WT/CTE/W/160/Rev.9  
TN/TE/S/5/Rev.7  
 
19 March 2021  
(21-2336) Page: 1/188 
Committee on Trade and Environment  
Committee  on Trade  and Environment  in Special  Session    
 
MATRIX ON TRADE -RELATED MEASURES PURSUANT TO SELECTED  
MULTILATERAL  ENVIRONMENTAL AGREEMENTS  
NOTE BY THE SECRETARIAT1 
Revision  
This Matrix provides background information on trade -related measures pursuant to selected 
Multilateral Environmental Agreements (MEAs).  This revision, prepared in consultation with the MEA 
Secretariats  and InforMEA2 (UNEP) staff , presents updated information (e.g.  membership, decisions 
and other major development s) on MEAs.3  
The WTO Secretar iat periodically update s this document  in light of developments.  As the 
coverage of the Matrix continues to be updated and streamlined to focus on multilateral agreements, 
some agreements with a regional focus are no longer covered, namely the Convention o n the 
Conservation of Antarctic Marine Living Resources  (CCAMLR ) and the International Convention for 
the Conservation of Atlantic Tunas  (ICCAT) .4 The Matrix currently includes inf ormation on the 
following MEAs, including Agreements, Conventions and Protocols : 
• Convention on International Trade in Endangered Species of Wild Fauna and Flora (CITES);  
• United Nations Fish Stocks Agreement  (UNFSA);  
• Agreement on Port State Measures (PSMA);  
• International T ropical Timber Agreement (ITTA);  
• International Plant Protection Convention (IPPC) ; 
• Convention on Biological Diversity (CBD) ;  
• Nagoya Protocol on Access to Genetic Resources and the Fair and Equitable Sharing of 
Benefits Arising from their Utilization to the Convention on Biologica l Diversity ; 
• Cartagena Protocol on Biosafety to the Con vention on Biological Diversity;  
• Nagoya – Kuala Lumpur Supplementary Protocol on Liability and Redress to the Cartagena 
Protocol on Biosafety ; 
• Montreal Protocol and the Vienna Convention on Substances that Deplete the Ozone Layer ; 
• United Nations Framework Conven tion on Climate Change (UNFCCC) , the Kyoto Protocol  
and the Paris Agreement;  
• Basel Convention on the Control of Transboundary Movements of Haza rdous Wastes and 
their Disposal;  
• Rotterdam Conventi on on the Prior Informed Consent Procedure for Certain Hazardous  
Chemicals and Pesticides in International Trade ; 
• Stockholm Convention on Persistent Organic Pollutants ; and 
 
1 This document has been prepared under the Secretariat's own responsibility and is without prejudice 
to the positions of Members or to their rights and obligations under the WTO.  
2 InforMEA is the United Nations Information Portal on Multilateral Environme ntal Agreements.  To access 
the portal, click here. 
3 Previous versions of this Matrix are contained in documents WT/CTE/W/160 of 19 September 2000, 
WT/CTE/W/160/Rev.1 of 14 June 2001, Rev.2 of 25 April 2003, Rev. 3 of 16 February 2005, Rev.4 of 
14 March  2007, Rev.5 of 15 J une 2011, Rev.6 of 4 October 2013, Rev.7 of 4 September 2015 and Rev.8 of 
9 October 2017.  
4 See minutes of November 2017 CTE meeting , WT/CTE/M/64 , para 1.12 . WT/CTE/W/160/Rev.9 • TN/TE/S/5/Rev.7  
 
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  • Minamata Convention on Mercury . 
Information for each of these MEA s has been provided in 6 Sub -Sections  and an Annex . 
Sub-section 1  provid es the following information  for each MEA : 
a. Website;  
b. Objective of the MEA;  
c. Date of Signature/Adoption;  
d. Entry into force (Date/Provision);  
e. Number of Parties to the MEA;  
f. Number of WTO Memb ers party to the MEA;  
g. Openness of Membership;  
h. Decision -Making Bodies; and  
i. Provisions relating to Amendments and Protocols.  
Sub-section 2  contains information on the trade -related measures of each MEA, including any  
requirements or restrictions on imported or exported products  or trade in transit . Information under 
this section is divided, where applicable, into two further sub-sections:  
a. Provisions of the MEA ; and 
b. Decisions of the Decision -Making Bodies.  
Sub-section 3  provides information on supportive measures, such as technology transfer, and 
financial or technical assistance under the provisions of the MEA.  
Sub-section 4  explains the mechanism set out in the MEA for the non -compliance of a party.  
Sub-section 5  lists the dispute settlement mechanisms in the MEA .  
Sub-section 6  sets out the prov isions relating to non -parties of the MEA.  
The Annex to this  document provides a comparative table of WTO and MEA membership.  
  
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  Table of Contents  
 
1   CONVENTION ON INTERNATIONAL TRADE IN ENDANGERED SPECIES OF  
WILD FAUNA AND FLORA (CITES)  ................................ ................................ ....................  6 
1.1   Brief description of the MEA  ................................ ................................ ..........................  6 
1.2   Trade -related measures  ................................ ................................ ...............................  9 
1.3   Supportive measures  ................................ ................................ ................................ ..27 
Decisions of the Conference of the Parties with respect to supportive measures  ......................... 28 
1.4   Non-compliance mechanism ................................ ................................ ......................... 28 
1.5   Dispute settlement mechanism  ................................ ................................ .................... 33 
1.6   Provisions for non -parties  ................................ ................................ ............................ 34 
2   UNITED NATIONS FISH STOCKS AGREEMENT (UNFSA)  ................................ .............  35 
2.1   Brief description of the MEA  ................................ ................................ ......................... 35 
2.2   Trade -related measures  ................................ ................................ .............................. 38 
2.3   Supportive measures  ................................ ................................ ................................ ..38 
2.4   Non-compliance mechanism ................................ ................................ ......................... 40 
2.5   Dispute settlement mechanism  ................................ ................................ .................... 41 
2.6   Provisions for non -parties  ................................ ................................ ............................ 42 
3   AGREEMENT ON PORT STATE MEASURES TO PREVENT, DETER AND  
ELIMINATE ILLEGAL, UNREPORTED AND UNREGULATED FISHING (PSMA)  ....................  42 
3.1   Brief description of the MEA  ................................ ................................ ......................... 42 
3.2   Trade -related measures  ................................ ................................ .............................. 44 
3.3   Supportive measures  ................................ ................................ ................................ ..46 
3.4   Non-compliance mechanism ................................ ................................ ......................... 47 
3.5   Dispute settlement mechanism  ................................ ................................ .................... 47 
3.6   Provisions for non -parties  ................................ ................................ ............................ 47 
4   INTERNATIONAL TROPICAL TIMBER AGREEMENT (ITTA)  ................................ .........  48 
4.1   Brief description of the MEA  ................................ ................................ ......................... 48 
4.2   Trade -related measures  ................................ ................................ .............................. 50 
4.3   Supportive measures  ................................ ................................ ................................ ..51 
4.4   Non-compliance mechanism ................................ ................................ ......................... 52 
4.5   Dispute settlement mechanism  ................................ ................................ .................... 52 
4.6   Provisions for non -parties  ................................ ................................ ............................ 52 
5   INTERNATIONAL PLANT PROTECTION CONVENTION (IPPC)  ................................ ..... 52 
5.1   Brief description of the MEA  ................................ ................................ ......................... 52 
5.2   Trade -related measures  ................................ ................................ .............................. 55 
5.3   Supportive measures  ................................ ................................ ................................ ..58 
5.4   Non-compliance mechanism ................................ ................................ ......................... 58 
5.5   Dispute settlement mechanism  ................................ ................................ .................... 59 
5.6   Provisions for non -parties  ................................ ................................ ............................ 59 
6   CONVENTION ON BIOLOGICAL DIVERSITY (CBD)  ................................ .....................  60 WT/CTE/W/160/Rev.9 • TN/TE/S/5/Rev.7  
 
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  6.1   Brief description of the MEA  ................................ ................................ ......................... 60 
6.2   Trade -related measures  ................................ ................................ .............................. 62 
6.3   Supportive measures  ................................ ................................ ................................ ..89 
6.4   Non-compliance mechanism ................................ ................................ ......................... 89 
6.5   Dispute settlement mechanism  ................................ ................................ .................... 89 
6.6   Provisions for non -parties  ................................ ................................ ............................ 90 
7   NAGOYA PROTOCOL ON ACCESS TO GENETIC RESOURCES AND THE FAIR AND 
EQUITABLE SHARING OF BENEFITS ARISING FROM THEIR UTILIZATION TO 
THE CONVENTION ON BIOLOGICAL DIVERSITY  ................................ .............................  90 
7.1   Brief description of the MEA  ................................ ................................ ......................... 90 
7.2   Trade -related measures  ................................ ................................ .............................. 92 
7.3   Supportive measures  ................................ ................................ ................................ ..94 
7.4   Non-compliance mechanism ................................ ................................ ......................... 96 
7.5   Dispute settlement mechanism  ................................ ................................ .................... 96 
7.6   Provisions for non -parties  ................................ ................................ ............................ 96 
8   CARTAGENA PROTOCOL ON BIOSAFETY TO THE CONVENTION ON  
BIOLOGICAL DIVERSITY  ................................ ................................ ................................  97 
8.1   Brief description of the MEA  ................................ ................................ ......................... 97 
8.2   Trade -related measures  ................................ ................................ .............................. 98 
8.3   Supportive measures  ................................ ................................ ................................  109 
8.4   Non-compliance mechanism ................................ ................................ .......................  110 
8.5   Dispute settlement mechanism  ................................ ................................ ..................  111 
8.6   Provisions for non -parties  ................................ ................................ ..........................  111 
9   NAGOYA – KUALA LUMPUR SUPPLEMENTARY PROTOCOL ON LIABILITY AND  
REDRESS TO THE CARTAGENA PR OTOCOL ON BIOSAFETY  ................................ ...........  111  
9.1   Brief description of the MEA  ................................ ................................ .......................  111 
9.2   Trade -related measures  ................................ ................................ ............................  112 
9.3   Supportive measures  ................................ ................................ ................................  114 
9.4   Non-compliance mechanism ................................ ................................ .......................  114 
9.5   Dispute settlement mechanism  ................................ ................................ ..................  114 
9.6   Provisions for non -parties  ................................ ................................ ..........................  114 
10   MONTREAL PROTOCOL AND THE VIENNA CONVENTION FOR THE  
PROTECTION OF THE OZONE LAYER  ................................ ................................ .............  114  
10.1   Brief description of the MEA  ................................ ................................ .....................  114 
10.2   Trade -related measures  ................................ ................................ ...........................  119 
10.3   Supportive measures  ................................ ................................ ..............................  125 
10.4   Non-compliance mechanism  ................................ ................................ .....................  126 
10.5   Dispute settlement mechanism  ................................ ................................ .................  126 
10.6   Provisions for non -parties  ................................ ................................ ........................  126 
11   UNITED NATIONS FRAMEWORK CONVENTION ON CLIMATE CHANGE  
(UNFCCC), THE KYOTO PROTOCOL AND THE PARIS AGREEMENT  ................................ . 127  
11.1   Brief description of the MEA  ................................ ................................ .....................  127 WT/CTE/W/160/Rev.9 • TN/TE/S/5/Rev.7  
 
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  11.2   Trade -related measures  ................................ ................................ ...........................  135 
11.3   Supportive measures  ................................ ................................ ..............................  138 
11.4   Non-compliance mechanism  ................................ ................................ .....................  141 
11.5   Dispute settlement mechanism  ................................ ................................ .................  142 
11.6   Provisions for non -parties  ................................ ................................ ........................  143 
12   BASEL CONVENTION ON THE CONTROL OF TRANSBOUNDARY MOVEMENTS  
OF HAZARDOUS WASTES AND THEIR DISPOSAL  ................................ ..........................  143  
12.1   Brief descripti on of the MEA  ................................ ................................ .....................  143 
12.2   Trade -related measures  ................................ ................................ ...........................  147 
12.3   Supportive measures  ................................ ................................ ..............................  153 
12.4   Non-compliance mechanism  ................................ ................................ .....................  155 
12.5   Dispute settlement mechanism  ................................ ................................ .................  156 
12.6   Provisions for non -parties  ................................ ................................ ........................  156 
13   ROTTERDAM CONVENTION ON THE PRIOR INFORMED CONSENT  
PROCEDURE FOR CERTAIN HAZARDOUS CHEMICALS AND PESTICIDES IN 
INTERNATIONAL TRADE ................................ ................................ ...............................  157  
13.1   Brief description of the MEA  ................................ ................................ .....................  157 
13.2   Trade -related measures  ................................ ................................ ...........................  158 
13.3   Main COP decisions on the linkage between the Secretariat of the Rotterdam Convention and 
the WTO  ................................ ................................ ................................ .........................  162 
13.4   Supportive measures  ................................ ................................ ..............................  163 
13.5   Non-compliance mechanism  ................................ ................................ .....................  164 
13.6   Dispute settlement mechanism  ................................ ................................ .................  165 
13.7   Provisions for non -parties  ................................ ................................ ........................  165 
14   STOCKHOLM CONVENTION ON PERSISTENT ORGANIC POLLUTANTS  ....................  166  
14.1   Brief description of the MEA  ................................ ................................ .....................  166 
14.2   Trade -related measures  ................................ ................................ ...........................  167 
14.3   Supportive measures  ................................ ................................ ..............................  169 
14.4   Non-compliance mechanism  ................................ ................................ .....................  170 
14.5   Dispute settlement mechanism  ................................ ................................ .................  171 
14.6   Provisions for non -parties  ................................ ................................ ........................  171 
15   MINAMATA CONVENTION ON MERCURY  ................................ ................................  171  
15.1   Brief description of the MEA  ................................ ................................ .....................  171 
15.2   Trade -related measures  ................................ ................................ ...........................  173 
15.3   Supportive measures  ................................ ................................ ..............................  174 
15.4   Non-compliance mechanism  ................................ ................................ .....................  176 
15.5   Dispute settlement mechanism  ................................ ................................ .................  176 
15.6   Provisions for non -parties  ................................ ................................ ........................  177 
ANNEX  ................................ ................................ ................................ .........................  178  
 
  
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- 6 - 1  CONVENTION ON INTERNATIONAL TRADE IN ENDANGERED SPECIES OF WILD FAUNA AND FLORA (CITES)  
1.1  Brief description of the MEA  
Website  http:// www.cites.org/  
Objective  → CITES is an international treaty to regulate international trade in wildlife (animals, plants and their parts and derivatives ) for conservation and sustainable 
use purposes. The Convention primarily covers species that are in the international markets whic h are not yet threatened with extinction but could become 
so without trade regulation (97% of the total). It also prohibits international commercial trade in wild specimens of a small  number of species listed as 
already being threatened with extinction (3%  of the total). It provides a framework for legal, sustainable and traceable wildlife trade based on the best 
scientific information available, and analyses how different types of trade regulations can affect specific populations.  
→ CITES trade -related me asures seek to ensure that trade is not detrimental to the survival of species of wild plants and animals and that traded spe cimens 
are not obtained in contravention of national laws for the protection of fauna and flora. It also requires that any living s pecimen be so prepared and shipped 
as to minimize the risk of injury, damage to health or cruel treatment (i.e.  in accordance with the Live Animals Regulations and Perishable Cargo Regulations 
of the International Air Transport Association and the CITES Gu idelines for the non -air transport of live wild animals and plants ). 
Date of Signature  Convention: 3 March 1973  
Bonn Amendment to Article XI: 22 June 1979  
Gaborone Amendment to Article XXI: 30 April 1983  
Entry into force  Convention: 1 July 1975  
Bonn Amendment to Article XI: 13 April 1987  
Gaborone Amendment to Article XXI: 29 November 2013  
Parties  Convention (1973): 183 Parties (as of 10 February 2021 )  
Bonn Amendment (1979): 149 Parties  (as of 10 February 2021 )   
Gaborone Amendment (1983):  102 Parties (as of 10 February 2021 )  
Information about each Party can be found here. 
WTO Members  Convention (1973):  160 Parties to CITES are also WTO Members.  
Bonn Amendment  (1979): 130 Parties to this Amendment are also WTO Members.  
Gaborone Amendment (1983): 96 Parties to this Amendment are also WTO Members . 
(See Annex ) 
Openness of 
Membership  Article XXI – Accession  
"The present Convention shall be open indefinitely for accession. Instruments of accession shall be deposited with the Deposi tary Government".  
→ The Gaborone Amendment, which entered into force on 29 November 2013, opens the membership to regional economic integration o rganizations. 
Paragraph 2 of Article XXI reads : "This Convention shall be open for accession by regional economic integration organizations constituted by sovereign 
States which have competence in respect of the negotiation, conclusion and implementation of international agreements in matt ers transferred  to them by 
their Member States and covered by this Convention."  
→ The European Union became a Party to the Convention on 8 July 2015.  
Decision -Making 
Bodies  Article XI, paragraph 3 – Conference of the Parties  
"3. At meetings, whether regular or extraordinary, the Parties shall review the implementation of the present Convention and may:   
(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 Appendices 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 presented by the Secretariat or by any Party; and  
(e) where appropriate, make recommendations for improving the effectiveness of the present Convention".  
Resolution Conf. 18.2 – Establishment of Committees  
"[The CoP to the Convention] …   
  WT/CTE/W/160/Rev.9 • TN/TE/S/5/Rev.7  
 
- 7 - (1) establishes the Standing Committee of the [CoP], which shall be the senior Committee, and shall report to the [CoP] in ac cordance with its Terms 
of Reference as found in Annex 1 of [the] Resolution;  
(2) directs the Standin g Committee to establish a Finance and Budget Subcommittee and specify its terms of reference  
(3) establishes the Animals Committee and the Plants Committee as its scientific advisory bodies, which shall report to the [ CoP] at its meetings and, 
if so reque sted, to the Standing Committee between meetings of the [CoP], in accordance with their Terms of Reference as found in Annex 2 of [the] 
Resolution;  
(4) Decides that  
[…] 
(b) the terms of reference for all committees established by the [CoP] shall be includ ed in annexes to [the] Resolution;  
[…] 
(e) the committees established by the [CoP] may establish working groups with specific terms of reference as required to addr ess specific problems. 
These working groups shall normally have a defined life span which sh all not exceed the period until the next meeting of the [CoP], at which time it 
may be re -established if necessary. Working Groups shall report to the committees which established them ; …"  
The Resolution replaces Res. Conf. 11.1 (Rev. CoP17)  
Amendments and 
Protocols  Article II – Fundamental principles  
→ Paragraphs 1, 2 and 3 of this Article define Appendices I, II and III to the Convention, respectively (see Provisions of the Convention below).  
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 [CoP]:  
(a) Any Party may propose an amendment to Appendix I or II for consideration at the next meeting. The text of the proposed am endment shall 
be communicated to the Secretariat at least 150 days before the meeting. The Secretariat shall consult the other Parties and i nterested bodies on the 
amendment in accordance with the provisions of sub -paragraphs (b) and (c) of paragraph 2 of this Article an d shall communicate the response to all 
Parties not later than 30 days before the meeting.  
(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 ca sting an affirmative or negative vote. Parties abstaining from voting shall not be counted among the two -thirds required for 
adopting an amendment.  
(c) Amendments adopted at a meeting shall enter into force 90 days after that meeting for all Parties excep t 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 [CoP]:  
(a) Any Party may propose an amendment to Appendix I o r II for consideration between meetings by the postal procedures set forth in this 
paragraph. …  
(f) If no objection to the proposed amendment is received by the Secretariat within 30 days of the date the replies and recom mendations were 
communicated under the provisions of sub -paragraph (e) of this paragraph, the amendment shall enter into force 90 days later for all Parties except 
those which make a reservation in accordance with paragraph 3 of this Article.  
(g) If an objection by any Party is received by the Secretariat, the proposed amendment shall be submitted to a postal vote in accordance with 
the provisions of sub -paragraphs (h), (i) and (j) of this paragraph ...  
(j) Provided that votes are received from one -half of the Parties, the amendment shall be  adopted by a two -thirds majority of Parties casting an 
affirmative or negative vote ...  
(l) If the proposed amendment is adopted it shall enter into force 90 days after the date of the notification by the Secretar iat 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 Article any Party may by 
notification in writing to the Depositary Government make a reservation with respect to the amendment. Until suc h reservation is withdrawn the Party shall 
be treated as a State not a Party to the present Convention with respect to trade in the species concerned."  
Article XVI – Appendix III and Amendments thereto  
"1. Any Party may at any time submit to the Secretar iat a list of species which it identifies as being subject to regulation within its jurisdiction for the 
purpose mentioned in paragraph 3 of Article II. Appendix III shall include the names of the Parties submitting the species fo r inclusion therein, the s cientific  
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- 8 - names of the species so submitted, and any parts or derivatives of the animals or plants concerned that are specified in rela tion to the species for the 
purposes of sub -paragraph (b) of Article I.  
2. Each list submitted under the provisions of paragraph 1 of this Article shall be communicated to the Parties by the Secretariat as soon as possible 
after receiving it. The list shall take effect as part of Appendix III 90 days after the date of such communication. At any t ime after the  communication of 
such list, any Party may by notification in writing to the Depositary Government enter a reservation with respect to any spec ies or any parts or derivatives, 
and until such reservation is withdrawn, the State shall be treated as a State n ot a Party to the present Convention with respect to trade in the species or 
part or derivative concerned.  
3. A Party which has submitted a species for inclusion in Appendix III may withdraw it at any time by notification to the Secret ariat which shall 
communicate the withdrawal to all Parties. The withdrawal shall take effect 30 days after the date of such communication ..."  
→ In Resolution Conf. 4.25 (Rev. CoP25) on Reservations, the [CoP] "recommends that any Party having entered a reservation with regar d to any 
species included in Appendix I treat that species as if it were included in Appendix II for all purposes, including documenta tion and control; " 
Article XVII – Amendment of the Convention  
"1. An extraordinary meeting of the [CoP] shall 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 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 n ot 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 meeting.  
3. An amendment shall enter into force for the Parties which have accepted it 60 days after two -thirds of the Parties have deposited an instrument of 
acceptance of the amendment with th e Depositary Government. Thereafter, the amendment shall enter into force for any other Party 60 days after that 
Party deposits its instrument of acceptance of the amendment".  
→ Resolution Conf. 4.27 on 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 Parties at the time of the adoption 
of an amendment is required for the comi ng into force of such amendment".   
Amendments to 
the Convention 
adopted  Bonn Amendment – 22 June 1979  
→ On 22 June 1979, the CoP to CITES adopted an amendment to Article XI, paragraph 3 a), consisting of inserting the words ", an d adopt financial provisions" 
at the end of the provision.  
→ In accordance with Article XVII, paragraph 3, the Bonn amendment entered into force 60 days after 34 of the 50 States (two -thirds) that were Parties to 
CITES on  22 June 1979 deposited their instruments of acceptan ce, 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 Convent ion now applies 
automatically to any S tate that becomes a Party after the date of entry into force of the amendment.  
Gaborone Amendment – 30 April 1983  
→ On 30 April 1983, the CoP to CITES adopted in Gaborone, Botswana, an amendment to Article XXI of the Convention to permit acc ession by regio nal 
economic integration organizations and especially to allow the EU to become a CITES party.  
→ In accordance with Article XVII, paragraph 3, the Gaborone amendment entered into force 60 days after 54 of the 80 States tha t were party to CITES on 
30 April 1983 had deposited their instruments of acceptance, i.e. on 29 November 2013 . At that time it entered into force only for those States that had 
accepted the amendment. 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. 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 do accept it.   
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- 9 - 1.2  Trade -related measures  
CITES provides  for trade measures at different decision -making levels:  
o Trade measures that are legally binding (text of the Convention);  
o Trade measures decided by the Conference of the Parties ( CoP); 
o Trade measures decided by the Standing Committee (SC) on behalf of the  CoP; 
o Trade measures recommended by the Animals Committee/Plants Committee;  
o Trade measures recommended by the Secretariat to the C oP and SC ; and 
o Stricter domestic trade measures unilaterally adopted by the Parties.  
1.2.1   Provisions of the convention  
Article II  
Fundamental Principles  → CITES places certain controls on international trade in specimens of selected species. These require the import, export, re -export and introduction 
from the sea of specimens of species covered by the Convention be author ized through a permit and certificate system. The species covered by CITES 
are listed in three Appendices, according to the degree of protection they need.  
"1. Appendix I shall include all species threatened with extinction which are or may be affected by trade. Trade in specimens of these species 
must be subject to particularly strict regulation in order not to endanger further their survival and must only be authorized  in exceptional 
circumstances.  
2. Appendix II shall include:  
(a) all species which alth ough not necessarily now threatened with extinction may become so unless trade in specimens of such species is 
subject to strict regulation in order to avoid utilization incompatible with their survival; and  
(b) other species which must be subject to regu lation in order that trade in specimens of certain species referred to in sub -paragraph (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 withi n 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 included in Appendices I, II and III excep t in accordance with the provisions of the 
present Convention".  
Article III  
Regulation of Trade in 
Specimens of Species 
Included in Appendix I  → Appendix I includes species that are threatened with extinction or endangered and that require the greatest protection among CITES -listed animals 
and plants (see Article II, paragraph 1 of the Convention). CITES generally prohibits international commercial trade in speci mens of wild origin of 
these species. However, non -commercial trade may be allowed ( e.g. for scientific research) and commercial trade may be allowed under exceptional 
circumstances, e.g. captive breeding, artificial propagation, etc. In these cases, non -commercial 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). Specimens of Appendix -I listed species bred in 
captivity or artificially propagated for commercial purposes shall be deemed to be specimens of species included in Appendix II (see Article VII, 
paragraph 4) and the trade provisions contained in Article IV apply.  
→ Trade in Appendix I species of wild origin must meet three criteria:  
1. Trade must not be primarily commercial in nature. Resolution Conf. 5.10 (Rev. CoP15) defines "commer cial" as an activity whose "purpose is 
to obtain economic benefit (whether in cash or in kind) and is directed toward resale, exchange, provision of a service or ot her form of economic use 
or benefit. The Resolution further defines "primarily commercial" b y providing that "all uses whose non -commercial aspects do not clearly predominate 
shall be considered to be primarily commercial in nature with the result that the importation of specimens of Appendix -I species should not be 
permitted. The burden of proof  for showing that the intended use of specimens of Appendix -I species is clearly non -commercial shall rest with the 
person or entity seeking to import such specimens."  
2. It must not be detrimental to the survival of the species. The non -detriment finding is a scientific assessment by the Scientific Authority of the 
State of export. Guidance on the making of non -detriment findings is contained in Resolution Conf. 16.7. In addition, document CoP11 Doc.  11.40  
  WT/CTE/W/160/Rev.9 • TN/TE/S/5/Rev.7  
 
- 10 - prepared for CITES CoP -11 (Gigiri , 2000) provides assistance to Scientific Authorities for making non -detriment findings. It makes reference to 
Information Document CoP11 Inf. 11.3 which contains a checklist for making non -detriment findings for Appendix II species. The checklist was 
published and distributed by IUCN at CoP -12 (see also capacity building material prepared by the CITES Secretariat, which is accessible through the 
CITES Virtual College at http://www.cites.org .  
3. There must be a legal ac quisition finding, that is, the Management Authority of the State of export must be satisfied that the specimens were 
not obtained in contravention of the laws of that State for the protection of fauna and flora.  
Article IV  
Regulation of Trade in 
Specimens of Species 
Included in Appendix II  → Appendix II includes species that are not necessarily now threatened with extinction but that may become so unless trade is s ubject to strict 
regulation. It also includes so -called "look -alike species". Intern ational trade in specimens of Appendix -II species may be authorized by the granting 
of an export permit or re -export certificate; no import permit is required by the Convention (some countries adopt stricter domestic measures under 
Article XIV, for example , which require an import permit). Permits or certificates should only be granted if the relevant authorities are satisfied t hat 
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 origin) 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 → Appendix III comprises  a list of species included at the request of a Party that already prevents or restricts exploitation of the species and that 
needs the cooperation of other countries in the control of trade (see Article II, paragraph 3, of the Convention). Internatio nal trade in specimens of 
species listed in this Appendix is allowed only on presentation of the appropriate export permit (issued by the Party that li sted the species in Appendix 
III) or certificate of origin (issued by the Party which did not list the species  in Appendix III).  
Article VI  
Permits and Certificates  → Provides details for permits and certificates granted under the provisions of Articles III, IV, and V of the Convention.  
→Resolution Conf. 12.3 (Rev. CoP18) has replaced Appendix IV of the Conventio n and further elaborates on the requirements of permits and 
certificates. Annex 1 to the Resolution contains the information that should be included and Annex 2 contains the standard CI TES form.  
Article VII  
Exemptions and Other 
Special Provisions 
Relating to Trade  → Lists the Exemptions and Other Special Provisions Relating to Trade (e.g. transit/transhipment, pre -Convention, personal or household effects, 
captive breeding or artificial propagation, scientific exchange and travelling exh ibitions). This Article provides all the exceptions to the regulation of 
trade in wild fauna and flora species listed in the three CITES Appendices.  
→ Guidance on t he application and implementation of Article VII, paragraphs 1, 2, 3, 6 and 7 has been speci fied in Resolutions Conf. 9.7 (Rev. 
CoP15), 13.6 (Rev. CoP18), 13.7 (Rev. CoP17), 11.15 (Rev. CoP18) and 12.3 (Rev. CoP18) adopted by the Conference of the Parti es. Guidance 
related to paragraphs 4 and 5 is contained in Resolutions Conf. 10.16, 12.10 (Rev.  CoP15) and 9.19 (Rev. CoP15).  
Article VIII  
Measures to Be Taken 
by the Parties  "1. The Parties shall take appropriate measures to enforce the provisions of the present Convention and to prohibit trade in spec imens in violation 
thereof. These shall inclu de 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 any  method of 
internal reimbursement for e xpenses 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 f ormalities required for trade with a minimum of delay. To 
facilitate such passage, a Party may designate ports of exit and ports of entry at which specimens must be presented for clea rance. The Parties shall 
ensure further that all living specimens, during  any period of transit, holding or shipment, are properly cared for so as to minimize 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 State of export, return the specimen to that State at the exp ense of that 
 State, or to a rescue centre or such other place as the Management Authority deems appropriate and consistent with th e 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, con sult the 
 Secretariat in order to facilitate the decision under sub -paragraph (b) of t his paragraph, including the choice of a rescue centre or other 
 place.   
  WT/CTE/W/160/Rev.9 • TN/TE/S/5/Rev.7  
 
- 11 - 5. A rescue centre as referred to in paragraph 4 of this Article means an institution designated by a Management Authority to lo ok 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; and  
 (b) the number and type of permit s and certificates granted; the States with which such trade occurred; the numbers or quantities and 
 types of specimens, names of species as included in Appendices I, II and III and, where applicable, the size and sex of the s pecimens in 
 question.  
7. Each Party shall prepare periodic reports on its implementation of the present Convention and shall transmit to the Secretariat : 
 (a) an annual report containing a summary of the information specified in sub -paragraph (b) of paragraph 6 of this Article; and  
 (b) a biennial report on legislative, regulatory and administrative measures taken to enforce the provisions of the present C onvention.  
8. The information referred to in paragraph 7 of this Article shall be available to the public where this is not inco nsistent with the law of the Party 
concerned".  
→ Resolution Conf. 17.8 contains recommendations on the disposal of illegally traded and confiscated specimens of CITES -listed species.  
→ Resolution Conf. 11.17  contains guidance on the national reports to be  submitted in accordance with paragraph 7 of Art. VIII.  
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 …".  
→ Resolution Conf. 10.13 contains recommendations on the designation and role of CITES Scie ntific Authorities  
→ Resolution Conf. 18.6 contains recommendations on the designation and role of CITES Management Authorities  
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 in cluded in 
 Appendices I, II and III, or the complete prohibition thereof; or  
 (b) domestic measures restricting or prohibiting tra de, taking, possession 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 of  Parties deriving 
from any treaty, conven tion, 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 including any measure pertaining to the Customs, public health, vete rinary 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 trea ty, convention or 
international agreement concluded or which may be concluded between States creat ing a union or regional trade agreement establishing or 
maintaining a common external Customs control and removing Customs control between the parties thereto insofar as they relate  to trade among 
the States members of that union or agreement.  
4. A State p arty to the present Convention, which is also a party to any other treaty, convention or international agreement which 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 ma rine species included in 
Appendix II, shall be relieved of the obligations imposed on it under the provisions of the present Convention with respect t o trade in specimens of 
species included in Appendix  II that are taken by ships registered in that State a nd 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 th is Article shall 
only require a certificate from a Management Authority of the State of introduction to the effect that the specimen was taken in accordanc e 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 Nations 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 future claims 
and le gal views of any State concerning the law of the sea and the nature and extent of coastal and flag State jurisdiction".   
  WT/CTE/W/160/Rev.9 • TN/TE/S/5/Rev.7  
 
- 12 - → Allows for Parties to take stricter domestic measures. Appendix II does not require an import permit, but major importing coun tries ha ve instituted 
a system of import permits for trade in certain species issued on the basis of extra conditions and non -CITES related criteria such as tariffs, health, 
veterinary, phytosanitary and animal welfare provisions. In some instances, they also appl y those conditions to species listed in Appendix III.  
→ Resolution Conf. 4.22 on Proof of Foreign Law: "The [CoP] recommends that a) Parties informing the Secretariat of the existence, adoption 
or amendment of stricter domestic measures provide the Secreta riat with a copy of the laws, regulations, decrees, and other documents establishind 
such measures… " 
1.2.2   Resolutions and decisions of the Conference of the Parties  
Relevant resolutions of the CoP include:  
Resolution Conf. 6.7  
Interpretation of 
Article  XIV, paragraph  1 
of the Convention  "... (a) each Party intending to take stricter domestic measures pursuant to Article XIV, paragraph 1, of the Convention regarding tra de in specimens 
of non -indigenous species included in the Appendices make every  reasonable effort to notify the range States of the species concerned  at as early 
a stage as possible prior to the adoption of such measures, and consult with those range States that express a wish to confer  on the matter; and  
(b) each Party that has take n such stricter domestic measures for non -indigenous species prior to the adoption of this Resolution consult, if 
requested, on the appropriateness of such measures with range States of the species concerned".  
→ There is also Resolution Conf. 8.4 (Rev.CoP.15) on National laws for the implementation of the Convention.  
Resolution Conf. 9.21 
(Rev. CoP 18)  
Interpretation and 
Application of Quotas 
for Species included in 
Appendix I  "... (a) a Party wishing the Conference of the Parties to establish a quota for a species included in Appendix  I, or to amend an existing quota, 
should submit its proposal to the Secretariat, with supporting information including details of the scientific basis for the proposed quota,  at 
least 150 days before a meeting of the Conference of the Parties; and  
(b) whenever the Conference of the Parties has set an export quota for a particular species included in Appendix  I, this action by the Parties 
satisfies the requirements of Article  III regarding the findings by the appropriate Scientific Authorities that the export will not be detrimental to 
the survival of the species and that the purposes of the import will not be detrimental to the survival of the species, provi ded that:  
i) the quo ta is not exceeded; and  
ii) no new scientific or management data have emerged to indicate that the species population in the range State concerned ca n no longer 
sustain the agreed quota."  
Resolution Conf. 10.10 
(Rev. CoP18) Trade in 
elephant specimens  "… The [CoP]… 3. recommends that all Parties and non -Parties in whose jurisdiction there is a legal domestic market for ivory that is contributing to 
poaching or illegal trade, take all necessary legislative, regulatory and enforcement measures t o close their domestic markets for commercial 
trade in raw and worked ivory as a matter of urgency;  
4. Recognizes that narrow exemptions to this closure for some items may be warranted; any exemptions should not contribute to  poaching or 
illegal trade; " 
Resolution Conf. 10.14 
(Rev. CoP16)  
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 (including hunting trophies) , in accordance with 
paragraph 3(a) of Article III, the Scientific Authority of the State of import approve permits if it is satis fied 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 (1 January to 31 December) 
than the number shown under 'Quota ' opposite the name of the State: ..."  
→ There is also Resolution Conf. 10.15 (Rev. CoP16) on the Establishing Quotas for Markhor Hunting Trophies.  
Resolution Conf. 10.21 
(Rev. CoP16)  
Transport of live 
specimens  The [CoP] to CITES:  
Recommends that:  
(a) suitable measures be taken by the Parties to promote the full and effective use by Management Authorities of the IATA Live Animals 
Regulations (for animals), the IATA Perishable Cargo Regulations (for plants) and the CITES guidelines for the non -air transport of live wild 
animals and plant s for the preparation and transport of live specimens and that they be brought to the attention of exporters, importers, 
transport companies, carriers, freight forwarders, inspection authorities and international organizations and conferences com petent to regulate 
conditions of carriage by air, land and sea or inland waterways;  
(b) Parties invite the above organizations and institutions to comment on and amplify the IATA Live Animals Regulations (for animals) and the 
IATA Perishable Cargo Regulations (for plants), so as to promote their effectiveness;   
  WT/CTE/W/160/Rev.9 • TN/TE/S/5/Rev.7  
 
- 13 - (c) the regular communication of the CITES Secretariat and the Standing Committee with IATA 's Live Animals and Perishables Board and with 
the board of directors of the Animals Transportation A ssociation (AATA) be continued and that a relationship with the International Animal Health 
Organisation (OIE) and the International Plants Protection Convention (IPPC) be developed;  
(d) for as long as the CITES Secretariat and the Standing Committee agree , the IATA Live Animals Regulations (for animals), the IATA Perishable 
Cargo Regulations (for plants) and the CITES guidelines for the non -air transport of live wild animals and plants in their most recent edition be 
deemed to meet CITES transport requirem ents;…  
Resolution Conf. 10.13 
(Rev. CoP18) 
Implementation of the 
Convention for tree 
species  The [CoP] to CITES recommends that:…  
c) the following definitions be applied with respect to annotations in the CITES Appendices:  
i) Logs  
All wood in the rough, whether or not stripped of bark or sapwood, or roughly squared, for processing, notably into sawn wood, pulpwood 
or veneer sheets (HS code 44.0322);  
ii) Sawn wood  
Wood simply sawn lengthwise or produced by a profile -chipping process. Sawn wood norma lly exceeds 6 mm in thickness (HS code 44.06, 
HS code 44.072);  
iii) Veneer sheets  
Thin layers or sheets of wood of uniform thickness, usually 6 mm or less, usually peeled or sliced, for use in making plywood , for veneering 
furniture, veneer containers, etc . (HS code 44.082); and  
iv) Plywood  
Consisting of three or more sheets of wood glued and pressed one on the other and generally disposed so that the grains of su ccessive 
layers are at an angle (HS code 44.12.132, HS code 44.12.142, and HS code 44.12.222); and 
d) for the purpose of annotations in the Appendices for parts and derivatives of species traded as timber, definitions to be used should, to the 
extent possible, be based on the tariff classifications of the Harmonized System of the World Customs Organ ization;  
Resolution Conf. 11.11 
(Rev. CoP18) Resulation 
of trade in plants  The [CoP] to CITES…  
2. determines that the term 'artificially propagated ' shall be interpreted to refer to plant specimens:  
a) grown  under controlled conditions; and  
b) grown from seeds, cuttings, divisions, callus tissues or other plant tissues, spores or other propagules that either are e xempt from the 
provisions of the Convention or have been derived from cultivated parental stock;  
Resolution Conf. 11.7  
Conservation of and 
Trade in Musk Deer  "... Urges all Parties, particularly musk deer range and consuming countries and those through which musk deer specimens pass in t ransit, 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 enfor cement efforts 
in key border regions;  
(b) pursuing the deve lopment 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 C ITES to accede to it at the earliest possible date in 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, wh ile encouraging the 
development of safe and effective techniques for collecting musk from live musk deer; and  
(e) developing bilateral and regional agreements for improving musk deer conservation and management, strengthening legislati on and 
strengthening enforcement efforts; …"  
Resolution Conf. 12.3 
(Rev. CoP18)  
Permits and certificates  The [CoP] to CITES:  
Establishes the following sections in the present Resolution:  
I. Regarding standardization of CITES permits and certificates  
II. Regarding export permits and re -export certificates  
III. Regarding import permits  
IV. Regarding the issuance of permits and certificates after the transfer of a species from one Appendix to another  
V.     Regarding pre -Convention certificates   
  WT/CTE/W/160/Rev.9 • TN/TE/S/5/Rev.7  
 
- 14 - VI. Regarding certifica tes of origin  
VII. Regarding travelling -exhibition certificates  
VIII. Regarding phytosanitary certificates  
IX. Regarding permits and certificates for species subject to quotas  
X. Regarding permits and certificates for crocodilian specimens  
XI. Regarding pe rmits and certificates for coral specimens  
XII. Regarding permits and certificates for timber species included in Appendices  II and III with the annotation 'Logs, sawn wood and veneer 
sheets ' 
XIII. Regarding the use of simplified procedures to issue permit s and certificates  
XIV. Regarding retrospective issue of permits and certificates  
XV. Regarding acceptance and clearance of documents and security measures  
XVI. Regarding documents for sample collections covered by ATA carnets  
XVII.  Regarding permits and certificates issued under court orders  
Annex 1  Information that should be included in CITES permits and certificates  
Annex 2  Standard CITES form; instructions and explanations  
Annex 3  Model travelling -exhibition certificate; instruct ions and explanations; continuation sheet  
Annex 4  Types of biological samples and their use  
→ See more on CITES permits and certificates here: https://cites.org/eng/prog/Permit_system  
Resolution Conf. 12.7 
(Rev. CoP17)  
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 Organization; …  
Recommends with regard to regulating trade in sturgeon prod ucts, that:  
(a) each importing, exporting and re -exporting Party should establish, where consistent with national law, a registration system for caviar 
processing plants, including aquaculture operations, and repackaging plants in its territory and provide  to the Secretariat the list of these facilities 
and their official registration codes. The list should be updated when changes occur and communicated to the CITES Secretaria t without delay. 
A copy of the list should be provided to the Secretariat by 30 No vember each year. The Secretariat should distribute this information via a 
Notification to the Parties and include it in its register on the CITES website;  
(b) importing countries be particularly vigilant in controlling all aspects of the trade in specimen s of sturgeon and paddlefish species, including 
the unloading of sturgeon specimens, transit, re -packaging, re -labelling and re -exports;  
(c) Parties monitor the storage, processing and re -packaging of specimens of sturgeon and paddlefish species in Customs  free zones and free 
ports, and for airline and cruise line catering;  
(d) Parties ensure that all their relevant agencies cooperate in establishing the necessary administrative, management, scien tific and control 
mechanisms needed to implement the provisio ns of the Convention with respect to sturgeon and paddlefish species;  
(e) Parties consider the harmonization of their national legislation related to personal exemptions for caviar, to allow for the personal effects 
exemption under Article  VII, paragraph  3, of the Convention and consider limiting this exemption to no more than 250 grams of caviar per 
person;  
(f) all caviar from shared stocks subject to export quotas be exported before the end of the quota year (1 March – last day in February) in which 
it was harvested and processed. For this purpose, the export permits for such caviar should be valid until the last day of the quo ta year at the 
latest. Parties should not import caviar harvested or processed in the preceding quota year.  
(g) no re -export of cav iar take place more than 18 months after the date of issuance of the relevant original export permit. For that purpose, 
re-export certificates should not be valid beyond the 18 -month period;  
(h) Parties supply UNEP -WCMC copies of all export permits and re -export certificates issued to authorize trade in caviar, no longer than one 
month after they have been issued, for inclusion in the UNEP -WCMC caviar trade database;  
(i) Parties consult the UNEP -WCMC caviar trade database prior to the issuance of re -export certificates;  
(j) where available, Parties use the full eight -digit Customs code for caviar, instead of the less precise six -digit code which also includes roe 
from other fish species;   
  WT/CTE/W/160/Rev.9 • TN/TE/S/5/Rev.7  
 
- 15 - (k) Parties implement the universal labelling system for caviar outlin ed in Annexes 1 and 2 and importing Parties not accept shipments of caviar 
unless they comply with these provisions and  
(l) caviar from different Acipenseriformes species not be mixed into a primary container, except in the case of pressed cavia r". 
Resolution Conf. 12.8 
(Rev. CoP18)  
Review of Significant 
Trade in Specimens of 
Appendix -II species  "... 1. Directs the Animals and Plants Committees, in cooperation with the Secretariat and experts, and in consultation with range States, to review 
the biol ogical, trade and other relevant information on Appendix -II species subject to significant levels of trade, to identify problems and solutions 
concerning the implementation of Article  IV, paragraphs 2  (a), 3 and 6  (a) in accordance with the following proce dure and as outlined in Annex 1 to 
[the] Resolution:  
[…]  (e) i) 'action is needed ' shall include species/country combinations for which the available information suggests that the provisions of Article  IV, 
paragraph 2 (a), 3 or 6 (a), are not being imple mented;  
[…] 
(g)(ii)[…] species/country combinations determined by the Animals or Plants Committee to be those for which 'action is needed ' shall be retained 
in the review process. ) The Animals Committee or Plants Committee shall, in consultation with the Secretariat, formulate  time-bound, feasible, 
measurable, proportionate, and transparent recommendations directed to the range States  retained in the review process, using the principles 
outlined in Annex 3 of this Resolution. The recommendations should aim  to build the range State 's long term capacity to implement Article IV, 
paragraphs 2 (a), 3 and 6 (a) of the Convention;  
Resolution Conf. 13.2 
(Rev. CoP 14)  
Sustainable Use of 
Biodiversity:  Addis 
Ababa Principles and 
Guidelines  "... Urges the Parties to:  
(a) make use of the Principles and Guidelines for the Sustainable Use of Biodiversity, also taking into account scientific, t rade and enforcement 
considerations determined by national circumstances, as well as the recommendations of the Animals  and Plants Committees, when adopting 
non-detriment -making processes and making CITES non -detriment findings;  
... Annex: Sustainable use of biodiversity: Addis Ababa Principles and Guidelines:  
Practical Principle 3: International, national policies, laws  and regulations that distort markets which contribute to habitat degradation or otherwise 
generate perverse incentives that undermine conservation and sustainable use of biodiversity, should be identified and remove d or mitigated. ..."  
Resolution Conf. 1 3.4 
(Rev.CoP18)  
Conservation of and 
trade in great apes  "... 1. Urges all Parties to:  
(a) adopt and implement comprehensive legislation to protect great apes, which includes:  
i) a prohibition of all international trade for primarily commercial purposes, including sale, display, purchase, offer to pu rchase and 
acquisition for commercial pur poses of wild -caught specimens of great apes; and  
ii) deterrent penalties aimed at eliminating illegal trade in great apes and parts and derivatives thereof;  
[…] 
2. Directs the Secretariat to:  
(a) work closely with Parties, and as a member of the GRASP p artnership, assist Parties in developing and implementing measures, including 
legislative and enforcement measures and regional and sub -regional initiatives, to halt or reduce and ultimately eliminate illegal trade in great 
apes;  
(b) work closely with ICC WC partners to support the implementation of this Resolution inter alia through the provision of technical assistance 
to range States  
(c) assist range States in the implementation of national and regional conservation plans, where these include measures ai med at eliminating 
illegal trade;  
(d) draw the attention of the Animals Committee to any scientific or technical issues related to international trade in great  apes; and  
(e) report to the Standing Committee on the implementation of this Resolution at each  of its regular meetings.  
[…] 
4. Urges the Secretariat, the Standing Committee and the Animals Committee to work closely with GRASP, and to explore and imp lement other 
measures through which the Convention can contribute to the conservation of great apes a nd to the promotion of public awareness of the threat 
posed to great ape populations by illegal trade;  
5. Urges all actors in the energy, extractives and agricultural sectors to comply with relevant national and international la ws and encourages 
them to a pply appropriate best practice guidelines in minimising impacts on great ape populations and habitats;"   
  WT/CTE/W/160/Rev.9 • TN/TE/S/5/Rev.7  
 
