LONDON GUIDELINES FOR THE EXCHANGE OF INFORMATION ON CHEMICALS
IN INTERNATIONAL TRADE

Amended 1989

(Click here to download original document
                in WP5.1 or WW6.0)           

(Decision 15/30 of the Governing Council of UNEP of 25 May 1989)

Introduction to the Guidelines

_{1. This set of Guidelines is addressed to Governments with a view to assisting them in the process of increasing chemical safety in all countries through the exchange of information on chemicals in international trade. They have been developed on the basis of common elements and principles derived from relevant existing bilateral, regional and global instruments and national regulations, drawing upon experience already gained through their preparation and implementation.}

_{2. The Guidelines are general in nature and are aimed at enhancing the sound management of chemicals through the exchange of scientific, technical, economic and legal information. Special provisions have been included regarding the exchange of information on banned or severely restricted chemicals in international trade, which call for co-operation between exporting and importing countries in the light of their joint responsibility for the protection of human health and the environment at the global level. To this end, all references in these Guidelines to a Government or Governments shall be deemed to apply equally to regional economic integration organizations for matters falling within their areas of competence.}

_{3. The Guidelines are without prejudice to the provisions of particular systems or procedures included in existing or future national legislation and bilateral, regional and multilateral instruments for the exchange of information on chemicals; rather, they have been prepared with a view to assisting States in the process of developing such arrangements.}

_{4. These Guidelines do not preclude States from instituting broader and more frequent information exchange or other systems involving consultation with importing countries on banned or severely restricted chemicals designed to gain experience with alternative procedures.}

_{5. These Guidelines provide a mechanism for importing countries to formally record and disseminate their decisions regarding the future importation of chemicals which have been banned or severely restricted and outlines the shared responsibilities of importing and exporting countries and exporting industries in ensuring that these decisions are heeded.}

_{6. The importance of technical and financial assistance to enhance decision-making and training in the safe use of chemicals is recognized by the Guidelines.}

_{7. These Guidelines are complementary to existing instruments developed by the United Nations and the World Health Organization and to the International Code of Conduct on the Distribution and Use of Pesticides of the Food and Agriculture Organization of the United Nations, which is the primary guidance for the management of pesticides internationally. These Guidelines should be implemented in a non-duplicative manner for the different classes of chemicals covered by existing instruments.}

_{8. Although the Guidelines have not been prepared specifically to address the situation of developing countries, they nevertheless provide a framework for the establishment of procedures for the effective use of information on chemicals in these countries. Implementation of the Guidelines should thus help them to avoid serious and costly health and environmental problems due to ignorance about the risks associated with the use of chemicals, particularly those that have been banned or severely restricted in other States.}

_{PART I.     GENERAL PROVISIONS}

_{1. Definitions}

_{For the purposes of the Guidelines:}

_{(a) "Chemical" means a chemical substance whether by itself or in a mixture or preparation, whether manufactured or obtained from nature and includes such substances used as industrial chemicals and pesticides;}

_{(b) "Banned chemical" means a chemical which has, for health or environmental reasons, been prohibited for all uses by final governmental regulatory actions;}

_{(c) "Severely restricted chemical" means a chemical for which, for health or environmental reasons, virtually all uses have been prohibited nationally by final government regulatory action, but for which certain specific uses remain authorized;}

_{(d) "International trade" means export or import of chemicals;}

_{(e) "Export" and "import" mean, in their respective connotations, the movement of a chemical from one State to another State, but exclude mere transit operations;}

_{(f) "Management" means the handling, supply transport, storage, treatment, application, or other use of a chemical subsequent to its initial manufacture or formulation;}

_{(g) "Prior informed consent" (PIC) refers to the principle that international shipment of a chemical that is banned or severely restricted in order to protect human health or the environment should not proceed without the agreement, where such agreement exists, or contrary to the decision, of the designated national authority in the importing country;}

