additional annex or  amendment to an annex is related to an amendment to the  Convention, it only enters into force when the corresponding  amendment to the Convention enters into force. An amendment to  an annex that is linked to an amendment to the Convention would  therefore not enter into force until the procedures under  Article 21 had been completed.                      ARTICLES 23-30 (FINAL CLAUSES)     Articles 23 through 30 are final clauses that are routinely  included in conventions negotiated under the auspices of the  United Nations. Article 23 provides that each party shall have  one vote, permits regional economic integration organizations  (``REIOs'') to exercise the number of votes equal to the number  of their member states that are Parties to the Convention, and  precludes a REIO from exercising its right to vote if any of  its members states exercises their right to vote.     Article 24 provides that the Convention is open for  signature by all States until May 22, 2002. As noted above,  Article 25 provides that any Party may declare when it submits  its instrument of ratification, acceptance, approval or  accession that any amendments to Annexes A, B or C shall only  enter into force for it upon an affirmative indication of its  consent to be bound. Article 25 also provides that REIOs and  their member states are not entitled to exercise rights under  the Convention concurrently, and that in becoming Party to the  Convention, a REIO must declare the extent of its competence in  respect of matters governed by the Convention.     Article 26 provides that the Convention shall enter into  force on the ninetieth day after the deposit of the fiftieth  instrument of ratification, acceptance, approval or accession.  Instruments deposited by a REIO are not counted for purposes of  bringing the Convention into force.     Article 27 states that no reservations may be made to the  Convention. The United States did not endorse this provision in  the negotiations, but was the only delegation to express  concerns about this language.                           ANNEX A--ELIMINATION     Part I of Annex A lists the chemicals that Parties are  required to control under Article 3(1). As discussed above  under Article 4, the Annex also sets out certain ``specific  exemptions,''which detail the type of production and use that a  country may continue if it has registered for such exemption in  accordance with Article 4.     Part I also contains four ``notes,'' three of which serve,  in effect, as exemptions to certain obligations in the  Convention. Note (i) states that quantities of a chemical  occurring as unintentional or trace contaminants in products  and articles are not considered to be listed in the Annex. This  clarification will help ensure that the convention is  reasonably capable of being implemented.     Note (ii) allows continued use, including export and  import, of quantities of POPs chemicals that are constituents  of articles manufactured or already in use before the entry  into force of the relevant obligation so long as a Party  notifies the Secretariat that a particular type of article  remains in use within that Party. The note requires the  Secretariat to make such notification available to the public.  The United States expects to make use of this exemption with  respect to a number of articles, such as treated wood.     Note (iii) allows a Party, upon notification to the  Secretariat, to continue to produce and use specified Annex A  or B chemicals (for example, hexachlorobenzene or ``HCB'') as  closed-system, site-limited intermediates. (Intermediates are  chemicals that are used in the production of other chemicals.)  HCB is currently used in the United States as an intermediate.  The United States may, therefore, choose to rely on Note (iii)  of Annex A to notify the Secretariat that it will produce and  use HCB as an intermediate in accordance with the provisions of  that Note. Such notification would not be required until the  Convention enters into force for the United States. The  exemption is renewable upon notification every 10 years,  although the COP may decide not to renew it.     Note (iv) makes it clear that the specific exemptions  listed in Part A may only be exercised by countries that have  registered for such exemptions in accordance with Article 4,  with one exception: the specific exemption for use of  polychlorinated biphenyls (PCBs) in articles in use under Part  II (discussed below) may be exercised by all Parties, without  the need for a registration under Article 4.     Part II of Annex A contains obligations related to the use  of PCBs in equipment. Paragraph (a) sets out certain  obligations with respect to the identification, labeling and  removal from use equipment containing specified levels of PCBs.  It also references a target date of 2025, subject to review by  the COP, for the phase-out of such equipment that should guide  Parties in implementing their obligations under this provision.  The United States has already taken strict measures to regulate  PCBs and can implement this provision under existing  authorities.     The remaining sections of Part II obligate each Party to  promote certain measures designed to reduce the risk from PCBs  in equipment; prohibit export of PCBs except for the purpose of  environmentally sound waste management; prohibit recovery for  purposes of reuse of certain PCB liquids above 0.005 percent;  and ``make determined efforts'' to ensure that all liquid PCBs  and PCB equipment is disposed of in accordance with Article 6  by 2028. Existing statutory authority allows the United States  to implement each of these obligations, nearly all of which are  currently addressed under existing PCB regulations. Only U.S.  regulations that currently allow the export of PCB equipment  will require revision to conform them to these obligations.                           