- 16 - Resolution Conf. 13.5 
(Rev. CoP18)  
 Establishment of 
export quotas for black 
rhinoceros hunting 
trophies  "... 3. [The [CoP] to the Convention]:  
Approves the establishment of an annual export quota of five hunting trophies of adult male black rhinoceros from Namibia and  a total number of 
hunting trophies of adult male black rhinoceros not exceeding 0.5% of the current total black rhinoceros populations in South Af rica in the year of 
the export (equally applied to all three subspecies, i.e. 0.5% of the total population of each of the three sub species); South Africa will set a minimum 
science -based threshold for black rhinoceros populations, below which the above quota shall not apply;  
Recommends that:  
(a) in reviewing applications for permits to import black rhinoceros hunting trophies, in acc ordance with Article III, paragraph 3 (a), of the 
Convention, and Resolution Conf. 9.21 (Rev. CoP18), paragraph b), the Scientific Authority of the State of import approve per mits if it is satisfied 
that the trophies being considered are from a range State  to which an export quota has been granted as part of a national black rhinoceros 
conservation and management plan or programme and will be traded in accordance with the provisions of the present Resolution;   
(b) in reviewing applications for  permits to im port black rhinoceros hunting trophies, in accordance with Article III, paragraph 3 (c), of the 
Convention, the Management Authority of the State of import be satisfied that such trophies are not to be used for primarily commercial purposes 
if:  
i) the trophies were acquired by the owners in the country of export and are being imported as personal items that will not be sold in the 
country of import; and  
ii) each owner imports  no more than one trophy in any calendar year (1 January to 31 December ); and  
(c) amendments to export quotas  or the establishment of additional export quotas for this species be done in accordance with Resolution Conf. 
9.21 (Rev. CoP18)".  
Resolution Conf. 13.10 
(Rev. CoP14)  
Trade in Alien Invasive 
Species  "... The [CoP] to the Convention recommends that the parties:  
(a) consider the problems of invasive species when developing national legislation and regulations that deal with the trade in live animals or  
plants;  
(b) consult with the Management Authority of a proposed country of import, when possible and when applicable, when considering exports of 
potentially invasive species, to determine whether there are domestic measures regulating such imports ..."; and  
(c) consider the opportunities for synergy between C ITES and the Convention on Biological Diversity (CBD) and explore appropriate cooperation 
and collaboration between the two Conventions on the issue of introductions of alien species that are potentially invasive."  
Resolution Conf. 13.11 
(Rev. CoP18)  
Wild meat  The [CoP]…  
6. Encourages Parties to, as appropriate:  
a) raise the awareness of customs officials on the international trade in wild meat products derived from CITES -listed species;  
b) support the development and dissemination of identification tool s for identifying CITES -listed species traded as wild meat;  
c) adapt the CITES and Livelihood handbook and carry out appropriate education campaigns directed at both urban and rural com munities to 
raise awareness of and provide guidance on means to ensure that trade in wild meat is legal, sustainable and traceable under CITES;  
d) increase collaboration and information sharing among Parties to better understand and monitor the international trade in w ild meat;  
e) increase scientific knowledge and unde rstanding of the impacts of commercial and subsistence use of CITES -listed species as wild meat on 
the survival and regeneration of these species, in the context of growing human populations and pressures on wildlife resourc es and 
ecosystems; and  
f) provid e adequate financial, technical and capacity support to ensure that the harvest of and international trade in CITES -listed species for 
wild meat is legal and sustainable;  
Resolution Conf. 14.4  
Cooperation between 
CITES and ITTO 
regarding trade in 
tropical  timber  The [CoP] to CITES:  
Welcomes the work of ITTO in promoting transparent markets, trade in tropical timber from sustainably managed tropical forest s and, in that context, 
promoting forest law enforcement;  
Encourages Parties to support and facilitate the work of ITTO and CITES to build increased capacity and improve implementation of CITES timber 
listings;  
Urges Parties to support and contribute to work, guided by the CITES Plants Committee, to develop appropriate listing proposa ls based on the best 
available science to ensure the conservation of timber species and help ensure that trade does not threaten their survival;  
Directs the CITES Secretariat to cooperate closely with the Secretariat of ITTO on matters related to tropical timber species  threaten ed by international 
trade and sustainable management of tropical timber producing forests; and   
  WT/CTE/W/160/Rev.9 • TN/TE/S/5/Rev.7  
 
- 17 - Encourages all Parties, CITES, ITTO and other relevant intergovernmental organizations to promote improved forest law enforce ment.  
Resolution Conf. 14.6 
(Rev. CoP16) 
Introduction from the 
sea The [CoP] to CITES:  
Agrees that 'the marine environment not under the jurisdiction of any State ' means those marine areas beyond the areas subject to the sovereignty 
or sovereign rights of a State consistent with inte rnational law, as reflected in the United Nations Convention on the Law of the Sea;  
further agrees that,  
(a) whenever any specimen of a species included in Appendix I or II is taken in the marine environment not under the jurisdic tion of any State 
by a v essel registered in one State and is transported into that same State, the provisions of Article III, paragraph 5, or Article  IV, paragraphs  6 
and 7, respectively, should be applied; with that State being the State of introduction;  
(b) whenever any specim en of a species included in Appendix I or II is taken in the marine environment not under the jurisdiction of any State 
by a vessel registered in one State and is transported into a different State, the provisions of Article III, paragraphs 2 an d 3, or Art icle IV, 
paragraphs 2, 3 and 4, respectively, should be applied, with the State in which the vessel that took the specimen is register ed being the State 
of export and the State into which the specimen is transported being the State of import; and …  
Resolution Conf. 14.7 
(Rev. CoP15)  
Management of 
nationally established 
export quotas  
 The [CoP] to CITES:  
Recommends that Parties follow the Guidelines for management of nationally established export quotas  that are annexed to this Resolution.  
Some of these Guidelines  read as follows:  
"2. In the context of CITES, an annual export quota is a limit on the number or quantity of specimens of a particular species tha t may be exported 
from the country concerned wi thin a 12 -month period. An annual export quota is not a target and there is no need for a quota to be fully used. It is 
recognized that there are some cases in which it is likely that the export of specimens removed from the wild will occur afte r the year in which the 
removal took place, as happens with hunting trophies.  
3. An export quota system is a management tool, used to ensure that exports of specimens of a certain species are maintained at a level that 
has no detrimental effect on the population of t he species. The setting of an export quota advised by a Scientific Authority effectively meets the 
requirement of CITES to make a non -detriment finding for species included in Appendix I or II and, for species in Appendix II, to ensure that the 
species is maintained throughout its range at a level consistent with its role in the ecosystems in which it occurs.  
4. A well -implemented export quota system can be an advantage for any Party to CITES that authorizes exports. It eliminates the need fo r a 
non-detrime nt finding for each individual shipment of CITES specimens, provides a basis for monitoring the trade and may facilitate the issuance of 
export permits. In the case of species whose populations span international borders, the establishment of export quotas  can be coordinated at a 
regional level, which is of particular relevance in the case of migratory species.  
5. It must be recognized, however, that there are also other management tools that may be better suited to the biological, admin istrative or 
other m anagement context. In some cases, the use of quotas could have an undesirable effect, particularly if they are not adjusted a s necessary to 
take into account changing biological, legal or administrative needs. For example, where a quota has been set for a particular year but the species 
are impacted by climatic factors, such as a drought, there could still be pressure to fill the quota.  
6. The fundamental principle to follow is that decision -making regarding the level of sustainable exports must be scientif ically based, and harvests 
managed in the most appropriate manner. This requires that implementation, including administrative, legislative and enforcem ent measures, take 
account of the regulatory and biological context. " 
Resolution Conf. 15.2 
(Rev. CoP15 ) 
Wildlife Trade Policy 
Reviews  
 The [CoP] to the Convention:  
"... (a) Invites exporting and importing countries to carry out, on a voluntary basis, reviews of wildlife policy on the use of an d trade in specimens 
of CITES -listed species, taking into account environmental, social and economic issues and relevant policy instruments, in order to facilitate a 
better understanding of the effects of wildlife trade policies on the international wildlife trade; …  
(d) Requests Parties that undertake wildlife t rade policy reviews on a voluntary basis to share relevant details of their reviews and lessons 
learned with other Parties;  
(e) Instructs the Secretariat to facilitate the review of wildlife trade policies, through raising the necessary funds and pr oviding  necessary 
technical cooperation, compile information provided voluntarily by the Parties regarding their wildlife trade policy reviews and make this 
information available to other Parties ..."    
  WT/CTE/W/160/Rev.9 • TN/TE/S/5/Rev.7  
 
- 18 - Resolution Conf. 16.6 
(Rev. CoP18) CITES and 
livelihoods  The [CoP] to the Convention:  
"1. Recommends the following to be considered when Parties address livelihood issues:  
Regarding empowerment of rural communities  
2. Encourages Parties to work with key stakeholder groups to design, implement and mon itor effective strategies with regard to the implementation 
of CITES listings, recognizing that:  
a) solutions are likely to be case - and situation -specific;  
b) although amendments to the CITES Appendices must, unless indicated otherwise in an annotation, come into effect 90 days after their 
adoption by the Conference of the Parties, developing appropriate solutions to mitigate negative impacts on the livelihoods o f rural  
communities may require more time to implement relevant policy changes;  
c) developing guidelines is an ongoing process as more knowledge is gained about specific impacts, and successful as well as uns uccessful 
experiences, which means that the monitoring and evaluation of strategies will be priority aspects in the development of  appropriate 
implementation strategies and policies; and  
d) community and traditional knowledge should be considered, as appropriate and in accordance with the provisions of the Conv ention and 
national laws, regulations and policies;  
[…] 
Regarding enablin g policies  
4. Invites Parties to initiate or strengthen collaborative partnerships among local, regional, national and international dev elopment and conservation 
agencies to enhance:  
(a) financial support for wildlife conservation and rural communities; an d 
(b) the complementarity of their work and CITES implementation.  
5. Invites Parties to explore the use of registered marks of certification and origin consistent with CITES provisions; and  
6. Invites international financial institutions and cooperation ag encies to assist Parties in the development of supportive policies and institutions at 
the regional, national and local levels to address impacts of the implementation of listings on rural communities;  
[…] 
Regarding the potential shift from in situ  to ex situ production  
8. Recognizes that:  
(a) ex situ  production may lead to loss of revenues for rural communities;  
(b) positive incentives to promote in situ production systems may encourage benefits for these communities; and  
(c) cooperation between exporting and importing countries may include:  
i) working with in situ and ex situ producers and trade associations; and  
ii) conservation and development projects.  
Resolution Conf. 16.7 
(Rev. CoP17) Non -
detriment findings  The [CoP] to the Convention:  
1. Recommends that:  
(a) Scientific Authorities take into account the following concepts and non -binding guiding principles in considering whether trade would be 
detrimental to the survival of a species:  
i) a non -detriment find ing for an Appendix -I or -II species is the result of a science -based assessment that verifies whether a 
proposed export is detrimental to the survival of that species or not;5 
ii) Scientific Authorities should consider whether the species would be mainta ined throughout its range at a level consistent with its role 
in the ecosystems in which it occurs;  
iii) in making a non -detriment finding, Scientific Authorities should consider the volume of legal and illegal trade (known, inferred, 
projected, estimated)  relative to the vulnerability of the species (intrinsic and extrinsic factors that increase the risk of extinction of the 
species);  
iv) the data requirements for a determination that trade is not detrimental to the survival of the species should be propor tionate to the 
vulnerability of the species concerned;  
 
5 In considering whether an export may  be detrimental, the sustainability of the overall harvest will usually be a necessary consideration.   
  WT/CTE/W/160/Rev.9 • TN/TE/S/5/Rev.7  
 
- 19 - v) the making of an effective non -detriment finding relies upon a correct identification of the species concerned and verification that it is 
specimens of this species that are to be exported;  
vi) the methodology used to make a non -detriment finding should reflect the origin and type of specimen, such that the method used to 
make a non -detriment finding for a specimen known to be of non -wild origin may be less rigorous than that for a specimen of wi ld origin 
for example;  
vii) the methodology used should be flexible enough to allow for consideration of the specific and individual characteristics of d ifferent taxa;  
viii) the implementation of adaptive management, including monitoring, is an important c onsideration in the making of a non -detriment 
finding;  
ix) the non -detriment finding is based on resource assessment methodologies which may include, but are not limited to, consideration of:  
 A. species biology and life -history characteristics;  
 B. specie s range (historical and current);  
 C. population structure, status and trends (in the harvested area, nationally and internationally);  
 D. threats;  
 E. historical and current species -specific levels and patterns of harvest and mortality (e.g. age, sex) fro m all sources combined;  
 F. management measures currently in place and proposed, including adaptive management strategies and consideration of levels   
  of compliance;  
 G. population monitoring; and  
 H. conservation status; and  
x) the sources of information that may be considered when making a non -detriment finding include but are not limited to:  
 A. relevant scientific literature concerning species biology, life history, distribution and population trends;  
 B. details of any ecological risk asses sments conducted;  
 C. scientific surveys conducted at harvest locations and at sites protected from harvest and other impacts; and  
 D. relevant knowledge and expertise of local and indigenous communities.  
 E. consultations with relevant local, regional and  international experts; and  
 F. national and international trade information such as that available via the CITES trade database maintained by UNEP World 
Conservation Monitoring Centre (UNEP -WCMC), publications on trade, local knowledge on trade and invest igations of sales at markets or 
through the Internet for example; and  
(b) Scientific Authorities consider, as a reference for making non -detriment findings, the information included in the Annex to document 
AC26/PC20 Doc. 8.4 and any subsequent updates ava ilable on the CITES website .6 
Resolution Conf. 16.8 
(Rev. CoP17) Frequent 
cross -border non -
commercial movements 
of musical instruments  "The [CoP] to the Convention:  
1. Recommends that for non-commercial cross -border movement of musical instruments derived from CITES species, other than Appendix -I 
specimens acquired after the species was included in the Appendices:  
(a) Parties issue a musical instrument certificate for a pre -Convention Appen dix-I, -II or -III personally -owned musical instrument or for a 
personally -owned musical instrument containing specimens of Appendix -II or -III species acquired after the effective listing date ( "personal 
effects "), to facilitate the frequent non -commercia l cross -border movement of musical instruments for purposes including, but not limited to, 
personal use, performance, display or competition  
[…]" 
 
6 See: http://www.cites.org/eng/prog/ndf/index.php .  
  WT/CTE/W/160/Rev.9 • TN/TE/S/5/Rev.7  
 
- 20 - Resolution Conf. 16.10  
Implementation of the 
Convention for 
agarwood -producing 
taxa "The [CoP] to the Convention:  
[…] 
Regarding management and trade control  
7. Encourages range States to establish a registration system for the artificial propagation of agarwood -producing trees;  
8. Recommends exporting States to establish a registration system of exporters who export pure or mixed oil of agarwood. Samples of the labels 
used and lists of relevant exporters should be communicated to the Secretariat by exporting States, and then be provided to a ll Parties through a 
Notification  […]" 
Resolution Conf. 17.4  
Deman d reduction 
strategies to combat 
illegal trade in CITES -
listed species  "The [CoP] to the Convention:  
1. Urges Parties where there is a significant market for illegally traded wildlife products to:  
a) develop strategies to reduce the demand for illegal pr oducts of wild animals and plants through demand campaigns and to enhance, as 
appropriate, policy, legislation and law enforcement in this regard;  
b) conduct in -depth and regular research on the demand for specimens of illegally traded CITES -listed species , where possible, using standard 
methodologies to understand the drivers and dynamics of the demand and to provide solid information for use in demand -reduction campaigns;  
c) actively develop and implement well -targeted, species -specific, evidence -based ca mpaigns by engaging key consumer groups and targeting 
the motivations for the demand, including the speculative nature of the demand, and develop specific messaging approaches and  methods for 
target audiences;  
d) create greater awareness of the broader co nsequences and impacts of illegal harvest and illegal trade of wildlife and plants, particularly on 
wild populations and the ecosystems in which they exist, as well as raise awareness of broader impacts of wildlife traffickin g on livelihoods and 
sustainabl e development; and  
e) strengthen legal and enforcement deterrents by creating greater awareness of laws prohibiting trade in illegal wildlife pr oducts and any 
associated penalties;   
[…]"  
Resolution Conf. 17.6  
Prohibiting, preventing, 
detecting and 
countering corruption, 
which facilitates 
activities conducted in 
violation of the 
Convention  The [CoP] to the Convention:  
1. Stresses that failure to prohibit, prevent, and counter corruption which relates to the implementation or enforcement of C ITES gre atly undermines 
the effectiveness of the Convention;  
2. Urges therefore all Parties to adopt measures to prohibit, prevent, detect and counter instances of corruption and ensure that any corrupt practices 
associated with the administration, regulation, imp lementation or enforcement of CITES are punishable with appropriate penalties under national 
legislation;  
3. Reiterates its call to all Parties that have not yet ratified UNCAC and UNTOC to do and Urges all Parties that are Parties  to UNCAC and UNTOC to 
effectively implement its provisions;  
4. Encourages Parties, and especially CITES Management Authorities, to work closely with existing national anti -corruption commissions, and like 
bodies, law enforcement agencies, judicial authorities, as well as with r elevant civil society organisations, in the design and implementation of integrity 
policies, which might also include deterrence initiatives, such as mission statements, codes of conduct and  'whistle -blower' schemes, taking into 
account the relevant provis ions of the UNCAC;  
5. Encourages all Parties to continue to build and maintain properly paid, trained and equipped CITES Authorities and authori ties responsible for 
administration, regulation and enforcement of the Convention;  
Resolution 17.7 (Rev. 
CoP18)  
Review of trade in 
animal specimens 
reported as produced in 
captivity  The [CoP] to the Convention:  
… 
2. Directs the Animals and Standing Committees, in cooperation with the Secretariat, relevant experts and in consultation wit h Parties, to review 
biological, trade and other relevant information regarding animal species subject to significant levels of tra de using source codes C, D, F or R, to 
identify problems associated with the implementation of the Convention and to develop solutions in accordance with the follow ing procedure:  
Stage 1 - Identification of species -country combinations for review  
Stage 2 - Consultation with countries and compilation of information  
Stage 3 – Review and recommendation by the Animals and Standing Committee  
Stage 4 – Measures to be taken regarding the implementation of recommendations   
  WT/CTE/W/160/Rev.9 • TN/TE/S/5/Rev.7  
 
- 21 - Resolution 17.8  
Disposal of illegally 
trade d and confiscated 
specimens of CITES -
listed species  The [CoP] to the Convention:  
Regarding specimens that are exported or re -exported in violation of the Convention  
1. Recommends that:  
a) when specimens are exported or re -exported in violation of the Convention, importing Parties:  
i) consider that the seizure and confiscation of such specimens are generally preferable to the definitive refusal of the imp ort of the specimen;  
ii) notify a s soon as possible the Management Authority of the State from which the specimens were consigned of the violation and of any 
enforcement actions taken concerning these specimens; and  
iii) are encouraged to take enforcement actions against the party which violated the Convention in addition to seizure and confiscation of the 
specimens; and  
b) when the import of specimens that have been exported or re -exported in violation of the Convention  is refused by the country to which the 
specimens are consigned, the exporting or re -exporting Party take the measures necessary to ensure that such specimens are not re -entered into 
illegal trade, including monitoring their return to the country and providing for their confiscation;  
Resolution Conf. 17.9  
Trade in huntin g 
trophies of species 
listed in Appendix I  
or II  The [CoP] to the Convention:  
… 
2. Urges exporting countries to only authorize the export of hunting trophies of species listed in Appendix I or II when the following conditions are 
met:  
a) a Management Authority of the State of export is satisfied that the specimen was not obtained in contravention of the laws of that country for the 
protection of fauna;  
b) in reviewing trade in hunting trophies, a Management Authority of the State of export is satisfied that said specimen conf orms to the definition of 
hunting trophy as contained in Re solution Conf. 12.3 (Rev. CoP17) on Permits and Certificates, and corresponds therefore to a whole animal, or 
readily recognizable part or derivative of an animal, specified on the accompanying CITES permit or certificate, that:  
i) is raw, processed or ma nufactured;  
ii) was legally obtained by the hunter through hunting for the hunter's personal use; and  
iii) is being imported, exported or re -exported by or on behalf of the hunter, as part of the transfer from its country of origin, ultimately to the 
hunter's State of usual residence; and  
c) a Scientific Authority of the State of export takes into account the concepts and non -binding guiding principles contained in Resolution Conf. 16.7 
(Rev. CoP17) on Non -detriment findings in determining whether the ex port of the hunting trophy would be detrimental to the survival of the species; 
which may include:  
i) information relating to distributions, status and trends of populations based on national conservation plans, where applic able and which informs 
harvests ; and 
ii) a review of the sustainability of harvest levels taking account all mortality sources affecting the wild populations of t he species, including 
mortality due to illegal killing;  
Resolution Conf. 17.10  
Conservation of and 
trade in pangolins  The [CoP] to the Convention:  
1. Urges all Parties to:  
a) adopt and implement comprehensive national legislation or, where applicable, review existing legislation, that makes provi sion for deterrent 
penalties to address illegal trade in specimens of native  and non -native pangolin species;  
b) ensure strict enforcement controls to address illegal trade in pangolin specimens;  
c) further strengthen national inter -agency cooperation and international cooperation and to enhance collective efforts as range, trans it and 
destination States to coordinate activities, exchange information on trade routes and patterns and law enforcement responses to combat illegal 
trade in pangolin specimens;  
d) carry out capacity -building activities with a particular focus on:  
i) met hods and techniques to detect and identify illegally traded pangolins, including specimens from alleged captive -breeding 
operations;  
ii) best practice protocols for safe handling, care and rehabilitation, and release back into the wild of live confiscated  pangolins; and  
iii) promoting the understanding of legal provisions concerning trade in and use of pangolins; and  
e) promote the development of techniques, including the application of forensic science, for identifying parts and derivative s of pangolins in trade;   
  WT/CTE/W/160/Rev.9 • TN/TE/S/5/Rev.7  
 
- 22 - Resolution Conf. 17.11  
Conservation of and 
trade in helmeted 
hornbill  The [CoP] to the Convention:  
1. Urges all Parties, especially consumer and range States, to:  
a) adopt as a matter of urgency comprehensive legislation, enforcement controls and effective penalties, with the aim of proh ibiting any hunting for 
helmeted hornbill, eliminating poaching of helmeted hornbill and illegal trade in its parts and derivatives ;  
b) prohibit the display, domestic sale and acquisition of helmeted hornbill specimens, including online sales, including part  and derivatives, except  
for bona fide purposes, including conservation, scientific research, cultural activities, education an d forensic investigation;  
Resolution Conf. 17.12  
Conservation, 
sustainable use of and 
trade in snakes  The [CoP] to the Convention;  
Regarding monitoring and trade controls …  
8.Encourages Parties to use guidance developed for monitoring wild populations an d controlling captive -breeding operations and other production 
systems; and to share their experiences and lessons learned in the use of such guidance;  
9. Encourages range States to apply methodologies for differentiating wild and captive -bred specimens o f CITES -listed snake species in trade;  
10. Urges Parties with trade in live snakes and/or their parts and derivative to enhance and increase regulation and enforcem ent with regard to 
existing legislation as a matter of urgency;  
11. Recommends that Parties engaged in the snake trade verify the origin of specimens traded and ensure the appropriate use o f source codes;  
Resolution Conf. 18.3  
CITES  
Strategic Vision: 2021 -
2030  
 The [CoP] to CITES:  
"Adopts the CITES Strategic Vision: 2021 -2030, annexed to this Resolution "  
Repeals Resolution Conf. 16.3 (Rev. CoP17) on CITES Strategic Vision: 2008 -2020  
Contains the CITES vision statement: " By 2030, all international trade in wild fauna and flora is legal and sustainab le, consistent with the long -term 
conservation of species, and  , thereby contributing to halting biodiversity loss, to ensuring its sustainable use and to achieving the 2030 Agenda for 
Sustainable Development".  
 
Establishes five strategic goals with relate d objectives:  
GOAL 1 - Trade in CITES -listed species is conducted in full compliance with the Convention in order to achieve their conservation and sustainable 
use; 
GOAL 2 - Parties ' decisions are supported by the best available science and information  
GOAL 3 - Parties (individually and collectively) have the tools, resources and capacity to effectively implement and enforce the Conven tion, contributing 
to the conservation, sustainabl e use and the reduction of illegal trade in CITES -listed wildlife species;  GOAL 4 - CITES policy development also 
contributes to and learns from international efforts to achieve sustainable development; and  
GOAL 5 - Delivery of the CITES Strategic Vision is improved through collaboration.  
 
Each Goal has a set of accompanying objectives, which can be found here: https://cites.org/sites/default/files/document/E -Res-18-03_0.pdf   
Resolution Conf. 18.7 
Legal Acquisition 
Findings  "The [CoP] to the Convention;  
[…] 
3. RECOMMENDS that the foll owing general principles be used by Parties for verifying the legal acquisition of specimens to be exported:  
a) procedures to conduct the verification of legal acquisition should be sufficiently flexible to allow for a risk assessment  approach;  
b) to the extent possible, procedures used by a Management Authority for verifying the legal acquisition of specimens to be exporte d should 
be publicly available to facilitate the collection of required information and provide clarity to applicants requesting ex port permits;  
c) the applicant is responsible for providing sufficient information for the Management Authority to determine that the speci men was legally 
acquired, such as statements or affidavits made under oath and carrying a penalty of perjury, relevan t licenses or permits,  
invoices and receipts, forestry concession numbers, hunting permits or tags, or other documentary evidence;  
d) the information that the Management Authority requires of an applicant for verifying the legality of acquisition should be  proportionate with 
the likelihood that a specimen of a CITES -listed species was not legally acquired; and  
e) Management Authorities are encouraged to maintain records of permits issued, including the information provided by the app licant regarding 
the leg ality of acquisition;  
[…]"  
  WT/CTE/W/160/Rev.9 • TN/TE/S/5/Rev.7  
 
- 23 - Resolution Conf. 18.8 
Conservation of vicugna 
(Vicugna vicugna) and 
trade in its fibre and 
products  "The [CoP] to the Convention;  
1. URGES: Range States  
a) to update their legislation and administrative procedures with regard to the implementation of annotation 1 to ensure that effective trade and 
management measures are in place;  
b) to be vigilant in their controls, including the prevention of poaching and illegal offtake, early detection of potential o ffenders, and the  application 
of appropriate penalties as effective deterrents;  
c) to strengthen and foster research, capacity -building, and data recording and analysis in order to improve trade control and management of the 
species;  
d) to guarantee the sustainable managem ent of populations listed in Appendix II, and to ensure that trade in vicuña fibre and manufactured products 
benefits the high Andean communities;  
Re-exporting/importing States and other Parties  
e) re-exporting/importing States, as a matter of priority, to implement strategies aimed at eliminating the use of illegal vicuña fibre by promoting 
incentives that encourage the collaboration amongst all groups of users and industries;  
f) all Parties trading in vicuña fibre to identify and record existi ng volumes of vicuna fibre in order to ensure appropriate traceability and control of 
the fibre, and prevent illegal specimens to enter legal markets;  
g) all Parties to enforce the use of mandatory labelling required by annotation 1 for trade in products d erived from vicuña fibre sheared from live 
animals;  
h) all Parties to take measures as appropriate to help range States reduce poaching and their illegal trade in vicuña fibre, and to cooperate, where 
appropriate, with relevant enforcement authorities; and  
i) vicuña range States and importing countries to increase cooperation on enforcement matters through existing mechanisms for  the enforcement of 
international, regional, and national laws;  
Decisions of the Conference of the Parties with respect to trade -related measures  
CoP Decisions constitute the work programme of the Convention. This list contains relevant  Decisions adopted at the 18th meeting of the Conference of the 
Parties to CITES (CoP18, Geneva, 2019) as well as the Decisions adopted at previous m eetings that remain in effect after the 18th meeting. The Decisions in this 
section are grouped by subject.  The full text of the Decisions is available here. 
GENERAL COMPLIANCE AND ENFORCEMENT  
18.94 – 18.99  Malagasy palisanders and rosewoods (Dalbergia spp.) and ebonies (Diospyros spp.)  
17.226 & 18.100 – 18.109  Illegal trade in Asian big cats (Felidae spp.)  
18.110 – 18.116  Rhinoceroses (Rhinocerotidae spp.)  
17.87 (Rev. CoP18) – 17.88 (Rev. CoP18)  Domestic markets for frequently illegally traded specimens  
18.117 – 18.119  Closure of domestic ivory markets  
18.120 – 18.121  Trade in mammoth ivory  
REGULATION OF TRADE   
18.122 – 18.125  Guidance for making legal acquisition findings  
18.126 – 18.128  Electronic systems and information technologies  
18.129 – 18.131  Authentication and control of permits  
18.132 – 18.134  Non-detriment findings  
18.135 – 18.139  Identification materials  
18.140 – 18.143 & 16.58 (Rev. CoP18)  Identification of timber and other wood products   
  WT/CTE/W/160/Rev.9 • TN/TE/S/5/Rev.7  
 
- 24 - 16.136 (Rev. CoP18) – 16.138 (Rev. CoP18)  Identification and traceability of sturgeons and paddlefish (Acipenseriformes spp.)  
18.144 – 18.145  Traceability  
18.146  Labelling system for trade in caviar  
18.147 – 18.150  Specimens produced through biotechnology  
18.151  Implications of the transfer of a species from one Appendix to another  
18.152 – 18.156  Definition of 'appropriate and acceptable destinations ' 
17.181 & 18.157 – 18.158  Introduction from the sea  
18.159 – 18.164  Disposal of confiscated specimens  
18.165 – 18.170  Quotas for leopard (Panthera pardus) hunting trophies  
EXEMPTIONS AND SPECIAL TRADE PROVISIONS  
18.171  Simplified procedures for permits and certificates  
14.69 & 17.102  Captive -bred and ranched specimens  
18.172 – 18.173  Review of CITES provisions related to trade in specimens of animals and plants not of wil d source  
18.174 – 18.175  Captive -breeding of Sri Lankan agamids  
18.176 – 18.177  Review of the provisions of Resolution Conf. 17.7 (Rev. CoP18)  
18.178  Guidance on the term 'artificially propagated ' 
18.179 – 18.181  Specimens grown from wild -collected seeds or spores that are deemed to be artificially propagated  
17.170  (Rev. CoP18) Stocks and stockpiles  
18.182 – 18.185  Stocks and stockpiles (elephant ivory)  
SPECIES SPECIFIC MATTERS  
18.186 – 18.192  West African vultures (Accipitridae spp.)  
18.193  Cheetah trade resource kit (Acinonyx jubatus)  
18.194 – 18.196  Conservation of amphibians (Amphibia spp.)  
18.197 – 18.202  Eels (Anguilla spp.)  
17.192  (Rev. CoP18) – 17.193 (Rev. CoP18)  Precious corals (Order Antipatharia and family Coralliidae)  
18.203 – 18.204  Agarwood -producing taxa (Aquilaria spp. and Gyrinops spp.)  
18.205 – 18.208  Boswellia trees (Boswellia spp.)  
18.209  Humphead wrasse (Cheilinus undulatus)  
18.210 – 18.217  Marine turtles (Cheloniidae spp. and Dermochelyidae spp.)  
18.218 – 18.225  Sharks and rays (Elasmobranchii spp.)  
18.226 – 18.227   Trade in Asian elephants (Elephas maximus)  
18.228 – 18.233  Seahorses (Hippocampus spp.)  
18.234 – 18.237  Rosewood tree species [Leguminosae (Fabaceae)]  
18.240 – 18.243  Pangolins (Manis spp.)  
18.244 – 18.250  African lions (Panthera leo) and the CITES Big Cats Task Force  
18.251 – 18.253  Jaguars (Panthera onca)  
18.254 – 18.255  Leopards (Panthera pardus) in Africa  
18.256 – 18.259  Songbird trade and conservation management (Passeriformes)   
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- 25 - 18.260 – 18.262  African cherry (Prunus africana)  
17.256 (Rev. CoP18) & 17.258 (Rev. CoP18)  African grey parrots (Psittacus erithacus)  
18.263 – 18.265  Banggai cardinalfish (Pterapogon kauderni)  
18.266 – 18.269  Helmeted hornbill (Rhinoplax vigil)  
18.270 – 18.274  Saiga antelope (Saiga spp.)  
18.275 – 18.280  Queen conch (Strombus gigas)  
18.281 – 18.285  Titicaca water frog (Telmatobius culeus)  
18.286 – 18.291  Tortoises and freshwater turtles (Testudines spp.)  
18.292 – 18.295  Totoaba (Totoaba macdonaldi)  
17.302  African tree species  
14.81  Great whales  
18.296 – 18.298   Marine ornamental fishes  
18.299  Neotropical tree species  
18.300 – 18.303  Trade in medicinal and aromatic plant species  
AMENDMENT  AND MAINTENANCES OF THE APPENDICES  
18.304 – 18.306  Nomenclature (Cactaceae Checklist  and its  Supplement)  
18.307 – 18.308  Production of a CITES Checklist for  Dalbergia  spp. 
16.162 (Rev. CoP18 ) & 18.316 – 18.320  Annotations  
18.321 – 18.322  Annotation #15  
18.323 – 18.326  Annotation of Cape aloe (Aloe ferox)  
18.327 – 18.330  Products containing specimens of Appendix -II orchids  
1.2.3   Quota systems within CITES  
Export q uotas in the context of CITES are simply the maximum number of specimens that may be exported from the country concerned within a 12 -month period 
[cf. Resolution Conf. 14.7 (Rev. CoP15)]. Export quotas are derived from four sources (see Notificatio n to the Parties No. 2019/076 of 19 December 2019 : (a) 
voluntary national export quotas, (b) export quotas recommended by the CoP, Standing Committee , the Animals Committee  or the Plants Committee , (c) export 
quotas for raw elephant ivory in compliance with Resolution Conf. 10.10 (Rev. CoP18 ) and d) export quotas for Acipenseriformes (sturgeons and paddlefish) 
established in accordance with Resolution Conf. 12.7 (Rev. CoP17 ). Quotas, and to a lesser extent other forms of instruments on management of harvests and 
exports, have been used in CITES to regulate the quantity of specimens of CITES -listed species entering international trade. These 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 Article 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 detrimental to the 
survival of that species.   
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- 26 - 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 al so to help countries regulate trade and maintain market access in situations where international trade provides positive ince ntives 
for conservation.  
1.2.3.1   Voluntary national export quotas  
Many Parties routinely establish annual export quotas on a voluntary basi s for one or more Appendix -II and/or –III species as a means of regulating exports in 
those species . Such voluntary national export quotas are published on the CITES website . The main purposes of such export quotas appear to be:  
- To establish a limit on yearly exports at levels that are sustainable, or within the annual production capacity of ranching o r captive breeding operations;  
- to announce the intended level of exports to both produ cers at national level and importers for the purpose of facilitating trade;  
- to establish a basis for allocating amounts to be exported per year to individual exporters.  
Resolution Conf.  14.7 (Rev.  CoP15)  on the Guidelines for Management of Nationally Estab lished Export Quotas, specif ies a number of general principles regarding 
the establishment and management of such annual export quotas.  
1.2.3.2   Quotas established by the CoP or the Standing Committee  
At previous meetings, the CoP to CITES has established quotas f or hunting trophies and other specimens of several species, including Appendix -I species, either 
through the adoption of resolutions (e.g. Resolution Conf. 10.14 (Rev. CoP1 6) concerning leopard, Resolution Conf.  10.15 (Rev. CoP1 4) concerning markhor, and 
Resolution Conf. 13.5 (Rev. CoP18) concerning black rhinoceros) or through the amendment of the Appendices to include annotations to the listing of species 
that refer to quotas for those species or some populations of those species (e.g. the annotation for Crocodylus niloticus  that establishes a quota for the crocodile 
population of the United Republic of Tanzania or the annotation that establishes a zero quota for specimens removed from the wild and traded for primarily 
commercial purposes of Centrochelys  sulcata ). Such quotas can only be amended if the CoP adopts by a two -thirds majority a proposal to amend a listing or a 
resolution (unless the CoP had decided that a quota will only apply for a specific period). Proposals to amend quotas specifi ed in the Ap pendices need to be 
submitted in accordance with Resolution Conf. 9.24 (Rev. CoP1 6) and according to the provisions of Article XV.  
Export quotas have in many instances been recommended through or as a result of the Review of Significant Trade pursuant to Resolution Conf.  12.8 (Rev.  CoP17) 
or its predecessors . In such cases, the Animals and Plants Committees, through their review of trade in species selected because of concern over  the sustainability 
of exports, made recommendations to Parties to conduct st atus assessments, apply management procedures or establish cautio us export quotas . In cases of 
non-implementation, the Standing Committee shall decide on appropriate action and make recommendations to the State concerned or to all Parties . Such 
recommendat ions can include the establishment of quotas or the suspension of imports with regard to specimens of listed  species (e.g. Notification to the Parties 
No. 2020/006 of 20 January 2020 ). 
1.2.3.3   Quotas submitted or established in accordance with Resolution Conf. 10. 10 (Rev. CoP1 8) and Resolution Conf. 12.7 (Rev. CoP17)  
Export quotas are also established with regard to trade in specific species, i.e. elephant specimens (Resolution Conf. 10.10 Rev. C oP17) and sturgeons and 
paddlefish (Resolution Conf. 12.7 Rev. CoP17). These quotas are established by the member States in accordance with the said Resolutions.   
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- 27 - 1.3  Supportive measures  
→ The core administrative costs of the Secretariat, the Conference of the Parties and its subsidiary bodies, the Standing Commi ttee and t he other permanent committees, are financed 
from the CITES Trust Fund. This Trust Fund is replenished from contributions from the Parties to the Convention based on the United Nations scale of assessment, adjusted to take 
account that not all members of th e United Nations are Parties to the Convention. See Resolution Conf. 18.1 on Financing and the costed programme of work for the 
Secretariat for the triennium 2020 -2022. The European Commission provides significant financial support for the implementation o f externally funded projects.  
 
→ The CITES Secretariat provides technical assistance to developing countries through special programmes. These programmes aim to raise the capacity of Parties to implement the 
Convention. CITES' training activities are coordinated by the Outreach and Projects Unit (OPU) in the Secretariat. Capacity -building activities include: workshops, seminars, training 
packages, dissemination of information through the Internet, CITES Virtual College and InforMEA porta l, technical assistance. The Science Unit(SU) provides assistance to the CITES 
Parties to enhance the scientific basis for decision -making in CITES. SU is responsible for workshops on non -detriment findings and quota management, as well as the creation of 
identification manuals. Compliance and enforcement are also important focal activities of the CITES Secretariat. The Legal Un it monitors compliance in general, including national 
reports, responds to permit queries, provides legal and policy advice for the  development of national legislation, assists with the review of national wildlife trade policies, supports the 
adoption of measures to promote and achieve compliance, provides technical assistance to enforcement officers in relation to allegations of ille gal trade, organizes enforcement 
seminars and works with OPU to preparate relevant training packages. The Governing Bodies Unit (GBU) assists the Parties with  Convention -related documentation and provides 
logistic support in the organization of CITES meeti ngs. OPU manages the CITES website, media relations,and resource mobilization and provides ICT, on -line capacity building and 
communications support to Parties.  
 
→ Many Parties have asked the Secretariat for advice or assistance in the development of legis lation to implement CITES. The Secretariat has responded in a variety of ways, including 
drafting legislative guidance material (e.g. draft model law, legislative checklist, instructions for legislative drafters, e tc.) undertaking country missions or organ izing regional workshops, 
and providing written advice and/or comments on draft legislation. Parties to CITES have precisely defined an approach, the N ational Legislation Project, for reviewing and evaluating 
domestic measures to implement the Convention. Three categories and four criteria are used to assess a Party 's national legislation. The project has been operating since 1992. 
Legislative assistance under the Convention could be further developed to address the interaction between environmental and t rade legislation, as well as the necessary institutional 
co-operation between Ministries of Environment and Ministries of Trade.  
 
→ Certain external contributions received by the Secretariat are used on species -related surveys, a number of which have been ai med 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 f rom users of wildlife. Species covered in surveys with 
a sustainable use di mension include sharks/rays (with FAO), parrots, pythons, crocodilians, lizards, corals, trees (with ITTO), plants and orchid s.  
 
→ Specific programmes include:  
1. The Legal Unit assists the Parties, inter alia , in the development of national legislation a nd monitoring of wildlife trade  and to prepare trade analyses for presentation and discussion 
at meetings of the CoP and for consideration by fora such as the WTO. The Legal Unit and OPU are managing the Compliance Assi stance Programme aimed at providing t argeted 
technical assistance to Parties facing persistent and systemic compliance challenges.  
2. MIKE (Monitoring of the Illegal Killing of Elephants Programme). The objectives of this programme are to: measure levels and trends in the illegal hunting of elephants; determine 
changes in these trends over time; and determine the factors causing or associated with such changes, and to try and assess i n particular to what extent observed trends are a 
result of any decisions taken by the CoP to CITES. See more:  https://cites.org/eng/prog/mike/index.php/portal  
3. The CITES Tree Species Programme ims to provide direct financial assistance to Parties in taking conservation and management measures to ensure that their trade in timber, 
bark, extracts and other products from CITES -listed tree species is sustainable, leg al and traceabl. See more: https://cites.org/eng/prog/flora/trees/trees_project  
4. Species programmes on trade in Asian big cats, elephants, falcons, great apes, hawksbill turtles, saiga antelopes, snakes, sharks and stingrays, tortoises and freshwater turtles, 
Malagasy ebonies and rosewoods, agarwood -producing taxa and neotropical tree species.  
5. EC-funded projects to strengthen the CITES implementation capacity of developing countries t o ensure sustainable wildlife management and non -detrimental trade.  
6.  The International Consortium on Combating Wildlife Crime is the collaborative effort of five inter -governmental organizations working to bring coordinated support to the national 
wildlife law enforcement agencies and to the sub -regional and regional networks that, on a daily basis, act in defense of natural resources. In addition to the CITES Secretar iat, 
the partners are Interpol, UN Office of Drugs and Crime, the World Bank and the Wo rld Customs Organization (WCO), See more: https://cites.org/eng/prog/iccwc_new.php  
  
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- 28 - More information on CITES projects is available at: https://www.cites.org . 
 
