WORLD TRADE
ORGANIZATIONWT/CTE/W/160/Rev.2
TN/TE/S/5
25 April 2003
(03-2236)
Committee on Trade and Environment
Committee on Trade and Environment Special Session
MATRIX ON TRADE MEASURES PURSUANT TO SELECTED
MULTILATERAL ENVIRONMENTAL AGREEMENTS
Note by the Secretariat
This document has been prepared under the Secretariat's
own responsibility and without prejudice to the positions of
Members and to their rights and obligations under the WTO.
1. This update of the Matrix on trade-related measures has been prepared in response to a
request by Members in the Committee on Trade and Environment in Special Session at its meeting on
12-13 February 2003.  It provides information on the same 14 Multilateral Environmental Agreements(MEAs) that were covered in the previous version of the Matrix.
1  The Secretariat has prepared this
Matrix in cooperation with the Secretariats of the relevant MEAs.2
2. The Matrix is organized into six Sections and two Annexes.
3. Section I  describes briefly each MEA, providing information on the following:
1) Website;
2) Objective of the MEA;
3) Date of Signature/Adoption;
4) Entry into force (Date/Provision);
5) Number of parties to the MEA;
6) Number of WTO Members party to the MEA;
7) Openness of Membership;
8) Decision-Making Bodies; and
9) Provisions relating to Amendments and Protocols.
                                                     
1 WT/CTE/W/160/Rev.1, 14 June 2001.
2 The Secretariats of the respective MEAs were asked to confirm and complete the information
contained in the Matrix.  However, the WTO Secretariat ta kes full responsibility for any errors or omissions that
this document may contain.WT/CTE/W/160/Rev.2, TN/TE/S/5
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4. Section II  contains information on the trade-related measures of each MEA, notably on
requirements or restrictions on imported or exported products, or the process of their importation or
exportation.  Information under this section is divided, where applicable, in two sub-sections:
1) Provisions of the MEA, and
2) Decisions of the Decision-Making Bodies.
5. Section III  provides information on supportive measures, such as technology transfer, and
financial or technical assistance provided under the provisions of the MEA.
6. Section IV  explains the mechanism set out in the MEA for non-compliance of a party.
7. Section V  lists the dispute settlement mechanisms in the MEA and indicates whether there
have been any disputes to date.
8. Section VI  sets out any provisions relating to non-parties to the MEA.
9. Annex 1  gives a comparative table of the membership in the WTO and in MEAs.
10. Annex 2  lists MEAs which contain potential trade measures.
11. Under each section, MEAs are listed chronologically, by date of signature/adoption.  In the
tables, relevant provisions of the MEAs are provided, and additional information and/or explanations
are indicated by an arrow.
12. The Secretariat will continue to update this Matrix periodically in light of further
developments, and welcomes comments and suggestions from Members and MEA secretariats.WT/CTE/W/160/Rev.2, TN/TE/S/5
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TABLE OF CONTENTS
GLOSSARY OF  TERMS.............................................................................................................. ..........................................5
I. BRIEF DESCRIPTION OF THE MEAS ................................................................................................ .....................6
A. I NTERNATIONAL PLANT PROTECTION CONVENTION ........................................................................................................6
B. I NTERNATIONAL CONVENTION FOR THE CONSERVATION OF ATLANTIC TUNAS ................................................................9
C. C ONVENTION ON INTERNATIONAL TRADE IN ENDANGERED SPECIES OF WILD FAUNA AND FLORA .................................10
D. C ONVENTION ON THE CONSERVATION OF ANTARCTIC MARINE LIVING RESOURCES .......................................................13
E. M ONTREAL PROTOCOL ON SUBSTANCES THAT DEPLETE THE OZONE LAYER .................................................................16
F. B ASEL CONVENTION ON THE CONTROL OF TRANSBOUNDARY MOVEMENTS OF HAZARDOUS WASTES AND THEIR
DISPOSAL ............................................................................................................................... ......................................20
G. C ONVENTION ON BIOLOGICAL DIVERSITY .....................................................................................................................24
H. C ARTAGENA PROTOCOL ON BIOSAFETY ........................................................................................................................26
I. U NITED NATIONS FRAMEWORK CONVENTION ON CLIMATE CHANGE .............................................................................28
J. K YOTO PROTOCOL ............................................................................................................................... .........................30
K. I NTERNATIONAL TROPICAL TIMBER AGREEMENT ..........................................................................................................31
L. UN F ISH STOCKS AGREEMENT ............................................................................................................................... ......35
M. R OTTERDAM CONVENTION ON THE PRIOR INFORMED CONSENT PROCEDURE FOR CERTAIN HAZARDOUS CHEMICALS AND
PESTICIDES IN INTERNATIONAL TRADE ..........................................................................................................................37
N. S TOCKHOLM CONVENTION ON PERSISTENT ORGANIC POLLUTANTS ...............................................................................39
II. TRADE-RELATED  MEAS URES...................................................................................................... .........................41
A. I NTERNATIONAL PLANT PROTECTION CONVENTION ......................................................................................................41
B. I NTERNATIONAL CONVENTION FOR THE CONSERVATION OF ATLANTIC TUNAS ..............................................................44
1. Resolutions.................................................................................................................. ...........................................44
2. Recomme ndati ons .............................................................................................................. ....................................46
C. C ONVENTION ON INTERNATIONAL TRADE IN ENDANGERED SPECIES OF WILD FAUNA AND FLORA .................................49
1. Provisions of the Convention ................................................................................................. ................................49
2. Resolutions and Decisions of the Conference of the Parties ................................................................... ...............52
3. Information on quota systems within CITES .................................................................................... ......................53
D. C ONVENTION ON THE CONSERVATION OF ANTARCTIC MARINE LIVING RESOURCES .......................................................55
E. M ONTREAL PROTOCOL ON SUBSTANCES THAT DEPLETE THE OZONE LAYER .................................................................56
1. Provisions of  the Protocol................................................................................................... ...................................56
2. Decisions of the Mee ting of the Parties...................................................................................... ............................59
F. B ASEL CONVENTION ON THE CONTROL OF TRANSBOUNDARY MOVEMENTS OF HAZARDOUS WASTES AND THEIR
DISPOSAL ............................................................................................................................... ..............................................60
1. Provisions of the Convention ................................................................................................. ................................60
2. Decisions of the Conference of Parties ....................................................................................... ...........................63
G. C ONVENTION ON BIOLOGICAL DIVERSITY .....................................................................................................................64
1. Provisions of the Convention ................................................................................................. ................................64
2. Decisions of the Conference of the Parties................................................................................... ..........................67
H. C ARTAGENA PROTOCOL ON BIOSAFETY ........................................................................................................................73
I. U NITED NATIONS FRAMEWORK CONVENTION ON CLIMATE CHANGE .............................................................................78
J. K YOTO PROTOCOL ............................................................................................................................... .........................78
K. I NTERNATIONAL TROPICAL TIMBER AGREEMENT ..........................................................................................................79
1. Provisions of the ITTA....................................................................................................... .....................................79
2. Decisions and Recommendations................................................................................................ ...........................80
L. UN FISH STOCKS AGREEMENT ............................................................................................................................... .......80
M. R OTTERDAM CONVENTION ON THE PRIOR INFORMED CONSENT PROCEDURE FOR CERTAIN HAZARDOUS CHEMICALS AND
PESTICIDES IN INTERNATIONAL TRADE ..........................................................................................................................81
N. S TOCKHOLM CONVENTION ON PERSISTENT ORGANIC POLLUTANTS ...............................................................................85
III. SUPPORTIVE MEASURE S ........................................................................................................ ...........................87
1. IPPC......................................................................................................................... .....................................................87
2. ICCAT ........................................................................................................................ ..................................................87
3. CITES ........................................................................................................................ ...................................................87
4. CCAMLR ....................................................................................................................... ..............................................88
5. Montreal Protocol ............................................................................................................ .............................................88
6. Basel Convention............................................................................................................. .............................................88WT/CTE/W/160/Rev.2, TN/TE/S/5
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7. CBD.......................................................................................................................... ....................................................89
8. Cartagena Protocol........................................................................................................... .............................................89
9. UNFCCC ....................................................................................................................... ...............................................90
10. Kyoto Protocol.............................................................................................................. ................................................91
11. ITTA........................................................................................................................ .....................................................91
12. UN Fish Stocks .............................................................................................................. ...............................................91
13. Rotterdam Convention ........................................................................................................ ..........................................91
14. Stockholm Convention........................................................................................................ ..........................................91
IV. NON-COMPLI ANCE MECH ANISM.................................................................................................... ................93
1. IPPC......................................................................................................................... .....................................................93
2. ICCAT ........................................................................................................................ ..................................................93
3. CITES ........................................................................................................................ ...................................................93
4. CCAMLR ....................................................................................................................... ..............................................96
5. Montreal Protocol ............................................................................................................ .............................................98
6. Basel Convention............................................................................................................. .............................................98
7. CBD.......................................................................................................................... ....................................................98
8. Cartagena Protocol........................................................................................................... .............................................98
9. UNFCCC ....................................................................................................................... ...............................................99
10. Kyoto Protocol.............................................................................................................. ................................................99
11. ITTA........................................................................................................................ .....................................................99
12. UN Fish Stocks .............................................................................................................. .............................................100
13. Rotterdam Convention ........................................................................................................ ........................................101
14. Stockholm Convention........................................................................................................ ........................................101
V. DISPUTES..................................................................................................................... ..............................................102
1. IPPC......................................................................................................................... ...................................................102
2. ICCAT ........................................................................................................................ ................................................103
3. CITES ........................................................................................................................ .................................................103
4. CCAMLR ....................................................................................................................... ............................................103
5. Montreal Protocol ............................................................................................................ ...........................................103
6. Basel Convention............................................................................................................. ...........................................104
7. CBD.......................................................................................................................... ..................................................104
8. Cartagena Protocol........................................................................................................... ...........................................105
9. UNFCCC ....................................................................................................................... .............................................105
10. Kyoto Protocol.............................................................................................................. ..............................................105
11. ITTA........................................................................................................................ ...................................................105
12. UN Fish Stocks .............................................................................................................. .............................................105
13. Rotterdam Convention ........................................................................................................ ........................................107
14. Stockholm Convention........................................................................................................ ........................................107
VI. PROVISIONS FOR NON-PARTIES.................................................................................................. ..................109
1. IPPC......................................................................................................................... ...................................................109
2. ICCAT ........................................................................................................................ ................................................109
3. CITES ........................................................................................................................ .................................................110
4. CCAMLR ....................................................................................................................... ............................................111
5. Montreal Protocol ............................................................................................................ ...........................................111
6. Basel Convention............................................................................................................. ...........................................111
7. CBD.......................................................................................................................... ..................................................112
8. Cartagena Protocol........................................................................................................... ...........................................112
9. UNFCCC ....................................................................................................................... .............................................112
10. Kyoto Protocol.............................................................................................................. ..............................................112
11. ITTA........................................................................................................................ ...................................................112
12. UN Fish Stocks .............................................................................................................. .............................................112
13. Rotterdam Convention ........................................................................................................ ........................................113
14. Stockholm Convention........................................................................................................ ........................................114
ANNEX 1 – MEMBERSHIP IN WTO AND MEAS – COMPARAT IVE TABL E ........................................................115
ANNEX 2 – LIST OF MEAS CONTAINI NG POTENTIAL T RADE MEAS URES .....................................................127WT/CTE/W/160/Rev.2, TN/TE/S/5
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GLOSSARY OF TERMS
CCAMLR Convention on the Conservation of Antarctic Marine Living Resources
CBD Convention on Biological DiversityCDM Clean Development Mechanism
CFCs Chlorofluorocarbons
CITES Convention on the International Trade in Endangered Species of Wild Fauna and FloraCOP Conference of the PartiesEEZ Exclusive Economic ZoneGEF Global Environment FacilityGHGs Greenhouse gases
HCFCs Hydrochlorofluorocarbons
ICCAT International Commission for the Conservation of Atlantic TunasICJ International Court of JusticeITLOS International Tribunal of the Law of the SeaIPPC International Plant Protection ConventionITTA/ITTO International Tropical Timber Agreement/Organization
IUCN World Conservation Union
LMOs Living modified organismsMEAs Multilateral environmental agreementsMCP Multilateral Consultative ProcessMOP Meeting of the PartiesMP Montreal Protocol on Substan ces that Deplete the Ozone Layer
ODS Ozone-depleting substances
PIC Prior informed consent procedurePOPs Persistent organic pollutantsRFMOs Regional Fisheries Management OrganizationsUNCLOS United Nations Convention on the Law of the Sea
UNFCCC United Nations Framework Convention on Climate ChangeWT/CTE/W/160/Rev.2, TN/TE/S/5
Page 6I. BRIEF DESCRIPTION OF THE MEAS
A. INTERNATIONAL PLANT PROTECTION CONVENTION
13. The International Plant Protection Convention (IPPC) was adopted in November 1951 and entered into force in April 1952 (IPPC 19 51).  It was revised in
1979 (IPPC 1979).  The 1979 revised text came into force in April 1991 and is the text currently in force with respect to all c ontracting parties.  It was further
amended in 1997 (the 1997 Amendments); these amendments have not yet entered into force.  However, when adopting the 1997 Amend ments, the Conference Food
and Agriculture Organization of the United Nations (FAO), also ag reed on the implementation of some of the amendments, on an in terim basis.  Therefore, provisions
of IPPC 1979 and of the 1997 Amendments will be referred to hereafter.
IPPC 1979 1997 A MENDMENTS
Website /g224 www.ippc.int
Objective /g224 The IPPC is an international treaty for plant protection.  It s purpose is to "secur[e] common and effective action to prevent the spread and introduction of
pests of plants and plant products, and to promote appropriate measures for their control", i.e. (See 1997 Amendments, Article I).
/g224 Although the IPPC has strong implications for international trade, its focus is international cooperation for plant protection .  Many forms of cooperation
fall within the scope of the Convention. Its application to plants is not limited to the protection of cultivated plants or dir ect damage from pests.  The scope
of the Convention extends to the protection of cultivated and natu ral flora, as well as plant products, and includes direct and  indirect damage by pests.
/g224 The Preamble recognizes that phytosanitary measures should be technically justified, transparent and should not be applied in such a way as to constitute
either a means of arbitrary or unjustified discrimination or a di sguised restriction, particularly  on international trade;  it also takes note of the Agreements
concluded as a result of the Uruguay Round of Multilateral Trade Negotiations, including the SPS Agreement.
Date of Adoption November 1979 November 1997
Entry into force 4 April 1991 Not in force (Entry into force requires acceptance by two-thirds of the
contracting parties). (See Article XII:4 of IPPC 1979 below)
1) Entry into Force: General
Article XIV – Entry into force
"As soon as this Convention has been ratified by three signatory states it
shall come into force between them. It shall come into force for each stateratifying or adhering thereafter from the date of deposit of its instrumentof ratification or adherence".Article XXII – Entry into force
"As soon as this Convention has been ratified by three signatory states it shall
come into force among them. It shall come into force for each state ormember organization of FAO ratifying or adhering thereafter from the date ofdeposit of its instrument of ratification or adherence".
2) Entry into Force of Amendments
Article XII:4 – Amendment
"4. Any such proposed amendment of this Convention shall require the
approval of the Conference of FAO and shall come into force as from thethirtieth day after acceptance by two-thirds of the contracting parties.Amendments involving new obligations for contracting parties, however,shall come into force in respect of each contracting party only onacceptance by it and as from the thirtieth day after such acceptance".Article XXI:4 – Amendment
"4. Any such proposed amendment of this Convention shall require the
approval of the Commission and shall come into force as from the thirtiethday after acceptance by two-thirds of the contracting parties. For the purposeof this Article, an instrument deposited by a member organization of FAOshall not be counted as additional to those deposited by member states of suchan organization".WT/CTE/W/160/Rev.2, TN/TE/S/5
Page 7IPPC 1979 1997 A MENDMENTS
Parties 120 So far, 44 states have accepted the 1997 Amendments.
WTO Members 99 Parties to IPPC are also WTO Members. 38 states that have accepted the 1997 Amendments are also WTO Members.
Openness of
membershipIPPC 1979: Article XI – Ratification and adherence
"1. This Convention shall be open for signature by all states until 1 May
1952 and shall be ratified at the earliest possible date. The instruments ofratification shall be deposited with the Director-General of FAO, who shall
give notice of the date of deposit to each of the signatory states.
2. As soon as this Convention has come into force in accordance withArticle XIV, it shall be open for adherence by non-signatory states.Adherence shall be effected by the deposit of an instrument of adherencewith the Director-General of FAO, who shall notify all signatory and
adhering states".Article XVII – Ratifi cation and adherence
1. Ibid. IPPC 1979.
2. Ibid. IPPC 1979.
"3. When a member organization of FA O becomes a contracting party to this
Convention, the member organization shall, in accordance with the provisions
of Article II paragraph 7 of the FAO Constitution, as appropriate, notify at thetime of its adherence such modifications or clarifications to  its declaration of
competence submitted under Article II paragraph 5 of the FAO Constitution asmay be necessary in light of its acceptance of this Convention. Any
contracting party to this Convention may, at any time, request a member
organization of FAO that is a contracting party to this Convention to provideinformation as to which, as between the member organization and its memberstates, is responsible for the implementation of any particular matter coveredby this Convention. The member organization shall provide this informationwithin a reasonable time".
Decision-Making
Bodies1997 Amendments: Article XI – Commission on Phytosanitary Measures
"1. Contracting parties agree to establish the Commission on Phytosanitary Measures within the framework of the FAO.
2. The functions of the Commission shall be to promote the full implementation of the objectives of the Convention and, in part icular, to:
a) review the state of plant protection in the world and the need  for action to control the international spread of pests and t heir introduction into
endangered areas;b) establish and keep under review the necessary institutional arrangements and procedures for the development and adoption of international standards,
and to adopt international standards;
c) establish rules and procedures for the resolu tion of disputes in accordance with Article XIII;
d) establish such subsidiary bodies of the Commission as may be necessary for the proper implementation of its functions;e) adopt guidelines regarding the recognition of regional plant protection organizations;
f) establish cooperation with other relevant international organizations on matters covered by this Convention;g) adopt such recommendations for the implementation of the Convention as necessary; and
h) perform such other functions as may be necessary to the fulfilment of the objectives of this Convention.
3. Membership in the Commission shall be open to all contracting parties. …5. The contracting parties shall make every effort to reach agre ement on all matters by consensus. If all efforts to reach cons ensus have been exhausted and
no agreement is reached, the decision shall, as a last resort, be  taken by a two-thirds majority of the contracting parties pre sent and voting.
6. A member organization of FAO that is a contracting party and the member states of that member organization that are contract ing parties shall exercise
their membership rights and fulfil thei r membership obligations in accordance, mutatis mutandis , with the Constitution and General Rules of FAO…".WT/CTE/W/160/Rev.2, TN/TE/S/5
Page 8IPPC 1979 1997 A MENDMENTS
/g224 At the adoption of the 1997 Amendments, the FAO Conference agreed to the establishment of an Interim Commission on Phytosanitary Measures ,
under Article VI of the FAO Constitution, with the Terms of Reference as below:
1.The functions of the Commission shall be to promote the full implementation of the objectives of the International Plant Prot ection Convention and, in
particular, to:
a) review the state of plant protection in the world and the need  for action to control the international spread of pests and t heir introduction into
endangered areas;
b) establish and keep under review the necessary institutional arrangements and procedures for the development and adoption of international
standards, and to adopt international standards for phytosanitary measures;c) establish rules and procedures for the resolu tion of disputes in accordance with the Convention;
d) establish such subsidiary bodies of the Commission as may be necessary for the proper implementation of its functions;
e) adopt guidelines regarding the recognition of regional plant protection organizations;
f) establish cooperation with other relevant international organizations on matters covered by the Convention;g) adopt such recommendations for the implementation of the Convention as necessary; andh) perform such other functions as may be necessary to the fulfilment of the objectives of the Convention.
2. Membership in the Commission shall be open to all Members of FAO and to such non-member States as are contracting parties to  the IPPC.
Amendments and
ProtocolsArticle III – Supplementary agreements
"1. Supplementary agreements applicable to specific regions, to specific
pests, to specific plants and plant products, to specific methods of
international transportation of plants and plant products, or otherwisesupplementing the provisions of this Convention, may be proposed by theFAO on the recommendation of a contracting party or on its owninitiative, to meet special problems of plant protection which needparticular attention or action.
2. Any such supplementary agreements shall come into force for each
contracting party after acceptance in accordance with the provisions of theFAO Constitution and General Rules of the Organization".Article XVI – Supplementary agreements
"1. The contracting parties may, for the purpose of meeting special problems
of plant protection which need particular attention or action, enter into
supplementary agreements. Such agreements may be applicable to specificregions, to specific pests, to specific plants and plant products, to specificmethods of international transportation of plants and plant products, orotherwise supplement the provisions of this Convention.2. Any such supplementary agreements shall come into force for each
contracting party concerned afte r acceptance in accordance with the
provisions of the supplementary agreements concerned.3. Supplementary agreements shall promote the intent of this Convention andshall conform to the principles and provisions of this Convention, as well asto the principles of transparency, non-discrimination and the avoidance of
disguised restrictions, particularly on international trade".WT/CTE/W/160/Rev.2, TN/TE/S/5
Page 9B. INTERNATIONAL CONVENTION FOR THE CONSERVATION OF ATLANTIC TUNAS
Website www.iccat.org or www.iccat.es
Objective /g224 ICCAT is responsible for the conservation of tunas and tuna-like species in the Atlantic Ocean and adjacent seas.  Its mandate  also includes the study of
fish species caught incidentally to tuna fishing.
Date of Signature Convention: 14 May 1966Paris Protocol (on Articles XIV, XV and XVI): 10 July 1984Madrid Protocol (to Article X:2): 5 June 1992
Entry into force Convention: 21 March 1969Paris Protocol(on Articles XIV, XV and XVI): 14 December 1997Madrid Protocol (to Article X:2): Not yet ratified
Parties 35 Parties
WTO Members 28 Parties to ICCAT are also WTO Members.
Openness of
membershipArticle XIV.1
"This Convention shall be open for signature by any Government which is a Member of the United Nations or of any Specialized Ag ency of the United
Nations. Any such Government which does not sign this Convention may adhere to it at any time".
/g224 In addition, the Paris Protocol  states in Article XIV, paragraph 4: "This Convention shall be open for signature or adherence by any inter-governmental
economic integration organization constituted by States that have  transferred to it competence over the matters governed by thi s Convention, including the
competence to enter into treaties in respect of those matters."
Decision-Making
Bodies/g224 The Convention established the International Commission for the Conservation of Atlantic Tunas (hereafter the "Commission").
/g224 The Commission can, on the basis of scientific evidence and other relevant information, recommend management measures and Reso lutions aimed at
carrying out its objective of maintaining the populations of tuna and tuna-like fishes at "levels which will permit maximum sus tainable catch".  The
scientific advice is prepared by the organization´s scientific branch, the Standing Committee on Research and Statistics (SCRS) .
/g224 Normally, Recommendations and Resolutions are drafted by alread y-established auxiliary bodies (such as the four species-group Panels, the Compliance
Committee or the Permanent Working Group on ICCAT Statistics and Conservation Measures), and are presented to the Commission as  the ultimate
decision-making body.  While Recommendations are applicable to Contracting Parties and Cooperating non-Contracting Parties, Ent ities or Fishing Entities,
Contracting Parties have a six-month grace period in which to present objections.
Article III:1
"1. The Contracting Parties hereby agree to establish and maintain  a Commission to be known as the International Commission for  the Conservation of
Atlantic Tunas, hereinafter referred to as "the Commission," wh ich shall carry out the objectives set forth in this Convention" .
Article VI
"To carry out the objectives of this Convention the Commission may establish Panels on the basis of species, group of species, or of geographic areas. Each
Panel in such case:
(a) shall be responsible for keeping under review the species, group of species, or geographic area under its purview, and for collecting scientific and
other information relating thereto;(b) may propose to the Commission, upon the basis of scientific investigations, recommendations for joint action by the Contrac ting Parties;WT/CTE/W/160/Rev.2, TN/TE/S/5
Page 10(c) may recommend to the Commission studies and investigations necessary for obtaining information relating to its species, gro up of species, or
geographic area, as well as the co-ordination of prog rammes of investigation by the Contracting Parties."
Article VIII
"1. (a) The Commission may, on the basis of scientific evidence, make recommendations designed to maintain the populations of t una and tuna-like fishes
that may be taken in the Convention area at levels which will permit the maximum sustainable catch. These recommendations shall  be applicable to the
Contracting Parties under the conditions laid down in paragraphs 2 and 3 of this Article. …2. Each recommendation made under paragraph 1 of this Article sh all become effective for all Contracting Parties six months aft er the date of the
notification from the Commission transmitting the recommendation to  the Contracting Parties, except as provided in paragraph 3 of this Article. …
4. Any Contracting Party objecting to a recommendation may at an y time withdraw that objection, and the recommendation shall be come effective with
respect to such Contracting Party immediately if the recommendation is already in effect, or at such time as it may become effe ctive under the terms of this
Article.5. The Commission shall notify each Contracting Party immediately upon receipt of each objection and of each withdrawal of an o bjection, and of the entry
into force of any recommendation."
Amendments and
ProtocolsArticle XIII:1
"1. Any Contracting Party or the Commission may propose amendments to this Convention. The Director-General of the Food and Agr iculture Organization
of the United Nations shall transmit a certified copy of the text of any proposed amendment to all the Contracting Parties. Any  amendment not involving
new obligations shall take effect for all Contracting Parties on  the thirtieth day after its acceptance by three-fourths of the  Contracting Parties. Any
amendment involving new obligations shall take effect for each Contracting Party accepting the amendment on the ninetieth day a fter its acceptance by
three-fourths of the Contracting Parties and thereafter for each  remaining Contracting Party upon acceptance by it. Any amendme nt considered by one or
more Contracting Parties to involve new obligations shall be de emed to involve new obligations and shall take effect accordingl y. A government which
becomes a Contracting Party after an amendm ent to this Convention has been opened for acceptance pursuant to the provisions of this Article shall be
bound by the Convention as amended when the said amendment comes into force".
C. CONVENTION ON INTERNATIONAL TRADE IN ENDANGERED SPECIES OF WILD FAUNA AND FLORA
Website www.cites.org
Objective /g224 The CITES is an international treaty to regulate international trade in wildlife for conservation purposes.  The Convention is mainly about non-
endangered species that are in the international markets and that  could become endangered without trade regulation.  It provide s a framework for the sound
management of wildlife trade based on the best biological info rmation available and analyses how different types of trade regul ations can affect specific
populations.
/g224 CITES trade-related measures seek to ensure that trade is non- detrimental to wildlife species.  It also works to prevent harmfu l practices such as
improper transport of wildlife specimens.
Date of Signature 3 March 1973
Entry into force 1 July 1975
Parties Convention (1973): 161 Parties
Bonn Amendment (1979): 125 PartiesGaborone Amendment (1983): 68 PartiesWT/CTE/W/160/Rev.2, TN/TE/S/5
Page 11WTO Members Convention (1973): 132 Parties to CITES are also WTO Members.
Bonn Amendment (1979): 102 Parties to CITES are also WTO Members.Gaborone Amendment (1983): 63 Parties to CITES are also WTO Members.
Openness of
membershipArticle XXI – Accession
"The present Convention shall be open indefinitely for accession. Instruments of accession shall be deposited with the Deposita ry Government".
/g224 See Gaborone Amendment with regards to regional economic integration organization (See Section on Amendments below)
Decision-Making
BodiesArticle XI:3 – Conference of the Parties
"3. At meetings, whether regular or extraordinary, the Parties shall review the implementation of the present Convention and ma y:
(a) make such provision as may be necessary to enable the Secretariat to carry out its duties, and adopt financial provisions;(b) consider and adopt amendments to Appe ndices I and II in accordance with Article XV;
(c) review the progress made towards the restoration and conservation of the species included in Appendices I, II and III;
(d) receive and consider any reports presente d by the Secretariat or by any Party; and
(e) where appropriate, make recommendations for improving the effectiveness of the present Convention".
Resolution Conf. 11.1 (Rev. CoP12) – Establishment of Committees
"[The Conference of the Parties to the Convention] …Resolves that:
a) there shall be a permanent Standing Committee of the Conference of the Parties, which shall be the senior Committee, and sha ll report to the
Conference of the Parties;
b) there shall be an Animals Committee, a Plants Committee and a Nomenclature Committee, which shall report to the Conference o f the Parties at its
meetings and, if so requested, to the Standing Committee between meetings of the Conference of the Parties;c) the Conference of the Parties may appoint additional committees as the need arises;d) the Conference of the Parties or the Standing Committee may appoint working groups with specific terms of reference as requi red to address specific
problems. These working groups shall have a defined life span which shall not exceed the period until the next meeting of the C onference of the Parties,
at which time it may be renewed if necessary. They shall report to the Conference of the Parties and, if so requested, to the S tanding Committee; …"
Amendments and
ProtocolsArticle XVII – Amendmen t of the Convention
"1. An extraordinary meeting of the Conference of the Parties sh all be convened by the Secretariat on the written request of at  least one-third of the Parties
to consider and adopt amendments to the present Convention. Such amendments shall be adopted by a two-thirds majority of Partie s present and voting. For
these purposes "Parties present and voting" means Parties present and casting an affirmative or negative vote. Parties abstaini ng from voting shall not be
counted among the two-thirds required for adopting an amendment.2. The text of any proposed amendment shall be communicated by the Secretariat to all Parties at least 90 days before the meeti ng.
3. An amendment shall enter into force for the Parties which have accepted it 60 days after two-thirds of the Parties have depo sited an instrument of
acceptance of the amendment with the Depositary Government. Thereafter, the amendment shall enter into force for any other Part y 60 days after that Party
deposits its instrument of acceptance of the amendment".
Article XV – Amendments to Appendices I and II
"1. The following provisions shall apply in relation to amendments to Appendices I and II at meetings of the Conference of the Parties:
(a) Any Party may propose an amendment to Appendix I or II for consideration at the next meeting. The text of the proposed amen dment shall be
communicated to the Secretariat at least 150 days before the meeting. The Secretariat shall consult the other Parties and inter ested bodies on the
amendment in accordance with the provisions of sub-paragraphs (b) and (c) of paragraph 2 of this Article and shall communicate the response to all
Parties not later than 30 days before the meeting.WT/CTE/W/160/Rev.2, TN/TE/S/5
Page 12(b) Amendments shall be adopted by a two-thirds majority of Parties present and voting. For these purposes "Parties present and  voting" means Parties
present and casting an affirmative or negative vote. Parties abstaining from voting shall not be counted among the two-thirds r equired for adopting an
amendment.(c) Amendments adopted at a meeting shall enter into force 90 days after that meeting for all Parties except those which make a  reservation in accordance
with paragraph 3 of this Article.
2. The following provisions shall apply in relation to amendments to Appendices I and II between meetings of the Conference of the Parties:
(a) Any Party may propose an amendment to Appendix I or II for consideration between meetings by the postal procedures set fort h in this paragraph. …
(l) If the proposed amendment is adopted it shall enter into force 90 days after the date of the notification by the Secretaria t of its acceptance for all Parties
except those which make a reservation in accordance with paragraph 3 of this Article.
3. During the period of 90 days provided for by sub-paragraph (c) of paragraph 1 or sub-paragraph (l) of paragraph 2 of this Ar ticle any Party may by
notification in writing to the Depositary Government make a reservation with respect to the amendment. Until such reservation i s withdrawn the Party shall
be treated as a State not a Party to the present Conven tion with respect to trade in the species concerned".
/g224 Resolution Conf. 4.27on the Interpretation of Article XVII, paragraph 3, of the Convention provides that  "the meaning of Article XVII,
paragraph 3, of the Convention be interpreted in its narrow sense so as to mean that the acceptance of two-thirds of the Partie s at the time of the adoption of
an amendment is required for the coming into force of such amendment".
Amendments
adoptedBonn amendment to the text of the Convention – 22 June 1979
/g224 The Conference of the Parties to CITES adopted an amendment to the text of the Convention on 22 June 1979. This amendment consi sts of inserting at
the end of Article XI, paragraph 3. a), the words ", and adopt financial provisions" so that it reads as follows:
"3. At meetings, whether regular or extraordinary, the Parties shall review the implementation of the present Convention and ma y:  (a) make such
provision as may be necessary to enable the Secretariat to carry out its duties, and adopt financial provisions; …"
/g224 In accordance with Article XVII, paragraph 3, of the Convention, the Bonn amendment entered into force 60 days after 34 (two-th irds) of the 50 States
that were parties to CITES on 22 June 1979 deposited their instruments of acceptance, i.e. on 13 April 1987 .  At that time it entered into force only for those
States that had accepted the amendment (no matter on what date they became party to the Convention).  However, the amended text  of the Convention now
applies automatically to any State that becomes a Party after the date of entry into force of the amendment.
Gaborone amendment to the text of the Convention – 30 April 1983
/g224 The Conference of the Parties to CITES held its second extraordinary meeting in Gaborone, Botswana, on 30 April 1983, to consid er a proposed
amendment to Article XXI of the Convention to permit accession by  regional economic integration organizations and especially to  allow the EC to become
a CITES party.
/g224 The proposal was adopted with several amendments and the text of the amendment is as follows:
"In Article XXI, after the words "Depositary Government.", insert the following five paragraphs:
1. This Convention shall be open for accession by regional economic integration organizations constituted by sovereign States w hich have competence
in respect of the negotiation, conclusion and implementation of international agreements in matters transferred to them by thei r Member States and
covered by this Convention.
2. In their instruments of accession, such organization shall decl are the extent of their competence with respect to the matter s governed by the
Convention.  These organizations shall also inform the Depositary Government of any substantial modification in the extent of t heir competence.
Notifications by regional economic integration organizations con cerning their competence with respect to matters governed by th is Convention and
modifications thereto shall be distributed to the Parties by the Depositary Government.3. In matters within their competence, such regional economic integration organizations shall exercise the rights and fulfil th e obligations which thisWT/CTE/W/160/Rev.2, TN/TE/S/5
Page 13Convention attributes to their Member States, which are Parties to  the Convention.  In such cases the Member States of the orga nizations shall not be
entitled to exercise such rights individually.4. In the fields of their competence, regional economic integration organizations shall exercise their right to vote with a num ber of votes equal to the
number of their Member States which are Parties to the Convention.   Such organizations shall not exercise their right to vote i f their Member States
exercise theirs, and vice versa.
5. Any reference to "Party" in the sense used in Article 1(h) of  this Convention, to "State"/"States" or to "State Party"/State  Parties" to the Convention
shall be construed as including a reference to any regional eco nomic integration organization having competence in respect of t he negotiation,
conclusion and application of international agreements in matters covered by this Convention".
/g224 In accordance with Article XVII, paragraph 3, of the Convention,  the Gaborone amendment shall enter into force 60 days after 54  of the 80 States that
were party to CITES on 30 April 1983 (i.e. two-thirds of the parties) have deposited their instruments of acceptance.  However,  at that time it will enter into
force only for those States that have accepted the amendment (no matter on what date they became party to the Convention).  The  amended text of the
Convention will apply automatically to any State that becomes a Party after the date of entry into force of the amendment.  How ever, for States that became
party to the Convention before that date and have not accepted the amendment, it will enter into force 60 days after they accep t it.
D. CONVENTION ON THE CONSERVATION OF ANTARCTIC MARINE LIVING RESOURCES
14. The Convention on the Conservation of Antarctic Marine Living Reso urces (CCAMLR) is part of the Antarctic Treaty System, a set of arrangements made
for the purpose of coordinating relations among states with resp ect to Antarctica.  The Antarctic Treaty came into force on 23 June 1961.  The treaty remains in force
indefinitely.  The success of the treaty has been the growth in  membership.  Forty-four countries, comprising 80% of the world' s population, have acceded to it.
Consultative (voting) status is open to all countries who have demonstrated their commitment to the Antarctic by conducting sig nificant research.  Twenty-seven
nations have Consultative status.  The Treaty parties meet every year.  They have adopted over 200 recommendations and negotiat ed five separate international
agreements.  These, together with the original Treaty, provide the rules which govern activities in Antarctica.  Collectively, they are known as the Antarctic Treaty
System (ATS).  The five international agreements are:
• Agreed Measures for the Conservation of Antarctic Fauna and Flora (1964)
• Convention for the Conservation of Antarctic Seals (1972)
• Convention on the Conservation of Antarctic Marine Living Resources (1980)
• Convention on the Regulation of Antarctic Mineral Resource Activities (1988)
• Protocol on Environmental Protection to the Antarctic Treaty (1991)
15. The Preamble to the CCAMLR Convention recognises "the prime res ponsibility of the Antarctic Treaty Consultative Parties for the  protection and
conservation of the Antarctic environment and, in particular, their responsibilities under Article IX, paragraph 1(f) of the An tarctic Treaty in respect of the
preservation and conservation of living resources in Antarctica".WT/CTE/W/160/Rev.2, TN/TE/S/5
Page 14Website www.ccamlr.org
Objective /g224 The Convention is based on an ecosystem-wide approach to the conservation of marine living resources in the waters surrounding Antarctica.  It
incorporates standards designed to ensure the conservation of not only individual populations and species, but also the mainten ance of the breadth of the
Antarctic marine ecosystem as a whole.  Conservation principles established by the Convention embody an "ecosystem approach" to  living resources
conservation and set CCAMLR's marine resources management regime apart from other international fisheries organisations.
/g224 The Commission, established in accordance with CCAMLR Convention, is responsible for the conservation of marine living resource s in the Convention
Area (waters south of about 40°S), which include all species of fish, molluscs, crustaceans and other marine organisms as well as marine birds.  Rational use
of resources is considered a part of their conservation.  Alth ough management of seals and whales are under the jurisdiction of  the Convention for the
Conservation of Antarctic Seals (CCAS) and the International Wh aling Commission (IWC), CCAMLR takes into account, in elaboratin g its conservation
strategy, the status of these animals as an integral part of the Antarctic marine ecosystem.
Date of Signature 20 May 1980
Entry into force 7 April 1982
Parties 31 Parties
/g224 States that have ratified the Convention, but are not Commission Members: Bulgaria, Canada, Finland, Greece, Peru, Vanuatu and The Netherlands.
WTO Members 28 Parties to CCAMLR are also WTO Members.
Openness of
membershipArticle XXIX
"1. This Convention shall be open for accession by any State intere sted in research or harvesting activities in relation to the  marine living resources to which
this Convention applies.2. This Convention shall be open for accession by regional economic integration organisations constituted by sovereign States w hich include among their
members one or more States Members of the Commission and to whic h the States members of the organisation have transferred, in w hole or in part,
competences with regard to the matters covered by this Conven tion. The accession of such regional economic integration organisa tions shall be the subject
of consultations among Members of the Commission".
Decision-Making
Bodies/g224 The main decision-making body is the Commission for the Conservation of Antarctic Marine Living Resources (CCAMLR). The Commiss ion has two
standing committees: The Standing Committee on Administration and Finance (SCAF) and the Standing Committee on Implementation a nd Compliance
(SCIC).  All decisions on matters of substance are taken by consensus.  The institutional features of the Convention comprise, in addition to the
Commission, a Scientific Committee for the Conservation of Antarctic Marine Living Resources and a permanent Secretariat, based  in Hobart, Australia.
The Scientific Committee (SC-CAMLR) has two permanent working groups, the Working Group on Ecosystem Monitoring and Management (WG-EMM)
and the Working Group on Fish Stock Assessment. The Ad Hoc Worki ng Group on Incidental Mortality Associated with Fisheries (WG- IMAF) carries its
activities as part of WG-FSA.
1) Commission for the Conservation of Antarctic Marine Living Resources
Article VII:1
"1. The Contracting Parties hereby establish and agree to mainta in the Commission for the Conservation of Antarctic Marine Livi ng Resources (hereinafter
referred to as ‘the Commission’)".
Article IX
"1. The function of the Commission shall be to give effect to the objective and principles set out in Article II of this Conven tion. To this end, it shall: …
(e) identify conservation needs and analyse the effectiveness of conservation measures;WT/CTE/W/160/Rev.2, TN/TE/S/5
Page 15(f) formulate, adopt and revise conservation measures on the basis of the best scientific evidence available, subject to the pr ovisions of paragraph 5 of this
Article;(g) implement the system of observation and inspection established under Article XXIV of this Convention;(h) carry out such other activities as are necessary to fulfil the objective of this Convention.
2. The conservation measures referred to in paragraph 1(f) above include the following:
(a) the designation of the quantity of any species which may be harvested in the area to which this Convention applies;(b) the designation of regions and sub-regions based on the distribution of populations of Antarctic marine living resources;(c) the designation of the quantity which may be harvested from the populations of regions and sub-regions;(d) the designation of protected species;
(e) the designation of the size, age and, as appropriate, sex of species which may be harvested;
(f) the designation of open and closed seasons for harvesting;(g) the designation of the opening and closing of areas, regions or sub-regions for purposes of scientific study or conservatio n, including special areas for
protection and scientific study;(h) regulation of the effort employed and methods of harvesting, including fishing gear, with a view, inter alia, to avoiding u ndue concentration of
harvesting in any region or sub-region;
(i) the taking of such other conservation measures as the Commission considers necessary for the fulfilment of the objective of  this Convention, including
measures concerning the effects of harvesting and associated activities on components of the marine ecosystem other than the ha rvested populations.
3. The Commission shall publish and maintain a record of all conservation measures in force.
4. In exercising its functions under paragraph 1 above, the Commission shall take full account of the recommendations and advic e of the Scientific
Committee.5. The Commission shall take full account of any relevant measures  or regulations established or recommended by the Consultativ e Meetings pursuant to
Article IX of the Antarctic Treaty or by existing fisheries commissions responsible for species which may enter the area to whi ch this Convention applies, in
order that there shall be no inconsistency between the rights an d obligations of a Contracting Party under such regulations or measures and conservation
measures which may be adopted by the Commission.
6. Conservation measures adopted by the Commission in accordance with this Convention shall be implemented by Members of the Co mmission in the
following manner:
(a) the Commission shall notify conservation measures to all Members of the Commission;(b) conservation measures shall become binding upon all Members of the Commission 180 days after such notification, except as p rovided in
subparagraphs (c) and (d) below;
(c) if a Member of the Commission, within ninety days following the notification specified in sub-paragraph (a), notifies the C ommission that it is unable
to accept the conservation measure, in whole or in part, the measur e shall not, to the extent stated, be binding upon that Memb er of the Commission;
(d) in the event that any Member of the Commission invokes the procedure set forth in sub-paragraph (c) above, the Commission s hall meet at the request
of any Member of the Commission to review the conservation measure.  At the time of such meeting and within thirty days followin g the meeting, any
Member of the Commission shall have the right to declare that it is no longer able to accept the conservation measure, in which  case the Member shall no
longer be bound by such a measure".
Article XII:1-2
"1. Decisions of the Commission on matters of substance shall be taken by consensus. The question of whether a matter is one of  substance shall be treated
as a matter of substance.2. Decisions on matters other than those referred to in paragraph 1 above shall be taken by a simple majority of the Members of  the Commission present and
voting".WT/CTE/W/160/Rev.2, TN/TE/S/5
Page 162) Scientific Committee for the Conservation of Antarctic Marine Living Resources
Article XIV:1
"1. The Contracting Parties hereby establish the Scientific Comm ittee for the Conservation of Antarctic Marine Living Resources  (hereinafter referred to as
‘the Scientific Committee’) which shall be a consultative body to the Commission…".
Article XV:1-2
"1. The Scientific Committee shall provide a forum for consultatio n and co-operation concerning the collection, study and excha nge of information with
respect to the marine living resources to which this Convention applies. It shall encourage and promote co-operation in the fie ld of scientific research in
order to extend knowledge of the marine living resources of the Antarctic marine ecosystem.
2. The Scientific Committee shall conduct such activities as the Commission may direct in pursuance of the objective of this Co nvention…":
Amendments and
ProtocolsArticle XXX
"1. This Convention may be amended at any time.
2. If one-third of the Members of the Commission request a meeting to discuss a proposed amendment the Depositary shall call su ch a meeting.
3. An amendment shall enter into force when the Depositary has received instruments of ratification, acceptance or approval the reof from all the Members
of the Commission.4. Such amendment shall thereafter enter in to force as to any other Contracting Part y when notice of ratification, acceptance o r approval by it has been
received by the Depositary. Any such Contracting Party from which no such notice has been received within a period of one year from the date of entry into
force of the amendment in accordance with paragraph 3 above sh all be deemed to have withdrawn from this Convention".
E. MONTREAL PROTOCOL ON SUBSTANCES THAT DEPLETE THE OZONE LAYER
16. The Vienna Convention for the Protection of the Ozone Layer is a framework convention.  It did not itself establish controls on  ozone depleting substances.
However, it established the procedural rules for future protocol s to be developed under the framework of the Vienna Convention.   The Montreal Protocol on
Substances that Deplete the Ozone Layer was adopted in 1987 and has been amended four times: London Amendment (1990), Copenhage n Amendment (1992),
Montreal Amendment (1997) and Beijing Amendment (1999).  Its contro l provisions were strengthened through five adjustments to t he Protocol adopted in London
(1990), Copenhagen (1992), Vienna (1995) , Montreal (1997) and Beijing (1999).
Vienna Convention for the
Protection of the Ozone LayerMontreal Protocol on Substances
that Deplete the Ozone LayerLondon
AmendmentCopenhagen
AmendmentMontreal
AmendmentBeijing
Amendment
Date of Signature 22 March 1985 16 September 1987 29 June 1990 25 November 1992 17 September 1997 3 December 1999
Entry into force 22 September 1988 1 January 1989 10 August 1992 14 June 1994 10 November 1999 25 February 2002
Parties 185 184 164 146 93 49
WTO Members 143 WTO Members 143 WTO Members 131 WTO Members 120 WTO Members 76 WTO Members 40 WTO MembersWT/CTE/W/160/Rev.2, TN/TE/S/5
Page 17Vienna Convention for the Pr otection of the Ozone LayerMontreal Protocol on Substances that Deplete the Ozone Layer,
either adjusted and/or amended in London -1990, Copenhagen -1992,
Vienna- 1995, Montreal -1997, and Beijing -1999
Website http://www.unep.org/ozone/index-en.shtml
Objective /g224 Under the Vienna Convention, governments agreed to take
appropriate measures to protect human health and the environment
against adverse effects resulting or likely to result from human activitieswhich modify or are likely to modify the Ozone Layer and committedthemselves to protect the ozone layer and to co-operate with each other inscientific research and information exchange to improve understanding of
atmospheric processes, and technical and economic aspects./g224 The Montreal Protocol develops a regime that limits the release of ozone-
depleting substances (ODS) into the atmosphere.
Entry into force
(provision)Article 17: Entry into force
"1. This Convention shall enter into force on the ninetieth day after the
date of deposit of the twentieth instrument of ratification, acceptance,approval or accession.2. Any protocol, except as otherwise provided in such protocol, shallenter into force on the ninetieth day after the date of deposit of the
eleventh instrument of ratification, acceptance or approval of such
protocol or accession thereto.3. For each Party which ratifies, accepts or approves this Convention oraccedes thereto after the deposit of the twentieth instrument ofratification, acceptance, approval or accession, it shall enter into force onthe ninetieth day after the date of deposit by such Party of its instrument
of ratification, acceptance, approval or accession.
