1、Guidelines on the Conventionon the Prevention of MarinePollution by Dumping ofWastes and Other Matter, 19722006 EDITIONELECTRONIC EDITIONBINTERNATIONALMARITIMEORGANIZATIONLondon, 2006Publishedin2006bytheINTERNATIONALMARITIMEORGANIZATION4AlbertEmbankment,LondonSE17SRPrintedandboundintheUnitedKingdomb
2、yWilliamClowesLtd,Beccles,Suffolk24681097531ISBN978-92-801-5150-3IMOPUBLICATIONSalesnumber:I531ECopyright # InternationalMaritimeOrganization2006Allrightsreserved.Nopartofthispublicationmaybereproduced,storedinaretrievalsystemortransmittedinanyformorbyanymeanswithoutpriorpermissioninwritingfromtheIn
3、ternationalMaritimeOrganization.Printedition(ISBN978-92-801-5150-3)Publishedin2006bytheINTERNATIONALMARITIMEORGANIZATION4AlbertEmbankment,LondonSE17SRElectronicedition,2007IMOPUBLICATIONSalesnumber:E531ECopyright # InternationalMaritimeOrganization2006All rights reserved.No part of this publication
4、may be reproduced,stored in a retrieval system or transmitted in any formor by any means without prior permission in writingfrom the International Maritime Organization.ForewordConvention on the Prevention of Marine Pollutionby Dumping of Wastes and Other Matter, 1972Guidelines adopted under the aus
5、picesof the London Convention 1972Since 1997, the Consultative Meetings of the London Convention and itsProtocol, adopted twelve guidance documents, as follows:.1 one to assist in the application of the de minimis concept under theLondon Convention 1972;.2 one on the assessment of wastes or other ma
6、tter that may beconsidered for dumping (the Generic Guidelines);.3 eight comprehensive Specific Guidelines for all wastes exceptedfrom an overall prohibition on dumping;.4 one on the sampling and analysis of dredged material intended fordisposal at sea; and.5 one on the national implementation of th
7、e London Protocol.It should be noted that the Guidelines for the sampling and analysis of dredgedmaterial intended for disposal at sea, was published by IMO as a separatepublication in 2005 (Sales number: 1537E, in English only). It is nowavailable in French and Spanish.The present publication provi
8、des the reader with a compilation of the elevenremaining guidance documents.iiiContentsPageIntroduction. 1Guidelinesfortheassessmentofwastesorothermatterthatmaybeconsideredfordumping. 5SpecificGuidelinesforassessmentofdredgedmaterial.19SpecificGuidelinesforassessmentofsewagesludge.35SpecificGuidelin
9、esforassessmentoffishwaste,ormaterialresultingfromindustrialfishprocessingoperations49SpecificGuidelinesforassessmentofvessels63SpecificGuidelinesforassessmentofplatformsorotherman-madestructuresatsea79SpecificGuidelinesforassessmentofinert,inorganicgeologicalmaterial95Eligibilitycriteriaforinert,in
10、organicgeologicalmaterial107SpecificGuidelinesforassessmentoforganicmaterialofnaturalorigin113SpecificGuidelinesforassessmentofbulkyitems.127Guidelinesfortheapplicationofthedeminimisconcept139Guidanceonnationalimplementationofthe1996ProtocoltotheLondonConvention1972155v1 INTRODUCTIONBackground1.1 Th
11、e Convention on the Prevention of Marine Pollution by Dumpingof Wastes and Other Matter, 1972(London Convention 1972), is one of thefirst global conventions to protect the marine environment from humanactivities and has been in force since 1975. Its objective is to promote theeffective control of al
12、l sources of marine pollution and to take all practicablesteps to prevent pollution of the sea by dumping of wastes and other matter.Currently, 81 States are Parties to this Convention.1.2 The main achievements conclude that unregulated dumping andincineration activities developed in the late 1960s
13、and early 1970s have beenhalted. Parties agreed to control dumping by implementing regulatoryprogrammes to assess the need for, and the potential impact of, dumping.They eliminated dumping of certain types of waste and gradually made thisregime more restrictive by promoting sound waste management an
14、d pollutionprevention.1.3 In 1996, the London Protocol was agreed upon in order tomodernize the Convention and, eventually, replace it. With a currentmembership of 30 Parties, the Protocol entered into force on 26 March 2006.Under the Protocol all dumping is prohibited, except for possibly acceptabl
15、ewastes on the so-called reverse list, set out in annex 1 of the Protocol. Thereverse list includes materials such as:.Dredged material;.Sewage sludge;.Fish waste, or material resulting from industrial fish processingoperations;.Vessels and platforms or other man-made structures at sea;.Inert, inorg
16、anic geological material;.Organic material of natural origin; and,.Bulky items primarily comprising iron, steel, concrete and similarharmless materials, for which the concern is physical impact, andlimited to those circumstances where such wastes are generated atlocations, such as small islands with
17、 isolated communities, havingno practicable access to disposal options other than dumping.12 GUIDELINES2.1 The guidance documents set out in this publication include:.1 Guidelines for the assessment of wastes or other matter that may beconsidered for dumping.The Scientific Group had developed these
18、so-called GenericGuidelines to replace the Waste Assessment Framework that hadbeen amended by the 17th Consultative Meeting (LC 17/14,paragraph 4.11; LC/SG 18/2), to assist in the implementation ofthe London Convention 1972 and in the preparation of the entryinto force of the London Protocol. The 19
19、th ConsultativeMeeting adopted these Generic Guidelines in 1997 (LC 19/10,annex 2).2 Specific Guidelines for assessment of:.1 Dredged material;.2 Sewage sludge;.3 Fish waste, or material resulting from industrial fish processingoperations;.4 Vessels;.5 Platforms or other man-made structures at sea;.