Decisions of the Conference of the Parties with respect to supportive measures  
CoP Decisions constitute the work programme of the Convention. This list contains relevant Decisions adopted at the 18th meeting of the Conference of the 
Parties to CITES (CoP18, Geneva, 2019) as well as the Decisions adopted at previous meetings that remain in effect after the 18th meeting. The  Decisions in this 
section are grouped by subject.  The full text of the Decisions is available  here. 
* For the purpose of these Decisions, "indigenous peoples and local communities " is understood to include rural communities.  
1.4  Non-compliance mechanism  
1.4.1   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 being 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 inf ormation to the authorized Management Authority of 
the Party or Partie s concerned.  ADMINISTRATIVE AND FINANCIAL MATTERS  
18.4 – 18.11  Access to funding  
18.12  Sponsored Delegates Project  
18.13  International Consortium on Combating Wildlife Crime  
18.14 – 18.17  Tree species programme  
18.18 – 18.20  Review of the ETIS programme  
STRATEGIC MATTERS  
18.33 – 18.37  Livelihoods*  
18.39 – 18.46  Capacity -building  
GENERAL COMPLIANCE AND ENFORCEMENT  
18.62 – 18.67  National laws for the implementation of the Convention  
18.68 – 18.70  Compliance Assistance Programme  
18.71 – 18.73  Country -wide Significant Trade Reviews  
17.108 (Rev. CoP18) – 17.110 (Rev. CoP18)  Review of Significant Trade  
18.75 – 18.76  Annual illegal trade reports  
18.77 – 18.80  Enforcement  
18.81 – 18.85  Wildlife crime linked to the Internet  
18.86 – 18.87  Demand reduction to combat illegal trade  
18.88 – 18.93  Wildlife crime enforcement support in West and Central Africa  
AMENDMENT AND MAINTENANCE OF THE 
APPENDICES   
18.331 - 18.332  Guidance for the publication of the Appendices   
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- 29 - 2. When any Party receives a communication as indicated in paragraph 1 of this Article, it shall, as soon as possible, inform th e Secretariat of any relevant facts insofar as its 
laws permit and, where appropriate, propose remedial action. Wh ere the Party considers that an inquiry is desirable, such inquiry may 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 Artic le shall be reviewed by the next CoP which may make whatever 
recommendations it deems appropriate".  
→ The CoP regularly reviews the implementation of the Convention, and makes "whatever recommendations it deems appropriate" in relation to allegations of unsustainable trade 
or ineffective implementation of the Convention (Article XIII). Evaluation of compliance within the Convention is based on th e Secretariat 's reports to the COP and CITES subsidiary 
bodies (e.g. annual reports, the Review of Significant Trade, national legislation and alleged illegal trade and other implementation problems).  
→ The Standing Committee carries out such interim activities  on behalf of the CoP as may be necessary and provides guidance and advice on matters broug ht to it by the Secretariat 
in the exercise of its function. The CoP often instructs or delegates its authority to the Standing Committee, e.g. pursuant to Resolution Conf. 8.4 (Rev. CoP15),  to consider 
"appropriate measures", which may include restriction s on the trade in specimens of CITES -listed species. In various instances, e.g. pursuant to Resolution Conf. 12.8 (Rev. CoP13), 
the Secretariat recommends to the Standing Committee that it adopt certain compliance measures, which may include a recommended suspension of trade in the affected species 
with a particular Party. (See also the Guide to CITES compliance procedures  contained in Resolution Conf. 14.3).  
→ As CITES uses trade measures for its implementation, one recommendation for improving the effecti veness of the Convention is a temporary suspension of trade recommended 
by either the CoP or the Standing Committee. In practical terms, this provides a period of time during which the relevant Par ty can move from non -compliance to compliance by, 
inter ali a, submitting missing annual reports, enacting adequate legislation, combating and reducing illegal trade or responding to specific recommendations of the Standing  
Committee concerning the implementation of Article IV of the Convention in the context of th e Review of Significant Trade. Having identified a problem of serious non -compliance, 
it would be inappropriate for Parties not to respond. Recommendations for a suspension of trade may be regarded as a precauti onary measure to prevent a continuing violati on of 
the Convention that may also be detrimental to the survival of one or more CITES -listed species.  
→ Recommendations to suspend trade are generally used as a last resort and CITES puts  primary emphasis on promoting and facilitating  Parties' compliance through consultations 
and advice or assistance. Furthermore, such measures are generally used in cases involving significant levels of trade and wh ere no domestic measures exist to enforce the 
Convention. Finally, such recommendations are withdrawn immedia tely upon a Party 's return to compliance.  
1.4.2   Resolutions and decisions of the Conference of the Parties  
Resolution Conf. 8.4 (Rev. CoP15)  
"Instructs the Standing Committee to determine which Parties have not adopted appropriate measures  for effective implementation of the Convention and to consider appropriate 
compliance measures, which may include recommendations to suspend trade, in accord ance with Resolution Conf. 14.3";  
Resolution Conf. 11.3 (Rev. CoP18) – Compliance and enforcement  
"…Obligations of importing countries: verifying the validity of CITES documents  
1. REMINDS all Parties of their obligation to verify the validity of CITES documents accompanying shipments of CITES -listed specimens, and of the need to implement Resolution 
Conf. 12.3 (Rev. CoP18) on Permits and certificates, including at a minimum:  
a) verifying that all of the information listed in Annex 1, Information t hat should be included in CITES permits and certificates, to Resolution Conf. 12.3 (Rev. CoP18) is included 
on the document;  
b) ensuring that they do not accept under any circumstances or pretext, export or re -export documents issued by any authority, irre spective of its hierarchical level, other than 
the Management Authority officially designated as competent by the exporting or re -exporting Party and duly notified to the Secretariat;  
c) exercising due diligence when presented with a CITES permit or certificate, even if they believe it to have been issued by a competent authority, when they have a reason 
to believe that the specimens of CITES -listed species may not have been traded in accordance with  
Exercising due diligence  
2. Recommends that:  
a) if the Management Authority of the State of import or re -export has reason to believe that specimens of CITES species are traded in contravention of the laws of any country 
involved in the transaction, or has reason to believe that the specimen accompanied by  a CITES document may not have been traded in accordance with the provisions of 
the Convention (e.g., when they have reason to believe that the specimen may not have been legally acquired, that the require d non -detriment finding may not have been 
made, or that any other CITES requirement(s) may not have been fulfilled), it should:  
i)  immediately consult with the Management Authority in the country whose laws were thought to have been violated and, to the ex tent possible, provide that 
 Management  Authority with copies of all documentation relating to the transaction;   
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- 30 - ii)  where there is uncertainty with regard to the legal acquisition finding, the required non -detriment finding, or other CITES requirement(s), if appropriate request the 
 basis for the relevan t determination;  
iii) if after consulting with the Management Authority of the relevant State, the Management Authority of the State of import or r e-export has not received satisfying  
 information including regarding the basis for the determination that the specimen was legally acquired, or the required non -detriment finding or other CITES 
 requirement(s), it should not authorize the import or re -export of the specimen concerned and shou ld not issue an import permit or a re -export certificate;  
iv)  if there is no satisfactory response, call upon the assistance of the Secretariat, in the context of its responsibilities in Article XIII of the Convention and Resolution 
 Conf. 14.3 (Rev. CoP1 8); and  
v)  if needed, make use of the provisions of Article XIV, paragraph 1. a), of the Convention to take stricter measures with regar d to that transaction; and  
b) to ensure effective cooperation between CITES Authorities of different Parties, Managemen t Authorities should be responsive to inquiries and cooperate with the Management 
Authorities of other CITES Parties on matters relating to the validity of CITES documents;  
3. 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 source 
countries, including neighbouring countries, and to verify the validity of documents originating from such countries with the  respective Management Au thorities;…  
Regarding compliance, control and cooperation  
14. Recommends  that: 
(a) all Parties:  
i) recognize the seriousness of illegal trade in wild fauna and flora and identify it as a matter of high priority for their nat ional law enforcement agencies;  
ii) if appropriate, consider formulating national and regional action plans, incorporating timetables, targets and provisions for  funding, designed to enhance 
 enforcement of CITES, achieve compliance with its provisions, and support wildlife -law enforceme nt agencies;  
 iii) provide officials who have wildlife -law enforcement responsibilities with equivalent training, status and authority to those of their counterparts in Customs and  the 
 police;  
 iv)  ensure strict compliance and control with respect to all  mechanisms and provisions of the Convention relating to the regulation of trade in animal and plant species 
 listed in Appendix  II, and of all provisions ensuring protection against illegal traffic for the species included in the Appendices;  
 v)  in case of violation of the above -mentioned provisions, immediately take appropriate measures pursuant to Article  VIII, paragraph  1, of the Convention in order to 
 penalize such violation and to take appropriate remedial action; and  
vi)  inform each other of all circumstances and facts likely to be relevant to illegal traffic and also of control measures, with the aim of eradicatin g such traffic;  
(b) Parties should advocate sanctions for infringements that are appropriate to their nature and gravity;  
(c) Parti es that are not yet signatories to, or have not yet ratified, the UN Convention against Transnational Organized Crime and the  UN Convention against Corruption 
consider doing so;  
(d) Parties remind their diplomatic missions, their delegates on mission in fo reign countries and their troops serving under the flag of the United Nations that they are not 
exempted from the provisions of the Convention;  
Regarding application of Article XIII ,  
5. Recommends  that: 
(a) when, in application of Article  XIII of the Conv ention and Resolution Conf.  14.3 (Rev. CoP18) on CITES compliance procedures , the Secretariat requests information on a 
potential compliance matter, Parties reply within one month or, if this is impossible, acknowledge within the month and indic ate a date, even an approximate one, by which 
they consider it will be possible to provide the information requested;  
(b) when, within six months, the information requested has not been provided, Parties provide the Secretariat with justificat ion of the reasons for which they have not been 
able to respond;  
(c) if major compliance matters concerning particular Parties are brought to the attention of the Secretariat, the Secretaria t work with the Parties concerned to try to solve 
the matter and offer advice or tech nical 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 Standi ng Committee, which may pursue the matter in direct 
contact with the Party concerned with a view to h elping to find a solution; and  
(e) the Secretariat keep the Parties informed as fully as possible, through Notifications to the Parties, of such compliance matters and of actions taken to solve them, and 
include such matters in its reports for meetings of the Standing Committee and the Conference of the Parties;  
Resolution Conf. 11.17 (Rev. CoP18) – National  reports   
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- 31 - "… 9. Recommends that, when compiling their annual reports in accordance with Article  VIII, paragraph  7, of the Convention and this Resolution,  Parties pay particular attention to 
the reporting of trade in specimens of species subject to annual export quotas. For these species, the report should indicate  the level of the quota and the amount actually exported. 
In cases where trade is authorized i n the reporting year in specimens obtained under a quota for the previous year, this should be reflected in the annual report ;… 
13. Decides that:  
(a) failure to submit an annual report by 31  October of the year following the year for which the report was d ue constitutes a major problem with the implementation of the 
Convention, which the Secretariat shall refer to the Standing Committee for a solution in accordance with Resolution Conf.  11.3 (Rev.  CoP16); and  
(b) the Secretariat may approve a valid request from a Party for a reasonable extension of time to the 31  October deadline for the submission of annual or biennial reports 
provided the Party submits to the Secretariat a written request, containing adequate justification, before that deadline;  
14. Instru cts the Standing Committee to determine, on the basis of reports presented by the Secretariat, which Parties have failed, for  three consecutive years and without having 
provided adequate justification, to provide the annual reports required under Article  VIII, paragraph  7 (a), of the Convention within the deadline (or any extended deadline) provided 
in the present Resolution;  
15. Recommends that Parties not authorize trade in specimens of CITES -listed species with any Party that the Standing Committee has d etermined has failed, for three consecutive 
years and without having provided adequate justification, to provide the annual reports required under Article  VIII, paragraph  7 (a), of the Convention within the deadline (or any 
extended deadline) provided in t he present Resolution;  
Resolution Conf. 12.8 (Rev. CoP18) – Review of significant trade in specimens of Appendix -II species  
"... 4. Measures to be taken regarding the implementation of recommendations  
j) the Secretariat shall monitor progress against the r ecommendations, taking account of the different deadlines;  
k) once the range State has reported on the implementation of recommendations or the deadlines have passed, whichever is firs t and, following timely intersessional 
consultation with members of the  Animals or Plants Committee through the Chairs, the Secretariat shall determine whether the recommendations referred to above  have been 
implemented;  
i) where the recommendations have been met, the Secretariat shall, following consultation with the Chair of the Standing Comm ittee, notify the range States concerned 
that the species/country combination was removed from the review process and include the r ationale for its evaluation, noting where relevant, specific commitments made 
by the range States in question and, in the case where a species/country combination was removed from the review process on t he basis of the establishment of an interim 
precautio nary export quota (including a zero export quota) in the place of implementing the recommendations, any change to this quota should be communicated to the 
Secretariat and Chair of the relevant Committee along with a justification, for their agreement; or  
ii) when the recommendations are not deemed to have been met (and no new information is provided), the Secretariat shall, in consultation with the members of the 
Animals or Plants Committee through the Chairs, recommend to the Standing Committee appropriat e action, which may include, as a last resort, a suspension of trade in 
the affected species with that State; or  
iii) where the recommendations are not deemed to have been met or have been partially met, and there is new information sugge sting the recomme ndation may require 
updating, the Secretariat shall, in a timely fashion, request the members of the Animals or Plants Committee, through the Cha irs, to prepare a revised recommendation, 
keeping in mind the principles that recommendations should be time -bound, feasible, measurable, proportionate, transparent, and should promote capacity building. The 
Secretariat shall provide the revised recommendation to the range States within 30 days of its drafting;  
l) the Secretariat shall report to the Standing Commi ttee on its evaluation of the implementation of the recommendations, including the rationale for its evaluation and, where 
relevant, specific commitments made by the range States in question, and a summary of the views expressed by the Animals or P lants Co mmittees. The Secretariat shall 
additionally report on any further actions taken by the Animals or Plants Committee in the case of range States where new inf ormation has resulted in revised recommendations;  
m) for range States where recommendations are no t deemed to have been met, the Standing Committee shall decide, at its next regular meeting or intersessionally as 
appropriate, on necessary action and make recommendations to the range State concerned, or to all Parties, keeping in mind th at these recomme ndations should be time -
bound, feasible, measurable, proportionate, transparent, and should promote capacity building. In exceptional circumstances, where the range State under consideration 
provides new information on the implementation of the recommendat ions to the Standing Committee, the Standing Committee through the Secretariat, shall consult in a 
timely fashion with the members of the Animals or Plants Committee through the Chair, prior to making a decision on necessary  action;  
n) the Secretariat sha ll notify all Parties of any recommendations or actions taken by the Standing Committee;  
o) a recommendation to suspend trade in the affected species with the range State concerned should be withdrawn only when tha t range State demonstrates to the satisfa ction 
of the Standing Committee, in consultation with the Secretariat and the members of the Animals or Plants Committee, through t he relevant Chair, compliance with Article IV, 
paragraph 2 (a), 3 or 6 (a); and   
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- 32 - p) the Standing Committee, in consultation w ith the Secretariat and the Chair of the Animals or Plants Committee, shall review recommendations to suspend trade that have  
been in place for longer than two years, evaluate the reasons why this is the case in consultation with the range State, and,  if appropriate, take measures to address the 
situation; ...". 
→ For a list of outstanding Standing Committee recommendations made in accordance with this Resolution to suspend imports of CI TES-listed species from certain countries, see 
Notification No. 2020/006 of 20 January 2020. The CITES Secretariat is currently de veloping a new database and website which will facilitate the monitoring of the Review of 
Significant Trade process in the future.  
Resolution 17.7 (Rev. CoP18) Review of trade in animal specimens reported as produced in captivity  
"…4. Measures to be taken regarding the implementation of recommendations  
n) The Secretariat shall monitor progress against the recommendations, taking account of the  different deadlines, and, following timely intersessional consultation with the 
members  of the  Standing and Animals  Committees through their Chairs, determine whether the  recommendations referred to above have been implemented:  
i) where the recommendations have been met, the Secretariat shall, following consultation  with the Chair of the Standing Committee, notify the Parties that the species -
country  combination was removed from the review process; or   
ii) when the recommendations are not deemed to have been met, the Secretariat shall, in  consultation with the members of the Standing and Animals Committees through 
their Chairs, recommend to the Standing Committee appropriate action, which may include,  as a last resort, a recommendation to suspend trade in the affected species 
with that  State;  
o) The Secretariat shall report to the Standing Committee on its evaluation of the implementation  of the recommendations, including the rationale for its evaluation, and a 
summary of the views expressed by the Animals Committee;  
p) For countries where recommendations are not deemed to have been met, the Standing Committ ee shall decide on appropriate actions and make recommendations to the 
country or countries concerned, keeping in mind that these recommendations should be time -bound, feasible, measurable, proportionate, transparent, and should, if 
appropriate, promote ca pacity building. In exceptional circumstances, where the country under consideration provides new information on the implemen tation of the 
recommendations to the Standing Committee, the Standing Committee shall consult intersessionally with the Animals Com mittee through the  
Chair prior to making a decision on appropriate action;  
q) The Secretariat shall notify the Parties of any recommendations or actions taken by the Standing Committee;  
r) Any recommendation by the Standing Committee to suspend trade in th e affected species with the country concerned should be withdrawn only when that country 
demonstrates to the satisfaction of the Standing Committee, through the Secretariat, in consultation, where appropriate, with  the members of the Animals Committee thro ugh 
their Chair, compliance with the provisions of the Convention with respect to the captive production of specimens; and  
s) The  Standing Committee, in consultation with the Secretariat and the Chair of the Animals  Committee, shall, where appropriate, rev iew recommendations to suspend trade 
that have  been in place for longer than two years, consult with the relevant country, evaluate the reasons  why this is the case, and, if appropriate, take measures to address 
the situation.  
Resolution Conf. 14.3 (Rev. CoP18) – CITES compliance procedures  
Annex - Guide to CITES compliance procedures  
Objective and scope  
1. The objective of this Guide is to inform Parties and others of CITES procedures concerning promoting, facilitating and achiev ing compliance with obligations under the Convention 
and, in particular, assisting Parties in meeting their obligations regarding such compliance.  
 Specifically, the Guide describes existing procedures in order to facilitate consistent and effective handling of compliance matters relating to obligations under the Convention, 
taking into account relevant Resolutions and Decisions, in both specific and general compliance matters  […] 
29. If a compliance matter has not been resolved, the Standing Committee decides to take one or m ore of the following measures:  
(a) provide advice, information and appropriate facilitation of assistance and other capacity -building support to the Party concerned;  
(b) request special reporting from the Party concerned;  
(c) issue a written caution, reque sting a response and offering assistance;  
(d) recommend specific capacity -building actions to be undertaken by the Party concerned;  
(e) provide in -country assistance, technical assessment and a verification mission, upon the invitation of the Party concern ed; 
(f) send a public notification of a compliance matter through the Secretariat to all Parties advising that compliance matters  have been brought to the attention of a Party  
and that, up to that time, there has been no satisfactory response or action;  
(g) issue a warning to the Party concerned that it is in non -compliance, e.g. in relation to national reporting and/or the National Legislation Project; and   
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- 33 - (h) request a compliance action plan to be submitted to the Standing Committee by the Party concerned  identifying appropriate steps, a timetable for when those steps 
should be completed and means to assess satisfactory completion.  
30. In certain cases, the Standing Committee decides to recommend the suspension of commercial or all trade in specimens of on e or more CITES -listed species, consistent with 
the Convention. Such a recommendation may be made in cases where a Party 's compliance matter is unresolved and persistent and the Party is showing no intention to achieve 
compliance or a State not a Party is not issuing the documentation referred to in Article X of the Convention. Such a recommendation is always specifical ly and explicitly based on 
the Convention and on any applicable Resolutions and Decisions of the Conference of the Parties .7 
31. The list of measures above is not necessarily an exhaustive list of measures applied to date.  
32. When the Standing Committee decides upon one or more of the measures mentioned above, it takes into account:  
(a) the capacity of the Party concerned, espe cially developing countries, and in particular the least developed and small island developing States and Parties with econom ies 
in transition;  
(b) such factors as the cause, type, degree and frequency of the compliance matters;  
(c) the appropriateness of the measures so that they are commensurate with the gravity of the compliance matter; and  
(d) the possible impact on conservation and sustainable use with a view to avoiding negative results ….  
34. Existing recommendations to suspend trade are generally re viewed at each Standing Committee meeting. They are also monitored inter -sessionally by the Secretariat. 
A recommendation to suspend trade is withdrawn as soon as the compliance matter has been resolved or sufficient progress has be en made. The Secretariat  notifies Parties of any 
such withdrawal as soon as possible.  
 
→ For a list of countries currently subject to a recommendation to suspend trade, see the relevant reference list on the CITES we bsite.  
1.5  Dispute settlement mechanism  
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 o f 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 paragraph 1 of this Article, the Parties may, by mutual consent, submit  the dispute to arbitration, in particular that of 
the Permanent Court of Arbitration at The Hague, and the Parties submitting the dispute shall be bound by the arbitral decision ." 
 
7 These currently include:  
 – Resolution Conf. 11.17 (Rev. CoP18) (National reports);  
 – Resolution Conf. 8.4 (Rev. CoP15)  (National laws for implementation of the Convention);  
 – Resolution Conf. 12.8 (Rev. CoP18) (Review of Significant trade in specimens of Appendix -II species);  
 – Resolution C onf. 10.10 (Rev. CoP18) (Trade in elephant specimens) with respect to the provisions on the National Ivory  Action Plans process;  
 – Convention Article XIII and Resolution Conf. 11.3 (Rev. CoP18) (Compliance and enforcement);  
 – Resolution Conf 18.2 (Establ ishment of committees) ; 
 – Resolution  Conf. 17.7 (Rev. CoP18) (Review of trade in animal specimens reported as produced in captivity).   
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- 34 - 1.6  Provisions for non -parties  
Article X – Trade with States not Party to the Convention  
"Where export or re -export is to, or import is from, a State  not a Party to the present Convention, comparable documentation issued 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 thereof by any Party".  
Resolution Conf. 9.5 (Rev. CoP16) – 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 or igin, or justification 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 compet ent scientific institution has advised that the 
export will not be detrimental to the survival of the species (in case of doubt a copy of such advice should be required) and that the specimens  were not obtained in 
contravention of the laws of the State of export;  
v) in the case of re -export, certification to the effect th at the competent authority of the country of origin has issued an export document that substantially meets the 
requirements of Article VI of the Convention; and  
vi) 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 scie ntific institutions o f 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 destined for or coming from States not party to the Conventio n, inclu ding 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 States 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 Appendix -I species only in special cases where 
it benefits the conservation of the species or p rovides for the welfare of the specimens, and only after consultation with the Secretariat;  
(f) if any Party deems that specimens of an Appendix -II or -III species are being exported from a State not party to the Convention in a manner detrimental to the s urvival of 
that species , it: 
i) consult directly with the competent authorities of the State concerned; and  
ii) if necessary, make use of the options provided by Article X, to reject permits, or Article  XIV, paragraph  1 (a), to take stricter measures as ap propriate;  
(g) Parties allow import from States not party to the Convention of captive -bred and artificially propagated specimens of Appendix -I species only after favourable advice from 
the Secretariat; and  
(h) Parties communicate to the Secretariat any in consistencies in trade involving States not party to the Co nvention . 
Instructs the Secretariat to seek, every two years, information on, and to include in its Directory, details of the designate d competent authorities, scientific institutions and 
enforceme nt authorities of non -party States that were communicated by these States, together with the date on which the details were received";  
 
→ The following non -parties have provided the information requested by Resolution Conf. 9.5 (Rev. CoP16) (i.e. proof tha t comparable documentation is being issued by competent 
authorities):  Andorra,  Cook Islands,  Democr atic People 's Republic of Korea,  Haiti; Kiribati, Marshall Islands, Federated States of Micronesia,  Tajikistan and Tonga.  
→ China is a Party to CITES. Hong Kong, China and Macao, China, have their own CITES Management Authorities.  
→ Key non -parties currently in the process of adhering to the Convention include: Andorra, Tuvalu, Timor Leste  and Turkmenistan  
→ Parties that have entered a reservation with respect to the inclusion of a species in the Appendices in accordance with Art. XV or XVI are  treated as non -Parties with respect to 
trade in the species concerned . 
  
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- 35 - 2  UNITED NATIONS FISH STOCKS AGREEMENT (UNFSA)  
2.1  Brief description of the MEA  
The full name of the United Nations Fish Stocks Agreement (UNFSA) is the Agreement for the Implementation of the Provisions o f the United Nations Convention 
on the Law of the Sea (UNCLOS) of 10  December 1982 relating to the Con servation and Management of Straddling Fish Stocks and Highly Migratory Fish Stocks 
(UN Fish Stocks Agreement). Article  4 of the UN Fish Stocks Agreement on the relationship between the Agreement and UNCLOS provides that "[n]othing in this 
Agreement shall prejudice the rights, jurisdiction and duties of States under the Convention. This Agreement shall be interpreted and applied  in the context of 
and in a manner consistent with the Convention".  
 
Website  https://www.un.org/Depts/los/convention_agreements/convention_overview_fish_stocks.htm . 
Objective  The UN Fish Stocks Agreement seeks to ensure the long -term conservation and sustainable use of straddling and highly migratory fish stocks through 
effective implementation of the relevant provisions of the Convention, in particular by requiring coastal States and States f ishing on the high seas to 
cooperate for these purposes, eit her directly or through appropriate sub -regional or regional fisheries management organizations (RFMOs) or arrangements 
(RFMAs).  
Date of Adoption  4 August 1995  
Entry into force  11 December 2001  
Parties  91 Parties  (as of 10 February 2021) . See the  list of Parties here.  
WTO Members  80 Parties to UNFSA are also WTO Members (see Annex ). 
Openness of 
Membership  Article 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 38 – Ratification  
"This Agreement is subject to ratification by States and the other entities referred to in article 1, paragraph 2(b) …".  
Article 39 – Accession  
"This Agreement shall remain open for accession by States and the other entities refe rred 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 "international organization" in Annex IX, article 1, of the Convention which becomes a Party to this 
Agreement, and to that extent "States Parties" refers to those entities".  
3. This Agreement applies mutatis mutandis  to oth er fishing entities whose vessels fish on the high seas."  
Article 305:1 of the United Nations 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 compet ence over the matters governed by this Convention, including 
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;   
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- 36 - (e) all territories which enjoy full internal self -government, recognized as such by the United Nations, but have not attained full i ndependence in 
accordance with General Assembly resolution 1514 (XV) and which have competence over the matters governed by this Convention,  including the 
competence to enter into treaties in respect of those matters;  
(f) international organizations, in ac cordance with Annex IX".  
Governing Bodies  
 Review Conference  
→ The Agreement provides for the convening of a Review Conference four years after the date of the entry into force of the Agre ement (Article 36).  
 
Article 36  
"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 hi ghly migrato ry fish stocks. 
The Secretary -General shall invite to the conference all States Parties 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 p articipate as observers.  
2. The conference shall review and assess the adequacy of the provisions of this Agreement and, if necessary, propose means of s trengthening the 
substance and methods of implementation of those provisions in order better to address any continuing problems in the conservation and management of 
straddling fish stocks and highly migratory fish stocks".  
 
→ Pursuant to Article 36, the General Assembly (resolution 59/25, para.16) requested the Secretary -General to convene a review conference on the 
Agreement in the first part of 2006.  The Conference was held in New York, from 22 to 26 May 2006. The Conference addressed ways to give full effect to 
the Agreement, both through a substantive review and assessment of the Agreement and by agreeing on recommendations for strengthening the 
implementation of its provisions. Recommendations were made regarding: 1) conservation and management of straddling fish stoc ks and highly migratory 
fish stocks; 2) mechanisms for internati onal cooperation, including cooperation with non -members of regional fisheries management organizations or 
arrangements; 3) monitoring, control and surveillance and compliance and enforcement; and 4) developing States and non -parties. The Conference also 
recommended promoting further ratification and accession to the Agreement through a continuing dialogue to address concerns ra ised by some non -
parties regarding some provisions of the Agreement. The Review Conference also agreed to continue the Informal Con sultations of States  Parties and keep 
the Agreement under review through the resumption of the Review Conference at a date not later than 2011, to be agreed at a f uture round of Informal 
Consultations of States Parties to the Agreement.  
The resumed Review Conference was held in New York from 24 to 28 May 2010, pursuant to General Assembly resolutions 63/112 and 64/72. The 
Conference conducted a review of the implementation of the recommendations adopted at the Review Conference in 2006 and adopt ed additiona l 
recommendations that built on the outcome in 2006 in order to strengthen the substance and methods of implementing the provis ions of the Agreement. 
The resumed Review Conference decided to continue the Informal Consultations of States Parties to the Agre ement and keep the Agreement under review 
through the resumption of the Review Conference at a date not earlier than 2015.  
Pursuant to General Assembly resolutions 69/109 and 70/75, the Review Conference was resumed in New York from 23 to 27 May 20 16. In i ts outcome, 
the resumed Review Conference determined that implementation of the Agreement should be further strengthened by recommendatio ns that build on the 
2006 and 2010 outcomes and also address new issues relevant to strengthening the implementation of  the Agreement, such as labour conditions, and 
avoidance of the transfer of a disproportionate burden of conservation action to developing States (see A/CONF.210/2016/5, an nex). The resumed Review 
Conference recommended that the Informal Consultations of S tates Parties to the Agreement be dedicated, on an annual basis, to the consideration of 
specific issues arising from the implementation of the Agreement with a view to improving understanding, sharing experiences and identifying best 
practices. It agreed to keep the Agreement under review through the resumption of the Review Conference at a date, not earlier than 2020, to be 
determined at a future round of Informal Consultations.  
 
The fourteenth round of Informal Consultations in 2019 decided that the Revi ew Conference should be resumed in 2021. Subsequently, due to the Covid -
19 pandemic, the General Assembly, in its resolution 75/89 took note of the decision of States parties to the Agreement, thro ugh a consultation by 
correspondence conducted by the Chair  of the fifteenth round of informal consultations of States parties to the Agreement, to postpone the  
resumption of the Review Conference on the Agreement to 2022, to invite the General Assembly to take note of the decision and  to take any appropriate 
subsequent steps.  
  
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- 37 - Informal Consultations of States Parties  
→ The General  Assembly of the United Nations (UNGA) in its resolution 56/13 of 28 November 2001 requested the Secretary -General of the UN, once the 
Agreement entered into force, to consult with the S tates Parties, for the purposes and objectives of, inter alia, considering the regional, sub -regional and 
global implementation of the Agreement; making any appropriate recommendation to the UNGA on the scope and content of the ann ual report of the 
Secreta ry-General relating to the Agreement; and preparing for the review conference to be convened by the Secretary -General pursuant to Article  36 of 
the Agreement. The Informal Consultations of States Parties were  held at the UN Headquarters in New York annuall y between  2002 and 2010 as well as 
from 2014 to 2019.   
 
The resumed Review Conference, in 2016, recommended that the Informal Consultations of States Parties to the Agreement be ded icated, on an annual 
basis, to the consideration of specific issues arising  from the implementation of the Agreement. Accordingly, the thirteenth round of Informal Consultations 
of States Parties to the the Agreement in 2018 focused its deliberations on the topic "Science -policy interface " and the fourteenth round of Informal 
Consultations of States Parties in 2019 focused on "Performance reviews of RFMOs/As ". The draft Chair 's report of these meetings is available on the 
website of DOALOS. The fifteenth round, which was to have been held in May 2020 and focused on "The implementa tion of an ecosystems approach to 
fisheries management " has been rescheduled to the second half of 2021, pursuant to General Assembly resolution 75/89.  
Amendments and 
Protocols  Article 45 – Amendment  
"1. A State Party may, by written communication addressed to the 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 communication to all Sta tes 
Parties. If, within six months from the date of the circulation of the communication, not less than one half of the States Pa rties reply favourably to the 
request, the Secretary -General shall convene the conference.  
2. The decision -making procedure app licable at the amendment conference convened pursuant to paragraph 1 shall be the same as that applicable at 
the United Nations Conference on Straddling Fish Stocks and Highly Migratory Fish Stocks, unless otherwise decided by the con ference. The conferenc e 
should make every effort to reach agreement on any amendments by way of consensus and there should be no voting on them until  all efforts at consensus 
have been exhausted.  
3. Once adopted, amendments to this Agreement shall be open for signature at Unite d 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 in to force for the States Parties ratifying or acceding to them on the thirtieth day following the deposit 
of instruments of ratification or accession by two thirds of the States Parties. Thereafter, for each State Party ratifying o r acceding to an amendment  after 
the deposit of the required number of such instruments, the amendment shall enter into force on the thirtieth day following t he deposit 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 into force than are required 
by this article.  
7. A State which becomes a Party to this Agreement after the entry into force of amendments in accordance with paragraph 5 shall , failing an 
expressio n 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".  
Article 48 – Annexes  
"… 2. The A nnexes may be revised from time to time by States Parties. Such revisions shall be based on scientific and technical consider ations. 
Notwithstanding the provisions of article 45, if a revision to an Annex is adopted by consensus at a meeting of States Part ies, it shall be incorporated in 
this Agreement and shall take effect from the date of its adoption or from such other date as may be specified in the revisio n. If a revision to an Annex is 
not adopted by consensus at such a meeting, the amendment procedur es set out in article 45 shall apply".  
  
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- 38 - 2.2  Trade -related measures  
 
2.3  Supportive measures  
→ Part VII on "Requirements of Developing States" (Articles 24 -26) provides for assistance in favour of developing States in the implementation of the Agreement, in recognition 
of their special requirements in relation to conservation and management of straddling fish s tocks and highly migratory fish stocks and development of fisheries for such stocks.  
Such assistance also applies in respect to the conservation and management of straddling fish stocks and highly migratory fis h stocks in areas under national jurisdiction of 
developing coastal States (Part I, Article 3.3).  
Article 24 – Recognition of the special requirements of developing States  
"1. States shall give full recognition to the special requirements of developing States in relation to conservation and managemen t of straddling fish stocks and highly migratory 
fish stocks and development of fisheries for such stocks. To this end, States shall, either directly or through the United Na tions Development Programme, the Food and Agriculture 
Organization of the United N ations and other specialized agencies, the Global Environment Facility, the Commission on Sustainable Development and other a ppropriate international 
and regional organizations and bodies, provide assistance to developing States. " 
Article 25 – Forms of coo peration 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 States, 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 them 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 m anagement organizations and arrangements  Article 17  
Non-members of 
Organi zations and Non -
partici pants in 
Arrangements  "... 4.   States which are members of [RFMOs] or participants in [RFMAs] shall exchange information with respect to the activities of f ishing vessels 
flying the flags of States which are neither members of the organization nor participants in the arrangement and wh ich are engaged in fishing 
operations for the relevant stocks. They shall take measures consistent with this Agreement and international law to deter ac tivities of such vessels 
which undermine the effectiveness of subregional or regional conservation and m anagement measures".  
Article 20  
International 
cooperation in 
enforcement  "…7. States Parties which are members of a subregional or regional fisheries management organization or participants in a subregio nal or regional 
fisheries management arrangement may  take action in accordance with international law, including through recourse to subregional or regional 
procedures established for this purpose, to deter vessels which have engaged in activities which undermine the effectiveness of or otherwise violate 
the conservation and management measures established by that organization or arrangement from fishing on the high seas in the s ubregion or region 
until such time as appropriate action is taken by the flag State".  
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 law, to promote the effectiveness of subregional, 
regional and global conservation and management measures. When taking such measures a port State shall not discr iminate 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 voluntarily in its ports 
or at its offshore terminals.  
3. States may adopt regulations empowering the relevant national authorities to prohibit landings and transshipments where it has been esta blished 
that the catch has been taken in a manner which undermines the effectiveness of subregional, regional or global conservatio n and 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  
Non-parties to the 
Agreement  "... 2.   States Partie s shall take measures consistent with this Agreement and international law to deter the activities of vessels flying the flag  of 
non-parties which undermine the effective implementation of this Agreement".   
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- 39 - 2. Cooperation with developing States for the purposes set out in this article shall include the provision of financial assistan ce, assistance relating to human resources development, 
technical assistance, transfer of technology, including through joint venture arrangements, and advisory and consultative services.  
3. Such assistance shall, inter alia , be directed specifically towards:  
(a) improved conservation and management of straddling fish stocks and highly migra tory fish stocks through collection, reporting, verification, exchange and analysis of 
fisheries data and related information;  
(b) stock assessment and scientific research; and  
(c) monitoring, control, surveillance, compliance and enforcement, including tr aining and capacity -building at the local level, development and funding of national and regional 
observer programmes and access to technology and equipment."  
Article 26 – Special assistance in the implementation of this Agreement  
"1. States shall cooperat e to establish special funds to assist developing States in the implementation of this Agreement, including assisting develop ing 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".  
 
→ An Assistance Fund under Part VII was established by Resolution 58/14 at the 58th Session of the UNGA in 2003 to assist devel oping States Parties in the implementation of the 
Agreement. The FAO administers the Fund in collaboration with the Division for Ocean Affairs and the Law of the Sea, Office of Legal Affairs of the United Nations, and invites 
States, intergovernmental organizations, international financial institutions, national institution s, NGOs as well as natural and juridical persons, to make voluntary financial 
contributions to the Fund.  Paragraph 14 of the Terms of Reference of the Fund , as revised in 2019,  provides that financial assistance from the Fund can be sought for the followin g 
purposes:  
a) Facilitating the participation of representatives from developing States Parties, in  particular the least -developed among them and Small Island developing States Parties to 
the Agreement, in the meetings and activities of relevant regional and subregional fisheries  management organizations and arrangements.  Such assistance may include such 
costs as travel costs and, if appropriate, daily subsistence  allowances for delegations participating in relevant regional and subregional fisher ies 
management organisations or arrangements, including technical experts.  
b) Assisting with travel costs, and if appropriate daily subsistence allowances, associated  with the participation of developing States Parties, in particular the least -developed 
among them and small island developing States Parties to the Agreement, in relevant meetings  concerning high seas fisheries of relevant global organizations, such as the 
United Nations  Development Programme, the Food and Agriculture Organization and other sp ecialised  agencies, the Global Environment Facility and other appropriate 
international and regional  organizations and bodies.  Applications for this purpose will include details of how the meeting in question relates to  
implementation of the Agreement. c) Supporting ongoing and future negotiations to establish new regional or subregional  fisheries management organizations and 
arrangements in areas where such bodies are not  currently in place, to renegotiate founding agreements for such organizations and  arrangements and to strengthen existing 
subregional and regional fisheries management  
organizations and arrangements in accordance with the Agreement.  A condition for such support is that reference to implementing the Agreement is made in  
founding documents a nd/or work programmes of the regional or subregional fisheries  management organizations or arrangements and in the national fisheries policies and/or  
management plans of States Parties.  
d) Enhancing the ability of developing States Parties, in particular t he least -developed  among them and small island developing States Parties, to develop at the national level 
a legal basis for the implementation of effective flag State measures, in conformity with the  provisions of the Agreement and in accordance with inte rnational law.  
e) Building capacity for activities in key areas such as effective exercise of flag State  responsibilities, monitoring, control and surveillance, enforcement, data collection and  
scientific research relevant to straddling and highly migratory fish stocks on a national and/or  regional level.  
f) Facilitating exchange of information and experience on the implementation of the  Agreement.  
g) Assisting developing States Parties to the Agreement, in particular the least -developed  among them and small island developing States, with human resources development,  
technical training, and technical assistance in relation to conservation and management of  straddling and highly migratory fish stocks and development of fisheries for such 
stocks,  consistent with the duty to ensure the proper conservation and management of such stocks.  
h) Assisting in meeting the costs involved in proceedings for the settlement of disputes  between States Parties to the Agreement concerning the interpretation or application 
of the  Agreement in accordance with Part VIII of the Agreement or proceedings concerning the  interpretation or application of a subregional, regional or global fishery 
agreement relating to  straddling fish stocks or highly mig ratory fish stocks to which they are parties, including any  dispute concerning the conservation and management of 
such stocks and complementary to  any assistance provided under the ITLOS Trust Fund established by General Assembly  resolution 55/7 or the Tru st Fund for the International 
Court of Justice established by General  Assembly resolution 47/444 or the financial assistance fund established by the Permanent  Court of Arbitration.   
  WT/CTE/W/160/Rev.9 • TN/TE/S/5/Rev.7  
 
- 40 -  
In addition to general voluntary contributions to the Fund, contributions may also be  made through donor agreements for specific activities which meet any of the purposes of the  
Fund set forth in paragraph 16. Such donor agreements between a donor, the FAO and the  UN/OLA/DOALOS, will set out all activities to be undertaken, as m utually agreed upon 
by them. Such activities will be implemented by the FAO or UN/OLA/DOALOS.   
 
2.4  Non-compliance mechanism  
→ Article 17 of Part IV on "Non -members and Non -participants" provides that a State which is not a member of a RFMO or a participant i n an RFMA, and which does not otherwise 
agree to apply the conservation and management measures established by such organization or arrangement, is not discharged fr om the obligation to cooperate, in accordance 
with the Convention and the Agreement, in the  conservation and management of the relevant straddling fish stocks and highly migratory fish stocks. It provides that such a State 
shall not authorize a vessel flying its flag to engage in fishing operations for the straddling fish stocks or highly migrat ory fish stocks which are subject to the conservation and 
management measures established by such an organization or arrangement.  
→ Article 18  of Part V on "Duties of the Flag State" requires the flag State to ensure that vessels flying its flag comply wit h 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 effectively i ts responsibilities in respect of such vessels under the 
Convention and the Agreement. 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 establishment 
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 marki ng of fishing vessels and fishing ge ar in accordance with 
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 monito ring systems; regulation of transshipment; and an obligation for the flag State to ensure compatibility of the national 
monitoring, control and surveillance system with existing subregional, regional or global systems.  
→ Part VI on "Compliance and Enforcem ent" (Articles 19 -23) contains several provisions on compliance and enforcement, which involve compliance and enforcement by the flag 
State, the port State, as well as a subregional and regional cooperative enforcement scheme that may involve non -flag Stat e enforcement.  
Article 19 – Compliance and enforcement by the flag State  
"1. A State shall ensure compliance by vessels flying its flag with subregional and regional conservation and management measures  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, which may i nclude the physical inspection of 
the vessels concerned, and report promptly to the State alleging the violation and the relevant subregional or regional organ ization or arrangement on the progress and 
outcome of the investigation;  
(c) require any vessel f lying its flag to give information to the investigating authority regarding vessel position, catches, fishing gear, fishing o perations and related activities 
in the area of an alleged violation;  
(d) if satisfied that sufficient evidence is available in res pect of an alleged violation, refer the case to its authorities with a view to instituting proceedings without delay in 
accordance with its laws and, where appropriate, detain the vessel concerned; and  
(e) ensure that, where it has been established, in acc ordance 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 respect  of the violation have been complied 
with. 
2. All investigations and judicial proceedings shall be carried out expeditiously. Sanctions applicable in respect of violations  shall be adequate in severity to be effective in securing 
compliance and to discoura ge violations wherever they occur and shall deprive offenders of the benefits accruing from their illegal activities. Measure s applicable in respect of 
masters and other officers of fishing vessels shall include provisions which may permit, inter alia , refusal, withdrawal or suspension of authorizations to serve as masters or officers 
on such vessels ...".  
Article 20 – International cooperation in enforcement  
→ Provides that States shall cooperate, either directly or through subregional or regional fisherie s management organizations or arrangements, to ensure compliance with and 
enforcement of subregional and regional conservation and management measures for straddling fish stocks and highly migratory fish stocks.  
Article 21 – Subregional and regional coope ration in enforcement   
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- 41 - → Provides a subregional and regional cooperative scheme in enforcement that may involve boarding and inspection by non -flag State inspectors within the framework of an RFMO 
or RFMA.  
Article 22 – Basic procedures for boarding and insp ection pursuant to Article 21  
→ Provides for the basic procedures to be followed by duly authorized inspectors from an inspecting State in case of boarding a nd inspection.  
Article 23 – Measures taken by a port State  
→ Provides for enforcement measures, whi ch may be taken by a port State, whenever fishing vessels are voluntarily in its ports or at its offshore terminals. Such mea sures may 
include inspection of documents, fishing gear and catch on board fishing vessels, and prohibition of landings and transhi pments if national regulations exist to this effect.  
 
2.5  Dispute settlement mechanism  
→ Part VIII on Peaceful Settlement of Disputes (Articles 27 -32) contains provisions for the peaceful settlement of disputes arising out of the implementation of the Agreement.  
Article 27 – Obligation to settle disputes by peaceful means  
"States have the obligation to settle their disputes by negotiation, inquiry, mediation, conciliation, arbitration, judicial settlement, resor t to regional agencies or arrangements, or 
other peaceful means of their own choice".  
Article 28 – Prevention of disputes  
"States s hall cooperate in order to prevent disputes. To this end, States shall agree on efficient and expeditious decision -making procedures within subregional and regional fisheries 
management organizations and arrangements and shall strengthen existing decision -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 pane l established by them. The panel shall confer with 
the States concerned and shall endeavour to resolve the dispute expeditiously without recourse to binding procedures for the sett lement of disputes".  
Article 30 – Procedures for the settlement of disputes  
→ Stipulates that the procedures for the settlement of  disputes set out in  Part XV of  UNCLOS apply 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. The procedures  also apply mutatis mutandis  to any dispute between 
State Parties to the Agreement concerning the interpretation or application of a subregional, regional or global fisheries ag reement relating to straddling fish stocks or highly 
migratory fish stocks to which they are p arties, including any dispute concerning the conservation and management of such stocks, whether or not they are also Parties  to the 
Convention.  
Article 31 – Provisional measures  
"1. Pending the settlement of a dispute in accordance with this Part, the pa rties to the dispute shall make every effort to enter 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 preven t damage to the stocks in question, as well as in the 
circumstances referred to in article  7, paragraph 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, paragra ph 5, of the Convention, the International Tribunal 
for the Law of the Sea shall n ot be entitled to prescribe, modify or revoke provisional measures without the agreement of such State".  
→ The relevant provisions of UNCLOS  
− Part XV of UNCLOS requires that State Parties to the Convention settle any dispute between them concerning the inte rpretation or application of the Convention by all 
peaceful means referred to in the UN Charter.  
− 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 in Section 2 of Part XV.  
− Article 287 lists the following courts or tribunals as means for the settlement of disputes under Section 2:  
- The International Tribunal f or the Law of the Sea (ITLOS), established in accordance with Annex VI of the Convention including the Seabed Disputes Chambe r; 
- The International Court of Justice (ICJ);  
- an arbitral tribunal constituted in accordance with Annex VII of the Convention;  
- a spe cial arbitral tribunal constituted in accordance with Annex VIII for one or more of the categories of disputes specified ther ein.  
− The jurisdiction of ITLOS comprises all disputes and all applications submitted to it in accordance with UNCLOS and all matte rs specifically provided for in any other 
agreement, which confers jurisdiction to the Tribunal.   
  WT/CTE/W/160/Rev.9 • TN/TE/S/5/Rev.7  
 
- 42 - − Part XV, Section 3 on limitations and exceptions to the applicability of Section 2 stipulates in Article 297, paragraph 3 tha t disputes relating to the sovere ign rights of the 
coastal State relating to the living resources in the EEZ, or the exercise of such rights in that zone, are excluded from the  compulsory procedures entailing binding decisions 
provided for in Part XV, Section  2. 
− In relation to the above d isputes subject to limitations and exceptions under Article 297, paragraph 3, where no settlement has been reached by recours e to Part XV, 
Section 1, such disputes shall be submitted to the compulsory conciliation procedure established under Annex V, Secti on 2 of UNCLOS at the request of any party to the 
dispute. Under such a procedure, only the submission to the proceedings is compulsory since the report of the commission of c onciliation, including its conclusions or 
recommendations, remains non -binding up on the Parties to the dispute.  
 