_{(h) "Prior informed consent procedure " (PIC procedure) means the procedure for formerly obtaining and disseminating the decisions of importing countries as to whether they wish to receive future shipments of chemicals which have been banned or severely restricted. A specific procedure was established for selecting chemicals for initial implementation of the PIC procedures. These include chemicals which have been previously banned or severely restricted as well as certain pesticide formulations which are acutely toxic. This is explained in annex II.}

_{2. General principles}

_{(a) Both States of export and States of import should protect human health and the environment against potential harm by exchanging information on chemicals in international trade;}

_{(b) In their activities with regard to chemicals, States should act, in so far as is applicable, in accordance with principle 21 of the Declaration of the United Nations Conference on the Human Environment;}

_{(c) States taking measures to regulate chemicals with a view to protecting human, animal or plant life or health, or the environment, should ensure that regulations and standards for this purpose do not create unnecessary obstacles to international trade;}

_{(d) States should ensure that governmental control measures or actions taken with regard to an imported chemical for which information has been received in implementation of the Guidelines are not more restrictive than those applied to the same chemical produced for domestic use or imported from a State other than the one that supplied the information;}

_{(e) States with more advanced systems for the safe management of chemicals should share their experience with those countries in need of improved systems;}

_{(f) Both States of import and States of export should, as appropriate, strengthen their existing infrastructures and institutions in the following way:}

_{(i) Establishing and strengthening legislative and regulatory systems and other mechanisms for improving control and management of chemicals. This may include development of model legislation or regulations, in light of these Guidelines and other relevant guidelines prepared by other organizations;}

_{(ii) Creating national registers of toxic chemicals, including both industrial chemicals and pesticides;}

_{(iii) Preparing and updating manuals, directories and documentation for better utilization of facilities for information collection and dissemination at the country level and to on-line facilities at the regional level.}

_{3. Exemptions}

_{These Guidelines should not apply to:}

_{(a) Pharmaceuticals, including narcotics, drugs and psychotropic substances;}

_{(b) Radioactive materials;}

_{(c) Chemicals imported for the purposes of research or analysis in quantities not likely to affect the environment or human health;}

_{(d) Chemicals imported as personal or household effects, in quantities reasonable for these uses;}

_{(e) Food additives. 1/} 

_{4. Effects on other instruments}

_{(a) States should take the necessary measures with regard to implementation of these Guidelines.}

_{(b) The provisions of these Guidelines do not affect the obligations of States deriving from any relevant international agreement to which they are or may become party.}

_{5. Institutional arrangements}

_{5.1 UNEP and FAO should develop an information exchange system to ensure that designated national authorities of importing and exporting countries have a single contact point for obtaining information and communicating decisions on chemicals subject to the PIC procedure;}

_{5.2 UNEP should share with FAO the operational responsibility for the implementation of the PIC procedure and jointly manage and implement common preparation on PIC guidance documents, mechanisms for information sharing, and creation of data bases;}

_{5.3 UNEP should collaborate with FAO in reviewing the implementation of the PIC procedure, including participation, responses, and violations of importing country decisions;}

_{5.4 For purposes of international communications, each State should designate a national governmental authority (or authorities) competent to perform the administrative functions related to the exchange of information and decisions regarding importation of chemicals included in the PIC procedure;  2/}

_{5.5 The designated national authority should be authorized to communicate, directly or as provided by national law or regulation, with designated national authorities of other States and with international organizations concerned, to exchange information, to make and communicate decisions regarding chemicals included in the PIC procedure and to submit reports at the request of such States or organizations or on its own initiative;}

_{5.6 States should ensure that designated national authorities have sufficient national resources to assume responsibility with regard to implementation of these Guidelines;}

_{5.7 States should as soon as possible make available the name and address of their designated national authority to the International Register of Potentially Toxic Chemicals (IRPTC), as well as subsequent changes;}