4. Any protocol, except as otherwise provided in such protocol, shallenter into force for a party that ratifies, accepts or approves that protocolor accedes thereto after its entry into force pursuant to paragraph 2 above,on the ninetieth day after the date on which that party deposits its
instrument of ratification, acceptance, approval or accession, or on the
date which the Convention enters into force for that Party, whichevershall be the later.
5. For the purposes of paragraphs 1 and 2 above, any instrument
deposited by a regional economic integration organization shall not becounted as additional to those deposited by member States of such
organization".Article 16 – Entry into force
"1. This Protocol shall enter into force on 1 January 1989, provided that at least
eleven instruments of ratification, acceptance, approval of the Protocol oraccession thereto have been deposited by States or regional economicintegration organizations representing at least two-thirds of 1986 estimatedglobal consumption of the controlled substances, and the provisions of
paragraph 1 of Article 17 of the Convention have been fulfilled. In the event that
these conditions have not been fulfilled by that date, the Protocol shall enter intoforce on the ninetieth day following the date on which the conditions have beenfulfilled. …3. After the entry into force of this Protocol, any State or regional economicintegration organization shall become a Party to it on the ninetieth day following
the date of deposit of its instrument of ratification, acceptance, approval or
accession".
Article 17 – Parties joining after entry into force
"Subject to Article 5, any State or re gional economic integration organization
which becomes a Party to this Protocol after the date of its entry into force, shall
fulfil forthwith the sum of the obligations under Article 2, as well as under
Articles 2A to 2I and Article 4, that apply at that date to the States and regionaleconomic integration organizations that became Parties on the date the Protocolentered into force".WT/CTE/W/160/Rev.2, TN/TE/S/5
Page 18
Vienna Convention for the Pr otection of the Ozone LayerMontreal Protocol on Substances that Deplete the Ozone Layer,
either adjusted and/or amended in London -1990, Copenhagen -1992,
Vienna- 1995, Montreal -1997, and Beijing -1999
Openness of
membershipArticle 14 – Accession
"1. This Convention and any protocol shall be open for accession by
States and by regional economic integration organizations from the date
on which the Convention or the protocol concerned is closed forsignature…".Montreal Protocol: Article 15 – Signature
"This Protocol shall be open for signature by States and by regional economic
integration organizations…".
Copenhagen Amendment (1992): Article 2 – Relationship to the
1990 Amendment
"No State or regional economic integration organization may deposit an
instrument of ratification, acceptance, a pproval or accession to this Amendment
unless it has previously, or simultaneously, deposited such an instrument to the
Amendment adopted at the Second Meeting of the Parties in London, 29 June1990."
Montreal Amendment (1997): Article 2 – Relationship to the
1992 Amendment
"No State or regional economic integration organization may deposit an
instrument of ratification, acceptance, a pproval or accession to this Amendment
unless it has previously, or simultaneously, deposited such an instrument to theAmendment adopted at the Fourth Meeting of the Parties in Copenhagen, 25November 1992".
Beijing Amendment (1999): Article 2 – Relationship to the
1997 Amendment
"No State or regional economic integration organization may deposit an
instrument of ratification, acceptance or approval of or accession to thisAmendment unless it has previously, or simultaneously, deposited such aninstrument to the Amendment adopted at the Ninth Meeting of the Parties inMontreal, 17 September 1997".
Decision-Making
BodiesArticle 6:4 – Conference of the Parties
"4. The Conference of the Parties shall keep under continuous review the
implementation of this Convention, and, in addition, shall: …
(c) Promote, in accordance with article 2, the harmonization ofappropriate policies, strategies and measures for minimizing therelease of substances causing or likely to cause modification of theozone layer, and make recommendations on any other measures
relating to this Convention; …
(e) Consider and adopt, as required, in accordance with articles 9 and10, amendments to this Convention and its annexes;(f) Consider amendments to any pr otocol, as well as to any annexesArticle 11:4 – Meetings of the parties
"4. The functions of the meetings of the Parties shall be to:
(a) review the implementation of this Protocol;
(b) decide on any adjustments or reductions referred to in paragraph 9 ofArticle 2;(c) decide on any addition to, insertion in or removal from any annex ofsubstances and on related control measures in accordance with paragraph 10
of Article 2;
(d) establish, where necessary, guidelines or procedures for reporting ofinformation as provided for in Article 7 and paragraph 3 of Article 9;(e) review requests for technical assistance submitted pursuant to paragraph 2WT/CTE/W/160/Rev.2, TN/TE/S/5
Page 19Vienna Convention for the Pr otection of the Ozone LayerMontreal Protocol on Substances that Deplete the Ozone Layer,
either adjusted and/or amended in London -1990, Copenhagen -1992,
Vienna- 1995, Montreal -1997, and Beijing -1999
thereto, and, if so decided, reco mmend their adoption to the parties to
the protocol concerned;
(g) Consider and adopt, as required, in accordance with article 10,
additional annexes to this Convention;(h) Consider and adopt, as required, protocols in accordance witharticle 8; …"of Article 10;
(f) review reports prepared by the secretariat pursuant to subparagraph (c) of
Article 12;
(g) assess, in accordance with Article 6, the control measures;(h) consider and adopt, as required, proposals for amendment of this Protocolor any annex and for any new annex;(i) consider and adopt the budget for implementing this Protocol; and
(j) consider and undertake any additional action that may be required for the
achievement of the purposes of this Protocol".
Amendments and
ProtocolsArticle 8 – Adoption of protocols
"1. The Conference of the Parties may at a meeting adopt protocols
pursuant to Article 2.2. The text of any proposed protocol shall be communicated to the Partiesby the secretariat at least six months before such a meeting".
Article 9 – Amendment of the Convention or protocols
"1. Any Party may propose amendments to this Convention or to any
protocol. Such amendments shall take due account, inter alia , of relevant
scientific and technical considerations.2. Amendments to this Convention shall be adopted at a meeting of theConference of the Parties. Amendments to any protocol shall be adopted
at a meeting of the Parties to the protocol in question. The text of any
proposed amendment to this Convention or to any protocol, except asmay otherwise be provided in such protocol, shall be communicated tothe Parties by the secretariat at least six months before the meeting atwhich it is proposed for adoption. The secretariat shall also communicateproposed amendments to the signatories to this Convention for
information.
3. The Parties shall make every effort to reach agreement on anyproposed amendment to this Convention by consensus. If all efforts atconsensus have been exhausted, and no agreement reached, theamendment shall as a last resort be adopted by a three-fourths majority
vote of the Parties present and voting at the meeting, and shall be
submitted by the Depositary to all Parties for ratification, approval oracceptance.4. The procedure mentioned in paragraph 3 above shall apply toamendments to any protocol, except that a two-thirds majority of theArticle 14 – Relationship of this Protocol to the Convention
"Except as otherwise provided in this Protocol, the provisions of the Convention
relating to its protocols shall apply to this Protocol".
/g224 A party to the Protocol that has not ratified a subsequent amendment is
treated as a non-Party for the purposes of trade in the relevant substances
controlled by that particular amendment (Article 4(9) of the Protocol).WT/CTE/W/160/Rev.2, TN/TE/S/5
Page 20
Vienna Convention for the Pr otection of the Ozone LayerMontreal Protocol on Substances that Deplete the Ozone Layer,
either adjusted and/or amended in London -1990, Copenhagen -1992,
Vienna- 1995, Montreal -1997, and Beijing -1999
parties to that protocol present and voting at the meeting shall suffice for
their adoption.
5. Ratification, approval or acceptance of amendments shall be notified to
the Depositary in writing. Amendments adopted in accordance withparagraphs 3 or 4 above shall enter into force between parties havingaccepted them on the ninetieth day after the receipt by the Depositary ofnotification of their ratification, approval or acceptance by at least three-
fourths of the Parties to this Convention or by at least two-thirds of the
parties to the protocol concerned, except as may otherwise be provided insuch protocol. Thereafter the amendments shall enter into force for anyother Party on the ninetieth day after that Party deposits its instrument ofratification, approval or acceptance of the amendments.6. For the purposes of this article, “Parties present and voting” means
Parties present and casting an affirmative or negative vote".
Article 16 – Relationship between the Convention and its protocols
"1. A State or a regional economic integration organization may not
become a party to a protocol unless it is, or becomes at the same time, aParty to the Convention.2. Decisions concerning any protocol shall be taken only by the parties to
the protocol concerned".
F. BASEL CONVENTION ON THE CONTROL OF TRANSBOUNDARY MOVEMENTS OF HAZARDOUS WASTES AND THEIR DISPOSAL
Basel Convention on the Control of Transboundary Movements
of Hazardous Wastes and their DisposalBasel Protocol on Liability and Compensation for
Damage Resulting from Transboundary
Movements of Hazardous Wastes and their Disposal
Website http://www.basel.int/
Objective /g224 The objective of the Basel Convention is to protect human health and the environment from
the adverse effects which may result from the handling, transport and disposal of hazardouswastes.
/g224 The specific objectives of the Basel Convention are:
• To reduce transboundary movements of hazardous wastes• To minimize the generation – in terms of quantity and hazardousness- of wastes/g224 The objective of the Protocol is to provide for a
comprehensive regime for liability as well as adequateand prompt compensation for damage resulting fromthe transboundary movement of hazardous wastes andother wastes, including incidents occurring because ofillegal traffic in those wastes.WT/CTE/W/160/Rev.2, TN/TE/S/5
Page 21Basel Convention on the Control of Transboundary Movements
of Hazardous Wastes and their DisposalBasel Protocol on Liability and Compensation for
Damage Resulting from Transboundary
Movements of Hazardous Wastes and their Disposal
• To promote the environmentally sound management of hazardous and other wastes
/g224 The Convention provides for the attainment of these objectives through control of the
transboundary movements of hazardous wastes, monitoring and prevention of illegal traffic,
assistance for the environmentally sound management of hazardous wastes, promotion ofcooperation between Parties in this field, and development of Technical Guidelines for themanagement of hazardous wastes./g224 Under the Protocol, actors involved in the
transboundary movement and disposal of hazardous
waste are strictly liable for damage caused regardless
of the presence of fault and up to the financial limitsestablished by the Protocol. Fault-based liability is alsoregulated by the Protocol.
Date of Adoption 22 March 1989 10 December 1999
Entry into force 5 May 1992Not in force.
The Protocol will enter into force after 90 days of the
date of the 20th instrument of ratification.
Parties 156 13 (signatures)
WTO Members 124 Parties to the Basel Convention are also WTO Members. 12 Signatories to the Basel Protocol are also
WTO Members.
Openness of
membershipArticle 23 – Accession
"1. This Convention shall be open for accession by States, by Namibia, represented by the United
Nations Council for Namibia, and by political and/or economic integration organizations fromthe day after the date on which the Convention is closed for signature…".Article 26 – Signature
"The Protocol shall be open for signature by States and
by regional economic integration organizations Partiesto the Basel Convention …".
Decision-Making
BodiesArticle 15:4, 5, 7 – Conference of the Parties
"4. The Parties at their first meeting shall consider any additional measures needed to assist them
in fulfilling their responsibilities with respect to the protection and the preservation of the marine
environment in the context of this Convention.
5. The Conference of the Parties shall keep under continuous review and evaluation the effective
implementation of this Convention, and, in addition, shall:
(a) Promote the harmonization of appropriate policies, strategies and measures for minimizingharm to human health and the environment by hazardous wastes and other wastes;
(b) Consider and adopt, as required, amendments to this Convention and its annexes, taking
into consideration, inter alia , available scientific, technical, economic and environmental
information;(c) Consider and undertake any additional action that may be required for the achievement ofthe purposes of this Convention in the light of experience gained in its operation and in the
operation of the agreements and arrangements envisaged in Article 11;
(d) Consider and adopt protocols as required; and(e) Establish such subsidiary bodies as are d eemed necessary for the implementation of this
Convention".Article 24:4 – Meeting of the Parties
"4. The functions of the Meeting of the Parties shall be:
(a) To review the implementation of and compliance
with the Protocol;(b) To provide for reporting and establish guidelinesand procedures for such reporting where necessary;(c) To consider and adopt, where necessary,proposals for amendment of the Protocol or any
annexes and for any new annexes; and
(d) To consider and undertake any additional actionthat may be required for the purposes of theProtocol".WT/CTE/W/160/Rev.2, TN/TE/S/5
Page 22 Basel Convention on the Control of Transboundary Movements
of Hazardous Wastes and their DisposalBasel Protocol on Liability and Compensation for
Damage Resulting from Transboundary
Movements of Hazardous Wastes and their Disposal
7. The Conference of the Parties shall undertake three years after the entry into force of this
Convention, and at least every six years thereafter, an evaluation of its effectiveness and, if
deemed necessary, to consider the adoption of a complete or partial ban of transboundary
movements of hazardous wastes and other wastes in light of the latest scientific, environmental,technical and economic information".
/g224 The Conference of the Parties (COP) is the main decision-making organ and is composed of
the representatives of the Parties and has the following functions, under Article 15: to adopt rules
of procedure for itself and any subsidiary body; to establish subsidiary bodies; to establish
financial rules; consider and adopt amendments and protocols; to evaluate the effectiveness of theConvention; and to consider the adoption of a complete or partial ban of transboundarymovements in light of the latest scientific, technical and economic information.
/g224 The Expanded Bureau is body composed of 13 representatives of all the regions that meets
between the meetings of the Conference of the Parties to orientate the work of the secretariat;
provide advise for the preparation of meeting ag endas; address institutional and financial issues
raised by the secretariat.
/g224 The Open-ended Working Group is the subsidiary body of the Basel Convention and its
mandate is to assist the COP in the implementation of the Convention and consider and advise theConference of the Parties on issues relating to policy, technical, scientific, legal, institutional,administration, finance, budgetary and other aspects of the implementation of the Convention.
/g224 Basel Convention Regional Centres for Training and Technology Transfer are regional
institutions to organise and coordinate awareness raising, training and capacity building activitiesas well as to facilitate technology transfer to ensure the implementation of the Basel Convention(See Decision VI/3 for detailed description of the centres’ functions).
/g224 Competent Authorities and Focal Points: are established at the national level, in accordance
with Article 5, to receive, inform and respond to the notifications of transboundary movements of
hazardous wastes and to transmit and maintain the communication with the secretariat,
respectively.
Amendments and
ProtocolsArticle 17 – Amendment of the Convention
"1. Any Party may propose amendments to this Convention and any Party to a protocol may
propose amendments to that protocol. Such amendments shall take due account, inter alia , of
relevant scientific and technical considerations.
2. Amendments to this Convention shall be adopted at a meeting of the Conference of the Parties.
Amendments to any protocol shall be adopted at a meeting of the Parties to the protocol inquestion. The text of any proposed amendment to this Convention or to any protocol, except asmay otherwise be provided in such protocol, shall be communicated to the Parties by theArticle 12 of the Basel Convention – Consultations
on Liability
"The Parties shall co-operate with a view to adopting,
as soon as practicable, a protocol setting out
appropriate rules and procedures in the field of liability
and compensation for damage resulting from thetransboundary movement and disposal of hazardousWT/CTE/W/160/Rev.2, TN/TE/S/5
Page 23Basel Convention on the Control of Transboundary Movements
of Hazardous Wastes and their DisposalBasel Protocol on Liability and Compensation for
Damage Resulting from Transboundary
Movements of Hazardous Wastes and their Disposal
Secretariat at least six months before the meeting at which it is proposed for adoption. The
Secretariat shall also communicate proposed amendments to the Signatories to this Convention
for information.
3. The Parties shall make every effort to r each agreement on any proposed amendment to this
Convention by consensus. If all efforts at consensus have been exhausted, and no agreementreached, the amendment shall as a last resort be adopted by a three-fourths majority of the Partiespresent and voting at the meeting, and shall be submitted by the Depositary to all Parties for
ratification, approval, formal confirmation or acceptance.
4. The procedure mentioned in paragraph 3 above shall apply to amendments to any protocol,except that a two-thirds majority of the Parties to  that protocol present and voting at the meeting
shall suffice for their adoption.5. …Amendments adopted in accordance with paragraphs 3 or 4 above shall enter into forcebetween Parties having accepted them on the ninetieth day after the receipt by the Depositary of
their instrument of ratification, approval, form al confirmation or acceptance by at least three-
fourths of the Parties who accepted them or by at least two-thirds of the Parties to the protocolconcerned who accepted them, except as may otherwise be provided in such protocol. Theamendments shall enter into force for any other Party on the ninetieth day after that Party depositsits instrument of ratification, approval, formal confirmation or acceptance of the amendments.6. For the purpose of this Article, "Parties present and voting" means Parties present and casting
an affirmative or negative vote".
/g224 The following amendments have been adopted by the Conference of the Parties:
- Amendment to Annex I (adopted through Decision IV/9): in order to make reference to
Annexes VIII and IX and establish the relationship between these new annexes andAnnex III
- Introduction of Annex VIII and IX: Annex VIII includes wastes characterized as hazardous
under Article 1, paragraph 1(a) of the Basel Convention and Annex IX includes wastes that
are not covered by Article 1, paragraph 1(a), unless they contain Annex I material to anextent causing them to exhibit an Annex III characteristic.
- Amendment to Annex VIII and IX: at its sixth meeting, the Conference of the Parties
adopted an amendment to Annex VIII and IX in order to harmonize the annexes with other
international lists and incorporate changes in accordance with scientific and technical
advances.wastes and other wastes".
Article 22 of the Protocol on Liability– Relationship
of the Protocol with the Basel Convention
"Except as otherwise provided in the Protocol, the
provisions of the Convention relating to its Protocolsshall apply to the Protocol".
Amendments
Adopted/g224 The Ban Amendment was adopted on 22 September 1995.  36 Parties have ratified the
Amendment.  In accordance with Article 17 of the Convention, the Amendment has to be ratifiedby three fourths of those Parties present at the time of the adoption of the Amendment (62 Parties)
in order for it to enter into force.WT/CTE/W/160/Rev.2, TN/TE/S/5
Page 24 Basel Convention on the Control of Transboundary Movements
of Hazardous Wastes and their DisposalBasel Protocol on Liability and Compensation for
Damage Resulting from Transboundary
Movements of Hazardous Wastes and their Disposal
/g224 The objective of this Amendment is to prohibit immediately exports from countries listed in
Annex VII ("Parties and other States which are members of the OECD, EC, Liechtenstein") to all
other countries, of hazardous wastes intended for final disposal, and to prohibit movements from
Annex VII to non-Annex VII countries of hazardous wastes intended for recycling or reuse as ofend 1997.  Annex VII is not yet in force, pending the entry into force of the Amendment.
G. CONVENTION ON BIOLOGICAL DIVERSITY
Website http://www.biodiv.org
Objective /g224 The objective of the CBD is the conservation of biological diversity, the sustainable use of its components and the fair and eq uitable sharing of the
benefits arising out of the utilization of genetic resources.
Date of Signature 5 June 1992
Entry into force 29 December 1993
Parties 187
WTO Members 140 Parties to the CBD are also WTO Members.
Openness of
membershipArticle 33 – Signature
"This Convention shall be open for signature … by all States and any regional economic integration organization…".
Article 34:1 – Ratificati on, Acceptance or Approval
"1. This Convention and any protocol shall be subject to ratifi cation, acceptance or approval by States and by regional economi c integration
organizations…".
Decision-Making
BodiesArticle 23:4 – Conference of the Parties
"4. The Conference of the Parties shall keep under review the implementation of this Convention, and, for this purpose, shall:
(a) Establish the form and the intervals for transmitting the information to be submitted in accordance with Article 26 and con sider such information as
well as reports submitted by any subsidiary body;
(b) Review scientific, technical and technological advice on biological diversity provided in accordance with Article 25;
(c) Consider and adopt, as required, protocols in accordance with Article 28;(d) Consider and adopt, as required, in accordance with Article s 29 and 30, amendments to this Convention and its annexes;
(e) Consider amendments to any protocol, as well as to any annexe s thereto, and, if so decided, recommend their adoption to the  parties to the protocol
concerned;
(f) Consider and adopt, as required, in accordance with  Article 30, additional annexes to this Convention;
(g) Establish such subsidiary bodies, particularly to provide scientific and technical advice, as are deemed necessary for the implementation of this
Convention;WT/CTE/W/160/Rev.2, TN/TE/S/5
Page 25(h) Contact, through the Secretariat, the executive bodies of conventions dealing with matters covered by this Convention with a view to establishing
appropriate forms of cooperation with them; and(i) Consider and undertake any additional action that may be required for the achievement of the purposes of this Convention in  the light of experience
gained in its operation".
Article 25:1-2 –  Subsidiary Body on Scientific, Technical and Technological Advice
"1. A subsidiary body for the provision of scientific, technical and technological advice is hereby established to provide the Conference of the Parties and,
as appropriate, its other subsidiary bodies with timely advice relating to the implementation of this Convention. This body sha ll be open to participation by
all Parties and shall be multidisciplinary. It shall comprise government representatives competent in the relevant field of exp ertise. It shall report regularly
to the Conference of the Parties on all aspects of its work.
2. Under the authority of and in accordance with guidelines laid down by the Conference of the Parties, and upon its request, t his body shall:
(a) Provide scientific and technical assessments of the status of biological diversity;(b) Prepare scientific and technical assessments of the effects of types of measures taken in accordance with the provisions of  this Convention;
(c) Identify innovative, efficient and state-of-the-art technologies and know-how relating to the conservation and sustainable use of biological diversity
and advise on the ways and means of promoting development and/or transferring such technologies;(d) Provide advice on scientific programmes and international cooperation in research and development related to conservation a nd sustainable use of
biological diversity; and
(e) Respond to scientific, technical, technological and methodological questions that the Conference of the Parties and its sub sidiary bodies may put to
the body".
Amendments and 1) Amendments
ProtocolsArticle 29 – Amendment of the Convention or Protocols
"1. Amendments to this Convention may be proposed by any Contracting Party. Amendments to any protocol may be proposed by any P arty to that
protocol.2. Amendments to this Convention shall be adopted at a meeting of the Conference of the Parties. Amendments to any protocol sha ll be adopted at a
meeting of the Parties to the Protocol in question. The text of any proposed amendment to this Convention or to any protocol, e xcept as may otherwise be
provided in such protocol, shall be communicated to the Parties to the instrument in question by the secretariat at least six m onths before the meeting at
which it is proposed for adoption. The secretariat shall also communicate proposed amendments to the signatories to this Conven tion for information.
3. The Parties shall make every effort to reach agreement on an y proposed amendment to this Convention or to any protocol by co nsensus. If all efforts at
consensus have been exhausted, and no agreement reached, the amendment shall as a last resort be adopted by a two-third majorit y vote of the Parties to
the instrument in question present and voting at the meeting, and shall be submitted by the Depositary to all Parties for ratif ication, acceptance or
approval.
4. Ratification, acceptance or approval of amendments shall be notified to the Depositary in writing. Amendments adopted in acc ordance with paragraph 3
above shall enter into force among Parties having accepted them on the ninetieth day after the deposit of instruments of ratifi cation, acceptance or
approval by at least two-thirds of the Contracting Parties to this Convention or of the Parties to the protocol concerned, exce pt as may otherwise be
provided in such protocol. Thereafter the amendments shall enter into force for any other Party on the ninetieth day after that  Party deposits its instrument
of ratification, acceptance or approval of the amendments.
5. For the purposes of this Article, "Parties present and voting"  means Parties present and casting an affirmative or negative vote".
/g224 See also Article 23:4(d) on the Conference of the Par ties in the Section on Decision-Making Bodies above.WT/CTE/W/160/Rev.2, TN/TE/S/5
Page 262) Protocols
Article 28 – Adoption of Protocols
"1. The Contracting Parties shall cooperate in the formulation and adoption of protocols to this Convention.
2. Protocols shall be adopted at a meeting of the Conference of the Parties.3. The text of any proposed protocol shall be communicated to the Contracting Parties by the Secretariat at least six months be fore such a meeting".
Article 32 – Relationship between this Convention and Its Protocols
"1. A State or a regional economic integration organization may no t become a Party to a protocol unless it is, or becomes at th e same time, a Contracting
Party to this Convention.2. Decisions under any protocol shall be taken only by the Parties to the protocol concerned. Any Contracting Party that has no t ratified, accepted or
approved a protocol may participate as an observer in any meeting of the parties to that protocol".
/g224 See Cartegena Protocol on Biosafety below .
H. CARTAGENA PROTOCOL ON BIOSAFETY
Website http://www.biodiv.org/biosafety/
Objective /g224 The objective of the Biosafety Protocol is to ensure an adequa te level of protection in the field of safe transfer, handling an d use of LMOs that may
have adverse effects on the conservation and sustainable use of bi ological diversity, taking also into account risks to human h ealth.
Date of Adoption 29 January 2000
Entry into force /g224 Not in force
Article 37 – Entry Into Force
"1. This Protocol shall enter into force on the ninetieth day after the date of deposit of the fiftieth instrument of ratificat ion, acceptance, approval or
accession by States or regional economic integratio n organizations that are Parties to the Convention.
2. This Protocol shall enter into force for a State or region al economic integration organizatio n that ratifies, accepts or app roves this Protocol or accedes
thereto after its entry into force pursuant to paragraph 1 above, on the ninetieth day after the date on which that State or re gional economic integration
organization deposits its instrument of ratification, acceptance, approval or accession, or on the date on which the Convention  enters into force for that
State or regional economic integration organization, whichever shall be the later.3. For the purposes of paragraphs 1 and 2 above, any instrument deposited by a regional economic integration organization shall  not be counted as
additional to those deposited by member States of such organization".
Parties 47
WTO Members 39 Parties to the Biosafety Protocol are also WTO Members.
Openness of
membershipArticle 36 – Signature
"This Protocol shall be open for signature … by States and regional economic integration organizations…".
Article 32:1of the Convention on Biological Diversity – Relationship between this Convention and Its Protocols
"1. A State or a regional economic integration organization may no t become a Party to a protocol unless it is, or becomes at th e same time, a Contracting
Party to this Convention".WT/CTE/W/160/Rev.2, TN/TE/S/5
Page 27Decision-Making
BodiesArticle 29:1-4 – Conference of the Pa rties Serving as the Meeting of  the Parties to this Protocol
"1. The Conference of the Parties shall serve as the meeting of the Parties to this Protocol.
2. Parties to the Convention that are not Parties to this Protoc ol may participate as observers in the proceedings of any meeti ng of the Conference of the
Parties serving as the meeting of the Parties to this Protocol. When the Conference of the Parties serves as the meeting of the  Parties to this Protocol,
decisions under this Protocol shall be taken only by those that are Parties to it.3. When the Conference of the Parties serves as the meeting of the Parties to this Protocol, any member of the bureau of the Co nference of the Parties
representing a Party to the Convention but, at that time, not a Party to this Protocol, shall be substituted by a member to be elected by and from among the
Parties to this Protocol.
4. The Conference of the Parties serving as the meeting of the Parties to this Protocol shall keep under regular review the imp lementation of this Protocol
and shall make, within its mandate, the decisions necessary to promote its effective implementation. It shall perform the funct ions assigned to it by this
Protocol and shall:
(a) Make recommendations on any matters necessary for the implementation of this Protocol;(b) Establish such subsidiary bodies as are deemed necessary for the implementation of this Protocol;(c) Seek and utilize, where appropriate, the services and cooperatio n of, and information provided by, competent international o rganizations and
intergovernmental and non-governmental bodies;
(d) Establish the form and the intervals for transmitting the information to be submitted in accordance with Article 33 of this Protocol and consider
such information as well as reports submitted by any subsidiary body;(e) Consider and adopt, as required, amendments to this Protocol and its annexes, as well as any additional annexes to this Prot ocol, that are deemed
necessary for the implementation of this Protocol; and(f) Exercise such other functions as may be required for the implementation of this Protocol".
Article 30 – Subsidiary Bodies
"1. Any subsidiary body established by or under the Convention may, upon a decision by the Conference of the Parties serving as  the meeting of the
Parties to this Protocol, serve the Protocol, in which case the meeting of the Parties shall specify which functions that body shall exercise.
2. Parties to the Convention that are not Pa rties to this Protocol may participate as observers in the proceedings of any meeti ng of any such subsidiary
bodies. When a subsidiary body of the Convention serves as a subsidiary body to this Protocol, decisions under the Protocol sha ll be taken only by the
Parties to the Protocol.
3. When a subsidiary body of the Convention exercises its functions with regard to matters concerning this Protocol, any member  of the bureau of that
subsidiary body representing a Party to the Convention but, at that time, not a Party to the Protocol, shall be substituted by a member to be elected by and
from among the Parties to the Protocol".
Amendments and
ProtocolsArticle 32 – Relationship with the Convention
"Except as otherwise provided in this Protocol, the provisions of the Convention relating to its protocols shall apply to this Protocol".
/g224 See also Article 29:4(e) on Conference of the Parties Serving as the Meeting of the Parties to this Protocol in the Section on Decision-making Bodies
above.
/g224 Article 29 on Amendment of the Convention or Protocols of the Convention on Biological Diversity will also apply to the Protoco l.WT/CTE/W/160/Rev.2, TN/TE/S/5
Page 28I. UNITED NATIONS FRAMEWORK CONVENTION ON CLIMATE CHANGE
Website http://unfccc.int/
Objective /g224 The objective of the UNFCCC is the stabilization of greenhouse gas concentrations in the atmosphere at a level that would preve nt dangerous
anthropogenic interference with the climate system.
Date of Signature 9 May 1992
Entry into force 21 March 1994
Parties 188
WTO Members 143 Parties to UNFCCC are also WTO Members.
Openness of
membershipArticle 20 – Signature
"This Convention shall be open for signature by States Members of  the United Nations or of any of its specialized agencies or t hat are Parties to the
Statute of the International Court of Justice and by regional economic integration organizations…".
Decision-Making
BodiesArticle 7:2 – Conference of the Parties
"2. The Conference of the Parties, as the supreme body of this Convention, shall keep under regular review the implementation o f the Convention and any
related legal instruments that the Conference of the Parties may adopt, and shall make, within its mandate, the decisions neces sary to promote the
effective implementation of the Convention. To this end, it shall:
(a) Periodically examine the obligations of the Parties and the institutional arrangements under the Convention, in the light o f the objective of the
Convention, the experience gained in its implementation and the evolution of scientific and technological knowledge;(b) Promote and facilitate the exchange of information on measures adopted by the Parties to address climate change and its eff ects, taking into account
the differing circumstances, responsibilities and capabilities of th e Parties and their respective commitments under the Conven tion;
(c) Facilitate, at the request of two or more Parties, the coordi nation of measures adopted by them to address climate change a nd its effects, taking into
account the differing circumstances, responsibilities and capabilities of the Parties and their respective commitments under th e Convention;
(d) Promote and guide, in accordance with the objective and provis ions of the Convention, the development and periodic refineme nt of comparable
methodologies, to be agreed on by the Conference of the Parties, inter alia, for preparing inventories of greenhouse gas emissi ons by sources and
removals by sinks, and for evaluating the effectiveness of measures to limit the emissions and enhance the removals of these ga ses;
(e) Assess, on the basis of all information made available to it in accordance with the provisions of the Convention, the imple mentation of the
Convention by the Parties, the overall effects of the measures ta ken pursuant to the Convention, in particular environmental, e conomic and social effects
as well as their cumulative impacts and the extent to which pr ogress towards the objective of the Convention is being achieved;
(f) Consider and adopt regular reports on the implementation of the Convention and ensure their publication;(g) Make recommendations on any matters necessary for the implementation of the Convention;(h) Seek to mobilize financial resources in accordance with Article 4, paragraphs 3, 4 and 5, and Article 11;(i) Establish such subsidiary bodies as are deemed necessary for the implementation of the Convention;
(j) Review reports submitted by its subsidiary bodies and provide guidance to them;
(k) Agree upon and adopt, by consensus, rules of procedure and financial rules for itself and for any subsidiary bodies;(l) Seek and utilize, where appropriate, the services and cooperation of, and information provided by, competent international organizations and
intergovernmental and non-governmental bodies; andWT/CTE/W/160/Rev.2, TN/TE/S/5
Page 29 (m) Exercise such other functions as are required for the achievement of the objective of the Convention as well as all other functions assigned to it
under the Convention".
Article 9:1 – Subsidiary Body for Scientific and Technological Advice
"1. A subsidiary body for scientific and technological advice is hereby established to provide the Conference of the Parties an d, as appropriate, its other
subsidiary bodies with timely information and advice on scientific and technological matters relating to the Convention. This b ody shall be open to
participation by all Parties and shall be multidisciplinary. It shall comprise government representatives competent in the rele vant field of expertise. It shall
report regularly to the Conference of the Parties on all aspects of its work".
Article 10 – Subsidiary Body for Implementation
"1. A subsidiary body for implementation is hereby established to assist the Conference of the Parties in the assessment and re view of the effective
implementation of the Convention. This body shall be open to participation by all Parties and comprise government representativ es who are experts on
matters related to climate change. It shall report regularly to the Conference of the Parties on all aspects of its work.2. Under the guidance of the Conference of the Parties, this body shall:
(a) Consider the information communicated in  accordance with Article 12, paragraph 1, to  assess the overall aggregated effect o f the steps taken by the
Parties in the light of the latest scient ific assessments concerning climate change;
(b) Consider the information communicated in  accordance with Article 12, paragraph 2, in order to assist the Conference of the Parties in carrying out
the reviews required by Article 4, paragraph 2(d); and(c) Assist the Conference of the Parties, as appropriate,  in the preparation and impl ementation of its decisions".
Amendments and 1) Amendments
Protocols Article 15 – Amendments to the Convention
"1. Any Party may propose amendments to the Convention.
2. Amendments to the Convention shall be adopted at an ordinary session of the Conference of the Parties. The text of any propo sed amendment to the
Convention shall be communicated to the Parties by the secretariat at least six months before the meeting at which it is propos ed for adoption. The
secretariat shall also communicate proposed amendments to the signatories to the Convention and, for information, to the Deposi tary.
3. The Parties shall make every effort to reach agreement on any proposed amendment to the Convention by consensus. If all effo rts at consensus have been
exhausted, and no agreement reached, the amendment shall as a last resort be adopted by a three-fourths majority vote of the Pa rties present and voting at the
meeting. The adopted amendment shall be communicated by the secretariat to the Depositary, who shall circulate it to all Partie s for their acceptance.
4. Instruments of acceptance in respect of an amendment shall be deposited with the Depositary. An amendment adopted in accorda nce with paragraph 3
above shall enter into force for those Parties having accepted it on the ninetieth day after the date of receipt by the Deposit ary of an instrument of
acceptance by at least three fourths of the Parties to the Convention.
5. The amendment shall enter into force for any other Party on the ninetieth day after the date on which that Party deposits wi th the Depositary its
instrument of acceptance of the said amendment…".
2) Protocols
Article 17 – Protocols
"1. The Conference of the Parties may, at any ordinary session, adopt protocols to the Convention.
2. The text of any proposed protocol shall be communicated to the Parties by the secretariat at least six months before such a session.
3. The requirements for the entry into force of any protocol shall be established by that instrument.4. Only Parties to the Convention may be Parties to a protocol.5. Decisions under any protocol shall be taken only by the Parties to the protocol concerned"./g224 See Kyoto Protocol below.WT/CTE/W/160/Rev.2, TN/TE/S/5
Page 30J. KYOTO PROTOCOL
Website http://unfccc.int/
Objective /g224 The Kyoto Protocol supplements and strengthens the UNFCCC.  The Kyoto Protocol is based on the general framework established by  the UNFCCC,
and shares its ultimate objective and principles, as well as its gr ouping of countries into Annex I, Annex II (the OECD members  of Annex I), and non-
Annex I Parties. This is a step towards achieving the objective of the Convention by reducing emissions from Annex I Parties.
Date of Signature 11 December 1997
Entry into force /g224 Not in force
/g224 It shall enter into force on the ninetieth day after the date on  which not less than 55 Parties to the Convention, incorporatin g Annex I Parties which
accounted in total for at least 55% of the total carbon dioxide emissions for 1990 from that group, have deposited their instru ments of ratification,
acceptance, approval or accession. (see Article 25)
Parties 106 (i.e. 43.9% of emissions)
WTO Members 86 Parties to the Kyoto Protocol are also WTO Members.
Openness of
membershipArticle 24 :1
"1. This Protocol shall be open for signature and subject to ra tification, acceptance or approval by States and regional econom ic integration organizations
which are Parties to the Convention…".
Decision-Making
Bodies/g224 The Kyoto Protocol will share the Convention’s institutions, including its two subsidiary bodies and secretariat, while the Con vention’s Conference of
the Parties will serve as the “meeting of the Parties” to the Protocol, forming a body known as the COP/MOP.
Article 13:1-4
"1. The Conference of the Parties, the supreme body of the Convention, shall serve as the meeting of the Parties to this Protoc ol.
2. Parties to the Convention that are not Parties to this Protoc ol may participate as observers in the proceedings of any sessi on of the Conference of the
Parties serving as the meeting of the Parties to this Protocol. When the Conference of the Parties serves as the meeting of the  Parties to this Protocol,
decisions under this Protocol shall be taken only by those that are Parties to this Protocol.3. When the Conference of the Parties serves as the meeting of the Parties to this Protocol, any member of the Bureau of the Co nference of the Parties
representing a Party to the Convention but, at that time, not a Party to this Protocol, shall be replaced by an additional memb er to be elected by and from
amongst the Parties to this Protocol.
4. The Conference of the Parties serving as the meeting of the Parties to this Protocol shall keep under regular review the imp lementation of this Protocol
and shall make, within its mandate, the decisions necessary to promote its effective implementation. It shall perform the funct ions assigned to it by this
Protocol and shall:
(a) Assess, on the basis of all information made available to it in accordance with the provisions of this Protocol, the implem entation of this Protocol by
the Parties, the overall effects of the measures taken pursuant to this Protocol, in particular environmental, economic and soc ial effects as well as their
cumulative impacts and the extent to which progress towards the objective of the Convention is being achieved;
(b) Periodically examine the obligations of the Parties under this  Protocol, giving due consideration to any reviews required b y Article 4, paragraph 2(d),
and Article 7, paragraph 2, of the Convention, in the light of the objective of the Convention, the experience gained in its im plementation and the
evolution of scientific and technological knowledge, and in this respect consider and adopt regular reports on the implementati on of this Protocol;
(c) Promote and facilitate the exchange of information on measures adopted by the Parties to address climate change and its eff ects, taking into accountWT/CTE/W/160/Rev.2, TN/TE/S/5
Page 31the differing circumstances, responsibilities and capabilities of th e Parties and their respective commitments under this Proto col;
(d) Facilitate, at the request of two or more Parties, the coordi nation of measures adopted by them to address climate change a nd its effects, taking into
account the differing circumstances, responsibilities and capabilities of the Parties and their respective commitments under th is Protocol;
(e) Promote and guide, in accordance with the objective of the Co nvention and the provisions of this Protocol, and taking fully  into account the relevant
decisions by the Conference of the Parties, the development and periodic refinement of comparable methodologies for the effecti ve implementation of
this Protocol, to be agreed on by the Conference of the Parties serving as the meeting of the Parties to this Protocol;(f) Make recommendations on any matters necessary for the implementation of this Protocol;(g) Seek to mobilize additional financial resources in accordance with Article 11, paragraph 2;(h) Establish such subsidiary bodies as are deemed necessary for the implementation of this Protocol;
(i) Seek and utilize, where appropriate, the services and cooperation of, and information provided by, competent international organizations and
intergovernmental and non-governmental bodies; and(j) Exercise such other functions as may be required for the implementation of this Protocol, and consider any assignment resul ting from a decision by
the Conference of the Parties".
Amendments and
ProtocolsArticle 20
"1. Any Party may propose amendments to this Protocol.
2. Amendments to this Protocol shall be adopted at an ordinary session of the Conference of the Parties serving as the meeting of the Parties to this
Protocol. The text of any proposed amendment to this Protocol shall be communicated to the Parties by the secretariat at least six months before the
meeting at which it is proposed for adoption. The secretariat shall also communicate the text of any proposed amendments to the  Parties and signatories to
the Convention and, for information, to the Depositary.3. The Parties shall make every effort to reach agreement on any proposed amendment to this Protocol by consensus. If all effor ts at consensus have been
exhausted, and no agreement reached, the amendment shall as a last resort be adopted by a three-fourths majority vote of the Pa rties present and voting at
the meeting. The adopted amendment shall be communicated by the secretariat to the Depositary, who shall circulate it to all Pa rties for their acceptance.
4. Instruments of acceptance in respect of an amendment shall be deposited with the Depositary. An amendment adopted in accorda nce with paragraph 3
above shall enter into force for those Parties having accepted it on the ninetieth day after the date of receipt by the Deposit ary of an instrument of
acceptance by at least three fourths of the Parties to this Protocol.5. The amendment shall enter into force for any other Party on the ninetieth day after the date on which that Party deposits wi th the Depositary its
instrument of acceptance of the said amendment".
K. INTERNATIONAL TROPICAL TIMBER AGREEMENT
17. The International Tropical Timber Agreement (ITTA), 1994 is the Successor Agreement to the International Tropical Timber Agreem ent, 1983 (Article 48 on
Supplementary and transitional provisions).
Website www.itto.or.jp
Objective /g224 ITTA, 1994 seeks to promote international trade in tropical timber, the sustainable management of tropical forests, and the dev elopment of tropical
forest industries through international cooperation, policy work and project activities, as provided for in objectives (a) to ( i) of Article 1.
Date of Signature 1 April 1994WT/CTE/W/160/Rev.2, TN/TE/S/5
Page 32Entry into force 1 January 1997
Article 46 – Duration, extension and termination
"1. This Agreement shall remain in force for a period of four years after its entry into force unless the Council, by special v ote, decides to extend,
renegotiate or terminate it in accordance with the provisions of this article.
2. The Council may, by special vote, decide to extend this Agreement for two periods of three years each.
3. If, before the expiry of the four-year period referred to in pa ragraph 1 of this article, or before the expiry of an extensi on period referred to in paragraph
2 of this article, as the case may be, a new agreement to replace this Agreement has been negotiated but has not yet entered in to force either definitively or
provisionally, the Council may, by special vote, extend this Agreement until the provisional or definitive entry into force of the new agreement.
4. If a new agreement is negotiated and enters into force during any period of extension of this Agreement under paragraph 2 or  paragraph 3 of this article,
this Agreement, as extended, shall terminate upon the entry into force of the new agreement.
5. The Council may at any time, by special vote, decide to terminate this Agreement with effect from such date as it may determ ine…".
/g224 In 2000, ITTA, 1994 was extended for a period of three years [Decision 4(XXVIII)].  It will remain in force until 31 December 2 003.  On
9 November 2002, the ITTA, 1994 was extended for a further period of three years with effect from 1 January 2004 to 31 December  2006
[Decision 9(XXXIII)].
Parties 57 parties including 31 producing and 25 consuming countries, and the European Community.
WTO Members 54 Parties to ITTA are also WTO Members.
Openness of
membershipArticle 38:1 – Signature, rati fication, acceptance and approval
"1. This Agreement shall be open for signature, at United Nations Headquarters from 1 April 1994 until one month after the date  of its entry into force, by
Governments invited to the United Nations Conference for the Negotiation of a Successor Agreement to the International Tropical  Timber Agreement,
1983".
Article 39:1 – Accession
"1. This Agreement shall be open for accession by the Governments of all states upon conditions established by the Council, whi ch shall include a time-
limit for the deposit of instruments of accession. The Council may, however, grant extensions of time to Governments which are unable to accede by the
time-limit set in the conditions of accession".
Decision-Making 1) The International Tropical Timber Council
BodiesArticle 6 – Composition of the International Tropical Timber Council
"1. The highest authority of the Organization shall be the International Tropical Timber Council (ITTC), which shall consist of  all the members of the
Organization.2. Each member shall be represented in the Council by one representative and may designate alternates and advisers to attend se ssions of the Council.
3. An alternate representative shall be empowered to act and vote on behalf of the representative during the latter's absence o r in special circumstances".
Article 7 – Powers and functions of the Council
"1. The Council shall exercise all such powers and perform or arrange for the performance of all such functions as are necessar y to carry out the
provisions of this Agreement.2. The Council shall, by special vote, adopt such rules and regulations as are necessary to carry out the provisions of this Ag reement and as are consistent
therewith, including its own rules of procedure and the financial rules and staff regulations of the Organization. Such financi al rules regulations shall, inter
alia, govern the receipt and expenditure of funds under the Administrative Account, the Special Account and the Bali Partnershi p Fund. The Council may,
in its rules of procedure, provide for a procedure wher eby it may, without meeting, decide specific questions.WT/CTE/W/160/Rev.2, TN/TE/S/5
Page 333. The Council shall keep such records as are required fo r the performance of its functions under this Agreement".
Article 12 – Decisions and reco mmendations of the Council
"1. The Council shall endeavour to take all decisions and to make  all recommendations by consensus. If consensus cannot be reac hed, the Council shall
take all decisions and make all recommendations by a simple distributed majority vote, unless this Agreement provides for a spe cial vote.
2. Where a member avails itself of the provisions of article 11, paragraph 2, and its votes are cast at a meeting of the Counci l, such member shall, for the
purposes of paragraph 1 of this article, be considered as present and voting".
Article 32 – General obligations of members
"1. Members shall, for the duration of this Agreement, use their best endeavours and cooperate to promote the attainment of its  objectives and to avoid any
action contrary thereto.
2. Members undertake to accept and carry out the decisions of the Council under the provisions of this Agreement and shall refr ain from implementing
measures which would have the effect of limiting or running counter to them".
2) Committees
Article 26:1 – Establishment of Committees
“1. The following are hereby established as Committees of the Organization:
(a) Committee on Economic Information and Market Intelligence(b) Committee on Reforestation and Forest Management
(c) Committee on Forest Industry; and
(d) Committee on Finance and Administration".
Article 27:1-5 – Functions of the Committees
1. The Committee on Economic Information and Market Intelligence shall:
(a) Keep under review the availability and quality of statistics and other information required by the Organization;(b) Analyze the statistical data and specific indicators as decide d by the Council for the monitoring of international timber t rade;
(c) Keep under continuous review the international timber market , its current situation and short-term prospects on the basis o f the data mentioned in
sub-paragraph (b) above and other relevant information, including information related to undocumented trade;(d) Make recommendations to the Council on the need for, and nature of, appropriate studies on tropical timber, including price s, market elasticity,
market substitutability, marketing of new products, and long-term  prospects of the international tropical timber market, and mo nitor and review any
studies commissioned by the Council;(e) Carry out any other tasks related to the economic, technical and statistical aspects of timber assigned to it by the Counci l;
(f) Assist in the provision of technical cooperation to developing member countries to improve their relevant statistical servi ces.
2. The Committee on Reforestation and Forest Management shall:
(a) Promote cooperation between members as partners in development of forest activities in member countries, inter alia , in the following areas:
(i) Reforestation;(ii) Rehabilitation;
(iii) Forest management;
(b) Encourage the increase of technical assistance and transfer of technology in the fields of reforestation and forest managem ent to developing
countries;(c) Follow up on-going activities in this field, and identify and consider problems and possible solutions to them in cooperati on with the competentWT/CTE/W/160/Rev.2, TN/TE/S/5
Page 34  organizations;
(d) Review regularly the future needs of international trade in industrial tropical timber and, on this basis, identify and con sider appropriate possible
schemes and measures in the field of reforestation, rehabilitation and forest management;
(e) Facilitate the transfer of knowledge in the field of reforestation and forest management with the assistance of competent o rganizations;
(f) Co-ordinate and harmonize these activities for cooperation in the field of reforestation and forest management with relevan t activities pursued
elsewhere, such as those under the auspices of the Food and Agricultural Organization (FAO), the United Nations Environmental P rogramme (UNEP),
the World Bank, the United Nations Development Programme (UNDP), regional development banks and other competent organizations.