2.6  Provisions for non -parties  
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 consistent with its provisions.  
2. States Parties shall take measures consistent with this Agreement and international law to deter the activities of vessels fl ying the flag of non -parties which undermine the 
effective implementation of this Agreement".  
Article 36 – Review co nference  
"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 Parties and those States and entities which are entitled to become parties to this Agreement as well as those intergov ernmental and no n-governmental organizations entitled 
to participate as observers".  
 
Both States parties and States non -parties to the Agreement participated in the Review Conference in 2006, 2010 and 2016 in accordance with Article 36 of the Ag reement.  
 
3  AGREEMENT ON PORT STATE MEASURES TO PREVENT, DETER AND ELIMINATE ILLEGAL, UNREPORTED AND UNREGULATED FISHING (PSMA)  
3.1  Brief description of the MEA  
Website  http://www.fao.org/fishery/psm/agreement/en  
Objective  Article 2  → The objective of this Agreement is to prevent, deter and eliminate IUU fishing through the implementation of effective Port S tate measures, 
and thereby to ensure the long -term conservation and sustainable use of living marine resources and marine ecosystems.  
Date of Signature  22 November 2009  
Entry into Force  5 June 2016  
Parties  68 Parties including the European Union on behalf of its member States (as of 12 February 2021) . 
WTO Members  62 Parties to PSMA are also WTO Members (see Annex ). 
Openness of 
Membership  Article 25: Signature  
"This Agreement shall be open for signature […] by all States and regional economic integration organizations."  
Article 26: Ratification, acceptance or approval  
"1. This Agreement shall be subject to ratification, acceptance or approval by the signatories.  
2. Instruments of ratification, acceptance or approval shall be deposited with the Depositary."  
Article 27: Accession  
"1. After the period in which this Agreement is open for signature, it shall be open for accession by any State or regional econom ic integration organization.  
2. Instruments of accession shall be deposited with the Depositary."   
  WT/CTE/W/160/Rev.9 • TN/TE/S/5/Rev.7  
 
- 43 - Decision -Making 
Bodies  Decisions  are taken by Parties to the Agreement on Port State Measures at meetings of the Parties or through any other mechanism agreed  by the Parties.  
 
The first meeting of the Parties to the Agreement on Port State Measures was held in Oslo, Norway from 29 to 31 May 2017. The meeting agreed that the 
General Rules of the FAO and the Principles and Procedures that govern Conventions and Agreements concluded under Article XIV  and XV of the FAO 
Constitution, and Commissions and Committees established under Article VI of the Constitution, will be followed until specific procedures are discussed 
and agreed upon.  
 
At this meeting, Parties established an open -ended technical working group and the Part 6 Working Group (with Terms of Reference) which will make 
recommendations to be considered for decision by Parties at their meetings (provisionally to be held on a biannual basis).  
 
FAO discharges the responsibilities of the Secretariat to the meetings of the Parties and their working group meetings.  
 
The second meeting of the Parties was held in Santiago, Chile from 3 -6 June 2019. At this meeting the Parties: 1. adopted the Rules of Procedure for the 
Meetings of the Parties; 2. called upon FAO to develop a Global Information Exchange System (GIES) to f acilitate information exchange required under 
the PSMA and in support its implementation; 3. adopted the Terms of Reference for the Funding Mechanisms under Part 6; 4. ado pted the questionnaire 
to review and assess the effectiveness of the Agreement.  
Amen dments and 
Protocols  Article 33: Amendments  
"1. Any Party may propose amendments to this Agreement after the expiry of a period of two years from the date of entry into f orce of this Agreement.  
2. Any proposed amendment to this Agreement shall be transmitt ed by written communication to the Depositary along with a request for the convening 
of a meeting of the Parties to consider it. The Depositary shall circulate to all Parties such communication as well as all r eplies to the request received from 
Parties. U nless within six months from the date of circulation of the communication one half of the Parties object to the request, the Depositary shall 
convene a meeting of the Parties to consider the proposed amendment.  
3. Subject to Article 34, any amendment to th is Agreement shall only be adopted by consensus of the Parties present at the meeting at which it is proposed 
for adoption.  
4. Subject to Article 34, any amendment adopted by the meeting of the Parties shall come into force among the Parties having ratifie d, accepted or 
approved it on the ninetieth day after the deposit of instruments of ratification, acceptance or approval by two -thirds of the Parties to this Agreement 
based on the number of Parties on the date of adoption of the amendment. Thereafter the amendment 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 amendment.  
5. For the purposes of this Article, an instrument deposited by a regional economic  integration organization shall not be counted as additional to those 
deposited by its Member States."  
Article 34: Annexes  
"1. The Annexes form an integral part of this Agreement and a reference to this Agreement shall constitute a reference to the  Annexes.  
2. An amendment to an Annex to this Agreement may be adopted by two -thirds of the Parties to this Agreement present at a meeting where the proposed 
amendment to the Annex is considered. Every effort shall however be made to reach agreement on any amendment to an Annex by way of consensus. An 
amendment to an Annex shall be incorporated in this Agreement and enter into force for those Parties that have expressed thei r acceptance from the date 
on which the Depositary receives notification of acceptanc e from one -third of the Parties to this Agreement, based on the number of Parties on the date 
of adoption of the amendment. The amendment shall thereafter enter into force for each remaining Party upon receipt by the De positary of its acceptance."   
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- 44 - 3.2  Trade -related measures  
3.2.1   Provisions of the convention  
Article 4 
Relationship with 
international law and 
other international 
instruments  "1. Nothing in this Agreement shall prejudice the rights, jurisdiction and duties of Parties under international law. In part icular, nothing in this 
Agreement shall be construed to affect:  
[…] 
(b) the exercise by Parties of their sovereignty over ports in  their territory in accordance with international law, including their right to deny entry 
thereto as well as to adopt more stringent port State measures than those provided for in this Agreement, including such meas ures pursuant to a 
decision of a regiona l fisheries management organization.  
[…] 
4. This Agreement shall be interpreted and applied in conformity with  international law taking into account applicable international rules and  
standards, including those established through the International Maritime  Organization, as well as other international instruments.  […]" 
Article 7 
Designation of ports  "1. Each Party shall designate and publicize the por ts to which vessels may request entry pursuant to this Agreement. Each Party shall provide a list 
of its designated ports to FAO, which shall give it due publicity.  
2. Each Party shall, to the greatest extent possible, en sure that every port designated and publicized in accordance with p aragraph 1 of this Art icle 
has sufficient capacity to conduct inspections pursuant to this Agreement. " 
Article 9 
Port entry, 
authorization or denial   
 "1. After receiving the relevant information required […] to determine whet her the vessel requesting entry into its port has engaged in IUU fishing or 
fishing relate d activities in support of such fishing, each Party shall decide whether to authorize or de ny the entry of the vessel into its port and shall 
communicate this decision to the vessel or to its representative.  
2. In the case of authorization of entry, the maste r of the vessel or the vessel 's representative shall be required to present the authoriza tion for entry 
to the competent  authorities of the Party upon the vessel 's arrival at port.  
3. In the case of denial of entry, each Party shall  communicate its decision taken pursuant to paragraph 1 of this Article to the flag State of  the vessel 
and, as a ppropriate and to the extent possible, relevant coastal States, regional fishe ries management organizations and other international 
organizations.  
4. Without prejudice to paragraph 1 of this Article, wh en a Party has sufficient proof that a vessel seeking entry into its port has engaged in  IUU 
fishing or fishing related activities in support of such fishing, in particular the inc lusion of a vessel on a list of vessels having engaged in such fishing 
or fishing related a ctivities adopted by a relevant regiona l fisheries management organization in accordance with the rules and procedure s of such 
organization and in conformity with international  law, the Party shall deny that vessel entry into its ports, taking into due account paragraphs 2 and 
3 of Article 4.  
5. Notwithstanding paragraphs 3 and 4 of this Article, a  Party may allow entry into its ports of a vessel referred to in those paragraphs exclusivel y 
for the purpose of inspecting it and taking other appropriate actions in conformity with international law  which are at least as effective as denial of 
port entry in preventing , deterring and eliminating IUU fishing and fishing related activities in support of such fishing.  
6. Where a vessel referred to in paragraph 4 or 5 of this Article is in port for any reason, a Party shall deny such vessel the use of its po rts for landing, 
transshipping, packaging, and processing of fish and for other port services including, inter alia, refuelling and resupplying, maintenance and 
drydock ing. Paragraphs 2 and 3 of Article 11 apply mutatis mutandis in such cases. Denial o f such use of ports shall be in conformity with international 
law." 
Article 11  
Use of Ports  "1. Where a vessel has entered one of its ports, a Party shall deny,  […] that vessel the use of the port for landing, transshipping, packag ing and 
processing of fish that have not been previously landed and for other port s ervices, including, inter alia , refuelling and resupplying, maintenance and 
drydocking, if:  
(a) the Party finds that the vessel does not have a valid and applicable authorization to engage in fishing or fishing related activities required 
by its  flag State;  
(b) the Party finds that the vessel does not have a valid and applicable authorization to enga ge in fishing or fishing related activities required 
by a coastal State in respect of areas under the national jurisdiction of that State;   
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- 45 - (c) the Party receives clear evidence that the fish on board was  taken in contravention of applicable requirements o f a co astal State in respect 
of areas under the national jurisdiction of that State;  
(d) the flag State does not confirm within a re asonable period of time, on the request of the port State, that the fish on boa rd was taken in 
accordance with applicable r equirements of a relevan t regional fisheries management organization taking into due account paragraphs 2 and  3 
of Article 4; or  
(e) the Party has reasonable grounds to believe that the vessel was otherwis e engaged in IUU fishing or fishing related activit ies in support of 
such fishing, including in support of a vessel referred to in paragraph 4 of Article 9, unless the vessel can establish:  
(i) that it was acting in a manner consistent  with relevant conservation and management measures; or  
(ii) in the case of provision of personnel, fuel, gear and other supplies at sea, that the vessel that was provisioned was no t, at the time 
of provisioning, a vessel referred to in paragraph 4 of Article 9.  […]" 
Article 13  
Conduct of inspections  "[…] 
2. Each Party shall, in carrying out inspections in its ports:  … 
(f) make all possible efforts to avoid unduly delaying the vessel to minimize interference and inconvenience, including any unnecessary 
presence of  inspectors on board, and to avoid action that would adversely affect the quality of the fish on board;  […] 
(h) ensure that inspections are conducted in a fair, tr ansparent and non -discriminatory manner and would not constitute harassment of any 
vessel;  […]" 
Article 16  
Electronic exchange  
of information  […] 
2. To the extent possible and with due regard to appropriate confidentiality requirements, Parties should cooperate to establ ish an information -sharing 
mechanism, preferably coordinated by FAO, in conjunction with other relevant multilateral and intergovernmental initiatives, and to facilitate the 
exchange of information with existing databases relevant to this Agreement.  
[…] 
Global Information Exchange System  (GIES)  
Following the agreement by the Parties at their second meeting (3 -6 June2019), FAO is developing a GIES to facilitate information exchange required 
under the PSMA  and in support its implementation. A prototype is expected to be presented at the third meeti ng of the Parties (31 May – 4 June 
2021).  
Article 18  
Port State actions 
following inspection  "1. Where, following an inspection, there are clear grou nds for believing that a vessel has engaged in IUU fishing or fishing related activities in support 
of such fishing, the inspecting Party shall:  
[…] 
(b) deny the vessel the use of its port for landin g, transshipping, packaging and processing of fish that have not been previ ously landed and for other 
port services, including, inter alia , refuelling a nd resupplying, maintenance and drydocking, if these actions have not alrea dy been taken in respect 
of the vessel, in a manner consistent with this Agreement, including Article 4.  […]"  
Article 20  
Role of flag States  "1. Each Party shall require the vesse ls entitled to fly its flag to  cooperate with the port State in inspections carried out pursuant to this  Agreement . 
2. When a Party has clear grounds to believe that a vess el entitled to fly its flag has engaged in IUU fishing or fishing related activities in  support of 
such fishing and is seeking entry to or is in the port of another State, it shall, as appropriate, request that State to inspect the vessel or to take other 
measures consistent with this Agreement.  
3. Each Party shall encourage ves sels entitled to fly its f lag to land, transship, package and process fish, and use other port services, in por ts of 
States that are acting in accordance with, or in a manner consistent with this Agreement. Parties are encouraged to develop, including thro ugh 
regional  fisheries management organizations and FAO, fair, transparent and non-discriminatory procedures for identifying any State that may not be 
acting  in accordance with, or in a manner consistent with, this Agreement.  
4. Where, following port State  inspection, a flag State Party receives an  inspection report indicating that there are clear grounds to believe that a 
vessel entitled to fly its flag has engaged in IUU fishing or fishing related  activities in support of such fishing, it shall immediatel y and fully  investigate 
the matter and shall, upon sufficient evidence, take enforcement  action without delay in accordance with its laws and regulations.  
5. Each Party shall, in its capacity as a flag State, report to other  Parties, relevant port States a nd, as appropriate, other relevant States,  regional 
fisheries management organizations and FAO on actions it has  taken in respect of vessels entitled to fly its flag that, as a result of port State measures 
taken pursuant to this Agreement, have been deter mined to have  engaged in IUU fishing or fishing related activities in support of such  
fishing.    
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- 46 - 6. Each Party shall ensure that measures applied to vessels entitled to fly its flag are at least as effective in preventing, deterring, and eliminating 
IUU fishing and fishing related activities in support of such fishing as measures ap plied to vessels referred to in paragraph 1 of Article 3. " 
3.3  Supportive measures  
Article 6: Cooperation and exch ange of information  
"[…] 
2. Each Party shall, to the greatest extent possible, take measures in support of conservation and management measures adopte d by other States and other relevant international 
organizations. […]"  
Article 21: Requirements of develop ing States  
"[…] 1. Parties shall, either directly or through FAO, other specialized agencies of the United Nations or other appropriate international organizations and bodies, including regional 
fisheries management organizations, provide assistance to dev eloping States Parties in order to, inter alia :  
(a) enhance their ability, in particular the least -developed among them and small island developing States, to develop a legal basis and capacity for the implementation of 
effective port State measures;  
(b) facilitate their participation in any international organizations that promote the effective development and implementati on of port State measures; and  
(c) facilitate technical assistance to strengthen the development and implementation of port State measures by them, in coordination with relevant international mechanisms.  
2. Parties shall give due regard to the special requirements of developing port States Parties, in particular the least -developed among them and small island developing States, to 
ensure that a disproportionate burden resulting from the implementation of this Agreement is not transferred directly or indire ctly to them. In cases where the transfer of a 
disproportionate burden has been demonstrated, Parties shall cooperate to facilitate  the implementation by the relevant developing States Parties of specific obligations under this 
Agreement.  
3. Parties shall, either directly or through FAO, assess the special requirements of developing States Parties concerning the  implementation of this  Agreement.  
4. Parties shall cooperate to establish appropriate funding mechanisms to assist developing States in the implementation of t his Agreement. These mechanisms shall, inter alia, be 
directed specifically towards:  
(a) developing national and inter national port State measures;  
(b) developing and enhancing capacity, including for monitoring, control and surveillance and for training at the national an d regional levels of port managers, inspectors, 
and enforcement and legal personnel;  
(c) monitoring, control, surveillance and compliance activities relevant to port State measures, including access to technology and equipment ; and  
(d) assisting developing States Parties with the costs involved in any proceedings for the settlement of disputes that result  from actions they have taken pursuant to this 
Agreement.  
5. Cooperation with and among developing States Parties for the purposes set out in this Article may include the provision of  technical and financial assistance through bilateral, 
multilateral and r egional channels, including South -South cooperation.  
6. Parties shall establish an ad hoc working group to periodically report and make recommendations to the Parties on the esta blishment of funding mechanisms including a scheme 
for contributions, identification and mobilization of funds, the development of criteria and procedures to guide implementation, and progress in the implementation of the funding 
mechanisms. In addition to the considerations provided in this Article, the ad ho c working group shall take into account, inter alia:   
(a) the assessment of the needs of developing States Parties, in particular the least -developed among them and small island developing States;   
(b) the availability and timely disbursement of funds;  
(c) transparency of decision -making and management processes concerning fundraising and allocations; and  
(d) accountability of the recipient developing States Parties in the agreed use of funds.   
Parties shall take into account the reports and any recommendat ions of the ad hoc working group and take appropriate action."  
PSMA Assistance Fund  
The second  meeting of the Parties to the PSMA (3 -6 June 2019) adopted the Terms of Reference for the Funding Mechanisms under Part 6 of the Agreement to assist developing 
States Parties. Such mechanisms shall include contribution schemes towards an Assistance Fund to be managed by FAO in accordance with its Financial Regulations and other 
applicable Rules.   
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- 47 - The Assistance Fund comprises of (i) a Trust Fund to which developing States Parties may apply for assistance; and (ii) specific project(s) and programme(s) supporting the 
implementation of the Agreement in one or more developing States Parties, as well as in a particular region(s).  
FAO Global Capacity Development  Programme  
FAO's global capacity development programme 'Support for the implementation of the 2009 FAO Agreement on Port State Measures and complementary instruments to combat 
illegal, unreported and unregulated fishing', which benefits both developing Sta tes Parties and non -parties, serves as an implementing framework for projects developed under the 
Assistance Fund.  
3.4  Non-compliance mechanism  
Article 6: Cooperation and exchange of information  
"1. In order to promote the effective implementation of this Agreement and with due regard to appropriate confidentiality requirements, Parties shall cooperate and  exchange 
information with relevant States, FAO, other international organizations and regional fisheries management organizations,  including on the measures adopted by such regional 
fisheries management organizations in relation to the objective of this Agreement.  
[…] 
3. Parties shall cooperate, at the subregional, regional and global levels, in the effective implementation of this A greement including, where appropriate, through FAO or regional 
fisheries management organizations and arrangements."  
Article 24: Monitoring, review and assessment  
"1. Parties shall, within the framework of FAO and its relevant bodies, ensure the regular an d systematic monitoring and review of the implementation of this Agreement as well 
as the assessment of progress made towards achieving its objective.  
2. Four years after the entry into force of this Agreement, FAO shall convene a meeting of the Parties to  review and assess the effectiveness of this Agreement in achieving its 
objective. The Parties shall decide on further such meetings as necessary."  
During the first meeting of the Parties, the Parties recognized the importance of ensuring regular and syste matic monitoring and review of the implementation of the Agreement. 
While Article 24(2) specifies a Meeting every four years, the Parties decided to hold more frequent meetings in the initial y ears of implementation of the PSMA. In this regard, the 
Parties  agreed to develop a specific questionnaire for monitoring purposes and to conduct a review of the PSMA implementation every t wo years, utilizing, inter alia , information 
submitted through the questionnaire. The Second Meeting of the Parties (3 -6 June 2019 ) adopted the questionnaire and the web -based version developed by the Secretariat was 
launched in December 2020 for responses by Parties. The third meeting of the Parties will be held from 31 May -4 June 2021 and focus on the review and assessment of the 
effectiveness of the Agreement in line with Article 24, paragraph 2.  
3.5  Dispute settlement mechanism  
Article 22: Peaceful settlement of disputes  
"1. Any Party may seek consultations with any other Party or Parties on any dispute with regard to the interpretation or application of the provisions of this Agreement with a view 
to reaching a mutually satisfactory solution as soon as possible.  
2. In the event that the dispute is not resolved through these consultations within a reasonable period of time,  the Parties in question shall consult among themselves as soon as 
possible with a view to having the dispute settled by negotiation, inquiry, mediation, conciliation, arbitration, judicial se ttlement or other peaceful means of their own choice.  
3. Any dispute of this character not so resolved shall, with the consent of all Parties to the dispute, be referred for settlement t o the International Court of Justice, to the 
International Tribunal for the Law of the Sea or to arbitration. In the case of failur e to reach agreement on referral to the International Court of Justice, to the International 
Tribunal for the Law of the Sea or to arbitration, the Parties shall continue to consult and cooperate with a view to reachin g settlement of the dispute in accorda nce with the rules 
of international law relating to the conservation of living marine resources."  
3.6  Provisions for non -parties  
Article 23: Non-Parties to this Agreement  
"1. Parties shall encourage non -Parties to this Agre ement to become Parties thereto and/or to adopt laws and regulations and impleme nt measures consistent with its provisions.   
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- 48 - 2. Parties shall take fair, non -discriminatory and transparent measures consistent with this Agreement and other applicable internat ional law to deter the activities of non -Parties 
which undermine the effective i mplementation of this Agreement."  
 
4  INTERNATIONAL TROPICAL TIMBER AGREEMENT (ITTA)8 
4.1  Brief description of the MEA  
Website  http://www.itto.int/  
Objective  → ITTA, 2006 seeks to promote international trade in tropical timber, the sustainable management of tropical forests, and the d evelopment 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  3 April 2006  
Entry into force  7 December 2011  
Article 44 – Duration, extension and termination  
"1. This Agreement shall remain in force for a period of 10 years after its entry into force unless the Council, by special vote in accordance with article  12, 
decides to extend, renegotiate or terminate it  in accordance with the provisions of this article.  
2. The Council may, by special vote in accordance with article  12, decide to extend this Agreement for two periods, an initial period of five years and 
additional one of three years.  
3. If, before the e xpiry of the 10 -year period referred to in paragraph 1 of this article, or before the expiry of an extension 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 ye t entered into force either definitively 
or provisionally, the Council may, by special vote in accordance with article  12, extend this Agreement until the provisional or definitive entry into force of 
the new Agreement.  
4. If the new agreement is negotiat ed 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 spe cial vote in accordance with article  12, decide to terminate this Agreement with effect from such date as it may 
determine."  
6. Notwithstanding the termination of this Agreement, the Council shall continue in being for a period not exceeding 18 months t o carry out the liquidation 
of the Organization, including the settlement of accounts, and, subject to relevant decisions to be taken by special vote in accordance with article 12, shall 
have during that period such powers and functions as may be necessary f or these purposes.  
7. The Council shall notify the depositary of any decision taken under this article."  
ITTA Members  74 Members of which 36 producing and 38 consuming, including the European Union (as of 10 February 2021 ).  
WTO Members  74 Members to ITTA are also WTO Members (see Annex Error! Reference source not found. ). 
Openness of 
Membership  Article 36   Signature, Ratification, Acceptance and Approval  
"1. This Agreement shall be open for signature, at United Nations Headquarters from 3 April 2006 until one month after the date o f its entry into force, 
by Governments invited to the United Nations Conferenc e for the Negotiation of a Successor Agreement to the International Tropical Timber Agreement, 
1994.  
2. Any Government referred to in paragraph 1 of this article may:  
 (a) At the time of signing this Agreement, declare that by such signature it expresses i ts consent to be bound by this Agreement (definitive 
 signature); or  
 (b) After signing this Agreement, ratify, accept or approve it by the deposit of an instrument to that effect with the deposi tary. 
 
8 The International Tropical Timber Agreement (ITTA), 2006 is the Successor Agreement to the International Tropical Timbe r Agreement, 1994 (and, previously, 1983).   
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- 49 - 3. Upon signature and ratification, acceptance or appr oval, or accession, or provisional application, the European Community or any intergovernmental 
organization referred to in article 5, paragraph 1, shall deposit a declaration issued by the appropriate authority of such o rganization specifying the nature 
and extent of its competence over matters governed by this Agreement, and shall inform the depositary of any subsequent substa ntial change in such 
competence. Where such organization declares exclusive competence over all matters governed by this Agreement,  the member States of such organization 
shall not take the actions under article 36, paragraph 2, article 37 and article 38, or shall take the action under article 4 1 or withdraw notification of 
provisional application under article 38."  
Decision -Making 
Bodies  (1) The International Tropical Timber Council (ITTC)  
Article 6 – Composition of the ITTC  
"1. The highest authority of the Organization shall be the 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 ses sions of the Council.  
3. An alternate representative shall be empowered to act and vote on behalf of the representative during the latter's absence or  in special 
circumstances".  
Article 7 – Powers and functions of the Council  
"The Council shall exercise all s uch powers and perform or arrange for the performance of all such functions as are necessary to carry out the provisions 
of this Agreement. In particular, it shall:  
(a) By special vote in accordance with article 12, adopt such rules and regulations as are necessary to carry out the provisions of this Agreement and 
as are consistent therewith, including its own rules of procedure and the financial rules and staff regulations of the Organi zation. Such financial rules 
and regulations shall, inter alia, govern the receipt and expenditure of funds under the accounts established in article 18. The Council may, in its 
rules of procedure, provide for a procedure whereby it may, without meeting, decide specific questions;  
(b) Take such decisions as are necessary to ensure the effective and efficient functioning and operation of the Organization; and  
(c) Keep such records as are required for the performance of its functions under this Agreement."  
Article 29 – General obligations of members  
"1. Members sh all, 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 provi sions of this Agreement and shall refrain from implementing 
measures which would have the effect of limiting or running counter to them".  
(2) Committees and Subsidiary Bodies  
Article 26 Committees and Subsidiary Bodies  
"1. The following are hereby established as Committees of the Organization, which shall be open to all members:  
(a) Committee on Forest Industry;  
(b) Committee on Economics, Statistics and Markets;  
(c) Committee on Reforestation and Forest Management; and  
(d) Committee on Finance and Administration.  
2. The Council may, by special vote in accordance with article 12, establish or dissolve committees and subsidiary bodies as app ropriate.  
3. The Council shall determine the functioning and scope of work of the committees and other subsidiary bodies. The Committees and other subsidiary 
bodies shall be responsible to and work under the authority of the Council."  
Amendments  Article 40 – Amendments  
"1. The Council may, by special vote in accordance with article 1 2, 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 no tifications of acceptance from members constituting at least two 
thirds of the producer members and accounting for at least 75 per cent of the votes of the producer members, and from members  constituting at least 
two thirds of the consumer members and acco unting for at least 75 per cent of the votes of the consumer members.  
4. After the depositary informs the Council that the requirements for entry into force of the amendment have been met, and notwi thstanding 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 acceptance of the 
amendment, provided that such notification is made before the entry into force of the amendment.   
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- 50 - 5. Any member which has not notified its acceptan ce 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 obta ined in time owing to 
difficulties in completing its constitutional or institutional procedures, and the Council decides to extend for that member the period for a cceptance of the 
amendment. Such member shall not be bound by the amendment before it has notified its acceptance thereof.  
6. If the requirements for the entry into force of the amendment have not been met by the date fixed by the Council in accordance wi th paragraph 2 
of this article, the amendment shall be considered withdrawn".  
4.2  Trade -related measures  
4.2.1   Provisions of the agreement  
There are no provisions for trade measures in the ITTA, 2006. However, following the entry into force of the ITTA, 2006, the mandate of the International Tropical 
Timber Organization (ITTO) on trade has been updated and refined.  This is reflected in eight trade -related objectives of the agreement which are outlined in 
Article 1.  
Article 1  
Objectives  The objectives of the International Tropical Timber Agreement, 2006 (hereinafter referred to as "this Agreement") are to promote the expansion and 
diversification of international trade in tropical timber from sustainably managed and legally harvested  forests and to promote  the sustainable 
management of tropical timber producing forests by:  … 
(b) Providing a forum for consultation to promote non -discriminatory timber trade practices;  … 
(d) Enhancing the capacity of members to implement strategies for achieving exports of tropical timber and timber products from s ustainably 
managed sources;  
(e) Promoting improved underst anding of the structural conditions in international markets, including long -term trends in consumption and 
production, factors affecting market access, consumer preferences and prices, and conditions leading to prices which reflect the costs of 
sustainabl e forest management;  … 
(h) Improv ing market intelligence and encouraging information sharing on the international timber market with a view to ensuring greater 
transparency and better information on markets and market trends, including the gathering, compi lation and dissemination of trade related 
data, including data related to species being traded;  … 
(k) Improving marketing and distribution of tropical timber and timber product  exports from sustainably managed and legally harvested 
sources and which are le gally traded,  including promoting consumer awareness;  
(l) Strengthening the capacity of members for the collection, processing and dissemination of statistics on their trade in timber  and 
information on the sustainable management of their tropical forests;  … 
(n) Strengthening the capacity of members to improve forest law enforcement and governance,  and address illegal logging and related trade 
in tropical timber;  
(o) Encouraging information sharing for a better understanding of voluntary mechanisms such as , inter alia, certification, to promote 
sustainable management of tropical forests, and assisting members with their efforts in this area.   
Article 3 4  
Non-discrimination  "Nothing in this Agreement authorizes the use of measures to restrict or ban international trade in, and in particular as the y concern imports of and 
utilization of, timber and timber products".  
  
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- 51 - 4.2.2   Decisions and recommendations  
Examples of the decisions an d recommendations adopted by t he ITTO Council  (ITTC)  include the following : 
Decision 3(X)  → In June 1991, the ITTC committed itself by Decision 3(X) to the "ITTO Year 2000 Objective", which was the goal of having all tropical timber 
entering international trade coming from sustainably managed sources by 2000.  Since then, the Council has approved policy studies and project 
financing for a number of activities to help member countries move toward this Objective. The ITTO Year 2000 Objective has be en incorpora ted in 
the operative objectives of ITTA, 1994 (Article 1(d)). At its Twenty -ninth Session, the ITTC reaffirmed its commitment to moving as rapidly as possible 
towards achieving exports of tropical timber and timber products from sustainably managed sources  pursuant to the ITTO Objective 2000 (Decision 
2 (XXIX) adopted on 4 November 2000).  
Decision 9(XXVI)  → In June 1999, the ITTC adopted a decision relating to market access for tropical timber and requested members to inform the C ouncil on progress 
made with regard to measures undertaken to eliminate possible obstacles to market access for tropical timber as a possible me ans to facilitate 
sustainable forest management.  
Decision 10 (XXXIV)  → In May 2003, the ITTC decided to undertake a study on the costs and benefits of certification in selected ITTO member countri es, to develop 
procedures for phased approaches to certification and to convene an international workshop to promote phased approa ches to certification.  
Decision 12 (XXXIV)  → In May 2003, the ITTC also decided to undertake a study which would:  
− Identify product standards, quality or grading requirements, building codes, and technical regulations that may affect the tr ade of tropical  
timber and timber products;  
− assess the possible impacts of product standards, quality or grading requirements, building codes, and technical regulations,  on trade in 
tropical timber, inter alia, with respect to panel products;  
− assess the capacity of trop ical timber -producing countries to meet existing and evolving product standards and technical regulations for 
timber products in importing countries and, where gaps exist, identify and propose ways to address them and provide relevant assistance 
to tropica l timber producing countries;  
− propose recommendations for consideration by member countries and Council; and  
− in the context of the D oha Development Agenda, report on tariffs, negotiations and the negotiating process as related to tropical timber 
products at the Thirty -Sixth Session of the Council.  
Decision 2 (XXXVII)  → In December 2004, the ITTC adopted a decision on enhanced cooperation  between ITTO and CITES for ramin and mahogany.  
The ITTO Strategic  
Action Plan 2013 -2018  → In November 2012, the ITTC adopted the ITTO Strategic Action Plan 2013 -2018, its fourth action plan (Decision 3 (XLVIII), 10  November  2012).  
Decision 8(LV)  → In December  2019, the ITTC adopted a decision to pilot the programmatic approach and the four programme lines for the period of 2020 -2022 as 
follows: (a) Legal and Sustainable Supply Chains (LSSC); (b) Conservation of Biodiversity and Ecosystem Services; (c) Forest Landscape Restoration 
and Resilient Livelihoods: (d) Emerging Issues and Innovation.   
4.3  Supportive measures  
→ Article 20 provides for the establishment of the Special Account  comprising of the Thematic Programmes  Sub-Account and the Project Sub -Account. The sources of finance 
for the Special Account may come from the Common Fund for Commodities, regional and international financial institutions and voluntary contributions. The resources of the Special 
Account shal l be used only for approved ITTO pre -projects and projects. Since it became operational in 1987, the ITTO has funded over 1000 projects, pre -projects and activities 
for a total cost of over US$ 400 million.  
→ Article 21  of the ITTA, 2006 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 the objective of Art 1 (d) of the ITTA, 2006 a nd is add itional to the Special Account.   
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- 52 - 4.4  Non-compliance mechanism  
Article 19 – Administrative Account  
"...7. If a member has not paid its full contribution to the administrative budget within four months after such contribution become s due in accordance w ith paragraph 6 of this 
article, the Executive Director shall request that member to make payment as quickly as possible. If that member has still no t paid its contribution within two months after such 
request, that member shall be requested to state the r easons for its inability to make payment. If at the expiry of seven months from the 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 contribu tion, unl ess 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 contribut ion becomes 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 Organization".  
Article 4 2 – Exclusion  
"If the Council decides that any member is in breach of its obligations under this Agreement and decides fur ther that such breach 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 depo sitary. Six months after the date of the Council's 
decision, that  member shall cease to be a party to this Agreement".  
4.5  Dispute settlement mechanism  
Article 31 – Complaints and disputes  
"Any complaint that a member has failed to fulfil its obligations under this Agreement and any dispute concerning the interpretation 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".  
4.6  Provisions for non -parties  
Article 16 - Admission of Observers  
The Council may invite any member or observer State of the United Nations which is not party to this Agreement, or any organization referred to in Article 15 interested in the 
activities of the Organization, to attend as observers the sessions of the Council.  
Non-member s takeholders have established two advisory groups to facilitate their participation in the Council and to provide input to the  Council's decision -making process. These 
are the Trade Advisory Group and the Civil Society Advisory Group.  
 
5  INTERNATIONAL PLANT PROTECTION CONVENTION (IPPC)  
5.1  Brief description of the MEA  
The first version of the IPPC was adopted in November 1951 and entered into force in April 1952 (IPPC 1951). It was revised i n 1979 (IPPC 1979), and the revised 
text came into force in April 1991. T he text of the Convention was further amended in 1997 (the New Revised Text of the IPPC), and the text as amended came 
into force with respect to all contracting parties, regardless of the date on which they became parties, on 2 October 2005.  
The IPPC was formally recognized by the Liaison Group of Biodiversity -related Conventions (BLG) on 16 August 2014.  
Website  https://www.ippc.int/   
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- 53 - Objective  → The IPPC is an international treaty for plant protection. Its purpose is to "secure common and effective action to prevent th e spread and introduction of 
pests of plants and plant products, and to promote appropriate measures for their control" (Article I) .  
→ Although the IPPC has strong implications for international trade, its focus is international cooperation for plant protectio n. Many forms of cooperation fall 
within the scope of the Convention. Its application to plants is not limited to the protecti on of cultivated plants or direct damage from pests. The scope of 
the Convention extends to the protection of cultivated and natural floraand includes direct and indirect damage by pests. It also covers plant products and 
convenyances that may harbour pest s. 
→ 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 disguised restriction, particularl y 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.  
→ The three main IPPC Strategic objectives as outlined in the Strategic Framework for  the International Plant Protection Convention (IPPC) 2020 –2030 are:  
(a) Enhance global food security and increase sustainable agricultural productivity (b) Protect the environment from the impa cts of plant pests. Plant 
and; 
(c) Facilitate safe trade, deve lopment and economic growth.  
 
→ The core activities are standard setting, implementaion and capacity development and Communications and interatnonal cooperat ion 
→ The Strategic Framework for the International Plant Protection Convention (IPPC) 2020–2030 also has the following eight IPPC development agenda 
items:  
1. Harmonisation of Electronic Data Exchange;  
2. Commodity, and Pathway Specific ISPMs;  
3. Management of E -commerce and Courier Mail Pathways;  
4. Enabling the Use of Third Party Entities ; 
5. Strengthening Pest Outbreak Alert and Response Systems;  
6. Assessment and Management of Climate Change Impacts on Plant Health;  
7. Global Phytosanitary Research Coordination and;  
8. Diagnostic Laboratory Network  
Date of Adoption  New Revised Text: November 1997  
Entry into force  2 October 2005  
Parties  184 Parties (as of 10 February 2021) . See the  list of Parties here.  
WTO Members  158 Contracting Parties  to IPPC are also WTO Members  (see Annex ). 
Openness of 
Membership  Article XVII – 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.  
2. As soon as this Convention has come into force in accordance with Article  XXII it shall be open for adherence by non -signatory states and member 
organizations of FAO. Adherence shall be effected by the deposit of an instrument of adherenc e with the Director -General of FAO, who shall notify all 
contracting parties.  
3. When a member organization of FAO becomes a contracting party to this Convention, the member organization shall, in accordanc e with the provisions 
of Article II paragraph 7 of  the FAO Constitution, as appropriate, notify at the time of its adherence such modifications or clarifications to its declara tion of 
competence submitted under Article II paragraph 5 of the FAO Constitution as may be necessary in light of its acceptance o f 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 Conventio n to provide information as to 
which, as between the member organization and its member states, is responsible for the implementation of any particular matter covered by this Convention. 
The member organization shall provide this information within a reasonable time".  
Decision -Making 
Bodies  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 parti cular, to:   
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- 54 - (a) review the state of plant protection in the world and the need for action to control the international spread of pests and th eir 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 resolution 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 thi s 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.  
4. The contracting parties shall make every effort to reach agreement on all matters by consensus. If all efforts to reach conse nsus 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 present and voting.  
5. A member organization of FAO that is a contracting party and the member states of that member organization that are contracti ng parties shall 
exercise their membership rights and fulfil their membership obligations in accordance, mutatis mutandis , with the Constitution and General Rules of FAO 
...". 
→ An Interim Commission on Phytosanitary Measures (ICPM) was established with the adoption of the 1997 Amendments. With the ent ry into force of the 
1997 Amendments in 2005, the Commission on Phytosanitary Measures (CPM) superseded the ICPM. The first meeting of the CPM was  held in Rome on 3 -7 
April 2006.  
→ To facilitate the work of the CPM there are five Subsidiary bodies under the C PM: 
- Bureau: seven elected members (one from each FAO region) who oversee the Standards Committee.  
- Standards Committee (SC): 25 elected members representing the seven FAO regions whose primary function is to oversee the deve lopment of 
 International Standards for Phytosanitary Measures (ISPMs).  
- Subsidiary Body for Dispute Settlement (SBDS): seven elec ted members (one from each FAO region) who oversee the IPPC dispute settlement 
 system.  
- Capacity Development Committee (CDC): seven nominated by the Bureau members (one from each FAO region) who oversee the IPPC c apacity 
 development programme.  
- Nationa l Reporting Obligations Advisory Body (NROAG): seven nominated by the Bureau members (one from each FAO region) plus a CPM Bu reau 
 member the Chairpersons of the SC, CDC and SBDS who provide advice and guidance to the National Reporting Obligations (NRO) p rogramme.  
Amendments and 
Protocols  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 specific regions, to specific pests, to specif ic plants and plant products, to specific 
methods of international transportation of plants and plant products, or otherwise supplement the provisions of this Conventi on.  
2. Any such supplementary agreements shall come into force for each contracting part y concerned after acceptance in accordance with the provisions 
of the supplementary agreements concerned.  
3. Supplementary agreements shall promote the intent of this Convention and shall conform to the principles and provisions of th is Convention, as wel l 
as to the principles of transparency, non -discrimination and the avoidance of disguised restrictions, particularly on international trade".  
Article XXI – Amendment  
"1. Any proposal by a contracting party for the amendment of this Convention shall be communicated to the Director -General of FAO.  
2. Any proposed amendment of this Convention received by the Director -General of FAO from a contracting party shall be presented to a regular or 
special session of the Commission for approval and, if the amendme nt involves important technical changes or imposes additional obligations on the 
contracting parties, it shall be considered by an advisory committee of specialists convened by FAO prior to the Commission.  
3. Notice of any proposed amendment of this Conve ntion, other than amendments to the Annex, shall be transmitted to the contracting parties by the 
Director -General of FAO not later than the time when the agenda of the session of the Commission at which the matter is to be consider ed is dispatched.  
4. Any such proposed amendment of this Convention shall require the approval of the Commission and shall come into force as from the  thirtieth day  
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- 55 - after acceptance by two -thirds of the contracting parties. For the purpose of this Article, an instrument deposited  by a member organization of FAO shall not 
be counted as additional to those deposited by member states of such an organization.  
5. Amendments involving new obligations for contracting parties, however, shall come into force in respect of each contracting party only on acceptance 
by it and as from the thirtieth day after such acceptance. The instruments of acceptance of amendments involving new obligati ons shall be deposited with 
the Director -General of FAO, who shall inform all contracting parties of the r eceipt of acceptance and the entry into force of amendments.  
6. Proposals for amendments to the model phytosanitary certificates set out in the Annex to this Convention shall be sent to the  Secretary and shall be 
considered for approval by the Commission. Approved amendments to the model phytosanitary certificates set out in the Annex to this Convention shall 
become effective ninety days after their notification to the contracting parties by the Secretary.  
7. For a period of not more than twelve months from  an amendment to the model phytosanitary certificates set out in the Annex to this Convention 
becoming effective, the previous version of the phytosanitary certificates shall also be legally valid for the purpose of thi s Convention."  
→ As of 31 May 2015, t here are no supplementary agreements under the IPPC and no amendments have been made to the New Revised Text of the IPPC 
(1997).  
5.2  Trade -related measures  
Article IV  
General provisions 
relating to the 
organizational 
arrangements for 
national plant 
protection  "[...] 
2. The responsibilities of an official national plant protection organization shall include the following:  
(a) the issuance of certificates relating to the phytosanitary regulations of the importing contracting party for consignment s of plan ts, plant products 
and other regulated articles;  
[...] 
(g) to ensure through appropriate procedures that the phytosanitary security of consignments after certification regarding co mposition, substitution 
and reinfestation is maintained prior to export; [.. .]" 
Article V  
Phytosanitary 
certification  "1. Each contracting party shall make arrangements 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 phytosanitary certificates in conformity with the followin g provisions:  
(a) Inspection and other related activities leading to issuance of phytosanitary certificates shall be carried out only by or under the auth ority of the 
official national plant protection organization. The issuance of phytosanitary certificates shall be carried out by pu blic officers who are technically 
qualified and duly authorized by the official national plant protection organization to act on its behalf and under its contr ol with such knowledge and 
information available to those officers that the authorities of import ing contracting parties may accept the phytosanitary certificates with confidence 
as dependable documents.  
(b) Phytosanitary certificates, or their electronic equivalent where accepted by the importing contracting party concerned, s hall be as worded in the  
models set out in the Annex to this Convention. These certificates should be completed and issued taking into account relevan t international 
standards.  
(c) Uncertified alterations or erasures shall invalidate the certificates.  
3. Each contracting party un dertakes 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 this Convention. Any requir ement s for additional 
declarations shall be limited to those technically 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 shal l have sovereign authority 
to regulate, in accordance with applicable international agreements, the entry of plants and plant produ cts and other regulated articles and, to this end, 
may:  
(a) prescribe and adopt phytosanitary measures concerning the importation of plants, plant products and other regulated artic les, including, for 
example, inspection, prohibition on importation, and t reatment;   
(b) refuse entry or detain, or require treatment, destruction or removal from the territory of the contracting party, of plan ts, plant products and 
other regulated articles or consignments thereof that do not comply with the phytosanitary measur es prescribed or adopted under subparagraph  (a);   
  WT/CTE/W/160/Rev.9 • TN/TE/S/5/Rev.7  
 
- 56 - (c) prohibit or restrict the movement of regulated pests into their territories;  
(d) prohibit or restrict the movement of biological control agents and other organisms of phytosanitary concern claimed to b e beneficial into their 
territories.  
2. In order to minimize interference with international trade, each contracting party, in exercising its authority under paragra ph 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 su ch 
measures are made necessary by phytosanitary considerations and are technically justified.  
(b) Contracting parties sha ll, immediately upon their adoption, publish and transmit phytosanitary 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 the rationale for phytosanitary requirements, restrictions and 
prohibitions.  
(d) If a contracting party requires consignments of particular plants or plant products to be imported only through specified  points of e ntry, such 
points shall be so selected as 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 other contracting parties upon request. Such restrictions on poin ts of entry shall not be 
made unless the plants, plant products or other re gulated articles concerned are required to be accompanied by phytosanitary certificates or to be 
submitted to inspection or treatment.  
(e) Any inspection or other phytosanitary procedure required by the plant protection organization of a contracting party  for a consignment of plants, 
plant products or other regulated articles offered for importation, shall take place as promptly as possible with due regard to their perishability.  
(f) Importing contracting parties shall, as soon as possible, inform the exporting contracting party concerned or, where appr opriate, the re -exporting 
contracting party concerned, 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 its investigation to the impo rting 
contracting party concerned.  
(g) Contracting parties shall in stitute only phytosanitary measures that are technically justified, consistent with the pest risk involved and represent 
the least restrictive measures available , and result in the minimum impediment to the international movement 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 be unnecessary.  
(i) Contracting parties shall, to the best of their abil ity, establish and update lists of regulated 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 co ntracting parties.  
(j) Contracting  parties shall, to the best of their ability, conduct surveillance for pests and develop and maintain adequate information on pest 
status in order to support categorization  of pests, and for the development of appropriate phytosanitary measures. This infor mation 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 te rritories but, if they 
gained entry, cause economic damage. Measures taken against these pests must be technically justified.  
4. Contracting parties may apply measures specified in this Article to consignments in transit through their territories only wh ere 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 safegu ards, for the importation, 
for the purpose of scientific research, education, or other specific use, of plants and plant products and other regulated articles, and of plant pests.  
6. Nothing in this Article shall prevent any contracting party from taking appropriate emergency action on the detection of a pe st 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 th at its continuance is justified. 
The action taken shall be immediately reported to contracting parties concerned, the Secretary, an d any regional plant protection organization of which 
the contracting party is a member".  
→ Phytosanitary measures, based on International Standards for Phytosanitary Measures ( ISPMs), are established and implemented by contracting 
parties i.e. there are n o global or regional phytosanitary measures that are obligatory.   
  WT/CTE/W/160/Rev.9 • TN/TE/S/5/Rev.7  
 
- 57 - Article VIII  
International 
Cooperation  "1. The contracting parties shall cooperate with one another to the fullest practicable extent in achieving the aims of this Convention, and shall in 
particular:  
(a) cooperate in the exchange of information on plant pests, particularly the reporting of the occurrence, outbreak or spread  of pests that may be 
of immediate or potential danger, in accordance with such procedures as may be established by the  Commission;  
(b) participate, in so far as is practicable, in any special campaigns for combatting pests that may seriously threaten crop production and need 
international action to meet the emergencies; and  
(c) cooperate, to the extent practicable, in pro viding technical and biological information necessary for pest risk analysis.  
2. Each contracting party shall designate a contact point for the exchange of information connected with the implementation o f this Convention."  
Article X  
Standards  "1. The contracting parties agree to cooperate in the development of international standards in accordance with the procedures adopte d by 
the Commission.  
2. International standards shall be adopted by the Commission.  
3. Regional standards should be consistent with  the principles of this Convention; such standards may be deposited with the Commission for 
consideration as candidates for international standards for phytosanitary measures if more broadly applicable.  
4. Contracting parties should take into account, as a ppropriate, international standards when undertaking activities related to this Convention".  
→ In addition to the above, the IPPC is nominated as the Plant Health standards setting organization for the WTO Agreement on t he Application of 
Sanitary and Phyto sanitary Measures (SPS Agreement).  
Phytosanitary 
Systems and 
component pages  These pages bring together relevant standards, guides and contributed resources which can help contracting parties understand  and implement 
the IPPC, ISPMS and CPM Recommendation s. 
 
https://www.ippc.int/en/core -activities/capacity -development/phytosanitary -system/  
Examples of 
International 
Standards for 
Phytosanitary 
Measures (ISPMs) 
adopted under 
IPPC relevant to 
trade:   
ISPM # 01 (2006):  Phytosanitary principles for the protection of plants and the application of phytosanitary measures in international trade  
ISPM # 02 (2007):  Framework for pest risk analysis  
ISPM # 03 (2005):  Guidelines for the export, shipment, import and release of biological control agents and other be neficial organisms  
ISPM # 04 (1995):  Requirements for the establishment of Pest Free Areas  
ISPM # 05 (2015):  Glossary of phytosanitary terms, including one Appendix and two supplements associated with this standard  
ISPM # 06 (1997):  Guidelines for surveil lance 
ISPM # 07 (2011):  Export certification system  
ISPM # 08 (1998):  Determination of pest status in an area  
ISPM # 09 (1998):  Guidelines for pest eradication programmes  
ISPM # 10 (1999):  Requirements for the establishment of pest free places of productio n and pest free production sites  
ISPM # 11 (2013):  Pest risk analysis for quarantine pests including analysis of environmental risks and living modified organisms  
ISPM # 12 (2011):  Guidelines for phytosanitary certificates with Appendix 1 added in 2014  
ISPM # 13 (2001):  Guidelines for the notification of non -compliance and emergency action  
ISPM # 14 (2002):  The use of integrated measures in a systems approach for pest risk management  
ISPM # 15 (2009):  Regulation of wood packaging material in international trade, with Annex 1 and 2 revised in 2013  
ISPM # 16 (2002):  Regulated non -quarantine pests: concept and application  
ISPM # 17 (2002):  Pest reporting  
ISPM # 18 (2003):  Guidelines for the use of irradiation as a phytosanitary measure  
ISPM # 19 (2003):  Guidelines on lists of regulated pests  
ISPM # 20 (2004):  Guidelines for a phytosanitary import regulatory system  
ISPM # 21 (2004):  Pest risk analysis for regulated non quarantine pests  
ISPM # 22 (2005):  Requirements for the establishment of areas o f low pest prevalence  
ISPM # 23 (2005):  Guidelines for inspection   
  WT/CTE/W/160/Rev.9 • TN/TE/S/5/Rev.7  
 
- 58 - ISPM # 24 (2005):  Guidelines for the determination and recognition of equivalence of phytosanitary measures  
ISPM # 25 (2006):  Consignments in transit  
ISPM # 26 (2015):  Establishment of pest free areas for fruit flies (Tephritidae)  
ISPM # 27 (2006):  Diagnostic protocols for regulated pests – there are 7 Appendices or diagnostic protocols associated with this ISPM  
ISPM # 28 (2009):  Phytosanitary treatments for regulated pests – there are 19 App endices or phytosanitary treatments associated with this ISPM  
ISPM # 29 (2007):  Recognition of pest free areas and areas of low pest prevalence  
ISPM # 30 (2008):  Establishment of areas of low pest prevalence for fruit flies (Tephritidae)  
ISPM # 31 (2008):  Methodologies for sampling of consignments  
ISPM # 32 (2009):  Categorization of commodities according to their pest risk  
ISPM # 34 (2010):  Design and operation of post -entry quarantine stations for plants  
ISPM # 35 (2012):  Systems approach for pest risk management of fruit flies (Tephritidae)  
ISPM # 36 (2012):  Integrated measures for plants for planting  
ISPM # 37 (2016): Determination of host status of fruit to fruit flies (Tephritidae)  
ISPM # 38 (2017): International movement of seeds  
ISPM # 39 (201 7): International movement of wood  
ISPM # 40 (2017): International movement of growing media in association with plants for planting  
ISPM # 41 (2017): International movement of used vehicles, machinery and equipment  
→ The most current list of ISPMs and ass ociated appendices or supplements can be found at:  
https://www.ippc.int/en/core -activities/standards -setting/ispms/ . 
5.3  Supportive measures  
Article XX – Technical Assistance   
"The contracting parties agree to promote the provision of technical assistance to contracting parties, especially those that  are deve loping contracting parties, either bilaterally or 
through the appropriate international organizations, with the objective of facilitating the implementation of this Convention ". 
→ The Commission on Phytosanitary Measures (CPM) has adopted an IPPC capacity building strategic plan that can be found at: https://www.ippc.int/en/publications/11/ . 
→ The Phytosanitary Capacity Evaluation (PCE) tool is a national self -evaluation tool developed for countries that allows countries to undertake a Gaps Analysis, develop a national 
IPPC strategic plan and then determine national capacity development priorities.  
→ In the past the IPPC maintained an Informal Working Group (IWG) on Technical Assistance as w ell as an Expert Working Group on Phytosanitary Capacity Development, which 
held meetings in 2010, 2011, and 2012.  
→ More recently the IPPC formed a Capacity Development Committee (CDC), comprised of technical representatives from all seven F AO regions who  oversee the development of 
tools to strengthen global capacity for implementation of the IPPC. The first meeting of the CDC took place in December 2012 and meets at least twice per annum.  
 