_{5.8 A register of designated national authorities should be maintained, regularly updated, and disseminated by IRPTC;}

_{5.9 IRPTC should, in addition:}

_{(a) Co-ordinate the network of designated national authorities;}

_{(b) Develop recommendations on practices and procedures, and such joint programmes and measures as may be required to make the Guidelines effective;}

_{(c) Maintain liaison with other concerned intergovernmental and non-governmental organizations;}

_{(d) Keep under review the implementation of these Guidelines, on the basis of periodic reports from designated national authorities and provide biennial reports on the effectiveness of the Guidelines and suggestions for their improvement.}

_{PART II -     NOTIFICATION AND INFORMATION REGARDING BANNED AND SEVERELY RESTRICTED CHEMICALS AND
                     OPERATION OF THE PIC PROCEDURE}

_{6. Notification of control action}

_{(a) States having taken control action to ban or severely restrict a chemical as defined in these Guidelines should notify IRPTC. IRPTC will disseminate these notifications as provided in these Guidelines;}

_{(b) The purpose of the notification regarding control action is to give competent authorities in other States the opportunity to assess the risks associated with the chemical, and to make timely and informed decisions thereon, taking into account local environmental, public health, economic and administrative conditions, and with regard to existing information on toxicology, safety and regulatory aspects;}

_{(c) The minimum information to be provided for this purpose should be:}

_{(i) The chemical identification/specification of the chemical;}

_{(ii) A summary of the control action taken and of the reasons for it. If the control action bans or restricts certain uses but allows other uses, such information should be included;}

_{(iii) The fact that additional information is available, and the indication of the contact point in the State of export to which a request for further information should be addressed;}

_{(d) To the extent practicable, the designated national authority issuing the notification should provide information concerning alternative measures, such as, for example, integrated pest management procedures, non-chemical alternatives and impact mitigation measures;}

_{(e) Notification of control action should be provided as soon as practicable after the control action is taken.3/  For chemicals banned or severely restricted before the implementation of these Guidelines, an inventory of prior control actions should be provided to IRPTC, unless such information has already been provided and circulated by IRPTC to all designated national authorities.}

_{7. Operation of the PIC procedure}

_{7.1 Determination of participation in the PIC procedure}

_{PIC is a procedure which operates in addition to information exchange and export notification. Those countries which elect to participate in the PIC procedure will have the opportunity to record their decisions regarding future imports of banned or severely restricted chemicals in a formal way.}

_{(a) Countries may participate in the information exchange procedures under these Guidelines without participating in the PIC procedure;}

_{b) All exporting countries are expected to participate in the PIC procedure by respecting the decisions of importing countries;}

_{(c) IRPTC should invite countries to participate in the PIC procedure with respect to imports. Designated national authorities should reply indicating whether their country will participate. If there is no reply a follow-up letter should be sent 60 days after the first invitation. If there is no response, IRPTC should take additional steps to obtain a decision. If after that, there is still no response then it will be assumed that the country does not wish to participate in the procedure;}

_{(d) A country may designate one competent body to handle both industrial chemicals and pesticides or may designate separate competent bodies for each;}

_{(e) A country may elect at any time to participate or not participate in the PIC procedure by communicating its decision to IRPTC;}

_{(f) IRPTC should make available on request a list of countries who have elected to participate, countries which have elected not to participate and countries which did not respond.}

_{7.2 Identification of chemicals for inclusion in the PIC procedure}

_{(a) As provided in paragraph 9, IRPTC will notify each participating country of each chemical that is the subject of a notification of a final government control action and that meets the definitions as being banned or severely restricted for environmental or human health reasons for a decision under its conditions of use as to whether that country wishes to permit use and importation of the chemical. An informal consultative process may be used to assist IRPTC in determining whether the control action meets the definitions of the Guidelines;}

_{(b) As provided in paragraph 9, IRPTC should send qualifying control actions, along with PIC decision guidance documents, to the appropriate designated national authority or authorities in each participating country for decision. 4/}