3. The Committee on Forest Industry shall:
(a) Promote cooperation between member countries as partners in the development of processing activities in producing member co untries, inter alia, in
the following areas:
(i) Product development through transfer of technology;(ii) Human resources development and training;(iii) Standardization of nomenclature of tropical timber;(iv) Harmonization of specifications of processed products;
(v) Encouragement of investment and joint ventures; and
(vi) Marketing including the promotion of lesser known and lesser used species;
(b) Promote the exchange of information in order to facilitate structural changes involved in increased and further processing in the interests of all
member countries, in particular developing member countries;(c) Follow up on-going activities in this field, and identify and consider problems and possible solutions to them in cooperati on with the competent
organizations;
(d) Encourage the increase of technical cooperation for the processing of tropical timber for the benefit of producing member c ountries.
4. In order to promote the policy and project work of the Organization in a balanced manner the Committee on Economic Informati on and Market
Intelligence, the Committee on Reforestation and Forest Management and the Committee on Forest Industry shall each:
(a) Be responsible for ensuring the effective appraisal, monitoring and evaluation of pre-projects and projects;
(b) Make recommendations to the Counc il relating to pre-projects and projects;
(c) Follow up the implementation of pre-projects and projects an d provide for the collection and dissemination of their results  as widely as possible for
the benefit of all members;
(d) Develop and advance policy ideas to the Council;(e) Review regularly the results of project and policy work and make recommendations to the Council on the future of the Organi zation's programme;
(f) Review regularly the strategies, criteria and priority areas for programme development and project work contained in the Or ganization's Action Plan
and recommend revisions to the Council;
(g) Take account of the need to strengthen capacity build ing and human resource development in member countries;
(h) Carry out any other task related to the objectives of this Agreement assigned to them by the Council.
5. Research and development shall be a common function of the Committees referred to in paragraphs 1, 2, and 3 of this article" .
Amendments and
ProtocolsArticle 42 – Amendments
"1. The Council may, by special vote, recommend an amendment of this Agreement to members.
2. The Council shall fix a date by which members shall notify the depositary of their acceptance of the amendment.3. An amendment shall enter into force 90 days after the depositary has received notifications of acceptance from members const ituting at least two thirds
of the producing members and accounting for at least 75 per cent of the votes of the producing members, and from members consti tuting at least twoWT/CTE/W/160/Rev.2, TN/TE/S/5
Page 35thirds of the consuming members and accounting for at least 75 per cent of the votes of the consuming members.
4. After the depositary informs the Council that the requirements for entry into force of the amendment have been met, and notw ithstanding the provisions
of paragraph 2 of this article relating to the date fixed by  the Council, a member may still notify the depositary of its accep tance of the amendment,
provided that such notification is made before the entry into force of the amendment.
5. Any member which has not notified its acceptance of an amendment by the date on which such amendment enters into force shall  cease to be a party to
this Agreement as from that date, unless such member has satisfied the Council that its acceptance could not be obtained in tim e owing to difficulties in
completing its constitutional or institutional procedures, and the Council decides to extend for that member the period for acc eptance of the amendment.
Such member shall not be bound by the amendm ent before it has notified its acceptance thereof.
6. If the requirements for the entry into force of the amendmen t have not been met by the date fixed by the Council in accordan ce with paragraph 2 of this
article, the amendment shall be considered withdrawn".
L. UN F ISH STOCKS AGREEMENT
18. The UN Fish Stock Agreement is the Agreement for the Implementa tion of the Provisions of the UN Convention on the Law of the Se a (UNCLOS) of
10 December 1982 relating to the Conservation and Management of Stra ddling Fish Stocks and Highly Migratory Fish Stocks (UN Fis h Stocks Agreement).  Article 4
of the UN Fish Stocks Agreements on the Relationship between this Agreement and the Convention on the Law of the Sea provides t hat "[n]othing in this Agreement
shall prejudice the rights, jurisdiction and duties of States unde r the Convention. This Agreement shall be interpreted and app lied in the context of and in a manner
consistent with the Convention".
Website /g224 http://www.un.org/Depts/los/convention_agreements/convention_overview_fish_stocks.htm
Objective /g224 The UN Fish Stocks Agreement seeks to ensure the long-term conservation and sustainable use of straddling and highly migratory fish stocks by
requiring coastal States and States fishing on the high seas to cooperate for these purposes, either directly or through approp riate subregional or Regional
Fisheries Management Organizations (RFMOs) or arrangements.
Date of Signature 5 August 1995
Entry into force 11 December 2001
Parties 34
WTO Members 22 Parties to the UN Fish Stocks Agreement are also WTO Members.
Openness of
membershipArticle 37 – Signature
"This Agreement shall be open for signature by all States and the other entities referred to in article 1, paragraph 2(b)…".
Article 1:2(b) – Use of terms and scope
2. (b) This Agreement applies mutatis mutandis :
(i) to any entity referred to in article 305, paragraph 1 (c), (d) and (e), of the Convention and
(ii) subject to article 47, to any entity referred to as an "int ernational organization" in Annex IX, article 1, of the Convent ion which becomes a Party
to this Agreement, and to that extent "States Parties" refers to those entities".WT/CTE/W/160/Rev.2, TN/TE/S/5
Page 36Article 305:1 of the UN Convention on the Law of the Sea – Signature
"1. This Convention shall be open for signature by:
(a) all States;(b) Namibia, represented by the United Nations Council for Namibia;
(c) all self-governing associated States which have chosen that status in an act of self-determination supervised and approved by the United Nations in
accordance with General Assembly resolution 1514 (XV) and which have  competence over the matters governed by this Convention, i ncluding the
competence to enter into treaties in respect of those matters;(d) all self-governing associated States which, in accordance with their respective instruments of association, have competence  over the matters
governed by this Convention, including the competence to enter into treaties in respect of those matters;
(e) all territories which enjoy full internal self-government, r ecognized as such by the United Nations, but have not attained full independence in
accordance with General Assembly resolution 1514 (XV) and which have  competence over the matters governed by this Convention, i ncluding the
competence to enter into treaties in respect of those matters;(f) international organizations, in accordance with Annex IX".
Decision-Making
BodiesArticle 36 – Review conference
"1. Four years after the date of entry into force of this Agreement, the Secretary-General of the United Nations shall convene a conference with a view to
assessing the effectiveness of this Agreement in securing the conservation and management of straddling fish stocks and highly migratory fish stocks. The
Secretary-General shall invite to the conference all States Pa rties and those States and entities which are entitled to become parties to this Agreement as
well as those intergovernmental and non-governmental organizations entitled to participate as observers.
2. The conference shall review and assess the adequacy of the provisions of this Agreement and, if necessary, propose means of strengthening the
substance and methods of implementation of those provisions in order better to address any continuing problems in the conservat ion and management of
straddling fish stocks and highly migratory fish stocks".
/g224 The Agreement provides for a Review Conference four years after the date of the entry into force of the Agreement (Article 36).   However, the
General Assembly of the United Nations in its Resolution 56/13 of 28 November 2001 has requested the Secretary-General of the U nited Nations, once
the Agreement entered into force, to consult with the States Parties, for the purposes and objectives of, inter alia , considering the regional, subregional and
global implementation of the Agreement; making any appropriate recommendation to the General Assembly on the scope and content of the annual report
of the Secretary-General relating to the Agreement; and preparing for the review conference to be convened by the Secretary-Gen eral pursuant to
Article 36 of the Agreement.  The first Informal consultations of States Parties were held in New York, from 30 to 31 July 2002 .  They focussed on the
early implementation of Part VII of the Agreement on Requirements of Developing States (Articles 24-26).
/g224 In accordance with General Assembly Resolution 57/143, a second round  of Informal Consultations is scheduled for end of July or  early August 2003,
to discuss, inter alia , the establishment of a trust fund in favour of developing States Parties, as required under Part VII of the Agreement.
Amendments and
ProtocolsArticle 45 – Amendment
"1. A State Party may, by written communication addressed to th e Secretary-General of the United Nations, propose amendments to  this Agreement and
request the convening of a conference to consider such proposed amendments. The Secretary-General shall circulate such communic ation to all States
Parties. If, within six months from the date of the circulation of the communication, not less than one half of the States Part ies reply favourably to the
request, the Secretary-General shall convene the conference.
2. The decision-making procedure applicable at the amendment conf erence convened pursuant to paragraph 1 shall be the same as t hat applicable at the
United Nations Conference on Straddling Fish Stocks and Highly Migratory Fish Stocks, unless otherwise decided by the conferenc e. The conference
should make every effort to reach agreement on any amendments by way of consensus and there should be no voting on them until a ll efforts at consensusWT/CTE/W/160/Rev.2, TN/TE/S/5
Page 37have been exhausted.
3. Once adopted, amendments to this Agreement shall be open for signature at United Nations Headquarters by States Parties for twelve months from the
date of adoption, unless otherwise provided in the amendment itself.4. Articles 38, 39, 47 and 50 apply to all amendments to this Agreement.
5. Amendments to this Agreement shall enter into force for the States Parties ratifying or acceding to them on the thirtieth da y following the deposit of
instruments of ratification or accession by two thirds of the States Parties. Thereafter, for each State Party ratifying or acc eding to an amendment after the
deposit of the required number of such instruments, the amendment shall enter into force on the thirtieth day following the dep osit of its instrument of
ratification or accession.6. An amendment may provide that a smaller or a larger number of ratifications or accessions shall be required for its entry in to force than are required by
this article. of amendments in accordance with paragraph 5 shall, failing an expression of a different intention by that State:
(a) be considered as a Party to this Agreement as so amended; and(b) be considered as a Party to the unamended Agreement in relation to any State Party not bound by the amendment".
M. ROTTERDAM CONVENTION ON THE PRIOR INFORMED CONSENT PROCEDURE FOR CERTAIN HAZARDOUS CHEMICALS AND PESTICIDES IN INTERNATIONAL
TRADE
Website http://www.pic.int/
Objective /g224 The objective of the Rotterdam Convention is to promote shared responsibility and cooperative effort among Parties in the inter national trade of certain
hazardous chemicals in order to protect human health and the envi ronment from potential harm and to contribute to their environ mentally sound use, by
facilitating information exchange about their characteristics, by providing for a national decision-making process on their imp ort and export and by
disseminating these decisions to Parties.
/g224 The Convention provides that chemicals subject to the Convention may be exported only in accordance with an informed decision b y importing Parties.
Date of Signature 10 September 1998
Entry into force Not in force
Article 26 – Entry into force
"1. This Convention shall enter into force on the ninetieth day after the date of deposit of the fiftieth instrument of ratific ation, acceptance, approval or
accession.2. For each State or regional economic integration organization that ratifies, accepts or approves this Convention or accedes t hereto after the deposit of the
fiftieth instrument of ratification, acceptance, approval or accession, the Convention shall enter into force on the ninetieth day after the date of deposit by
such State or regional economic integration organization of its  instrument of ratification, acceptance, approval or accession.
3. For the purpose of paragraphs 1 and 2, any instrument depos ited by a regional economic integration organization shall not be  counted as additional to
those deposited by member States of that organization".
Parties 41
WTO Members 34 Parties to the Rotterdam Convention are also WTO Members.
Openness of
membershipArticle 24 – Signature
"This Convention shall be open for signature at Rotterdam by all States and regional economic integration organizations…".WT/CTE/W/160/Rev.2, TN/TE/S/5
Page 38Article 25:1 – Ratifi cation, acceptance, approval or accession
"1. This Convention shall be subject to ratification, acceptance or  approval by States and by re gional economic integration org anizations. It shall be open
for accession by States and by regional economic integration organizations from the day after the date on which the Convention is closed for signature.
Instruments of ratification, acceptance, approval or accession shall be deposited with the Depositary".
Decision-Making
BodiesArticle 18:5-6 – Conference of the Parties
"5. The Conference of the Parties shall keep under continuous re view and evaluation the implementation of this Convention. It s hall perform the functions
assigned to it by the Convention and, to this end, shall:(a) Establish, further to the requirements of paragraph 6 below, such subsidiary bodies, as it considers necessary for the impl ementation of the
Convention;(b) Cooperate, where appropriate, with competent international organizations and intergovernmental and non-governmental bodies;  and
(c) Consider and undertake any additional action that may be required for the achievement of the objectives of the Convention.
6. The Conference of the Parties shall, at its first meeting, establish a subsidiary body, to be called the Chemical Review Com mittee, for the purposes of
performing the functions assigned to that Committee by this Convention. In this regard:(a) The members of the Chemical Review Committee shall be appointed by the Conference of the Parties. Membership of the Committ ee shall consist of a
limited number of government-designated experts in chemicals management. The members of the Committee shall be appointed on the  basis of equitable
geographical distribution, including ensuring a balance between developed and developing Parties;
(b) The Conference of the Parties shall decide on the terms of reference, organization and operation of the Committee;
(c) The Committee shall make every effort to make its recommendations by consensus. If all efforts at consensus have been exhau sted, and no consensus
reached, such recommendation shall as a last resort be adopted by  a two-thirds majority vote of the members present and voting" .
Amendments and
ProtocolsArticle 21 – Amendments to the Convention
"1. Amendments to this Convention may be proposed by any Party.
2. Amendments to this Convention shall be adopted at a meeting of the Conference of the Parties. The text of any proposed amend ment shall be
communicated to the Parties by the Secretariat at least six months before the meeting at which it is proposed for adoption. The  Secretariat shall also
communicate the proposed amendment to the signatories to this Convention and, for information, to the Depositary.
3. The Parties shall make every effort to reach agreement on an y proposed amendment to this Convention by consensus. If all eff orts at consensus have
been exhausted, and no agreement reached, the amendment shall as a last resort be adopted by a three-fourths majority vote of t he Parties present and
voting at the meeting.4. The amendment shall be communicated by the Depositary to all Parties for ratification, acceptance or approval.
5. Ratification, acceptance or approval of an amendment shall be notified to the Depositary in writing. An amendment adopted in  accordance with
paragraph 3 shall enter into force for the Parties having accepte d it on the ninetieth day after the date of deposit of instrum ents of ratification, acceptance
or approval by at least three fourths of the Parties. Thereafte r, the amendment shall enter into force for any other Party on t he ninetieth day after the date
on which that Party deposits its instrument of ratification, acceptance or approval of the amendment".WT/CTE/W/160/Rev.2, TN/TE/S/5
Page 39N. STOCKHOLM CONVENTION ON PERSISTENT ORGANIC POLLUTANTS
Website http://www.pops.int/
Objective /g224 The Convention is aimed at the reduction or elimination of releas es of Persistent Organic Pollutants (POPs) into the environmen t.
Date of Signature 22 May 2001
Entry into force Not in force
Article 26 – Entry into force
"1. This Convention shall enter into force on the ninetieth day after the date of deposit of the fiftieth instrument of ratific ation, acceptance, approval or
accession.2. For each State or regional economic integration organization that ratifies, accepts or approves this Convention or accedes t hereto after the deposit of the
fiftieth instrument of ratification, acceptance, approval or accession, the Convention shall enter into force on the ninetieth day after the date of deposit by
such State or regional economic integration organization of its  instrument of ratification, acceptance, approval or accession.
3. For the purpose of paragraphs 1 and 2, any instrument depos ited by a regional economic integration organization shall not be  counted as additional to
those deposited by member States of that organization".
Parties 30
WTO Members 22 Parties to the Stockholm Convention are also WTO Members.
Openness of
membershipArticle 24 – Signature
"This Convention shall be open for signature at Stockholm by all States and regional economic integration organizations…".
Article 25 – Ratifica tion, acceptance, a pproval or accession
"1. This Convention shall be subject to ratification, acceptance or  approval by States and by re gional economic integration org anizations. It shall be open
for accession by States and by regional economic integration organizations from the day after the date on which the Convention is closed for signature.
Instruments of ratification, acceptance, approval or accession shall be deposited with the Depositary".
Decision-Making
BodiesArticle 19:5-7 – Conference of the Parties
"5. The Conference of the Parties shall keep under continuous re view and evaluation the implementation of this Convention. It s hall perform the functions
assigned to it by the Convention and, to this end, shall:
(a) Establish, further to the requirements of paragraph 6, such  subsidiary bodies as it considers necessary for the implementat ion of the Convention;
(b) Cooperate, where appropriate, with competent international organizations and intergovernmental and non-governmental bodies;  and
(c) Regularly review all information made available to the Parties pursuant to Article 15, including consideration of the effec tiveness of
paragraph 2 (b) (iii) of Article 3;(d) Consider and undertake any additional action that may be required for the achievement of the objectives of the Convention.
6. The Conference of the Parties shall, at its first meeting, establish a subsidiary body to be called the Persistent Organic P ollutants Review Committee for
the purposes of performing the functions assigned to that Committee by this Convention. In this regard:
(a) The members of the Persistent Organic Pollutants Review Committee shall be appointed by the Conference of the Parties. Memb ership of the
Committee shall consist of government-designated experts in chemical assessment or management. The members of the Committee sha ll be appointed
on the basis of equitable geographical distribution;(b) The Conference of the Parties shall decide on the terms of reference, organization and operation of the Committee; and(c) The Committee shall make every effort to adopt its recommendations by consensus. If all efforts at consensus have been exha usted, and no
consensus reached, such recommendation shall as a last resort be adopted by a two-thirds majority vote of the members present a nd voting.WT/CTE/W/160/Rev.2, TN/TE/S/5
Page 407. The Conference of the Parties shall, at its third meeting, ev aluate the continued need for the procedure contained in paragr aph 2 (b) of Article 3,
including consideration of its effectiveness.
Amendments and
ProtocolsArticle 21 – Amendments to the Convention
"1. Amendments to this Convention may be proposed by any Party.
2. Amendments to this Convention shall be adopted at a meeting of the Conference of the Parties. The text of any proposed amend ment shall be
communicated to the Parties by the Secretariat at least six months before the meeting at which it is proposed for adoption. The  Secretariat shall also
communicate proposed amendments to the signatories to this Convention and, for information, to the depositary.3. The Parties shall make every effort to reach agreement on an y proposed amendment to this Convention by consensus. If all eff orts at consensus have
been exhausted, and no agreement reached, the amendment shall as a last resort be adopted by a three-fourths majority vote of t he Parties present and
voting.
4. The amendment shall be communicated by the depositary to all Parties for ratification, acceptance or approval.
5. Ratification, acceptance or approval of an amendment shall be  notified to the depositary in writing. An amendment adopted in  accordance with
paragraph 3 shall enter into force for the Parties having accepte d it on the ninetieth day after the date of deposit of instrum ents of ratification, acceptance
or approval by at least three-fourths of the Parties. Thereafter, the amendment shall enter into force for any other Party on t he ninetieth day after the date
on which that Party deposits its instrument of ratification, acceptance or approval of the amendment".WT/CTE/W/160/Rev.2, TN/TE/S/5
Page 41II. TRADE-RELATED MEASURES
A. INTERNATIONAL PLANT PROTECTION CONVENTION
IPPC 1979 1997 Amendments
Article V – Phytosanitary certificates
"1. Each contracting party shall make arrangements for the issuance of phytosanitary
certificates to accord with the plant protectio n regulations of other contracting parties,
and in conformity with the following provisions:
(a) Inspection shall be carried out and certificates issued only by or under theauthority of technically qualified and duly authorized officers and in suchcircumstances and with such knowledge and information available to those officersthat the authorities of importing countries may accept such certificates with
confidence as dependable documents.
(b) Each certificate for the export or re-export of plants or plant products shall be asworded in the Annex to this Convention.(c) Uncertified alterations or erasures shall invalidate the certificates.
2. Each contracting party undertakes not to require consignments of plants or plantproducts imported into its territories to be accompanied by phytosanitary certificates
inconsistent with the models set out in the Annex to this Convention. Any requirement
for additional declarations shall be kept to a minimum".
Article VI – Requirements in relation to imports
"1. With the aim of preventing the introduction of pests of plants and plant products
into their territories, contracting parties shall have full authority to regulate the entry ofplants and plant products and to this end, may:
(a) prescribe restrictions or requirements  concerning the importation of plants or
plant products;(b) prohibit the importation of particular plants or plant products, or of particularconsignments of plants or plant products;(c) inspect or detain particular consignments of plants or plant products;(d) treat, destroy or refuse entry to particular consignments of plants or plant
products that do not comply with the requirements prescribed under subparagraph (a)
or (b) of this paragraph, or require such consignments to be treated or destroyed orremoved from the country;(e) list pests the introduction of which is prohibited or restricted because they are ofpotential economic importance to the country concerned.
2. In order to minimize interference with international trade, each contracting party
undertakes to carry out the provisions referred to in paragraph 1 of this Article inArticle V – Phytosanitary certification
"1. Each contracting party shall make arrang ements for phytosanitary certification, with
the objective of ensuring that exported plants, plant products and other regulated articles
and consignments thereof are in conformity with the certifying statement to be made
pursuant to paragraph 2(b) of this Article.2. Each contracting party shall make arrangements for the issuance of phytosanitarycertificates in conformity with the following provisions:
a) Inspection and other related activities leading to issuance of phytosanitary
certificates shall be carried out only by or under the authority of the official national
plant protection organization. The issuance of phytosanitary certificates shall becarried out by public officers who are techni cally qualified and duly authorized by the
official national plant protection organization to act on its behalf and under its controlwith such knowledge and information available to those officers that the authorities ofimporting contracting parties may accept the phy tosanitary certificates with confidence
as dependable documents.
b) Phytosanitary certificates, or their electronic equivalent where accepted by theimporting contracting party concerned, shall be as worded in the models set out in theAnnex to this Convention. These certificates  should be completed and issued taking
into account relevant international standards.c) Uncertified alterations or erasur es shall invalidate the certificates.
3. Each contracting party undertakes not to require consignments of plants or plant
products or other regulated articles imported into its territories to be accompanied by
phytosanitary certificates inconsistent with the models set out in the Annex to thisConvention. Any requirements for additional declarations shall be limited to thosetechnically justified".
Article VII – Requirements in relation to imports
"1. With the aim of preventing the introduction and/or spread of regulated pests into their
territories, contracting parties shall have so vereign authority to regulate, in accordance
with applicable international agreements, the entry of plants and plant products and otherregulated articles and, to this end, may:
(a) prescribe and adopt phytosanitary measures concerning the importation of plants,
plant products and other regulated articles, including, for example, inspection,
prohibition on importation, and treatment;WT/CTE/W/160/Rev.2, TN/TE/S/5
Page 42IPPC 1979 1997 Amendments
conformity with the following:
(a) Contracting parties shall not, under thei r plant protection legislation, take any of
the measures specified in paragraph 1 of this Article unless such measures are madenecessary by phytosanitary considerations.
(b) If a contracting party prescribes any re strictions or requirements concerning the
importation of plants and plant products into its territories, it shall publish therestrictions or requirements and communicate them immediately to FAO, anyregional plant protection organization of which the contracting party is a memberand all other contracting parties directly concerned.
(c) If a contracting party prohibits, under the provisions of its plant protection
legislation, the importation of any plants or plant products, it shall publish itsdecision with reasons and shall immediately inform FAO, any regional plantprotection organization of which the contracting party is a member and all othercontracting parties directly concerned.(d) If a contracting party requires consignments of particular plants or plant products
to be imported only through specified points of entry, such points shall be so
selected as not unnecessarily to impede international commerce. The contracting
party shall publish a list of such points of entry and communicate it to FAO, anyregional plant protection organization of which the contracting party is a memberand all other contracting parties directly concerned. Such restrictions on points of
entry shall not be made unless the plants or plant products concerned are required to
be accompanied by phytosanitary certificates or to be submitted to inspection or
treatment.(e) Any inspection by the plant protection organization of a contracting party ofconsignments of plants or plant products offered for importation shall take place aspromptly as possible with due regard to the perishability of the plants or plantproducts concerned. If any commercial or certified consignment of plants or plant
products is found not to conform to the requirements of the plant protection
legislation of the importing country, the plant protection organization of theimporting country must ensure that the plant protection organization of the exportingcountry is properly and adequately informed. If the consignment is destroyed, inwhole or in part, an official report shall be forwarded immediately to the plant
protection organization of the exporting country.
(f) Contracting parties shall make provisions which, without endangering their ownplant production, will keep certification requirements to a minimum, particularly forplants or plant products not intended for planting, such as cereals, fruits, vegetablesand cut flowers.(g) Contracting parties may make provisions, with adequate safeguards, for the(b) refuse entry or detain, or require treatment, destruction or removal from the
territory of the contracting party, of plants, plant products and other regulated articlesor consignments thereof that do not comply with the phytosanitary measuresprescribed or adopted under subparagraph a);
(c) prohibit or restrict the movement of regulated pests into their territories;
(d) prohibit or restrict the movement of biological control agents and other organismsof phytosanitary concern claimed to be beneficial into their territories.
2. In order to minimize interference with in ternational trade, each contracting party, in
exercising its authority under paragraph 1 of this Article, undertakes to act in conformity
with the following:
(a) Contracting parties shall not, under their phytosanitary legislation, take any of the
measures specified in paragraph 1 of this Article unless such measures are madenecessary by phytosanitary considerations and are technically justified.(b) Contracting parties shall, immediately upon their adoption, publish and transmitphytosanitary requirements, restrictions and prohibitions to any contracting party or
parties that they believe may be directly affected by such measures.
(c) Contracting parties shall, on request, make available to any contracting party therationale for phytosanitary requirements, restrictions and prohibitions.(d) If a contracting party requires consignments of particular plants or plant productsto be imported only through specified points of entry, such points shall be so selectedas not to unnecessarily impede international trade. The contracting party shall publish
a list of such points of entry and communicate it to the Secretary, any regional plant
protection organization of which the contr acting party is a member, all contracting
parties which the contracting party believes to be directly affected, and othercontracting parties upon request. Such restrictions on points of entry shall not be madeunless the plants, plant products or other regulated articles concerned are required tobe accompanied by phytosanitary certificates or to be submitted to inspection or
treatment.
(e) Any inspection or other phytosanitary procedure required by the plant protectionorganization of a contracting party for a consignment of plants, plant products or otherregulated articles offered for importation, shall take place as promptly as possible withdue regard to their perishability.
(f) Importing contracting parties shall, as soon as possible, inform the exporting
contracting party concerned or, where appropriate, the re-exporting contracting partyconcerned, of significant instances of non-compliance with phytosanitary certification.The exporting contracting party or, where appropriate, the re-exporting contracting
party concerned, should investigate and, on request, report the result of itsinvestigation to the importing contracting party concerned.WT/CTE/W/160/Rev.2, TN/TE/S/5
Page 43IPPC 1979 1997 Amendments
importation for purposes of scientific research or education, of plants and plant
products and of specimens of plant pests. Adequate safeguards likewise need to betaken when introducing biological control agents and organisms claimed to bebeneficial.
3. The measures specified in this Article shall not be applied to goods in transit
throughout the territories of contracting pa rties unless such measures are necessary for
the protection of their own plants.4. FAO shall disseminate information received on importation restrictions,requirements, prohibitions and regulations (as specified in paragraph 2(b), (c) and (d)
of this Article) at frequent intervals to all contracting parties and regional plant
protection organizations".(g) Contracting parties shall institute only phytosanitary measures that are technically
justified, consistent with the pest risk involved and represent the least restrictivemeasures available, and result in the minimum impediment to the internationalmovement of people, commodities and conveyances.
(h) Contracting parties shall, as conditions change, and as new facts become available,
ensure that phytosanitary measures are promptly modified or removed if found to beunnecessary.(i) Contracting parties shall, to the best of their ability, establish and update lists ofregulated pests, using scientific names, and make such lists available to the Secretary,
to regional plant protection organizations of which they are members and, on request,
to other contracting parties.(j) Contracting parties shall, to the best of their ability, conduct surveillance for pestsand develop and maintain adequate information on pest status in order to supportcategorization of pests, and for the development of appropriate phytosanitarymeasures. This information shall be made available to contracting parties, on request.
3. A contracting party may apply measures specified in this Article to pests which may
not be capable of establishment in its territories but, if they gained entry, cause economicdamage.  Measures taken against these pests must be technically justified.4. Contracting parties may apply measures specified in this Article to consignments intransit through their territories only where such measures are technically justified and
necessary to prevent the introduction and/or spread of pests.
5. Nothing in this Article shall prevent importing contracting parties from making special
provision, subject to adequate safeguards, for the importation, for the purpose ofscientific research, education, or other specific use, of plants and plant products and otherregulated articles, and of plant pests.6. Nothing in this Article shall prevent any contracting party from taking appropriateemergency action on the detection of a pest posing a potential threat to its territories or
the report of such a detection.  Any such action shall be evaluated as soon as possible to
ensure that its continuance is justified.  The action taken shall be immediately reported tocontracting parties concerned, the Secret ary, and any regional plant protection
organization of which the contracting party is a member".WT/CTE/W/160/Rev.2, TN/TE/S/5
Page 44B. INTERNATIONAL CONVENTION FOR THE CONSERVATION OF ATLANTIC TUNAS
19. The International Commission for the Conservation of Atlantic T unas is not a regulatory body, however, regulatory Recommendatio ns and Resolutions
related to the conservation of tuna and tuna-like species in the Atlantic Ocean and adjacent seas, adopted by the Commission, a re to be implemented domestically by
Contracting Parties and Cooperating non-Contracting Parties, Entiti es or Fishing Entities.  Recommendations are the only bindin g instruments.  They are subject to a
6 month period during which Contracting Parties can file an objection (see Article VIII:3).  The Recommendations then enter int o force after the 6 month objection
period.  Resolutions are a second instrument of the Commission, but are not subject to an objection period.  The number of Reso lutions and Recommendations that
the Commission adopts each year has been increasing.  They include the following:
1. Resolutions
Resolution 94-3
Bluefin Tuna Action PlanResolution Concerning an Ac tion Plan to Ensure Effectiveness of the Conservation Program for At lantic Bluefin Tuna (Entered int o force:
October 2, 1995) – Article (f):
"[The International Commission for the Conservation of Atlantic T unas (ICCAT) resolves that:] to ensure the effectiveness of IC CAT Bluefin
Conservation Programme the Commission will recommend that Contract ing Parties take non-discriminatory trade restrictive measure s, consistent
with international obligations on bluefin tuna products in any form …".
Resolution 95-13
Atlantic Swordfish
Action PlanResolution Concerning an Action Plan to Ensure the Effectiveness of the Conservation Pr ogram for Atlantic Swordfish (Entered in to force:
June 22, 1996) – Article (f):
"[The International Commission for the Conservation of Atlantic T unas (ICCAT) resolves that:] to ensure the effectiveness of IC CAT conservation
recommendations for Atlantic swordfish, the Commission will reco mmend that Contracting Parties take non-discriminatory trade re strictive
measures, consistent with their international obligations, with respect to Atlantic swordfish products in any form …".
Resolution 98-18
Unreported and
Unregulated Tuna
Catches By Large-Scale
LL in Convention Area
(1998 IUU Resolution)Resolution Concerning the Unreported and Unregulated Catches of Tunas by Large-Sc ale Longline Vessels in  the Convention Area
(Entered into force: June 21, 1999) – Article 5
"[The International Commission for the Conservation of Atlantic Tunas (ICCAT) resolves that:] The Commission will recommend eff ective
measures, if necessary including non-discriminatory trade restrictive measures on the subject species, consistent with their in ternational obligations,
to prevent those longline vessels of those Contracting Partie s and non-contracting parties/entities or fishing entities identif ied in paragraph 4 above
from continuing the fishing operations for tunas and tuna-like species in a manner which diminishes the effectiveness of the IC CAT conservation
measures".
Resolution 99-11
Further Actions Against
IUUsResolution Calling for Further Actions Agai nst Illegal, Unregulated, and Unreported Fi shing Activities by Large-Scale Longline Vessels in
the Convention Area and Ot her Areas (Transmitted to Co ntracting Parties: December 16, 1999) – Article 2 (i)
"[The International Commission for the Conservation of Atlantic Tunas (ICCAT) resolves that:] The Contracting Parties, Cooperat ing Non-
Contracting Parties, Entities or Fishing Entities shall take every possible action, consistent with the relevant laws,
i. to urge their importers, transporters and other concerned business people to refrain from engaging in transaction and transs hipment of tunas and
tuna-like species caught by vessels carrying out illegal, unregulated and unreported fishing activities in the Convention Area and other areas."
Resolution 01-18
Scope of IUU FishingResolution Further Defining the Sc ope of IUU Fishing (Transmitted to Contracting Parties: March 22, 2002)
"[The International Commission for the Conservation of Atlantic Tunas (ICCAT) resolves that:] Contracting Parties and Cooperati ng Non-
Contracting Parties, Entities and Fishing Entities shall take ever y possible action, consistent with relevant laws, to instruct  their importers,
transporters, and other concerned business people to refrain from engaging in transaction and transshipment of tunas and tuna-l ike species caught byWT/CTE/W/160/Rev.2, TN/TE/S/5
Page 45vessels carrying out illegal, unregulated, and unreported fishing activities, which include, inter alia, any fishing not in com pliance with relevant
ICCAT conservation and management measures, in the Convention Area or other areas."
Resolution 02-25
Measures to Prevent the
Laundering of Catches
by IUU Large-Scale
Tuna Longline Fishing
VesselsResolution concerning the Measures  to Prevent the Laundering of Catches by IUU Large-Scale Tuna Longline Fishing Vessels (Trans mitted
to Contracting Parties on December 4, 2002)
"[The International Commission for the Conservation of Atlantic Tunas (ICCAT) resolves that:]
1. Contracting Parties, Cooperating non Contracting Parties, En tities or Fishing Entities (hereinafter referred to as the “CPCs ”) should ensure that
their duly licensed large-scale tuna longline fishing vessels have a prior authorization of at sea or in port transshipment and  obtain the validated
Statistical Document, whenever possible, pr ior to the transshipment of their tuna an d tuna-like species subject to the Statisti cal Document Programs.
They should also ensure that transshipments are consistent with the reported catch amount of each vessel in validating the Stat istical Document and
require the reporting of transshipment.
2. CPCs that import tuna and tuna-like species caught by large-scale tuna longline fishing vessels and subject to the Statistic al Document Programs
should require transporters (which include container vessels, mother vessels, and the like) that intend to land such species in  their ports, to ensure that
Statistical Documents are issued, whenever possible before the transshipment. Importing CPCs should obligate the transporters t o submit necessary
documents, including a copy of the validated Statistical Document and other documents, as required under domestic regulation, s uch as the receipt of
transshipment, to the importing CPCs’ authorities immediately after the transshipment".
Resolution 02-26
Cooperative Actions to
Eliminate IUU Fishing
Activities by Large-Scale
Tuna Longline VesselsResolution concerning Cooperative Actions to  Eliminate IUU Fishing Activities by Larg e-Scale Tuna Longline Vessels (Transmitted  to
Contracting Parties on December 4, 2002)
"[The International Commission for the Conservation of Atlantic Tunas (ICCAT) resolves that:]
1. Japan and Chinese Taipei should further work together to eliminate the remaining IUU LSTLVs owned and/or operated by Chinese  Taipei’s
residents.2. Japan should work closely with the flag States of LSTLVs and if appropriate take joint action, so as to implement the Recomm endation smoothly
and satisfactorily and to achieve the objective of paragraph 1 above.3. The Commission urges Chinese Taipei to consider adopting appropriate domestic legislation to improve its ability to control its residents that
invest in or otherwise support or engage in IUU fishing.
4. Contracting Parties, Cooperating non-Contracting Parties, Entities or Fishing Entities should urge and may instruct their re sidents to refrain from
engaging in and/or associating with activities that may support IUU tuna longline fishing vessels and with any other activities  that undermine the
effectiveness of ICCAT conservation and management measures".
Resolution 02-27
Process and Criteria for
ICCAT IUU Trade
Restrictive MeasuresResolution concerning Process an d Criteria for ICCAT IUU Trade Restrictive Meas ures (Transmitted to Contracting Parties on
December 4, 2002)
"[The International Commission for the Conservation of Atlantic Tunas (ICCAT) resolves that:]
1. A Working Group meeting of Contracting Parties and Coopera ting non-Contracting Parties, En tities or Fishing Entities should be convened in
2003, preferably in conjunction with another inter-sessional meeting, to develop criteria and a process for the fair, transpare nt and consistent
application of ICCAT measures, including trade restrictiv e measures, to prevent, deter and eliminate IUU fishing.
2. In carrying out its task, the Working Group should:
a) review the processes for the imposition or removal of trade restrictive measures under existing ICCAT instruments;
b) further develop and elaborate criteria and consistent procedures allowing for the imposition or removal of trade restrictive  measures in a fair,
transparent and nondiscriminatory manner and in accordance with in ternational law, including principles, rights and obligations  laid down in WTO
Agreements;c) consider all relevant factors, including possible differe nces between Contracting Parties and non-Contracting Parties;WT/CTE/W/160/Rev.2, TN/TE/S/5
Page 46d) develop and elaborate, as appropriate, additional measures for the listing or de-listing of IUU fishing vessels to other typ es of IUU fishing
activities that are not yet covered by existing ICCAT instruments; ande) report to the Commission at its annual meeting in 2003.
3. As a minimum, the Working Group should consider, inter alia :
- Appendix 4.6 of the Report of the ICCAT Ad Hoc Working Group on Measures to Combat IUU Fishing (Tokyo, Japan, May 27-30, 2002):
Canada’s Criteria for the Imposition and Removal of Trade Restrictive Measures for Consideration at the ICCAT Working Group Mee ting on
IUU;
- Appendix 4.7 of the same Report. EC’s Explanatory Memorandum;
- Draft Resolution by ICCAT for a Bluefin Tuna, Swordfish and Bigeye Tuna Action Plan;
- Draft Resolution by ICCAT Concerning Compliance in the Fisheries of Bluefin Tuna, Swordfish and Bigeye Tuna; and
- Draft Resolution by ICCAT on the Introduction of Supplementary Procedure on ICCAT Trade-Related Schemes, and the Explanatory
Memorandum of same".
2. Recommendations
Recommendation 96-11
Belize & Honduras:
Pursuant to 1994 Bluefin
Tuna Action Plan
ResolutionRecommendation Regarding Belize and Honduras Pursuant to the 1994  Bluefin Tuna Action Plan Resolution (Entered into force:
August 4, 1997) –Article (a)
"[The International Commission for the Conservation of Atlantic Tunas (ICCAT) recommends that:] Contracting Parties take approp riate measures,
consistent with provisions of the "Resolution by ICCAT Concerning an Action Plan to Ensure Effectiveness of the Conservation Pr ogram for
Atlantic Bluefin Tuna", to the effect that the import of Atlantic bluefin tuna and its products in any form from Belize and Hon duras be prohibited,
effective from the time this Recommendation enters into force."
/g224 The import ban was lifted for Honduras, effective on 21 September 2002 ( Recommendation 01-15 – Lifting of Bluefin Tuna and Swordfish Import
Ban on Honduras )
/g224  In the case of Belize, pending a satisfactory review of Belize’s progress in 2003, the Commission will consider the lifting o f sanctions against
Belize on 1 January 2004 ( Recommendation 02-16 – Importation of Atlantic Bluefin Tuna, Atlantic Swordfish, and Atlantic Bigeye Tuna and their
Products from Belize ).
Recommendation 96-12
Panama: Pursuant to
1994 Bluefin Tuna
Action Plan ResolutionRecommendation Regarding Panama Pursuant to the 1994 ICCAT Bluefin Tuna Action Plan Resolution (Entered into force:
August 4, 1997) – Article (a)
"[The International Commission for the Conservation of Atlantic Tunas (ICCAT) recommends that:] Contracting Parties take approp riate measures,
consistent with provisions of the "Resolution by ICCAT Concerning an Action Plan to Ensure Effectiveness of the Conservation Pr ogram for
Atlantic Bluefin Tuna", to the effect that the import of Atlantic bluefin tuna and its products in any form from Panama be proh ibited, effective from 1
January 1998, unless the Commission decides, on the basis of documentary evidence, at its 1997 meeting or before, that Panama h as brought its
fishing practices for Atlantic bluefin tuna into consistency with ICCAT conservation and management measures."
/g224 The import ban was lifted for Panama in 1999 ( Recommendation 99-9 – Panama: Lift Bluefin Tuna Import Prohibition )
Recommendation 96-14
Compliance in Bluefin &
North Atlantic Swordfish
FisheriesRecommendation Regarding Compliance in the Bluefin Tuna and Nort h Atlantic Swordfish Fisheries (E ntered into force: August 4, 1 997) –
Article 3
"[The International Commission for the Conservation of Atlantic Tunas (ICCAT) recommends that:] … if any Contracting Party exce eds its catch
limit during any two consecutive management periods, the Commission will recommend appropriate measures, which may include, but  are notWT/CTE/W/160/Rev.2, TN/TE/S/5
Page 47limited to, reduction in the catch limit equal to a minimum of 125% of the excess harvest, and, if necessary, trade restrictive  measures. Any trade
measures under this paragraph will be import restrictions on the subject species and consistent with each Party's international  obligations. The trade
measures will be of such duration and under such conditions as the Commission may determine."
/g224 This recommendation was extended to South Atlantic swordfish fishery, effective on 24 September 1998 ( Recommendation 97-8 – Compliance in
the South Atlantic Swordfish Fishery )
Recommendation 99-8
Belize & Honduras:
Pursuant to 1995
Swordfish Action PlanRecommendation Regarding Beli ze and Honduras Pursuant to th e 1995 Swordfish Action Plan Resolution (Entered into force:
June 15, 2000) – Article (a)
"[The International Commission for the Conservation of Atlantic Tunas (ICCAT) recommends that:] Contracting Parties take approp riate measures,
consistent with provisions of the Resolution by ICCAT for an Action Plan to Ensure the Effectiveness of the Conservation Progra m for Atlantic
Swordfish, to the effect that the import of Atlantic swordfish and its products in any form from Belize and Honduras be prohibi ted, effective from the
time this Recommendation enters into force."
/g224 The import ban was lifted for Honduras in 2001 ( Recommendation 01-15 – Lifting of Bluefin Tuna and Swordfish Import Ban on Honduras )
/g224 In the case of Belize, pending a satisfactory review of Belize’s progress in 2003, the Commission will consider the lifting of  sanctions against
Belize on 1 January 2004 ( Recommendation 02-16 – Importation of Atlantic Bluefin Tuna, Atlantic Swordfish, and Atlantic Bigeye Tuna and their
Products from Belize ).
Recommendation 99-10
Equatorial Guinea:
Pursuant to 1996
Compliance
Recommendation -
Bluefin Tuna and NA
Swordfish FisheriesRecommendation Regarding Equatorial Guinea Pursuant to the 1996 “Recommendation Regarding Compliance in the Bluefin Tuna and
North Atlantic Swordf ish Fisheries (Entered into force:  June 15, 2000) – Article (a)
"[The International Commission for the Conservation of Atlantic Tunas (ICCAT) recommends that:] Contracting Parties take approp riate measures,
consistent with provisions of the 1996 Recommendation Regarding Compliance in the Bluefin Tuna and North Atlantic Swordfish Fis heries to the
effect that the import of Atlantic bluefin tuna and its products in any form from Equatorial Guinea be prohibited, effective fr om the time this
Recommendation enters into force."
Recommendation 00-15
Belize, Cambodia,
Honduras, St. Vincent &
The Grenadines:
Pursuant to 1998 IUU
ResolutionRecommendation Regarding Belize, Cambodia , Honduras, and St. Vincent and the Grenadin es Pursuant to the 1998 Resolution Concern ing
the Unreported and Unregulated Ca tches of Tuna by Large-Scale Longline Vessels in the Conven tion Area (Entered into force:
October 15, 2001) – Article 1
"[The International Commission for the Conservation of Atlantic Tunas (ICCAT) recommends that:] Contracting Parties take approp riate measures,
consistent with provisions of the 1998 Resolution, to the effect that the import of Atlantic bigeye tuna and its products in an y form from Belize,
Cambodia, Honduras and St. Vincent and the Grenadines be prohibited, effective from the time this Recommendation enters into fo rce…".
/g224 A similar import ban was recommended for Equatorial Guinea, effective on 26 June 2001 ( Recommendation 00-16 – Equatorial Guinea Pursuant
to 1998 IUU Resolution )
/g224 The import ban of Atlantic bigeye tuna was lifted for St. Vincent and the Grenadines, effective on 21 September 2002 ( Recommendation 01-14 –
Lifting of Bigeye T una and Bigeye Tuna Products Import Ban on St. Vincent )
/g224 The import ban of Atlantic bigeye tuna was initially to be lifted for St. Vincent and the Grenadines on 1 January 2003 (Recomm endation 01-14 –
Lifting of Bigeye Tuna and Bigeye Tuna Products Import Ban on St. Vincent and the Grenadines), however at the 2002 meeting of t he Commission
this was amended to 1 January 2004, pending satisfactory review ( Recommendation 02-20 – Trade Sanction against St. Vincent and the Grenadines ).
/g224  In the case of Belize, pending a satisfactory review of Belize’s progress in 2003, the Commission will consider the lifting o f sanctions against
Belize on 1 January 2004 ( Recommendation 02-16 – Importation of Atlantic Bluefin Tuna, Atlantic Swordfish, and Atlantic Bigeye Tuna and their
Products from Belize ).WT/CTE/W/160/Rev.2, TN/TE/S/5
Page 48/g224  The import ban of Atlantic bigeye tuna was lifted for Honduras at the 2002 meeting of the Commission ( Recommendation 02-18 – The
Importation of Bigeye Tuna and its Products From Honduras ).
Recommendation 02-17
Bolivia: pursuant to the
1998 IUU ResolutionRecommendation Regarding Bolivia pursuant to the 1998 Resolution  Concerning the Unreported and Unregulated Catches of Tuna by
Large-Scale Longline Vessels in the Conventi on Area (Enters into force in June 2003)
"[The International Commission for the Conservation of Atlantic Tunas (ICCAT) recommends that:] Contracting Parties and Coopera ting non-
Contracting Parties, Entities or Fishing Entities take appropriate  measures, consistent with provisions of the 1998 Resolution,  to the effect that the
import of Atlantic bigeye tuna and its products in any form from Bolivia be prohibited, effective from the time this Recommenda tion…".
Recommendation 02-19
Trade Restrictive
Measures on
Sierra LeoneRecommendation for Trade Restrictive Measures on Sierra Leone (Enters into force in June 2003)
"[The International Commission for the Conservation of Atlantic Tunas (ICCAT) recommends that:] Contracting Parties and Coopera ting non-
Contracting Parties, Entities or Fishing Entities take appropriate measures consistent with the provisions of the 1998 Resoluti on to the effect that the
import of Atlantic bigeye tuna, Atlantic swordfish and Atlantic bluefin tuna and their products in any form from Sierra Leone b e prohibited effective
from the time this Recommendation enters into force…".
Recommendation 02-22
Establishment of an
ICCAT Record of
Vessels over 24 Meters
Authorized to Operate in
the Convention AreaRecommendation Concerning the Esta blishment of an ICCAT R ecord of Vessels over 24 Meters Author ized to Operate in the Conventio n
Area  (Positive List) (Enters into force in June 2003)
"[The International Commission for the Conservation of Atlantic Tunas (ICCAT) recommends that:]
1. The Commission shall establish and maintain an ICCAT record of  fishing vessels larger than 24 meters in length overall (here inafter referred to as
“large scale fishing vessels” or “LSFVs”) authorized to fish for tuna and tuna-like species in the Convention Area. For the pur pose of this
recommendation, LSFVs not entered into the r ecord are deemed not to be au thorized to fish for, retain on board, transship or la nd tuna and tuna-like
species…".