Examples of Training materials that are developed  under the auspic es of the IPPC Secretariat that help countries implement standards  relevant to trade:  
List of Guides and training materials is also provided on the IPP C website . These materials help contracting parties to the IPPC to implement the IPPC, International Stan dards for 
Phytosanitary Measures and CPM Recommendations.  
https://www.ippc.int/en/core -activities/capacity -development/  
5.4  Non-compliance mechanism  
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 paragraph 1 of this  Article, undertakes to act in conformity 
with the following: …   
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- 59 - (f) Importing contracting parties shall, as soon as possible, info rm the exporting contracting party concerned or, where appropriate, the re -exporting contracting party 
concerned, 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 its investigation to the importing contracting part y concerned".  
→ Guidance for non -compliance of phytosanitary certification only is elaborated in the ISPM # 13 ( 2001), Guidelines for the Notification of Non -Compliance and Emergency Actions, 
which only relates to the non -compliance in relation to phytosanitary for importation (ISPM #12: Phytosanitary Certificates).  
→ The CPM does not consider a compliance mechanism  appropriate for the IPPC, but has established an Implementation Review and Support System (IRSS) that will undertake a 
gaps analysis of ISPM implementation and then develop strategies to improved implementation when challenges are identified.  
5.5  Dispute settlement mechanism  
Article XIII – Settlement of disputes  
"1. If there is any dispute regarding the interpretation or application of this Convention, or if a contracting party considers t hat any action by another contracting party is in conflict 
with the obligations of the latter under Articles V and VII of this Convention, especially regarding the basis of prohibiting or restricting the imports of plants, plant products or other 
regulated articles coming from its territories, the contracting parti es concerned shall consult among themselves as soon as possible with a view to resolving the dispute.  
2. If the dispute cannot be resolved by the means referred to in paragraph 1, the contracting party or parties concerned may req uest the FAO Director -General to appoint a 
committee of experts to consider the question in dispute, in accordance with rules and procedures that may be established by the Commission.  
3. This Committee shall include representatives designated by each contracting party concerned. The 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 of the report and its approval shall be according to rules and procedures establis hed by the Commission, and it shall be  transmitted by 
the Director -General to the contracting parties concerned. The report may also be submitted, upon its request, to the competent body of th e international organization responsible 
for resolving trade disputes.  
4. The contracting parties agr ee that the recommendations of such a committee, while not binding in character, will become the basis for renewed considerat ion by the contracting 
parties concerned of the matter out of which the disagreement arose.  
5. The contracting parties concerned s hall share the expenses of the experts.  
6. The provisions of this Article shall be complementary to and not in derogation of the dispute settlement procedures provided for in other international agreements dealing with 
trade matters".  
→ The Interim Commis sion established the Subsidiary Body on Dispute Settlement (SBDS) in 2001. The first meeting was held in April 2003. The SBDS  is composed of seven 
experts, one from each of the seven FAO geographic regions. The role of the SBDS is to assist the IPPC Secret ariat in helping contracting parties select a suitable dispute settlement 
system. The SBDS developed a Dispute Settlement Manual to facilitate the implementation of the Convention's dispute settlemen t rules and procedures.  
→ CPM (2014) agreed that increase d emphasis should be placed on dispute avoidance as this was the most utilized and successful component of the IPPC Dispute A voidance and 
Settlement System.  
Additional information on the IPPC Dispute Avoidance and Settlement System is available on the IPP C website at: https://www.ippc.int/en/core -activities/dispute -settlement/ . 
5.6  Provisions for non -parties  
Article XVIII – Non-contracting  parties  
"The contracting parties shall encourage any state or member organization of FAO, not a party to this Convention, to accept this Convention, and shall encou rage any non -contracting 
party to apply phytosanitary measures consistent with the provisions of this Convention and any internatio nal standards adopted hereunder".  
  
  WT/CTE/W/160/Rev.9 • TN/TE/S/5/Rev.7  
 
- 60 - 6  CONVENTION ON BIOLOGICAL DIVERSITY (CBD)  
6.1  Brief description of the MEA  
Website  http://www.cbd.int  
Objective  → The objectives of the CBD, to be pursued in accordance with its relevant provisions, are the conservation of biological diversity, the sustainable use of 
its components, and the fair and equitable sharing of the benefits arising out of the utilization of genetic resources, inclu ding by appropriate access to 
genetic res ources and by appropriate transfer of relevant technologies, taking into account all rights over those resources and to techn ologies, and by 
appropriate funding (Article 1 of the Convention).  
Date of Signature  5 June 1992  
Entry into force  29 December 1993  
Parties  196 Parties (as of 10 February 2021).  
WTO Members  160 Parties to CBD are also WTO Members (see  Annex ). 
Openness of 
Membership  Article 33 – Signature  
"This Convention shall be open for signature … by all States and any regional economic integration organization …".  
Article 34 – Ratification, Acceptance or Approval  
"1. This Convention and any protocol shall be subject to ratification, acceptance or approval by States and by regional economic integration 
organizations …  
2. Any organization referred to in paragraph 1 above which becomes a Contracting Party to this Convention or any protocol withou t any of its member 
States being a Contracting Party shall be bound by all the obligations under the  Convention or the protocol, as the case may be. In the case of such 
organizations, one or more of whose member States is a Contracting Party to this Convention or relevant protocol, the organiz ation and its member States 
shall decide on their respective r esponsibilities for the performance of their obligations under the Convention or protocol, as the case may be. In such 
cases, the organization and the member States shall not be entitled to exercise right under the Convention or relevant protoc ol concurren tly ...".  
Article 35 – Accession  
"1. This Convention and any protocol shall be open for accession by States and by regional economic integration organization ..." . 
Decision -Making 
Bodies  Article 23 – Conference of the Parties  
"... 4.   The CoP shall keep u nder 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 c onsider such information 
as well as reports submitted by any subsidiary body;  
(b) Review scientific, technical and technological a dvice 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 Articles 29 and 30, amendments to this Convention an d its annexes;  
(e) Consider amendments to any protocol, as well as to any annexes thereto, and, if so decided, recommend their adoption to t he 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 th e implementation of this 
Convention;  
(h) Contact, through the Secretariat, the executive bodies of con ventions 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 Conventi on in the light of experience 
gained in its operation".  
  
  WT/CTE/W/160/Rev.9 • TN/TE/S/5/Rev.7  
 
- 61 - → The CoP has established a number of working groups to address specific issues, such as the Working Group on Article 8(j) and Related Provisions of the 
Convention and, by Decision XII/26, a Subsidia ry Body on Implementation.  
→ The thirteenth meeting of the CoP took place in Cancun, Mexico, from 4 –17 December 2016.  
 
Article 25 – 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 [C oP] and, as appropriate, 
its other subsidiary bodies with timely advice relating to the implementation of this Convention. This bod y shall be open to participation by all Parties and 
shall be multidisciplinary. It shall comprise government representatives competent in the relevant field of expertise. It sha ll report regularly to the [CoP] 
on all aspects of its work.  
2. Under the auth ority of and in accordance with guidelines laid down by the [CoP], and upon its request, this body shall:  
(a) Provide scientific and technical assessments of the status of biological diversity;  
(b) Prepare scientific and technical assessments of the effect s 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  and sustainable use 
of biological diversity; and  
(e) Respond to scientific, technical, technological and methodological questions that the [CoP] and its subsidiary bodies may p ut to the body" ...  
Amendments and 
Protocols  (1) Amendments  
Article 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 Par ty to that 
protocol.  
2. Amendments to this Convention shall be adopted at a meeting of the [CoP]. Amendments to any protocol shall  be adopted at a [MoP] to the Protocol 
in question. The text of any proposed amendment to this Convention or to any protocol, except as may otherwise be provided in  such protocol, shall be 
communicated to the Parties to the instrument in question by the se cretariat 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 reach agreem ent on any proposed amendment to this Convention or to any protocol by consensus. 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 majority 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 ratific ation, acceptance 
or approval.  
4. Ratification, acceptance or approval of amendments shall be notified to the Depositary in writing . Amendments adopted in accordance with 
paragraph  3 above shall enter into force among Parties having accepted them on the ninetieth day after the deposit of instruments of ra tification, 
acceptance or approval by at least two -thirds of the Contracting Part ies to this Convention or of the Parties to the protocol concerned, except 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 v ote". 
 
→ See also Article 23:4(d) on the CoP in the Section on Decision -Making Bodies above.   
  WT/CTE/W/160/Rev.9 • TN/TE/S/5/Rev.7  
 
- 62 -  (2) 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 [CoP].  
3. The text of any proposed protocol shall be communicated to the Contracting Parties by the  Secretariat at least six months before such a meeting."  
→ The COP adopted the Cartagena Protocol on Biosafety on 29 January 2000. The Protocol entered into force on 11 September 2003.  
Article 32 – Relationship between this 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, a Contracting 
Party to this Convention.  
2. Decisions under any protocol shall be taken only by the Parties to the prot ocol concerned. Any Contracting Party that has not ratified, accepted or 
approved a protocol may participate as an observer in any MoP to that protocol".  
→ See Cartegena Protocol on Biosafety and Nagoya Protocol on Access to Genetic Resources and the Fair and Equitable Sharing of Benefits Arising from 
their Utilization as well as the Nagoya –Kuala Lumpur Supplementary Protocol on Liability and Redress to the Cartagena Protocol On Biosafety.  
6.2  Trade -related measures  
6.2.1   Provisions of the convention  
The text of the Convention does not explicitly refer to trade measures, nor does the Convention generally prescribe specific measures. The provisions of the 
Convention, with a few exceptions, set goals and esta blish 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 generally 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 6  
General Measures for 
Conservation and 
Sustainable Use  "Each Contracting Party shall, in accordance with its particular conditions and capabilities:  
(a) Develop national strategies, plans or programmes for the conservation and sustainable use of biological diversity or adap t for this purpose 
existing strategies, plans or programmes w hich shall reflect, inter alia , the measures set out in this Convention relevant to the Contracting Party 
concerned; and  
(b) Integrate, as far as possible and as appropriate, the conservation and sustainable use of biological diversity into relev ant secto ral or cross -
sectoral plans, programmes and policies".  
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 conservation 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: …  
(h) Prevent the introduction of, control or eradicate those alien species which threaten ecosystems, habitats or species; …  
(j) Subject to its national legislation, respec t, 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 wider application with 
the approv al and involvement of the holders of such knowledge, innovations and practices and encourage the equitable sharing of the ben efits 
arising from the utilization of such knowledge, innovations and practices; …  
(l) Where a significant adverse effect on biolog ical diversity has been determined pursuant to Article 7, regulate or manage the relevant processes 
and categories of activities;…".  
Article 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 compatible with 
conservation or sustainable use requirements; …".   
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- 63 - Article 11  
Incentive Measures  "Each Contracting Party shall, as far as possible and as appropriate, adopt economically and socially sound measures that act  as incentives for the 
conservation and sustainable use of components 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 participation 
in such procedure s; 
(b) Introduce appropriate arrangements to ensure that the environmental consequences of its programmes and policies that are likely to have 
significant adverse impacts on biological diversity are duly taken into account;  
(c) Promote, on the basis of rec iprocity, notification, exchange of information and consultation on activities under their jurisdiction or control 
which are likely to significantly affect adversely the biological diversity of other States or areas beyond the limits of nat ional jurisdicti on, 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  within the area under 
jurisdiction of other States or in areas beyond the limits of national jurisdiction, notify immediately the potentially affected S tates 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, where 
appropriate and agreed by the States or regional economic integration organizations concerned, to establish joint contingency  plans.  
2.  The [CoP] shall examine, on the basis of studies to be carried out, the issue of liability and redress, includin g restoration and compensation, for 
damage to biological diversity, except 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 resources 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 sou nd 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 Article 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 Part ies that 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 informed consent of the Contracting Party providing such resources, unl ess otherwise 
determined by that Party.  
6. Each Contracting Party shall endeavour to develop and carry out scientific research based on genetic resources provided by other C ontracting 
Parties with the full participation of, and where possible in, such Contracting Parties.  
7. Each Contracting Party shal l take legislative, administrative or policy measures, as appropriate, and in accordance with Articles 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 equi table way the  results 
of research and development and the benefits arising from the commercial and other utilization of genetic resources with the Contracting Party 
providing such resources. Such sharing shall be upon mutually agreed terms".   
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- 64 - Article 16  
Access to and T ransfer 
of Technology  "1. Each Contracting Party, recognizing that technology includes biotechnology, and that both access to and transfer of technolog y among 
Contracting Parties are essential elements for the attainment of the objectives of this Conventio n, undertakes subject to the provisions of this Article 
to provide and/or facilitate access for and transfer to other Contracting Parties of technologies that are relevant to the co nservation and sustainable 
use of biological diversity or make use of genet ic resources and do not cause significant damage to the environment.  
2. Access to and transfer of technology referred to in paragraph 1 above to developing countries shall be provided and/or facili tated under fair 
and most favourable terms, including on co ncessional and preferential terms where mutually agreed, and, where necessary, in accordance with the 
financial mechanism established by Articles 20 and 21. In the case of technology subject to patents and other intellectual pr operty 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 consistent with paragraphs 3, 4 and 5 below.  
3. Each Contracting  Party shall take legislative, administrative or policy measures, as appropriate, with the aim that Contracting Parties, in 
particular those that are developing countries, which provide genetic resources are provided access to and transfer of techno logy wh ich makes use 
of those resources, on mutually agreed terms, including technology protected by patents and other intellectual property right s, where necessary, 
through the provisions of Articles  20 and 21 and in accordance with international law and consist ent with paragraphs 4 and 5 below.  
4. Each Contracting Party shall take legislative, administrative or policy measures, as appropriate, with the aim that the priva te sector facilitates 
access to, joint development and transfer of technology referred to in paragraph 1 above for the benefit of both governmental institutions and the 
private sector of developing countries and in this regard shall abide by the obligations included in paragraphs 1, 2 and 3 ab ove. 
5. The Contracting Parties, recognizing that patents and other intellectual property rights may have an influence on the implementation of this 
Convention, shall cooperate in this regard subject to national legislation and international law in order to ensure that such  rights 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, administrative or policy measures, as appropriate, to provide for the effectiv e participation in  
biotechnological research activities by those Contracting Parties, especially developing countries, which provide the genetic  resources 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 basis by Contracting 
Parties, especially developing countries, to the results and benefits arising from biotechnologies based upon genetic resourc es provided by those 
Contracting Part ies. 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 partic ular, advance 
informed agreement, in the field of the safe transfer, handlin g and use of any living modified organism resulting from biotechnology that may have 
adverse effect on the conservation and sustainable use of biological diversity.  
4. Each Contracting Party shall, directly or by requiring any natural or legal person under  its jurisdiction providing the organisms 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 po tential adverse impact of the specific organisms concerned to the Contracting 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 exis ting international 
agreement, except where the exercise of those rights and obligations would cause a serious damage or threat to b iological diversity.  
2. Contracting Parties shall implement this Convention with respect to the marine environment consistently with the rights and o bligations of 
States under the law of the sea".  
6.2.2   Decisions of the Conference of the Parties9 
A number of topics addressed by the Conference of the Parties relate to international trade and the work of the World Trade Org anization.  
 
9 All decisions of the Conference of the Parties to the Convention are available online under http://www.cbd.int/decisions/ .  
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- 65 - 6.2.2.1   Access to genetic resources and the fair and equitable sharing of the benefits arising out of their utilization  
Decision  V/26  
Access to Genetic 
Resources  "B. The relationship between intellectual property rights and the relevant provisions of the Agreement on Trade -related Aspects of Intellectual Property 
Rights and the [CBD]  
The [COP] ... 2. Invites the [WTO] to acknowledge relevant provisions of the Convention and to take into account the fact that the provisio ns of the 
[TRIPS] Agreement and the [CBD] are interrelated and to further explore this interrelationship;  
3.  Requests the Executi ve Secretary to transmit the present decision to the secretariats of the [WTO] and the [WIPO], 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 [TRIPS Council], and requests hi m to report 
back to the [COP] on his efforts …".   
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- 66 - Decision VI/24  
Access and Benefit -
sharing as Related to 
Genetic Resources  The Bonn Guidelines adopted by the Conference of the Parties at its sixth meeting are contained in annex to Decision VI/24, s ection A. The following 
sections of the guidelines may be of particular relevance:  
 
"A. Bonn Guidelines on Access to Genetic Resou rces and Fair and Equitable Sharing of the Benefits Arising out of their Utilization  
I. General Provisions   
1. These Guidelines may serve as inputs when developing and drafting legislative, administrative or policy measures on access an d 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. …  
7. The present guidelines are voluntary and were prepared with a view to en suring their:  
(a) Voluntary nature: they are intended to guide both users and providers of genetic resources on a voluntary basis;  
9. All genetic resources and associated traditional knowledge, innovations and practices covered by the [CBD] and benefits arisi ng from the 
commercial and other utilization of such resources should be covered by the guidelines, with the exclusion of human gen etic resources. …  
12.  The Guidelines are intended to assist Parties in developing an overall access and benefit -sharing strategy, which may be part of their national 
biodiversity strategy and action plan, and in identifying the steps involved in the proc ess of obtaining access to genetic resources and sharing benefits.  
 
II. Roles and Responsibilities in Access and Benefit -sharing pursuant to Article 15 of the [CBD]  
13.  Each Party should designate one national focal point for access and benefit -sharing an d make such information available through the clearing -
house mechanism. The national focal point should inform applicants for access to genetic resources on procedures for acquirin g prior informed consent 
and mutually agreed terms, including benefit -sharin g, and on competent national authorities, relevant indigenous and local 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 responsibilities provides key 
elements to be acted upon: ...  
(b) In the implementation of mutually agreed terms, users should:  
(i) 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, administrativ e, or policy measures, 
as appropriate, to support compliance with prior informed consent of the  Contracting Party providing such resources and mutually agreed 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 knowledge, 
innovations and practices of indigenous and local communities in applications for intellec tual property rights;  
(iii) Measures aimed at preventing the use of genetic resources obtained without the prior informed consent of the Contractin g Party 
providing such resources;  
(iv) Cooperation between Contracting Parties to address alleged infringem ents 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 wi th provisions under subparagraph 16 (b) above. …  
 
IV. Steps in the Access and Benefit -sharing process  
24.   As provided for in Article 15 of the [CBD], which recognizes the sovereign rights of States over their natural resources, eac h Contracting Party 
to the Convention shall endeavour to create conditions to facilitate access to genetic resources for environmentally sound uses by other Contracting 
Parties and fair and equitable sharing of benefits arising from such uses. In accordance with Article 15, para graph 5, of the [CBD], access to genetic 
resources shall be subject to prior informed consent of the contracting Party providing such resources, unless otherwise dete rmined by that Party.  
25.  Against this background, the Guidelines are intended to assist  Parties in the establishment of a system of prior informed consent, in accordance 
with Article 15, paragraph 5, of the Convention.  
D. Mutually agreed terms  
…  
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- 67 - Basic requirements for mutually agreed terms  
43.  The following elements should be considered as guiding parameters in contractual agreements. These elements could also be considered as basic 
requirements for mutually agreed terms:  
(c) Provision for the use of intellectual property rights include joint research, obligation to implement rights on inven tions obtained and to provide 
licences by common consent;  
(d) The possibility of joint ownership of intellectual property rights according to the degree of contribution."  
 
Other sections of Decision VI/24 are also of relevance to the work of the WTO:  
Under Decision VI/24, section C on the Role of intellectual property rights in the implementation of access and benefit -sharing 
arrangements  
The [CoP]  
1 .  Invites Parties and Governments to encourage the disclosure of the country of origin of genetic resources in applications for  intellectual property 
rights, where the subject matter of the application concerns or makes use of genetic resources in its devel opment, as a possible contribution to tracking 
compliance with prior informed consent and the mutually agreed terms on which access to those resources was granted;  
2. Also invites Parties and Governments to encourage the disclosure of the origin of releva nt traditional knowledge, innovations and practices of 
indigenous and local communities relevant for the conservation and sustainable use of biological diversity in applications fo r 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 [WIPO]  and through 
the Ad Hoc Open -ended Inter -Sessional Working Group on  Article 8(j) and Related Provisions of the Convention, 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 researc h;  
(b) Role of customary laws and practices in relation to the protection of genetic resources and traditional knowledge, innova tions and practices, 
and their relationship with intellectual property rights;  
(c) Consistency and applicability of requiremen ts 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 propert y rights appl ications 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 certificat e of origin system as evidence of prior informed consent and mutually agreed terms;  and  
(g) Role of oral evidence of prior art in the examination, granting and maintenance of intellectual property rights;  
8. Invites other relevant international organizati ons (such as the [FAO, the UNCTAD, the WIPO, the WTO, and the UNCHR]), 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; ... ."  
 
Under Decision VI/24, s ection D on Other issues relating to access and benefit -sharing  
The [CoP],  
The relationship between the [TRIPS Agreement of the WTO and the CBD]  
Noting that the provisions of the [TRIPS Agreement of the WTO and the CBD] are interrelated,  
Noting also that  the relationship between the [TRIPS Agreement and the CBD] is being examined by the [TRIPS Council], in conformity with [Para graph 
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 [TRIPS Council], notwithstanding the official request 
of the Executive Secretary to the Director -General of the [WTO] in a letter dated 4 July 2000,  
1. Requests the Executive Secretary of the Convention to re new the application for observer status on the [TRIPS Council], and to report back to 
the Conference of Parties on his efforts;  
2. Requests the Executive Secretary to follow discussions and developments in the [CTE of the WTO and the TRIPS Council] regardi ng the relationship 
between the [TRIPS Agreement] and the Convention;  
Cooperation with other relevant intergovernmental organizati ons   
  WT/CTE/W/160/Rev.9 • TN/TE/S/5/Rev.7  
 
- 68 - 3. Acknowledges relevant work being carried out by other intergovernmental organisations, such as the [WIPO, the WTO, the Union for the 
Protection of New Varieties of Plants, the UNCTAD, and the FAO], on issues related to access to genetic resources a nd benefit -sharing;  
4. Requests the Executive Secretary to further collaborate with the above relevant organisations to ensure mutual supportiveness  and avoid 
duplication of work; …".  
Decision VII/19  
Access and Benefit -
sharing as Related to 
Genetic Resou rces 
(Article 15)  E. Measures, including consideration of their feasibility, practicality and costs, to support compliance with prior informed consent of 
the Contracting Party providing genetic resources and mutually agreed terms on which access was granted in Contracting Parties with 
users of such resources under their jurisdiction ...  
Noting further  the ongoing activities and processes in relevant international forums such as the [WIPO, the TRIPS Council of the WTO], and t he 
Commission on Plant Genetic Resources for Food and Agriculture of the [FAO] acting as the Interim Committee for the Internati onal Treaty on Plant 
and Genetic Resources for Food and Agriculture, regarding measures to support compliance with prior informed consent, ...  
2. Invites  Parties and Governments to continue taking appropriate and practical measures to support compliance with  prior informed consent of 
the Contracting Parties providing such resources, including countries of origin, in accordance with Article 2 and Article 15,  paragraph 3, of the 
Convention, and of the indigenous and local communities providing associated tradit ional knowledge, and with mutually agreed terms on which access 
was granted.  Such measures may include: ...  
(b) Incentive measures, as referred to in paragraph 51 of the Bonn Guidelines, to encourage users to comply with national leg islation, including 
prior informed consent and mutually agreed terms, such as publicly sponsored research grants and voluntary certification schemes ; ... 
(d) Aspects related to the import and export of genetic resources, including regulations when feasible and as appropriate; .. . 
4. Invites  Parties to establish national mechanisms to ensure compliance, when required by domestic law, with the obtaining of prior inf ormed 
consent of indigenous and local communities regarding access to genetic resources and associated traditional kno wledge; ...  
 
F. Needs for capacity -building identified by countries to implement the Guidelines ...  
1. Adopts the Action Plan on Capacity -building for Access to Genetic Resources and Benefit -sharing annexed to this decision; ...  
Annex: Action plan on capac ity-building for access to genetic resources and benefit -sharing ...  
5. Capacities should be strengthened at the systemic, institutional and individual levels in the following key areas: ...  
(m) Development of awareness with respect to conventions, norms a nd policies relating to intellectual property rights and trade and their 
interrelationship with genetic resources and traditional knowledge; ...".  
Decision VIII/4  
Access and benefit -
sharing  "... D. Measures, including consideration of their feasibility, practicality and costs, to support compliance with prior informed consent 
of the contracting Party providing genetic resources and mutually agreed terms on which access was granted in contracting Par ties 
with users of such resources under thei r jurisdiction  
The [C oP] ... Noting discussions regarding disclosure of origin/source/legal provenance in intellectual property rights applications in the [WIPO]  and in 
the D oha Work Programme of the [WTO] ... 
4. Requests the Executive Secretary to renew t he application for accreditation of the [CBD] as an observer at the [TRIPS Council] of the [WTO]. " 
Decision X/1  
Access to Genetic 
Resources and the fair 
and equitable Sharing 
of the Benefits Arising 
out of their Utilization  "1. Decides to adopt the Nagoya Protocol on Access to Genetic Resources and the Fair and Equitable Sharing of Benefits Arising from their Utilization 
to the Convention on Biological Diversity (the Protocol) as set out in the annex I to the present decision;"  
 
→ See further informa tion provided on the Nagoya Protocol  (Section 8)   
  WT/CTE/W/160/Rev.9 • TN/TE/S/5/Rev.7  
 
- 69 - Decision 14/20  
Digital sequence 
information on genetic 
resources  The [COP]…  
 
1.   Recognizes the importance of digital sequence information on genetic resources for the three objectives of the Convention which are mutually  
supportive, although further work is needed to provide conceptual clarity on digital sequence information on genetic resource s;  
2.   Recognizes that access to and use of digital sequence information on genetic resources contr ibutes to scientific research as well as to other non -
commercial and commercial activities in areas such as biological diversity, food security and human, animal and plant health;  
… 
11.  Decides to establish an extended Ad Hoc Technical Expert Group, 263 i ncluding the participation of indigenous peoples and local communities, 
and requests the Executive Secretary, subject to the availability of resources:  
(a) To compile and synthesize the views and information submitted pursuant to paragraphs 9 and 10 above ;  
(b) To commission a science -based peer -reviewed fact -finding study on the concept and scope of digital sequence information on genetic resources 
and how digital sequence information on genetic resources is currently used building on the existing fact -finding and scoping study;  
(c) To commission a peer -reviewed study on ongoing developments in the field of traceability of digital information, including how traceability is 
addressed by databases, and how these could inform discussions on digital sequence i nformation on genetic resources;  
(d) To commission a peer reviewed study on public and, to the extent possible, private databases of digital sequence informat ion on genetic resources, 
including the terms and conditions on which access is granted or contro lled, the biological scope and the size of the databases, numbers of accessions 
and their origin, governing policies, and the providers and users of the digital sequence information on genetic resources an d encourages the owners 
of private databases to pro vide the necessary information;  
(e) To commission a peer -reviewed study on how domestic measures address benefit -sharing arising from commercial and non -commercial use of 
digital sequence information on genetic resources and address the use of digital seq uence information on genetic resources for research and 
development, taking into account the submissions provided …..  
 
6.2.2.2   Article 8(j) and related provisions  
Decision V/16  
Article 8(j) and 
related provisions  "The [Co P] ... 14. Recognizes the potential importance of sui generis  and other appropriate systems for the protection of traditional knowledge of 
indigenous and local communities and the equitable sharing of benefits arising from its use to meet the provisions of the [C BD], taking into account 
the ongoing work on Article 8(j) and related provisions, and transmits its findings to the [WTO] and the [WIPO], as suggested  in paragraph 6 (b) of 
recommendation 3 of the Inter -Sessional Meeting on the Operations of the Convention  (UNEP/CBD/C oP/5/4, annex); …"  
Decision VI/10  
Article 8(j) and 
related provisions  "The [C oP]... 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 [WTO] and the [WIPO] to make available to the Executive Secretary information referred to in paragraph 35 above p rovided through 
their respective notif ication systems; ... 
39.  Encourages Parties and Governments, where they have not already done so, to take measures to establish or improve operational  links between 
their national governmental intellectual -property bodies, national focal points of the [CB D], and indigenous and local communities and their 
organizations in order to better coordinate and institute measures to protect their traditional knowledge, innovations and pr actices relevant to the 
conservation and sustainable use of biological diversity , particularly with regard to traditional -knowledge 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, inn ovations and practices of 
indigenous and local communities relevant to 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;  
47.  Urges Parties and Governments to examine, as appropriate, relevant provisions of the [CBD] with respect to prior informed con sent and 
mutually agreed terms where traditional knowledge is used in its original form or in t he development of new products and/or new applications;  
48.  Invites Parties and Governments, with the assistance of the [WIPO], to take into account traditional knowledge in the examina tion of novelty 
and inventive step in patent applications; ...".  
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- 70 - Decision VII/16  
Article 8(j) and 
Related Provisions  "The [C oP]...  
H. Development of elements of sui generis systems for the protection of traditional knowledge, innovations and practices  ... 
Noting that a mix of defensive and positive measures, taking into account both proprietary and non -proprietary aspects, may be necessary for the 
protection of traditional knowledge, innovations and practices relevant for the conservation and sustainable use of biologica l diversity, ...  
Emphasizing that any sui generis  system for the protection of traditional knowledge, innovati ons and practices needs to be developed taking into 
consideration customary law and practices with the full and effective involvement and participation of concerned indigenous a nd local communities,  
... Recognizing the need for continued collaboration wit h other relevant organizations working on issues related to the protection of traditional 
knowledge, innovations and practices, such as the [WIPO, the Permanent Forum on Indigenous Issues (PFII), the WHO and the FAO , the UNESCO, the 
UNCTAD and the WTO] to ensure mutual supportiveness and avoid duplication of efforts, ...  
7. Invites Parties and Governments to consider appropriate measures, with the full and effective participation of indigenous and  local communities, 
to implement at local, national, sub -regional, regional and international levels sui generis  systems and other new innovative mechanisms that ensure 
the protection of traditional knowledge, innovations and practices taking into consideration customary law and traditional pr actices; ...".  
Decision VIII/5  
Article 8(j) and 
related provisions  "...E. Development of elements of sui generis systems for the protection of the knowledge, innovations and practices of indig enous and 
local communities  
The [C oP] ... 7. Acknowledges the ongoing discussions in the [WTO] to examine, inter alia , the relationship between the [TRIPS Agreement] and  
the [CBD] and the protection of traditional knowledge  ..." 
Decision 14/12  
The Rutzolijirisaxik 
Voluntary Guidelines 
for the Repatriation of 
Traditional Knowledge 
of Indigenous Peoples 
and Local 
Communities Relevant 
for the Conservation 
and Sustainable Use of 
Biological Diversity  "The [COP]  
1. Adopts the Rutzolijirisaxik Voluntary Guidelines for the Repatriation of Traditional Knowledge of Indigenous Peoples and L ocal Communities Relevant 
for the Conservation and Sustainable Use of Biological Diversity;  
2. Invites Parties and other Governmen ts, relevant organizations, and entities holding, storing or housing collections of traditional knowledge and 
related or complementary information, as well as indigenous peoples and local communities, and other stakeholders: (a) To use  the Rutzolijirisaxik  
Voluntary Guidelines, as appropriate, in their efforts to repatriate and restore traditional knowledge relevant for conservat ion and sustainable use of 
biological diversity to the original knowledge holders, and where applicable, to facilitate the equitab le sharing of benefits arising from the use of 
traditional knowledge, in particular through mutually agreed terms;  
(b) To promote the Rutzolijirisaxik Voluntary Guidelines through educational and awareness  raising activities, as appropriate;   
(c) To make available through the Traditional Knowledge Information Portal and the clearinghouse mechanism, where appropriate, best pract ices, 
lessons learned and good examples and benefits of repatriation of traditional knowledge relevant for conservation and sustain able use of biological 
diversity, and the fair and equitable sharing of benefits, including community -to-community exchanges and, where appropriate, through other 
knowledge sharing platforms;  
(d) To report on experiences gained in using the Rutzolijirisax ik Voluntary Guidelines and, with a view to promote international, regional and bilateral 
cooperation, share best practices on relevant measures, where they exist, relating to repatriation of traditional knowledge, including repatriation of 
traditional kno wledge shared across borders, through national reports, the clearing -house mechanism and the Traditional Knowledge Information Portal 
as a contribution to reporting on progress in the implementation of Article 8(j) and related provisions to the Subsidiary Body on Implementation and 
the Ad Hoc Open -ended Inter -Sessional Working Group on Article 8(j) and Related Provisions at their next meetings and to invite Parties, other 
Governments and organizations to mobilize resources to finance the above mentioned act ivities;  
3. Invites the United Nations Educational, Scientific and Cultural Organization to take into account the Rutzolijirisaxik Vol untary Guidelines;  
4. Requests the Executive Secretary, in collaboration with relevant organizations, to support and facilitate, a s appropriate, efforts made towards the 
use of the Rutzolijirisaxik Voluntary Guidelines. " 
Decision 14/17 
Integration of Article 
8(j) and provisions 
related to indigenous 
peoples and local 
communities in the 
work of the The [C OP]….  
1. Decides to complete the current programme of work on Article 8(j) and related provisions no later than the fifteenth meeti ng of the Conference of 
the Parties;  
2. Also decides to consider the development of a fully integrated programme of work on Article 8(j) and related provisions within the post -2020 
biodiversity framework, to allow for the full and effective participation of indigenous peoples and local communities in the work of the Convention, on 
the basis of achievements to date, taking into account the ongoing and postponed tasks of Parties, also taking into account the 2030 Agenda for 
Sustainable Development and its goals,242 the Paris Agreement243 under the United Nations Framework Convention on Climate Cha nge, and gaps 
identified;   
  WT/CTE/W/160/Rev.9 • TN/TE/S/5/Rev.7  
 