_{7.3 Response to notification of control action for chemicals identified for inclusion in the PIC procedure}

_{(a) The designated national authority in each participating importing country shall make an initial response to IRPTC within 90 days. A response may take either of two forms:}

_{(i) A final decision to permit use and importation, to prohibit use and importation or to permit importation only under specified stated conditions;}

_{(ii) An interim response which may be:}

_{a. A statement that importation is under active review but that final decision has not yet been reached;}

_{b. A request for further information; and/or}

_{c. A request for assistance in evaluating the chemical.}

_{An interim response may also contain a statement permitting importation with or without stated specified conditions or prohibiting importation during the interim period until a final decision is made;}

_{(b) The designated national authority shall use the form provided to make such response;  5/}

_{(c) IRPTC should send reminders to countries as necessary to encourage a response and should facilitate the provision of technical assistance where requested;}

_{(d) If a participating importing country does not make a response or responds with an interim decision that does not address importation, the status quo with respect to importation of the chemical should continue. This means that the chemical should not be exported without the explicit consent of the importing country, unless it is a pesticide which is registered in the importing country or is a chemical the use or importation of which has been allowed by other governmental action of the importing country;}

_{(e) If a country takes a unilateral action which affects the status quo with respect to a chemical, it must so notify IRPTC to make IRPTC aware of the decision. Such a unilateral action will be interpreted as superseding any previous decision it has made with respect to the chemical;}

_{(f) When an importing country takes a final or interim decision which affects the status quo, it should also communicate this decision to the national competent import control actions under its authority.}

_{7.4 Dissemination of information}

_{(a) IRPTC will inform designated national authorities of decisions taken by participating importing countries in a timely fashion and should also make these available to industry and other interested parties on request, preferably through a computer data base. This information should also be included in the regular updates of the United Nations Consolidated List of Products whose Consumption and/or Sale have been Banned, Withdrawn or Severely Restricted by Governments. Semi-annually, IRPTC will notify all Governments in writing of the status of the decisions by importing countries;}

_{(b) Governments of exporting countries shall, upon receipt of importing countries' decisions, transmit them to their industry.}

_{8. Information regarding exports}

_{(a) If an export of a chemical banned or severely restricted in the State of export occurs, the State of export should ensure that necessary steps are taken to provide the designated national authority of the State of import with relevant information;  6/}

_{(b) The purpose of information regarding exports is to remind the State of import of the original notification regarding control action and to alert it to the fact that an export will occur or is occurring;}

_{(c) The minimum information to be provided for this purpose should be:}

_{(i) A copy of, or reference to, the information provided at the time of notification of control action;}

_{(ii) Indication that an export of the chemical concerned will occur or is occurring;}

_{(iii) An estimate of the quantity to be exported annually as well as any shipment-specific information that might be available;}

_{(d) States should endeavour to ensure that, to the extent possible, information regarding exports provided or received in implementation of these guidelines is forwarded to the State of final destination and to IRPTC;}

_{(e) Provision of information regarding exports should take place when the first export following the control action occurs, and should recur periodically or in the case of any significant development of new information or condition surrounding the control action. It is the intention that, in so far as possible, the information should be provided prior to export. Where the chemical has been banned or severely restricted before the adoption of these Guidelines, the "first export following the control action" should be considered to be the first export after adoption of these Guidelines.}

_{9. Channels of notification and information}

_{(a) Notifications of control actions should be addressed to IRPTC for transmission to designated national authorities;}

_{(b) Participating importing countries should send their response on the prescribed forms to IRPTC for appropriate dissemination;}

_{(c) PIC decision guidance documents will be transmitted by IRPTC to designated national authorities in participating importing countries for their decision and response and to designated national authorities in other countries for their information;}

_{(d) Information on exports should be addressed to the national authority designated for this purpose in the State of import.}