Recommendation 02-23
Establishment of a List of
Vessels Presumed to
Have Carried out Illegal,
Unreported and
Unregulated Fishing
Activities in the ICCAT
Convention AreaRecommendation Concerning the Esta blishment of a List of Vessels Presumed to Have Carried out Illegal , Unreported and Unregulat ed
Fishing Activities in the ICCAT Convention Area  (Negative Lis t) (Enters into force in June 2003)
"[The International Commission for the Conservation of Atlantic Tunas (ICCAT) recommends that:] …
9. Contracting Parties and Cooperating non-Contracting Parties, Entities or Fishing Entities shall take all necessary measures,  under their applicable
legislation:
a) So that the fishing vessels, the mother ships and the cargo  vessels flying their flag do not participate in any transshipmen t with vessels registered
on the IUU list;
b) So that IUU vessels that enter ports voluntarily are not authorized to land or transship therein;c) To prohibit the chartering of a vessel included on the IUU list;d) To refuse to grant their flag to vessels included in the IUU list, except if the vessel has changed owner; and the new owner  has provided
sufficient evidence demonstrating the previous owner or operator has no further legal, beneficial or financial interest in, or control of, the vessel, or
having taken into account all
relevant facts, the flag Contracting Party or Cooperating non-Contracting Party, Entity or Fishing Entity determines that grant ing the vessel its flag
will not result in IUU fishing;e) To prohibit the imports, or landing and/or transshipment, of tuna and tuna-like species from vessels included in the IUU lis t;
f) To encourage the importers, transporters and other sectors con cerned, to refrain from transaction and transshipment of tuna and tuna-like species
caught by vessels included in the IUU list;
g) To collect and exchange with other Contracting Parties or Cooperating non-Contracting Parties, Entities or Fishing Entities any appropriate
information with the aim of searching, controlling and preventing false import/export certificates regarding tunas and tuna-lik e species from
vessels included in the IUU list.…".WT/CTE/W/160/Rev.2, TN/TE/S/5
Page 49C. CONVENTION ON INTERNATIONAL TRADE IN ENDANGERED SPECIES OF WILD FAUNA AND FLORA
20. CITES provides for trade measures at different decision-making levels:
(a) Trade measures that are legally binding (text of the Convention);
(b) trade measures decided by the Conference of the Parties (COP);
(c) trade measures decided by the Standing Committee (S C) on behalf of the Conference of the Parties;
(d) trade measures recommended by the Animals Committee/Plants Committee;
(e) trade measures recommended by the Secretariat to the COP and SC;  and
(f) stricter domestic trade measures adopted by the Parties.
1. Provisions of the Convention
Article II
Fundamental Principles"1. Appendix I shall include all species threatened with extinctio n which are or may be affected by trade. Trade in specimens o f these species must
be subject to particularly strict regulation in order not to endanger further their survival and must only be authorized in exc eptional circumstances.
2. Appendix II shall include:
(a) all species which although not necessarily now threatened with extinction may become so unless trade in specimens of such s pecies is subject
to strict regulation in order to avoid utilization incompatible with their survival; and(b) other species which must be subject to regulation in order th at trade in specimens of certain species referred to in sub-pa ragraph (a) of this
paragraph may be brought under effective control.
3. Appendix III shall include all species which any Party identifies as being subject to regulation within its jurisdiction for  the purpose of preventing
or restricting exploitation, and as needing the co-operation of other Parties in the control of trade.
4. The Parties shall not allow trade in specimens of species in cluded in Appendices I, II and III except in accordance with the  provisions of the
present Convention".
/g224 CITES regulates trade in certain species of wild fauna and flora by defining conditions under which import and export permits may be issued.
The conditions are differentiated according to a classification system based on three appendices of protected species.
Article III
Regulation of Trade in
Specimens of Species
Included in Appendix I/g224 Appendix I lists species that are the most endangered among CITES-listed animals and plants (see Article II, paragraph 1 of th e Convention).
CITES generally prohibits commercial international trade in specime ns of wild origin of these species. However, trade may be al lowed under
exceptional circumstances, e.g. captive breedin g, artificial propagation, scientific research, etc.  In these cases, trade may be authorized by the
granting of both an export permit (or re-export certificate) and an import permit (See Article III of the Convention).
/g224 Trade in Appendix 1 species of wild origin must meet two criteria:
1. Trade must not be primarily commercial in nature and
2. it must not be detrimental to the species. The non-detriment finding is a scientific assessment.  Document 11.40 prepared for C ITES COP11
provides assistance to Scientific Authorities for making non-detriment findings.  It makes reference to Information Document 11 .3 for COP11
which contains a checklist for making non-detriment findings for Appendix II species.  The checklist was published and distribu ted by IUCN at
COP12. (See also new capacity building materi al prepared by the CITES Secretariat).  Appendix I includes so-called "look-alike species" (see
Article II, paragraph 2 of the Convention).WT/CTE/W/160/Rev.2, TN/TE/S/5
Page 50Article IV
Regulation of Trade in
Specimens of Species
Included in Appendix II/g224 Appendix II lists species that are not necessarily threatened wi th extinction but that may become so unless trade is closely c ontrolled. It also
includes so-called "look-alike species".  International trade in specimens of Appendix-II species may be authorized by the gran ting of an export
permit or re-export certificate; no import permit is required by the Convention (some countries adopt stricter measures under A rticle XIV).  Permits
or certificates should only be granted if the relevant author ities are satisfied that certain conditions are met, and above all , that trade is legal (i.e. trade
is in accordance with the provisions of CITES and the specimen is not obtained in contravention of the laws of the State of ori gin) and will not be
detrimental to the survival of the species in the wild.
Article V
Regulation of Trade in
Specimens of Species
Included in Appendix III/g224 Appendix III is a list of species included at the request of a Party that already regulates trade in the species and that need s the cooperation of other
countries to prevent unsustainable or illegal exploitation (see Article II, paragraph 3, of the Convention).  International tra de in specimens of species
listed in this Appendix is allowed only on pres entation of the appropriate permits or certificates.
Article VI
Permits and Certificates/g224 Provides for permits and certificates to  be used for trade under the Convention.
Article VII
Exemptions and Other
Special Provisions
Relating to Trade/g224 Lists the Exemptions and Other Special Provisions Relating to Trade.  This Article provides all the exceptions to the regulati on of trade in wild
fauna and flora species listed in the three appendices.
Article VIII
Measures to Be Taken by
the Parties"1. The Parties shall take appropriate measures to enforce the pr ovisions of the present Convention and to prohibit trade in sp ecimens in violation
thereof. These shall include measures:
(a) to penalize trade in, or possession of, such specimens, or both; and
(b) to provide for the confiscation or return to the State of export of such specimens.
2. In addition to the measures taken under paragraph 1 of this Article, a Party may, when it deems it necessary, provide for an y method of internal
reimbursement for expenses incurred as a result of the confiscation of a specimen traded in violation of the measures taken in the application of the
provisions of the present Convention.3. As far as possible, the Parties shall ensure that specimens shall pass through any formalities required for trade with a min imum of delay. To
facilitate such passage, a Party may designate ports of exit and ports of entry at which specimens must be presented for cleara nce. The Parties shall
ensure further that all living specimens, during any period of transit, holding or shipment, are properly cared for so as to mi nimize the risk of injury,
damage to health or cruel treatment.4. Where a living specimen is confiscated as a result of measures referred to in paragraph 1 of this Article:
(a) the specimen shall be entrusted to a Management Authority of the State of confiscation;(b) the Management Authority shall, after consultation with the St ate of export, return the specimen to that State at the expen se of that State, or to a
rescue centre or such other place as the Management Authority deems appropriate and consistent with the purposes of the present  Convention; and
(c) the Management Authority may obtain the advice of a Scientific  Authority, or may, whenever it considers it desirable, consu lt the Secretariat in
order to facilitate the decision under sub-paragraph (b) of this paragraph, including the choice of a rescue centre or other pl ace.
5. A rescue centre as referred to in paragraph 4 of this Article means an institution designated by a Management Authority to l ook after the welfare
of living specimens, particularly those that have been confiscated.6. Each Party shall maintain records of trade in specimens of  species included in Appendices I, II and III which shall cover:
(a) the names and addresses of exporters and importers; andWT/CTE/W/160/Rev.2, TN/TE/S/5
Page 51(b) the number and type of permits and certificates granted; the States with which such trade occurred; the numbers or quantiti es and types of
specimens, names of species as included in Appendices I, II and III and, where applicable, the size and sex of the specimens in  question.
7. Each Party shall prepare periodic reports on its implementation of the present Convention and shall transmit to the Secretar iat:
(a) an annual report containing a summary of the information speci fied in sub-paragraph (b) of paragraph 6 of this Article; and
(b) a biennial report on legislative, regulatory and administrati ve measures taken to enforce the provisions of the present Con vention.
8. The information referred to in paragraph 7 of this Article shall be available to the public where this is not inconsistent w ith the law of the Party
concerned".
Article IX
Management and
Scientific Authorities"1. Each Party shall designate for the purposes of the present Convention:
(a) one or more Management Authorities competent to grant permits or certificates on behalf of that Party; and(b) one or more Scientific Authorities.
2. A State depositing an instrument of ratification, acceptance, approval or accession shall at that time inform the Depositary  Government of the
name and address of the Management Authority authorized to  communicate with other Parties and with the Secretariat…".
Article XIV
Effect on Domestic
Legislation and
International
Conventions"1. The provisions of the present Convention shall in no way affect the right of Parties to adopt:
(a) stricter domestic measures regarding the conditions for trade,  taking, possession or transport of specimens of species incl uded in Appendices I,
II and III, or the complete prohibition thereof; or(b) domestic measures restricting or prohibiting trade, taking, po ssession or transport of species not included in Appendix I, II or III.
2. The provisions of the present Convention shall in no way affect the provisions of any domestic measures or the obligations o f Parties deriving
from any treaty, convention, or international agreement relating to other aspects of trade, taking, possession or transport of specimens which is in
force or subsequently may enter into force for any Party includi ng any measure pertaining to the Customs, public health, veteri nary or plant
quarantine fields.3. The provisions of the present Convention shall in no way affect the provisions of, or the obligations deriving from, any tre aty, convention or
international agreement concluded or which may be concluded between States creating a union or regional trade agreement establi shing or
maintaining a common external Customs control and removing Customs control between the parties thereto insofar as they relate t o trade among the
States members of that union or agreement.
4. A State party to the present Convention, which is also a party to any other treaty, convention or international agreement wh ich is in force at the
time of the coming into force of the present Convention and under the provisions of which protection is afforded to marine spec ies included in
Appendix II, shall be relieved of the obligations imposed on it under the provisions of the present Convention with respect to trade in specimens of
species included in Appendix II that are taken by ships register ed in that State and in accordance with the provisions of such other treaty, convention
or international agreement.
5. Notwithstanding the provisions of Articles III, IV and V, any export of a specimen taken in accordance with paragraph 4 of t his Article shall only
require a certificate from a Management Authority of the State of  introduction to the effect that the specimen was taken in acc ordance with the
provisions of the other treaty, convention or international agreement in question.6. Nothing in the present Convention shall prejudice the codification and development of the law of the sea by the United Natio ns Conference on the
Law of the Sea convened pursuant to Resolution 2750 C (XXV) of the General Assembly of the United Nations nor the present or fu ture claims and
legal views of any State concerning the law of the sea and the nature and extent of coastal and flag State jurisdiction".
/g224 Allows for Parties to take stricter domestic measures.  Appendix II does not require an import permit but major importing coun tries have
instituted a system of import permits for trade in certain species  issued on the basis of extra conditions and non-CITES relate d criteria such as tariffs,
health, veterinary, phytosanitary and animal welfare provisions.  In some instances, they also apply those conditions to specie s listed in Appendix III.WT/CTE/W/160/Rev.2, TN/TE/S/5
Page 522. Resolutions and Decisions of the Conference of the Parties
21. Examples of Resolutions and Decisions of the Conference of the Parties include:
Resolution Conf. 6.7
Interpretation of
Article XIV, paragraph 1
of the Convention"…a) each Party intending to take stricter domestic measures purs uant to Article XIV, paragraph 1, of the Convention regarding trade in specimens
of non-indigenous species included in the Appendices make every reasonable effort to notify the range States of the species con cerned at as early a
stage as possible prior to the adoption of such measures, and cons ult with those range States that express a wish to confer on the matter; and
b) each Party that has taken such stricter domestic measures fo r non-indigenous species prior to the adoption of this Resolutio n consult, if requested,
on the appropriateness of such measures with range States of the species concerned".
Resolution Conf. 10.14
(Rev. CoP12)
Quotas for leopard
hunting trophies and
skins for personal use"…a) in reviewing applications for permits to import whole skins or nearly whole skins of leopard Panthera pardus  (including hunting trophies), in
accordance with paragraph 3 (a) of Article III of the Convention, the Scientific Authority of the State of import approve permi ts if it is satisfied that
the skins being considered are from one of the following States, which may not export more of the said skins taken from any one  calendar year than
the number shown under ‘Quota’ opposite the name of the State:…"
Resolution Conf. 11.6
Trade in vicuña cloth"…a) Management Authorities authorize the import of vicuña cloth only if the reverse bears the logotype corresponding to the co untry of origin and
the trade mark VICUÑA - COUNTRY OF ORIGIN or if it is cloth containing pre-Convention wool of vicuña; andb) any State member of the Convenio para la Conservación y Mane jo de la Vicuña that exports vicuña cloth in accordance with thi s Resolution
inform the Secretariat on an annual basis about the quantity of products exported, the number of animals sheared and the local populations to which
they belong, and that the Secretariat submit a report at each regular meeting of the Conference of the Parties…;"
Resolution Conf. 11.7
Conservation of and
trade in musk deer"…Urges  all Parties, particularly musk deer range and consuming countr ies and those through which musk deer specimens pass in transit,  to take
immediate action in order to reduce demonstrably the illegal trade in musk deriving from wild musk deer by:
a) introducing innovative enforcement methods in range and consumer States and, as a matter of priority, strengthening enforcem ent efforts in key
border regions;b) pursuing the development of a clear labelling system for products containing musk, and the development and dissemination of forensic methods
to detect natural musk in medicinal and other products;c) encouraging all range States and consumer States that are not party to CITES to accede to it at the earliest possible date i n order to improve
international trade control of raw musk and products containing musk;
d) working with musk consumers to develop alternatives for raw musk in order to reduce demand for natural musk, while encouragi ng the
development of safe and effective techniques for collecting musk from live musk deer; ande) developing bilateral and regional agreements for improving musk deer conservation and management, strengthening legislation and
strengthening enforcement efforts;…"
Resolution Conf. 12.7
Conservation of and
trade in sturgeons and
paddlefish"…Urges the range States of species in the Order Acipenseriformes to: …
b) curtail the illegal fishing of and trade in sturgeon and paddlefish specimens by improving the provisions in and enforcement  of existing laws
regulating fisheries and export, in close collaboration with the CITES Secretariat, ICPO-Interpol and the World Customs Organiz ation; …
Recommends :
a) that range States license legal exporters of specimens of st urgeon and paddlefish species and maintain a register of such pe rsons or companies
and provide this register to the Secretariat upon request;b) that importing countries be particularly vigilant in controlling all aspects of the trade in specimens of sturgeon and paddl efish species, includingWT/CTE/W/160/Rev.2, TN/TE/S/5
Page 53the unloading of sturgeon specimens, transit, re-packaging, re-labelling and re-exports;
c) that Parties monitor the storage, processing and re-packaging of specimens of sturgeon and paddlefish species in Customs fre e zones and free
ports, and for airline and cruise line catering;d) that Parties ensure that all their relevant agencies cooperate in establishing the necessary administrative, management, sci entific and control
mechanisms needed to implement the provisions of the Conv ention with respect to sturgeon and paddlefish species; and
e) that Parties consider the harmonization of their national legi slation related to personal exemptions for caviar, to allow fo r the personal effects
exemption under Article VII, paragraph 3, and consider limiting this exemption to no more than 250 grams of caviar per person;
…Urges  Parties to implement without delay the labelling of caviar in accordance with Annexes 1 and 2…".
Decision 12.22
Economic incentives and
trade policy"Directed to the Secretariat
The Secretariat should, contingent on the availability of external  funding and in collaboration with the Parties that wish to p articipate and with CBD,
FAO, Fauna and Flora International, ICTSD, IFC, IUCN, OECD, TR AFFIC, UNEP-ETB, UNCTAD-BIOTRADE, the World Resources Institute,
the World Bank and WTO:
a) organize a technical workshop on wildlife trade policies and eco nomic incentives applicable to the management of and trade i n CITES-listed
species, in particular in order to develop a methodology to review those policies and to make targeted recommendations on the u se of those
incentives;…d) conduct, in cooperation with the Parties, a review of their national policy regarding the use of and trade in CITES-listed s pecies, taking into
account economic incentives, production systems, consumption pa tterns, market access strategies, price structures, certificatio n schemes, CITES-
relevant taxation and subsidy schemes, property rights, mechanisms for benefit sharing and reinvestment in conservation, as wel l as stricter
domestic measures that Parties apply or are affected by;e) compile and synthesize the information pr ovided by the Parties, and produce a report analysing the economic impacts of wildl ife trade policies
in terms of socio-economic and conservation benefits and costs, economic value, levels of legal and illegal trade, improvement of the livelihood of
local communities, and the role of the private sector involved in wildlife trade;
f) report at the 13th meeting of the Conference of the Parties on the progress made with regard to the implementation of this D ecision; and
g) prepare and submit a project proposal to the Global Environment Facility, and other funding institutions and development age ncies, to seek
financial support to prepare the trade-policy reviews in the selected countries, in the context of their national and regional strategies for
biodiversity conservation".
3. Information on quota systems within CITES
22. Quotas in the context of CITES are simply the maximum number of  specimens that may be exported (and harvested in the case of th e Acipenseriformes), as
determined by a government or the Conference of the Parties to CITES.  Quotas, and to a lesser extent other forms of instrument s on management of harvests and
exports, have been used in CITES to regulate the quantity of sp ecimens of CITES-listed species entering international trade.  T hese quotas have been established
through a range of different procedures.  CITES export quotas should be, and in many instances are, the result of:
- Effective national conservation management programmes designed to prevent unsustainable harvesting of wild populations; and
- a determination by CITES Scientific Authorities in compliance with Article III, paragraph 2 a), [for Appendix-I species] and Ar ticle IV, paragraph 2 a),
[for Appendix-II species] of the Convention, that the number of specimens that may be exported as part of a quota will not be d etrimental to the survival
of that species.WT/CTE/W/160/Rev.2, TN/TE/S/5
Page 5423. CITES quotas have served as a significant conservation measure to curtail unsustainable trade in Appendix -II species (and therefore the likely transfer of such
species to Appendix I), but also to help countries regulate trad e and maintain market access in situations where international trade provides positive incentives for
conservation.
(a) Voluntary national export quotas
24. Many Parties routinely establish annual export quotas on a voluntary basis for one or more Appendix -II and/or –III species as a means of regulating e xports in
those species (see e.g. Notification to the Parties No. 2001/041).  The main purposes of such export quotas appear to be:
- To establish a limit on yearly exports at levels that are sustai nable, or within the annual production capacity of ranching or captive breeding operations;
- to announce the intended level of exports to both producers at national level and importers for the purpose of facilitating tra de;
- to establish a basis for allocating amounts to be exported per year to individual exporters.
(b) Quotas established by the Conference of the Parties for Appendix-I and –II species
25. At previous meetings, the Conference of the Parties to CITES has established quotas for hunting trophies and other specimens of  several species, including
Appendix-I species, either through the adoption of resolutions (e.g. Resolution Conf. 10.14 concerning leopard and Resolution C onf.10.15 (Rev.) concerning
markhor) or through the amendment of the Appendices to include a nnotations to the listing of species that refer to quotas for t hose species or some populations of
those species (e.g. Annotation –112 that establishes a quota for th e crocodile population of the United Republic of Tanzania or  Annotation 613 that establishes a zero
quota for some specimens of Geochelone sulcata).  Such quotas can only be amended if the Conference of the Parties adopts by a two-thirds majority a proposal to
amend a listing or a resolution (unless the Conference of the Pa rties had decided that a quota will only apply for a specific p eriod).  Proposals to amend quotas
specified in the Appendices need to be submitted in accordance with Resolution Conf. 9.24 and according to the provisions of Ar ticle XV.
26. At its 11th meeting, the Conference of the Parties adopted Decision 11.58 which, although not specifying quotas, established a procedure fo r harvest and
export quotas for the Acipenseriformes (sturgeons and paddlefish):
"Starting from 1 January 2001, range States should declare coordinated intergovernmental level annual export and catch quotas p er basin, or biogeographical region
where appropriate, for all commercial trade in specimens of Acip enseriformes. Parties should inform the Secretariat prior to 31  December of the preceding year.
Parties that fail to inform the Secretariat will automatical ly be treated as having a zero quota for the following year."
Quotas established through this process have been published in Notification to the Parties No. 2001/042.
(c) Quotas established through the Review of Significant Trade
27. Export quotas have in many instances been established through or as a result of the Review of Significant Trade pursuant to Res olution Conf. 8.9 (Rev.).  In
such cases, the Animals Committee, through its review of trade in  species selected because of concern over the sustainability o f exports, made recommendations to
Parties to conduct status assessments of wild populations as the basis for future exports and export quotas.  In some cases, pr ojects were established by Parties or byWT/CTE/W/160/Rev.2, TN/TE/S/5
Page 55the Secretariat to conduct such surveys and to recommend sustainable quotas. In other instances, Parties have responded to reco mmendations by establishing quotas or
reducing existing quotas, or the Secretariat was requested to liaise with the countries concerned regarding the establishment o f cautious quotas.  In the case of some
sturgeon species, the Animals Committee has, in addition to reco mmending the conduct of status assessments, also recommended a variety of other measures such as
the establishment of regional conservation strategies and action plans and restocking and monitoring programmes to ensure that future catch and export quotas are
sustainable (see e.g. Notification No. 2001/056).
D. CONVENTION ON THE CONSERVATION OF ANTARCTIC MARINE LIVING RESOURCES
28. The Convention does not contain trade measures, but trade-related measures have been adopted, for instance, in the following Co nservation Measures that are
binding for the Contracting Parties:
10-02 (2001)
Licensing and Inspection
Obligations of
Contracting Parties with
regard to their Flag
Vessels Operating in the
Convention Area"1. Each Contracting Party shall prohibit fishing by its flag vessels in the Convention Area except pursuant to a licence that the Contracting Party has
issued setting forth the specific areas, species and time periods for which such fishing is authorised and all other specific c onditions to which the
fishing is subject to give effect to CCAMLR conservation measures and requirements under the Convention…"./g224 Requires a Contracting Party to prohibit its flag vessels fr om fishing in the Convention Area unless licensed or permitted to do so.  The licence
should be carried on board and must include conditions of timely notification of port entry and exit and movement between sub-a reas or divisions,
reporting of catch data and operation of an automated satellite-linked vessel monitoring system (VMS).  Any infringement of the se conditions
discovered upon port arrival, departure or upon inspection in an  EEZ are to be investigated an d dealt with in accordance with n ational legislation
10-05 (2002)
Catch Documentation
Scheme for Dissostichus
spp. Species toothfish"…1. Each Contracting Party shall take steps to identify the origin of Dissostichus spp. imported into or exported from its ter ritories and to determine
whether Dissostichus  spp. harvested in the Convention Area that is imported into or  exported from its territories was caught in a manner consistent
with CCAMLR conservation measures.2. Each Contracting Party shall require that each master or author ised representative of its flag  vessels authorised to engage in harvesting of
Dissostichus eleginoides  and/or Dissostichus ma wsoni complete a Dissostichus  catch document for the catch landed or transhipped on each occasion
that it lands or tranships Dissostichus  spp.
3. Each Contracting Party shall require that each landing of Dissostichus  spp. at its ports and each transhipment of Dissostichus  spp. to its vessels be
accompanied by a completed Dissostichus  catch document.
4. Each Contracting Party shall, in accordance with their laws and regulations, require that their flag vessels which intend to  harvest Dissostichus
spp., including on the high seas outside the Convention Area, ar e provided with specific authorisation to do so. Each Contracti ng Party shall provide
Dissostichus  catch document forms to each of its flag vessels authorised to harvest Dissostichus  spp. and only to those vessels.
5. A non-Contracting Party seeking to cooperate with CCAMLR by participating in this scheme may issue Dissostichus  catch document forms, in
accordance with the procedures specified in paragraphs 6 and 7, to any of its flag vessels that intend to harvest Dissostichus  spp. …
8. Each Contracting Party shall require that each shipment of Dissostichus  spp. imported into or exported from its territory be accompanied by the
export-validated Dissostichus  catch document(s) and, where appropriate, validat ed re-export document(s) that account for all the Dissostichus  spp.
contained in the shipment. …".
/g224 This Conservation Measure was adopted in November 1999 and came into force on 7 May 2000.  This measure establishes Catch Docu mentation
Scheme which tracks the landings and trade flows of toothfish ( Dissostichus  spp.) caught in the Convention Area and where possible, adjacent
waters.WT/CTE/W/160/Rev.2, TN/TE/S/5
Page 56E. MONTREAL PROTOCOL ON SUBSTANCES THAT DEPLETE THE OZONE LAYER
1. Provisions of the Protocol
Article 2
Control Measures"…5. Any Party may, for one or more control periods, transfer to another Party any portion of its calculated level of productio n set out in Articles 2A
to 2F, and Article 2H, provided that the total combined calculated levels of production of the Parties concerned for any group of controlled
substances do not exceed the production limits set out in those Ar ticles for that group. Such transfer of production shall be n otified to the Secretariat
by each of the Parties concerned, stating the terms of such transfer and the period for which it is to apply.
5 bis. Any Party not operating under paragraph 1 of Article 5 may,  for one or more control periods, transfer to another such Pa rty any portion of its
calculated level of consumption set out in Article 2F, provided that the calculated level of consumption of controlled substanc es in Group I of
Annex A of the Party transferring the portion of its calculated level of consumption did not exceed 0.25 kilograms per capita i n 1989 and that the
total combined calculated levels of consum ption of the Parties concerned do not exceed the consumption limits set out in Articl e 2F. Such transfer of
consumption shall be notified to the Secret ariat by each of the Parties concerned, sta ting the terms of such transfer and the p eriod for which it is to
apply.
6. Any Party not operating under Article 5, that has facilities for the production of Annex A or Annex B controlled substances under construction, or
contracted for, prior to 16 September  1987, and provided for in national legislation prior to 1 January 1987, may add the prod uction from such
facilities to its 1986 production of such substances for the purposes of determining its calculated level of production for 198 6, provided that such
facilities are completed by 31 December 1990 and that such produ ction does not raise that Party’s annual calculated level of co nsumption of the
controlled substances above 0.5 kilograms per capita.
7. Any transfer of production pursuant to paragraph 5 or any addition of production pursuant to paragraph 6 shall be notified t o the Secretariat, no
later than the time of the transfer or addition.
8. (a) Any Parties which are Member States of a regional economi c integration organization as defined in Article 1(6) of the Co nvention may agree
that they shall jointly fulfil their obligations respecting consumption under this Article and Articles 2A to 2I provided that their total combined
calculated level of consumption does not exceed the levels  required by this Article and Articles 2A to 2I.
(b) The Parties to any such agreement shall inform the Secretariat of the terms of the agreement before the date of the reducti on in consumption
with which the agreement is concerned.
(c) Such agreement will become operative only if all Member States of the regional economic integration organization and the or ganization
concerned are Parties to the Protocol and have notifi ed the Secretariat of their manner of implementation.
9. (a) Based on the assessments made pursuant to Article 6, the Parties may decide whether:
(i) Adjustments to the ozone depleting potentials specified in Annex A, Annex B, Annex C and/or Annex E should be made and, if so, what the
adjustments should be; and
(ii) Further adjustments and reductions of production or consumption of the controlled substances should be undertaken and, if so, what the
scope, amount and timing of any such adjustments and reductions should be;
(b) Proposals for such adjustments shall be communicated to the Pa rties by the Secretariat at least six months before the meeti ng of the Parties at
which they are proposed for adoption;
(c) In taking such decisions, the Parties shall make every effort to reach agreement by consensus. If all efforts at consensus have been exhausted,
and no agreement reached, such decisions shall, as a last resort, be adopted by a two-thirds majority vote of the Parties prese nt and votingWT/CTE/W/160/Rev.2, TN/TE/S/5
Page 57representing a majority of the Parties operating under Paragraph 1 of Article 5 present and voting and a majority of the Partie s not so operating
present and voting;
(d) The decisions, which shall be binding on all Parties, sha ll forthwith be communicated to the Parties by the Depositary. Unl ess otherwise
provided in the decisions, they shall enter into force on the expi ry of six months from the date of the circulation of the comm unication by the
Depositary.
10. Based on the assessments made pursuant to Article 6 of this  Protocol and in accordance with the procedure set out in Articl e 9 of the Convention,
the Parties may decide:
(a) whether any substances, and if so which, should be added to or removed from any annex to this Protocol, and(b) the mechanism, scope and timing of the control measures that should apply to those substances;
11. Notwithstanding the provisions contained in this Article and Articles 2A to 2I Parties may take more stringent measures tha n those required by
this Article and Articles 2A to 2I".
Articles 2A-2I /g224 Articles 2A to 2I provide specific guidance on control measures for CFCs, Halons, other fully halogenated CFCs, Carbon tetrach loride, Methyl
chloroform, hydrochlorofluorocarbons, hydrobromofluorocarbons, methyl bromide, and bromochloromethane.
Article 4
Control of trade with
non-Parties"1. As of 1 January 1990, each party shall ban the import of the controlled substances in Annex A from any State not party to t his Protocol. …
2. As of 1 January 1993, each Party shall ban the export of any controlled substances in Annex A to any State not party to this  Protocol. …
3. By 1 January 1992, the Parties shall, following the procedures in Article 10 of the Convention, elaborate in an annex a list  of products containing
controlled substances in Annex A. Parties that have not objected  to the annex in accordance with those procedures shall ban, wi thin one year of the
annex having become effective, the import of those products from any State not party to this Protocol. …
4. By 1 January 1994, the Parties shall determine the feasibility of banning or restricting, from States not party to this Prot ocol, the import of
products produced with, but not containing, controlled substances in Annex A. If determined feasible, the Parties shall, follow ing the procedures in
Article 10 of the Convention, elaborate in an annex a list of such products. Parties that have not objected to the annex in acc ordance with those
procedures shall ban, within one year of the annex having become  effective, the import of those products from any State not par ty to this Protocol. …
5. Each Party undertakes to the fullest practicable extent to di scourage the export to any State not party to this Protocol of technology for producing
and for utilizing controlled substances in Annexes A, B, C and E.
6. Each Party shall refrain from providing new subsidies, aid, credits, guarantees or insurance programmes for the export to St ates not party to this
Protocol of products, equipment, plants or technology that would facilitate the production of controlled substances in Annexes A, B, C and E.
7. Paragraphs 5 and 6 shall not apply to products, equipment, plants or technology that improve the containment, recovery, recy cling or destruction
of controlled substances, promote the development of alternative substances, or otherwise contribute to the reduction of emissi ons of controlled
substances in Annexes A, B, C and E.
8. Notwithstanding the provisions of this Article, imports and ex ports referred to in paragraphs 1 to 4 ter of this Article may  be permitted from, or to,
any State not party to this Protocol, if that State is determined , by a meeting of the Parties, to be in full compliance with A rticle 2, Articles 2A to 2I
and this Article, and have submitted data to that effect as specified in Article 7.9. For the purposes of this Article, the term “State not party to  this Protocol” shall include, with respect to a particular co ntrolled substance, a State or
regional economic integration organization that has not agreed to be bound by the control measures in effect for that substance .
10. By 1 January 1996, the Parties shall consider whether to amend this Protocol in order to extend the measures in this Articl e to trade in controlled
substances in Group I of Annex C and in Annex E with States not party to the Protocol".
/g224 Article 4 provides for measures that are directed against non-pa rties.  Trade measures under Article 4 are as follows:
(a)  Control of trade in ODS with non-parties:WT/CTE/W/160/Rev.2, TN/TE/S/5
Page 58(i)  Annex A substances (main CFCs and halons): import from non-parties banned from January 1990, export banned from January 19 93;
(ii)  Annex B substances (carbon tetrachloride, methyl chloroform and other CFCs): import and export banned from August 1993 fo r non-
parties to the London Amendment;(iii)  Annex C – Group II  (HBFCs):  import and export banned from June 1995 for non-parties to the Copenhagen Amendment (1992) .
(iv)  Annex C – Group I (HCFCs):  import and export ban with non-parties to the Beijing Amendment (1999) from 1 January 2004. T rade
also banned in HCFCs with countries that have not yet ratified the Copenhagen Amendment (1992), which introduced the HCFC phase  out.
(v)  Annex C – Group III (Bromochloromethane):  Import and export ban with non-parties to the Beijing Amendment (1999) afterFebruary 2003.
(b)  Control of trade in products containing ODS with non-parties:  Import of products (listed in Annex D) containing Annex A s ubstances
banned from May 1992;
(c)  Exports of ODS-technologies: Parties to discourage "to the fullest practicable extent", export of technology for producing  of ODS;  however,
there are exceptions for HCFCs and for eq uipment or technology to recycle ODS.
Article 4A
Control of trade with
Parties"1. Where, after the phase-out date applicable to it for a controlled substance, a Party is unable, despite having taken all pr acticable steps to comply
with its obligation under the Protocol, to cease production of that substance for domestic consumption, other than for uses agr eed by the Parties to be
essential, it shall ban the export of used, recycled and reclaimed quantities of that substance, other than for the purpose of destruction.
2. Paragraph 1 of this Article shall apply without prejudice to the operation of Article 11 of the Convention and the non-compl iance procedure
developed under Article 8 of the Protocol".
Article 4B
Licensing"1. Each Party shall, by 1 January 2000 or within three months of the date of entry into force of this Article for it, whicheve r is the later, establish and
implement a system for licensing the import and export of new, us ed, recycled and reclaimed controlled substances in Annexes A,  B, C and E.
2. Notwithstanding paragraph 1 of this Article, any Party operating under paragraph 1 of Article 5 which decides it is not in a  position to establish
and implement a system for licensing the import and export of controlled substances in Annexes C and E, may delay taking those actions until 1
January 2005 and 1 January 2002, respectively.3. Each Party shall, within three months of the date of intr oducing its licensing system, report to the Secretariat on the esta blishment and operation of
that system.
4. The Secretariat shall periodically prepar e and circulate to all Parties a list of the Parties that have reported to it on th eir licensing systems and shall
forward this information to the Implementation Committee for consideration and appropriate recommendations to the Parties".
/g224 Many parties already have licensing systems in place as a method of complying with the controls of consumption and production of ODS.  This
licensing requirement is binding since November 1999.  As of 23 April 2003, 116 Parties to the Montreal Protocol (out of a tota l of 184 Parties) had
already established licensing systems of ozone-depleting substances.  Decision XIV/36  of the Fourteenth Meeting of the Parties encouraged all the
remaining Parties to the Protocol that had not yet introduced import and export licensing systems to do so as a matter of urgen cy.WT/CTE/W/160/Rev.2, TN/TE/S/5
Page 592. Decisions of the Meeting of the Parties
29. Meetings of the Parties of the Protocol of Montreal have adopted, for instance, the following decisions:
MOP V
Bangkok, 1993/g224 It was decided at MOP V that it was not feasible to ban or restrict trade in products made with, but not containing Annex A su bstances.
/g224 Parties also decided that products containing Annex B and Annex C, Group II, substances or products made with, but not contain ing the Annex C,
Group II substances will not be listed.
MOP IX
Montreal, 1997/g224 MOP IX introduced, through the Montreal Amendment, inter alia , trade controls for methyl bromide (Annex E) with non parties:
- From November 2000, each Party shall ban the import, and after November 2000, the export, of methyl bromide from any State not Party to the
Montreal Amendment.- Parties are to discourage the export to non-parties of technology for producing or for utilising methyl bromide.
- Each Party shall refrain from providing any assistance for the export to non-parties of any equipment or technology that would facilitate
production of methyl bromide.
MOP XIV
Rome, 2002/g224 MOP XIV adopted two trade-related decisions:
- Decision XIV/7  on monitoring of trade in ozone-depleting substances and prevention of illegal trade in ozone-depleting substances, inter
alia, encourages all Parties to exchange information and intensify joint efforts to improve means of identification of ozone-deplet ing
substances (ODS) and prevention of ODS illegal traffic.  The deci sion also invites Parties to re port to the Ozone Secretariat f ully proved
cases of illegal trade in ODS and the Secretariat is requested to collect any information on illegal trade received from the Pa rties and to
disseminate it to all Parties.
- Decision XIV/36  on the report on licensing system takes note of the status report for parties that have established licensing systems and
encourages those Parties that have not yet done so to establish import and export licensing systems of ozone-depleting substanc es.
/g224 MOP XIV also adopted Decision XIV/11 on the relationship between the Montreal Protocol and the World Trade Organization:
"1. To request the Ozone Secretariat to report to the Parties to the Montreal Protocol on any meetings it attends at the World Trade Organization and
any substantive contacts with the World Trade Orga nization Secretariat and its Committee Secretariats;
2. To request the Secretariat to monitor developments in the negotiations of the World Trade Organization Committee on Trade an d Environment in
special session and report to the Parties;
3. To further request that the Ozone Secretariat, in coordinatio n with the Multilateral Fund Secretariat, when called upon to p rovide general advice to
the World Trade Organization on trade provisions of the Montreal Protocol and activities of the Multilateral Fund, consult with  the Parties of the
Montreal Protocol and the Executive Committee before providing th is advice. If the Ozone Secretariat is asked for interpretatio ns of the Protocol’s
trade provisions, the Secretariat should refer the matter to the Parties before providing that advice".WT/CTE/W/160/Rev.2, TN/TE/S/5
Page 60F. BASEL CONVENTION ON THE CONTROL OF TRANSBOUNDARY MOVEMENTS OF HAZARDOUS WASTES AND THEIR DISPOSAL
1. Provisions of the Convention
Article 3
National Definitions of
Hazardous Wastes"1. Each Party shall, within six months of becoming a Party to this Convention, inform the Secretariat of the Convention of the  wastes, other than
those listed in Annexes I and II, considered or defined as hazar dous under its national legislation and of any requirements con cerning transboundary
movement procedures applicable to such wastes.
2. Each Party shall subsequently inform the Secretariat of any significant changes to the information it has provided pursuant to paragraph 1.
3. The Secretariat shall forthwith inform all Parties of th e information it has received pursuant to paragraphs 1 and 2.
4. Parties shall be responsible for making the information tran smitted to them by the Secretariat under paragraph 3 available t o their exporters".
Article 4
General Obligations"1. (a) Parties exercising their right to prohibit the import of hazardous wastes or other wastes for disposal shall inform the  other Parties of their
decision pursuant to Article 13.
(b) Parties shall prohibit or shall not permit the export of hazar dous wastes and other wastes to the Parties which have prohib ited the import of
such wastes, when notified pursuant to subparagraph (a) above.
(c) Parties shall prohibit or shall not permit the export of hazardous wastes and other wastes if the State of import does not consent in writing to
the specific import, in the case where that State of import has not prohibited the import of such wastes.
2. …(d) Ensure that the transboundary movement of hazardous wastes and other wastes is reduced to the minimum consistent with t he
environmentally sound and efficient management of such wastes, and is conducted in a manner which will protect human health and  the
environment against the adverse effects which may result from such movement;
(e) Not allow the export of hazardous wastes or other wastes to a State or group of States belonging to an economic and/or poli tical integration
organization that are Parties, particularly developing countries , which have prohibited by their legislation all imports, or if  it has reason to
believe that the wastes in question will not be managed in an environmentally sound manner, according to criteria to be decided  on by the
Parties at their first meeting.(f) Require that information about a proposed transboundary moveme nt of hazardous wastes and other wastes be provided to the St ates
concerned, according to Annex V A,  to state clearly the effects of the proposed movement on human health and the environment;
(g) Prevent the import of hazardous wastes and other wastes if it has reason to believe that the wastes in question will not be  managed in an
environmentally sound manner;…
5. A Party shall not permit hazardous wastes or other wastes to be exported to a non-Party or to be imported from a non-Party.6. The Parties agree not to allow the export of hazardous wastes or other wastes for disposal within the area south of 60° Sout h latitude, whether or
not such wastes are subject to transboundary movement.7. Furthermore, each Party shall:
(a) Prohibit all persons under its national jurisdiction from transporting or disposing of hazardous wastes or other wastes unl ess such persons are
authorized or allowed to perform such types of operations;(b) Require that hazardous wastes and other wastes that are to be  the subject of a transboundary movement be packaged, labelled , and transported
in conformity with generally accepted and recognized international rules and standards in the field of packaging, labelling, an d transport, and that
due account is taken of relevant internationally recognized practices;
(c) Require that hazardous wastes and other wastes be accompanied by a movement document from the point at which a transboundar y
movement commences to the point of disposal.
8. Each Party shall require that hazardous wastes or other wastes, to be exported, are managed in an environmentally sound mann er in the State ofWT/CTE/W/160/Rev.2, TN/TE/S/5
Page 61import or elsewhere. Technical guidelines for the environmentally sound management of wastes subject to this Convention shall b e decided by the
Parties at their first meeting.9. Parties shall take the appropriate measures to ensure that the transboundary movement of hazardous wastes and other wastes o nly be allowed if:
(a) The State of export does not have the technical capacity and the necessary facilities, capacity or suitable disposal sites in order to dispose of
the wastes in question in an environmentally sound and efficient manner; or
(b) The wastes in question are required as a raw material fo r recycling or recovery industries in the State of import; or
(c) The transboundary movement in question is in accordance with other criteria to be decided by the Parties, provided those cr iteria do not differ
from the objectives of this Convention.
10. The obligation under this Convention of States in which hazardous wastes and other wastes are generated to require that tho se wastes are
managed in an environmentally sound manner may not under any ci rcumstances be transferred to the States of import or transit.
11. Nothing in this Convention shall prevent a Party from imposing additional requirements that are consistent with the provisi ons of this
Convention, and are in accordance with the rules of international law, in order better to protect human health and the environm ent.
12. Nothing in this Convention shall affect in any way the sove reignty of States over their territorial sea established in acco rdance with international
law, and the sovereign rights and the jurisdiction which States have in their exclusive economic zones and their continental sh elves in accordance
with international law, and the exercise by ships and aircraft of  all States of navigational rights and freedoms as provided fo r in international law and
as reflected in relevant international instruments…".
Article 5
Designation of
Competent Authorities
and Focal Point"To facilitate the implementation of this Convention, the Parties shall:
1. Designate or establish one or more competent authorities and one focal point. One competent authority shall be designated to  receive the
notification in case of a State of transit…".
Article 6
Transboundary
Movement between
Parties/g224 Article 6 provides for the prior informed  consent procedure or "control system", according to which the transboundary movement s of hazardous
wastes shall take place.
"1. The State of export shall notify, or shall require the generator or exporter to notify, in writing, through the channel of the competent authority of
the State of export, the competent authority of the States con cerned of any proposed transboundary movement of hazardous wastes  or other wastes.
Such notification shall contain the declarations and information specified in Annex V A, written in a language acceptable to th e State of import. Only
one notification needs to be sent to each State concerned.2. The State of import shall respond to the notifier in writing, consenting to the movement with or without conditions, denying  permission for the
movement, or requesting additional information. A copy of the fi nal response of the State of import shall be sent to the compet ent authorities of the
States concerned which are Parties.
3. The State of export shall not allow the generator or exporte r to commence the transboundary movement until it has received w ritten confirmation
that:
(a) The notifier has received the written consent of the State of import; and(b) The notifier has received from the State of import confirmatio n of the existence of a contract between the exporter and the  disposer specifying
environmentally sound management of the wastes in question.
4. Each State of transit which is a Party shall promptly acknowl edge to the notifier receipt of the notification. It may subseq uently respond to the
notifier in writing, within 60 days, consenting to the movement with or without conditions, denying permission for the movement , or requesting
additional information. The State of export shall not allow th e transboundary movement to commence until it has received the wr itten consent of the
State of transit. However, if at any time a Party decides not to require prior written consent, either generally or under speci fic conditions, for transit
transboundary movements of hazardous wastes or other wastes, or modifies its requirements in this respect, it shall forthwith i nform the other PartiesWT/CTE/W/160/Rev.2, TN/TE/S/5
Page 62of its decision pursuant to Article 13. In this latter case, if no response is received by the State of export within 60 days o f the receipt of a given
notification by the State of transit, the State of export may allow the export to proceed  through the State of transit.
5. In the case of a transboundary movement of wastes where the wa stes are legally defined as or considered to be hazardous wast es only:
(a) By the State of export, the requirements of paragraph 9 of this Article that apply to the importer or disposer and the Stat e of import shall apply
mutatis mutandis to the exporter and State of export, respectively;
(b) By the State of import, or by the States of import and transit which are Parties, the requirements of paragraphs 1, 3, 4 an d 6 of this Article that
apply to the exporter and State of export shall apply mutatis mutandis to the importer or disposer and State of import, respect ively; or
(c) By any State of transit which is a Party, the pr ovisions of paragraph 4 shall apply to such State.
6. The State of export may, subject to the written consent of the States concerned, allow the generator or the exporter to use a general notification
where hazardous wastes or other wastes having the same physical and chemical characteristics are shipped regularly to the same disposer via the
same customs office of exit of the State of export via the same customs office of entry of the State of import, and, in the cas e of transit, via the same
customs office of entry and exit of the State or States of transit.7. The States concerned may make their written consent to the use of the general notification referred to in paragraph 6 subjec t to the supply of
certain information, such as the exact quantities or periodical lists of hazardous wastes or other wastes to be shipped.8. The general notification and written consent referred to in paragraphs 6 and 7 may cover multiple shipments of hazardous was tes or other wastes
during a maximum period of 12 months.
9. The Parties shall require that each person who takes charge of a transboundary movement of hazardous wastes or other wastes sign the movement
document either upon delivery or receipt of the wastes in question. They shall also require that the disposer inform both the e xporter and the
competent authority of the State of export of receipt by the dis poser of the wastes in question and, in due course, of the comp letion of disposal as
specified in the notification. If no such information is receive d within the State of export, the competent authority of the St ate of export or the
exporter shall so notify the State of import.
10. The notification and response required by this Article shal l be transmitted to the competent authority of the Parties conce rned or to such
governmental authority as may be appropriate in the case of non-Parties11. Any transboundary movement of hazardous wastes or other wast es shall be covered by insurance, bond or other guarantee as ma y be required by
the State of import or any State of transit which is a Party".
Article 8
Duty to Re-import"When a transboundary movement of hazardous wastes or other wastes to which the consent of the States concerned has been given,  subject to the
provisions of this Convention, cannot be completed in accordance with the terms of th e contract, the State of export shall ensu re that the wastes in
question are taken back into the State of export, by the exporter,  if alternative arrangements cannot be made for their disposa l in an environmentally
sound manner, within 90 days from the time that the importing Stat e informed the State of export and the Secretariat, or such o ther period of time as
the States concerned agree. To this end, the State of export and any Party of transit shall not oppose, hinder or prevent the r eturn of those wastes to
the State of export"
/g224 There is a duty to re-import if waste cannot be disposed of in an environmentally sound manner.