- 71 - Convention and its 
Protocols  3. Invi tes Parties to gather experience in the implementation of the guidelines and standards related to Article 8(j) and related pr ovisions at the 
national level and, in the light of those experiences, to consider the need for further work on these issues in the  development of a fully integrated 
programme of work;  […] 
6.2.2.3   Technology transfer and scientific and technological cooperation  
Decision IX/14  
Technology transfer  
and cooperation  "The [C oP] ... 11. Recalling  Article 16 paragraphs 2, 3 and 5 of the Convention, invites  relevant international organizations and initiatives, research 
institutions at all levels, and non -governmental organizations, to undertake further research on the role of intellectual property r ights in technology 
transfer in the context of the Convention, such as:   
(d) Further examination by relevant international organizations of the overall trends in the application of the flexibilities  provided by the Agreement 
on Trade -related Aspects of Int ellectual Property Rights (TRIPS)  ..." 
6.2.2.4   Mainstreaming and incentive measures  
Decision VI/15  
Incentive measures  
Annex I  
Proposals for the 
Design and 
Implementation of 
Incentive Measures  "The [CoP]  ... 2. Endorses the proposals for the design and implementation of incentive measures and the recommendations for further cooperatio n 
on incentive measures, contained respectively in annexes I and II to the present decision, as far as they are consistent with  Parties' national policies 
and legislation as well as their international obligations; ... 
Annex I:  Proposals for the design and implementation of incentive measures  
1. In general terms, incentive measures should be designed to address the conservation and sustainable use of biological diversi ty, while taking 
into account: ... 
(d) The measures' relationship to existing international agreements. ...  
2. The following elemen ts should be taken into consideration in the design and implementation of incentive measures for the conservation and 
sustainable use of biological diversity: ...  
E. Guidelines for selecting appropriate and complementary measures  
36. The following are guid elines for selecting appropriate and complementary measures:  
(a) Any decision -making process for selecting appropriate and complementary measures should take into account the specific circumstances 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 on 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 suffic e 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 select ion of appropriate incentive 
measures;  
(e) The implementation of incentive measures should not result in a significant increase in the cost of living and/or increas e in 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 t he conservation of 
biological diversity and the promotion of sustainable use;  
(h) Posit ive incentives can influence decision -making by recognizing and rewarding activities that are carried out for conservation and sustainable 
use purposes;  
(i) The removal of perverse incentives eases pressure on the environment. The identification of both in ternal and external perverse 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 efficien cy 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 ...".   
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- 72 - Decision VII/2  
The Biological 
Diversity of Dry and 
Sub-humid Lands  
Annex  
 "The [COP]... 2.  Adopts the proposal prepared by the Executive Secretary for the further refinement of the programme of work and suggesting 
collaborating partners as indicated in the annex to the prese nt decision; ...  
Annex: Synthesis table of expected outcomes and timeframes, potential actors, and indicators of progress in the implementatio n of the programme of 
work on biological diversity of dry and sub -humid lands  
Activity  Expected outcomes  Time -
frame  Key actors  Status  Progress 
indicators  Date  
… Activity 9.  Support for sustainable livelihoods …  
(d) Market 
development  - Products derived from 
sustainable use increasingly 
marketed   
Parties, WTO  Proposed  Initial case -studies 
reported on  2006 
-  Conducive market 
relationships developed   Parties, WTO  Proposed    
Decision VII/11  
Ecosystem Approach  
 "The [CoP] ... 3.  Welcomes the implementation guidelines and annotations to rationale as outlined in annex  I to the present decision and calls on 
parties and other Governments to implement the ecosystem approach, keeping in mind that in applying the ecosystem approach, a ll principles need to 
be considered, with appropriate weight given to each, in accordance with local conditions, and keepi ng in mind also that the implementation of the 
ecosystem approach and all principles need to be considered as voluntary instruments and should be adapted to local condition s and implemented in 
accordance with national legislation; ...  
Annex I:  Refinement a nd elaboration of the ecosystem approach, based on assessment of experience of parties in implementation ...  
Principle 4:  Recognizing potential gains from management, there is usually a need to understand and manage the ecosystem in an economic co ntext. 
Any such ecosystem -management programme should:  
(a) Reduce those market distortions that adversely affect biological diversity;  
(b) Align incentives to promote biodiversity conservation and sustainable use;  
(c) Internalize costs and benefits in the given ecosystem to the extent feasible.  
Rationale:  
The greatest threat to biological diversity lies in its replacement by alternative systems of land use. This often arises thr ough market distortions, which 
undervalue natural systems and populations and provide  perverse incentives and subsidies to favour the conversion of land to less diverse systems. 
Often those who benefit from conservation do not pay the costs associated with conservation and, similarly, those who generat e environmental costs 
(e.g. pollution)  escape responsibility. Alignment of incentives allows those who control the resource to benefit and ensures that those who ge nerate 
environmental costs will pay. ..."  
Decision VII/12  
Sustainable use  
(Article 10)  "The [CoP] ... 1.  Adopts the Addis Ababa Principles and Guidelines for the Sustainable Use of Biodiversity, as contained in annex II to the pre sent 
decision;  
2. Invites Parties, other Governments and relevant organizations to initiate a process for the implementation of th e Addis Ababa Principles and 
Guidelines, in accordance with Article 10 of the Convention which provides that Contracting Parties undertake specified actio ns as far as possible, and 
as appropriate, at the national and local levels, and in line with Article 6 of the [CBD], taking into account obligations under other international 
agreements and conventions and existing frameworks for sustainable use of components of biodiversity, including the concept o f sustainable forest 
management, e.g., by developing pilo t projects, with a view to:  
(a) Integrating and mainstreaming the Addis Ababa Principles and Guidelines into a range of measures including policies, prog rammes, national 
legislation and other regulations, sectoral and cross -sectoral plans and programmes a ddressing consumptive and non -consumptive use  
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- 73 - of components of biological diversity, including plans and programmes addressing the removal or mitigation of perverse incentive s that undermine 
the conservation and sustainable use of biodiversity, as deemed n ecessary by individual Parties; and  
(b) Gathering and disseminating through the clearing -house mechanism and other means relevant information on experiences and lessons learned 
for the further improvement of the guidelines;  
→ The full text of the Addis Ababa Principles and Guidelines for the Sustainable use of Biodiversity is contained in Annex II of Decision VII/12.  
→ Some of the relevant principles include:  
Practical principle 3: International or national policies, laws and regulations that disto rt markets which contribute to habitat degradation or other -wise 
generate perverse incentives that undermine conservation and sustainable use of biodiversity, should be identified and remove d or mitigated.  
Rationale: Some policies or practices induce unsu stainable behaviours that reduce biodiversity, often as unanticipated side effects as they were initially 
designed to attain other objectives. For example, some policies that encourage domestic overproduction often generate pervers e incentives that 
undermi ne the conservation and sustainable use of biological diversity. Eliminating subsidies that contribute to illegal, unreported  and unregulated 
fishing and to over -capacity, as required by the WSSD Plan of Implementation in order to achieve sustainable fishe ries, is a further instance of the 
recognition of the need to remove perverse incentives.  
Operational guidelines  
− Identify economic mechanisms, including incentive systems and subsidies at international or national levels that are having a  negative impact on 
the potential sustainability of uses of biological diversity;  
− Remove those systems leading to market distortions that result in unsustainable uses of biodiversity components; ...  
Practical principle 13: The costs of management and conservation of biolo gical diversity should be internalized within the area of management and 
reflected in the distribution of the benefits from the use. ...  
Rationale: The management and conservation of natural resources incurs costs. If these costs are not adequately covere d then management will decline 
and the amount and value of the natural resources may also decline.  It is necessary to ensure that some of the benefits from use flow to the local 
natural resource management authorities so that essential management to sustai n the resources is maintained. Such benefits may be direct, such as 
entrance fees from visitors to a national park paid directly to, and retained by, the park management authority or indirect, such as stumpage tax 
revenue from timber harvesting paid by log gers that flows through a national treasury to a local forest service.  In some cases, licence fees for fishing 
rights are paid directly to the management authority, or to the national treasury.  
Operational guidelines  
− Ensure that national policies do not provide subsidies that mask true costs of management;  
Provide economic incentives for managers who have already internalized environmental costs, e.g., certification to access new  markets, waiver or 
deferral of taxes i n lieu of environmental investment, promotion of "green -labelling" for marketing. ..."  
Decision VII/28  
Protected areas 
(Articles 8 (a) to (e))  "The [CoP] 1.   Confirms  that efforts to establish and maintain systems of protected areas and areas where specia l measures need to be taken to 
conserve biological diversity in line with Article 8 on in situ conservation and other relevant articles of the Convention, are essential for achieving, in 
implementing the ecosystem approach, the three objectives of the Conv ention and thus contributing to achieving the 2010 target contained in the 
Strategic Plan of the Convention and in the Plan of Implementation of the World Summit on Sustainable Development, and to ach ieve sustainable 
development and the attainment of the M illennium Development Goals; ...  
18.  Adopts  the programme of work on protected areas annexed to the present decision with the objective of the establishment and maintena nce by 
2010 for terrestrial and by 2012 for marine areas of comprehensive, effectivel y managed, and ecologically representative national and regional systems 
of protected areas that collectively, inter alia  through a global network / contribute to achieving the three objectives of the Convention and the 2010 
target to significantly reduce the current rate of biodiversity loss; ...  
21.  Urges  concerned Parties, individually and collectively, to take further steps in curbing the illegal exploitation and trade of reso urces, particularly 
from existing protected areas and from areas of ecologica l importance for biodiversity conservation; ...   
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- 74 - Goal 3.1 - To provide an enabling policy, institutional and socio -economic environment for protected areas  
Target:  By 2008 review and revise policies as appropriate, including use of social and economic valuation and incentives, to provide a supportive 
enabling environment for more effective establishment and management of protected areas and protected areas systems.  
Suggested activities of the Parties ...  
3.1.2  Conduct national -level assessments of the contributions of protected areas, considering as app ropriate environmental services, to the country's 
economy and culture, and to the achievement of the Millennium Development Goals at the national level; and integrate the use of economic valuation 
and natural resource accounting tools into national plannin g processes in order to identify the hidden and non -hidden economic benefits provided by 
protected areas and who appropriates these benefits.  
3.1.3  Harmonize sectoral policies and laws to ensure that they support the conservation and effective management  of the protected area system. ...  
3.1.5 Identify and remove perverse incentives and inconsistencies in sectoral policies that increase pressure on protected areas, o r take action to 
mitigate their perverse effects.  Whenever feasible, redirect these to pos itive incentives for conservation.  
3.1.6 Identify and establish positive incentives that support the integrity and maintenance of protected areas and the involvement of indigenous and 
local communities and stakeholders in conservation.  
3.1.7 Adopt legal frameworks to national, regional and sub -national protected areas systems of countries where appropriate ...  
3.1.9 Identify and foster economic opportunities and markets at local, national and international levels for goods and services pro duced by protected 
areas and/or reliant on the ecosystem services that protected areas provide, consistent with protected area objectives and pr omote the equitable 
sharing of the benefits. ..."  
Decision VIII/25  
Incentive measures: 
application of tools 
for valuatio n of 
biodiversity and 
biodiversity resources 
and functions  "The [CoP]… 1. Takes note of the options for the application of tools for valuation of biodiversity and biodiversity resources and functions annexed to  
the present decision;  
2.  Invites  Parties and other Governments to take, in accordance with their national policies and legislati on, their capacity, and taking into account 
other international instruments, these options into consideration as possible inputs for analysis when considering, on a volu ntary basis, the application 
of methods for assessing the changes of the value of biodi versity resources and functions, and associated ecosystem services, that result from their 
decision -making, including through pilot projects"  
Decision VIII/26  
Incentive measures: 
Preparation for the 
in-depth review of the 
programme of work 
on incentive 
measures  Section on positive incentive measures, preamble:  
Recognizing  that positive incentive measures, can influence decision -making by recognizing and rewarding activities that are carried out for the 
conservation and sustainable use of biolog ical diversity, and are important in achieving the objectives of the Convention and the 2010 biodiversity 
target, when such positive incentive measures are targeted, flexible, transparent, appropriately monitored and adapted to loc al conditions,  
Noting that policy guidance on incentive mechanisms developed under the Convention is voluntary and should be applied in accordance with national 
law, taking into account other international instruments.  
Decision X/44  
Incentive measures  "12.  Invites  Parties and other Governments to foster, as appropriate, implementation of sustainable consumption and production patterns for th e 
conservation and sustainable use of biodiversity, both in the public and the private sector, including through business and b iodiversity initiatives, 
procurement policies that are in line with the objectives of the Convention, and development of methods to promote science -based information on 
biodiversity in consumer and producer decisions, consistent and in harmony with the Convent ion and other relevant international obligations; "  
Decision X/2  
Updating and 
Revision of the 
Strategic Plan for the 
post-2010 Period  
Annex  Section IV (Strategic Goals and the 2020 headline targets)  
"Target 3 : By 2020, at the latest,  incentives, including subsidies, harmful to biodiversity are eliminated, phased out or reformed in order to minimize 
or avoid negative impacts, and positive incentives for the conservation and sustainable use of biodiversity are developed and  applied, cons istent and 
in harmony with the Convention and other relevant international obligations, taking into account national socio -economic conditions."  
Decision XI/30  
Incentive measures  "Noting the considerable analytical work that has already been undertaken on  harmful incentives by international organizations and initiatives such as 
the United Nations Environment Programme, the Organisation for Economic Cooperation and Development, the International Union for Conservation 
of Nature, and the World Trade Organiza tion:  
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- 75 - (a) Invites Parties and other Governments to develop and apply tools to identify incentives that are harmful for biodiversity , as well as methods 
to monitor progress towards Aichi Biodiversity Target 3, using the relevant indicator of the strategy fo r resource mobilization (decision X/3, 
paragraph  7, indicator 13);  
(b) Emphasizes that conducting studies for the identification of incentives, including subsidies, harmful for biodiversity ne ed not delay immediate 
policy action in cases where candidates f or elimination, phase out or reform are already known, taking into account national socio -economic 
conditions;  
(c) Encourages Parties and invites other Governments to take appropriate action in these cases, in the form of elimination or  initiation of phase  
out or reform, taking into account national socio -economic conditions, including by seizing opportunities arising within the review cycles of existing 
sectoral policies, both at national and regional levels;  
(d) Invites Parties, other Governments and rele vant international organizations to submit to the Executive Secretary information on obstacles 
encountered in implementing options identified for eliminating, phasing out or reforming incentives that are harmful for biod iversity; " 
... "10.  Notes the suppor t of international organizations and initiatives, including, among others, the Global Mechanism of the United  Nations 
Convention to Combat Desertification, the United Nations Conference on Trade and Development, the United Nations Development Programme, 
the United Nations Environment Programme, the World Bank and its Global Partnership for Wealth Accounting and the Valuation of Ecosystem 
Services, the World Trade Organization, the Organisation for Economic Co -operation and Development, and the International  Union for 
Conservation of Nature, to efforts at the global, regional and national levels in identifying and eliminating, phasing out or  reforming incentives 
that are harmful to biodiversity, in promoting positive incentives for the conservation and sustai nable use of biodiversity, consistent and in 
harmony with the Convention and other relevant international obligations, and in assessing and mainstreaming the values of bi odiversity and 
associated ecosystem services, and invites these and other relevant org anizations and initiatives to continue and further intensify this work, 
including continued support for capacity -building at the national level;"  
Decision XII/3  
Resource mobilization  Modalities and milestones for Aichi Biodiversity Target 3  
..."21. Adopts the milestones, as contained in annex I to the present decision, as a flexible framework for the full implementation o f Aichi Biodiversity 
Target  3, in a manner that is consistent and in harmony with the Convention and other relevant international o bligations, taking into account national 
socioeconomic conditions;  
22. Invites Parties to report progress in achieving these milestones, as well as any additional milestones and timelines establis hed at the national 
level, through their national reports or , as appropriate, through the online reporting framework on implementing the Strategic Plan for Biodiversity 
2011-2020 and the Aichi Biodiversity Targets;"  ... 
 
"Annex I  
Milestones for the full implementation of Aichi Biodiversity Target  3 
Milestones and a ssociated timelines:  
1. By 2015 : Development and inclusion of a national target reflecting Aichi Biodiversity Target 3 in revised national biodiversity stra tegies and the 
inclusion of pertinent action items in revised national biodiversity action plans.  
Action items may include:  
(a) Undertaking national analytical studies that identify candidates for elimination, phase -out or reform of incentives, including subsidies, harmful 
for biodiversity, and that identify opportunities to enhance the effectiveness o f existing financial instruments for biodiversity and to promote the 
design and implementation of positive incentive measures;  
(b) Based, as appropriate, on the analytical studies above, developing policy plans that (i)  identify those harmful incentives th at are candidates 
for removal, phase -out, or reform; (ii)  provide for a prioritized list of measures leading to their eventual removal, phase -out, or reform; (iii)  provide 
for a prioritized list of measures leading to the introduction, or strengthening, of  positive incentives for the conservation and sustainable use of 
biodiversity; (iv)  provide for associated timelines and milestones for implementation;  
(c) In cases where incentives, including subsidies, are already known to have harmful effects and are al ready identified as candidates for 
elimination, phase -out or reform, foreseeing immediate policy action in form of their elimination or initiation of their phase -out or their reform;  
2. By 2016  (CoP 13): In cases where harmful incentives that are candidates f or elimination, phase -out or reform are already known, immediate 
policy or legislative action is being developed, in the form of their elimination or initiation of their phase -out or their reform;   
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- 76 - 3. By 2016  (CoP 13): Finalization of national analytical studi es that identify harmful incentives that are candidates for elimination, phase -out or 
reform of incentives, including subsidies, harmful for biodiversity, and that identify opportunities to promote the design an d implementation of positive 
incentive measur es; 
4. By 2018  (CoP 14): Finalization of policy plans, in line with revised national biodiversity strategies and action plans, that (i)  identify those harmful 
incentives that are candidates for elimination, phase -out, or reform; (ii) provide for a prioritized  list of measures leading to their eventual elimination, 
phase -out, or reform; (iii)  provide for a prioritized list of measures leading to the introduction, or strengthening, of positive incentives for the 
conservation and sustainable use of biodiversity; (iv) provide for associated timelines and milestones;  
5. The table below summarizes these milestones and the associated timelines. It reflects the possibility that a country may alre ady know some 
candidates for immediate policy action (as per 1 (c) above) but  may also wish to engage in the preparation of analytical studies (as per para.  1 (a) 
above) in order to obtain a more comprehensive picture.  
 Timeline  Milestone  
2015 National target reflecting Aichi Biodiversity Target 3 and associated action items included in revised national biodiversity 
strategy and action plan (NBSAP)  
2016 Policy or legislative action is being developed on incentives, including subsidies, already known to have harmful effects and  
already identified as candidates for elimination,  phase -out or reform, in form of their elimination or initiation of their phase -out 
or their reform  
2016 Finalization of national analytical studies that identify candidates for elimination, phase -out or reform of incentives, including 
subsidies, harmful for biodiversity, and that identify opportunities to promote the design and implementation of positive 
incentive measures  
2018 Finalization of policy plans that (i) identify those harmful incentives that are candidates for elimination, phase -out, or reform; 
(ii) provide for a prioritized list of measures leading to their eventual elimination, phase -out, or reform; (iii) provide for a 
prioritized list of measures leading to the introduction, or strengthening, of positive incentives for th e conservation and 
sustainable use of biodiversity; (iv) provide for associated timelines and milestones  
 
Decision  XII/6 
Cooperation with 
other conventions, 
international 
organizations and 
initiatives  "18. Calls upon the BioTrade Initiative of United Nations Conference on Trade and Development to continue to strengthen its techni cal support to 
Governments, companies a nd other stakeholders to enable them to incorporate biotrade, as well as sustainable harvesting practices within national 
biodiversity strategies and action plans, as appropriate, highlighting the importance of biotrade as an engine for sustainabl e use of biodiversity and its 
conservation through the involvement of the private sector; " 
Decision XIII/3  
Strategic actions to 
enhance the 
implementation of the 
Strategic Plan for 
Biodiversity 2011 -
2020 and the 
achievement of the 
Aichi Biodiversity 
Targets, including 
with respect to 
mainstreaming and 
the integration of 
biodiversity within 
and across sectors  "… 11.  Calls upon Parties and invites other Governments to take measures to support and ensure close linkages and reinforce synergie s among 
biodiversity -related and other international processes and multilateral environmental agreements, to implement their various goals and com mitments 
in a coherent, clear, and mutually supportive manner, and to include biodiversity considerations in their engageme nt in these various processes, where 
relevant, and to implement goals and commitments under the Convention and relevant international processes in a coherent mann er; 
[…] 
17. Encourages Parties and invites other Governments, as appropriate: …  
(h) Recalling decision X/32, paragraph 2(i), to make use of voluntary sustainability standards and/or of voluntary certification schemes, a nd promote 
their further development, as appropriate and where available, and in accordance with national circumstances and legisla tion, and consistent and in 
harmony with the Convention and other international obligations, for sustainably produced goods and services, and to encourag e the integration of 
biodiversity considerations into procurement policies, taking into consideration s pecificities of developing countries, in particular the least developed 
countries and small island developing States, as well as countries with economies in transition;  
… 
32. Further encourages Parties and invites other Governments, as appropriate, to use an appropriate mix of regulatory and incentive measures 
aligned with national biodiversity objectives, including the elimination, phasing out and reform of incentives harmful to bio diversity in order, inter alia, 
to reduce habitat loss, degradation and fra gmentation and to increase the efficiency of use of water, fertilizer and pesticides and to avoid their 
inappropriate use, and to encourage public and private sources of finance to be channelled into practices that improve the su stainability of production  
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- 77 - while reducing biodiversity loss, and to promote and support the restoration of ecosystems that provide essential services in  a way that provides for 
the needs of indigenous peoples and local communities, does not cause harm to other ecosystems, and consis tent with national legislation and 
international obligations;  
… 
57. Also urges Parties and invites other Governments to use, develop and enhance governance, policies, and practices, and to coll aborate, as 
appropriate, within and across international bodies  and through agreements, to promote legally and sustainably sourced forest products and to combat 
illegal logging and associated trade, consistent and in harmony with the Convention and other relevant international obligati ons, including through 
actions su ch as the development, implementation and enforcement of legislation and regulation to prevent imports of forest products fro m illegal 
sources, and to implement systems for the verification of legal compliance;  
… 
60. Also recognizes that there are currentl y a number of fisheries that are not sustainably managed and aquaculture operations and practices with 
significant negative impacts on biodiversity;  
61. Further recognizes Sustainable Development Goal 14 and its targets 2, 4, 5 and 6, which refer to the co nservation, sustainable management 
and restoration of marine ecosystems, the effective regulation of harvesting, the conservation of at least 10 per cent of mar ine and coastal areas and 
the prohibition of incentives harmful to biodiversity in fisheries, re spectively;  
… 
66. Recalls paragraph 55 of decision X/29, encourages Parties and invites other Governments to ratify and/or implement the 2009 F AO Agreement 
on Port States Measures to Prevent, Deter and Eliminate Illegal, Unreported and Unregulated Fishing, which provides a means of addressing such 
fishing activities;  
… 
71. Urges Parties and invites other Governments to establish, if necessary, or strengthen existing mechanisms of governance of fi sheries, and take 
biodiversity considerati ons, in particular the precautionary approach, in line with the preamble of the Convention, fully into account when designing  
and implementing policies for fishing capacity management and reduction, including measures and regulations with a view to pr omoti ng the 
conservation and recovery of endangered species;…"  
6.2.2.5   Invasive alien species  
CoP recognized the need to strengthen institutional coordination at international, regional and national levels on invasive ali en species as a trade -related issue, 
and theref ore invited the World Trade Organization to give consideration to the risks from invasive alien species. The Convention has been collaborating, including 
through its inter -agency liaison group on invasive alien species, with the WTO Secretariat and the standard setting bodies  recognized by the WTO , in order to 
address the risk of biological invasions .  
Decision VI/23  
Alien Species that 
Threaten Ecosystems, 
Habitats or Species*  
Annex: Guiding 
Principles for the 
Prevention, 
Introduction and 
Mitigation of I mpacts 
of Alien Species that "The [CoP] ... 4.  Having considered these options, adopts the Guiding Principles annexed to the present decision;  
5. Urges Parties, other Governments and relevant organizations to promote and implement the Guiding Principles; ...  
15. Urges Parties, Governments, multilatera l organizations and other relevant bodies to consider the potential effects of global change on the risk of 
invasive alien species to biodiversity, and related ecosystem goods and services and, in particular: ...  
(b) Invites the [WTO], through its [CTE], t o take this matter into account when considering the impacts of trade and trade liberalization; ...  
Guiding principle 1: Precautionary approach  
Given the unpredictability of the pathways and impacts on biological diversity of invasive alien species, effor ts to identify and prevent unintentional 
introductions as well as decisions concerning intentional introductions should be based on the precautionary approach, in par ticular 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 [CBD].  
The precautionary approach should also be applied when considering eradication, containment and contr ol 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 r eason for postponing or  
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- 78 - Threaten Ecosystems, 
Habitats or Species  failing to take appropriate eradication, containment and cont rol measures. ...  
Guiding principle 7: Border control and quarantine measures  
1. States should implement border controls and quarantine measures for alien species that are or could become invasive to ensure  that:  
(a) Intentional introductions of alien sp ecies 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 spec ies within the State 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 entry . Existing appropriate 
governmental agenc ies 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 …".10 
Decision  VII/13  
Alien Species that 
Threaten Ecosystems, 
Habitats or Species 
(Article 8 (h))  "The [CoP] ...  
5. Noting the existing international, regional and national frameworks but recognizing the need to strengthen institutional coor dination at international, 
regional and national levels on invasive alien species as a trade -related issue: …  
(c) Requests the Executive Secretary to renew his application for observer status in the [SPS Committee of the WTO] with a vi ew to enhancing the 
exchange of information on de liberations and recent development in the respective bodies of relevance to alien invasive species;  
(d) Invites Parties and other Governments to take into consideration, as appropriate, the risks associated with the introduct ion, use and spread of 
invasiv e alien species during the development, expansion and environmental review of international, bilateral and regional arrangeme nts such as 
trade arrangements, where appropriate; ...  
6. Invites relevant Parties to the [CBD] and other Governments, as well as n ational, regional and international organizations to: ...  
(f) Consider the introduction of positive incentive measures for the prevention, mitigation, eradication or control of invasi ve alien species and the 
use of native species taking into consideration effectiveness in control and impact on the other native species in land and water management and 
other programmes; ...  
7. Notes  that specific gaps in the international regulatory frameworks at global, regional and national levels persist, notably in rel ation to species that 
are invasive, but do not qualify as plant pests under the regulations of the [IPPC] and other international agreements or ani mal diseases under the 
regulations of the Office international des epizooties and other international agreements  with regard to the following potential pathways: ..."  
Decision IX/4  
In-depth review of 
ongoing work on alien 
species that threaten 
ecosystems, habitats 
or species  "The [CoP] ...  4. Invites the Committee on Sanitary and Phytosanitary Measures of the World Trade Organization to note the lack of international 
standards covering invasive alien species, in particular animals, that are not pests of plants under the International Plant Protection Convention, nor 
diseases that are listed by the World Organiz ation for Animal Health, and to consider ways and means so that that the provisions in the Sanitary and 
Phytosanitary Agreement of the World Trade Organization covering animal and plant health can be implemented to address risks from invasive alien 
species  associated with international trade; …  
6. Encourages  Parties and other Governments to raise the above issues formally through their national delegations to the World Organization  for 
Animal Health, the Food and Agriculture Organization of the United Nations and the World Trade Organization; …."  
 
10 One representative entered a formal obje ction during the process leading to the adoption of this decision and underlined that he did not believe that the Conference of the 
Parties could legitimately adopt a motion or a text with a formal objection in place. A few representatives expressed reserv ations regarding the procedure leading to the adoption of 
this decision (see UNEP/CBD/COP/6/20, paras. 294 -324).   
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- 79 - Decision X/ 38 
Invasive Alien Species  "The [CoP] ...  
10. Welcomes the participation of the secretariats of the International Plant Protection Convention, the World Organisation for Animal Hea lth (OIE), 
the World Trade Organization, the International Maritime Organiza tion, the FAO and the Convention on International Trade in Endangered Species, as 
well as IUCN and GISP in the inter -agency liaison group on invasive alien species, and encourages these organizations, as well as the International Civil 
Aviation Organizatio n, to continue their collaboration with the Executive Secretary in line with decision IX/4  A (paragraph 11);  
11. Welcomes the responses from the secretariats of the International Plant Protection Convention, the World Organisation for Animal Healt h (OIE), 
the World Trade Organization and the Committee on Fisheries of the Food and Agriculture Organization of the United Nations (F AO) to the invitations to 
these bodies in, respectively, paragraphs 2, 3, 4 and 5 decision IX/4 A, setting out how they may address  particular gaps and inconsistencies in the 
international regulatory framework on invasive alien species; …".  
Decision XI/28  
Invasive Alien Species  "The [CoP] …  
4. Encourages Parties and other Governments: (i) to ensure at national level, effective collaboration among national authorities and focal points that 
deal with the Convention on Biological Diversity, the International Plant Protection Convention, the World Organisation for A nimal Health (OIE), the 
Codex Alimentarius Commission, the  World Trade Organization Agreement on the Application of Sanitary and Phytosanitary Measures, the Convention 
on International Trade in Endangered Species of Wild Fauna and Flora, and the Food and Agriculture Organization of the United  Nations, (ii) to add ress 
threats from invasive alien species, and, (iii) as appropriate, to make full use of existing standards in addressing the risk s associated with the introduction 
of alien species as pets, aquarium and terrarium species, and as live bait and live food;  
9. Encourages Members of the Committee on Sanitary and Phytosanitary Measures of the World Trade Organization, members of the In ternational 
Plant Protection Convention and relevant regional plant protection organizations operating within the framework of th at Convention, the World 
Organisation for Animal Health (OIE) and the Codex Alimentarius Commission, to further address, including by developing and i mproving international 
standards, guidelines and recommendations, the risks associated with the introducti on of alien species that are a potential threat to biodiversity but are 
not considered pests to plants, pathogens or parasites that affect domestic animals, or are harmful to human health, taking n ote that the risks associated 
with the introduction of alie n species may include impacts on ecosystem functioning and biodiversity at the ecosystem, species and gene levels. The 
Convention on Biological Diversity could offer to collaborate with the Committee on Sanitary and Phytosanitary Measures on th is matter;  
10. Welcomes the publication by the International Plant Protection Convention of 'Aquatic Plants Their Uses and Risks', which pro vides information 
on the protection of plants, including bryophyte and algal species, in marine and aquatic environments;  
11. Welcomes with appreciation the Guidelines for Assessing the Risk of Non -native Animals Becoming Invasive, published by the World Organisation 
for Animal Health (OIE), and encourages Parties and other Governments to make use of these guidelines in addressing  the risks of invasive alien animal 
species;  
12. Recognizes the important contribution made by the World Organisation for Animal Health (OIE) and encourages the Organisation to pursue its 
efforts to consider the impact of invasive alien species on ecosyste ms and animal health, and to provide advice and guidance on the assessment of the 
risk of invasion of alien species on ecosystems;…  
15. Invites the Committee on Sanitary and Phytosanitary Measures of the World Trade Organization to consider the application  made by the Convention 
on Biological Diversity for observer status in the Committee and requests the Executive Secretary to actively pursue the appl ication with a view to 
enhancing the exchange of information on deliberations and recent developments in bo dies relevant to invasive alien species, in light of the increasing 
importance of the ecosystem level when establishing adequate standards;  
16.  Takes note of Articles 9.2 and 10 of the Agreement on the Application of Sanitary and Phytosanitary Measures;"  
Decision XII/16  
Invasive alien species: 
management of risks 
associated with 
introduction of alien 
species as pets, 
aquarium and 
terrarium species, and 
as live bait and live "Recalling its encouragement to Parties, in Decision IX/4, to make use of the risk assessment guidance and other procedures and standards developed 
by the International Plant Protection Convention, the World Organisation for Animal Health and other relevant organizations,  
Also recalling the request to the Executive Secretary, in  Decision XI/28, to continue to pursue the tasks set out in paragraphs 11, 12 and 13 of decision 
IX/4 A and paragraph 13 of Decision X/38, especially regarding progress in its relationship with standard -setting bodies recognized by the World Trade 
Organiza tion (the International Plant Protection Convention, the World Organisation for Animal Health and the Codex Alimentarius Comm ission), and 
other relevant organizations,  
1. Adopts the voluntary guidance on devising and implementing measures to address the ri sks associated with the introduction of alien species as pets, 
aquarium and terrarium species, and as live bait and live food, as contained in the annex to this decision, noting that measu res taken under this guidance 
are to be consistent with applicable n ational and international obligations; " 
...  
  WT/CTE/W/160/Rev.9 • TN/TE/S/5/Rev.7  
 
- 80 - food, and related 
issues  Annex:  Guidance on devising and implementing measures to address the risks associated with the introduction of alien species as pets , 
aquarium and terrarium species, and as live bait and live food  
... 
Consistency  with other international obligations  
 
24. Measures under this guidance should be undertaken in a manner that is consistent with applicable international obligation s, for example, the 
Agreement on the Application of Sanitary and Phytosanitary Measures of t he World Trade Organization, and the standard -setting organizations recognized 
by this agreement, as well as the Convention on International Trade in Endangered Species of Wild Fauna and Flora. " 
Decision XIII/13  
Invasive alien species: 
addressing risks 
associated with trade, 
experiences in the use 
of biological control 
agents, and decision 
support tools  Annex:  Summary of technical considerations for the use of biological control agents to manage invasive alien species  
"5. Requests the Executive Secretary, subject to the availability of resources, in collaboration with member organizations of the  inter-agency liaison 
group on invasive alien species, to prepare draft supplemental guidance to incorporate unintentional introduc tions, as referred to in the fifth preambular 
paragraph above, to the existing Guidance on Devising and Implementing Measures to Address the Risks Associated with the Intr oduction of Alien 
Species as Pets, Aquarium and Terrarium Species, and as Live Bait a nd Live Food, for consideration by the Subsidiary Body on Scientific, Technical and 
Technological Advice prior to the fourteenth meeting of the Conference of the Parties; …  
 
9. Requests the Executive Secretary, subject to the availability of resources:  
 
(a) To explore with the World Customs Organization, as well as member organizations of the inter -agency liaison group on invasive alien species, the 
need for tools or guidance for Parties that may assist national customs authorities in facilitating the neces sary control of live alien species via e -commerce, 
building on the national experience or legislation related to the Convention on International Trade in Endangered Species of Wild Fauna and Flora and 
its enforcement, and to develop such tools or guidance where appropriate;…  
 
14. Invites Parties, other Governments, and as appropriate, standard -setting bodies recognized by the World Trade Organization, and other relevant 
organizations to adapt, improve or further develop tools, including decision support too ls, for better development and application of biological control 
programmes against invasive alien species, including prioritization based on impacts, feasibility and likelihood of success o f biological control, and the 
selection of the biological control agents and requests the Executive Secretary to compile this information and make it available through the clearing -
house mechanism of the Convention and other means; …  
 
16. Requests the Executive Secretary, subject to the availability of resources, to furt her collaborate with the International Plant Protection Convention, 
the World Organisation for Animal Health, the Food and Agriculture Organization of the United Nations, other members of the i nter-agency liaison group 
on invasive alien species and other r elevant organizations, such as the International Organization for Biological Control, to identify options for 
supplementing risk assessment and risk management standards for the use of biological control agents against invasive alien s pecies, including in aquatic 
environments, and to report on progress to the Subsidiary Body on Technical, Technological and Scientific Advice at a meeting  prior to the fourteenth 
meeting of the Conference of the Parties; …"   
  WT/CTE/W/160/Rev.9 • TN/TE/S/5/Rev.7  
 
- 81 - Decision 14/11  
Invasive Alien Species  2. Also welcomes the supplementary voluntary guidance for avoiding unintentional introductions of invasive alien species associated w ith trade in live 
organisms annexed to the present decision;  
3. Encourages Parties and invites other Governments and relevant secto rs and organizations to make use of the supplementary voluntary guidance for 
avoiding unintentional introductions of invasive alien species associated with trade in live organisms;  
13. Requests the Executive Secretary, subject to the availability of resour ces: 
(a) To explore with the Secretariat of the United Nations Economic and Social Council, the World Customs Organization and the Int er-agency Liaison 
Group on Invasive Alien Species the possibility of developing a system of classification and labelling, consistent and in harmony with international 
agreements, for consignments of living organisms that pose a hazard or risk to biological diversity related to invasive alien  species, supplementary to 
and in line with existing international standard s, and to report on progress to the Subsidiary Body on Scientific, Technical and Technological Advice at a 
meeting to be held prior to the fifteenth meeting of the Conference of the Parties;  
 
Annex I  
SUPPLEMENTARY VOLUNTARY GUIDANCE FOR AVOIDING UNINTENTIO NAL INTRODUCTIONS OF INVASIVE ALIEN SPECIES 
ASSOCIATED WITH TRADE  IN LIVE  ORGANISMS  
1. The present guidance supplements the Guidance on Devising and Implementing Measures to Address the Risks Associated with the Introduction 
of Alien Species as Pets, Aquar ium and Terrarium Species, and as Live Bait and Live Food annexed to decision XII/16 . 
2. The purpose of this guidance is to minimize the risk of biological invasion of alien spec ies crossing the borders of national jurisdiction and distinct 
biogeographic areas through the unintentional introduction pathways described in the CBD pathway categorization in associatio n with trade in live 
organisms.  
3. This guidance is relevant to Stat es, relevant organizations, industry and consumers, including all actors involved in the entire value chain of trade 
in live organisms (e.g. exporters, importers, breeders, including amateur collectors, participants of exhibitions, and wholes alers, retaile rs and customers). 
For the case of live food trade, the persons involved in the value chain also include individuals in the business of restaura nts and food markets.  
I. SCOPE  
4. This guidance is voluntary and intended to be used in conjunction with, and be mutually supportive to, other relevant guidance, for example: the 
Guiding Principles for the Prevention, Introduction and Mitigation of Impacts of Alien Species that Threaten Ecosystems, Habi tats and Species (decision 
VI/23);11 the International Standards for Phytosanitary Measures (ISPMs); the Terrestrial Animal Health Code and the Manual of Diagnost ic Test and 
Vaccines for Terrestrial Animals of the World Organisation for Animal Health (OIE); the OIE Aquatic Animal Health Code  and the Manual of Diagnostic 
Tests for Aquatic Animals and other standards and guidance developed by relevant international organizations.  
5. This guidance also describes integrated processes for its implementation together with the guidance annexed to de cision XII/16  and existing 
international standards set for the protection of biodiversity, and the health of animals, plants and humans.  
 
11 One representative of a Party entered  a formal objection during the process leading to the adoption of this decision and underlined that he did not believe that th e 
Conference of the Parties could legitimately adopt a motion or a text with a formal objection in place. A few representatives  expressed reservations regarding the procedure leading 
to the adoption of this decision (see UNEP/CBD/COP/6/20, paras. 294 -324).   
  WT/CTE/W/160/Rev.9 • TN/TE/S/5/Rev.7  
 
- 82 - 6. This guidance can be implemented by Pa rties and other Governments with cross -sectoral collaboration among conservation authorities, border 
control authorities, and risk regulatory bodies relevant to international trade as well as relevant industries and consumers who are involved in the value 
chain of trade in live organisms.  
II. MEASURES TO REDUCE THE RISK OF INVASIVE ALIEN SPECIES MOVING UNINTENTIONALLY IN PATHWAYS 
ASSOCIATED WITH TRADE IN LIVE ORGANISMS  
A. Conformity with existing international standards and other guidance relevant to invasi ve alien species  
7. For all animals or animal products contained in a consignment of live organisms, the appropriate sanitary standards developed  through the 
standard -setting processes of the World Organisation for Animal Health should be used to harmonize  national measures, in both exporting and importing 
countries.  
8. For all plants or plant products, including any soil, leaf litter, straw, or other substrates, hay, seeds, fruit or other sou rces of food contained in a 
consignment of live organisms, the ap propriate phytosanitary standards developed through the standard -setting processes of the International Plant 
Protection Convention should be used to harmonize national measures in both exporting and importing countries.  
9. A sender/exporter of live organi sms should demonstrate that the commodity being exported, including its associated shipping materials (for 
example, water, food, bedding), poses no sanitary or phytosanitary risk to the importing country 's biodiversity. This may be communicated to the 
national border authority of importing country by presenting a certificate issued by the exporting veterinary authority/competent  authority for animals, 
or by presenting a phytosanitary certificate issued by the exporting national plant protection organization  for plants in an exporting country, in accordance 
with national import regulations, which are based on pest risk analysis.  
10. Carrier conveyances for consignments of live organisms should meet existing international guidance established under internat ional organizations, 
such as the Code of Practice for Packing of Cargo Transport Units (CTU Code) of the International Maritime Organization/Inter national Labour 
Organization/United Nations Economic Commission for Europe,12 but should not be limited to this.  
B. Responsible preparation of consignments of live organisms  
11. A sender/exporter of live organisms should be fully aware of the potential risks of biological invasions resulting from the m ovement of alien 
species through unintentional pathways associated  with trade in live organisms and should ensure: (a)  that a consignment meets sanitary and 
phytosanitary requirements set by an importing country (b)  compliance with national and regional regulations on the import and export of invasive alien 
species; and (c) measures to minimize the risk of unintentional introductions are applied.  
12. A sender/exporter of a consignment of live organisms should inform the importer/receiver of the potential risks of biological  invasion by alien 
species on a document attached  to the consignment containing live organisms, addressed to the border control authorities, national plant protection 
organizations or veterinary authorities. In some cases, this information should be presented to the competent authorities in the country o r countries of 
transit, in order to allow the adoption of appropriate risk management measures during transit.  
13. A sender/exporter of live organism should apply all appropriate sanitary and phytosanitary measures to ensure that the live o rganisms are shi pped 
free of pests, pathogenic agents and alien organisms which may carry risks of biological invasions in an importing country or  biogeographic areas 
receiving them.  
C. Packing containers/consignment  
 
12 https://www.unece.org/fileadm in/DAM/trans/doc/2014/wp24/CTU_Code_January_2014.pdf   
  WT/CTE/W/160/Rev.9 • TN/TE/S/5/Rev.7  
 
- 83 - 14. Each consignment should be appropriately labelled a s a "potential risk to biodiversity " when applicable, taking into account the risk of biological 
invasions that may be posed by the live organisms associated with the consignment, by a sender/exporter, especially when the live organisms were 
captured or co llected from the wild, to inform the persons involved in the entire value chain of the potential risks to biodiversity.  
15. Packing material or containers associated with the movement of live organisms should be free of pests, pathogenic agents and invasiv e alien 
species which are of concern to the importing country, country of transit or biogeographic areas concerned. If the packing ma terial is made from wood, 
appropriate treatment described in ISPM 15 (Regulation of wood packaging material in internationa l trade) as well as other national and regional 
regulations should be applied.  
16. If a packing container is to be reused, it should be washed and disinfected by a sender/exporter prior to shipping and visual ly inspected prior to 
reusing.  
17. Packing containers for aquatic species should be closed appropriately by a sender/exporter to prevent leaks of water(s) and/o r contamination 
into or from the consignment during the transport along the entire value chain.  
D. Materials associated within pack ing containers  
18. A sender/exporter of live organisms should ensure that, prior to shipping, animal bedding is treated with appropriate method( s) to ensure that it 
is free of pests, pathogenic agents and invasive alien species which are of concern to an i mporting country, countries of transit or biogeographic areas 
concerned.  
19. Water(s) for aquatic live organisms and any associated media to be used during transport should be free of pests, pathogenic agents and invasive 
alien species which are of concern  to an importing country or biogeographic areas receiving them and should be treated as required.  
20. Air and air supplying devices associated with consignments of aquatic organisms should be free of pests, pathogenic agents an d invasive alien 
species whic h are of concern to an importing country or biogeographic areas receiving them.  
21. Any soil or soil -related materials associated with the transport of live organisms should be eliminated by a sender/exporter prior to shipping . If 
soil or soil -related mate rials cannot be eliminated from the packing containers, the sender/exporter should consult the import regulations of the nati onal 
plant protection organization of the importing country and comply with them.  
E. Feed or food for live animals  
22. A sender/exp orter of live organisms should ensure that any feed or food contained in a consignment does not consist of viable seeds, part s of 
plants or animals that maintain the potential of establishment at the destination. Senders/exporters should ensure that the f eed or food is free of pests, 
pathogenic agents and invasive alien species which are of concern to an importing country, countries of transit or biogeograp hic areas concerned.  
F. Treatment of by -products, waste, waters and media  
23. By-products and waste produced during the transport of live organisms should be removed from the consignment and treated or eliminated as 
soon as possible on arrival in the receiving country. The recipient of the consignment should apply appropriate treatment, in cluding d isinfection,13 
incineration, rendering, autoclaving, or other measures on packing containers, other associated materials, by -products and waste prior to their disposal 
in order to minimize the risks posed by invasive alien species.  
 
13 Disinfection means  the application, after thorough cleansing, of procedures intended to destroy the infectious or parasitic agents of animal dis eases, including zoonoses; 
this applies to premises, vehi cles and different objects which may have been directly or indirectly contaminated ( OIE Terrestrial Animal Health Code ).  
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- 84 - G. Condition of carrier conveyances  
24. If live organisms are expected to be loaded or have been previously loaded, the owners and operators of the carrier conveyanc es should ensure 
that the conveyances are washed, disinfected or otherwise appropriately treated. The owners of car rier conveyances should take responsible measures 
to apply the treatment immediately upon the arrival of a carrier conveyance at a destination and maintain the treated conditi on until the next use.  
25. Prior to an operation, a carrier conveyance should be inspected to determine its sanitary and phytosanitary condition to ensure that unintentional 
introduction of pests, pathogenic agents and invasive alien species is minimized.  
26. In the event of escape of live organisms, accidental spillage or leaks from a  consignment, the owner and operators of the carrier conveyance 
should take necessary measures to recapture and contain the live organisms and alien species attached to them and immediately  notify the appropriate 
authorities of that country of any escape o f live organisms, accidental spillage or leaks from a consignment. The owners and operators of carrier 
conveyances should wash the carrier conveyance and disinfect or treat it appropriately, and inform relevant national authorit ies in the affected country 
(county of transit or destination) about the nature of the escape, spillage or leak and the measures taken by the owners or o perators of the carrier 
conveyance.  
H. Role of the receiver/importer  
27.  A receiver/importer should be aware of import requirement s set by the importing country and ensure that the import requirements are met. The 
importer should inform the appropriate authorities, if the consignment is contaminated, to ensure that the necessary measures  are taken to contain and 
dispose of the contam inants.  
I. Role of States and national authorities in relation to invasive alien species  
28. It is recommended that relevant records of consignments containing live organisms, imported to a country be collected and mai ntained with 
regard to senders/exporters, recipients/importers, the species name, and the origin of the organisms or commodity. If contaminants have  been detected 
in the consignment, measures taken to prevent introduction and spread of invasive alien species, pests and pathogens  and the health status of the 
animal and the phytosanitary conditions of the plant should also be recorded.  
29. States should apply appropriate national border risk management measures in accordance with existing international guidance a nd national 
regulat ions and policy to minimize the risk of unintentional introduction of invasive alien species associated with trade in live or ganisms.  
30. States may encourage the use of DNA sequence based taxonomic identification technologies, such as DNA barcoding, as to ols for the identification 
of alien species of concern to the State.  
31. When invasive alien species unintentionally enter or become established, relevant authorities should be notified, including, as appropriate, 
environmental authorities, the veterinary authority/competent authority and the national plant protection organization, to ensure that the exporting or 
re-exporting country, neighbouring countries and countries of transit are informed of the event in order to prevent the further spread of the inva sive 
alien species.  
32. States, in cooperation with relevant organizations, should make information freely available to the public on: (a) import req uirements for trade 
in live organisms and other relevant national and regional regulations and policies rel ated to invasive alien species; and (b) results of pathway risk 
analysis, if they have been undertaken.  
33. States that receive live organisms, their subnational governments, relevant organizations and industry involved in trade with  live organisms 
should raise awareness on the risk of unintentional introduction of pests, pathogenic agents and invasive alien species to persons i nvolved in the entire 
value chain. This includes awareness -raising campaigns using case studies of biological invasions resulting f rom unintentional introduction of invasive 
alien species directed at the public, potential operators (amateur breeders, etc.) and persons involved in the entire value c hain. 
J. Monitoring   
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- 85 - 34. States should conduct monitoring of invasive alien species which  can unintentionally arrive in their territories, particularly in susceptible areas 
(e.g. ports, cross -docking and warehousing facilities, off -dock container yards, connected roads and railways) where their entry, establishment and early 
stage of spreading  may occur.  
35. When unintentional introduction in susceptible areas is observed, States should intensify the monitoring of invasive alien sp ecies in nearby areas 
where there are concerns about protecting biodiversity, and carry out rapid responses to cont ain, control and, where possible, eradicate the invasive 
alien species.  
36. States should monitor in -country movement and spread of invasive alien species introduced unintentionally with the import of live organisms in 
collaboration with subnational or loc al authorities in order to minimize the impact of invasive alien species and their spread.  
K. Other measures  
37. Any national risk management measures regarding unintentional introduction pathways in exporting and importing countries, and  codes of conduct 
set by international bodies related to shipping and delivery services, may apply within the scope of this voluntary supplemen tary guidance.  
38. The risks of unintentionally moving other species as contaminants, for example, in bedding materials, or in the shipping container and associated 
conveyances, as food or feed, should be considered in the risk assessment of a live organism intended to be imported for use as pets, aquarium and 
terrarium species, and as live bait and live food.   
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- 86 - 6.2.2.6   Cooperation and observer status  
The COP a ffirmed the need to promoting increased mutual supportiveness of trade and environment agreements in achieving sustainable de velopment, requested 
the Executive Secretary to apply for observer status in relevant bodies of the WTO, o r to renew his requests accordingly, and to continue , and further strengthen, 
liaison and cooperation with the World Trade Organization.  
Decision IV/15  
The Relationship of the 
Convention on Biological 
Diversity with the 
Commission on 
Sustainable Developmen t 
and Biodiversity -Related 
Conventions, other 
International 
Agreements, Institutions 
and Processes of 
Relevance  
(as modified by 
Decision  VII/33)  "The [C oP] ... 
8. Also notes that some Parties to the [CBD], particularly many developing countries, are not members of the [WTO], and are therefore limited 
in their abilities to present their concerns regarding biological diversity at the [WTO];  
9. Stresses the need to ensure consistency in implementing the [CBD] and the [WTO] agreements, including the [TRIPS] A greement, with a view 
to promoting increased mutual supportiveness and integration of biological diversity concerns and the protection of intellect ual property rights, and 
invites the [WTO] to consider how to achieve these objectives in the light of Articl e 16, paragraph 5, of the Convention, taking into account the 
planned review of Article 27, paragraph 3 (b), of the [TRIPS Agreement] in 1999;  
10. Emphasizes that further work is required to help develop a common appreciation of the relationship between in tellectual property rights and 
the relevant provisions of the [TRIPS Agreement] and the [CBD], in particular on issues relating to technology transfer and c onservation and 
sustainable use of biological diversity and the fair and equitable sharing of benefi ts arising out of the use of genetic resources, including the protection 
of knowledge, innovations a nd practices of indigenous and local communities embodying traditional lifestyles relevant for the conservation and 
sustainable use of biological diversity ...". 
Decision VI/20  
Cooperation with other 
Organizations, Initiatives 
and Conventions  
 Cooperation with the WTO  
"The [C oP] ... 25. Reaffirms the need to promoting increased mutual supportiveness of trade and environment agreements in achieving sustainable 
development, as stressed in decision IV/15 of the fourth meeting of the [C oP], and reiterated in the Cartagena Protocol on Biosafety and the Doha 
Ministerial Declaration of the [WTO] adopted on 14 November 2001;  
26. Notes the Doha Ministerial Declaration, which welcomes a continued cooperation by the [WTO] with [UNEP] and other intergovernmental 
environmental organizations, and encourages efforts to promote cooperation between the [WTO] and relevant international envir onmental and 
developmental  organizations;  
27. Recognizes the importance of cooperation with the [WTO] with regard to matters that are relevant to the Cartagena Protocol on  Biosafety and 
in preparing for the implementation of the Protocol, emphasizes the need to ensure mutual suppo rtiveness with the relevant agreements under the 
[WTO], in particular with the [SPS Agreement] and the [TBT Agreement], with a view to achieving sustainable development; … 
29. Requests the Executive Secretary to apply to the WTO for an observer status and to represent the [CBD] in the meetings of the [SPS  Committee] 
and the [TBT Committee];  
30. Further requests the Executive Secretary to renew the application to the [WTO] for observer status in the [TRIPS Council]".  
Decision VIII/16  
Cooperation with other  
conventions and 
international 
organizations and 
initiatives  "The [C oP] ... 13. Requests the Executive Secretary to liaise with the secretariat of the [WTO] on relevant issues, including trade -related intellectual 
property rights, sanitary and phytosanitary measures, and environmental goods and services, inter alia , with a view to identifying options for closer 
collaboration, including developing a memorandum of cooperation to promote the three objectives of the Convention  ...". 
Decision IX/27  
Cooperation among 
multilateral 
environmental 
agreements and other 
organizations  "The [C oP] ... 10. Requests  the Executive Secretary to renew the Convention 's pending applications for observer status in relevant bodies of the 
World Trade Organization, and to continue, and further strengthen, liaison and cooperation with the World Trade Organization  ..." 
  