20、6 Inert, inorganic geological material;.7 Organic material of natural origin (amended); and.8 Bulky items primarily comprising iron, steel, concrete andsimilarly unharmful materials for which the concern isphysical impact, and limited to those circumstances wheresuch wastes are generated at location
21、s, such as small islandswith isolated communities, having no practicable access todisposal options other than dumping.The Specific Guidelines contain step-by-step procedures to evaluatewastes being considered for sea disposal, including waste preventionaudits, assessment of alternatives, waste chara
22、cterization, assessmentof potential adverse environmental effects of dumping, disposal siteselection, monitoring and licensing procedures.The 22nd Consultative Meeting adopted these Specific Guideli-nes in 2000, which were based on the Generic Guidelines listedunder point 2.1.1 above. Final editing
23、of these Specific Guidelineswas subsequently carried out by the Scientific Group in 2001 (LC/SG 24/11, annexes 3 to 10). It should be noted that theseGuidelines on London Convention, 19722Guidelines apply both to the London Convention and Protocolensuring that the technical standards are consistent.
24、It should furthermore be noted that the Consultative Meetingadopted the eight guidelines as living documents and agreed thatthey be kept under review and updated in five years, or earlier aswarranted in light of new technical developments and the results ofscientific research. The Contracting Partie
25、s have been invited toimplement the Guidelines and report any experience gained in thisregard as a vital input for future reviews.The 28th Consultative Meeting also adopted the Eligibility criteriafor inert, inorganic geological material that provides guidance fordetermining whether candidate materi
26、als can initially be consideredas inert, inorganic geological material eligible for further conside-ration for dumping under the London Convention or LondonProtocol. If the proposed materials are found eligible forconsideration under this category, this does not mean they shouldnecessarily receive a
27、 permit for dumping at sea. The decision onwhether to issue sucha permit can only be made after carefullytaking into account the Specific Guidelines for assessment of inert,inorganic geological material.3 Guidelines for the Application of the de minimis concept under theLondon Convention 1972.The 21
28、st Consultative Meeting adopted these Guidelines in 1999(LC 21/13, annex 6) and noted that they had been developed on thebasis of existing scientific knowledge of radiation protectionconsiderations and of current technology. It was further noted thatscientific work and technical development was proc
29、eeding andconsequently the Guidelines should be kept under review as theresults of further research and investigation became available.These Guidelines were subsequently amended in 2003 by the 25thConsultative Meeting following consideration of an IAEA report onhow to conduct specific radiological a
30、ssessments under Step 6 of the1999 Guidelines as guidance for Contracting Parties to protecthuman health from the effects of ionizing radiation.4 Guidance on the National Implementation of the 1996 Protocolto the London Convention 1972.The 23rd Consultative Meeting adopted this guidance in 2001 (LC2
31、3/16, annex 2).Guidelines on London Convention, 19723Guidelines for the assessment of wastesor other matter that may be consideredfor dumping1 INTRODUCTION1.1 The Guidelines for the assessment of wastes or other matter that may beconsidered for dumping are intended for use by national authoritiesres
32、ponsible for regulating dumping of wastes and embody a mechanism toguide national authorities in evaluating applications for dumping of wastes in amanner consistent with the provisions of the London Convention 1972 orthe 1996 Protocol thereto. Annex 2 to the 1996 Protocol places emphasis onprogressi
33、vely reducing the need to use the sea for dumping of wastes.Furthermore, it recognizes that avoidance of pollution demands rigorouscontrols on the emission and dispersion of contaminating substances and theuse of scientifically-based procedures for selecting appropriate options forwaste disposal. Wh
34、en applying these Guidelines uncertainties in relation toassessments of impacts on the marine environment will need to be consideredand a precautionary approach applied in addressing these uncertainties. Theyshould be applied with a view that acceptance of dumping under certaincircumstances does not