Article 9
Illegal Traffic"1. For the purpose of this Convention, any transboundary movement of hazardous wastes or other wastes:
(a) without notification pursuant to the provisions of this Convention to all States concerned; or
(b) without the consent pursuant to the provisions of this Convention of a State concerned; or
(c) with consent obtained from States concerned through falsification, misrepresentation or fraud; or(d) that does not conform in a material way with the documents; or(e) that results in deliberate disposal (e .g. dumping) of hazardous wastes or other wastes in contravention of this Convention and of general
principles of international law,WT/CTE/W/160/Rev.2, TN/TE/S/5
Page 63shall be deemed to be illegal traffic.
2. In case of a transboundary movement of hazardous wastes or other wastes deemed to be illegal traffic as the result of conduc t on the part of the
exporter or generator, the State of export shall ensure that the wastes in question are:
(a) taken back by the exporter or the generator or, if necessary , by itself into the State of export, or, if impracticable,
(b) are otherwise disposed of in accordance with the provisions of this Convention,
within 30 days from the time the State of export has been informed about the illegal traffic or such other period of time as St ates concerned may
agree. To this end the Parties concerned shall not oppose, hinder or prevent the return of those wastes to the State of export.3. In the case of a transboundary movement of hazardous wastes or  other wastes deemed to be illegal traffic as the result of co nduct on the part of the
importer or disposer, the State of import shall ensure that the wastes in question are disposed of in an environmentally sound manner by the importer
or disposer or, if necessary, by itself within 30 days from the time the illegal traffic has come to the attention of the State  of import or such other
period of time as the States concerned may agree. To this end, the Parties concerned shall co-operate, as necessary, in the dis posal of the wastes in an
environmentally sound manner.4. In cases where the responsibility for the illegal traffic cannot be assigned either to the exporter or generator or to the i mporter or disposer, the
Parties concerned or other Parties, as appropriate, shall ensure, through co-operation, that the wastes in question are dispose d of as soon as possible
in an environmentally sound manner either in the State of export or the State of import or elsewhere as appropriate.
5. Each Party shall introduce appropriate national/domestic legi slation to prevent and punish illegal traffic. The Parties shal l co-operate with a view
to achieving the objects of this Article".
2. Decisions of the Conference of Parties
30. At meetings of the Conference of the Parties of the Basel Conv ention the following decisions have, for instance, been adopted:
COP2
Geneva, 1994/g224 At COP2 parties agreed to a ban on the export of hazardous wastes  from OECD to non-OECD countries intended for final disposal,  recovery, and
recycling (Decision II/12).  Because the decision was not incorpor ated in the text of the Convention itself, the question as to  whether it was legally
binding or not arose.
COP3
Geneva, 1995/g224 At COP3, it was proposed that the Ban be formally incorporated in the Basel Convention as an amendment (Decision III/1). It ba ns hazardous
wastes exports for final disposal and recycling from Annex VII countries to non-Annex VII countries.  The Ban Amendment has to be ratified by
three-fourths of the Parties present at the time of the adoption of the Amendment in order to enter into force.
COP 4
Kuching, 1998/g224 At COP 4, there was a discussion concerning other countries whic h wanted to join Annex VII.  These countries are Monaco, Slove nia and Israel.
However, it was decided to wait and see how the ban was functioning and to leave Annex VII unchanged until its entry into force .  A decision could
then be made as to whether to close Annex VII or to ha ve open criteria.  This issue was raised again at COP 5.
/g224  Annexes VIII and IX of the Convention, adopted at COP 4, clarif y what is and what is not considered to be hazardous waste.  N on-hazardous
material is listed in Annex IX (list B) wastes.  Many of the recyclable materials such as copper, zinc (and their products) and  other precious metals
are in Annex IX and are not considered hazardous unless they have  been contaminated.  Further clarification is needed for some wastes, such as lead
acid and zinc ashes (as these would be hazardous waste under Basel).WT/CTE/W/160/Rev.2, TN/TE/S/5
Page 64COP 5
Basel, 1999/g224 At COP 5, the Basel Declaration on Environmentally Sound Management was adopted.  This Declaratio n outlines the activities to be
undertaken to achieve the objectives of the practical implementa tion of environmentally sound management:  prevention, minimiza tion, recycling,
recovery and disposal of wastes subject to the Convention.
COP 6
Geneva, 2002/g224 At COP6, Decision VI/30  was adopted by the Conference of the Parties on the Cooperation with the World Trade Organization:
"The Conference of the Parties,…
1. Requests the secretariat of the Basel Convention to:
(a) Seek observer status in the Committee on Trade and Environment meeting in Special Session, and to advise the Parties to the  Basel Convention
when the request has been submitted to and granted by WTO;(b) Report to the Parties to the Basel Convention on any meetings it attends at WTO and any substantive contacts with the WTO S ecretariat and its
committee secretariats;
(c) Monitor developments in the WTO Committee on Trade and Environment meeting in Special Session and report to the Parties the reon;
2. Further requests the secretariat of the Basel Convention, when called upon to provide general information to WTO on trade pr ovisions of the Basel
Convention, to consult with the Parties to the Basel Convention before providing that information.  If the Secretariat of the B asel Convention is
requested to provide interpretation on the trade provisions of the Convention, it will refer such requests to the Conference of  the Parties."
G. CONVENTION ON BIOLOGICAL DIVERSITY
1. Provisions of the Convention
31. The text of the Convention does not explicitly refer to trade measures, nor does the Convention generally prescribe specific me asures.  The provisions of the
Convention, with a few exceptions, set goals and establish general principles.  The specific measures required to achieve these  goals and operationalize these
principles are largely the prerogative of the Parties.  However, the Convention contains a number of provisions that are genera lly understood to require measures by
Parties which may have consequences for trade.  In addition, some  of its provisions have inter-linkages with some international  trade agreements.
Article 7(c)
Identification and
Monitoring"Each Contracting Party shall, as far as possible and as appropriate, in particular for the purposes of Articles 8 to 10:
(c) Identify processes and categories of activities which have or are likely to have significant adverse impacts on the conserv ation and sustainable use
of biological diversity, and monitor their effects through sampling and other techniques".
Article 8
In-situ Conservation"Each Contracting Party shall, as far as possible and as appropriate: …
(j) Subject to its national legislation, respect, preserve and maintain knowledge, innovations and practices of indigenous and local communities
embodying traditional lifestyles relevant for the conservation and sustainable use of biological diversity and promote their wi der application with the
approval and involvement of the holders of such knowledge, innovations and practices and encourage the equitable sharing of the  benefits arising
from the utilization of such knowledge, innovations and practices; …(h) Prevent the introduction of, control or eradicate those a lien species which threaten ecosystems, habitats or species;…
(l) Where a significant adverse effect on bi ological diversity has been determined pursuant to Article 7, regulate or manage th e relevant processes
and categories of activities;…".WT/CTE/W/160/Rev.2, TN/TE/S/5
Page 65Article 10
Sustainable Use of
Components of Biological
Diversity"Each Contracting Party shall, as far as possible and as appropriate:
…(b) Adopt measures relating to the use of biological resources to avoid or minimize adverse impacts on biological diversity;(c) Protect and encourage customary use of biological resources in accordance with traditional cultural practices that are comp atible with
conservation or sustainable use requirements; …".
Article 11
Incentive Measures"Each Contracting Party shall, as far as possible and as appropr iate, adopt economically and socially sound measures that act a s incentives for the
conservation and sustainable use of co mponents of biological diversity".
Article 14
Impact Assessment and
Minimizing Adverse
Impacts"1. Each Contracting Party, as far as possible and as appropriate, shall:
(a) Introduce appropriate procedures requiring environmental impact assessment of its proposed projects that are likely to have  significant adverse
effects on biological diversity with a view to avoiding or minimizing such effects and, where appropriate, allow for public par ticipation in such
procedures;(b) Introduce appropriate arrangements to ensure that the envir onmental consequences of its programmes and policies that are li kely to have
significant adverse impacts on biological diversity are duly taken into account;
(c) Promote, on the basis of reciprocity, notification, exchange of information and consultation on activities under their juri sdiction or control
which are likely to significantly affect adversely the biological diversity of other States or areas beyond the limits of natio nal jurisdiction, by
encouraging the conclusion of bilateral, regional or multilateral arrangements, as appropriate;(d) In the case of imminent or grave danger or damage, originating under its jurisdiction or control, to biological diversity w ithin the area under
jurisdiction of other States or in areas beyond the limits of national jurisdiction, notify immediately the potentially affecte d States of such danger
or damage, as well as initiate action to prevent or minimize such danger or damage; and
(e) Promote national arrangements for emergency responses to activities or events, whether caused naturally or otherwise, which  present a grave
and imminent danger to biological diversity and encourage international cooperation to supplement such national efforts and, wh ere appropriate
and agreed by the States or regional economic integration or ganizations concerned, to establish joint contingency plans.
2. The Conference of the Parties shall examine, on the basis of studies to be carried out, the issue of liability and redress, including restoration and
compensation, for damage to biological diversity, excep t where such liability is a purely internal matter".
Article 15
Access to Genetic
Resources"1. Recognizing the sovereign rights of States over their natural resources, the authority to determine access to genetic resou rces rests with the
national governments and is subject to national legislation.
2. Each Contracting Party shall endeavour to create conditions to facilitate access to genetic resources for environmentally so und uses by other
Contracting Parties and not to impose restrictions that run counter to the objectives of this Convention.3. For the purpose of this Convention, the genetic resources being provided by a Contracting Party, as referred to in this Arti cle and Articles 16 and
19, are only those that are provided by Contracting Parties that are countries of origin of such resources or by the Parties th at have acquired the
genetic resources in accordance with this Convention.
4. Access, where granted, shall be on mutually agreed  terms and subject to the provisions of this Article.
5. Access to genetic resources shall be subject to prior inform ed consent of the Contracting Party providing such resources, un less otherwise
determined by that Party.6. Each Contracting Party shall endeavour to develop and carry out scientific research based on genetic resources provided by o ther Contracting
Parties with the full participation of, and where possible in, such Contracting Parties.
7. Each Contracting Party shall take legislative, administrati ve or policy measures, as appropriate, and in accordance with Art icles 16 and 19 and,
where necessary, through the financial mechanism established by Articles 20 and 21 with the aim of sharing in a fair and equita ble way the results of
research and development and the benefits arising from the comme rcial and other utilization of genetic resources with the Contr acting PartyWT/CTE/W/160/Rev.2, TN/TE/S/5
Page 66providing such resources. Such sharing shall be upon mutually agreed terms".
Article 16
Access to and Transfer of
technology"1. Each Contracting Party, recognizing that technology includ es biotechnology, and that both access to and transfer of technol ogy among
Contracting Parties are essential elements for the attainment of the objectives of this Convention, undertakes subject to the p rovisions of this Article
to provide and/or facilitate access for and transfer to other Cont racting Parties of technologies that are relevant to the cons ervation and sustainable
use of biological diversity or make use of genetic resources and do not cause significant damage to the environment.
2. Access to and transfer of technology referred to in paragrap h 1 above to developing countries shall be provided and/or facil itated under fair and
most favourable terms, including on concessional and preferen tial terms where mutually agreed, and, where necessary, in accorda nce with the
financial mechanism established by Articles 20 and 21. In the case of technology subject to patents and other intellectual prop erty rights, such access
and transfer shall be provided on terms which recognize and are consistent with the adequate and effective protection of intell ectual property rights.
The application of this paragraph shall be co nsistent with paragraphs 3, 4 and 5 below.
3. Each Contracting Party shall take legislative, administrative or policy measures, as appropriate, with the aim that Contract ing Parties, in particular
those that are developing countries, which provide genetic resour ces are provided access to and transfer of technology which ma kes use of those
resources, on mutually agreed terms, including technology prot ected by patents and other intellectual property rights, where ne cessary, through the
provisions of Articles 20 and 21 and in accordance with intern ational law and consistent with paragraphs 4 and 5 below.
4. Each Contracting Party shall take legislative, administrative or policy measures, as appropriate, with the aim that the priv ate sector facilitates
access to, joint development and transfer of technology referred to  in paragraph 1 above for the benefit of both governmental i nstitutions and the
private sector of developing countries and in this regard shall abide by the obligations included in paragraphs 1, 2 and 3 abov e.
5. The Contracting Parties, recognizing that patents and other intellectual property rights may have an influence on the implem entation of this
Convention, shall cooperate in this regard subject to national legislation and international law in order to ensure that such r ights are supportive of and
do not run counter to its objectives".
Article 19
Handling of
Biotechnology and
Distribution of its
Benefits"1. Each Contracting Party shall take legislative, administrativ e or policy measures, as appropriate, to provide for the effect ive participation in
biotechnological research activities by those Contracting Parties, especially developing countries, which provide the genetic r esources for such
research, and where feasible in such Contracting Parties.
2. Each Contracting Party shall take all practicable measures to promote and advance priority access on a fair and equitable ba sis by Contracting
Parties, especially developing countries, to the results and benefits arising from biotechnologies based upon genetic resources  provided by those
Contracting Parties. Such access shall be on mutually agreed terms.3. The Parties shall consider the need for and modalities of a protocol setting out appropriate procedures, including, in parti cular, advance informed
agreement, in the field of the safe transfer, handling and use of any living modified organism resulting from biotechnology tha t may have adverse
effect on the conservation and sustai nable use of biological diversity.
4. Each Contracting Party shall, directly or by requiring any natural or legal person under its jurisdiction providing the orga nisms referred to in
paragraph 3 above, provide any available information about the use and safety regulations required by that Contracting Party in  handling such
organisms, as well as any available information on the potential adverse impact of the specific organisms concerned to the Cont racting Party into
which those organisms are to be introduced".
Article 22
Relationship with Other
International
Conventions"1. The provisions of this Convention shall not affect the rights and obligations of any Contracting Party deriving from any ex isting international
agreement, except where the exercise of those rights and obligatio ns would cause a serious damage or threat to biological diver sity.
2. Contracting Parties shall implement this Convention with respect to the marine environment consistently with the rights and obligations of States
under the law of the sea".WT/CTE/W/160/Rev.2, TN/TE/S/5
Page 672. Decisions of the Conference of the Parties
32. Conferences of the Parties of the CBD have adopted, for instance, the following decisions:
Decision III/18
Incentive measures"…2. Resolves that incentive measures shall be included as appropriate on the agenda of the Conference of the Parties and be in tegrated into the
sectoral and thematic items under the medium-term programme of work of the Conference of the Parties;3. Encourages Parties to review their existing legislation and economic policies, to identify and promote incentive for the con servation and
sustainable use of components of biological diversity, stressing the importance of taking appropriate action on incentives that  threaten biological
diversity;4. Encourages Parties to ensure adequate in corporation of the market and non-market values of biological diversity into plans, policies and
programmes and other relevant areas, inter alia, national accounting systems and investment strategies;5. Encourages Parties to develop training and capacity-building programmes to implement incentive measures and promote private- sector initiatives
in this regard;
6. Encourages Parties to incorporate biolog ical diversity considerations into impact assessments, consistent with Article 14 of  the Convention, as a
step in the design and implementation of incentive measures;…".
Decision IV/10
Measures for
implementing the
Convention on Biological
Diversity"…A. Incentive measures: consideration of me asures for the implementation of Article 11
The Conference of the Parties, …
1. Encourages Parties, Governments and relevant organizations:
(a) To promote the design and implementation of appropriate incentive measures, taking fully into account the ecosystem approac h and the various
conditions of the Parties and employing the precautionary approach of Principle 15 of the Rio Declaration on Environment and De velopment, in
order to facilitate achieving the implementation of the objectives of the Convention and to integrate biological diversity conc erns in sectoral
policies, instruments and projects;
(b) As a first step towards formulating incentive measures, to id entify threats to biological diversity and underlying causes o f reduction or loss of
biological diversity and relevant actors;(c) To take into account economic, social, cultural and ethical valuation in the development of relevant incentive measures;
(d) To develop supportive legal and policy frameworks for the design and implementation of incentive measures;
(e) To carry out participatory consultative processes at the relevant level to define the clear and target-oriented incentive m easures to address the
identified underlying causes of biodiversity reduction or loss and unsustainable use;(f) To identify perverse incentives and consider the removal or mitigation of their negative effects on biological diversity in  order to encourage
positive, rather than negative, effects on the conservation and sustainable use of biological diversity;
(g) To prepare case-studies on incentive measures in the thematic focus of the fifth meeting of the Conference of the Parties, utilizing the
indicative outline prepared by the Executive Secretary as far as  possible, and to make them available to the Executive Secretar y.
(h) To undertake value addition and enhancement of naturally occurring genetic resources, based on the participatory approach, where appropriate,
to work as incentives for their conservation and sustainable use;…".
Decision IV/15
The relationship of the
Convention on Biological
Diversity with the
Commission on"…7. Takes note of the Executive Secretary's observer status in the Committee on Trade and Environment of the World Trade Organ ization for the
purpose of representing the Convention on Biological Diversity in meetings whose agendas have relevance to the Convention;
8. Also notes that some Parties to the Convention on Biological  Diversity, particularly many developing countries, are not memb ers of the World
Trade Organization, and are therefore limited in their abilities to present their concerns regarding biological diversity at th e World Trade
Organization;WT/CTE/W/160/Rev.2, TN/TE/S/5
Page 68Sustainable Development
and biodiversity-related
conventions, other
international agreements,
institutions and processes
of relevance9. Stresses the need to ensure consistency in implementing th e Convention on Biological Diversity and the World Trade Organizat ion agreements,
including the Agreement on Trade-Related Aspects of Intellectual Property Rights, with a view to promoting increased mutual sup portiveness and
integration of biological diversity concerns and the protection of intellectual property rights, and invites the World Trade Or ganization to consider
how to achieve these objectives in the light of Article 16, paragraph 5, of the Convention, taking into account the planned rev iew of Article 27,
paragraph 3 (b), of the Agreement on Trade-Related Aspects of Intellectual Property Rights in 1999;
10. Emphasizes that further work is required to help develop a common appreciation of the relationship between intellectual pro perty rights and the
relevant provisions of the Agreement on Trade-Related Aspects of Intellectual Property Rights and the Convention on Biological Diversity, in
particular on issues relating to technology transfer and conservation and sustainable use of biological diversity and the fair and equitable sharing of
benefits arising out of the use of genetic resources, including the protection of knowledge, innovations and practices of indig enous and local
communities embodying traditional lifestyles relevant for the conservation and sustainable use of biological diversity…".
Decision V/16
Article 8(j) and related
provisions"…14. Recognizes the potential importance of sui generis and other appropriate systems for the protection of traditional knowle dge of indigenous
and local communities and the equitable sharing of benefits arising from its use to meet the provisions of the Convention on Bi ological Diversity,
taking into account the ongoing work on Article 8(j) and related provisions, and transmits its findings to the World Trade Orga nization and the
World Intellectual Property Organization, as suggested in paragraph 6 (b) of recommendation 3 of the Inter-Sessional Meeting on  the Operations of
the Convention (UNEP/CBD/COP/5/4, annex);…"
Decision V/26
Access to genetic
resources"…2. Invites the World Trade Organization to acknowledge relevant provisions of the Convention and to take into account the fac t that the
provisions of the Agreement on Trade-related Aspects of Intellectual Property Rights and the Convention on Biological Diversity  are interrelated and
to further explore this interrelationship;
3. Requests the Executive Secretary to transmit the present deci sion to the secretariats of the World Trade Organization and th e World Intellectual
Property Organization, for use by appropriate bodies of these organizations, and to endeavour to undertake further cooperation and consultation with
these organizations;4. Renews its request to the Executive Secretary of the Convention to apply for observer status on the Council for the Trade-re lated Aspects of
Intellectual Property Rights, and requests him to report back to the Conference of the Parties on his efforts…".
Decision VI/10
Article 8(j) and related
provisions"…35. Also requests the Executive Secretary to continue to compile information provided by Parties and Governments relating to existing national
legislation and other measures for the protection of traditional knowledge, innovations and practices;
36. Invites the World Trade Organization and the World Intellectual Property Organization to make available to the Executive Se cretary information
referred to in paragraph 35 above provided through their respective notification systems; …39. Encourages Parties and Governments, where they have not alr eady done so, to take measures to establish or improve operation al links between
their national governmental intellectual-property bodies, national focal points of the Convention on Biological Diversity, and indigenous and local
communities and their organizations in order to better coordinate and institute measures to protect their traditional knowledge , innovations and
practices relevant to the conservation and sustainable use of biological diversity, particularly with regard to traditional-kno wledge documentation
initiatives and community-based registries of traditional knowledge; …46. Invites Parties and Governments to encourage the disclosure of the origin of relevant traditional knowledge, innovations an d practices of
indigenous and local communities relevant to the conservation and sustainable use of biological diversity in applications for i ntellectual property
rights, where the subject matter of the application concerns or makes use of such knowledge in its development;
47. Urges Parties and Governments to examine, as appropriate, relevant provisions of the Convention on Biological Diversity wit h respect to prior
informed consent and mutually agreed terms where traditional knowledge is used in its original form or in the development of ne w products and/or
new applications;48. Invites Parties and Governments, with the assistance of the World Intellectual Property Organization, to take into account traditional knowledgeWT/CTE/W/160/Rev.2, TN/TE/S/5
Page 69in the examination of novelty and inventive step in patent applications; …".
Decision VI/15
Incentive measures
Annex I
Proposals for the Design
and Implementation of
Incentive Measures"…2. The following elements should be taken into consideration in the design and implementation of incentive measures for the c onservation and
sustainable use of biological diversity: …3. Goals of the incentive measures. An incentive measure should have a defined purpose. Consistent with decision V/15, the purp ose of incentive
measures is to change institutional and individual behaviour in order to achieve in whole or in part the following objectives o f the Convention on
Biological Diversity: the conservation of biodiversity, the sustainable use of the components of biodiversity and the fair and equitable sharing of
benefits arising out of the utilization of genetic resources. …36. The following are guidelines for selecting appropriate and complementary measures:
a) Any decision-making process for selecting appropriate and comp lementary measures should take into account the specific circu mstances of the
country involved;
b) It is important to consider the context in which the incentive measure is being introduced to assist final decision-making o n a particular measure
or measures;c) A key consideration in the design of an incentive measure is the recognition that a single measure will often not suffice to  address the
complexities involved in decisions on biodiversity conservation or sustainable use, and that a mix of measures may be needed;d) Equity considerations, such as poverty alleviation, should be given a prominent role in the design and selection of appropri ate incentive
measures;
e) The implementation of incentive measures should not result in a significant increase in the cost of living and/or increase i n government revenue;
f) The size of the country's economy is an important factor in the selection of financial incentive measures;g) Well defined land and property rights are an important factor in the design and implementation of incentive measures in the conservation of
biological diversity and the promotion of sustainable use;h) Positive incentives can influence decision-making by recognizing and rewarding activities that are carried out for conservat ion and sustainable
use purposes;
i) The removal of perverse incentives eases pressure on the environment. The identification of both internal and external perve rse incentives and
other threats to biodiversity conservation and to the promotion of sustainable use, is essential to the selection and design of  incentive measures.
The removal of perverse incentives may improve economic efficiency and reduce fiscal expenditures;j) Disincentives continue to be an important tool for ensuring the conservation and sustainable use of biological diversity and  can be used in
combination with positive incentives…".
Decision VI/20
Cooperation with other
organizations, initiatives
and conventionsCooperation with the World Trade Organization
"Reaffirms the need to promoting increased mutual supportiveness of trade and environment agreements in achieving sustainable d evelopment, as
stressed in decision IV/15 of the fourth meeting of the Conference of the Parties, and reiterated in the Cartagena Protocol on Biosafety and the Doha
Ministerial Declaration of the World Trade Organization adopted on 14 November 2001;Notes the Doha Ministerial Declaration, which welcomes a continued cooperation by the World Trade Organization with United Nati ons
Environment Programme and other intergovernmental environmental organizations, and encourages efforts to promote cooperation be tween the
World Trade Organization and relevant international environmental and developmental organizations;
Recognizes the importance of cooperation with the World Trade Organization with regard to matters that are relevant to the Cart agena Protocol on
Biosafety and in preparing for the implementation of the Protocol, emphasizes the need to ensure mutual supportiveness with the  relevant agreements
under the World Trade Organization, in particular with the Agreement on Sanitary and Phytosanitary Measures and the Agreement o n Technical
Barriers to Trade, with a view to achieving sustainable development;Welcomes the practice established between the Executive Secretary and the World Trade Organization to exchange information rega rding
developments under the Intergovernmental Committee for the Cartagena Protocol on Biosafety;WT/CTE/W/160/Rev.2, TN/TE/S/5
Page 70Requests the Executive Secretary to apply to the World Trade Or ganization for an observer status and to represent the Conventio n on Biological
Diversity in the meetings of the Committee on Sanitary and Phytosanitary Measures and the Committee on Technical Barriers to Tr ade;
Further requests the Executive Secretary to renew the applicatio n to the World Trade Organization for observer status in the Co uncil for the
Agreement on Trade-related Aspects of Intellectual Property Rights".
Decision VI/23
Alien species that
threaten ecosystems,
habitats or species:
Annex: Guiding
Principles for the
Prevention, Introduction
and Mitigation of
Impacts of Alien Species
that Threaten
Ecosystems, Habitats or
Species"… Guiding principle 1: Precautionary approach
Given the unpredictability of the pathways and impacts on biological diversity of invasive alien species, efforts to identify a nd prevent unintentional
introductions as well as decisions concerning intentional introdu ctions should be based on the precautionary approach, in parti cular with reference to
risk analysis, in accordance with the guiding principles below. The precautionary approach is that set forth in principle 15 of  the 1992 Rio
Declaration on Environment and Development and in the preamble of the Convention on Biological Diversity.The precautionary approach should also be applied when consider ing eradication, containment and control measures in relation to  alien species that
have become established. Lack of scientific certainty about the various implications of an invasion should not be used as a rea son for postponing or
failing to take appropriate eradicatio n, containment and control measures.
Guiding principle 7: Border co ntrol and quarantine measures
"1. States should implement border controls and quarantine measures  for alien species that are or could become invasive to ensu re that:
a. Intentional introductions of alien species are subject to appropriate authorization (principle 10);b. Unintentional or unauthorized introductions of alien species are minimized.
2. States should consider putting in place appropriate measures to control introductions of invasive alien species within the S tate according to
national legislation and policies where they exist.3. These measures should be based on a risk analysis of the threats posed by alien species and their potential pathways of entr y. Existing appropriate
governmental agencies or authorities should be strengthened and broadened as necessary, and staff should be properly trained to  implement these
measures. Early detection systems and regional and international coordination are essential to prevention…".
Decision VI/24
Access and benefit-
sharing as related to
genetic resources"A. Bonn Guidelines on Access to Genetic Resources and Fair and Equitable Sharing of the Benefi ts Arising out of their Utilizat ion
…I. GENERAL PROVISIONS
1. These Guidelines may serve as inputs when developing and drafting legislative, administrative or policy measures on access a nd benefit-sharing
with particular reference to provisions under Articles 8(j), 10 (c), 15, 16 and 19; and contracts and other arrangements under mutually agreed terms
for access and benefit-sharing. …9. All genetic resources and associated traditional knowledge, innovations and practices covered by the Convention on Biologica l Diversity and
benefits arising from the commercial and other utilization of such resources should be covered by the guidelines, with the excl usion of human
genetic resources. …
11. The objectives of the Guidelines are the following:
(a) To contribute to the conservation and su stainable use of biological diversity;
(b) To provide Parties and stakeholders with a transparent framewor k to facilitate access to genetic resources and ensure fair and equitable sharing
of benefits;
(c) To provide guidance to Parties in the deve lopment of access and benefit-sharing regimes;
(d) To inform the practices and approaches of stakeholders (users and providers) in access and benefit-sharing arrangements;
(e) To provide capacity-building to guarant ee the effective negotiation and implementation of access and benefit-sharing arrangemen ts, especially to
developing countries, in particular least developed countries and small island developing States among them;
(f) To promote awareness on implementation of relevant provisions of the Convention on Biological Diversity;
(g) To promote the adequate and effective transfer of appropriate t echnology to providing Parties, especially developing countries,  in particular leastWT/CTE/W/160/Rev.2, TN/TE/S/5
Page 71developed countries and small island developing States among  them, stakeholders and indigenous and local communities;
(h) To promote the provision of necessary financial resources to providing countries that are developing countries, in particular l east developed
countries and small island developing States among them, or countries with economies in transition with a view to contributing to the
achievement of the objectives mentioned above;
(i) To strengthen the clearing-house mechanism as a mechanism for cooperation among Parties in access and benefit-sharing;
(j) To contribute to the development by Parties of mechanisms and access and benefit-sharing regimes that recognize the protection of traditional
knowledge, innovations and practices of indigenous and local communities, in accordance with domestic laws and relevant interna tional
instruments;
(k) To contribute to poverty alleviation and be supportive to the realization of human food security, health and cultural integrity , especially in
developing countries, in particular least developed countries and small island developing States among them;
(l) Taxonomic research, as specified in the Global Taxonomy Initiative, should not be prevented, and providers should facilitate ac quisition of
material for systematic use and users should make available all information associated with the specimens thus obtained.
12. The Guidelines are intended to assist Parties in developing an overall access and benefit-sharing strategy, which may be pa rt of their national
biodiversity strategy and action plan, and in identifying the st eps involved in the process of obtaining access to genetic reso urces and sharing
benefits.
II. ROLES AND RESPONSIBILITIES IN ACCESS AND BENEFIT- SHARING PURSUANT TO ARTI CLE 15 OF TH E CONVENTION
ON BIOLOGICAL DIVERSITY
13. Each Party should designate one national focal point for acce ss and benefit-sharing and make such information available thr ough the clearing-
house mechanism. The national focal point should inform applican ts for access to genetic resources on procedures for acquiring prior informed
consent and mutually agreed terms, including benefit-sharing, and on competent national authorities, relevant indigenous and lo cal communities and
relevant stakeholders, through the clearing-house mechanism. …
16. Recognizing that Parties and stakeholders may be both users and providers, the following balanced list of roles and respons ibilities provides key
elements to be acted upon: …(b)  In the implementation of mutually agreed terms, users shou ld: Seek informed consent prior to access to genetic resources, in conformity with
Article 15, paragraph 5, of the Convention; …
(d)  Contracting Parties with users of genetic resources under their jurisdiction should take appropriate legal, administrative , or policy measures, as
appropriate, to support compliance with prior informed consent of the Contracting Party providing such resources and mutually a greed terms on
which access was granted. These countries could consider, inter alia, the following measures:
(i) Mechanisms to provide information to  potential users on their obligations regarding access to genetic resources;
(ii) Measures to encourage the disclosure of the country of origin of the genetic resources and of the origin of traditional knowled ge,
innovations and practices of indigenous and local communities in applications for intellectual property rights;
(iii) Measures aimed at preventing the use of genetic resources obtained without the prior informed consent of the Contracting Party providing
such resources;
(iv) Cooperation between Contracting Parties to address alleged infringements of access and benefit-sharing agreements;
(v) Voluntary certification schemes for institutions abiding by rules on access and benefit-sharing;
(vi) Measures discouraging unfair trade practices;
(vii) Other measures that encourage users to comply with provisions under subparagraph 16 (b) above. …
IV. STEPS IN THE ACCESS AND BENEFIT-SHARING PROCESS
…24. As provided for in Article 15 of the Convention on Biological Diversity, which recognizes the sovereign rights of States o ver their natural
resources, each Contracting Party to the Convention shall endeavour to create conditions to facilitate access to genetic resour ces for environmentallyWT/CTE/W/160/Rev.2, TN/TE/S/5
Page 72sound uses by other Contracting Parties and fair and equitable sh aring of benefits arising from such uses. In accordance with A rticle 15, paragraph 5,
of the Convention on Biological Diversity, access to genetic resources shall be subject to prior informed consent of the contra cting Party providing
such resources, unless otherwise determined by that Party.25. Against this background, the Guidelines are intended to assist Parties in the establishment of a system of prior informed c onsent, in accordance
with Article 15, paragraph 5, of the Convention….
C. Role of intellectual property rights in the impl ementation of access and benefit-sharing arrangements
The Conference of the Parties
1. Invites Parties and Governments to encourage the disclosure of  the country of origin of genetic resources in applications fo r intellectual property
rights, where the subject matter of the application concerns or makes use of genetic resources in its development, as a possibl e contribution to
tracking compliance with prior informed c onsent and the mutually agreed terms on which access to those resources was granted;
2. Also invites Parties and Governments to encourage the disclosu re of the origin of relevant traditional knowledge, innovation s and practices of
indigenous and local communities relevant for the conservation and sustainable use of biological diversity in applications for intellectual property
rights, where the subject matter of the application concerns or makes use of such knowledge in its development;3. Requests the Executive Secretary, with the help of other international and intergovernmental organizations such as the World  Intellectual Property
Organization and through the Ad Hoc Open-ended Inter-Sessional Working Group on Article 8(j) and Related Provisions of the Conv ention, where
appropriate, to undertake further information gathering and analysis with regard to:
a) Impact of intellectual property regimes on access to and use of genetic resources and scientific research;
b) Role of customary laws and practices in relation to the protection of genetic resources and traditional knowledge, innovations and practices, and
their relationship with intellectual property rights;
c) Consistency and applicability of requirements for disclosure of country of origin and prior informed consent in the context of international legal
obligations;
d) Efficacy of country of origin and prior informed consent disclosures in assisting the examination of intellectual property righ ts applications and
the re-examination of intellectual property rights granted;
e) Efficacy of country of origin and prior informed consent disclosures in monitoring compliance with access provisions;
f) Feasibility of an internationally recognized certificate of origin system as evidence of prior informed consent and mutually ag reed terms; and
g) Role of oral evidence of prior art in the examination, granting and maintenance of intellectual property rights;
4. Invites the World Intellectual Property Organization to prepare a technical study, and to report its findings to the Confere nce of the Parties at its
seventh meeting, on methods consistent with obligations in treaties administered by the World Intellectual Property Organizatio n for requiring the
disclosure within patent applications of, inter alia:
a) Genetic resources utilized in the development of the claimed inventions;
b) The country of origin of genetic resources utilized in the claimed inventions;
c) Associated traditional knowledge, innovations and practices utilized in the development of the claimed inventions;
d) The source of associated traditional knowledge, innovations and practices; and
e) Evidence of prior informed consent; …
8. Invites other relevant international organizations (such as the Food and Agriculture Organization of the United Nations, the  United Nations
Conference on Trade and Development, the World Intellectual Property Organization, the World Trade Organization, and the United  Nations
Commission on Human Rights), as well as regional organizations, Parties and Governments to contribute to the further study and analysis of the
issues specified in paragraphs 3 and 4;
D. Other issues relating to  access and benefit-sharingWT/CTE/W/160/Rev.2, TN/TE/S/5
Page 73The Conference of Parties,
The relationship between the Agreement on Trade-related Aspects of Intellectual Property Rights of the World Trade Organization  and the
Convention on Biological DiversityNoting that the provisions of the Agreement on Trade-related Aspects of Intellectual Property Rights of the World Trade Organiz ation and the
Convention on Biological Diversity are interrelated,
Noting also that the relationship between the Agreement on Trade-related Aspects of Intellectual Property Rights and the Conven tion on Biological
Diversity is being examined by the Council for Trade-related Aspects of Intellectual Property Rights, in conformity with Articl e 19 of the Doha
WTO Ministerial Declaration, adopted in November 2001,Noting further that the Convention Secretariat has still not been granted observer status on the Council for Trade-related Aspe cts of Intellectual
Property Rights, notwithstanding the official request of the Exec utive Secretary to the Director-General of the World Trade Org anization in a letter
dated 4 July 2000,1. Requests the Executive Secretary of the Convention to renew the application for observer status on the Council for Trade-rel ated Aspects of
Intellectual Property Rights, and to report back to the Conference of Parties on his efforts;2. Requests the Executive Secretary to follow discussions and developments in the Committee on Trade and Environment of the Wor ld Trade
Organization and the Council for Trade-related Aspects of Intellectual Property Rights regarding the relationship between the A greement on Trade-
related Aspects of Intellectual Property Rights and the Convention;
Cooperation with other relevant intergovernmental organizations3. Acknowledges relevant work being carried out by other intergovernmental organisations, such as the World Intellectual Proper ty Organization, the
World Trade Organization, the Union for the Protection of New Va rieties of Plants, the United Nations Conference on Trade and D evelopment, and
the Food and Agriculture Organization of the United Nations, on issues related to access to genetic resources and benefit-shari ng;
4. Requests the Executive Secretary to further collaborate with the above relevant organisations to ensure mutual supportivenes s and avoid
duplication of work; …".
H. CARTAGENA PROTOCOL ON BIOSAFETY
Preamble "…Recognizing  that trade and environment agreements should be mutually supportive with a view to achieving sustainable development,
Emphasizing  that this Protocol shall not be interpreted as implying a change in the rights and obligations of a Party under any existing i nternational
agreements,
Understanding  that the above recital is not intended to subordinate this Protocol to other international agreements".
Article 2:4
General Provisions"4. Nothing in this Protocol shall be interpreted as restricting the right of a Party to take action that is more protective of  the conservation and
sustainable use of biological diversity than that called for in this Protocol, provided that such action is consistent with the  objective and the
provisions of this Protocol and is in accordance with that Party's other obligations under international law".
Article 7
Application of the
Advance Informed
Agreement Procedure"1. Subject to Articles 5 and 6, the advance informed agreement procedure in Articles 8 to 10 and 12 shall apply prior to the f irst intentional
transboundary movement of living modified organisms for intentional introduction into the environment of the Party of import.2. "Intentional introduction into the environment" in paragraph 1 above, does not refer to living modified organisms intended f or direct use as food or
feed, or for processing.
3. Article 11 shall apply prior to the first transboundary movement of living modified organisms intended for direct use as foo d or feed, or for
processing.4. The advance informed agreement procedure shall not apply to the intentional transboundary movement of living modified organi sms identified inWT/CTE/W/160/Rev.2, TN/TE/S/5
Page 74a decision of the Conference of the Parties serving as the meeti ng of the Parties to this Protocol as being not likely to have adverse effects on the
conservation and sustainable use of bi ological diversity, taking also into account risks to human health".
/g224 Lays out the Advanced Informed Agreement (AIA) procedure which shall apply for the first international transboundary movement of a LMO for
intentional introduction into the environment of the Party of import.  The AIA procedure is outlined in Articles 8 to 10 and 12 .  The procedure in
Article 11 shall apply prior to the first transboundary movement of LMOs intended for direct use as food or feed, or for proces sing.  The AIA
procedure shall not apply to LMOs in transit or for contained use.
Article 8
Notification"1. The Party of export shall notify, or require the exporter to ensure notification to, in writing,  the competent national au thority of the Party of
import prior to the intentional transboundary movement of a living modified organism that falls within the scope of Article 7, paragraph 1. The
notification shall contain, at a minimum,  the information specified in Annex I.
2. The Party of export shall ensure that there is a legal requirement for the accuracy of information provided by the exporter" .
Article 9
Acknowledgement of
Receipt of Notification"1. The Party of import shall acknowledge receipt of the notification, in writing, to the notifier within ninety days of its re ceipt.
2. The acknowledgement shall state:
(a) The date of receipt of the notification;(b) Whether the notification, prima facie, contains the information referred to in Article 8;(c) Whether to proceed according to the domestic regulatory frame work of the Party of import or according to the procedure spec ified in
Article 10.
3. The domestic regulatory framework referred to in paragrap h 2 (c) above, shall be consistent with this Protocol.
4. A failure by the Party of import to acknowledge receipt of a notification shall not imply its consent to an intentional tran sboundary movement".
Article 10
Decision Procedure"1. Decisions taken by the Party of import shall be in accordance with Article 15.
2. The Party of import shall, within the period of time referred to in Article 9, inform the notifier, in writing, whether the intentional transboundary
movement may proceed:
(a) Only after the Party of import has given its written consent; or(b) After no less than ninety days without a subsequent written consent.
3. Within two hundred and seventy days of the date of receipt of notification, the Party of import shall communicate, in writin g, to the notifier and to
the Biosafety Clearing-House the decision referred to in paragraph 2 (a) above:
(a) Approving the import, with or without conditions, including how the decision will apply to subsequent imports of the same l iving modified
organism;(b) Prohibiting the import;(c) Requesting additional relevant information in accordance with its domestic regulatory framework or Annex I; in calculating the time within
which the Party of import is to respond, the number of days it has to wait for additional relevant information shall not be tak en into account; or
(d) Informing the notifier that the period specified in th is paragraph is extended by a defined period of time.
4. Except in a case in which consent is unconditional, a decision under paragraph 3 above, shall set out the reasons on which i t is based.
5. A failure by the Party of import to communicate its decision wi thin two hundred and seventy days of the date of receipt of t he notification shall not
imply its consent to an intentional transboundary movement.6. Lack of scientific certainty due to insufficient relevant scientific information and knowledge regarding the extent of the p otential adverse effects of
a living modified organism on the conservation and sustainable use of biological diversity in the Party of import, taking also into account risks to
human health, shall not prevent that Party from taking a decision, as appropriate, with regard to the import of the living modi fied organism in
question as referred to in paragraph 3 above, in order to avoid or minimize such potential adverse effects…".WT/CTE/W/160/Rev.2, TN/TE/S/5
Page 75Article 11
Procedure for Living
Modified Organisms
Intended for Direct Use
as Food or Feed, or for
Processing"1. A Party that makes a final decision regarding domestic use, including placing on the market, of a living modified organism that may be subject to
transboundary movement for direct use as food or feed, or for processing shall, within fifteen days of making that decision, in form the Parties
through the Biosafety Clearing-House.  This information shall cont ain, at a minimum, the information specified in Annex II.  Th e Party shall provide
a copy of the information, in writing, to the national focal poi nt of each Party that informs the Secretariat in advance that i t does not have access to
the Biosafety Clearing-House. This provision shall not apply to decisions regarding field trials.
2. The Party making a decision under paragraph 1 above, shall ensure that there is a legal requirement for the accuracy of info rmation provided by
the applicant.3. Any Party may request additional information from the authority identified in paragraph (b) of Annex II.4. A Party may take a decision on the import of living modified organisms intended for direct use as food or feed, or for proce ssing, under its
domestic regulatory framework that is consistent with the objective of this Protocol.
5. Each Party shall make available to the Biosafety Clearing-House copies of any national laws, regulations and guidelines appl icable to the import
of living modified organisms intended for direct use as food or feed, or for processing, if available.6. A developing country Party or a Party with an economy in transition may, in the absence of the domestic regulatory framework  referred to in
paragraph 4 above, and in exercise of its domestic jurisdictio n, declare through the Biosafety Clearing-House that its decision  prior to the first import
of a living modified organism intended for direct use as food or feed, or for processing, on which information has been provide d under paragraph 1
above, will be taken according to the following:
(a) A risk assessment undertaken in accordance with Annex III; and(b) A decision made within a predictable timeframe, not exceeding two hundred and seventy days.
7. Failure by a Party to communicate its d ecision according to paragraph 6 above, sha ll not imply its consent or refusal to the  import of a living
modified organism intended for direct use as food or feed, or for processing, unless otherwise specified by the Party.8. Lack of scientific certainty due to insufficient relevant scientific information and knowledge regarding the extent of the p otential adverse effects of
a living modified organism on the conservation and sustainable use of biological diversity in the Party of import, taking also into account risks to
human health, shall not prevent that Party from taking a decision, as appropriate, with regard to the import of that living mod ified organism intended
for direct use as food or feed, or for processing, in order to avoid or minimize such potential adverse effects.9. A Party may indicate its needs for financial and technical a ssistance and capacity-building with respect to living modified organisms intended for
direct use as food or feed, or for processing.  Parties shall cooperate to meet these needs in accordance with Articles 22 and 28".
Article 12
Review of Decisions"1. A Party of import may, at any time, in light of new scientific information on potential adverse effects on the conservation  and sustainable use of
biological diversity, taking also into acco unt the risks to human health, review and change a decision regarding an intentional  transboundary
movement. In such case, the Party shall, within thirty days, inform any notifier that has previously notified movements of the living modified
organism referred to in such decision, as well as the Biosafety Clearing-House, and shall set out the reasons for its decision.2. A Party of export or a notifier may request the Party of import to review a decision it has made in respect of it under Arti cle10 where the Party of
export or the notifier considers that:
(a)  A change in circumstances has occurred that may influence the outcome of the risk assessment upon which the decision was ba sed; or
(b)  Additional relevant scientific or technical information has become available.
3. The Party of import shall respond in writing to such a request within ninety days and set out the reasons for its decision.4. The Party of import may, at its discretion, require a risk assessment for subsequent imports".
Article 13
Simplified Procedure"1. A Party of import may, provided that adequate measures are applied to ensure the safe intentional transboundary movement of  living modified
organisms in accordance with the objective of this Protocol, specify in advance to the Biosafety Clearing-House:
(a) Cases in which intentional transboundary movement to it may ta ke place at the same time as the movement is notified to the P arty ofWT/CTE/W/160/Rev.2, TN/TE/S/5
Page 76import; and
(b) Imports of living modified organisms to it to be ex empted from the advance in formed agreement procedure.
Notifications under subparagraph (a) above, may apply to subsequent similar movements to the same Party.2. The information relating to an intentional transboundary movement that is to be provided in the notifications referred to in  paragraph 1 (a) above,
shall be the information specified in Annex I".
Article 14
Bilateral, Regional and
Multilateral Agreements
and Arrangements"1. Parties may enter into bilateral, regional and multilateral agreements and arrangements regarding intentional transboundary  movements of living
modified organisms, consistent with the objective of this Protocol and provided that such agreements and arrangements do not re sult in a lower level
of protection than that provided for by the Protocol.
2. The Parties shall inform each other, through the Biosafety Cl earing-House, of any such bilateral, regional and multilateral agreements and
arrangements that they have entered into before or after the date of entry into force of this Protocol.
3. The provisions of this Protocol shall not affect intentiona l transboundary movements that take place pursuant to such agreem ents and
arrangements as between the parties to those agreements or arrangements.4. Any Party may determine that its domestic regulations shall apply with respect to specific imports to it and shall notify th e Biosafety Clearing-
House of its decision".
Article 15
Risk Assessment"1. Risk assessments undertaken pursuant to this Protocol sha ll be carried out in a scientifically sound manner, in accordance with Annex III and
taking into account recognized risk assessment techniques. Such risk  assessments shall be based, at a minimum, on information p rovided in
accordance with Article 8 and other available scientific evidence in order to identify and evaluate the possible adverse effect s of living modified
organisms on the conservation and sustainable use of biological  diversity, taking also into account risks to human health.
2. The Party of import shall ensure that risk assessments are carried out for decisions taken under Article10.  It may require the exporter to carry out
the risk assessment.3. The cost of risk assessment shall be borne by the notifier if the Party of import so requires".
Article 16
Risk Management"1. The Parties shall, taking into account Article 8(g) of the Convention, establish and maintain appropriate mechanisms, measu res and strategies to
regulate, manage and control risks identified in the risk assessme nt provisions of this Protocol associated with the use, handl ing and transboundary
movement of living modified organisms.
2. Measures based on risk assessment shall be imposed to the extent necessary to prevent adverse effects of the living modified  organism on the
conservation and sustainable use of biologi cal diversity, taking also into account risks to human health, within the territory of the Party of import.