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- 87 - Decision X/20  
Cooperation with other 
conventions and 
international 
organizations and 
initiatives  "The [C oP] ... 18. Also r equests  the Executive Secretary to continue, and further deepen, cooperation and liaison with the World Trade Organization, 
and to renew the Convention's pending applications for observer status in relevant bodies of the World Trade Organization;  …" 
Decision 14/30 
 Cooperation with other 
conventions, 
international 
organizations and 
initiatives  The [ COP]…  
…. 
15. Calls upon Parties, in accordance with national priorities and capacity, in the light of the results of the consultation process conducted under the 
"Caring for Coasts " initiative, the resulting work plan presented in the information document issued by  the Executive Secretary293 and the related 
resolutions adopted by the Conference of the Parties to the Convention on the Conservation of Migratory Species of Wild Anima ls at its twelfth 
meeting294 and the Conference of the Contracting Parties to the Conve ntion on Wetlands of International Importance especially as Waterfowl Habitat 
at its thirteenth meeting295 to provide further support for the implementation of the activities of the proposed work plan, i ncluding, among other 
things, the global "Coastal For um" focused on coastal wetland conservation;  
16. Requests the Executive Secretary, subject to the availability of resources, to further coordinate the "Caring for Coasts " initiative with the 
secretariats of the Convention on the Conservation of Migratory Species of Wild Animals and the Convention on Wetlands of International Importance 
especially as Waterfowl Habitat, and other relevant organizations, such as the United Nations Conference on Trade and Develop ment in the context 
of its Blue Bio Trade Initia tive, in order to advance synergies in their work on the management and restoration of coastal ecosystems worldwide;  
17. Encourages Parties to the Convention that are also Parties to the United Nations Framework Convention on Climate Change o r the United Nations 
Convention to Combat Desertification to consider, as appropriate, the relevance of their actions to implement the Convention on Biological Diversity, 
including their national biodiversity strategies and action plans, with actions for the achievemen t of their nationally determined contributions to the 
Paris Agreement and their national action programmes, respectively, and to also consider, where appropriate, ecosystem -based approaches to 
adaptation, aiming to reduce human vulnerability to climate cha nge;  
18. Invites Parties to the Convention that are also members of the United Nations Forum on Forests to consider, as appropriat e, the relevance of their 
actions to implement the Convention on Biological Diversity, including actions under their national  biodiversity strategies and action plans, in the 
design of their voluntary national contributions towards achieving one or more global forest goals and targets of the United Nations strategic plan for 
forests 2017 -2030;  
6.2.2.7   Other  
Decision VII/3  
Agricultural Biological 
Diversity  "The [Co P] ... 6. Takes note also of the notes by the Executive Secretary on the impacts of trade liberalization on agricultural biodiversity 
(UNEP/CBD/C oP/7/INF/14 and 15) prepared pursuant to paragraph 17 of decision  VI/5, and requests further gathering and incorporation of data on 
this matter from all countries; ... ."  
Decision VII/14  
Biological Diversity and 
Tourism  "The [Co P] 1. Adopts the Guidelines on Biodiversity and Tourism Development annexed to the present decision; ...  
9. In light of the collaboration between the [CBD, the UNEP and the UNESCO, invites the World Tourism Organization, the UNCTAD, the UNDP, 
the World Bank, the WTO], regional development banks and other relevant international organizati ons, to:  
(a) Take these Guidelines into account in undertaking their activities; ...  
Annex:  Guidelines on Biodiversity and Tourism Development  ... 
1. The present Guidelines are voluntary and represent a range of opportunities for local, regional, national Governments, indigenous and local 
communities and other stakeholders to manage tourism activities in an ecological, economic and socially sustainable manner. T hey can be flexibly 
applied to suit different circumstances and domestic institutional and legal settings. ...  
32. Legislation and control measures considered could include measures for: ...  
(n) Monitoring, control of and provision of information on activities related to collection and trade of biological and relat ed cultural resources 
within tourism sites. ..."   
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- 88 - Decision 14/19  
Synthetic biology  The [COP]…  
11. Calls upon Parties and other Governments, taking into account the current uncertainties regarding engineered gene drives,  to apply a 
precautionary approach,259 in accordance with the objectives of the Convention, and also calls upon Parties and other G overnments to only consider 
introducing organisms containing engineered gene drives into the environment, including for experimental releases and researc h and development 
purposes, when:  
(a) Scientifically sound case -by-case risk assessments have been car ried out;  
(b) Risk management measures are in place to avoid or minimize potential adverse effects, as appropriate;  
(c) Where appropriate, the "prior and informed consent ", the "free, prior and informed consent " or "approval and involvement " 260 of poten tially 
affected indigenous peoples and local communities is sought or obtained, where applicable in accordance with national circums tances and 
legislation;….  
Decision 14/33 
Procedure for avoiding or 
managing conflicts of 
interest in expert groups  The [COP ]… 
1.  Approves the procedure for avoiding or managing conflicts of interest contained in the annex to the present decision;  
…. 
Annex  
PROCEDURE FOR AVOIDING OR MANAGING CONFLICTS OF INTEREST  
1. Purpose and scope  
1.1 The purpose of this procedure is to enhance transparency and to contribute to ensuring the scientific integrity and independence of the work of 
expert groups, such as ad hoc technical expert groups, and to allow the Subsidiary Body on Scientific, Technical and Technolo gical Advice and the 
Subsidiary Body on Implementation, as appropriate, to develop their conclusions and recommendations on the best available advic e received from 
these expert groups, and/or to provide the Conference of the Parties to the Convention and the Conference of the Pa rties serving as the meetings of 
the Parties to the Cartagena Protocol and the Nagoya Protocol with credible, evidence -based and balanced information for taking decisions.  
…….. 
Decision 14/34 
Comprehensive and 
participatory process for 
the preparation of the 
post-2020 global 
biodiversity framework  The [COP]…  
1. Adopts the preparatory process for the development of the post -2020 global biodiversity framework contained in the annex to the present decision, 
and requests the Executive Secretary to facilitate i ts implementation, noting that the implementation of the preparatory process will require flexibility 
in order to adapt to changing circumstances and to respond to emerging opportunities;  
… 
C. Consultation process  
…. 
11. The effectiveness of the process for developing the post -2020 global biodiversity framework depends on the active participation of all Parties to 
the Convention and the Protocols, including by promoting meaningful national consultations. Specifically, in developing the post -2020 global 
biodiversity framework Parties are encouraged to do the following:  
(a) Promote the active engagement of Convention and Protocol focal points and encourage the participation of national focal p oints of other related 
international and regional agreements and processes, including other biodiversity -related conventions, the focal points of United Nations organizations 
and programmes, such as the Food and Agriculture Organization of the United Nations, and representatives of o ther sectors;  
(b) Promote the active engagement of observers and stakeholders;  
(c) Seek to support the active engagement of all relevant stakeholders at the national and subnational levels, including loca l authorities, cities, 
business, the financial sec tor, productive sectors - such as the agriculture, forestry, fisheries, tourism, health, infrastructure, energy and mining, 
infrastructure, manufacturing and processing sectors - civil society, women 's organizations, youth, academia, citizens and indigenou s peoples and 
local communities.   
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- 89 - 6.3  Supportive measures  
Article 17 – Exchange of Information  
"... 2.  Such exchange of information shall include exchange of results of technical, scientific and socio -economic research, as well as information on training and surveying 
programmes, specialized knowledge, indigenous and traditional knowledge as such and in combination with the technologies refe rred to in Article 16, paragraph 1. It shall also, 
where feasible, include repatriation of information".  
Article 18 – Technical and Scientific Cooperation  
"... 3.  The [C oP], at its first meeting, shall determine how to establish a clearing -house mechanism to promote and facilitate technical and scientific cooperation.  
4. The Contracting Parties shall, in accordance with na tional legislation and policies, encourage and develop methods of cooperation for the development and use of technologies, 
including indigenous and traditional technologies, in pursuance of the objectives of this Convention. For this purpose, the C ontracti ng Parties shall also promote cooperation in the 
training of personnel and exchange of experts".  
→ The financial mechanism for the CBD is the G lobal Environment Facility (G EF). For the sixth replenishment , donors pledged US$1.296 billion towards the biodiversity focal area 
for GEF -6, making it the largest individual focal area within the GEF . 
6.4  Non-compliance mechanism  
Article 26 – Reports  
"Each Contracting Party shall, at intervals to be determined by the C oP, present to the C oP, 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".  
→ Five rounds of national reports have been organized so far: in 1998, 2001, 2004 , 2009 and 2014 .  
→ The CBD does not have a compliance procedure.  Formal assessment of Parties or non -parties compliance has not occurred.  
6.5  Dispute settlement mechanism  
Article 27 – Settlement of Disputes  
"1. In the event of a dispute between Contracting Parties concerning the interpretation or application of this Convention, the pa rties concerned shall seek solution by negotiation.  
2. If the parties concerned cannot reach agreement by negotiation, they may jo intly seek the good offices of, or request mediation by, a third party.  
3. When ratifying, accepting, approving or acceding 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 paragraph 2 above, it accepts one or both of the  following means of dispute settlement as 
compulsory:  
(a) Arbitration in accordance with the procedure la id down in Part 1 of Anne x II; 
(b) Submission of the dispute to the [ICJ].  
4. If the parties to the dispute have not, in accordance with paragaph 3 above, accepted the same or any procedure, the dispute shall be submitted to conciliation in accordance 
with Part 2 of Annex II unles s the parties otherwise agree.  
5. The provisions of this Article shall apply with respect to any protocol except as otherwise provided in the protocol conce rned".  
 
→ The procedures for arbitration are set out in Part 1 of Annex II. The award of the arbitr al tribunal is binding on the parties to the dispute. In the event of a conflict between two 
Parties, the arbitral provisions provide for the standard three -member panel, as described under the Montreal Protocol and the Basel Convention. If more Parties ar e involved, 
Parties "in the same interest" are to nominate a "common" arbitrator.  
→ If the dispute is not submitted to arbitration or the ICJ because either the Parties have not chosen a procedure, or each has  chosen a different procedure, the dispute mus t be 
submitted to conciliation. Conciliation does not lead to a binding decision, unless the Parties agree otherwise, but the prop osals for resolution of the dispute must be considered in 
good faith. The procedures for the five -member conciliation commissi on are set out in Part 2 of Annex II.   
  WT/CTE/W/160/Rev.9 • TN/TE/S/5/Rev.7  
 
- 90 - 6.6  Provisions for non -parties  
→ There are no articles that deal directly with the rights of non -parties. According to rules of procedure of the C oP, meetings of the Convention are open to non -parties as observers.  
→ A few non -parties have submitted reports  on measures taken to implement the CBD: Brunei Darussalam has submitted a "Report on Implementation of Programme of Work for 
the Global Taxonomy Initiative,"and the United States has submitted a "Voluntary Report on Imp lementation of Expanded Programme of Work on Forests."  
 
7  NAGOYA PROTOCOL ON ACCESS TO GENETIC RESOURCES AND THE FAIR AND EQUITABLE SHARING OF BENEFITS ARISING FROM THEIR 
UTILIZATION TO THE  CONVENTION ON BIOLOGICAL DIVERSITY  
7.1  Brief description of the MEA  
Website  http://www.cbd.int/abs  
Objective  The objective of this Protocol is the fair and equitable sharing of the benefits arising from the utilization of genetic reso urces, including by appropriate 
access to genetic resources and by appropriate transfer of relevant technologies, taking into account all rights over those resources a nd to technologies, 
and by appropriate funding, thereby contributing to the conservation of biological diversity and the sustainabl e use of its components  (Article 1).  
Date of Adoption  29 October 2010  
Entry into force  12 October 2014  
Parties  129 Parties (as of 10 February 2021) . 
WTO Members  113 Parties to the Nagoya Protocol are also WTO Members (see Annex ). 
Openness of 
Membership  States or regional economic integration organizations that are Parties to the Convention (Article 33).  
Decision -Making 
Bodies  Article 26. Conference of the Parties 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 Protocol may participate as observers in the proceedings of any meetin g of the Conference of 
the Parties serving as the meeting of the Parties to this Protocol. When the Conference of the Parties serve s 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 t he Conference 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 b e elected by and from among 
the Parties to this Protocol.  
4.  The Conference of the Parties serving a s the meeting of the Parties to this Protocol shall keep under regular review the implementation of this 
Protocol and shall make, within its mandate, the decisions necessary to promote its effective implementation. It shall perfor m the functions assigned t o 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 cooperation of, and information provided by, competent international organizations and 
intergovernmental and non -governmental bodies;  
(d) Establish the form and the intervals for transmitting the information to be submitted in accordance with Article 29 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 Annex, as well as any additional annexes to this Pro tocol, 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.  
5. The rules of procedure of the Conference of the Parties and financial rules of the Convention shall be applied, mutatis mutandis , under this Protocol, 
except as may be otherwise decided by consensus by the Conference of the Parties serving as the meeting of the Parties to thi s Protocol.   
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- 91 - 6. The first meeting of the Conference of the Parties serving as the meeting of the Parties to this Protocol shall be convened b y the Secretariat and 
held concurrently with the first meeting of the Conference of the Parties that is scheduled after the date of  the entry into force of this Protocol. Subsequent 
ordinary meetings of the Conference of the Parties serving as the meeting of the Parties to this Protocol shall be held concu rrently with ordinary meetings 
of the Conference of the Parties, unless otherwis e decided by the Conference of the Parties serving as the meeting of the Parties to this Protocol.  
7. Extraordinary meetings of the Conference of the Parties serving as the meeting of the Parties to this Protocol shall be held at such other times as 
may b e deemed necessary by the Conference of the Parties serving as the meeting of the Parties to this Protocol, or at the written  request of any Party, 
provided that, within six months of the request being communicated to the Parties by the Secretariat, it is supported by at least one third of the Parties.  
8. The United Nations, its specialized agencies and the International Atomic Energy Agency, as well as any State member thereof or observers thereto 
not party to the Convention, may be represented as observe rs at meetings of the Conference of the Parties serving as the meeting of the Parties to this 
Protocol. Anybody or agency, whether national or international, governmental or non -governmental, that is qualified in matters covered by this Protocol 
and that h as informed the Secretariat of its wish to be represented at a meeting of the Conference of the Parties serving as a meeting of the Parties to this 
Protocol as an observer, may be so admitted, unless at least one third of the Parties present object. Except  as otherwise provided in this Article, the 
admission and participation of observers shall be subject to the rules of procedure, as referred to in paragraph 5 above."  
 
→ The first meeting of the Conference of the Parties serving as the Meeting of the Parti es to the Nagoya Protocol, was held in Pyeongchang, Republic of 
Korea, from 13 to 17 October 2014; the second meeting took place in Cancun, Mexico, from 4 –17 December 2016 and the third meeting took place in 
Sharm El -Sheikh, Egypt from 17 -29 November 2018.  The fourth meeting was meant to take place in Kunming, China in 2020, but will be rescheduled in 
light of the COVID -19 pandemic.  
→ Decisions taken at these meetings are available at: https://www.cbd.int/decisions/np -mop. 
 
Article 27. Subsidiary Bodies  
"1. Any subsidiary body established by or under the Convention may serve this Protocol, including upon a decision of the Conferen ce of the Parties 
serving as the meeting of the Parties t o this Protocol. Any such decision shall specify the tasks to be undertaken.  
2. Parties to the Convention that are not Parties to this Protocol may participate as observers in the proceedings of any meetin g of any such subsidiary 
bodies. When a subsidiary body of the Convention serves as a subsidiary body to this Protocol, decisions under this Protocol shall be taken only by Par ties 
to this Protocol.  
3. When a subsidiary body of the Convention exercises its functions with regard to matters concerning this P rotocol, any member of the bureau of that 
subsidiary body 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."  
 
→ At CoP -12, in Decision XII/26, the Parties to the CBD established a Subsidiary Body on Implementation (SBI), which replaces the previous  Ad Hoc Open -
ended Working Group on Review of Implementation of the Convention. The SBI will undertake a number of functions to ass ist the COP in keeping under 
review the implementation of the Convention.  
 
→ In Decision NP -1/11, the Parties to the Nagoya Protocol decided to designate the SBI to also serve the Nagoya Protocol. The decision notes t hat when 
the SBI exercises its functio ns with regard to matters concerning the Nagoya Protocol, decisions will be taken only by Parties to the Nagoya Protocol as 
provided in paragraph 2 of Article 27 of the Protocol.   
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- 92 - 7.2  Trade -related measures  
The text of the Protocol does not explicitly refer to trade measures. However, the Protocol contains a number of provisions which may have consequences for 
trade. In addition, some of its provisions have inter -linkages with some international trade agreeme nts. 
Article 4 Relationship 
with other international 
agreements  "1. The provisions of this Protocol shall not affect the rights and obligations of any Party deriving from any existing internati onal agreement, 
except where the exercise of those rights and obligations would cause a serious damage or threat to biological diversity. This paragraph is not 
intended to create a hierarchy between this Protocol and other international instruments.  
2. Nothing in this Protocol shall prevent the Parties from devel oping and implementing other relevant international agreements, including other 
specialised access and benefit -sharing agreements, provided that they are supportive of and do not run counter to the objectives of the Convention 
and this Protocol.  
3. This Pr otocol shall be implemented in a mutually supportive manner with other international instruments relevant to this Protocol. D ue regard 
should be paid to useful and relevant ongoing work or practices under such international instruments and relevant interna tional organizations, 
provided that they are supportive of and do not run counter to the objectives of the Convention and this Protocol.  
4. This Protocol is the instrument for the implementation of the access and benefit -sharing provisions of the Conventio n. Where a specialised 
international access and benefit -sharing instrument applies that is consistent with, and does not run counter to the objectives of the Convention and 
this Protocol, this Protocol does not apply for the Party or Parties to the special ised instrument in respect of the specific genetic resource covered by 
and for the purpose of the specialised instrument."  
 
→ Following a  CoP-MoP 2 decision (NP-2/5) where  the Executive Secretary was requested to conduct a study into criteria that could be  used to 
identify what constitutes a specialized international ABS instrument in the context of  Article 4 , paragraph 4 of the Protocol , at CoP -MoP 3, in decision 
NP-3/14, Partie s and other Governments were invited to submit information on how specialized international access and benefit -sharing instruments 
are addressed in their domestic measures and views on the potential criteria contained in the study, taking into account Arti cle 4, paragraphs 1 to 
3, of the Protocol. The Executive Secretary was requested to synthesize the information and views submitted, including the in formation from 
developments in relevant international forums, and make it available for consideration by the  Subsidiary Body on Implementation at its third meeting.  
 
→ Also at CoP -MoP 3, in decision NP -3/14 it was decided to include a standing item on "cooperation with other international organizations " on the 
agenda of its future meetings to take stock of devel opments in relevant international forums, including any information on specialized international 
access and benefit -sharing instruments recognized by another intergovernmental body and/or by a Party or group of Parties, with a view to enhanc ing 
mutual supp ortiveness between the Protocol and specialized international access and benefit -sharing instruments; and invited Parties and other 
Governments to coordinate at the national level regarding access and benefit -sharing issues addressed in different internati onal forums, as 
appropriate, in order to support a coherent international regime on access and benefit -sharing.  
Article 5 Fair and 
equitable benefit -sharing  "1. In accordance with Article 15, paragraphs 3 and 7 of the Convention, benefits arising from the utilization of genetic resources as well as 
subsequent applications and commercialization shall be shared in a fair and equitable way with the Party providing such resou rces that is the country 
of origin of such resources or a Party that has acquired t he genetic resources in accordance with the Convention.  Such sharing shall be upon mutually 
agreed terms [ ...] 
3. To implement paragraph 1, each Party shall take legislative, administrative or policy measures, as appropriate. […]"   
  WT/CTE/W/160/Rev.9 • TN/TE/S/5/Rev.7  
 
- 93 - Article 6 Access to 
gene tic resources  "1. In the exercise of sovereign rights over natural resources, and subject to domestic access and benefit -sharing legislation or regulatory 
requirements, access to genetic resources for their utilization shall be subject to the prior informed consent of the Party providing such resources 
that is the country of origin of such resources or a Party that has acquired the genetic resources in accordance with the Con vention, unless otherwise 
determined by that Party.  
[...] 
3. Pursuant to par agraph 1 above, each Party requiring prior informed consent shall take the necessary legislative, administrative or policy 
measures, as appropriate, to: [ ...] 
(b) Provide for fair and non -arbitrary rules and procedures on accessing genetic resources;  
[...] 
(g) Establish clear rules and procedures for requiring and establishing mutually agreed terms. Such terms shall be set out in  writing and may 
include, inter alia: [ ...] 
(ii) Terms on benefit -sharing, including in relation to intellectual property rights; [...]" 
Article 17  
Monitoring the Utilization 
of Genetic Resources  "1. To support compliance, each Party shall take measures, as appropriate, to monitor and to enhance transparency about the utili zation of 
genetic resources. Such measures shall include:  
(a) The designation of one or more checkpoints, as follows:  
(i) Designated checkpoints would collect or receive, as appropriate, relevant information related to prior informed consent, to t he source of the 
genetic resource, to the establishment of mut ually agreed terms, and/or to the utilization of genetic resources, as appropriate.  
(ii) Each Party shall, as appropriate and depending on the particular characteristics of a designated checkpoint, require users of  genetic 
resources to provide the information specified in the above paragraph at a designated checkpoint. Each Party shall take appropriate, effective 
and proportionate measures to address situations of non -compliance.  
(iii) Such information, including from internationally recognized certificates of compli ance where they are available, will, without prejudice to 
the protection of confidential information, be provided to relevant national authorities, to the Party providing prior inform ed consent and to 
the Access and Benefit -sharing Clearing -House, as appro priate.  
(iv) Check points must be effective and should have functions relevant to implementation of this sub -paragraph (a). They should be relevant to 
the utilization of genetic resources, or to the collection of relevant information at, inter alia , any stage of research, development, innovation, 
pre-commercialization or commercialization.  
(b) Encouraging users and providers of genetic resources to include provisions in mutually agreed terms to share information on the 
implementation of such terms, including th rough reporting requirements; and  
(c) Encouraging the use of cost -effective communication tools and systems.  
2. A permit or its equivalent issued in accordance with Article 5, paragraph 2 (d) and made available to the Access and Benefit -sharing 
Clearing -House, shall constitute an internationally recognized certificate of compliance.  
3. An internationally recognized certificate of compliance shall serve as evidence that the genetic resource which it covers has  been accessed in 
accordance with prior informe d consent and that mutually agreed terms have been established, as required by the domestic access and 
benefit -sharing legislation or regulatory requirements of the Party providing prior informed consent.   
4. The internationally recognized certificate of c ompliance shall contain the following minimum information when it is not confidential:  
(a) Issuing authority;  
(b) Date of issuance;  
(c) The provider;  
(d) Unique identifier of the certificate;  
(d) The person or entity to whom prior informed consent was gran ted; 
(e) Subject -matter or genetic resources covered by the certificate;  
(f) Confirmation that mutually agreed terms were established;  
(g) Confirmation that prior informed consent was obtained; and  
(h) Commercial and/or non -commercial use."   
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- 94 - 7.3  Supportive measures  
Article 14 : The Access And Benefit -Sharing Clearing -House And Information -Sharing  
"1. An Access and Benefit -sharing Clearing -House is hereby established as part of the clearing -house mechanism under Article 18, paragraph 3, of the Convention. It shall serve 
as a means for sharing of information related to access and benefit -sharing. In particular, it shall provide access to information made available by each Party relevant to the 
implementation of this Protocol.  
2. Without prejudice  to the protection of confidential information, each Party shall make available to the Access and Benefit -sharing Clearing -House any information required 
by this Protocol, as well as information required pursuant to the decisions taken by the Conference of  the Parties serving as the meeting of the Parties to this Protocol. The 
information shall include:  
(a) Legislative, administrative and policy measures on access and benefit -sharing;  
(b) Information on the national focal point and competent national auth ority(ies); and  
(c)Permits or their equivalent issued at the time of access as evidence of the decision to grant prior informed consent and o f the establishment of mutually agreed terms.  
3. Additional information, if available and as appropriate, may include:  
(a) Relevant competent authorities of indigenous and local communities, and information as so decided;  
(b) Model contractual clauses;  
(c) Methods and tools developed to monitor genetic resources; and  
(d) Codes of conduct and best practices.  
4. The modalities of the operation of the Access and Benefit -sharing Clearing -House, including reports on its activities, shall be considered and decided upon by the Conference 
of the Parties serving as the meeting of the Parties to this Protoco l at its first meeting, and kept under review thereafter."  
 
→ The ABS Clearing -House (ABS -CH) was launched on 12 October 2014 with the entry into force of the Protocol ( http://absch.cbd.int ). At CoP -MoP 1, the Parties adopted modalities  
for the operation of the ABS -CH (Decision NP -1/2), which outline the administration of the ABS -CH by the CBD Secretariat and the role of Parties and non -Parties with respect to 
the exchange of information through the ABS -CH, including the  functions of ABS -CH publishing authorities. The decision also establishes an informal advisory committee for the 
ABS-CH to provide technical guidance to the Executive Secretary. Developments at CoP -MoP 3 are contained in decision NP-3/3. 
 
Article 22: Capacity  
"1. The Parties shall cooperate in the capacity -building, capacity development and strengthening of human resources and institutional capacities to effectively implement thi s 
Protocol in developing country Parties, in particular the least develope d countries and small island developing States among them, and Parties with economies in transition, including 
through existing global, regional, subregional and national institutions and organizations. In this context, Parties should f acilitate the involv ement of indigenous and local communities 
and relevant stakeholders, including non -governmental organizations and the private sector.  
2. The need of developing country Parties, in particular the least developed countries and small island developing States among them, and Parties with economies in transition 
for financial resources in accordance with the relevant provisions of the Convention shall be taken fully into account for ca pacity -building and development to implement this 
Protocol.  
3. As a basis for appropriate measures in relation to the implementation of this Protocol, developing country Parties, in particular the least developed countries and small island 
developing States among them, and Parties with economies in transition should identify their n ational capacity needs and priorities through national capacity self -assessments. In 
doing so, such Parties should support the capacity needs and priorities of indigenous and local communities and relevant stak eholders, as identified by them, emphasizing t he 
capacity needs and priorities of women.  
4. In support of the implementation of this Protocol, capacity -building and development may address, inter alia, the following key areas:  
(a) Capacity to implement, and to comply with the obligations of, this Prot ocol; 
(b) Capacity to negotiate mutually agreed terms;  
(c) Capacity to develop, implement and enforce domestic legislative, administrative or policy measures on access and benefit -sharing; and  
(d) Capacity of countries to develop their endogenous research capabilities to add value to their own genetic resources.  
5. Measures in accordance with paragraphs 1 to 4 above may include, inter alia:  
(a) Legal and institutional development;  
(b) Promotion of equity and fairness in negotiations, such as traini ng to negotiate mutually agreed terms;   
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- 95 - (c) The monitoring and enforcement of compliance;  
(d) Employment of best available communication tools and Internet -based systems for access and benefit -sharing activities;  
(e) Development and use of valuation methods ; 
(f) Bioprospecting, associated research and taxonomic studies;  
(g) Technology transfer, and infrastructure and technical capacity to make such technology transfer sustainable;  
(h) Enhancement of the contribution of access and benefit -sharing activities t o the conservation of biological diversity and the sustainable use of its components;  
(i) Special measures to increase the capacity of relevant stakeholders in relation to access and benefit -sharing; and  
(j) Special measures to increase the capacity of ind igenous and local communities with emphasis on enhancing the capacity of women within those communities in relation to 
access to genetic resources and/or traditional knowledge associated with genetic resources.  
6. Information on capacity -building and devel opment initiatives at national, regional and international levels, undertaken in accordance with paragraphs 1 to 5 above, sho uld 
be provided to the Access and Benefit -sharing Clearing -House with a view to promoting synergy and coordination on capacity -building and development for access and 
benefit -sharing."  
 
→ In 2014, at CoP -MoP 1, the Parties adopted a strategic framework for capacity -building and development to support the effective implementation of the Nagoya Protocol (Decision 
NP-1/8). The decision also establishes an informal advisory committee to provid e advice to the Executive Secretary on matters related to the assessment of the effectiveness of the 
strategic framework. Developments at CoP -MoP 3 are contained in decision NP -3/5. 
 
Article 23: Technology Transfer, Collaboration and Cooperation  
"In accord ance with Articles 15, 16, 18 and 19 of the Convention, the Parties shall collaborate and cooperate in technical and scientif ic research and development programmes, 
including biotechnological research activities, as a means to achieve the objective of this  Protocol. The Parties undertake to promote and encourage access to technology by, and 
transfer of technology to, developing country Parties, in particular the least developed countries and small island developin g States among them, and Parties with econom ies in 
transition, in order to enable the development and strengthening of a sound and viable technological and scientific base for the attainment of the objectives of the Convention and 
this Protocol. Where possible and appropriate such collaborative acti vities shall take place in and with a Party or the Parties providing genetic resources that is the country or are 
the countries of origin of such resources or a Party or Parties that have acquired the genetic resources in accordance with t he Convention."  
 
Article 25: Financial Mechanism and Resources  
"1. In considering financial resources for the implementation of this Protocol, the Parties shall take into account the provision s of Article 20 of the Convention.  
2. The financial mechanism of the Convention s hall be the financial mechanism for this Protocol.  
3. Regarding the capacity -building and development referred to in Article 22 of this Protocol, the Conference of the Parties serving as the meeting of the Parties to this Protocol, 
in providing guidance with respect to the financial mechanism referred to in paragraph 2 above, for consideration by the Conference of the  Parties, shall take into account the need 
of developing country Parties, in particular the least developed countries and small isl and developing States among them, and of Parties with economies in transition, for financial 
resources, as well as the capacity needs and priorities of indigenous and local communities, including women within these com munities.  
4. In the context of paragra ph 1 above, the Parties shall also take into account the needs of the developing country Parties, in particular the least dev eloped countries and 
small island developing States among them, and of the Parties with economies in transition, in their efforts t o identify and implement their capacity -building and development 
requirements for the purposes of the implementation of this Protocol.  
5. The guidance to the financial mechanism of the Convention in relevant decisions of the Conference of the Parties, incl uding those agreed before the adoption of this Protocol, 
shall apply, mutatis mutandis, to the provisions of this Article.  
6. The developed country Parties may also provide, and the developing country Parties and the Parties with economies in transiti on av ail themselves of, financial and other 
resources for the implementation of the provisions of this Protocol through bilateral, regional and multilateral channels."  
 
→ Following the recommendation from the first meeting of the CoP -MoP, the CoP, in its Decisi on XII/30, provided guidance to the GEF with regard to the Nagoya  Protocol. The 
decision also addressed eligibility for funding from the GEF for Parties to the Nagoya Protocol as well as developing countri es and countries with economies in transition that provide 
a clear political commitment towards becoming Parties to the Protocol. Further guidance was provided at CoP 14 in decision 14/23 .  
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- 96 - 7.4  Non-compliance mechanism  
Article  29: Monitoring and Reporting  
"Each Party shall monitor the implementation of its obligations under this Protocol, and shall, at intervals and in the format to be determined by the Conf erence of the Parties 
serving as the meeting of the Parties to this Protocol, report to the Conference of the Parties serving as th e meeting of the Parties to this Protocol on measures that it has taken to 
implement this Protocol. " 
 
→ CoP-MoP 1 approved a format for the interim national report on implementation of the Protocol ( Decision NP-1/3) and requested Parties to submit an interim national report 
12 months prior to CoP -MoP 3. The interim national reports provided  input to the first assessment and review of the implementation of the Nagoya  Protocol (Article 31 of the 
Protocol) that was  carried o ut by CoP -MoP 3 (decisi on NP -3/1). 
 
Article  30: Procedures and Mechanisms to Promote Compliance with this Protocol  
"The Conference of the Parties serving as the meeting of the Parties to this Protocol shall, at its first meeting, consider an d approve cooperative procedures and institutional 
mechanisms to promote compliance with the provisions of this Protocol and to address cases of non -compliance. These procedures and mechanisms shall include provisions to offer 
advice or assistance, where app ropriate. They shall be separate from, and without prejudice to, the dispute settlement procedures and mechanisms under Artic le 27 of the 
Convention. " 
 
→ CoP-MoP 1 adopted procedures and mechanisms on compliance and also established a Compliance Committee (Decision NP -1/4). The Compliance Committee is composed of 15 
members nominated by Parties and elected by the C oP-MoP on the basis of three members from each of the five regional groups of the United Nations. In addition, two 
representatives of indigenous and local communities (ILC) are elected to serve as observers.  These members and ILC observers will serve in their individual capacity.  The Committee 
is to meet at least once per intersessional period.  
→ The Committee can receive submissions from any Party  with respect to itself, any Party with respect to another Party, and the C oP-MoP. The Committee may also examine a 
situation where a Party fails to submit its national report under Article 29 of the Protocol or where information indicates t hat a Party is faced with difficulties complying with its 
obligations under the Protocol as well as systemic issues of general non -compliance. Both the Committee and the C oP-MoP may take measures to promote compliance and address 
cases of non -compliance.  
→ Rules of procedure for the meetings of the Compliance Committee was approved by the CoP -MoP at its second meeting.  
7.5  Dispute settlement mechanism  
→ According to Article 27(5) of the CBD, t he dispute settlement provisions of the CBD in Article 27 apply to t he Protocol . 
7.6  Provisions for non -parties  
Article  24: Non -Parties  
The Parties shall encourage non -Parties to adhere to this Protocol and to contribute appropriate information to the Access and Benefit -sharing Clearing -House.  
  
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- 97 - 8  CARTAGENA PROTOCOL ON BIOSAFETY TO THE CONVENTION ON BIOLOGICAL DIVERSITY  
8.1  Brief description of the MEA  
Website  http://bch.cbd.int/protocol/  
Objective  → To ensure an adequate level of protection in the field of safe transfer, handling and use of Living Modified Organisms (LMOs) that may have adverse 
effects on the conservation and sustainable use of biological diversity, also taking into account risks to human health.  
Date of Adoption  29 January 2000  
Entry into force  11 September 2003  
Parties  173 Parties (as of 10 February 2021) . 
WTO Members    147 Parties to the Cartagena Protocol on Biosafety are also WTO Members (see Annex ). 
Openness of 
Membership  Article 36 – Signature  
"This Protocol shall be open for signature … by States and regional economic integration organizations …".  
Article 32:1 of the Convention on Biological Diversity – Relationship between this Convention and Its Protocols  
"1. A State or a regional economic integrat ion organization may not become a Party to a protocol unless it is, or becomes at the same time, a Contracting 
Party to this Convention".  
Decision -Making 
Bodies  Article 29 – Conference of the Parties Serving as the Meeting of the Parties to this Protocol  
"1. The [CoP] shall serve as the [MoP] to this Protocol.  
2. Parties to the Convention that are not Parties to this Protocol may participate as observers in the proceedings of any meetin g of the [CoP] serving 
as the [MoP] to this Protocol. When the  [CoP] serves as the [MOP] to this Protocol, decisions under this Protocol shall be taken only by those that are 
Parties to it.  
3. When the [CoP] serves as the [MoP] to this Protocol, any member of the bureau of the [CoP] representing a Party to the Conven tion 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 Prot ocol. 
4. The [CoP] serving as the [MoP] to this Protocol shall keep under regular review the implementation of th is Protocol and shall make, within its 
mandate, the decisions necessary to promote its effective implementation. It shall perform the functions assigned to it by th is Protocol and shall:  
(a) Make recommendations on any matters necessary for the implementat ion 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 cooperation of, and information provided by, competent internationa l organizations 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 th is Protocol and consider 
such information as well as reports submitt ed 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 P rotocol, 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.  
5. The rules of procedure of the Conference of the Parties and financial rules of the Convention shall be applied, mutatis mutandis , under this Protocol, 
except as may be otherwise decided by consensus by the [CoP] serving as the [MoP] to this Protocol."  
 
→ The Conference of the Parties serving as the meeting of the Parties to the Cartagena Protocol on Biosafety (CoP -MoP) held its ninth meeting in Sharm 
El-Sheikh, Egypt, from 17 -29 November 2018.  
 
Article 30 – Subsidiary Bodies  
"1. Any subsidiary body establi shed by or under the Convention may, upon a decision by the [CoP] serving as the [MoP] to this Protocol, serve the 
Protocol, in which case the [MoP] shall specify which functions that body shall exercise.   
  WT/CTE/W/160/Rev.9 • TN/TE/S/5/Rev.7  
 
- 98 - 2. Parties to the Convention that are not Parties t o this Protocol may participate as observers in the proceedings of any meeting of any such subsidiary 
bodies. When a subsidiary body of the Convention serves as a subsidiary body to this Protocol, decisions under the Protocol s hall 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 Part y to the Protocol, shall be substituted by a member to be elected by 
and from among the Parties to the Protocol".  
 
→ In its decision BS -IV/13, COP -MOP decided to establish, as necessary, ad hoc technical expert groups, with specific mandates to address one  or more 
scientific and technical issues as the need arises to make recommendations to the COP -MOP. A number of ad hoc technical expert groups (AHTEG) have 
bene established since.   
 
Certain matters under consideration by the COP -MOP have been reverted to the Subsidiary Body on Scientific, Technical and Technological Advice (SBSTTA), 
which has provided recommendations to the COP -MOP. The SBSTTA was established according to Article 25 o f the CBD.  
 
In its decision BS -VII/9, COP -MOP decided that the Subsidiary Body on Implementation, established by the COP of the CBD in decision XII/26, also serves 
the Cartagena Protocol on Biosafety.  
Amendments and 
Protocols  Article 32 – Relationship with the Convention  
"Except as otherwise provided in this Protocol, the provisions of the Convention relating to its protocols shall apply to thi s Protocol".  
→ See also Article 29:4(e) on [CoP -MoP] to this Protocol in the Section on Decision -making Bodies above.  
→ Article 29 of the CBD (Amendment of the Convention or Protocols) will also apply to the Protocol.  
8.2  Trade -related measures  
8.2.1   Provisions of the protocol  
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 international 
agreements,  
Understanding  that the above recital is not intended to subordinate this Protocol to other international agreements".  
Article 2  
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 t he objective and the provisions 
of this Protocol an d is in accordance with that Party's other obligations under international law".  
Article 4  
Scope  "This Protocol shall apply to the transboundary movement, transit, handling and use of all [LMOs] that may have adverse effec ts on the conservation 
and sustai nable use of biological diversity, taking also into account risks to human health."  
Article 6  
Transit and Contained 
Use "1. Notwithstanding Article 4 and without prejudice to any right of a Party of transit to regulate the transport of [LMOs] throug h its territory and 
make available to the Biosafety Clearing -House, any decision of that Party, subject to Article 2, paragraph 3, regarding the transit through its territory 
of a specific [LMO], the provisions of this Protocol with respect to the advance inform ed agreement procedure shall not apply to [LMOs] in transit.  
2. Notwithstanding Article 4 and without prejudice to any right of a Party to subject all [LMOs] to risk assessment prior to dec isions on import 
and to set standards for contained use within its jurisdiction, the provisions of this Protocol with respect to the advance informed agreement procedure 
shall not apply to the transboundary movement of [LMOs] destined for contained use undertaken in accordance with the standard s of the Party of 
import".   
  WT/CTE/W/160/Rev.9 • TN/TE/S/5/Rev.7  
 
- 99 - 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 fir st intentional 
transboundary movement of [LMOs] 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 [LMOs] intended for direct use as foo d or feed, or for 
processing.  
3. Article 11 shall apply pr ior to the first transboundary movement of [LMOs] intended for direct use as food or feed, or for processing.  
4. The advance informed agreement procedure shall not apply to the intentional transboundary movement of [LMOs] identified in a decision of 
the [C oP] serving as the [MoP] to this Protocol as being not likely to have adverse effects on the conservation and sustainable use  of biological 
diversity, taking also into account risks to human health.  
→ Lays out the Advanced Informed Agreement (AIA) procedur e which shall apply for the first intentional 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 1 2. 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 processing. The AIA procedure sha ll 
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 authority of the Party of 
import prior to the intentional transboundary movement of a [LMO] 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 rece ipt.  
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 framework of the Party of import or according to the procedure sp ecified in 
Article  10.  
3. The domestic regulatory framework referred to in par agraph 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 trans boundary 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 i ntentional 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 communicat e, in writing, 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  [LMO];  
(b) Prohibiting the import;  
(c) Requesting additional relevant information in accordance with its domestic regulatory framework or Annex I; in calculatin g the time within 
which the Party of import is to respond, the number of days it has to wait for additiona l relevant information shall not be taken into account;  or 
(d) Informing the notifier that the period specified in this 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 it is based.  
5. A failure by the Party of import to communicate its decision within two hundred and seventy days of the date of receipt of th e notification shall 
not imply its consent to an intentional transboundar y movement.  
6. Lack of scientific certainty due to insufficient relevant scientific information and knowledge regarding the extent of the po tential adverse effects 
of a [LMO] on the conservation and sustainable use of biological diversity in the Party of i mport, 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 [LMO] in question as referred  to in paragraph 3 above, 
in order to avoid or minimize such potential  adverse effects…".  
Article 11  
Procedure for Living 
Modified Organisms "1. A Party that makes a final decision regarding domestic use, including placing on the market, of a [LMO] that may be subject t o transboundary 
movement for direct use as food or feed, or for processing shall, within fifteen days of making that decision, info rm the Parties through the [BCH]. 
This information shall contain, at a minimum, the information specified in Annex II. The Party shall provide a copy of the in formation, in writing, to  
  WT/CTE/W/160/Rev.9 • TN/TE/S/5/Rev.7  
 
- 100 - Intended for Direct Use 
as Food or Feed, or for 
Processing  the national focal point of each Party that informs the Secretariat in advance that it does not have access to the [BCH]. 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 infor mation p rovided 
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 [LMOs] intended for direct use as food or feed, or for processing, under its domestic regulatory 
framework that is consistent with the objective of this Protocol.  
5. Each Party shall make available to the [BCH] copies of any national laws, regulations and guidelines applicable to the import  of [LMOs] 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 jurisdiction, d eclare through the [BCH] that its decision prior to the first import of a [LMO] intended 
for direct use as food or feed, or for processing, on which information has been provided under paragraph 1 above, will be ta ken 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 decision according to paragraph 6 above, shall not imply its c onsent or refusal to the import of a [LMO] 
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 potential adverse effects 
of a [LMO] on the conservation and sustainable use of biological diversity in the Party of import, taking also into account r isks to human health, shall 
not prevent that Party from taking a decision, as appropriate, with regard to the import of that [LMO] 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 assistance and capacity -buildin g with respect to [LMOs] 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 account the risks to human health, review and change a decision regarding an intent ional transboundary 
movement. In su ch case, the Party shall, within thirty days, inform any notifier that has previously notified movements of the [LMO] referre d to in 
such decision, as well as the [BCH], 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 Article10 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 w hich the decision was based; 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 o f 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 [LMOs] in 
accordance with the objective of this Protocol, specify in advance to the [BCH]:  
(a) Cases in which intentional transboundary movement to it may take place at the same time as the movement is notified to th e Party of 
import; and  
(b) Imports of [L MOs] to it to be exempted from the advance informed 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".   
  WT/CTE/W/160/Rev.9 • TN/TE/S/5/Rev.7  
 
- 101 - 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 
[LMOs], consistent with the objective of this Protocol and provided that such agreements and arrangements do not result in a lower level of protection 
than that provi ded for by the Protocol.  
2. The Parties shall inform each other, through the [BCH], of any such bilateral, regional and multilateral agreements and arran gements 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 intentional transboundary movements that take place pursuant to such agreemen ts and 
arrangements as between the parties to those agreements or arrangements.  
4. Any Party may determine that its domestic regula tions shall apply with respect to specific imports to it and shall notify the [BCH] of its 
decision".  
Article 15  
Risk Assessment  "1. Risk assessments undertaken pursuant to this Protocol shall 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  provided in 
accordance with Article 8 and other available scientific evidence in order to identify and evaluat e the possible adverse effects of [LMOs] 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 Ar ticle 10. 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, measures and strategies 
to regulate, manage and control risks identified in the risk assessment provisions of this Protocol associated with the use, handling and transboundary 
movement of [LMOs].  
2. Measures based on risk assessment shall be imposed to the extent necessary to prevent adverse effects of the [LMO] on the con servation and 
sustainable use of biological diversity, taking also into account risks to human health, within the ter ritory of the Party of import.  
3. Each Party shall take appropriate measures to prevent unintentional transboundary movements of [LMOs], including such measure s as 
requiring a risk assessment to be carried out prior to the first release of a [LMO].  
4. Without prejudice to paragraph 2 above, each Party shall endeavour to ensure that any [LMO], whether imported or locally develope d, has 
undergone an appropriate period of observation that is commensurate with its life -cycle or generation time before it is put to its intended use.  
5. Parties shall cooperate with a view to:  
(a) Identifying [LMOs] or specific traits of [LMOs] that may have adverse effects on the conservation and sustainable use of biological diversity, 
taking also into account risks to human heal th; and  
(b) Taking appropriate measures regarding the treatment of such [LMOs] or specific traits".  
Article 18  
Handling, Transport, 
Packaging And 
Identification  "1. In order to avoid adverse effects on the conservation and sustainable use of biological di versity, taking also into account risks to human health, 
each Party shall take necessary measures to require that [LMOs] that are subject to intentional transboundary movement within  the scope of this 
Protocol are handled, packaged and transported under co nditions of safety, taking into consideration relevant international rules and standards.  
2. Each Party shall take measures to require that documentation accompanying:  
(a) [LMOs] that are intended for direct use as food or feed, or for processing, clearly identifies that they "may contain" [LMOs] and are not 
intended for intentional introduction into the environment, as well as a contact point for further information. The [CoP] ser ving as the [MOP] to 
this Protocol shall take a decision on the detailed requirements for this purpose, including specification of their identity and any unique 
identification, no later than two years after the date of entry into force of this Protocol;  
(b) [LMOs] that are destined for contained use clearly iden tifies them as [LMOs]; and specifies any requirements for the safe handling, storage, 
transport and use, the contact point for further information, including the name and address of the individual and institutio n to whom the [LMOs] 
are consigned; and  
(c) [LMOs] that are intended for intentional introduction into the environment of the Party of import and any other [LMOs] within the scope of 
the Protocol, clearly identifies them as [LMOs]; specifies the identity and relevant traits and/or characteristics, an y requirements for the safe 
handling, storage, transport and use, the contact point for further information and, as appropriate, the name and address of the importer and 
exporter; and contains a declaration that the movement is in conformity with the requi rements of this Protocol applicable to the exporter.  
3. The [CoP] serving as the [MoP] to this Protocol shall consider the need for and modalities of developing standards with regar d to identification, 
handling, packaging and transport practices, in consul tation with other relevant international bodies".   
  WT/CTE/W/160/Rev.9 • TN/TE/S/5/Rev.7  
 
- 102 - Article 25  
Illegal Transboundary 
Movements  
 "1. Each Party shall adopt appropriate domestic measures aimed at preventing and, if appropriate, penalizing transboundary moveme nts of [LMOs] 
carried out in contravention of its domestic measures to implement this Protocol.  Such movements shall be deemed illegal transboundary movements.  
2. In the case of an illegal transboundary movement, the affected Party may request the Party of origin to dispose, at its ow n expense, of the 
[LMO] in question by repatriation or destruction, as appropriate.  
3. Each Party shall make available to the [BCH] information concerning cases of illegal transboundary movements pertaining to it ". 
Article 26  
Socio -Economic 
Considerations  "1. The Parties, in reaching a decision on import under this Protocol or under its domestic measures implementing the Protocol, m ay take into 
account, consistent with their international obligations, socio -economic considerations arising fro m the impact of [LMOs] on the conservation and 
sustainable use of biological diversity, especially with regard to the value of biological diversity to indigenous and local communities.  
2. The Parties are encouraged to cooperate on research and information exchange on any socio -economic impacts of [LMOs], especially on 
indigenous and local communities".  
Annexes  → Annex I sets out the information required in notifications under Articles 8, 10 and 13 (AIA Procedure and Simplified Procedur e). 
→ Annex II sets o ut the information required for LMOs intended for direct use as food or feed, or for processing under Article 11.  
→ Annex III gives greater details on the risk assessments carried out pursuant to the Protocol.  
8.2.2   Decisions of the COP -MOP 
The decisions of th e CoP-MoP of the Cartagena Protocol on Biosafety can be accessed through this link: http://bch.cbd.int/protocol/decisions/  
Notification 
Requirement (Article 8)  Decision BS -II/8 
"The [CoP] serving as the [MoP] to the Cartagena Protocol on Biosafety …  
2. Recommends to Parties to the Protocol to consider elements and options relevant to Article 8 of the Protocol, as well as t he following elements 
(…):  
(a) Applying necessary measures to enforc e the notification requirements;  
(b) Requiring the exporter to use the language as determined by the Party of import in the notification;  
(c) Acknowledging the right of a Party of transit to regulate the transport of living modified organisms through its t erritory, including requiring 
communication in writing to the competent national authority of the Party of transit if so required by the regulations of tha t Party of transit."  
 