_{10. Feedback}

_{Designated national authorities of States of import should provide to IRPTC, for the purpose of periodic review pursuant to paragraph 5.9 (d), a summary of action taken as a result of notifications and information received pursuant to paragraphs 6, 7.3 and 8 and information on any difficulties which they have experienced in using these Guidelines.}

_{11. Confidential data}

_{(a) States undertaking information exchange in implementation of these Guidelines should establish internal procedures for the receipt, handling and protection of confidential and proprietary information received from other States;}

_{(b) States receiving notifications and information regarding exports should be responsible for the protection of proprietary rights and the confidentiality of data received under these Guidelines when claimed by the State supplying the information.}

_{12. Functions of designated national authorities}

_{(a) Control action. It should be the function of designated national authorities, with regard to control action taken by States to ban or severely restrict a chemical:}

_{(i) To provide notification to IRPTC, in accordance with these Guidelines, that such control action has been taken;}

_{(ii) To receive from IRPTC notification that such action has been taken in other States, and to ensure its prompt transmittal to all other national authorities concerned;}

_{(iii) To receive from the United Nations the regular updates of the United Nations Consolidated List of Products Whose Consumption and/or Sale have been Banned, Withdrawn or Severely Restricted by Governments;}

_{(v) To respond to notifications of control action in accordance with paragraph 7.3 of these Guidelines, including response to the lists to be circulated in accordance with paragraph 7.2 and annex II;}

_{(b) Imports. It should be the function of designated national authorities, with regard to imports of banned or severely restricted chemicals:} 

_{i) To receive from States of export information on exports, and to ensure the prompt transmittal of such information to all other authorities concerned in the State of import;}

_{ii) To transmit to States of export requests for further information as required;}

_{(iii) To provide feedback information to IRPTC on action taken as a result of notifications and information received and on any difficulties experienced in the exchange of data with States of exports;}

_{(iv) To advise and assist import control authorities so that they can take appropriate import control actions under their authority;}

_{(v) To strengthen national decision-making procedures and import control mechanisms;}

_{(vi) To ensure that decisions apply uniformly to all sources of import and to domestic production of chemicals for domestic use;}

_{(vii) To encourage that chemicals subject to PIC be purchased only from sources in exporting countries which are participants in that procedure;}

_{(c) Exports. It should be the function of designated national authorities, with regard to exports of banned or severely restricted chemicals:}

_{(i) To ensure the issuance or transmittal of information on exports;}

_{(ii) To respond to requests for information from other States, especially as regards sources of precautionary information on safe use and handling of the chemicals concerned;}

_{(iii) To communicate PIC decisions to their export industry;}

_{(iv) To implement appropriate procedures, within their authority, designed to ensure that exports do not occur contrary to the PIC decisions of participating importing countries;}

_{(d) Other functions. Designated national authorities should also consider the need:}

_{(i) To provide information regarding applicable national regulations for the management of banned or severely restricted chemicals;}

_{(ii) To ensure the provision of appropriate precautionary information to persons using or handling the chemicals concerned;}

_{(iii) To keep records of notifications and information received, issued and transmitted which could be open for public inspection in accordance with national law, except for information classified as confidential or proprietary;}

_{(iv) To keep records of imports and exports of banned and severely restricted chemicals.}

_{PART III. - GENERAL INFORMATION EXCHANGE AND PROVISION OF TECHNICAL ASSISTANCE REGARDING CHEMICALS} 

_{13. Information, advice and assistance}

_{(a) For the protection of human health and the environment, States should facilitate:}

_{(i) The exchange of scientific information (including toxicological and safety data) and technical, economic and legal information concerning the management of chemicals, particularly through designated national governmental authorities and through intergovernmental organizations as appropriate;}

_{(ii) The provision upon request of technical advice and assistance concerning the management of chemicals to other States, on a bilateral or multilateral basis, taking into account the special needs of developing countries.}