3. Each Party shall take appropriate measures to prevent unintentional transboundary movements of living modified organisms, in cluding such
measures as requiring a risk assessment to be carried out prior to the first release of a living modified organism.4. Without prejudice to paragraph2 above, each Party shall ende avour to ensure that any living modified organism, whether impor ted or locally
developed, has undergone an appropriate period of observation that is commensurate with its life-cycle or generation time befor e it is put to its
intended use.5. Parties shall cooperate with a view to:
(a) Identifying living modified organisms or specific traits of living modified organisms that may have adverse effects on the c onservation and
sustainable use of biological diversity, taking  also into account risks to human health; and
(b) Taking appropriate measures regarding the treatment of  such living modified organisms or specific traits".
Article 18
Handling, Transport,
Packaging And
Identification"1. In order to avoid adverse effects on the conservation and su stainable use of biol ogical diversity, taking also into account  risks to human health,
each Party shall take necessary measures to require that living modified organisms that are subj ect to intentional transboundar y movement within the
scope of this Protocol are handled, packaged and transported under conditions of safety, taking into consideration relevant int ernational rules and
standards.WT/CTE/W/160/Rev.2, TN/TE/S/5
Page 772. Each Party shall take measures to require that documentation accompanying:
(a) Living modified organisms that are intended for direct use as food or feed, or for processing, clearly identifies that they "may contain" living
modified organisms and are not intended for intentional introduction into the environment, as well as a contact point for furth er information.  The
Conference of the Parties serving as the meeting of the Parties to  this Protocol shall take a decision on the detailed requirem ents for this purpose,
including specification of their identity and any unique identification, no later than two years after the date of entry into f orce of this Protocol;
(b) Living modified organisms that are destined for contained use clearly identifies them as living modified organisms; and spec ifies any
requirements for the safe handling, storage, transport and use, the contact point for further information, including the name a nd address of the
individual and institution to whom the livin g modified organisms are consigned; and
(c) Living modified organisms that are intended for intentional introduction into the environment of the Party of import and any  other living
modified organisms within the scope of the Protocol, clearly identifies them as living modified organisms; specifies the identi ty and relevant traits
and/or characteristics, any requirements for the safe handling, storage, transport and use, the contact point for further infor mation and, as
appropriate, the name and address of the importer and exporter; an d contains a declaration that th e movement is in conformity w ith the
requirements of this Protocol applicable to the exporter.
3. The Conference of the Parties serving as the meeting of the Pa rties to this Protocol shall consider the need for and modalit ies of developing
standards with regard to identification, handling, packaging and transport practices, in consultation with other relevant inter national bodies.
Article 19
Handling of
Biotechnology and
Distribution of its
Benefits"1. Each Contracting Party shall take legislative, administrativ e or policy measures, as appropriate, to provide for the effect ive participation in
biotechnological research activities by those Contracting Parties, especially developing countries, which provide the genetic r esources for such
research, and where feasible in such Contracting Parties.2. Each Contracting Party shall take all practicable measures to promote and advance priority access on a fair and equitable ba sis by Contracting
Parties, especially developing countries, to the results and benefits arising from biotechnologies based upon genetic resources  provided by those
Contracting Parties. Such access shall be on mutually agreed terms.3. The Parties shall consider the need for and modalities of a protocol setting out appropriate procedures, including, in parti cular, advance informed
agreement, in the field of the safe transfer, handling and use of any living modified organism resulting from biotechnology tha t may have adverse
effect on the conservation and sustai nable use of biological diversity.
4. Each Contracting Party shall, directly or by requiring any natural or legal person under its jurisdiction providing the orga nisms referred to in
paragraph 3 above, provide any available information about the use and safety regulations required by that Contracting Party in  handling such
organisms, as well as any available information on the potential adverse impact of the specific organisms concerned to the Cont racting Party into
which those organisms are to be introduced".
Article 26
Socio-Economic
Considerations"1. The Parties, in reaching a decision on import under this Pr otocol or under its domestic measures implementing the Protocol,  may take into
account, consistent with their international obligations, socio-econo mic considerations arising from the impact of living modif ied organisms on the
conservation and sustainable use of biological  diversity, especially with regard to the value of biological diversity to indige nous and local
communities.2. The Parties are encouraged to cooperate on research and information exchange on any socio-economic impacts of living modifie d organisms,
especially on indigenous and local communities".
Annexes /g224 Annex I sets out the information required in notifications under Articles 8, 10 and 13 (AIA Procedure and Simplified Procedure ).
/g224 Annex II sets out the information required for LMOs intended for direct use as food or feed, or for processing under Article 1 1.
/g224 Annex III gives greater details on the risk asse ssments carried out pursuant to the Protocol.WT/CTE/W/160/Rev.2, TN/TE/S/5
Page 78I. UNITED NATIONS FRAMEWORK CONVENTION ON CLIMATE CHANGE
33. The UNFCCC does not directly restrict trade, but actions of c ountries implementing the UNFCCC could have trade implications.
Article 3.5
Principles"5. The Parties should cooperate to promote a supportive and open international economic system that would lead to sustainable economic growth
and development in all Parties, particularly developing country Parties, thus enabling them better to address the problems of c limate change.
Measures taken to combat climate change, including unilateral on es, should not constitute a means of arbitrary or unjustifiable  discrimination or a
disguised restriction on international trade".
/g224 No adverse impacts on trade pursuant to policies and measures adopted by Parties have been reported to the UNFCCC.
Article 4.2 (a)
Commitments"2. The developed country Parties and other Parties included in Annex I commit themselves specifically as provided for in the f ollowing:
(a) Each of these Parties shall adopt national1 policies and take corresponding measures on the mitigation of climate change, b y limiting its
anthropogenic emissions of greenhouse gases and protecting and enhancing its greenhouse gas sinks and reservoirs. These policie s and measures
will demonstrate that developed countries are taking the lead in modifying longer-term trends in anthropogenic emissions consis tent with the
objective of the Convention, recognizing that the return by th e end of the present decade to earlier levels of anthropogenic em issions of carbon
dioxide and other greenhouse gases not controlled by the Montreal Protocol would contribute to such modification, and taking in to account the
differences in these Parties' starting points and approaches, economic structures and resource bases, the need to maintain stro ng and sustainable
economic growth, available technologies and other individual circ umstances, as well as the need for equitable and appropriate c ontributions by each
of these Parties to the global effort regarding that objective. These Parties may implement such policies and measures jointly with other Parties and
may assist other Parties in contributing to the achievement of the objective of the Convention and, in particular, that of this  subparagraph".
/g224 Sets up the requirement for developed country Parties to adopt national policies and corresponding measures to mitigate climat e change.
J. KYOTO PROTOCOL
Article 2 "1. Each Party included in Annex I, in achieving its quantified emission limitation and reduction commitments under Article 3, in order to promote
sustainable development, shall:
(a) Implement and/or further elaborate policies and measures  in accordance with its national circumstances, such as:
(i) Enhancement of energy efficiency in relevant sectors of the national economy;(ii) Protection and enhancement of sinks and reservoirs of greenhouse gases not controlled by the Montreal Protocol, taking int o account its
commitments under relevant international environmental agreements; promotion of sustainable forest management practices, affore station and
reforestation;
(iii) Promotion of sustainable forms of agriculture in light of climate change considerations;(iv) Research on, and promotion, development and increased use of, new and renewable forms of energy, of carbon dioxide sequest ration
technologies and of advanced and innovative environmentally sound technologies;(v) Progressive reduction or phasing out of market imperfections, fiscal incentives, tax and duty exemptions and subsidies in a ll greenhouse gas
emitting sectors that run counter to the objective of the Convention and application of market instruments;
(vi) Encouragement of appropriate reforms in relevant sectors aimed at promoting policies and measures which limit or reduce em issions of
greenhouse gases not controlled by the Montreal Protocol;WT/CTE/W/160/Rev.2, TN/TE/S/5
Page 79(vii) Measures to limit and/or reduce emissions of greenhouse ga ses not controlled by the Montreal Protocol in the transport se ctor;
(viii) Limitation and/or reduction of methane emissions through recovery and use in waste management, as well as in the product ion, transport
and distribution of energy".
(b) Cooperate with other such Parties to enhance the individual and combined effectiveness of their policies and measures adopt ed under this
Article, pursuant to Article 4, paragraph 2(e)(i), of the Conven tion. To this end, these Parties shall take steps to share thei r experience and
exchange information on such policies and measures, including developing ways of improving their comparability, transparency an d effectiveness.
The Conference of Parties serving as the meeting of the Parties to this Protocol shall, at its first session or as soon as prac ticable thereafter,
consider ways to facilitate such cooperation,  taking into account all relevant information.
2. The Parties included in Annex I shall pursue limitation or reduction of emissions of greenhouse gases not controlled by the Montreal Protocol
from aviation and marine bunker fuels, working through the International Civil Aviation Organization and the International Mari time Organization,
respectively.3. The Parties included in Annex I shall strive to implement policies and measures under this Article in such a way as to minim ize adverse effects,
including the adverse effects of climate change, effects on inte rnational trade, and social, environmental and economic impacts  on other Parties,
especially developing country Parties and in particular those iden tified in Article 4, paragraphs 8 and 9, of the Convention, t aking into account
Article 3 of the Convention. The Conference of the Parties serving as the meeting of the Parties to this Protocol may take furt her action, as
appropriate, to promote the implementation of the provisions of this paragraph.
4. The Conference of the Parties serving as the meeting of the Parties to this Protocol, if it decides that it would be benefic ial to coordinate any of the
policies and measures in paragraph 1(a) above, taking into account different national circumstances and potential effects, shal l consider ways and
means to elaborate the coordination of such policies and measures".
Articles 6, 12 and 17 /g224 The Kyoto Protocol sets out three flexibility mechanisms:
/g167 Article 6: Joint Implementation (projects between Annex I countries to help meet a Party's commitments.)
/g167 Article 12: Clean Development Mechanism (The CDM allows Annex I Parties to invest in projects in developing countries to achiev e sustainable
development, contribute to the objective of the Convention and assist Annex 1 Parties to comply with reduction commitments).
/g167 Article 17: Emissions Trading.
K. INTERNATIONAL TROPICAL TIMBER AGREEMENT
1. Provisions of the ITTA
34. There are no provisions for trade measures in the ITTA, 1994.  However, following the entry into force of the ITTA, 1994, the I TTO’s mandate on trade has
been updated and refined.  This is reflected in six trade-related objectives of the agreement which are outlined in Article 1.
Article 1
Objectives"Recognizing the sovereignty of members over their natural resources, as defined in Principle 1 (a) of the Non-Legally Binding Authoritative
Statement of Principles for a Global Consensus on the Management, Conservation and Sustainable Development of all Types of Fore sts, the
objectives of the International Tropical Timber Agreement, 1994 (hereinafter referred to as "this Agreement") are:  …(b) To provide a forum for consultation to promote non-discriminatory timber trade practices; …(d) To enhance the capacity of members to implement a strategy for achieving exports of tropical timber and timber products fro m sustainably
managed sources by the year 2000;WT/CTE/W/160/Rev.2, TN/TE/S/5
Page 80(e) To promote the expansion and diversification of international trade in tropical timber from sustainable sources by improvin g the structural
conditions in international markets, by taking into account, on the one hand, a long term increase in consumption and continuit y of supplies, and, on
the other, prices which reflect the costs of sustainable forest management and which are remunerative and equitable for members , and the
improvement of market access;…
(h) To improve market intelligence with a view to ensuring great er transparency in the international timber market, including t he gathering,
compilation, and dissemination of trade related data, including data related to species being traded; …(k) To improve marketing and distribution of tropical timber exports from sustainably managed sources;…(n) To encourage information-sharing on the international timber market".
Article 36
Non-discrimination"Nothing in this Agreement authorizes the use of measures to rest rict or ban international trade in, and in particular as they concern imports of and
utilization of, timber and timber products".
2. Decisions and Recommendations
35. The ITTO Council has adopted, for instance, the following decisions:
Decision 3(X) /g224 In June 1991, the ITTO Council (ITTC) committed itself by Decision 3(X) to the "ITTO Year 2000 Objective", which is the goal o f having all
tropical timber entering international trade coming from sustainably managed sources by 2000.  Since then, the Council has appr oved policy studies
and project financing for a number of activities to help member count ries move toward this Objective.  The ITTO Year 2000 Objec tive has been
incorporated to the operative objectives of ITTA, 1994 (Article 1(d)).  At its Twenty-ninth Session, the ITTC reaffirmed its co mmitment to moving
as rapidly as possible towards achieving exports of tropical timber and timber products from sustainably managed sources pursua nt to the ITTO
Objective 2000 (Decision 2 (XXIX) adopted on 4 November 2000).
The ITTO Yokohama
Action Plan 2002-2006/g224 At its Thirty-first Session, the ITTC adopted the ITTO Yo kohama Action Plan 2002-2006, its third action plan (Decision 2 (XXXI ),
3 November 2001).
L. UN FISH STOCKS AGREEMENT
Article 17.4
Non-members of
organizations and non-
participants in
arrangements"States which are members of such organization [RFMOs] or particip ants in such arrangement shall exchange information with resp ect to the
activities of fishing vessels flying the flags of States which are neither members of the organization nor participants in the arrangement and which are
engaged in fishing operations for the relevant stocks. They shall take measures consistent with this Agreement and internationa l law to deter
activities of such vessels which undermine the effectiveness of subregional or regional conservation and management measures".
Article 23
Measures taken by a port
State"1. A port State has the right and the duty to take measures, in  accordance with international la w, to promote the effectivenes s of subregional,
regional and global conservation and management measures. When taking such measures a port State shall not discriminate in form  or in fact against
the vessels of any State.2. A port State may, inter alia, inspect documents, fishing gear and catch on board fishing vessels, when such vessels are volu ntarily in its ports or atWT/CTE/W/160/Rev.2, TN/TE/S/5
Page 81its offshore terminals.
3. States may adopt regulations empowering the relevant nationa l authorities to prohibit landings and transshipments where it h as been established
that the catch has been taken in a manner which undermines the effectiveness of subregional, regional or global conservation an d management
measures on the high seas.
4. Nothing in this article affects the exercise by States of their sovereignty over ports in their territory in accordance with  international law".
Article 33.2
Non-parties to this
Agreement"States Parties shall take measures consistent with this Agr eement and international law to deter the activities of vessels fly ing the flag of non-parties
which undermine the effective implementation of this Agreement".
M. ROTTERDAM CONVENTION ON THE PRIOR INFORMED CONSENT PROCEDURE FOR CERTAIN HAZARDOUS CHEMICALS AND PESTICIDES IN INTERNATIONAL
TRADE
Preamble "…Recognizing that trade and environmental policies should be mutually supportive with a view to achieving sustainable developm ent,
Emphasizing that nothing in this Convention shall be interpreted as implying in any way a change in the rights and obligations of a Party under any
existing international agreement applying to chemicals in international trade or to environmental protection,Understanding that the above recital is not intended to create a hierarchy between this Convention and other international agre ements,
Determined to protect human health, including the health of c onsumers and workers, and the environment against potentially harm ful impacts from
certain hazardous chemicals and pesticides in international trade…".
Articles 5, 6, 7 and 8 /g224 Set out the procedure to list chemicals that are subject  to the prior informed co nsent procedure in Annex III.
Article 5
Procedures for banned
or severely restricted
chemicals"1. Each Party that has adopted a final regulatory action shall notify the Secretariat in writing of such action. Such notifica tion shall be made as soon
as possible, and in any event no later than ninety days after the date on which the final regulatory action has taken effect, a nd shall contain the
information required by Annex I, where available.2. Each Party shall, at the date of entry into force of this  Convention for it, notify the Secretariat in writing of its final regulatory actions in effect at
that time, except that each Party that has submitted notifications  of final regulatory actions under the Amended London Guideli nes or the
International Code of Conduct need not resubmit those notifications.
3. The Secretariat shall, as soon as possible, and in any even t no later than six months after receipt of a notification under paragraphs 1 and 2, verify
whether the notification contains the information required by Annex I. If the notification contains the information required, t he Secretariat shall
forthwith forward to all Parties a summary of the information received. If the notification does not contain the information re quired, it shall inform
the notifying Party accordingly.4. The Secretariat shall every six months communicate to the Parties a synopsis of the information received pursuant to paragra phs 1 and 2, including
information regarding those notifications which do not contain all the information required by Annex I.
5. When the Secretariat has received at least one notification fr om each of two Prior Informed Consent regions regarding a part icular chemical that it
has verified meet the requirements of Annex I, it shall forward them to the Chemical Review Committee. The composition of the P rior Informed
Consent regions shall be defined in a decision to be adopted by consensus at the first meeting of the Conference of the Parties .
6. The Chemical Review Committee shall review the information pr ovided in such notifications an d, in accordance with the criter ia set out in
Annex II, recommend to the Conference of the Parties whether the ch emical in question should be made subject to the Prior Infor med Consent
procedure and, accordingly, be listed in Annex III".WT/CTE/W/160/Rev.2, TN/TE/S/5
Page 82Article 6
Procedures for severely
hazardous pesticide
formulations"1. Any Party that is a developing country or a country with an  economy in transition and that is experiencing problems caused by a severely
hazardous pesticide formulation under conditions of use in its te rritory, may propose to the Secretariat the listing of the sev erely hazardous pesticide
formulation in Annex III. In developing a proposal, the Party may draw upon technical expertise from any relevant source. The p roposal shall
contain the information required by part 1 of Annex IV.
2. The Secretariat shall, as soon as possible, and in any even t no later than six months after receipt of a proposal under para graph 1, verify whether
the proposal contains the information required by part 1 of Annex IV. If the proposal contains the information required, the Se cretariat shall
forthwith forward to all Parties a summary of the information received. If the proposal does not contain the information requir ed, it shall inform the
proposing Party accordingly.3. The Secretariat shall collect the additio nal information set out in part 2 of Annex IV regarding the proposal forwarded unde r paragraph 2.
4. When the requirements of paragraphs 2 and 3 above have been fulfilled with regard to a particular severely hazardous pestici de formulation, the
Secretariat shall forward the proposal and the related information to the Chemical Review Committee.5. The Chemical Review Committee shall review the information provided in the proposal and th e additional info rmation collected  and, in
accordance with the criteria set out in part 3 of Annex IV, recomme nd to the Conference of the Parties whether the severely haz ardous pesticide
formulation in question should be made subject to the Prior In formed Consent procedure and, accordingly, be listed in Annex III ".
Article 7
Listing of chemicals in
Annex III"1. For each chemical that the Chemical Review Committee has d ecided to recommend for listing in Annex III, it shall prepare a draft decision
guidance document. The decision guidance document should, at a minimum, be based on the information specified in Annex I, or, a s the case may
be, Annex IV, and include information on uses of the chemical in a category other than the category for which the final regulat ory action applies.
2. The recommendation referred to in paragraph 1 together with the draft decision guidance document shall be forwarded to the C onference of the
Parties. The Conference of the Parties shall decide whether the ch emical should be made subject to the Prior Informed Consent p rocedure and,
accordingly, list the chemical in Annex III and approve the draft decision guidance document.3. When a decision to list a chemical in Annex III has been ta ken and the related decision guidance document has been approved by the Conference
of the Parties, the Secretariat shall forthwit h communicate this information to all Parties".
Article 8
Chemicals in the
voluntary Prior
Informed Consent
procedure"For any chemical, other than a chemical listed in Annex III, th at has been included in the vo luntary Prior Informed Consent pr ocedure before the
date of the first meeting of the Conference of the Parties, the Conference of the Parties shall decide at that meeting to list the chemical in Annex III,
provided that it is satisfied that all the requirements for listing in that Annex have been fulfilled".
Article 9
Removal of chemicals
from Annex III"1. If a Party submits to the Secretariat information that was no t available at the time of the decision to list a chemical in Annex III and that
information indicates that its listing may no longer be justifie d in accordance with the relevant criteria in Annex II or, as t he case may be, Annex IV,
the Secretariat shall forward the information to the Chemical Review Committee.
2. The Chemical Review Committee shall review the information it receives under paragraph 1. For each chemical that the Chemica l Review
Committee decides, in accordance with the relevant criteria in An nex II or, as the case may be, Annex IV, to recommend for remo val from
Annex III, it shall prepare a revised draft decision guidance document.3. A recommendation referred to in paragraph 2 shall be forwarded to the Conference of the Parties and be accompanied by a revi sed draft decision
guidance document. The Conference of the Parties shall decide whether the chemical should be removed from Annex III and whether  to approve the
revised draft decision guidance document.
4. When a decision to remove a chemical from Annex III has been taken and the revised decision guidance document has been appro ved by the
Conference of the Parties, the Secretariat shall forthwith communicate this information to all Parties".
/g224 Contains the procedure for de-listing a chemical from Annex III.WT/CTE/W/160/Rev.2, TN/TE/S/5
Page 83Article 10
Obligations in relation to
imports of chemicals
listed in Annex III"1. Each Party shall implement appropriate legislative or administrative measures to ensure timely decisions with respect to th e import of chemicals
listed in Annex III.2. Each Party shall transmit to the Secretar iat, as soon as possible, and in any event no later than nine months after the date  of dispatch of the
decision guidance document referred to in paragraph 3 of Article 7, a response concerning the future import of the chemical con cerned. If a Party
modifies this response, it shall forthwith submit the revised response to the Secretariat.
3. The Secretariat shall, at the expiration of the time period in  paragraph 2, forthwith address to a Party that has not provid ed such a response, a
written request to do so. Should the Party be unable to provide a response, the Secretariat shall, where appropriate, help it t o provide a response
within the time period specified in the last sentence of paragraph 2 of Article 11.4. A response under paragraph 2 shall consist of either:
(a) A final decision, pursuant to legislative or administrative measures:
(i) To consent to import;(ii) Not to consent to import; or(iii) To consent to import only subject to specified conditions; or
(b) An interim response, which may include:
(i) An interim decision consenting to import with or without specified conditions,  or not consenting to import during the inte rim period;
(ii) A statement that a final deci sion is under active consideration;
(iii) A request to the Secretariat, or to the Party that notified the final regulatory action, for further information;(iv) A request to the Secretariat for assistance in evaluating the chemical.
5. A response under subparagraphs (a) or (b) of paragraph 4 shall relate to the category or categories specified for the chemic al in Annex III.
6. A final decision should be accompanied by a description of any legislative or administrative measures upon which it is based .
7. Each Party shall, no later than the date of entry into for ce of this Convention for it, transmit to the Secretariat response s with respect to each
chemical listed in Annex III. A Party that has provided such responses under the Amended London Guidelines or the International  Code of Conduct
need not resubmit those responses.8. Each Party shall make its responses under this Article ava ilable to those concerned within its jurisdiction, in accordance w ith its legislative or
administrative measures.9. A Party that, pursuant to paragraphs 2 and 4 above and paragraph 2 of Article 11, takes a decision not to consent to import of a chemical or to
consent to its import only under specified conditions shall, if it has not already done so, simultaneously prohibit or make sub ject to the same
conditions:
(a) Import of the chemical from any source; and(b) Domestic production of the chemical for domestic use.
10. Every six months the Secretariat shall inform all Parties of  the responses it has received. Such information shall include a description of the
legislative or administrative measures on which the decisions have  been based, where available. The Secretariat shall, in addit ion, inform the Parties
of any cases of failure to transmit a response".
Article 11
Obligations in relation to
exports of chemicals
listed in Annex III"1. Each exporting Party shall:
(a) Implement appropriate legislative or administrative measures  to communicate the responses forwarded by the Secretariat in a ccordance with
paragraph 10 of Article 10 to those concerned within its jurisdiction;(b) Take appropriate legislative or administrative measures to ensure that exporters within its jurisdiction comply with decisi ons in each response
no later than six months after the date on which the Secretariat first informs the Parties of such response in accordance with paragraph 10 of
Article 10;
(c) Advise and assist importing Parties, upon request and as appropriate:WT/CTE/W/160/Rev.2, TN/TE/S/5
Page 84(i) To obtain further information to help them to take actio n in accordance with paragraph 4 of Article 10 and paragraph 2 (c) below; and
(ii) To strengthen their capacities and capabilities to manage chemicals safely during their life-cycle.
2. Each Party shall ensure that a chemical listed in Annex III is not exported from its territory to any importing Party that, in exceptional
circumstances, has failed to transmit a response or has transmitted an interim response that does not contain an interim decisi on, unless:
(a) It is a chemical that, at the time of import, is  registered as a chemical in the importing Party; or
(b) It is a chemical for which evidence exists that it has previously been used in, or imported into, the importing Party and i n relation to which no
regulatory action to prohibit its use has been taken; or(c) Explicit consent to the impor t has been sought and received by the exporter through a designated national authority of the importing Party. The
importing Party shall respond to such a request within sixty days and shall promptly notify the Secretariat of its decision.
The obligations of exporting Parties under this paragraph shall a pply with effect from the expiration of a period of six months  from the date on which
the Secretariat first informs the Parties, in accordance with para graph 10 of Article 10, that a Party has failed to transmit a  response or has
transmitted an interim response that does not contain an interim decision, and shall apply for one year".
Article 12
Export notification"1. Where a chemical that is banned or severely restricted by  a Party is exported from its territory, that Party shall provide an export notification to
the importing Party. The export notification shall include the information set out in Annex V.2. The export notification shall be provided for that chemical prior to the first export following adoption of the correspondin g final regulatory action.
Thereafter, the export notification shall be provided before the first export in any calendar year. The requirement to notify b efore export may be
waived by the designated national authority of the importing Party.
3. An exporting Party shall provide an updated export notification after it has adopted a final regulatory action that results in a major change
concerning the ban or severe restriction of that chemical.4. The importing Party shall acknowledge receipt of the first export notification received after the adoption of the final regu latory action. If the
exporting Party does not receive the acknowledgement within thirty days of the dispatch of the export notification, it shall su bmit a second
notification. The exporting Party shall make reasonable efforts to ensure that the importing Party receives the second notifica tion.
5. The obligations of a Party set out in paragraph 1 shall cease when:
(a) The chemical has been listed in Annex III;(b) The importing Party has provided a response for the chemical to the Secretariat in accordance with paragraph 2 of Article 1 0; and
(c) The Secretariat has distributed the response to th e Parties in accordance with paragraph 10 of Article 10".
Article 13
Information to
accompany exported
chemicals"1. The Conference of the Parties shall encourage the World Customs Organization to assign specific Harmonized System customs c odes to the
individual chemicals or groups of chemicals listed in Annex III,  as appropriate. Each Party shall require that, whenever a code  has been assigned to
such a chemical, the shipping document for th at chemical bears the code when exported.
2. Without prejudice to any requirements of the importing Party,  each Party shall require that both chemicals listed in Annex I II and chemicals
banned or severely restricted in its territory are, when exporte d, subject to labelling requirements that ensure adequate avail ability of information
with regard to risks and/or hazards to human health or the en vironment, taking into account relevant international standards.
3. Without prejudice to any requirements of the importing Party,  each Party may require that chemicals subject to environmental  or health labelling
requirements in its territory are, when exported, subject to la belling requirements that ensure adequate availability of inform ation with regard to risks
and/or hazards to human health or the environment, taking into account relevant international standards.
4. With respect to the chemicals referred to in paragraph 2 th at are to be used for occupational purposes, each exporting Party  shall require that a
safety data sheet that follows an internationally recognized format, setting out the most up-to-date information available, is sent to each importer.
5. The information on the label and on the safety data sheet should, as far as practicable, be given in one or more of the offi cial languages of the
importing Party".WT/CTE/W/160/Rev.2, TN/TE/S/5
Page 85Article 15
Implementation of the
Convention"4. Nothing in this Convention shall be interpreted as restrictin g the right of the Parties to take action that is more stringe ntly protective of human
health and the environment than that called for in this Convention, provided that such action is consistent with the provisions  of this Convention and
is in accordance with international law".
N. STOCKHOLM CONVENTION ON PERSISTENT ORGANIC POLLUTANTS
Preamble "…Recognizing that this Convention and other international agreem ents in the field of trade and the environment are mutually su pportive…".
Article 3
Measures to reduce or
eliminate releases from
intentional production
and use"1. Each Party shall:
(a) Prohibit and/or take the legal and administrative measures necessary to eliminate:
(i) Its production and use of the chemicals listed in Annex A subject to the provisions of that Annex; and
(ii) Its import and export of the chemicals listed in Annex A in accordance with the provisions of paragraph 2; and
(b) Restrict its production and use of the chemicals listed in  Annex B in accordance with the provisions of that Annex".
2. Each Party shall take measures to ensure:
(a) That a chemical listed in Annex A or Annex B is imported only:
(i) For the purpose of environmentally sound disposal as set forth in paragraph 1 (d) of Article 6; or
(ii) For a use or purpose which is permitted for that Party under Annex A or Annex B;
(b) That a chemical listed in Annex A for which any production or  use specific exemption is in effect or a chemical listed in A nnex B for which
any production or use specific exemption or acceptable purpose is in  effect, taking into account any relevant provisions in exi sting international
prior informed consent instruments, is exported only:
(i) For the purpose of environmentally sound disposal as set forth in paragraph 1 (d) of Article 6;
(ii) To a Party which is permitted to use that chemical under Annex A or Annex B; or
(iii) To a State not Party to this Convention which has provided an annual certification to the exporting Party. Such certifica tion shall specify the
intended use of the chemical and include a statement that, with respect to that chemical, the importing State is committed to:
a. Protect human health and the environment by taking the necessary measures tominimize or prevent releases;b. Comply with the provisions of paragraph 1 of Article 6; and
c. Comply, where appropriate, with the provisions of paragraph 2 of Part II of Annex B.
The certification shall also include any appropriate supporting documentation, such as legislation, regulatory instruments, or administrative or
policy guidelines. The exporting Party shall transmit the certifi cation to the Secretariat within sixty days of receipt.
(c) That a chemical listed in Annex A, for which production and use specific exemptions are no longer in effect for any Party, is not exported from
it except for the purpose of environmentally sound disposal as set forth in paragraph 1 (d) of Article 6;
(d) For the purposes of this paragraph, the term “State not Party to this Convention” shall include, with respect to a particul ar chemical, a State or
regional economic integration organization that has not agreed to  be bound by the Convention with respect to that chemical.
3. Each Party that has one or more regulatory and assessment schemes for new pesticides or new industrial chemicals shall take measures to regulate
with the aim of preventing the production and use of new pesticides or new industrial chemicals which, taking into consideratio n the criteria in
paragraph 1 of Annex D, exhibit the characteristics of persistent organic pollutants.4. Each Party that has one or more regulatory and assessment sc hemes for pesticides or industrial chemicals shall, where approp riate, take into
consideration within these schemes the criteria in paragraph 1 of Annex D when conducting assessments of pesticides or industri al chemicalsWT/CTE/W/160/Rev.2, TN/TE/S/5
Page 86currently in use.
5. Except as otherwise provided in this Convention, paragraphs 1 and 2 shall not apply to quantities of a chemical to be used f or laboratory-scale
research or as a reference standard.6. Any Party that has a specific exemption in accordance with A nnex A or a specific exemption or an acceptable purpose in accor dance with
Annex B shall take appropriate measures to ensure that any production or use under such exemption or purpose is carried out in a manner that
prevents or minimizes human exposure and release into the envir onment. For exempted uses or acceptable purposes that involve in tentional release
into the environment under conditions of normal use, such release shall be to the minimum extent necessary, taking into account  any applicable
standards and guidelines".
Article 4
Register of specific
exemptions"1. A Register is hereby established for the purpose of identifying the Parties that have specific exemptions listed in Annex A  or Annex B. It shall
not identify Parties that make use of the provisions in Annex A or Annex B that may be exercised by all Parties. The Register s hall be maintained by
the Secretariat and shall be available to the public.
2. The Register shall include:
(a) A list of the types of specific exemptions reproduced from Annex A and Annex B;(b) A list of the Parties that have a specific exemption listed under Annex A or Annex B; and(c) A list of the expiry dates for each registered specific exemption.
3. Any State may, on becoming a Party, by means of a notification in writing to the Secretariat, register for one or more types  of specific exemptions
listed in Annex A or Annex B.
4. Unless an earlier date is indicated in the Register by a Party, or an extension is granted pursuant to paragraph 7, all regi strations of specific
exemptions shall expire five years after the date of entry into force of this Convention with respect to a particular chemical.5. At its first meeting, the Conference of the Parties shall decide upon its review process for the entries in the Register.6. Prior to a review of an entry in the Register, the Party co ncerned shall submit a report to the Secretariat justifying its c ontinuing need for
registration of that exemption. The report shall be circulated by  the Secretariat to all Parties. The review of a registration shall be carried out on the
basis of all available information. Thereupon, the Conference of the Parties may make such recommendations to the Party concern ed as it deems
appropriate.7. The Conference of the Parties may, upon request from the Party concerned, decide to extend the expiry date of a specific exe mption for a period of
up to five years. In making its decision, the Conference of the Parties shall take due account of the special circumstances of the developing country
Parties and Parties with economies in transition.8. A Party may, at any time, withdraw an entry from the Register for a specific exemption upon written notification to the Secr etariat. The
withdrawal shall take effect on the date specified in the notification.
9. When there are no longer any Parties registered for a particul ar type of specific exemption, no new registrations may be mad e with respect to it".
/g224 Establishes a register of specific exemptions for Parties for production or use of POPs listed in Annexes A or B.
Article 8
Listing of chemicals in
Annexes A, B and C/g224 Sets out the procedures for listing POPs in Annexes A, B and C.WT/CTE/W/160/Rev.2, TN/TE/S/5
Page 87III. SUPPORTIVE MEASURES
1. IPPC
1997 Amendments: Article XX – Technical Assistance
"The Contracting Parties agree to promote th e provision of technical assistance to cont racting parties, especially those that a re developing contracting parties, either bilaterally or
through the appropriate international organizations, with the objective of facilitating the implementation of this Convention".
2. ICCAT
/g224 Contracting Parties have access to scientif ic research, statistical database and other information.  They can also obtain tech nical assistance in establishing their statistical
systems, and in receiving training from the Commission.
/g224 Funding of many of the Commission’s activities is through the regular budget, provided by Contracting Party contributions.  Sp ecial funding arrangements have been
established, with funds from the public and private sectors.
3. CITES
/g224 CITES is funded through a Trust Fund administered by UNEP.  CITES projects are funded through donor organizations and countrie s.  Donor countries include: the EC, Nordic
countries, the UK, the US and Japan.
/g224 There are two types of CITES projects.  1) "Administrative projects" include, inter alia :  those related to the funding of participants to CITES COPs or other meetings;  technical
assistance (e.g., support in the development of CITES-related legislation);  training; and the provision of information (publis hed and electronic);  2) "Species" projects are those that
fund scientific research related to a particular animal or plant species (e.g., status survey, management and conservation of t he African grey parrot in one or more countries).
/g224 The CITES Secretariat provides technical assistance to developi ng countries through special programmes. These programmes aim a t raising the capacity of the Parties to
implement the Convention.  CITES' training activities are coordina ted by the Capacity Building Unit (CBU).  Capacity-building a ctivities include: workshops, seminars, training
packages, dissemination of information through Internet and Newsletter, technical assistance, etc.  The Scientific Support Unit  (SSU) provides assistance to the CITES Parties to
enhance the scientific basis for decision-making in CITES.  SCU is responsible for workshops on non-detriment findings and quot a management, as well as the creation of
identification manuals.  Compliance and enforcement are also impor tant focal activities of the CITES Secretariat.  The Legislat ion and Compliance Unit (LCU) provides technical
assistance to enforcement officers through the organization of enforcement seminars, the preparation of customs training packag es and legal advice for the development of national
legislation.  The Convention Support Unit (CSU) assists the Parties in understanding CITES provisions and provides logistic sup port in the organization of CITES meetings.
/g224 Many Parties have asked the Secretariat for advice or assistance in the development of legislation to implement CITES.  The Se cretariat has responded in a variety of ways,
including drafting models of law, developing a legislative checklist, directing requests for assistance to the relevant UNEP re gional offices (e.g. for certain Latin American
countries), missions by Secretariat staff, and providing written advice and/or comments on draft legislation.  This assistance could be further developed to address the interaction
between environmental and trade legislation, as well as the necessary institutional co-operation between Ministries of Environm ent and Ministries of Trade.
/g224 The remaining external contributions receive d by the Secretariat are used on species-related surveys, a number of which were a imed at gathering information on a specific
population’s conservation status with a view to devising sustainable management programmes.  Some of this financial support has  also come from users of wildlife.  Species
covered in surveys with a sustainable use dimension include cats, parrots, pythons, crocodilians, lizards, corals and orchids.
/g224 Specific programmes include:
1. Legal and Trade Policy Officer: A new post has been created in  the Legislation and Compliance Unit to assist the Parties in the development of "trade and environment"
policies and to prepare "trade and environment" analyses for presentation and discussion at meetings of the Conference of the P arties and for consideration by fora such as the
WTO.2. T.I.G.E.R.S (Trade Infraction and Global Enforcement Recording System) database:  The CITES Secretariat regularly prepares a  report on infractions or the types ofWT/CTE/W/160/Rev.2, TN/TE/S/5
Page 88fraud/smuggling employed.  Where serious infractions exist, they are registered in the T.I.G.E.R.S database and reported to the  CITES Standing Committee who may take
appropriate measures to remind Stat es of their signatory obligations.
3. National legislation project:  Parties to  CITES have precisely defined an approach, the National Legislation Project, for re viewing and evaluating domestic measures to
implement the Convention.  Three categories and four criteria ar e used to assess a Party’s national legislation.  The project, started in 1992, is currently in its fifth phase.
4. MIKE Monitoring of the Illegal Killing of Elephants Program
5. ETIS Elephant Trade Information System
4. CCAMLR
No provisions
5. Montreal Protocol
/g224 Article 10 (as modified by the London Amendment) established a Multilateral Fund for incremental costs.  The Fund has disbursed nearly  US$1 billion to 120 developing
countries for the purpose of institutional strengthening, training, project preparation, and implementation of investment proje cts.  The Fund has the obligation to meet all the agreed
incremental costs of developing countries for implementing the co ntrol measures.  An indicative list of agreed incremental cost s approved by the MOP IV was established in 1991
(permanent in 1992).  The three-year initial budget for 1991-93 was US$240 million and the budget was replenished in 1993, 1996  and 1999.
/g224 As of 2000, the fund has financed more than 2,000 projects in developing countries to meet the costs of changing from CFC tech nologies to more ozone-friendly technologies.
Also, developing countries have received assistance for institutio nal strengthening and technical advice to help them reduce th eir use of ODS.
/g224 The allocations so far have been as follows (Period Amount in US$ in Millions): 1991 to 1993:  $240; 1994 to 1996:  $455; 1997  to 1999:  $465; 2000 to 2002:  $440.
/g224 The GEF also provides funds to countries with economies in transition.  There are a number of GEF-eligible countries that are Parties to the Protocol, where the production or
consumption of ODS is too high to qualify for support under the Multilateral Fund.  These are mainly countries in Central and E astern Europe, and the former Soviet Union.  The
same criteria apply for the funding of ozone projects under the GEF as under the Multilateral Fund.  The GEF has allocated US$1 48 million for 14 such countries.
/g224 Technology Transfer under Article 10A occurs under fair and most favourable conditions.
/g224 Nearly 2500 projects are being implemented in developing countries to shift their use to non-ODS substances.
6. Basel Convention
/g224 UNEP administers two trust funds for Basel:
1.  A fund for the implementation of the Convention where funds are based on the UN scale of assessment and;2.  A technical cooperation fund to assist developing countries and other countries in need of assistance to implement the Conv ention.  Parties decide on the level of contribution
for this fund. Other financial resources come from bilateral assistance programmes among Parties.
/g224 Basel has no specific financial mechanism to facilitate technology  transfer.  This is problematic, as there is a lack of funds . For example, the Technical Cooperation Trust Fund
to assist developing countries only had a budget of US$600,000 fo r 1997/8.  Further development and consolidation of the operat ion of the regional and sub-regional centres for
training and technology transfer will provide for future assistance in these areas.
/g224 Capacity building (training and information management) is also  carried out by Parties and the Secretariat.  There are limited  funds for capacity building.   However, with the
recent adoption of the Basel Declaration on Environmentally Sound Management, efforts will increase to assist Parties to minimi ze generation of wastes and to manage wastes
generated in an environmentally sound manner.  Parties agreed to provide US$300,000 per year over a three-year period (2000-200 2) to initiate activities for the implementation of
the Basel Declaration.
/g224 At COP6, Parties considered and approved a draft decision on enlarging the scope of the Technical Cooperation Trust Fund, incl uding interim guidelines on emergency
assistance, compensation, and accident and damage prevention in an annex. The guidelines focus on emergency assistance, compens ation for damage to the environment, capacity
building, technology transfer, and developing measures to preven t accidents and damage to the environment caused by the transbo undary movement of wastes and their disposal.WT/CTE/W/160/Rev.2, TN/TE/S/5
Page 89The COP invites developing countries and countries with economies  in transition to submit to the Secretariat project proposals for development of capacity building and transfer of
technology, and encourages Parties and the S ecretariat to continue working on the improvement of the existing mechanism, or on establishment of a new mechanism, if necessary.
7. CBD
Article 17: 2 – Exchange of Information
"2. Such exchange of information shall include exchange of resu lts of technical, scientific and socio-economic research, as wel l as information on training and surveying
programmes, specialized knowledge, indigenous and traditional knowledge as such and in combination with the technologies referr ed to in Article 16, paragraph 1. It shall also,
where feasible, include repatriation of information".
Article 18: 3-4 – Technical and Scientific Cooperation
" 3. The Conference of the Parties, at its first meeting, sha ll determine how to establish a clearing-house mechanism to promot e and facilitate technical and scientific cooperation.
4. The Contracting Parties shall, in accordance with national le gislation and policies, encourage and develop methods of cooper ation for the development and use of technologies,
including indigenous and traditional technologies, in pursuance of  the objectives of this Convention. For this purpose, the Con tracting Parties shall also promote cooperation in the
training of personnel and exchange of experts".
/g224 The financial mechanism for the CBD is the GEF.  In total, the GEF has approved biodiversity projects amounting to over US$ 1. 3 billion.
8. Cartagena Protocol
Article 20 – Information Sharing and the Biosafety Clearing-House
"1. A Biosafety Clearing-House is hereby established as part of the clearing-house mechanism under Article 18, paragraph 3, of the Convention, in order to:
(a) Facilitate the exchange of scientific, technical, environmental and legal information on, and experience with, living modif ied organisms; and
(b) Assist Parties to implement the Protocol, taking into account the special needs of developing country Parties, in particula r the least developed and small island developing
States among them, and countries with economies in transition as well as countries that are centres of origin and centres of ge netic diversity.
2. The Biosafety Clearing-House shall serve as a means through which information is made available for the purposes of paragrap h 1 above. It shall provide access to information
made available by the Parties relevant to the implementation of  the Protocol. It shall also provide access, where possible, to other international biosafety information exchange
mechanisms.3. Without prejudice to the protection of confidential information, each Party shall make available to the Biosafety Clearing-H ouse any information required to be made available to
the Biosafety Clearing-House under this Protocol, and:(a) Any existing laws, regulations and guidelines for implementation of the Protocol, as well as information required by the Pa rties for the advance informed agreement procedure;
(b) Any bilateral, regional and multilateral agreements and arrangements;
(c) Summaries of its risk assessments or environmental reviews of living modified organisms generated by its regulatory process , and carried out in accordance with Article 15,
including, where appropriate, relevant information regarding produ cts thereof, namely, processed materials that are of living m odified organism origin, containing detectable novel
combinations of replicable genetic material obtained through the use of modern biotechnology;(d) Its final decisions regarding the importation or release of living modified organisms; and
(e) Reports submitted by it pursuant to Article 33, including those on implementation of the advance informed agreement procedu re.
4. The modalities of the operation of the Biosafety Clearing-House, including reports on its activities, shall be considered an d decided upon by the Conference of the Parties serving
as the meeting of the Parties to this Protocol at its first meeting, and kept under review thereafter".
Article 22 – Capacity-Building
"1. The Parties shall cooperate in the development and/or strengthening of human resources and institutional capacities in bios afety, including biotechnology to the extent that it is
required for biosafety, for the purpose of the effective implementation of this Protocol, in developing country Parties, in par ticular the least developed and small island developing
States among them, and in Parties with economies in transition, including through existing global, regional, subregional and na tional institutions and organizations and, asWT/CTE/W/160/Rev.2, TN/TE/S/5
Page 90appropriate, through facilitating private sector involvement.
2. For the purposes of implementing paragraph 1 above, in rela tion to cooperation, the needs of developing country Parties, in particular the least developed and small island
developing States among them, for financial resources and access to  and transfer of technology and know-how in accordance with the relevant provisions of the Convention, shall
be taken fully into account for capacity-building in biosafety. Cooperation in capacity-building shall, subject to the differen t situation, capabilities and requirements of each Party,
include scientific and technical training in the proper and safe management of biotechnology, and in the use of risk assessment  and risk management for biosafety, and the
enhancement of technological and institutional capacities in biosafety. The needs of Parties with economies in transition shall  also be taken fully into account for such capacity-
building in biosafety".
Article 28:2 – Financial Mechanism and Resources
"2. The financial mechanism established in Article 21 of the Convention shall, through the institutional structure entrusted wi th its operation, be the financial mechanism for this
Protocol".
Article 25 – Illegal Transboundary Movements
"1. Each Party shall adopt appropriate domestic measures aimed at preventing and, if appropriate, penalizing transboundary move ments of living modified organisms carried out in
contravention of its domestic measures to implement this Protocol. Such movements shall be deemed illegal transboundary movemen ts.
2. In the case of an illegal transboundary movement, the affected Party may request the Party of origin to dispose, at its own expense, of the living modified organism in question by
repatriation or destruction, as appropriate.
3. Each Party shall make available to the Biosafety Clearing-House information concerning cases of illegal transboundary moveme nts pertaining to it".
9. UNFCCC
Article 4 – Commitments
"…3. The developed country Parties and other developed Parties included in Annex II shall provide new and additional financial resources to meet the agreed full costs incurred by
developing country Parties in complying with their obligations under Article 12, paragraph 1. They shall also provide such fina ncial resources, including for the transfer of
technology, needed by the developing country Parties to meet th e agreed full incremental costs of implementing measures that ar e covered by paragraph 1 of this Article and that
are agreed between a developing country Party and the international entity or entities referred to in Article 11, in accordance  with that Article. The implementation of these
commitments shall take into account the need for adequacy and predictability in the flow of funds and the importance of appropr iate burden sharing among the developed country
Parties. …
5. The developed country Parties and other developed Parties  in cluded in Annex II shall take all practicable steps to promote,  facilitate and finance, as appropriate, the transfer of,
or access to, environmentally sound technologies and know-how to other Parties, particularly developing country Parties, to ena ble them to implement the provisions of the
Convention. In this process, the developed country Parties shall support the development and enhancement of endogenous capaciti es and technologies of developing country
Parties. Other Parties and organizations in a position to do so ma y also assist in facilitating the transfer of such technologi es"…
7. The extent to which developing country Parties will effectively implement their commitments under the Convention will depend  on the effective implementation by developed
country Parties of their commitments under the Convention related to financial resources and transfer of technology and will ta ke fully into account that economic and social
development and poverty eradication are the first and ov erriding priorities of the developing country Parties.