35、 remove the obligation to make further attempts toreduce the necessity for dumping.1.2 The 1996 Protocol to the London Convention 1972 follows anapproach under which dumping of wastes or other matter is prohibited exceptfor those materials specifically enumerated in Annex 1, and in the context oftha
36、t Protocol, these Guidelines would apply to the materials listed in thatAnnex. The London Convention 1972 prohibits the dumping of certainwastes or other matter specified therein and in the context of that Conventionthese Guidelines meet the requirements of its Annexes for wastes notprohibited for d
37、umping at sea. When applying these Guidelines under theLondon Convention 1972, they should not be viewed as a tool for thereconsideration of dumping of wastes or other matter in contravention ofAnnex I to the London Convention 1972.1.3 The schematic shown in figure 1 provides a clear indication of t
38、he stagesin the application of the Guidelines where important decisions should bemade and is not designed as a conventional decision tree. In general,national authorities should use the schematic in an iterative manner ensuringthat all steps receive consideration before a decision is made to issue a
39、 permit.5Waste CharacterizationConsiderWaste Prevention Auditand Waste Managment OptionsArethere practicableopportunities to re-use,recycle or treat thewaste?Identify and characterizeDumping SiteDetermine potentialimpacts and prepareImpact Hypothes(i/e)sImplement project andmonitor complianceField M
40、onitoringand AssessmentIs materialacceptable?Canmaterial be madeacceptable?Issue Permit?rejectrejectyesyesyesyesnono nonorejectAction ListFigure 1Guidelines on London Convention, 19726Figure 1 illustrates the relationship between the operational components ofAnnex 2 of the 1996 Protocol and contains
41、 the following elements:.1 Waste characterization (chapter 4) (Chemical, physical andbiological properties).2 Waste prevention audit and Waste management options (chapter 2and 3).3 Action list (chapter 5).4 Identify and characterize dump-site (chapter 6) (Dump-siteselection).5 Determine potential im
42、pacts and prepare impact hypothesis(es)(chapter 7) (Assessment of potential effects).6 Issue permit (chapter 9) (Permit and permit conditions).7 Implement project and monitor compliance (chapter 8) (Mon-itoring).8 Field monitoring and assessment (chapter 8) (Monitoring).1.4 These Generic Guidelines
43、are complemented by specific dredgedmaterial guidance (Dredged material assessment framework, resolutionLC.52 (18) and by further specific guidance developed for each wastecategory listed in Annex 1 to the 1996 Protocol to the London Convention1972 and which are set out in this publication.2 WASTE P
44、REVENTION AUDIT2.1 The initial stages in assessing alternatives to dumping should, asappropriate, include an evaluation of:.1 types, amounts and relative hazards of wastes generated;.2 details of the production process and the sources of wastes withinthat process; and.3 feasibility of the following
45、waste reduction/prevention techniques:.1 product reformulation;.2 clean production technologies;.3 process modification;.4 input substitution; and.5 on-site, closed-loop recycling.2.2 In general terms, if the required audit reveals that opportunities exist forwaste prevention at source, an applicant
46、 is expected to formulate andimplement a waste prevention strategy in collaboration with relevant local andGeneric Guidelines for assessment of wastes7national agencies which includes specific waste reduction targets andprovision for further waste prevention audits to ensure that these targets arebe
47、ing met. Permit issuance or renewal decisions shall assure compliance withany resulting waste reduction and prevention requirements.2.3 For dredged material and sewage sludge, the goal of waste managementshould be to identify and control the sources of contamination. This shouldbe achieved through i
48、mplementation of waste prevention strategies andrequires collaboration between the local and national agencies involved withthe control of point and non-point sources of pollution. Until this objective ismet, the problems of contaminated dredged material may be addressed byusing disposal management
49、techniques at sea or on land.3 CONSIDERATION OF WASTE MANAGEMENTOPTIONS3.1 Applications to dump wastes or other matter shall demonstrate thatappropriate consideration has been given to the following hierarchy of wastemanagement options, which implies an order of increasing environmentalimpact:.1 re-use;.2 off-site recycling;.3 destruction of hazardous constituents;.4 treatment to reduce or remove the hazardous constituents; and.5 disposal on land, into air and into water.3.2 A permit to dump wastes or other matter shall be refused if