_{b) With regard to the export of chemicals, States of export should ensure that, where appropriate, information, advice and assistance is provided to States of import concerned regarding the sound management of such chemicals, including appropriate precautionary information;}

_{(c) With regard to the use of imported chemicals, States of import should, on the basis of notification and information provided by States of export, take the necessary measures to ensure that users are provided with information, advice and assistance for the sound management of such chemicals, including appropriate precautionary information;}

_{(d) As far as practicable, precautionary information should be provided in the principal language or languages of the State of import and of the area of intended use, and should be accompanied by suitable pictorial and/or tactile aids and labels.}

_{14. Classification, packaging and labelling}

_{(a) States should recognize that classification, packaging and labelling are important elements in information exchange on chemicals in international trade, and that it is desirable that chemicals exported from their territories are subject to no less stringent requirements of classification, packaging and labelling than comparable products destined for use in the State of export;}

_{(b) In the development and implementation of existing and future internationally harmonized procedures for the classification, packaging and labelling of chemicals in international trade, States should take into account the special circumstances surrounding the management of chemicals in developing countries.}

_{(c) In the absence of other standards in the State of import, States should ensure that the classification, packaging and labelling of chemicals exported from their territories conform to recognized and, where appropriate, internationally harmonized procedures and practices for ensuring the protection of human health and the environment during use of these chemicals.} 

_{15. Technical assistance}

_{(a) IRPTC should encourage funding agencies, such as the development banks and the United Nations Development Programme, and bilateral donors to provide training, technical assistance and funding for institutional strengthening and should further encourage other United Nations organizations to strengthen their activities related to safe management of chemicals;}

_{(b) States with more advanced chemical regulatory programmes should provide technical assistance to other countries in developing infrastructure and capacity to manage chemicals within their countries, including implementation of the provisions of these Guidelines. Developing countries with more advanced systems should be particularly encouraged to provide technical assistance to other developing countries with no, or less advanced, systems of chemical management. To the extent possible, donor countries and institutions and recipient countries should inform IRPTC of all such technical assistance activities;}

_{(c) Special attention should be devoted by technical assistance and funding authorities to those countries without any regulatory procedures on chemicals in developing a regime for their control;}

_{(d) Essential elements of technical assistance needed by developing countries for the management of chemicals include:}

_{(i) Strengthening existing infrastructure and institutions;}

_{(ii) Provision for the interchange of experts, including short missions, from developed countries to developing countries and vice versa and in particular from one developing country to another for the purpose of:}

_{a. Sharing each other's experience and exchanging ideas;}

_{b. Advising on analysis of information on chemical risks and benefits, conducting environmental impact assessment, and disposing of unusable products safely;}

_{c. Sharing information on new products and alternatives;}

_{d. Ascertaining research and development requirements for local pesticide efficacy studies and development of alternatives;}

_{e. Assisting one another in dealing with practical difficulties in implementing these Guidelines;}

_{(iii) Training to include:}

_{a. Technical workshops on a local, regional and international level;}

_{b. Awareness campaigns on the safe management of chemicals for industrial and agricultural workers, customs officials and doctors;}

_{c. Opportunities for decision makers in developing countries to study systems in countries which have been successfully implementing these Guidelines.}

_FOOTNOTES

_{1/    It is open to States to apply these Guidelines to pharmaceuticals and food additives if they wish to do so.}

_{2/    States may designate more than one national authority for different purposes, such as for information exchange and making PIC determinations, or for industrial chemicals and pesticides.  Where more than one national authority is designated, the term "designated National Authority" in the text of these Guidelines should be interpreted as referring to the authority responsible for the actions being discussed.}

_{3/    The form attached as annex I should be used for that purpose.}

_{4/    The content of a PIC decision guidance document is outlines in annex III.}

_{5/    The content of a form for importing country response is outlined in annex IV.}

_{6/    The form attached as annex V should be used for that purpose.}