8. In the implementation of the commitments in this Article, the Parties shall give full consideration to what actions are nece ssary under the Convention, including actions related to
funding, insurance and the transfer of technology, to meet the specific needs and concerns of developing country Parties arisin g from the adverse effects of climate change and/or
the impact of the implementation of response measures…".
Article 11 – Financial Mechanism
/g224 Establishes a financial mechanism (which is the GEF) to provide financial resources, including for the transfer of technology.
/g224 GEF covers the difference (or "increment") between the costs of a project undertaken with global environmental objectives in m ind, and the costs of an alternative project that
the country would have implemented in the absence of global environmental concerns.WT/CTE/W/160/Rev.2, TN/TE/S/5
Page 9110. Kyoto Protocol
/g224 Adopts the financial mechanism of the UNFCCC, which is the GEF and takes into account Articles 4.3 and 4.5 of the UNFCCC in im plementation of commitments.
11. ITTA
/g224 Article 20 provides for the establishment of the Special Account  comprising of the Pre-Project Sub-Account and the Project Sub-Account.  The sources of finance for the
account may come from the Common Fund for Commodities, regional and international financial institutions and voluntary contribu tions.  The resources of the account shall be
used only for approved ITTO pre-projects and projects.  Since it became operational in 1987, the ITTO has funded over 500 proje cts, pre-projects and activities for a total cost of
over US$ 230 million.
/g224 Article 21  of the ITTA, 1994 provides for the establishment of the Bali Partnership Fund  for the sustainable management of tropical  timber producing forests.  The fund is
exclusively reserved for producing members to achieve objective (d) of the ITTA, 1994 and is additional to the Special Account.
12. UN Fish Stocks
/g224 Part VII on "Requirements of Developing States" (Articles 24-26) provides for special assistance in favour of developing State s in the implementation of the Agreement in
recognition of their special requirements in relation to conservation and management of straddling fish stocks and highly migra tory fish stocks and development of fisheries for
such stocks.  Such assistance applies also in respect of the conservation and management of straddling fish stocks and highly m igratory fish stocks in areas under national
jurisdiction of developing coastal States (Part I, Article 3.3).
Article 25:1 – Forms of cooperation with developing States
"1. States shall cooperate, either directly or through subregional, regional or global organizations:
(a) to enhance the ability of developing States, in particular the least-developed among them and small island developing State s, to conserve and manage straddling fish stocks
and highly migratory fish stocks and to develop their own fisheries for such stocks;(b) to assist developing States, in particular the least-developed among them and small island developing States, to enable the m to participate in high seas fisheries for such
stocks, including facilitating access to such fisheries subject to articles 5 and 11; and
(c) to facilitate the participation of developing States in subregional and regional fisheries management organizations and arr angements".
Article 26 – Special assistance in th e implementation of this Agreement
"1. States shall cooperate to establish special funds to assist developing States in the implementation of this Agreement, incl uding assisting developing States to meet the costs
involved in any proceedings for the settlement of disputes to which they may be parties.2. States and international organizations should assist developing States in establishing new subregional or regional fisheries  management organizations or arrangements, or in
strengthening existing organizations or arrangements, for the conservation and management of straddling fish stocks and highly migratory fish stocks".
13. Rotterdam Convention
Article 16 – Technical assistance
"The Parties shall, taking into account in particular the needs of developing countries and countries with economies in transit ion, cooperate in promoting technical assistance for the
development of the infrastructure and the capacity necessary to manage chemicals to enable implementation of this Convention. P arties with more advanced programmes for
regulating chemicals should provide technical assistance, includin g training, to other Parties in developing their infrastructu re and capacity to manage chemicals throughout their
life-cycle".
14. Stockholm Convention
Article 7 – Implementation plans
/g224 Calls for the development of national plans to implement the agreement.WT/CTE/W/160/Rev.2, TN/TE/S/5
Page 92Article 12 – Technical assistance
"1. The Parties recognize that rendering of timely and appropriate technical assistance in response to requests from developing  country Parties and Parties with economies in
transition is essential to the successful implementation of this Convention.2. The Parties shall cooperate to provide timely and appropriate  technical assistance to developing country Parties and Parties  with economies in transition, to assist them, taking
into account their particular needs, to develop and strengthen their capacity to implement their obligations under this Convent ion.
3. In this regard, technical assistance to be provided by deve loped country Parties, and other Parties in accordance with their  capabilities, shall include, as appropriate and as
mutually agreed, technical assistance for capacity-building relating to implementation of the obligations under this Convention . Further guidance in this regard shall be provided by
the Conference of the Parties.4. The Parties shall establish, as appropriate, arrangements for the purpose of providing technical assistance and promoting th e transfer of technology to developing country Parties
and Parties with economies in transition relating to the implementation of this Convention. These arrangements shall include re gional and subregional centres for capacity-building
and transfer of technology to assist developing country Partie s and Parties with economies in transition to fulfil their obliga tions under this Convention. Further guidance in this
regard shall be provided by the Conference of the Parties.5. The Parties shall, in the context of this Article, take full account of the specific needs and special situation of least de veloped countries and small island developing states in their
actions with regard to technical assistance".
Article 13 – Financial resources and mechanisms
/g224 Parties undertake to provide financial support and incentives to achieve the objective of the Convention.  Developed country P arties shall provide new and additional financial
resources to enable developing country Parties and Parties with economies in transition to meet the agreed full incremental cos ts of implementing measures which fulfill their
obligations under the Convention.
/g224 Establishes a mechanism for the provision of adequate and sustainable financial resources to developing country Parties and Pa rties with economies in transition on a grant or
concessional basis to assist in their implementation of the Convention.
/g224 Calls upon the first meeting of the COP to develop appropriate guidance to be provided to the mechanism.  At its second meetin g, and on a regular basis, the COP shall review
the effectiveness of the mechanism.
Article 14 – Interim financial arrangements
/g224 Entrusts the GEF, on an interim basis, to be the principal entity operating the financial mechanism referred to in Article 13.WT/CTE/W/160/Rev.2, TN/TE/S/5
Page 93IV. NON-COMPLIANCE MECHANISM
1. IPPC
1997 Amendments : Article VII:2(f) – Requirements in relation to imports
"2. In order to minimize interference with international trade, each contracting party, in exercising its authority under parag raph 1 of this Article, undertakes to act in conformity
with the following: …f) Importing contracting parties shall, as soon as possible, inform the exporting contracting party concerned or, where appropr iate, the re-exporting contracting party concerned, of
significant instances of non-compliance with phytosanitary cer tification. The exporting contracting party or, where appropriate , the re-exporting contracting party concerned, should
investigate and, on request, report the result of its investigation to the importing contracting party concerned".
/g224 Guidance for non-compliance is elaborated in the International Standard for Phytosanitary Measures No. 13, Guidelines for the Notification of Non-Compliance and Emergency
Actions.
2. ICCAT
Article IX
"1. The Contracting Parties agree to take al l action necessary to ensure the enforcement of this Convention. Each Contracting P arty shall transmit to the Commission, biennially or
at such other times as may be required by the Commission, a statement of the action taken by it for these purposes.2. The Contracting Parties agree:
(a) to furnish, on the request of the Commission, any available statistical, biological and other scientific information the Co mmission may need for the purposes of this
Convention;
(b) when their official agencies are unable to obtain and furnis h the said information, to allow the Commission, through the Co ntracting Parties, to obtain it on a voluntary basis
direct from companies and individual fishermen.
3. The Contracting Parties undertake to collaborate with each othe r with a view to the adoption of suitable effective measures to ensure the application of the provisions of this
Convention and in particular to set up a system of internatio nal enforcement to be applied to the Convention area except the te rritorial sea and other waters, if any, in which a state
is entitled under international law to exercise jurisdiction over fisheries".
/g224 Some non-compliance procedures have been enforced, such as re ducing catch quotas by the amount of excess catch over the quota and or by 125 per cent of the excess.  Also,
trade measures can be, and have been applied to Contr acting Parties (see Section III on Trade-Related Measures).
3. CITES
1) Provisions of the Convention
Article XIII – International Measures
"1. When the Secretariat in the light of information received is satisfied that any species included in Appendix I or II is bei ng affected adversely by trade in specimens of that
species or that the provisions of the present Convention are not being effectively implemented, it shall communicate such infor mation to the authorized Management Authority of
the Party or Parties concerned.
2. When any Party receives a communication as indicated in paragraph 1 of this Article, it shall, as soon as possible, inform t he Secretariat of any relevant facts insofar as its laws
permit and, where appropriate, propose remedial action. Where the Party considers that an inquiry is desirable, such inquiry ma y be carried out by one or more persons expressly
authorized by the Party.3. The information provided by the Party or resulting from any inquiry as specified in paragraph 2 of this Article shall be rev iewed by the next Conference of the Parties which may
make whatever recommendations it deems appropriate".WT/CTE/W/160/Rev.2, TN/TE/S/5
Page 94/g224 The Conference of the Parties reviews regularly the implementation of the Convention and, where appropriate, makes recommendat ions for improving the effectiveness of the
Convention.  It has the authority to make "whatever recommendations it deems appropriate" in relation to allegations of unsusta inable trade or ineffective implementation.
Evaluation of compliance within the Convention is based on the S ecretariat’s reports to the Conference of the Parties and CITES  subsidiary bodies (e.g. annual reports, the Review
of Significant Trade, national legislation and alleged infractions and other implementation problems).
/g224 The Standing Committee carries out such interim activities on behalf of the Conference of the Parties as may be necessary and provides guidance and advice on matters brought
to it by the Secretariat in the exercise of  its function.  The Conference often instructs or delegates its authority to the Sta nding Committee, e.g. pursuant to Resolution Conf. 8.4, to
consider "appropriate measures", which may include restrictions on the trade in specimens of CITES-listed species.  In various instances, e.g. pursuant to Resolution Conf. 12.8
Rev.), the Secretariat recommends to the Standing Committee that all Parties immediately take strict measures including as appr opriate suspension of trade in the affected species
with a particular Party.
/g224 As CITES uses trade measures for its implementation, one recommendation for improving the effectiveness of the Convention is a  temporary suspension of trade recommended
by either the Conference of the Parties or the Standing Committee.  In practical terms, this provides a period of time during w hich the relevant Party can move from non-
compliance to compliance by, inter alia , enacting adequate legislation, combating and reducing illegal tr ade or responding to specific recommendations of the Standing C ommittee
concerning the implementation of Article IV of the Convention in the context of the Review of Significant Trade.  Having identi fied a problem of serious non-compliance, it would
be inappropriate for Parties not to respond.  Recommendations fo r a suspension of trade may be regarded as a precautionary meas ure to prevent a continuing violation of the
Convention that is detrimental to the survival of one or more CITES-listed species.
/g224 Recommendations to suspend trade are used as a last resort an d CITES puts significant emphasis on inducing Parties into compli ance through consultations and advice or
assistance. Furthermore, such measures generally are used in cases involving significant levels of trade and where no domestic measures exist to enforce the Convention. Finally,
such recommendations are withdrawn immediately upon a Party’s return to compliance.
2) Decisions of the Conference of the Parties
Conf. 11.3 – Compliance and enforcementRegarding compliance, control and cooperation
Urges  all Parties to strengthen, as soon as possible, the controls on trade in wildlife in the territories under their jurisdiction,  and in particular controls on shipments from producing
countries, including neighbouring countries, and to strictly veri fy the documents originating from such countries with the resp ective Management Authorities;
Recommends  that:
a) all Parties:
i) ensure strict compliance and control in respect of all mechanisms and provisions of the Convention relating to the regulatio n of trade in animal and plant species listed in
Appendix II, and of all provisions ensuring protection against illegal traffic for the species listed in the Appendices;ii) in case of violation of the above-mentioned provisions, immedi ately take appropriate measures pursuant to Article VIII, par agraph 1, of the Convention in order to
penalize such violation and to take appropriate remedial action; and
iii) inform each other of all circumstances and facts likely to be relevant as regards illegal traffic and also of control meas ures, with the aim of eradicating such traffic;
b) importing Parties in particul ar: not accept under any circumstances or pretext,  export or re-export documents issued by any authority, irrespective of its hierarchical level, other
than the Management Authority officially designated as competen t by the exporting or re-exporting Party and duly notified to th e Secretariat; and
c) if an importing country has reason to believe that an Append ix-II or III species is traded in contravention of the laws of a ny country involved in the transaction, it:
i) immediately inform the country whose laws were thought to have been violated and, to the extent possible, provide that count ry with copies of all documentation relating to
the transaction; and
ii) where possible, apply stricter domestic measures to that tr ansaction as provided for in Article XIV of the Convention; …
Regarding application of Article XIII
Recommends  that:
a) when, in application of Article XIII, the Secretariat requests  information on an alleged infraction, Parties reply within a time-limit of one month or, if this is impossible,WT/CTE/W/160/Rev.2, TN/TE/S/5
Page 95acknowledge within the month and indicate a date, even an approximate one, by which they consider it will be possible to provid e the information requested;
b) when, within a one year time-limit, the information requeste d has not been provided, Parties provide the Secretariat with ju stification of the reasons for which they have not
been able to respond;c) if major problems with implementation of the Convention in particular Parties are brought to the attention of the Secretaria t, the Secretariat work together with the Party
concerned to try to solve the problem and o ffer advice or technical assistance as required;
d) if it does not appear a solution can be readily achieved, the Secretariat bring the matter to the attention of the Standing Committee, which may pursue the matter in direct contact
with the Party concerned with a view to helping to find a solution; ande) the Secretariat keep the Parties inform ed as fully as possible, through Notifications, of such implementation problems and o f actions taken to solve them, and include such
problems in its report of alleged infractions…".
Conf. 11.37 – Annual reports
"Directed to Parties
From 1 January 2001, Parties should not authorize any trade in specimens of CITES-listed species with any Party that the Standi ng Committee has determined has failed, without
having provided adequate justification, to  provide the annual reports required under Article VIII, paragraph 7 (a), of the Conv ention for three consecutive years within the deadline
established in Resolution Conf. 11.17 (Rev. CoP12), or the extended deadline that is provided for in that Resolution".
Conf. 12.8 – Review of significant trade in specimens of Appendix-II species
"Measures to be taken regarding the implementation of recommendations
q) the Secretariat shall, in consultation wi th the Chairman of the Animals or Plants Committee, determine whether the recommend ations referred to above have been implemented
and report to the Standing Committee accordingly;r) where the recommendations have been met, the Secretariat shall, following consultation with the Chairman of the Standing Com mittee, notify the Parties that the species was
removed from the process;s) when the Secretariat, having consulted with the Chairman of the Animals or Plants Committee, is not satisfied that a range S tate has implemented the recommendations made by
the Animals or Plants Committee in accordance with paragraphs n) or o), it should recommend to the Standing Committee appropria te action, which may include, as a last resort, a
suspension of trade in the affected species with that State. On  the basis of the report of the Secretariat, the Standing Commit tee shall decide on appropriate action and make
recommendations to the State co ncerned, or to all Parties;
t) the Secretariat shall notify the Parties of any r ecommendations or actions taken by the Standing Committee;
u) a recommendation to suspend trade in the affected species with the State concerned should be withdrawn only when that State demonstrates to the satisfaction of the Standing
Committee, through the Secretariat, compliance with Article IV, paragraph 2 (a), 3 or 6 (a); and
v) the Standing Committee, in consultation with the Secretariat and the Chairman of the Animals or Plants Committee, shall revi ew recommendations to suspend trade that have
been in place for longer than two years and, if appropriate, take measures to address the situation;"
Conf. 12.81 – National laws for implementation of the Convention
"Directed to the Standing Committee
With respect to Parties referred to in Decision 12.80 that have  not complied with paragraph a), the Standing Committee shall co nsider appropriate measures, which may include
restrictions on the commercial trade in specimens of CITES-listed species to or from such Parties".
Conf. 12.83 – National laws for implementation of the Convention
"Directed to the Secretariat
The Secretariat shall:
a) consider the information on specific legislative measures adopted by the Parties to fulfil the requirements laid down in the  text of the Convention and the Resolutions of the
Conference of the Parties and amend the analyses of national legislation and the categories acco rding to the criteria stated in  Resolution Conf. 8.4;
b) advise the Parties concerned of any amendments to the analys es of their legislation and to their categories, specifying in t he case of legislation in Categories 2 and 3 theWT/CTE/W/160/Rev.2, TN/TE/S/5
Page 96requirements that are not yet met;
c) provide technical assistance to Parties requesting advice in the formulation of legislative proposals for CITES implementati on by providing, to the extent resources are
available:
i) legal guidance in the preparation of necessary legislative measures;
ii) training of CITES authorities and other relevant bodies respon sible for the formulation of wildlife trade policies or legis lation; and
iii) any specific support relevant to the fulfilment of the legislative requirements for the implementation of CITES;
d) report to the Standing Committee on Parties’ progress in en acting legislation and, if necessary, recommend the adoption of a ppropriate compliance measures, including
suspension of trade pursuant to the decisions taken at  the 46th meeting of the Standing Committee (see Annex 5);
e) identify for the Standing Committee any countries that requir e attention as a priority under the National Legislation Projec t; and
f) report at the 13th meeting of the Conference of the Parties on:
i) the legislation adopted by the Parties to implement the Convention and any recommendations relating to Parties that have not  adopted adequate legislation for implementation
of the Convention; andii) any progress concerning technical assistance provided to the Parties in the development of their national legislation for i mplementation of CITES".
4. CCAMLR
1) Promotion of Compliance
Article XXI
"1. Each Contracting Party shall take appropriate measures within its competence to ensure compliance with the provisions of th is Convention and with conservation measures
adopted by the Commission to which the Party is bound  in accordance with Article IX of this Convention.
2. Each Contracting Party shall transmit to the Commission information on measures taken pursuant to paragraph 1 above, includi ng the imposition of sanctions for any violation".
Conservation Measure 10-06 (2002) – Scheme to Promote Compliance by Contracting Party Vessels with CCAMLR Conservation Measures
"…1. At each annual meeting, the Commission will identify those Contracting Parties whose vessels have engaged in fishing activ ities in the Convention Area in a manner which
has diminished the effectiveness of CCAMLR conservation measures in force, and shall establish a list of such vessels (IUU Vess el List), in accordance with the procedures and
criteria set out hereafter. …6. Contracting Parties whose vessels are included in the draft list established by the Secretariat will transmit before 30 June  to CCAMLR, their comments, as appropriate, including
verifiable VMS data and other supporting information showing that  the vessels listed have neither engaged in fishing activities  in contravention of CCAMLR conservation and
management measures nor had the possibility of being engaged in fishing activities in the Convention Area. …
9. The Standing Committee on Inspection and Compliance (SCIC) shall examine, each year, the Provisional IUU Vessel List as well  as the comments and information received, and
any further information provided during its annual deliberations which may be considered relevant to this review.10. SCIC shall recommend that the Commission should remove vessels from the Provisional IUU Vessel List if the Contracting Part y proves that:
(a) the vessel did not take part in IUU fishing activities described in paragraph 1; or(b) it has taken effective action in response to the IUU fishing activities in question, including prosecution and imposition o f sanctions of adequate severity; or
(c) the vessel has changed ownership and that the new owner can establish the previous owner no longer has any legal, financial , or real interests in the vessel, or exercises
control over it and that the new owner has not participated in IUU fishing; or(d) the Contracting Party has taken measures considered sufficient to ensure the granting of the right to the vessel to fly its  flag will not result in IUU fishing. …
16. Without prejudice to the rights of Flag States and Coastal States to take proper action consistent with international law, Contracting Parties should not take any trade measures
or other sanctions which are inconsistent with their international obligations against vessels using as the basis for the actio n the fact that the vessel or vessels have been included in
the draft list drawn up by the Secretariat, pursuant to paragraph 5.
17. The Chair of the Commission shall request the Contracting Par ties identified pursuant to paragraph 1 to take all necessary measures to avoid diminishing the effectiveness of the
CCAMLR conservation measures resulting from their vessels’ activities, and to advise the Commission of actions taken in that re gard.WT/CTE/W/160/Rev.2, TN/TE/S/5
Page 9718. The Commission shall review, at subsequent annual meetings, as appropriate, action taken by those Contracting Parties to wh ich requests have been made pursuant to
paragraph 17, and identify those which have not rectified their fishing activities.19. The Commission shall decide appropriate measures to be taken in respect to Dissostichus  spp. so as to address these issues with those identified Contracting Parties. In this
respect, Contracting Parties may cooperate to adopt appropriate multilaterally agreed trade-related measures, consistent with t he World Trade Organization (WTO), that may be
necessary to prevent, deter and eliminate the IUU fishing activ ities identified by the Commission. Multilateral trade-related m easures may be used to support cooperative efforts to
ensure that trade in Dissostichus  spp. and its products does not in any way encourage IUU fishing or otherwise undermine the effectiveness of CCAMLR’s conservat ion measures
which are consistent with the United Nations Convention on the Law of the Sea 1982".
Conservation Measure 10-03 (2002) – Port Inspections of Vessels Carrying Toothfish
"1. Contracting Parties shall undertake inspection of all fishin g vessels carrying Dissostichus spp. which enter their ports.  The inspection shall be for the purpose of determining
that if the vessel carried out harvesting activities in the Convention Area, these activities were carried out in accordance wi th CCAMLR conservation measures, and that if it intends
to land or tranship Dissostichus spp. the catch to be unloaded or transhipped is accompanied by a Dissostichus catch document r equired by Conservation Measure 10-05, and that
the catch agrees with the information recorded on the document.  …3. In the event that there is evidence that the vessel has fish ed in contravention of CCAMLR conservation measures, the catch s hall not be landed or transhipped.  The Contracting
Party will inform the Flag State of the vessel of its inspection findings and will cooperate with the Flag State in taking such  appropriate action as is required to investigate the
alleged infringement, and, if necessary, apply appropria te sanctions in accordance with national legislation…".
Conservation Measure 10-04 (2002) – Automated Satellite-Linked Vessel Monitoring Systems (VMS)
"1. Each Contracting Party shall maintain an automated Vessel Monitoring System (VMS) to monitor the position of its fishing ve ssels, which are licensed [except for waters
adjacent to the Kerguelen and Crozet Islands]  in accordance with Conservation Measure 10-02.
2. The implementation of VMS on vessels while participating only in a krill fishery is not currently required.  …5. Contracting Parties shall not issue licences under Conservation Measure 10-02 unless the VMS complies with paragraph 5 in it s entirety…".
2) System of Inspection
Article XXIV:1-2
"1. In order to promote the objective and ensure observance of the provisions of this Convention, the Contracting Parties agree  that a system of observation and inspection shall be
established.2. The system of observation and inspection shall be elaborated by the Commission on the basis of the following principles:
(a) Contracting Parties shall co-operate with each other to ensure the effective implementation of the system of observation an d inspection, taking account of the existing
international practice. This system shall include, inter alia, procedures for boarding and inspection by observers and inspecto rs designated by the Members of the Commission
and procedures for flag state prosecution and sanctions on the basis of evidence resulting from such boarding and inspections. A report of such prosecutions and sanctions
imposed shall be included in the information referred to in Article XXI of this Convention;(b) in order to verify compliance with measures adopted under this Convention, observation and inspection shall be carried out on board vessels engaged in scientific research or
harvesting of marine living resources in the area to which this  Convention applies, through observers and inspectors designated  by the Members of the Commission and
operating under terms and conditions to be established by the Commission;(c) designated observers and inspectors shall remain subject to the jurisdiction of the Contracting Party of which they are nat ionals. They shall report to the Member of the
Commission by which they have been designated which in turn shall report to the Commission".
/g224 The CCAMLR System of Inspection has been in operation since 1989.  Inspections of fishing and fisheries research vessels of CC AMLR Flag States are being carried out
regularly by CCAMLR Inspectors designated by Members.
/g224 In December 2000, the Commission established the Standing Committee on Observation and Inspection (SCOI) to consider and prepa re advice to the Commission on all matters
related to inspections undertaken and steps taken by Members to enforce compliance with Conservation Measures.  In 2002, the Su bcommittee was renamed the Standing
Committee on Implementation and Compliance (SCIC).WT/CTE/W/160/Rev.2, TN/TE/S/5
Page 985. Montreal Protocol
Article 8: Non-compliance
"The Parties, at their first meeting, shall consider and approve procedures and institutional mechanisms for determining non-co mpliance with the provisions of this Protocol and for
treatment of Parties found to be in non-compliance".
/g224 In 1990 MOP II adopted non-compliance procedures and established an Implementation Committee.  The functions of the Committee are to receive, consider and report on any
submission made by one or more Parties and any information or observations forwarded by the Secretariat in connection with the preparation of a report referred to in Article 12 of
the Protocol.  After receiving a report by the Committee, the Meetin g of the Parties may, taking into consideration the circums tances of the case, decide upon and call for steps to
bring about full compliance with the Protocol, including measures to assist a Party's compliance and to further the Protocol's objectives.
/g224 The Multilateral Fund, contributed to by developed countries, meets all the agreed incremental costs of all developing countri es to implement the control measures.  Parties
having difficulties meeting their obligations under the Protocol have notified the MOP under self-reporting provisions of the p rocedure.  In 1995, five countries with economies in
transition jointly self-reported their foreseeable failure to comply with the Protocol's control measures.
6. Basel Convention
/g224 No cases of non-compliance to date.  The cases thus far have no t necessitated a mechanism.  However, there have been some bila teral discussions regarding notification
problems./g224 Parties are working towards developing a compliance mechanism that  should be non-confrontational, transparent, cost-effective, preventative in nature, as well as flexible.  One
of the main items under consideration by the Legal Working Grou p concerns the composition and tenure of the body to administer a compliance mechanism.
/g224 At COP6, Parties adopted a decision on the compliance mechanism which sets out a Mechanism for promoting implementation and co mpliance.  The mechanism is a non-
confrontational, flexible and non-binding tool that aims at prev enting problems. It will be administered by a Committee compose d of 15 members reflecting an equitable
geographic representation of the five UN regional groups. Submissions to the Committee may be made by: a Party regarding itself ; one Party regarding another Party; or the
Secretariat. Submissions regarding complian ce are forwarded to the Party in question, who may respond or provide comments.  The  Committee may provide advice to the Party to
facilitate compliance, such as: advice on regulatory regimes; assistance, including financial and technical support; elaboratio n of voluntary compliance action plans; and/or follow-
up arrangements. The Committee may also review general issues of compliance and implementation of the Convention, and may recom mend that the COP take additional measures
regarding specific cases.
7. CBD
Article 26 – Reports
"Each Contracting Party shall, at intervals to be determined by  the Conference of the Parties, present to the Conference of the  Parties, reports on measures which it has taken for the
implementation of the provisions of this Convention and their effectiveness in meeting the objectives of this Convention".
/g224 The first national reports were due on 31 December 1998.  By the end of 1999 the Secretariat had received 112 reports from Par ties and one report from a non-party.
/g224 The CBD does not have a compliance procedure.  Formal asse ssment of Parties or non-parties compliance has not occurred.
8. Cartagena Protocol
Article 33 – Monitoring and Reporting
"Each Party shall monitor the implementation of its obligations under this Protocol, and shall, at intervals to be determined b y the Conference of the Parties serving as the meeting
of the Parties to this Protocol, report to the Conference of the Parties serving as the meeting of the Parties to this Protocol  on measures that it has taken to implement the Protocol".
Article 34 – Compliance
"The Conference of the Parties serving as the meeting of the Partie s to this Protocol shall, at its first meeting, consider and  approve cooperative procedures and institutionalWT/CTE/W/160/Rev.2, TN/TE/S/5
Page 99mechanisms to promote compliance with the provisions of this Pr otocol and to address cases of non-compliance. These procedures and mechanisms shall include provisions to offer
advice or assistance, where appropriate. They shall be separate from, and without prejudice to, the dispute settlement procedur es and mechanisms established by Article27 of the
Convention".
9. UNFCCC
Article 13 – Resolution of Questions Regarding Implementation
"The Conference of the Parties shall, at its first session, c onsider the establishment of a multilateral consultative process, available to Parties on their request, for the resolution of
questions regarding the implementation of the Convention".
/g224 Pursuant to Article 13, COP 4 considered the establishment of a Multilateral Consultative Committee (MCC) for the resolution o f questions regarding the implementation of the
UNFCCC.  The proposed MCC is to provide advice to Parties and to prevent disputes. The nature of the MCC is to be facilitative,  non-judicial, transparent, and co-operative.  The
outcome of the MCC may include recommendations and any measures that the MCC deems suitable for the effective implementation of  the Convention.
10. Kyoto Protocol
Article 16
"The Conference of the Parties serving as the meeting of the Partie s to this Protocol shall, as soon as practicable, consider t he application to this Protocol of, and modify as
appropriate, the multilateral consultative process referred to in Article 13 of the Convention, in the light of any relevant de cisions that may be taken by the Conference of the
Parties. Any multilateral consultative proce ss that may be applied to this Protocol shall operate without prejudice to the proc edures and mechanisms established in accordance with
Article 18".
Article 18
"The Conference of the Parties serving as the meeting of the Parties to this Protocol shall, at its first session, approve appr opriate and effective procedures and mechanisms to
determine and to address cases of non-compliance with the provisions of this Protocol, including through the development of an indicative list of consequences, taking into account
the cause, type, degree and frequency of non-compliance. Any proced ures and mechanisms under this Article entailing binding con sequences shall be adopted by means of an
amendment to this Protocol".
/g224 A strong compliance system has been developed to determine and enforce compliance: The Compliance Committee consists of an Enf orcement Branch, to determine compliance
and apply consequences, and a Facilitative Branch, to address questions of implementation.
11. ITTA
Article 19:7 – Administrative Account
"If a member has not paid its full contribution to the administrative budget within four months after such contribution becomes  due in accordance with paragraph 6 of this article,
the Executive Director shall request that member to make payment as quickly as possible. If that member has still not paid its contribution within two months after such request,
that member shall be requested to state the reasons for its inability to make payment. If at the expiry of seven months from th e due date of contribution, that member has still not
paid its contribution, its voting rights shall be suspended until such time as it has paid in full its contribution, unless the  Council, by special vote, decides otherwise. If, on the
contrary, a member has paid its full contribution to the administrative budget within four months after such contribution becom es due in accordance with paragraph 6 of this article,
the member's contribution shall receive a discount as may be established by the Council in the financial rules of the Organizat ion".
Article 44 – Exclusion
"If the Council decides that any member is in breach of its obligations under this Agreement and decides further that such brea ch significantly impairs the operation of this
Agreement, it may, by special vote, exclude that member from this Agreement. The Council shall immediately so notify the deposi tary. Six months after the date of the Council's
decision, that member shall cease to be a party to this Agreement".WT/CTE/W/160/Rev.2, TN/TE/S/5
Page 10012. UN Fish Stocks
/g224 Article 18  of Part V on "Duties of the Flag State" requires the flag State to ensure that vessels flying its flag comply with subregional  and regional conservation and
management measures.  It shall authorize vessels flying its flag to fish on the high seas only where it is able to exercise eff ective control over such vessels.  To this end, a flag State
is obligated to take measures vis-à-vis fishing vessels flying its flag that can ensure such control, including the establishme nt of a national record of fishing vessels authorized to
fish on the high seas;  prohibition of high seas fishing without the necessary authorization;  requirement of permits for high seas fishing; prohibition of unauthorized fishing in areas
under the national jurisdiction of other States;  requirements for marking of fishing vessels and fishing gear in accordance wi th FAO Standard Specifications for the Marking and
Identification of Fishing Vessels;  obligation of reporting relevant fisheries data; implementation of observer programmes and national inspection schemes;  implementation of
vessel monitoring systems;  regulation of transshipment;  and an obligation for the flag State to ensure compatibility of the n ational monitoring, control and surveillance system
with existing subregional, regional or global systems.
 /g224 Part VI on "Compliance and Enforcement" (Articles 19-23) contains several provisions on compliance and enforcement, which invo lve compliance and enforcement by the flag
State, the port State, as well as a subregional and regional cooperative enforcement schemes that may involve non-flag State en forcement.
Article 19 – Compliance and en forcement by the flag State
"1. A State shall ensure compliance by vessels flying its flag with subregional and regional conservation and management measur es for straddling fish stocks and highly migratory
fish stocks. To this end, that State shall:
(a) enforce such measures irrespective of where violations occur;(b) investigate immediately and fully any alleged violation of subregional or regional conservation and management measures, wh ich may include the physical inspection of the
vessels concerned, and report promptly to the State alleging th e violation and the relevant subregional or regional organizatio n or arrangement on the progress and outcome of
the investigation;(c) require any vessel flying its flag to give information to the investigating authority regarding vessel position, catches, f ishing gear, fishing operations and related activities in
the area of an alleged violation;(d) if satisfied that sufficient evidence is available in respect of an alleged violation, refer the case to its authorities wi th a view to instituting proceedings without delay in
accordance with its laws and, where appropri ate, detain the vessel concerned; and
(e) ensure that, where it has been established, in accordance with  its laws, a vessel has been involved in the commission of a serious violation of such measures, the vessel does
not engage in fishing operations on the high seas until such time as all outstanding sanctions imposed by the flag State in res pect of the violation have been complied with.
2. All investigations and judicial proceedings shall be carried out expeditiously. Sanctions applicable in respect of violation s shall be adequate in severity to be effective in securing
compliance and to discourage violations wherever they occur and shall deprive offenders of the benefits accruing from their ill egal activities. Measures applicable in respect of
masters and other officers of fishing vessels shall include provis ions which may permit, inter alia, refusal, withdrawal or sus pension of authorizations to serve as masters or officers
on such vessels".
Article 21 –  Subregiona l and regional coopera tion in enforcement
/g224 Provides a subregional and regional cooperative scheme in enforcement that may involve boarding and inspection by non-flag Sta te inspectors within the framework of a RFMO
or arrangement.
Article 22 – Basic procedures for boarding  and inspection pursuant to article 21
/g224 Provides for the basic procedures to be followed by duly auth orized inspectors from an inspecting State in case of boarding an d inspection.
Article 23 – Measures taken by a port State
/g224 Provides for enforcement measures, which may be taken by a port State, whenever fishing vessels are voluntarily in its ports o r at its offshore terminals.  Such measures may
include inspection of documents, fishing gear and catch on board fishing vessels,  and prohibition of landings and transhipment s if national regulations exist to this effect.WT/CTE/W/160/Rev.2, TN/TE/S/5
Page 10113. Rotterdam Convention
Article 17 – Non-compliance
"The Conference of the Parties shall, as soon as practicable, develop and approve procedures and institutional mechanisms for d etermining non-compliance with the provisions of
this Convention and for treatment of Parties found to be in non-compliance".
14. Stockholm Convention
Article 15 – Reporting
/g224 Sets out a reporting mechanism on the implementation of the Convention.
Article 16 – Effect iveness evaluation
/g224 Requests the COP to evaluate the effectiveness of the Convention.
Article 17 – Non-compliance
"The Conference of the Parties shall, as soon as practicable, develop and approve procedures and institutional mechanisms for d etermining non-compliance with the provisions of
this Convention and for the treatment of Parties found to be in non-compliance"WT/CTE/W/160/Rev.2, TN/TE/S/5
Page 102V. DISPUTES
MEA Relevant Provision Any dispute ?
1. IPPC IPPC 1979 1997 Amendments
Article IX – Settlement of disputes
"1. If there is any dispute regarding the interpretation or
application of this Convention, or if a contracting party considersthat any action by another contracting party is in conflict with theobligations of the latter under Articles V and VI of thisConvention, especially regarding the basis of prohibiting or
restricting the imports of plants or plant products coming from its
territories, the government or governments concerned mayrequest the Director-General of FAO to appoint a committee toconsider the question in dispute.2. The Director-General of FAO shall thereupon, afterconsultation with the governments concerned, appoint a
committee of experts which shall include representatives of those
governments. This committee shall consider the question indispute, taking into account all documents and other forms ofevidence submitted by the governments concerned. Thiscommittee shall submit a report to the Director-General of FAO,
who shall transmit it to the governments concerned and to the
governments of other contracting parties.3. The contracting parties agree that the recommendations ofsuch a committee, while not binding in character, will becomethe basis for renewed consideration by the governmentsconcerned of the matter out of which the disagreement arose.
4. The governments concerned shall share equally the expenses
of the experts".Article XIII  – Settlement of disputes
"1. If there is any dispute regarding the interpretation or application of
this Convention, or if a contractin g party considers that any action by
another contracting party is in conflict with the obligations of thelatter under Articles V and VII of this Convention, especiallyregarding the basis of prohibiting or restricting the imports of plants,
plant products or other regulated articles coming from its territories,
the contracting parties concerned shall consult among themselves assoon as possible with a view to resolving the dispute.2. If the dispute cannot be resolved by the means referred to inparagraph 1, the contracting party or parties concerned may requestthe FAO Director-General to appoint a committee of experts to
consider the question in disput e, in accordance with rules and
procedures that may be established by the Commission.3. This Committee shall include representatives designated by eachcontracting party concerned. Th e Committee shall consider the
question in dispute, taking into account all documents and other forms
of evidence submitted by the contracting parties concerned. The
Committee shall prepare a report on  the technical aspects of the
dispute for the purpose of seeking its resolution. The preparation ofthe report and its approval shall be  according to rules and procedures
established by the Commission, and it shall be transmitted by theDirector-General to the contracting parties concerned. The report may
also be submitted, upon its request, to the competent body of the
international organization responsible for resolving trade disputes.4. The contracting parties agree that the recommendations of such acommittee, while not binding in character, will become the basis forrenewed consideration by the contracting parties concerned of thematter out of which the disagreement arose.
5. The contracting parties concerned shall share the expenses of the
experts.6. The provisions of this Article shall be complementary to and not inderogation of the dispute settlement procedures provided for in otherinternational agreements dealing with trade matters".NoWT/CTE/W/160/Rev.2, TN/TE/S/5
Page 103MEA Relevant Provision Any dispute ?
/g224 The Interim Commission has established a Subsidiary body for
Dispute settlement and has developed Rules of Procedure and Termsof Reference.
2. ICCAT /g224 No provisions No
3. CITES Article XVIII – Resolution of Disputes
"1. Any dispute which may arise between two or more Parties with respect to the interpretation or application of the provisions  of the
present Convention shall be subject to negotiation between the Parties involved in the dispute.
2. If the dispute can not be resolved in accordance with paragrap h 1 of this Article, the Parties may, by mutual consent, submi t the dispute
to arbitration, in particular that of the Permanent Court of Arbitration at The Hague, and the Parties submitting the dispute s hall be bound
by the arbitral decision".No
4. CCAMLR Article XXV
"1. If any dispute arises between two or more of the Contractin g Parties concerning the interpretation or application of this C onvention,
those Contracting Parties shall consult among themselves with a view to having the dispute resolved by negotiation, inquiry, me diation,
conciliation, arbitration, judicial settlement or other peaceful means of their own choice.2. Any dispute of this character not so resolved shall, with the consent in each case of all Parties to the dispute, be referre d for settlement
to the International Court of Justice or to  arbitration; but failure to reach agreemen t on reference to the International Court  or to
arbitration shall not absolve Par ties to the dispute from the responsibility of continuing to seek to resolve it by any of the various peaceful
means referred to in paragraph 1 above.
3. In cases where the dispute is referred to arbitration, the ar bitral tribunal shall be constituted as provided in the Annex t o this
Convention".No.
5. Montreal
Protocol/g224 Article 11 of the Vienna Convention for the Protection of the Ozone Layer applies to the Montreal Protocol and its amendments with
regard to dispute settlement.
Vienna Convention: Article 11 – Settlement of disputes
"1. In the event of a dispute between Parties concerning the in terpretation or application of this Convention, the parties conc erned shall
seek solution by negotiation.
2. If the parties concerned cannot reach agreement by negotiation, they may jointly seek the good offices of, or request mediat ion by, a
third party.3. When ratifying, accepting, approving or acced ing to this Convention, or at any time thereafter, a State or regional economic  integration
organization may declare in writing to the Depositary that for a dispute not resolved in accordance with paragraph 1 or paragra ph 2
above, it accepts one or both of the following means of dispute settlement as compulsory:
(a) Arbitration in accordance with  procedures to be adopted by the Conference of the Parties at its first ordinary meeting;
(b) Submission of the dispute to the International Court of Justice.
4. If the parties have not, in accordance with paragraph 3 abov e, accepted the same or any procedure, the dispute shall be subm itted to
conciliation in accordance with paragraph 5 below unless the parties otherwise agree.5. A conciliation commission shall be created upon the request of one of the parties to the dispute. The commission shall be co mposed of
an equal number of members appointed by each party concerned and a chairman chosen jointly by the members appointed by each par ty.NoWT/CTE/W/160/Rev.2, TN/TE/S/5
Page 104MEA Relevant Provision Any dispute ?
The commission shall render a final and recommendatory award, which the parties shall consider in good faith.
6. The provisions of this Article shall apply with respect to any protocol except as provided in the protocol concerned".
6. Basel
ConventionArticle 20 – Settlement of Disputes
"1. In case of a dispute between Parties as to the interpretation or application of, or compliance with, this Convention or any  protocol
thereto, they shall seek a settlement of the dispute through negotiation or any other peaceful means of their own choice.
2. If the Parties concerned cannot settle their dispute through the means mentioned in the preceding paragraph, the dispute, if  the Parties
to the dispute agree, shall be submitted to the International Co urt of Justice or to arbitration under the conditions set out i n Annex VI on
Arbitration. However, failure to reach common agreement on submis sion of the dispute to the International Court of Justice or t o
arbitration shall not absolve the Parties from the responsibility of continuing to seek to resolve it by the means referred to in paragraph 1.
3. When ratifying, accepting, approving, formally confirming or acced ing to this Convention, or at  any time thereafter, a State  or political
and/or economic integration organization may declare that it recognizes as compulsory ipso facto and without special agreement,  in
relation to any Party accepting the same obligation:
(a) submission of the dispute to the International Court of Justice; and/or(b) arbitration in accord ance with the procedures set out in Annex VI.
Such declaration shall be notified in writing to th e Secretariat which shall communicate it to the Parties".
/g224 In the event that arbitration is the chosen method (Annex VI), the tribunal is to draw up its own rules of procedure and rende r its
decision in accordance with international law and with the provisions of the Convention.   It may take all appropriate measures  to
establish the facts of the dispute and shall render a decision wi thin a specified time limit.  The award of the arbitral tribun al shall be
accompanied by a statement of reasons and be final and binding on the Parties to the dispute.No
7. CBD Article 27 – Settlement of Disputes
"1. In the event of a dispute between Contracting Parties concer ning the interpretation or application of this Convention, the parties
concerned shall seek solution by negotiation.2. If the parties concerned cannot reach agreement by negotiation, they may jointly seek the good offices of, or request mediat ion by, a
third party.
3. When ratifying, accepting, approving or acced ing to this Convention, or at any time thereafter, a State or regional economic  integration
organization may declare in writing to the Depositary that for a dispute not resolved in accordance with paragraph 1 or paragra ph 2
above, it accepts one or both of the following means of dispute settlement as compulsory:
(a) Arbitration in accordance with the pro cedure laid down in Part 1 of Annex II;
(b) Submission of the dispute to the International Court of Justice.
4. If the parties to the dispute have not, in accordance with pa ragaph 3 above, accepted the same or any procedure, the dispute  shall be
submitted to conciliation in accordance with Part 2 of Annex II unless the parties otherwise agree.5. The provisions of this Article shall apply with respect to any protocol except as otherwise provided in the protocol concern ed".
/g224 The procedures for arbitration are set out in Part 1 of Annex II.  The award of the arbitral tribunal is binding on the parties  to the
dispute. In the event of a conflict between two Parties, the arb itral provisions provide for the standard three-member panel, a s described
under the Montreal Protocol and the Basel Convention.  If more Parties are involved, Parties "in the same interest" are to nomi nate a
"common" arbitrator.
/g224 If the dispute is not submitted to arbitration or the ICJ because  either the Parties have not chosen a procedure, or each has chosen aNoWT/CTE/W/160/Rev.2, TN/TE/S/5
Page 105MEA Relevant Provision Any dispute ?
different procedure, the dispute must be submitted to conciliation. Conciliation does not lead to a binding decision, unless th e Parties
agree otherwise, but the proposals for resolution of the dispute must be considered in good faith.  The procedures for the five -member
conciliation commission are set out in Part 2 of Annex II.
8. Cartagena
Protocol/g224 According to Article 27(5) of the CBD and 32 of the Protocol, the dispute settlement provisions of the CBD in Article 27 apply  to the
Protocol.
9. UNFCCC Article 14 – Settlement of Disputes
"1. In the event of a dispute between any two or more Parties co ncerning the interpretation or application of the Convention, t he Parties
concerned shall seek a settlement of the dispute through negotiation or any other peaceful means of their own choice.2. When ratifying, accepting, approving or acceding to the Conventi on, or at any time thereafter, a Party which is not a region al economic
integration organization may declare in a written instrument submitted to the Depositary that, in respect of any dispute concer ning the
interpretation or application of the Convention, it recognizes as compulsory ipso facto and without special agreement, in relat ion to any
Party accepting the same obligation:
(a) Submission of the dispute to the International Court of Justice, and/or(b) Arbitration in accordance with procedures to be adopted by the Conference of the Parties as soon as practicable, in an anne x on
arbitration.
A Party which is a regional economic integration organization may make a declaration with like effect in relation to arbitratio n in
accordance with the procedures referred to in subparagraph (b) above. …
5. Subject to the operation of paragraph 2 above, if after twelve months following notification by one Party to another that a dispute exists
between them, the Parties concerned have not been able to settle their dispute through the means mentioned in paragraph 1 above , the
dispute shall be submitted, at the request of any of the parties to the dispute, to conciliation.6. A conciliation commission shall be created upon the request of one of the parties to the dispute. The commission shall be co mposed of
an equal number of members appointed by each party concerned and a chairman chosen jointly by the members appointed by each par ty.
The commission shall render a recommendatory award, which the parties shall consider in good faith.
7. Additional procedures relating to conciliation shall be adopted by the Conference of the Parties, as soon as practicable, in  an annex on
conciliation.8. The provisions of this Article shall apply to any related legal instrument which the Conference of the Parties may adopt, un less the
instrument provides otherwise".No
10. Kyoto Protocol Article 19
"The provisions of Article 14 of the Convention on settlement of disputes shall apply mutatis mutandis  to this Protocol".
11. ITTA Article 31 – Complaints and disputes
"Any complaint that a member has failed to fulfil its obligations under this Agreement and any dispute concerning the interpret ation or
application of this Agreement shall be referred to the Council for decision. Decisions of the Council on these matters shall be  final and
binding".No
12. UN Fish Stocks /g224 Part VIII on Peaceful Settlement of Disputes (Articles 27-32) contains provisions for the peaceful settlement of disputes aris ing out of
the implementation of the Agreement.NoWT/CTE/W/160/Rev.2, TN/TE/S/5
Page 106MEA Relevant Provision Any dispute ?
Article 27 – Obligation to settle disputes by peaceful means
"States have the obligation to settle their disputes by negotia tion, inquiry, mediation, conciliation, arbitration, judicial se ttlement, resort to
regional agencies or arrangements, or other peaceful means of their own choice".
Article 28 – Prevention of disputes
"States shall cooperate in order to prevent disputes. To this en d, States shall agree on efficient and expeditious decision-mak ing
procedures within subregional and regional fisheries management organizations and arrangements and shall strengthen existing de cision-
making procedures as necessary.
Article 29 – Disputes of a technical nature
"Where a dispute concerns a matter of a technical nature, the States concerned may refer the dispute to an ad hoc expert panel established
by them. The panel shall confer with the States concerned and shall endeavour to resolve the dispute expeditiously without reco urse to
binding procedures for the settlement of disputes".