ANNEX B--RESTRICTION     Part I of Annex B will list those chemicals for which  production and use are restricted under Article 3, paragraph  1(b). Currently, the only chemical on the list is DDT. Annex B  restricts DDT production and use to disease vector control, in  recognition of its special value in fighting the spread of  malaria, which claims over one million lives worldwide each  year. Annex B also allows Parties to take specific exemptions  for DDT production and use as an intermediate in the production  of dicofol, a pesticide. DDT is not currently registered for  use in the United States for disease vector control, nor is it  produced in the United States. As noted above, however, DDT  could potentially be legally produced or imported for use as an  industrial chemical under certaincircumstances. Legislation  will be sought to close this potential gap.     Annex B also contains four ``notes.'' These are nearly  identical to the notes described under Annex A, with certain  conforming changes. Those changes reflect the fact that Annex  B, as a ``restriction annex'' contains two types of controls:  (a) ``acceptable purposes,'' which list the production and use  restrictions that are available to all Parties; and (b)  specific exemptions, which allow additional exemptions for  Parties that register for the specified purposes.     Part II of Annex B prescribes the restricted terms under  which a Party may produce and use DDT for disease vector  control. It creates a separate register for Parties that  produce and use DDT, specifies certain reporting obligations  for such Parties, and includes provisions aimed at the  development and use of alternatives to DDT.                    annex c--unintentional production     Annex C lists the POPs chemicals that occur as  unintentionally produced byproducts, which are subject to the  control measures set out in Article 5. The listed byproduct  POPs are: dioxins, furans, hexachlorobenzene, and PCB. Annex C  also sets out the two types of source categories referred to in  Article 5: source categories that have a potential for  comparatively high formation and release of these chemicals,  and other source categories from which they may be  unintentionally released. Annex C also provides general  guidance to Parties on best available techniques and best  environmental practices for preventing or reducing releases of  the listed POPs byproducts. As provided in Article 5, this  general guidance will be elaborated in the future in guidelines  to be adopted by the COP.  ANNEXES D-F (INFORMATION REQUIREMENTS RELATING TO THE ADDITION OF NEW                                 CHEMICALS)     Annex D sets out information requirements and screening  criteria that each proposal for listing a new POPs chemical  must satisfy. The proposing Party must submit information to  identify the chemical, information relevant to the screening  criteria set out in subparagraphs (b) through (e), a statement  of the reasons for concern and, to the extent possible,  information relating to risk management of the chemical.  Subparagraph (b) requires evidence of persistence. Subparagraph  (c) requires evidence of bioaccumulation. Subparagraphs (d) and  (e) require evidence of the chemical's potential for long-range  transport and toxicity, respectively. The numerical criteria  for persistence and bioaccumulation in the Convention are  consistent with the criteria applied under existing law and  policy in the United States.     Annexes E and F provide the information requirements that  the Persistent Organic Pollutant Review Committee considers in  conducting the risk profile and risk management evaluation,  respectively.     Annexes D, E and F are consistent with the approach taken  in existing U.S. pesticide and chemical regulations.  Considerations for taking action under FIFRA and TSCA include  risk, costs, benefits, and other societal factors. As a  practical matter, therefore it is likely that any chemical that  would be approved for listing under this international  procedures would also be the subject of significant regulatory  action within the United States. Domestic implementation of the POPs Convention     As noted above, the United States could implement nearly  all Convention obligations under existing authorities. There  are exceptions, however, where limited additional legislative  authority, through changes to FIFRA and TSCA, will be sought to  ensure the United States' ability to implement provisions of  the Convention. These changes primarily concern the obligations  in Article 3, which concerns measures to eliminate production  and use of listed chemicals, as well as to control their import  and export. In addition, statutory authority to prohibit any  recycling of POPs substances will also be sought, in order to  ensure effective U.S. compliance with paragraph 1(d)(iii) of  Article 6. Other targeted changes may also be sought to ensure  our ability to participate effectively in negotiations  regardingproposed amendments to add chemicals, and to ensure  that the United States is able to ratify such amendments in a timely  manner, if it so chooses. Conclusion     To date, ninety-one states have signed the Convention; one  state (Canada) has already ratified the Convention. Several  states, including many members of the Organization for Economic  Cooperation and Development, are expected to deposit  instruments of ratification, acceptance or approval over the  next year. Early U.S. ratification would provide valuable  momentum to bring the Convention into force and would  demonstrate the continued commitment of the United States to  cooperation with the international community on chemicals  management issues, including at the World Summit on Sustainable  Development in Johannesburg in September 2002. It would also  demonstrate continued U.S. leadership on safe management of  hazardous chemicals, pesticides, and their wastes. Finally, it  would ensure that the United States is a Party when the  Convention enters into force, when many of the critical  decisions relating to its implementation will be made. For  example, only Parties will be able to designate experts to sit  on the Persistent Organic Pollutant Review Committee, which  will play a key role in considering the addition of new  substances to the Convention annexes.     I recommend that the Stockholm Convention on Persistent  Organic Pollutants, with Annexes, be transmitted to the Senate  for its advice and consent as soon as possible, subject to the  understandings previously described.     Respectfully submitted,                                                    Colin L. Powell.


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