Article 30 – Procedures for the settlement of disputes
/g224 Stipulates that the procedures for the settlement of dispute set out in the UN Convention of the Law of the Sea (UNCLOS) appli es
mutatis mutandis  to any dispute between State Parties to the Agreement concerning the interpretation or application of the Agreement,
whether or not they are also Parties to UNCLOS.
Article 31 – Provisional measures
"1. Pending the settlement of a dispute in accordance with this Part, the parties to the dispute shall make every effort to ent er into
provisional arrangements of a practical nature.2. Without prejudice to article 290 of the Convention, the court or tribunal to which the dispute has been submitted under this  Part may
prescribe any provisional measures which it considers appropriate under the circumstances to preserve the respective rights of the parties
to the dispute or to prevent damage to the stocks in question, as well as in the circumstances referred to in article 7, paragr aph 5, and
article 16, paragraph 2.
3. A State Party to this Agreement which is not a Party to the Convention may declare that, notwithstanding article 290, paragr aph 5, of
the Convention, the International Tribunal for the Law of the Sea shall not be entitled to prescribe, modify or revoke provisio nal
measures without the agreement of such State."
/g224 The relevant provisions of UNCLOS
/g167 Part XV of UNCLOS requires that State Parties to the Convention settle any dispute between them concerning the interpretation o r
application of the Convention by all peaceful means referred to in the UN Charter.
/g167 Where no settlement has been reached by recourse to procedures entailing non-binding decisions under Part XV, Section 1, the
dispute shall be submitted at the request of any party, to the compulsory procedures entailing binding decisions provided for i n
Section 2 of Part XV.
/g167 Article 287 lists the following courts or tribunals as means for the settlement of disputes under Section 2:
- ITLOS (established in accordance with Annex VI of the Convention) including the Seabed Disputes Chamber;
- the ICJ;
- an arbitral tribunal constituted in acco rdance with Annex VII of the Convention;
- a special arbitral tribuna l constituted in accordance with Annex VIII for one or more of the categories of disputes specified
therein.WT/CTE/W/160/Rev.2, TN/TE/S/5
Page 107MEA Relevant Provision Any dispute ?
/g167 The jurisdiction of ITLOS comprises all disputes and all applications submitted to it in accordance with UNCLOS and all matters
specifically provided for in any other agreement, which confers jurisdiction to the Tribunal.
/g167 Part XV, Section 3 on limitations and exceptions to the applicab ility of Section 2 stipulates in Article 297, para.3 that dispu tes
relating to the sovereign rights of the coastal State relating to the living resources in the EEZ, or the exercise of such righ ts in that
zone, are excluded from the compulsory procedures entai ling binding decisions provided for in Part XV, Section 2.
/g167 Where no settlement has been reached by recourse to Part XV, Section 1, such disputes shall be submitted to the compulsory
conciliation procedure established under Annex V, Section 2 of UNCLOS. Under such a procedure, only the submission to theproceedings is compulsory since the report of the commission of conciliation, including its conclusions or recommendations,remains non-binding upon the Parties to the dispute.
13. Rotterdam
ConventionArticle 20 – Settlement of disputes
"1. Parties shall settle any dispute between them concerning the interpretation or application of this Convention through negot iation or
other peaceful means of their own choice.2. When ratifying, accepting, approving or acced ing to this Convention, or at any time thereafter, a Party that is not a region al economic
integration organization may declare in a written instrument submitted to the Depositary that, with respect to any dispute conc erning the
interpretation or application of the Convention, it recognizes one or both of the following means of dispute settlement as comp ulsory in
relation to any Party accepting the same obligation:
(a) Arbitration in accordance with procedures to be adopted by the Conference of the Parties in an annex as soon as practicable ; and
(b) Submission of the dispute to the International Court of Justice.
3. A Party that is a regional economic integration organization ma y make a declaration with like effect in relation to arbitrat ion in
accordance with the procedure referred to in paragraph 2 (a).4. A declaration made pursuant to paragraph 2 shall remain in force until it expires in accordance with its terms or until thre e months after
written notice of its revocation has been deposited with the Depositary.
5. The expiry of a declaration, a notice of revocation or a new declaration shall not in any way affect proceedings pending bef ore an
arbitral tribunal or the International Court of Jus tice unless the parties to the dispute otherwise agree.
6. If the parties to a dispute have not accepted the same or any pr ocedure pursuant to paragraph 2, and if they have not been a ble to settle
their dispute within twelve months following notification by one party to another that a dispute exists between them, the dispu te shall be
submitted to a conciliation commission at the request of any party to the dispute. The conciliation commission shall render a r eport with
recommendations. Additional pr ocedures relating to the conciliation commission sha ll be included in an annex to be adopted by t he
Conference of the Parties no later than the second meeting of the Conference".
14. Stockholm
ConventionArticle 18 – Settlement of disputes
"1. Parties shall settle any dispute between them concerning the interpretation or application of this Convention through negot iation or
other peaceful means of their own choice.2. When ratifying, accepting, approving or acceding to the Conventi on, or at any time thereafter, a Party that is not a regiona l economic
integration organization may declare in a written instrument submitted to the depositary that, with respect to any dispute conc erning the
interpretation or application of the Convention, it recognizes one or both of the following means of dispute settlement as comp ulsory in
relation to any Party accepting the same obligation:
(a) Arbitration in accordance with procedures to be adopted by the Conference of the Parties in an annex as soon as practicable ;
(b) Submission of the dispute to the International Court of Justice.WT/CTE/W/160/Rev.2, TN/TE/S/5
Page 108MEA Relevant Provision Any dispute ?
3. A Party that is a regional economic integration organization ma y make a declaration with like effect in relation to arbitrat ion in
accordance with the procedure referred to in paragraph 2 (a).4. A declaration made pursuant to paragraph 2 or paragraph 3 shall remain in force until it expires in accordance with its term s or until
three months after written notice of its revocation has been deposited with the depositary.
5. The expiry of a declaration, a notice of revocation or a new declaration shall not in any way affect proceedings pending bef ore an
arbitral tribunal or the International Court of Jus tice unless the parties to the dispute otherwise agree.
6. If the parties to a dispute have not accepted the same or any pr ocedure pursuant to paragraph 2, and if they have not been a ble to settle
their dispute within twelve months following notification by one party to another that a dispute exists between them, the dispu te shall be
submitted to a conciliation commission at the request of any party to the dispute. The conciliation commission shall render a r eport with
recommendations. Additional pr ocedures relating to the conciliation commission sha ll be included in an annex to be adopted by t he
Conference of the Parties no later than at its second meeting".WT/CTE/W/160/Rev.2, TN/TE/S/5
Page 109VI. PROVISIONS FOR NON-PARTIES
1. IPPC
1997 Amendment: Article XVIII – Non contracting parties
"The contracting parties shall encourage any state or member or ganization of FAO, not a party to  this Convention, to accept thi s Convention, and shall encourage any non-
contracting party to apply phytosanitary measures consistent with the provisions of this Convention and any international stand ards adopted hereunder".
2. ICCAT
/g224 In 1997, the Commission adopted a Resolution urging non-parties to either become Contracting Parties, or to attain status as a  "Cooperating Party, Entity, or Fishing Entity".
Such status requires the firm commitment to provide the same da ta that Contracting Parties are required to submit and to respec t the Commission’s management recommendations.
Such status is granted for one-year periods and is subject to review annually.  In 1999, Chinese Taipei and Mexico were granted  Cooperating Status.  In 2001, the Philippines was
also granted Cooperating Status.  In 2002, Mexico became a member of ICCAT. This 1997 resolution was substituted by a new resol ution in 2002.
Resolution 01-17 – On Becoming a Cooperating Party/Entity/Fishing Entity (Transmitted to Contracting Parties 22 March 2002)
"The International Commission for the Conservation of Atlantic Tunas (ICCAT) resolves that:
1. Each year, the Executive Secretary of ICCAT shall contact a ll Non-contracting Parties, Entit ies, or Fishing Entities known t o be fishing in the Convention area for species under
ICCAT competence to urge each of them to become a Contracting Party to ICCAT or to attain status as a Cooperating Party, Entity  or Fishing Entity. In doing so, the Executive
Secretary shall provide a copy of all relevant Recommendations and Resolutions adopted by the Commission.2. Any Non-contracting Party, Entity or Fishing Entity which seeks to be accorded Cooperating Party, Entity or Fishing Entity s tatus shall apply to the Executive Secretary. At the
time such a request is made the applicant shall inform ICCAT of its firm commitment to respect the Commission’s conservation an d management measures. The applicant shall
commit itself to transmit all the data to ICCAT that the Contract ing Parties have to submit to ICCAT based on the recommendatio ns adopted by the Commission. Requests must be
received by the ICCAT Secretariat no later than ninety (90) days in  advance of an ICCAT annual mee ting, to be considered at tha t meeting.
3. The Commission’s Permanent Working Group for the Improvement of ICCAT Statistics and Conservation Measures (PWG) shall be re sponsible for reviewing requests for
Cooperating Party, Entity or Fishing Entity status and for recommending to the Commission whether or not an applicant should be  considered a Cooperating Party, Entity or
Fishing Entity.
4. Cooperating Party, Entity or Fishing Entity status shall be  annually reviewed and renewed unless revoked by the Commission d ue to non-compliance of ICCAT conservation and
management measures or a written request for withdrawal of the status has been received by the Commission.5. Those Non-contracting Parties, Entities or Fishing Entities that  do not respond to the Commission as specified in this Resol ution will not be considered Cooperating Parties,
Entities or Fishing Entities to ICCAT.6. The Resolution by ICCAT on Becoming a Cooperating Party, Entity or Fishing Entity, adopted at the 1997 Commission meeting, b e substituted by this Resolution".
/g224 Chinese Taipei and the Philippines, Cooperating non-Contracting Parties, Entities or Fishing Entities are complying with the C ommission’s regulations to the same extent as
Contracting Parties. Requests for Cooperating Status from Beli ze and The Netherlands Antilles will be considered by the Commiss ion in 2003.
/g224 In addition, according to the ICCAT Secretariat,  the followi ng non-Contracting Parties, Entities or Fishing Entities can be c onsidered as important or key players, because of
their involvement in tuna fisheries: Belize, Bolivia, Cambodia, Chinese Taipei, Denmark (Faroe Islands), Georgia, Indonesia, Ma lta, The Netherlands Antilles, the Philippines,
Seychelles, Sierra Leone, St. Vincent and the Grenadines, Thailand, and Turkey.WT/CTE/W/160/Rev.2, TN/TE/S/5
Page 1103. CITES
Article X – Trade with States  not Party to the Convention
"Where export or re-export is to, or import is from, a State no t a Party to the present Convention, comparable documentation is sued by the competent authorities in that State which
substantially conforms with the requirements of the present Convention for permits and certificates may be accepted in lieu the reof by any Party".
Resolution Conf. 9.5 (1994) – Trade with States not party to the Convention
…Recommends  that:
a) permits and certificates issued by States not party to the Convention not be accepted by Parties unless they contain:
i) the name, stamp and signature of a competent issuing authority;ii) sufficient identification of the species concerned for the purposes of the Convention;iii) certification of the origin of the specimen concerned including the export permit number from the country of origin, or ju stification for omitting such certification;
iv) in the case of export of specimens of a species included in Appendix I or II, certification to the effect that the competen t scientific institution has advised that the export will
not be detrimental to the survival of the species (in case of dou bt a copy of such advice should be required) and that the spec imens were not obtained in contravention of the laws
of the State of export;v) in the case of re-export, certification to the effect that th e competent authority of the country of origin has issued an ex port document that substantially meets the requirements
of Article VI of the Convention; andvi) in the case of export or re-export of live specimens, certification to the effect that they will be transported in a manner  that will minimize the risk of injury, damage to health
or cruel treatment;
b) Parties accept documentation from States not party to the Convention only if details of the competent authorities and scient ific institutions of such States are included in the most
recent updated list of the Secretariat or after consultation with the Secretariat;
c) the recommendations above also apply to specimens in transit de stined for or coming from States not party to the Convention,  including specimens in transit between such
States;d) particular attention be given to the inspection of specimens in transit exported or re-exported from, and/or destined for St ates not party to the Convention and to the inspection of
documentation for such specimens;
e) Parties authorize import from and export or re-export to States not party to the Convention of specimens of wild origin of A ppendix-I species only in special cases where it
benefits the conservation of the species or provides for the welfare of the specimens, and only after consultation with the Sec retariat;
f) Parties allow import from States not party to the Convention of captive-bred and artificially propagated specimens of Append ix-I species only after favourable advice from the
Secretariat; andg) Parties communicate to the Secretariat any inconsistencies in trade involving States not party to the Convention; …"
/g224 The following non-parties have provided the information requested by Resolution Conf. 9.5 (i.e., proof that comparable document ation is being issued by competent authorities):
Albania; Angola; Bahrain; Cook Islands; Democratic People’s Re public of Korea; Haiti; Kiribati; Lebanon; Marshall Islands; Fede rated States of Micronesia; Niue; Oman; Palau;
Solomon Islands; Tonga; and Tuvalu.
/g224 China is a Party to CITES.  Hong Kong SAR, China, however, has its own CITES Management Authority and Scientific Authority.
/g224 According to the CITES Secretariat, key non-par ties include: Angola (significant trade); Lao PDR.WT/CTE/W/160/Rev.2, TN/TE/S/5
Page 1114. CCAMLR
Article X:1
"The Commission shall draw the attention of any State which is not a Party to this Convention to any activity undertaken by its  nationals or vessels which, in the opinion of the
Commission, affects the implementation of the objective of this Convention".
Conservation Measure 10-07 (2002) – Scheme to Promote Compliance by Non-Contracting Party Vessels with CCAMLR Conservation Meas ures
"1. The Contracting Parties request non-Contracting Parties to cooperate fully with the Commission with a view to ensuring that  the effectiveness of CCAMLR conservation
measures is not undermined…".
/g224 Prohibits Parties from allowing the landing or transshipment of fish from the vessel of a non-Contracting Party sighted engagi ng in fishing activities within the Convention Area,
and therefore presumed to be undermining the effectiveness of CC AMLR Conservation Measures, unless the vessel has been inspecte d by authorized Contracting Party officials
whom can establish that the fish were caught outside the Conven tion Area or in compliance with all relevant CCAMLR Conservation  Measures and requirements under the
Convention.
/g224 The Contracting Parties, realizing that Conservation Measure 10-07 (2002)  would be most effective if non-parties agreed to participate, had the Commission draw up an
Explanatory Memorandum and a Policy to Enhance the Cooperation between CCAMLR and non-Contracting Parties.
/g224 Non-parties are urged to cooperate with CCAMLR, as they may import toothfish caught in the CCAMLR Conservation Area or provide  ports and landing facilities to vessels
which may have been illegally fishing for toothfish.
5. Montreal Protocol
/g224 See Article 4 (in Section II.E:1) above).
/g224 According to Article 4:8, trade restrictions do not apply if a non-party is in compliance with the Protocol.
6. Basel Convention
Article 4:5 – General Obligations
"A Party shall not permit hazardous wastes or other wastes to be  exported to a non-Party or to be imported from a non-Party".
Article 7 – Transboundary Movement from a Party through States which are not Parties
"Paragraph 1 of Article 6 of the Convention shall apply mutatis mutandis  to transboundary movement of hazardous wastes or other wastes from a Party through a State or States
which are not Parties".
Article 11 – Bilateral, Multila teral and Regional Agreements
"1. Notwithstanding the provisions of Article 4 paragraph 5, Par ties may enter into bilateral, multilateral, or regional agreem ents or arrangements regarding transboundary
movement of hazardous wastes or other wastes with Parties or non-Parties provided that such agreements or arrangements do not d erogate from the environmentally sound
management of hazardous wastes and other wastes as required by this Convention. These agreements or arrangements shall stipulat e provisions which are not less environmentally
sound than those provided for by this Convention in particular taking into account the interests of developing countries.2. Parties shall notify the Secretariat of  any bilateral, multilateral or regional agreements or arrangements referred to in pa ragraph 1 and those which they have entered into prior to
the entry into force of this Convention for them, for the purpose of controlling transboundary movements of hazardous wastes an d other wastes which take place entirely among the
Parties to such agreements. The provisions of this Convention shall not affect transboundary movements which take place pursuan t to such agreements provided that such
agreements are compatible with the environmentally sound management of hazardous wastes and other wastes as required by this Co nvention".
/g224 Parties can consent to transboundary movements with non-parties provided the provisions in the Convention are met.WT/CTE/W/160/Rev.2, TN/TE/S/5
Page 1127. CBD
/g224 There are no articles that deal directly with the rights of n on-parties.  According to rules of procedure of the COP, meetings  of the Convention are open to non-parties as
observers.
/g224 One non-party has submitted a report on measures taken to implement the CBD.
8. Cartagena Protocol
Article 24 – Non-Parties
"1. Transboundary movements of living modified organisms between Parties and non-Parties shall be consistent with the objective  of this Protocol. The Parties may enter into
bilateral, regional and multilateral agreements and arrangements with non-Parties regarding such transboundary movements.
2. The Parties shall encourage non-Parties to adhere to this Pr otocol and to contribute appropriate information to the Biosafet y Clearing-House on living modified organisms
released in, or moved into or out of, areas within their national jurisdictions".
9. UNFCCC
No provisions
10. Kyoto Protocol
No provisions
11. ITTA
No provisions
/g224 According to the ITTO Secretariat, all States that are considered key players are members, except the Russian Federation.
12. UN Fish Stocks
Article 8 – Cooperation for conservation and management
"1. Coastal States and States fishing on the high seas shall, in accordance with the Convention, pursue cooperation in relation  to straddling fish stocks and highly migratory fish
stocks either directly or through appropriate subregional or regional fisheries management organizations or arrangements, takin g into account the specific characteristics of the
subregion or region, to ensure effective conservation and management of such stocks.2. States shall enter into consultations in good faith and without delay, particularly where there is evidence that the straddl ing fish stocks and highly migratory fish stocks concerned
may be under threat of over-exploitation or where a new fishery is being developed for such stocks. To this end, consultations may be initiated at the request of any interested State
with a view to establishing appropriate arrangements to ensure conservation and management of the stocks. Pending agreement on such arrangements, States shall observe the
provisions of this Agreement and shall act in good faith and with due regard to the rights, interests and duties of other State s.
3. Where a subregional or regional fisheries management organi zation or arrangement has the competence to establish conservatio n and management measures for particular
straddling fish stocks or highly migratory fish stocks, States fishing for the stocks on the high seas and relevant coastal Sta tes shall give effect to their duty to cooperate by
becoming members of such organization or participants in such arrangement, or by agreeing to apply the conservation and managem ent measures established by such organization
or arrangement. States having a real interest in the fisheries concerned may become members of such organization or participant s in such arrangement. The terms of participation in
such organization or arrangement shall not preclude such States from membership or participation; nor shall they be applied in a manner which discriminates against any State or
group of States having a real interest in the fisheries concerned.
4. Only those States which are members of such an organization or  participants in such an arrangement, or which agree to apply the conservation and management measures
established by such organization or arrangement, shall have access to the fishery resources to which those measures apply.WT/CTE/W/160/Rev.2, TN/TE/S/5
Page 1135. Where there is no subregional or regional fisheries management organization or arrangement to establish conservation and man agement measures for a particular straddling fish
stock or highly migratory fish stock, relevant coastal States and States fishing on the high seas for such stock in the subregi on or region shall cooperate to establish such an
organization or enter into other appropriate arrangements to ensure conservation and management of such stock and shall partici pate in the work of the organization or arrangement.
6. Any State intending to propose that action be taken by an intergovernmental organization having competence with respect to l iving resources should, where such action would
have a significant effect on conservation and management measures already established by a competent subregional or regional fi sheries management organization or arrangement,
consult through that organization or arrangement with its members or participants. To the extent practicable, such consultation  should take place prior to the submission of the
proposal to the intergovernmental organization".
Article 17 – Non-members of organizations and non-participants in arrangements
"1. A State which is not a member of a subregional or regional fisheries management organization or is not a participant in a s ubregional or regional fisheries management
arrangement, and which does not otherwise agree to apply the conservation and management measures established by such organizat ion or arrangement, is not discharged from the
obligation to cooperate, in accordance with the Convention and this  Agreement, in the conservation and management of the releva nt straddling fish stocks and highly migratory fish
stocks.2. Such State shall not authorize vessels flying its flag to engage in fishing operations for the straddling fish stocks or hig hly migratory fish stocks which are subject to the
conservation and management measures established by such organization or arrangement.3. States which are members of a subregional or regional fisher ies management organization or participants in a subregional or regional fisheries management arrangement shall,
individually or jointly, request the fishing entities referred to in article 1, paragraph 3, which have fishing vessels in the relevant area to cooperate fully with such organization or
arrangement in implementing the conservation and management measures it has established, with a view to having such measures ap plied de facto as extensively as possible to
fishing activities in the relevant area. Such fishing entities sh all enjoy benefits from participation in the fishery commensur ate with their commitment to comply with conservation
and management measures in respect of the stocks.4. States which are members of such organization or participants  in such arrangement shall exchange information with respect to  the activities of fishing vessels flying the flags of
States which are neither members of the organization nor participants in the arrangement and which are engaged in fishing opera tions for the relevant stocks. They shall take
measures consistent with this Agreement and international law to deter activities of such vessels which undermine the effective ness of subregional or regional conservation and
management measures".
/g224 The Agreement provides, as a general rule, that a State which is not a member of a RFMO or is not a participant in a subregion al or regional fisheries management arrangement,
shall not authorize a vessel flying its flag to engage in fishing operations for the straddling fish stocks and highly migrator y fish stocks, which are subject to the conservation and
management measures of such organization or arrangement.  It therefore requests member States of RFMOs and arrangements to dete r the activities of vessels of non-member
States or non-participants in their regulatory areas, which undermine conservation and management measures.
Article 33 – Non-parties to this Agreement
"1. States Parties shall encourage non-parties to this Agreement to become parties thereto and to adopt laws and regulations co nsistent with its provisions.
2. States Parties shall take measures consistent with this Ag reement and international law to deter the activities of vessels f lying the flag of non-parties which undermine the
effective implementation of this Agreement".
13. Rotterdam Convention
Article 10:9(a) – Obligations in relation to imports of chemicals listed in Annex III
"9. A Party that, pursuant to paragraphs 2 and 4 above and paragraph 2 of Article 11, takes a decision not to consent to import  of a chemical or to consent to its import only under
specified conditions shall, if it has not already done so, simultaneously prohibit or make subject to the same conditions: (a) Import of the chemical from any source".WT/CTE/W/160/Rev.2, TN/TE/S/5
Page 11414. Stockholm Convention
Article 3:2(b) – Measures to re duce or eliminate releases from intentional production and use
"2. Each Party shall take measures to ensure:
(b) That a chemical listed in Annex A for which any production or  use specific exemption is in effect or a chemical listed in A nnex B for which any production or use specific
exemption or acceptable purpose is in effect , taking into account any relevant provisi ons in existing international prior infor med consent instruments, is exported only:
(i) For the purpose of environmentally sound disposal as set forth in paragraph 1 (d) of Article 6;
(ii) To a Party which is permitted to use that chemical under Annex A or Annex B; or(iii) To a State not Party to this Convention which has provid ed an annual certification to the exporting Party. Such certifica tion shall specify the intended use of the chemical
and include a statement that, with respect to that chemical, the importing State is committed to:
a. Protect human health and the environment by taking the necessary measures to minimize or prevent releases;
b. Comply with the provisions of paragraph 1 of Article 6; and
c. Comply, where appropriate, with the provisions of paragraph 2 of Part II of Annex B.
The certification shall also include any appropriate supporting documentation, such as legislation, regulatory instruments, or administrative or policy guidelines. The exporting
Party shall transmit the certification to the Secretariat within sixty days of receipt".WT/CTE/W/160/Rev.2, TN/TE/S/5
Page 115ANNEX 1 – MEMBERSHIP IN WTO AND MEAS – COMPARATIVE TABLE
Parties
IPPC, 1979
IPPC, 1997
ICCAT
CITES
CITES, Bonn
amendment
CITES, Gaborone
amendment
CCAMLR
Vienna
Convention
Montreal Protocol
(MP)
MP - London
Amendment
MP - Copenhagen
Amendment
MP - Montreal
Amendment
MP - Beijing
Amendment
Basel Convention
Basel Convention
Ban Amendment
Basel Convention
Protocol on Liability
CBD
Biosafety Protocol
UNFCCC
Kyoto Protocol
ITTA
UN Fish Stocks
Agreement
Rotterdam
Convention
Stockholm
Convention
WTO Members
Albania XX XX X X X
Angola X XX X X
Antigua and
BarbudaXXX XXX XX X X X X
Argentina XX XXX XXXXXX X X X X
Armenia XX X X X
Australia XX XXX XXXXXX X X X X X
Austria X XXX XXX XX X X XX X XX X X
Bahrain X XXX XX X X X
Bangladesh XX X XXX XX X X X X
Barbados XX XXXX XXX XXX X XX X X X
Belgium X XXX XXXXX X X X XX X
Belize X XXX XXX X X X X
Benin X XXX X X X X X
Bolivia X XX XXX XX X XX X XX
Botswana XXX XXX X X XX X X
Brazil X XXXX XXXXX X X X XX XWT/CTE/W/160/Rev.2, TN/TE/S/5
Page 116
Parties
IPPC, 1979
IPPC, 1997
ICCAT
CITES
CITES, Bonn
amendment
CITES, Gaborone
amendment
CCAMLR
Vienna
Convention
Montreal Protocol
(MP)
MP - London
Amendment
MP - Copenhagen
Amendment
MP - Montreal
Amendment
MP - Beijing
Amendment
Basel Convention
Basel Convention
Ban Amendment
Basel Convention
Protocol on Liability
CBD
Biosafety Protocol
UNFCCC
Kyoto Protocol
ITTA
UN Fish Stocks
Agreement
Rotterdam
Convention
Stockholm
Convention
Brunei
DarussalamXXX XX X X
Bulgaria X XX X XXX XXX X X XX X X X
Burkina
FasoX XXX XXX XXX X X X X
Burundi XX XXX XXX X X X X
Cameroon X XXX X X XX X XX X
Canada XX XXXX XXXXXXX X X X XX XX X
Central
African
RepublicX XX X X X
Chad XX XXX XX X X
Chile X XXX XXXXXXX X X X X
China XXXX XXX X X X X XX
Colombia X X XXX X X X X XX
Congo XX XXX XXX X X X
Costa Rica XX X XXX X X X X X X
Côte
d'IvoireX XX XXX X X X X
Croatia XX XXXX XXX XXX X XX X
Cuba XX XX XXX X X XX X X
Cyprus XX X XXX XXX X X X X X X
Czech
RepublicXX XX XXX XXX X X XX X X X XWT/CTE/W/160/Rev.2, TN/TE/S/5
Page 117Parties
IPPC, 1979
IPPC, 1997
ICCAT
CITES
CITES, Bonn
amendment
CITES, Gaborone
amendment
CCAMLR
Vienna
Convention
Montreal Protocol
(MP)
MP - London
Amendment
MP - Copenhagen
Amendment
MP - Montreal
Amendment
MP - Beijing
Amendment
Basel Convention
Basel Convention
Ban Amendment
Basel Convention
Protocol on Liability
CBD
Biosafety Protocol
UNFCCC
Kyoto Protocol
ITTA
UN Fish Stocks
Agreement
Rotterdam
Convention
Stockholm
Convention
Democratic
Republic of
the CongoX XXX X X X X X
Denmark XX XXX XXX X X X XX X XX
Djibouti XX XXX XX X XX X X
Dominica XX XXX X X X
Dominican
RepublicX X XXX X X X X X
Ecuador X XX XXX X X X XX X XX
Egypt X XX XXX XX X X X X
El Salvador X XX XXX XX X X X X X
Estonia XX XXX XXX X X X X X X
European
Communitie
sX X XXX XXX X X XX X X X X
Fiji XXX XXX X XX X X X X X
Finland X XXX X XXX XXX X X X X X X X
Former
Yugoslav
Republic of
Macedonia
(FYROM)XX XXX XXX X X X
France X XXXX XXXXX X XX X XX
Gabon XXX XXX XXX X X X
Gambia X XXX X X X X X X
Georgia XX XXX XX X X X XWT/CTE/W/160/Rev.2, TN/TE/S/5
Page 118
Parties
IPPC, 1979
IPPC, 1997
ICCAT
CITES
CITES, Bonn
amendment
CITES, Gaborone
amendment
CCAMLR
Vienna
Convention
Montreal Protocol
(MP)
MP - London
Amendment
MP - Copenhagen
Amendment
MP - Montreal
Amendment
MP - Beijing
Amendment
Basel Convention
Basel Convention
Ban Amendment
Basel Convention
Protocol on Liability
CBD
Biosafety Protocol
UNFCCC
Kyoto Protocol
ITTA
UN Fish Stocks
Agreement
Rotterdam
Convention
Stockholm
Convention
Germany X XXX XXXXXXX X X X X XX X X
Ghana X XX X XXX X X X X
Greece X XXX XXXXX X X X XX
Grenada X XXX XXX XX X X X
Guatemala X X XXX XXX X X X XX
Guinea X XX XXX X X X X X
Guinea-
BissauXX XXX XXX X X
Guyana X XX XXX XX X X X X
Haiti X XXX XX X X
Honduras X X XXX X X X X X X
Hong Kong,
China
Hungary XX X XXX XXX X XX X X X
Iceland XXXX XXX XX X XX X X X X
India X XXX XXXXXXX X XXX X XX
Indonesia X XX XXX X X XX X X
Ireland X XXX XXX X X XX X XX
Israel X X XXX X X XX X
Italy X XXX XXXXXX X XX X XX X
Jamaica X XX XXX X X XX X X X
Japan X XXX XXXXXXX X XX X XX X
Jordan XX XX XXX XXX X XX X X XWT/CTE/W/160/Rev.2, TN/TE/S/5
Page 119Parties
IPPC, 1979
IPPC, 1997
ICCAT
CITES
CITES, Bonn
amendment
CITES, Gaborone
amendment
CCAMLR
Vienna
Convention
Montreal Protocol
(MP)
MP - London
Amendment
MP - Copenhagen
Amendment
MP - Montreal
Amendment
MP - Beijing
Amendment
Basel Convention
Basel Convention
Ban Amendment
Basel Convention
Protocol on Liability
CBD
Biosafety Protocol
UNFCCC
Kyoto Protocol
ITTA
UN Fish Stocks
Agreement
Rotterdam
Convention
Stockholm
Convention
Kenya X XXX XXX XX X XXX X
Korea,
Republic ofXX X XX X XXX XX X X X X X
Kuwait XX XXX X X X X X
Kyrgyz
RepublicXX X X X X
Latvia XX XXX XX X X X X
Lesotho XX X XX X X X
Liechtenstei
nXXX XXX X X X X
Lithuania XX XX XXX X X X X X
Luxembour
gX XXX XXX XXX X X XX X X X X X
Macao,
China
Madagascar XX XXX XXX X X X
Malawi X XX XXX X X X X X
Malaysia X X XXX XXX X X X X X X X
Maldives XXX XXX X XX X X X
Mali X XXX XXX XX X XX X X
Malta X XX XXX X X X X X
Mauritania XX XX XX X X X
Mauritius XX XXX XXX XXX X XX X X X
Mexico XX XX X XXX X X XX X X X
Moldova XX XX XXX X X XX XWT/CTE/W/160/Rev.2, TN/TE/S/5
Page 120
Parties
IPPC, 1979
IPPC, 1997
ICCAT
CITES
CITES, Bonn
amendment
CITES, Gaborone
amendment
CCAMLR
Vienna
Convention
Montreal Protocol
(MP)
MP - London
Amendment
MP - Copenhagen
Amendment
MP - Montreal
Amendment
MP - Beijing
Amendment
Basel Convention
Basel Convention
Ban Amendment
Basel Convention
Protocol on Liability
CBD
Biosafety Protocol
UNFCCC
Kyoto Protocol
ITTA
UN Fish Stocks
Agreement
Rotterdam
Convention
Stockholm
Convention
Mongolia XX XXX XX X X X X X
Morocco XX XXXX XXX X X X X X
Mozambiqu
eX XXX X X XX X
Myanmar XX XXX X X X
Namibia X XX X XXX X X X X
Netherlands XX XXX X XXX XXX X X XX X X X X X
New
ZealandXX XXX X XXX XXX X X X X X X
Nicaragua X X XXX X X XX X X
Niger X XXX XXX XX X X X
Nigeria X XX XXX XX X X X X
Norway XX XXX XXXXXXX X X XX X XX XX X
Oman XX XXX X X XX X X
Pakistan X XX XXX X X X X
Panama X XXX XXX XXX X X XX X XX X X
Papua New
GuineaXX XX XXX X X X X X X
Paraguay X XXX XXX XX X X X X X
Peru XX XX X X XXX X X X X X X
Philippines X XX XXX X X X X X
Poland X XX XXXXXX X X X X X
Portugal X XX XXX X X X X X XXWT/CTE/W/160/Rev.2, TN/TE/S/5
Page 121Parties
IPPC, 1979
IPPC, 1997
ICCAT
CITES
CITES, Bonn
amendment
CITES, Gaborone
amendment
CCAMLR
Vienna
Convention
Montreal Protocol
(MP)
MP - London
Amendment
MP - Copenhagen
Amendment
MP - Montreal
Amendment
MP - Beijing
Amendment
Basel Convention
Basel Convention
Ban Amendment
Basel Convention
Protocol on Liability
CBD
Biosafety Protocol
UNFCCC
Kyoto Protocol
ITTA
UN Fish Stocks
Agreement
Rotterdam
Convention
Stockholm
Convention
Qatar XX XXX X X X X X
Romania XX XX XXX XX X X X X X
Rwanda XXX XX X X X
Saint Kitts
and NevisX XXX XXX XX X XX X
Saint Lucia X XXX XXX XXX X X X X X X
Saint
Vincent and
the
GrenadinesXX XX XXX X X X X
Senegal XX XXX XXX XX X X X X XX
Sierra
LeoneXX XX XXX XXX X X
Singapore X XXX XX X X X
Slovak
RepublicXXX XXX XXX X X X X X
Slovenia XX XXX XXX XXX X XX X X X X
Solomon
IslandsX XXX XX X X X X
South
AfricaX X XX X XXX X X X X X X X
Spain XX XX XXXXXXX X X XX X XX
Sri Lanka X XX XXX XXX X X X X X X
Suriname X XX XX X X X X
Swaziland XX XX X X
Sweden XX XXX XXXXXXX X X XX X XX XWT/CTE/W/160/Rev.2, TN/TE/S/5
Page 122
Parties
IPPC, 1979
IPPC, 1997
ICCAT
CITES
CITES, Bonn
amendment
CITES, Gaborone
amendment
CCAMLR
Vienna
Convention
Montreal Protocol
(MP)
MP - London
Amendment
MP - Copenhagen
Amendment
MP - Montreal
Amendment
MP - Beijing
Amendment
Basel Convention
Basel Convention
Ban Amendment
Basel Convention
Protocol on Liability
CBD
Biosafety Protocol
UNFCCC
Kyoto Protocol
ITTA
UN Fish Stocks
Agreement
Rotterdam
Convention
Stockholm
Convention
Switzerland X XXX XXX XXX X X XX X X X
Chinese
Taipei
Tanzania X XXX XXX X X X X X X
Thailand X X XXX X X X X X X
Togo X XXX XXX XXX X X X
Trinidad
and TobagoX X XXX XXX XX X X XX X X X X
Tunisia XX XXX XXX XX X X XX X X
Turkey X XX XXX X X X
Uganda XXX XXX XX X XX X X
United Arab
EmiratesX XX XX X X X X X
United
Kingdom of
Great
Britain and
Northern
IrelandX X XXX X XXX XXX X X X X X X X
United
States of
AmericaXX X XX X XXX X X X X
Uruguay XX XXXX XXXXXX X X X X X XX
Venezuela X XX X XXX XX X XX X X
Zambia X X XXX X X XWT/CTE/W/160/Rev.2, TN/TE/S/5
Page 123Parties
IPPC, 1979
IPPC, 1997
ICCAT
CITES
CITES, Bonn
amendment
CITES, Gaborone
amendment
CCAMLR
Vienna
Convention
Montreal Protocol
(MP)
MP - London
Amendment
MP - Copenhagen
Amendment
MP - Montreal
Amendment
MP - Beijing
Amendment
Basel Convention
Basel Convention
Ban Amendment
Basel Convention
Protocol on Liability
CBD
Biosafety Protocol
UNFCCC
Kyoto Protocol
ITTA
UN Fish Stocks
Agreement
Rotterdam
Convention
Stockholm
Convention
Zimbabwe XXX XXX X X X
Total
Number  of
WTO
Members
party to the
MEA99 38 28 132 102 63 28 143 143 131 120 76 40 124 34 12 140 39 141 86 54 22 34 22
Non-WTO Members
Afghanistan X X X
Algeria XX X X XXX X X X X
Andorra X X
Azerbaijan XX XX XXX XX X X X X
Bahamas X X XXX X X X X X X
Belarus XX XXX X XX X
Bhutan X XXX X XX X X
Bosnia and
HerzegovinaXX X X X
Cambodia X XX XX X X X XX
Cape Verde X X XXX XX X X X
Comoros XX XXX XXX X X X
Cook
IslandsX X X X
Democratic
People`s
Republic of
KoreaXXX XXX X X XWT/CTE/W/160/Rev.2, TN/TE/S/5
Page 124
Parties
IPPC, 1979
IPPC, 1997
ICCAT
CITES
CITES, Bonn
amendment
CITES, Gaborone
amendment
CCAMLR
Vienna
Convention
Montreal Protocol
(MP)
MP - London
Amendment
MP - Copenhagen
Amendment
MP - Montreal
Amendment
MP - Beijing
Amendment
Basel Convention
Basel Convention
Ban Amendment
Basel Convention
Protocol on Liability
CBD
Biosafety Protocol
UNFCCC
Kyoto Protocol
ITTA
UN Fish Stocks
Agreement
Rotterdam
Convention
Stockholm
Convention
Equatorial
GuineaX X XX X X X X X X
Eritrea XX XXX X X
Ethiopia X XX XX X X X X X
Iran X XX XXX XX X X X X
Iraq X
Kazakhstan XX XXX X X
Kiribati XX X X X X
Lao
People`s
Democratic
RepublicX XX X X X
Lebanon XX XXX XX X X X X
Liberia X X XXX X XX X XX X
Libyan
Arab
JamahiriyaX X XX XXX X X X X
Marshall
IslandsXXX XX X XX X X X X
Micronesia XXX XXX X X X X X
Monaco XXX XXX XXX X XX X X
Nauru XX X XX X X X X
Nepal XX XXX X X X X
Niue XX X X
Palau XXX XXX X X XWT/CTE/W/160/Rev.2, TN/TE/S/5
Page 125Parties
IPPC, 1979
IPPC, 1997
ICCAT
CITES
CITES, Bonn
amendment
CITES, Gaborone
amendment
CCAMLR
Vienna
Convention
Montreal Protocol
(MP)
MP - London
Amendment
MP - Copenhagen
Amendment
MP - Montreal
Amendment
MP - Beijing
Amendment
Basel Convention
Basel Convention
Ban Amendment
Basel Convention
Protocol on Liability
CBD
Biosafety Protocol
UNFCCC
Kyoto Protocol
ITTA
UN Fish Stocks
Agreement
Rotterdam
Convention
Stockholm
Convention
Russian
FederationXX X XX X XXX X X X X
Samoa XXX XXX X XX X X X X X
San Merino X X
Sao Tome
and
PrincipeX XX XXX XXX X X
Saudi
ArabiaXX XX XXX X X X X X
Serbia and
MontenegroX XX XX X X X X
Seychelles X XXX XXX XXX X X X X X
Somalia X XXX XXX
Sudan X X XXX X X X
Syrian Arab
RepublicXXX XX X X X
Tajikistan XXX X X
Tonga XX X X X
Turkmenist
anXXX X X X X
Tuvalu XXX XX X X X
Ukraine XX X XXX X X XX X X X
Uzbekistan XXX XXX X X X X X
Vanuatu X XX X XXX X X X X X
Vietnam XX XXX X X X X X XWT/CTE/W/160/Rev.2, TN/TE/S/5
Page 126
Parties
IPPC, 1979
IPPC, 1997
ICCAT
CITES
CITES, Bonn
amendment
CITES, Gaborone
amendment
CCAMLR
Vienna
Convention
Montreal Protocol
(MP)
MP - London
Amendment
MP - Copenhagen
Amendment
MP - Montreal
Amendment
MP - Beijing
Amendment
Basel Convention
Basel Convention
Ban Amendment
Basel Convention
Protocol on Liability
CBD
Biosafety Protocol
UNFCCC
Kyoto Protocol
ITTA
UN Fish Stocks
Agreement
Rotterdam
Convention
Stockholm
Convention
Yemen X XX XXX XX X X X
Total
Number of
MEA
Members120 44 35 161 125 68 31 185 184 164 146 93 49 156 36 13 187 47 188 106 57 34 41 30WT/CTE/W/160/Rev.2, TN/TE/S/5
Page 127
ANNEX 2 – L IST OF MEA S CONTAINING POTENTIAL TRADE MEASURES
36. The following list has been compiled from a UNEP document which enumerates all
"International Treaties and Other Agreements in  the Field of the Environment", of which there
are 238.3  This list covers those international treaties that contain trade-related measures, or whose
Parties have adopted trade provisions in Resolutions  or Conservation Measures in furtherance of the
objectives of the Agreement.  Also included in th e list are Agreements which do not contain trade
measures as such, but do contain pr ovisions that may have possible c onsequences for trade during their
implementation by Parties.  This Annex revi ses WT/CTE/W/160 and updates previous documents,
including a GATT document issued in 1992 that list ed MEAs which contained trade measures as of
mid-19914 and a document issued in 1994 for the Sub-Committee on Trade and Environment.5
37. Some of the Agreements listed are regional Agreements that are open to Members from a
regional group6 while other Agreements cover specific species that are limited to a region.7
Agreements that are included in the Matrix are marked  in bold.  Agreements that are not yet in force
are marked with an asterix*.
• Convention Relative to the Preservation of Fauna and Flora in their Natural State,
1933, which was superseded by the African Convention on the Conservation ofNature and Natural Resources, 1968;
• Convention on Nature Protection and Wild Life Preservation in the
Western Hemisphere, 1940;
8
• International Convention for the Protection of Birds, 1950;
• International Plant Protection Convention, 1951;
• Plant Protection Agreement for the South-East Asia and Pacific Region, 1956;
• Agreement Concerning the Cooperation in the Quarantine of Plants and their
Protection against Pests and Diseases, 1959;9
• International Commission for the Conservation of Atlantic Tunas (ICCAT),
1966;10
                                                     
3 UNEP (1999), Register of International Treaties and Other Agreements in the Field of Environment ,
Nairobi.  For ease of reference, the agreements that have been deposited with the UN Secretary-General can befound at: http://untreaty.un.org/ENGLISH/bible/englis hinternetbible/partI/chapterXXVII/chapterXXVII.asp and
at: http://sedac.ciesin.org/pidb/guides/guide-hp.html, which provides an overview of treaties includinginformation on the negotiation, structure, and status of legal instruments in the environmental context.
4 Appendix I of GATT International Trade 1990-91,  (Volume 1, pages 45-47).
5 PC/SCTE/W/3, 13 October 1994.
6 For example the Phyto-Sanitary Convention for Africa, 1967 is open to Members of the Organization
for African Unity or the Benelux Convention Concerning Hunting and the Protection of Birds, 1970, which isopen to the three Benelux Member States.
7 Convention for the Conservation and Management of the Vicuña, 1979, and Agreement on the
Conservation of Polar Bear, 1973.
8 Article 9 of the Agreement, which contains trade-related measures, is de facto  superseded by CITES.
9 This Agreement was administered by the Council for Mutual Economic Assistance, which no longer
exists.  The status of this Agreement is therefore unclear.WT/CTE/W/160/Rev.2, TN/TE/S/5
Page 128
• Phyto-Sanitary Convention for Africa, 1967;
• African Convention on the Conservation of Natural Resources, 1968;
• European Convention for the Protection of Animals during International Transport,
1968;
• Benelux Convention Concerning Hunting and the Protection of Birds, 1970;
• Agreement on the Conservation of Polar Bear, 1973;11
• Convention on the International Trade in Endangered Species of Wild Fauna
and Flora (CITES), 1973;
• Convention on Future Multilateral Cooperatio n in the North-West Atlantic Fisheries,
1978;
• Convention for the Conservation and Management of the Vicuña, 1979;12
• Convention on the Conservation of Antarctic Marine Living Resources
(CCAMLR), 1980;
• *ASEAN Agreement on the Conservation of Nature and Natural Resources, 1985;
• Montreal Protocol on Substances that Deplete the Ozone Layer, 1987 and its
amendments;
• Wellington Convention for the Prohibition of Fishing with Long Drift Nets in the
South Pacific, 1989;
• Basel Convention on the Control of Transboundary Movements of Hazardous
Wastes and their Disposal, 1989;  13
• Bamako Convention on the Ban of the Import into Africa and the Control of
Transboundary Movement and Management of Hazardous Wastes within Africa,
1991;
• Regional Agreement on the Transboundary Movement of Hazardous Wastes, 1992;
• *Convention to Ban the Importation into Forum Island Countries of Hazardous and
Radioactive Wastes and to Control the Transboundary Movement and Managementof Hazardous Wastes within the South Pacific Region, 1995 (Waigani Convention);
• *Protocol on the Prevention of Pollution of the Mediterranean Sea by Transboundary
Movements of Hazardous Wastes and th eir Disposal, 1996 (Izmir Protocol).
                                                                                                                                                                    
10 The Convention does not contain trade measures, but trade-related measures have been adopted in
conservation measures which are binding on Contracting Parties.
11 The polar bear has been included in Appendix II of CITES.
12 The vicuña has been included in Appendix II of CITES.
13 The four agreements with bullet points are regional agreements relevant to articles of the Basel
convention that allow for the establishment of regional agreements that may be equal to, or stronger than the
provisions of the Basel Convention.WT/CTE/W/160/Rev.2, TN/TE/S/5
Page 129
• Protocol Concerning Specially  Protected Areas and Wildlife to the Convention for the
Protection and Development of the Marine Environment of the Wider CaribbeanRegion (Protocol of the Cartagena Convention), 1990;
• Convention on Biological Diversity, 1992, and the *Cartagena Protocol on
Biosafety, 2000;
• United Nations Framework Convention on Climate Change (UNFCCC), 1992
and the *Kyoto Protocol, 1997;
• Convention for the Conservation of Southern Bluefin Tuna, 1993;
• International Tropical Timber Agreement (ITTA), 1994;
• United Nations Conference on Straddling Fish Stocks and Highly Migratory
Fish Stocks: Agreement for the Implementation of the Provisions of the UnitedNations Convention of the Law of the Sea of 10 December 1982, Relating to the
Conservation and Management of Straddling Fish Stocks and Highly MigratoryFish Stocks (UN Fish Stocks Agreement), 1995;
• *Rotterdam Convention on the Prior Informed Consent Procedure (PIC) for
Certain Hazardous Chemicals and Pestic ides in International Trade, 1998;   and
• *Stockholm Convention on Persistent Organic Pollutants (POPs), 2001.
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