Decision BS -VI/10  
1. Requests Parties to address any gaps that may exist in the ir domestic implementation of the notification requirements under Article 8 of the 
Protocol, including in the context of their general obligation to take the necessary and appropriate legal, administrative an d other measures to 
implement their obligations under the Protocol, in accordance with paragraph 1 of Article 2 of the Protocol;  
Decision Procedure  
(Article 10)  → At the First CoP serving as the MoP to this Protocol (CoP -MoP 1) in 2004, CoP -MoP 1 adopted procedures and mechanisms to facilitate decision -
making by Parties of import (Decision BS -I/2). The guidelines and procedures state, inter alia , that Parties shall cooperate to ensure that importing 
Parties have access to the Biosafety Clearing -House (BCH), procedures and mechanisms should be demand -driven by importing Parties; and the 
roster of experts and the BCH are referred to as main mechanisms to provide support to facilitate decision making.  
Handling, Transport, 
Packaging and 
Identification of Living 
Modified Organisms 
(Article 18)  
 Unique identification system(s)  ... 
Decision BS -I/6 
"1. Invites Parties and other government to take measures to apply, as appropriate, the OECD Unique Identifiers for Transgenic Pl ants to living 
modified plants under the Protocol, without prejudice to the possib le development and applicability of other systems;  
2. Requests the Executive Secretary to develop or maintain, in the [BCH], a register of unique identification codes to ensure ha rmonisation of 
such codes by all users;  
3. Encourages the OECD and other orga nizations involved in the development of unique identification systems for [LMOs] to initiate or enhance 
their activities towards the development of a harmonized system of unique identifiers for genetically modified micro -organisms and animals. ..."  
 
Parag raph 2 (a) of Article 18:   
  WT/CTE/W/160/Rev.9 • TN/TE/S/5/Rev.7  
 
- 103 - Decision BS -I/6 
"1. Requests Parties to the Protocol and urges other Governments to take measures to require the use of a commercial invoice or o ther document 
required or utilized by existing documentation systems, as documentatio n that should accompany [LMOs] that are intended for direct use as food or 
feed, or for processing, for the purpose of identification by incorporating the information requirements of the first sentenc e of paragraph 2 (a) of 
Article 18, and the requirements  established under paragraph 4 below, pending a decision on detailed requirements for this purpose by the CoP 
serving as the MOP to the Protocol, which could include the use of a stand -alone document;  
2. Requests Parties to the Protocol and urges other Gov ernments to take measures ensuring that documentation accompanying [LMOs] that are 
intended for direct use as food or feed, or for processing clearly identifies that the shipment may contain [LMOs] intended f or direct use as food or 
feed, or for processing , and states that they are not intended for intentional introduction into the environment;  
3. Further requests Parties to the Protocol and urges other Governments to take measures ensuring that the documentation accompa nying 
[LMOs] that are intended for di rect use as food or feed, or for processing, provides the details of a contact point for further information: the exporter, 
the importer, or any appropriate authority, when designated by a Government as the contact point;  
4. Further urges Parties to the Pr otocol and other Governments to require that the documentation referred to in paragraph 1 above includes:  
(i) the common, scientific and, where available, commercial names, and  
(ii) the transformation event code of the [LMOs] or, where available, as a key to accessing information in the Biosafety Clea ring-
House, its unique identifier code;  
5. Encourages Parties to the Protocol and other Governments to require exporters of [LMOs] that are intended for direct use as food or feed, or 
for processing under their jurisdiction to declare, in documentation accompanying transboundary movements known to intentiona lly contain [LMOs] 
that are intended for direct use as food or feed, or  for processing, that the shipment contains [LMOs] that are intended for direct use as food or feed, 
or for processing, the identity of the [LMO], and any unique identification, where possible; ..."  
 
Decision BS -III/10  
"The [CoP] serving as the [MOP] to th e Cartagena Protocol on Biosafety ...  
1. Requests  Parties to the Protocol and urges  other Governments to take measures to ensure the use of a commercial invoice or other document 
required or utilized by existing documentation systems, or documentation as r equired by domestic regulatory and/or administrative frameworks, as 
documentation that should accompany [LMOs] that are intended for direct use as food or feed, or for processing ...;  
3. Further requests Parties to the Protocol and urges other Governments  to take measures ensuring that the documentation accompanying 
[LMOs] that are intended for direct use as food or feed, or for processing, provides the details of a contact point for furth er information: the exporter, 
the importer, and/or any appropriate a uthority, when designated by a Government as the contact point;  
4. Requests  Parties to the Protocol and urges other Governments to take measures ensuring that documentation accompanying [LMOs] intended  
for direct use as food or feed, or for processing, in  commercial production and authorized in accordance with domestic regulatory frameworks, is in 
compliance with the requirements of the country of import, and clearly states:  
(a) In cases where the identity of the [LMOs] is known through means such as iden tity preservation systems, that the shipment contains [LMOs] 
that are intended for direct use as food or feed, or for processing;  
(b) In cases where the identity of the [LMOs] is not known through means such as identity preservation systems, that the ship ment may contain 
one or more [LMOs] that are intended for direct use as food or feed, or for processing;  
(c) That the [LMOs] are not intended for intentional introduction into the environment;  
(d) The common, scientific and, where available, commercial n ames of the [LMOs];  
(e) The transformation event code of the [LMOs] or, where available, as a key to accessing information in the [BCH], its uniq ue identifier code;  
(f) The Internet address of the [BCH] for further information;  
and notes that in accordance with Article 24 of the Protocol, transboundary movements of [LMOs] between Parties and non -Parties shall be consistent 
with the objective of the Protocol, and further notes that the specific requirements set out in this paragraph do not apply to such movements. In 
addition, in accordance with paragraph 2 of Article 24, Parties shall encourage non -Parties to adhere to the Protocol ...".  
 
Decision BS -IV/9  
"The [CoP] serving as the [MoP] to the Cartagena Protocol on Biosafety…   
  WT/CTE/W/160/Rev.9 • TN/TE/S/5/Rev.7  
 
- 104 - 1 Notes  the important work that is being done by relevant international organizations such as the Codex Alimentarius Commission and t he 
International Organization for Standardization and encourages Parties to participate in and share information with these and other relevant 
international standard -setting bodies, and utilize, as appropriate, criteria or methods for sampling and detection of living modified organisms 
published by them;  
2. Requests  Parties and encourages  other Governments and relevant international organizations to ensure that information related to rules and 
standards on the sampling of living modified organisms and detection techniques, including experience with such techniques ar e made available via 
the Biosafety Clearing -House; …  
4. Underlines the importance of accreditation of laboratories involved in sampling and detection of living modified organisms;  
5. Encourages  those in possession of reference materials to provide access for those agencies that may need such materials for the purpose of 
detection of living modified organisms."  
 
Decision BS -V/8 
"The [CoP] serving as the [MoP] to the Cartagena Protocol on Biosafety …  
1. Requests  Parties and urges  other Governments to continue to take measures to ensure that the information required by paragraph 2  (a) of 
Article 18 and paragraph 4 of decision BS -III/10 to identify living modified organisms intended for direct use as food or feed, or for processing,  is 
incorporated into existing documentation accompanying the living modified organisms, as specified in paragraph 1 of decision BS-III/10;  
2. Urges  Parties to expedite the implementation of their biosafety regulatory frameworks and make available to the Biosafety Clearing -House 
any laws, regulations and guidelines for the implementation of the Protocol, and any changes to their regulatory requirements  related to the 
identification and documentation of living modified organisms intended for direct use as f ood or feed, or for processing; …  
5. Encourages  Parties to develop domestic systems or use existing ones, as appropriate, to prevent imported living modified organisms inten ded 
for direct use as food or feed, or for processing, from being used for other p urposes such as introduction into the environment;…"  
 
Paragraphs 2 (b) and 2 (c) of Article 18:  
Decision BS -I/6 
"1. Requests Parties to the Protocol and urges other Governments to take measures to ensure the use of a commercial invoice or ot her documents 
required or utilized by existing documentation systems, with consideration given to the formats outlined in the example templ ates annexed hereto, 
as documentation that should accompany [LMOs] for contained use and [LMOs] for intentional introduction into t he environment of the Party of 
import, incorporating the information required under paragraphs 2 (b) and 2 (c) of Article 18 of the Protocol, as appropriate , with a view to fulfil the 
identification requirements of these paragraphs;  
2. Requests Parties to the Protocol and invites other Governments to submit to the Executive Secretary, not later than six months prior to the 
third meeting of the [CoP] serving as the [MOP] to the Protocol, information on experience gained with the use of documentati on referred  to in 
paragraph 1 above, with a view to the future consideration of a stand -alone document, to fulfil the identification requirements of paragraphs  2 
(b) and 2 (c) of Article 18, and requests the Executive Secretary to compile the information received and  to prepare a synthesis report presenting 
options for stand -alone documentation for consideration by the third meeting of the [CoP] serving as the [MOP] to the Protocol;  
3. Requests Parties to the Protocol and urges other Governments to take measures ensu ring that documentation accompanying [LMOs] contains 
the following information and declaration:  
(a) [LMOs] for contained use (Article 18, paragraph 2 (b)):  
(i) Clear identification as "[LMOs]" including common and scientific names of the organisms and as "destined for contained use";  
(ii) The name and address of the consignee, and exporter or importer, as appropriate, including contact details necessary to reach 
them as fast as possible in case of emergency;  
(iii) Any requirements for the safe handling, storage, transport and use of the [LMOs] under applicable existing internationa l 
instruments, such as the United Nations Recommendations on the Transport of Dangerous Goods, the International Plant Protecti on  
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- 105 - Convention and the Organisation Internationale des Epizooties, domestic regulatory frameworks or under any agreements entered 
into by the importer and exporter. In the event that there is no requirement, indicate that there is no specific requirement;  
(iv) Where appropriate, further information should include the commercial names of the [LMOs], if available, new or modified trait s 
and characteristics such as event(s) of transformation, risk class, specification of use, as well as any unique identificatio n, where 
available, as a key to accessing information in the [BCH];  
(b) [LMOs] for intentional introduction into the environment of the Party of import and any other [LMOs] within the scope of the Protocol (Article 
18, paragraph 2 (c)):  
(i) Clear identificatio n as "[LMOs]" and a brief description of the organisms, including common and scientific name, relevant traits and 
genetic modification, including transgenic traits and characteristics such as event(s) of transformation or, where available and 
applicable, a  reference to a system of unique identification;  
(ii) Any requirements for the safe handling, storage, transport and use of the [LMOs] as provided under applicable existing i nternational 
requirements, domestic regulatory frameworks, or under any agreement entered into by the importer and exporter. In the event that 
there is no requirement, indicate that there is no specific requirement;  
(iii) The name and address of the exporter and importer;  
(iv) The details of the contact point for further information, i ncluding an individual or organization in possession of relevant information 
in case of emergency;  
(v) A declaration that the movement of the [LMOs] is in conformity with the requirements of the Cartagena Protocol on Biosafe ty 
applicable to the exporter;  
(vi) Where appropriate, further information should include the commercial name, risk class, and import approval for the first  
transboundary movement of [LMOs]; .."  
 
Decision BS -II/10  
"The [CoP] serving as the [MOP] to the Cartagena Protocol on Biosafety ...  
2. Urges  Parties to the Protocol and invite other Governments to take necessary measures, taking into account their specific capabilit ies, to 
make sure that those requirements of paragraphs 2 (b) and 2 (c) of Article 18 of the Protocol as ela borated by decision BS -I/6 B are fully complied 
with; 
3. Further  urges Parties, especially those Parties of import, to make available to the [BCH] information on their domestic requirements concer ning 
imports of [LMOs] in general, and documentation require ments in particular, with respect to [LMOs] for contained use and for intentional introduction 
into the environment, as part of the requirement set out in paragraph 3 of Article 20 of the Protocol for each Party to make available its laws, 
regulations and guidelines relevant to the implementation of the Protocol ...".  
 
Paragraph 3 of Article 18  
Decision BS -IV/10  
"The [CoP] serving as the [MOP] to the Cartagena Protocol on Biosafety ...  
2. Requests  Parties and encourages  other Governments and international o rganizations to ensure that information related to standards on the 
identification, handling, packaging and transport of living modified organisms is available through the Biosafety Clearing -House;  
3. Encourages  Parties to participate in ongoing work on standards on handling, transport, packaging and identification of living modified 
organisms taking place in other relevant international organizations and, decides  that if a gap in such standards has been identifi ed, to consider the 
need for and modalities of developing the necessary standards, in particular by referring such gaps to other relevant interna tional organizations;…"  
 
Decision BS -V/9 
"The [COP] serving as the [MOP] to the Cartagena Protocol on Biosafety  ... 
2. Invites  standard -setting bodies to form an electronic communications group with the Secretariat of the Convention on Biological Diversity to 
exchange information on activities relevant to the handling, transport, packaging and identification of living modified or ganisms being undertaken in 
each forum;   
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- 106 - 3. Invites  the International Plant Protection Convention to collaborate with the Secretariat of the Convention on Biological Diversity i n the 
development of an explanatory document on the terminology of the Protocol in relation to the glossary of phytosanitary terms adopted by the 
Commission on Phytosanitary Measures;  
4. Requests  Parties and encourages  other Governments and relevant organizations, as appropriate, to make available to the Biosafety 
Clearing -House info rmation on:  
(a) Standards relevant to the handling, transport, packaging and identification of living modified organisms;  
(b) Existing guidance on the use of relevant international standards;  
(c) Methods for the detection and identification of living modif ied organisms;  
5. Invites  Parties to nominate national and international reference laboratories with the view to establishing, through the Biosafety -Clearing 
House, an electronic network of laboratories to facilitate the identification of living modified o rganisms as well as the sharing of information and 
experiences."  
 
Decision BS -VI/8  
"1. Urges Parties to expedite the implementation of their biosafety regulatory frameworks and make available to the Biosafety  Clearing -House any 
laws, regulations and guidel ines for the implementation of the Protocol and any changes to their regulatory requirements related to the identification 
and documentation of living modified organisms destined for contained use or living modified organisms for international intr oduction  into the 
environment;  
2. Requests Parties and encourages other Governments to continue to implement the requirements of paragraphs 2(b) and 2(c) of  Article 18 of the 
Protocol and related decisions through the use of a commercial invoice or other document s required or utilized by existing documentation systems, 
or documentation required by domestic regulatory and/or administrative frameworks;"  
 
Decision BS -VII/8  
"3. Invites Parties and other Governments to use existing guidance for handling, transport and packaging of LMOs as referred to in relation to 
operational objective 1.6 of the Strategic Plan for the Cartagena Protocol on Biosafety;  
4. Requests the Executive Secretary to continue to collaborate with relevant international standard -setting bodies and to keep Parties abreast of any 
new developments in relevant international regulations and to make such information available in the Biosafety Clearing -House in such a way as to 
make it easily retrievable;"  
Socio -economic 
Considerations  
(Article 26, para 2)  Decision BS - IV/16  
"Recalling  Article 26 of the Protocol, in particular paragraph 2,  
Recognizing  the divergent views and the complexity of the issue of socio -economic impacts of living modified organisms  as observed through the 
submissions received and synthesized by the Secretariat in accordance with the request made under decision BS -II/12; 
Invites  Parties, other Governments and relevant organizations to continue to share their research, research method  and experience in taking into 
account socio -economic impacts of living modified organisms, through the Biosafety Clearing -House, where it could be retrievable using the search 
term "socio -economic ..."  
 
Decision CP -9/14  
"Recalling that, in accordance with Article 26, paragraph 1, Parties, in reaching a decision on import under the Protocol or under its domestic 
measures implementing the Protocol, may take into account, consistent with their international obligations, socio -economic considera tions arising 
from the impact of living modified organisms on the conservation and sustainable use of biological diversity, especially with  regard to the value of 
biological diversity to indigenous and local communities,  
Acknowledging  that nothing containe d in the voluntary "Guidance on the Assessment of Socio -Economic Considerations in the Context of Article 26 
of the Cartagena Protocol on Biosafety " can be interpreted or used to support non -tariff barriers to trade, or to justify breaches of international  
human rights law obligations, in particular of the rights of indigenous peoples and local communities,  
Recognizing  that trade and environment agreements should be mutually supportive with a view to achieving sustainable development,  
Emphasizing  that the P rotocol shall not be interpreted as implying a change in the rights and obligations of a Party under any existing internation al 
agreements,   
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- 107 - Understanding  that the above recital is not intended to subordinate the Protocol to other international agreements,  
Recalling  that the Guidance is intended to be used on a voluntary basis,  
Takes note  of the "Guidance on the Assessment of Socio -Economic Considerations in the Context of Article 26 of the Cartagena Protocol on Biosafety "; 
In its decision CP-9/14 , the COP-MOP decided to extend the AHTEG on socio -economic considerations to work to review information to supplement 
the voluntary guidance. The matter will be discussed further at MOP -10." 
Cooperation with Other 
Organizations, 
Conventions and 
Initiatives  Decision BS -II/6 
"The [CoP] serving as the [MOP] to the Cartagena Protocol on Biosafety ...  
Requests  the Executive Secretary:  
(a) To pursue efforts to obtain observer status for the Secretariat of the [CBD] with the [WTO's] Committees on Sanitary and Phytosanitary 
Measures and on Technical Barriers to Trade;  
(b) To continue the involvement of the Secretariat of the [CBD] in discussions in the [WTO's CTE] on issues relevant to the P rotocol  
(c) To reinforce cooperation with the Codex Alimentarius Commiss ion, the Office International des Epizooties and the International Plant 
Protection Convention on issues of mutual relevance; ...  
(f) To establish cooperation with the World Customs Organization, the International Organization for Standardization (ISO), t he United Nations 
Transport of Dangerous Goods Sub -Committee, the International Air Transport Association and other relevant customs and transport 
organizations where biosafety issues are considered, with a view to developing a harmonized approach for the p ackaging and transport of living 
modified organisms in preparation for the consideration at the third meeting of the Conference of the Parties serving as the meeting of the 
Parties to the Protocol of the need for and modalities of developing standards with  regard to identification, handling, packaging and transport 
practices, in accordance with the medium -term programme of work."  
 
Decision BS -VII/6  
"… 2. Request the Executive Secretary, subject to the availability of funds: …  
(c) To continue efforts to gain  observer status for the Convention on Biological Diversity in those committees of the World Trade Organization that 
are relevant to biosafety." (similar requests were made by BS COP/MOP VI, V, IV, and III)  
Risk Assessment and 
Risk Management  Decision BS -III/11  
"The [CoP -MoP]...  
15.  Requests  the Executive Secretary to collaborate with relevant organizations such as the Food and Agriculture Organization of the Unite d 
Nations, to promote networking and interlinkages between experts in risk assessment of living modified organisms and experts in other relevant 
fields of risk assessment and risk management (e.g., plant health, animal health, food safety), using, inter alia, Internet p ortals such as the Biosafety 
Clearing -House and the International Portal on Food Safety, Animal & Plant Health;  
Decision BS -IV/11  
"The [CoP] serving as the[MOP] to the Cartagena Protocol  on Biosafety ...  
"3. Decides  to establish through the Biosafety Clearing -House an open -ended online forum on specific aspects on risk assessment as referenced 
to in the annex;  
4. Decide s to establish an Ad Hoc Technical Expert Group on Risk Assessment and Risk Management according to the modality of work and th e 
terms of reference annexed hereto ..."  
 
Decision BS -VIII/12  
"…2. Takes note of the voluntary Guidance on Risk Assessment of Living Modified Organisms as the outcome of the Ad Hoc Technical Expert Group 
with inputs from the Online Forum ( → the guidance is contained in document UNEP/CBD/BS/COP -MOP/8/8)  
3. Invites interested Parties, other Governments and relevant or ganizations to take the Guidance into account as a voluntary tool to assist in 
conducting risk assessment in accordance with the Cartagena Protocol while acknowledging that other guidance documents and na tional approaches 
can also assist in conducting risk  assessment in accordance with the Protocol; …"  
 
Decision CP -9/13   
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- 108 - Decides  to establish a process for the identification and prioritization of specific issues regarding risk assessment of living modified organisms  for 
consideration by the Conference of the Parties serving as the meeting of the Parties to the Cartagena Protocol with a view to developing further 
guidance on risk assessment on the specific issues identified, taking into account annex  I; 
Further decides  to establish an Ad Hoc Technical Expert Gr oup on Risk Assessment […]  
Decides  to extend the online forum on risk assessment and risk management in order to assist the [AHTEG] on Risk Assessment  
Invites Parties, other Governments, indigenous peoples and local communities, and relevant organizations to submit to the Executive Secretary 
information relevant to the work of the online forum and the [AHTEG].  
Requests the [SBSTTA] to make a recommendation as to whether additional guidance materials on risk assessment are needed for (a) livin g modified 
organisms containing engineered gene drives, and (b) living modified fish for consideration by [MOP -10]. 
Liability and Redress 
under the Cartagena 
Protocol on Biosafety  Decision BS -V/11  
"The [CoP] serving as the [MoP] to the Cartagena Protocol on Biosafety ...  
1. Decides  to adopt the Nagoya – Kuala Lumpur Supplementary Protocol on Liability and Redress to the Cartagena Protocol on Biosafety, as 
contained in the annex  to the present decision (hereinafter referred to as "the Supplementary Protocol");  
2. Requests  the Secretary -General of the United Nations to be the Depositary of the Supplementary Protocol and to open it for signature at the 
United Nations Headquarters in New York from  7 March 2011 to 6 March 2012;  
3. Encourages Parties to the Cartagena Protocol on Biosafety to implement the Supplementary Protocol pending its entry into force;  
4. Calls upon  the Parties to the Cartagena Protocol on Biosafety to sign the Supplementary Protocol on 7 March 2011 or at the earliest oppo rtunity 
thereaf ter and to deposit instruments of ratification, acceptance or approval or instruments of accession, as appropriate, as soon a s possible;  
... 
7. Decides that, where the costs of response measures as provided for in the Supplementary Protocol have not been c overed, such a situation 
may be addressed by additional and supplementary compensation measures;  
8. Decides that the measures referred to in paragraph 7 above may include arrangements to be addressed by the Conference of the Parties 
serving as the meeting of the Parties; …"  
 
Decision CP-9/15  
"Welcomes the entry into force of the Nagoya – Kuala Lumpur Supplementary Protocol on Liability and Redress to the Cartagena Protocol on Biosafety;  
Requests the Executive Secretary to undertake a comprehensive s tudy, subject to the availability of funds from the Voluntary Trust Fund, for 
consideration by the Conference of the Parties serving as the meeting of the Parties to the Cartagena Protocol on Biosafety s erving as the meeting 
of the Parties to the Supplemen tary Protocol at its next meeting, addressing:  
(a) The modalities of financial security mechanisms;  
(b) An assessment of the environmental, economic and social impacts of such mechanisms, in particular on developing countries;  
(c) An identification of the appropriate entities to provide financial security;… " 
Rights and/or 
obligations of Parties of 
transit of living 
modified organisms  Decision BS -V/10  
"The [CoP] serving as the [MOP] to the Cartagena Protocol on Biosafety ...  
1. Encourages  Parties to continue addressing issues related to the transit of living modified organisms through their territories using the ir 
domestic administrative and legal systems;  
2. Decides to consider this item at its eighth meeting."  
 
Decision BS -VIII/16  
"1. Ad opts the operational definitions of the terms "unintentional transboundary movement" and "illegal transboundary movement", as  contained in 
the annex to the present decision, and deems it appropriate to use them for the purpose of facilitating the implement ation of the Protocol;  
2. Encourages Parties to make use of the operational definitions of the terms "unintentional transboundary movement" and "ill egal transboundary 
movement" when completing their national reports;"  
  
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- 109 - Decision BS -VIII/17  
"7. Encourages Pa rties to further develop measures to manage living modified organisms in transit and to make in the Biosafety Clearing -House 
information on such measures;"  
8.3  Supportive measures  
Article 20 – Information Sharing and the Biosafety Clearing -House (BCH)  
"1. A [BCH] 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, [LMOs]; an d 
(b) Assist Parties to implement the Protocol, taking into account the special needs of developing country Parties, in particu lar the least developed and small island developing 
States among them, and countries with economies in transition as well as coun tries that are centres of origin and centres of genetic diversity.  
2. The [BCH] shall serve as a means through which information is made available for the purposes of paragraph 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 biosafet y information exchange mechanisms.  
3. Without prejudice to the protection of confidential information, each Party shall make availa ble to the [BCH] any information required to be made available to the [BCH] under 
this Protocol, and:  
(a) Any existing laws, regulations and guidelines for implementation of the Protocol, as well as information required by the Parties for the advance infor med agreement 
procedure;   
(b) Any bilateral, regional and multilateral agreements and arrangements;  
(c) Summaries of its risk assessments or environmental reviews of [LMOs] generated by its regulatory process, and carried out  in accordance with Article 15 , including, where 
appropriate, relevant information regarding products thereof, namely, processed materials that are of [LMO] origin, containin g detectable novel combinations of replicable 
genetic material obtained through the use of modern biotechnology;   
(d) Its final decisions regarding the importation or release of [LMOs]; and  
(e) Reports submitted by it pursuant to Article 33, including those on implementation of the advance informed agreement proce dure.  
4. The modalities of the operation of the [BCH ], including reports on its activities, shall be considered and decided upon by the CoP serving as the MOP to this Protocol a t its first 
meeting, and kept under review thereafter".  
→ In 2004, COP -MOP 1 adopted modalities  for the operation of the BCH (Decis ion BS -I/3), which outline the role of the BCH, its characteristics, its administration, the role of BCH 
focal points, modalities for technical overseeing and advice, the obligations of partner organizations, reporting arrangement s, and modalities for peri odic review by the CoP -MoP. 
 
In 2018, COP -MOP 9 endorsed joint modalities of operation for the clearing house mechanism of the Convention, the Biosafety Clearing -House and the Access and Benefit -sharing 
Clearing House, contained in the annex to decision 14 /25 of the COP, which are complementary to the modalities of operation of the BCH, adopted in decision BS -1/3.  
 
Article 22 – Capacity -Building  
"1. The Parties shall cooperate in the development and/or strengthening of human resources and institutional cap acities in biosafety, 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 particular 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, as 
appropriate, through facilitating private sector involvement.  
2. For the purposes of implementing paragraph 1 above, in relation 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 different 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 assessme nt 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".  
→ In 2004, CoP -MoP 1 adopted interim guidelines for the roster of experts on biosafety (Decision BS -I/4) to provide assistance, upon requ est, to developing countries and countries 
with economies in transition Parties to the Protocol in risk assessment and risk management, and in capacity building. It als o adopted interim guidelines for the pilot phase of the 
voluntary fund for the roster of  experts.   
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- 110 - → CoP-MoP 3 requested the Liaison Group on Capacity -Building for Biosafety to develop, for consideration at the 4th meeting of the Protocol, draft criteria and minimum requirements 
(including minimum qualifications or experience), for experts to  be included in the roster to assist countries in making their nominations to the roster and in re -assessing the 
nominations already made. The CoP -MoP also requested the Liaison Group to explore the possibility of establishing a quality control mechanism.  
→ In Decision BS -I/5 on capacity building, CoP -MoP 1 also adopted an action plan for building capacities for the effective implementation of the Protocol, a coordination me chanism 
and indicators for monitoring implementation of the action plan.  
→ In Decision BS -III/3, CoP -MoP 3 adopted an updated version of the Action Plan for Building Capacities for the Effective Implementation of the Protocol,  and invited the GEF, 
developed country Parties and Governments, as well as relevant organizations to in crease their financial and technical support to developing countries and countries with economies 
in transition for the implementation of the Action Plan.  
In Decision CP -9/3, the CoP -MoP acknowledged the need for a specific action plan for capacity -buildi ng for implementation of the Cartagena Protocol and its Supplementary Protocol 
that is aligned with the specific follow -up to the Strategic Plan for the Cartagena Protocol on Biosafety and complementary to the long -term strategic framework for capacity -building 
beyond 2020. The capacity -building action plan was developed in alignment with the Protocol 's post -2020 Implementation Plan and will be considered for adoption by COP -MOP 10.  
 
Article 28 – Financial Mechanism and Resources  
"... 2.  The financial mechanism established in Article 21 of the Convention shall, through the institutional structure entrusted with its  operation, be the financial mechanism for this 
Protocol.  
3. Regarding the capacity -building referred to in Article 22 of this Prot ocol, the [CoP] serving as the [MoP] to this Protocol, in providing guidance with respect to the financial 
mechanism referred to in paragraph 2 above, for consideration by the [CoP], shall take into account the need for financial re sources by developing co untry Parties, in particular the 
least developed and the small island developing States among them.  
4. In the context of paragraph 1 above, the Parties shall also take into account the needs of the developing country Parties, in  particular the least develo ped and the small 
island developing States among them, and of the Parties with economies in transition, in their efforts to identify and implem ent their capacity - building requirements for the 
purposes of the implementation of this Protocol.  
6. The develo ped country Parties may also provide, and the developing country Parties and the Parties with economies in transition avail t hemselves of financial and technological 
resources for the implementation of the provisions of this Protocol through bilateral, reg ional and multilateral channels ". 
→ Following the recommendation from the first meeting of the CoP -MoP, the CoP, in its Decision VII/20, provided detailed guidance to the GEF with regard to the Cartagena  Protocol, 
including the eligibility criteria, strate gy and programme priorities.  
→ In November  2000, the GEF Council approved an initial strategy  for assisting countries to prepare for the entry into force of the Cartagena Protocol on Biosafety, together with 
a global UNEP -GEF project  to assist all eligible countries to develop national b iosafety frameworks (NBFs). The project was launched in June 2001, and has assisted 123 countries . 
Under the initial strategy, the GEF also provided support to 12 demonstration projects  for capacity building in implementation of NBFs.  
→ In November 2003, the GEF approved an add -on project to the UNEP -GEF project on the Development of NBFs entitled Building  Capactiy for Effective Participation in the BCH of 
the Cartagena  Protocol.   
→ In Decision BS -II/5, CoP -MoP encouraged all donors and their agencies as well as the GEF to simplify, to the extent possible, their project cycle requ irements in order to expedite 
access, by developing country Parties and the Parties with economies in transition, to the financial resources needed to assi st the implementation of the Protocol.  
8.4  Non-compliance mechanism  
Article 33 – Monitoring and Reporting  
"Each Party shall monitor the implementation of its obligations under this Protocol, and shall, at intervals to be determined  by the [C oP] serving as the [M oP] to this Protocol, report 
to the [C oP] serving as the [M oP] to this Protocol on measures that it  has taken to implement the Protocol".  
Article 34 – Compliance  
"The [Co P] serving as the [M oP] to this Protocol shall, at its first meeting, consider and approve cooperative procedures and institutional mechanisms to promote compliance with 
the provisions of this Protocol 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 pro cedures and mechanisms established by Article 27 of the Convention".  
→ CoP-MoP 1 adopted procedures and mechanisms on compliance under the Protocol (Decision BS -I/7), including a Compliance Committee to meet twice a year with  15 members 
nominated by Parties and elected by the C oP serving as the M oP to the Protocol. These members will serve in their individual capacity.  
→ The Committee receives, through the Secretariat, submissions relating to compliance from: any Party with respect to itself; a nd any Party, which is affected or likely to be 
affected, with respect to another Party. The C oP-MoP may, upon the recommendations of the Compliance Committee, decide upon one or more of the following measures:   
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- 111 - (a) Provide financial and technical assistance;  
(b) issue a caution to the concerned Party;  
(c) request the Executive Secretary to publish cases of non -compliance in the BCH; and  
(d) in cases of repeated non -compliance, take such measures as may be decided by the C oP-MoP at its fourth meeting.  
→ The fir st meeting of the Compliance Committee was held in March 2005, where its rules of procedures were developed. The Rules were a dopted at C oP-MoP 2 (Decision  BS-II/1).  
 
The Compliance Committee held its 17th meeting from 15 to 17 April 2020.  
8.5  Dispute settlement mechanism  
→ According to Article 27(5) of the CBD and 32 of the Protocol, t he dispute settlement provisions of the CBD in Article 27 apply to the Protocol . 
8.6  Provisions for non -parties  
Article 24 – Non-Parties  
"1. Transboundary movements of [LMOs] 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 transboun dary movements.  
2. The Parties shall encourage non -Parties to adhere to this Protocol and to contribute appropriate information to the [BCH] on [LMOs] released in, or moved int o or out of, areas 
within their national jurisdictions".  
→ In Decision BS -I/11 C oP-MoP 1 adopted a guidance on the transboundary movement of LMOs between Parties and non -Parties. According to this, in exporting LMOs to non -Parties, 
Parties should ensure prior notification and risk assessment and assist non -Parties to make informed dec isions on the imports of LMOs. Parties should also apply their domestic 
regulatory framework to imports of LMOs from non -Parties, protect confidential information received from non -Parties and monitor transboundary movements of LMOs between 
Parties and non -Parties. Non -Parties are encouraged to ratify the Protocol, cooperate with Parties to achieve the Protocol's objective, adhere to the prov isions of the Protocol on a 
voluntary basis, make available to the Biosafety Clearing -House information required unde r the Protocol and participate in capacity -building activities.  
 
9  NAGOYA – KUALA LUMPUR SUPPLEMENTARY PROTOCOL ON LIABILITY AND REDRESS TO THE CARTAGENA PROTOCOL ON BIOSAFETY  
9.1   Brief description of the MEA  
Website  https://www.cbd.int/  
http://bch.cbd.int/protocol/supplementary/  
Objective  The objective of this Supplementary Protocol is to contribute to the conservation and sustainable use of biological diversity, taking also into account risks 
to human health, by providing international rules and procedures in the field of liability and redress relating to living mod ified organisms (Article 1).  
Date of Adoption  15 October 2010  
Entry into force  5 March 2018  
Signatories  48 (as of 10 February 2021) . 
WTO Members  46 Signatories to Nagoya – Kuala Lumpur Supplementary Protocol are also WTO Members (see Annex ). 
Openness of 
Membership  Parties to the Cartagena Protocol on Biosafety may become a Party to the Supplementary Protocol (Article 18).   
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- 112 - Decision -Making 
Bodies  Article 14. Conference of the Parties serving as the meeting of the Parties to the Protocol  
"1. Subject to paragraph 2 of Article 32 of the Convention, the Conference of the Parties serving as the meeting of the Parties t o the [Carta gena Biosafety] 
Protocol shall serve as the meeting of the Parties to this Supplementary Protocol.  
2. The Conference of the Parties serving as the meeting of the Parties to the Protocol shall keep under regular review the im plementation of this 
Supplementa ry Protocol and shall make, within its mandate, the decisions necessary to promote its effective implementation. It shall per form the functions 
assigned to it by this Supplementary Protocol and,  mutatis mutandis , the functions assigned to it by paragraphs 4 (a) and (f) of Article 29 of the Protocol."  
Article 16. Relationship with the Convention and the Protocol  
"... 
3. Except as otherwise provided in this Supplementary Protocol, the provisions of the Convention and the Protocol shall apply, mutatis mutandis , to this 
Supplementary Protocol."  
Relationship with 
the CBD and the 
Cartagena 
Protocol  Article 16. Relationship with the Convention and the Protocol  
"1. This Supplementary Protocol shall supplement the Protocol and shall neither modify nor amend the Protocol.  
2. This Supplementary Protocol shall not affect the rights and obligations of the Parties to this Supplementary Protocol under t he Convention and the 
Protocol.  
3. Except as otherwise provided in this Supplementary Protocol, the provisions of the Convention and the Protocol shall apply, mutatis mutandis , to 
this Supplementary Protocol.  
4. Without prejudice to paragraph 3 above, this Supplementary Protocol shall not affect the rights and obligations of a Party un der international law."  
9.2  Trade -related measures  
The text of the Protocol does not explicitly refer to trade measures. However, its scope and some of its provisions may have some implications to trade in living 
modified organisms.  
Article 2  
Use of terms  " "Operator" means any person in direct or indirect control of the living modified organism which could, as appropriate and as determined by domesti c 
law, include, inter alia, the permit holder, person who placed the living modified organism on the market, developer, produce r, notifier, exporter, 
importer, carrier or supplier;"  
Article 3  
Scope  "1. This Supplementary Protocol applies to damage resulting from living modified organisms which find their origin in a transboun dary movement. 
The living modified organisms referred to are those:  
(a) Intended for direct use as food or feed, or for processing;  
(b) Destined for contained use;  
(c) Intended for intentional introduction into the environment.  
2.  With respect to intentional transboundary movements, this Supplement ary Protocol applies to damage resulting from any authorized use of 
the living modified organisms referred to in paragraph 1 above.  
3. This Supplementary Protocol also applies to damage resulting from unintentional transboundary movements as referred to in  Article 17 of the 
Protocol as well as damage resulting from illegal transboundary movements as referred to in Article 25 of the Protocol.  
4. This Supplementary Protocol applies to damage resulting from a transboundary movement of living modified organisms  that started after the 
entry into force of this Supplementary Protocol for the Party into whose jurisdiction the transboundary movement was made.  
5. This Supplementary Protocol applies to damage that occurred in areas within the limits of the national jur isdiction of Parties.  
6. Parties may use criteria set out in their domestic law to address damage that occurs within the limits of their national juri sdiction.  
7. Domestic law implementing this Supplementary Protocol shall also apply to damage resulting from transboundary movements of living modified 
organisms from non -Parties. " 
Article 5  
Response measures  "1. Parties shall require the appropriate operator or operators, in the event of damage, subject to any requirements of the competent authority, 
to: 
(a) Immediately inform the competent authority;  
(b) Evaluate the damage; and   
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- 113 - (c) Take appropriate response measures.  
2. The competent authority shall:  
(a) Identify the operator which has caused the damage;  
(b) Evaluate the damage; and 
(c) Determine which response measures should be taken by the operator.  
3. Where relevant information, including available scientific information or information available in the Biosafety Clearing -House, indicates that 
there is a sufficient likelihood that damage will result if timely response measures are not taken, the operator shall be required to take appropri ate 
response measures so as to avoid such damage.  
4. The competent authority may implement appropriate response measures, including , in particular, when the operator has failed to do so.  
5. The competent authority has the right to recover from the operator the costs and expenses of, and incidental to, the evaluati on of the damage 
and the implementation of any such appropriate response  measures. Parties may provide, in their domestic law, for other situations in which the 
operator may not be required to bear the costs and expenses.  
6. Decisions of the competent authority requiring the operator to take response measures should be reasone d. Such decisions should be notified 
to the operator. Domestic law shall provide for remedies, including the opportunity for administrative or judicial review of such decisions. The 
competent authority shall, in accordance with domestic law, also inform th e operator of the available remedies. Recourse to such remedies shall not 
impede the competent authority from taking response measures in appropriate circumstances, unless otherwise provided by domes tic law.  
7. In implementing this Article and with a view to defining the specific response measures to be required or taken by the competent authority, 
Parties may, as appropriate, assess whether response measures are already addressed by their domestic law on civil liability.  
8.  Response measures shall be impl emented in accordance with domestic law."  
Article 10  
Financial security  "1. Parties retain the right to provide, in their domestic law, for financial security.  
2. Parties shall exercise the right referred to in paragraph 1 above in a manner consistent wit h their rights and obligations under international 
law, taking into account the final three preambular paragraphs of the Protocol.  
3. The first meeting of the Conference of the Parties serving as the meeting of the Parties to the Protocol after the entry into force of the 
Supplementary Protocol shall request the Secretariat to undertake a comprehensive study which shall address, inter alia:  
(a) The modalities of financial security mechanisms;  
(b) An assessment of the environmental, economic and socia l impacts of such mechanisms, in particular on developing countries; and  
(c) An identification of the appropriate entities to provide financial security."  
Article 12  
Implementation and 
relation to civil liability  "1. Parties shall provide, in their domest ic law, for rules and procedures that address damage. To implement this obligation, Parties shall provide 
for response measures in accordance with this Supplementary Protocol and may, as appropriate:  
(a) Apply their existing domestic law, including, where applicable, general rules and procedures on civil liability;  
(b) Apply or develop civil liability rules and procedures specifically for this purpose; or  
(c) Apply or develop a combination of both.  
2. Parties shall, with the aim of providin g adequate rules and procedures in their domestic law on civil liability for material or personal damage 
associated with the damage as defined in Article 2, paragraph 2 (b):  
(a) Continue to apply their existing general law on civil liability;  
(b) Develop a nd apply or continue to apply civil liability law specifically for that purpose; or  
(c) Develop and apply or continue to apply a combination of both.  
3. When developing civil liability law as referred to in subparagraphs (b) or (c) of paragraphs 1 or 2 abo ve, Parties shall, as appropriate, address, 
inter alia, the following elements:  
(a) Damage;  
(b) Standard of liability, including strict or fault -based liability;  
(c) Channelling of liability, where appropriate;  
(d) Right to bring claims."   
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- 114 - Article 16  
Relationship with the 
Convention and the 
Protocol  "1. This Supplementary Protocol shall supplement the Protocol and shall neither modify nor amend the Protocol.  
2. This Supplementary Protocol shall not affect the rights and obligations of the Parties to this Supplementary Protocol under the Convention and 
the Protocol.  
3. Except as otherwise provided in this Supplementary Protocol, the provisions of the Convention and the Protocol shall apply, m utatis mutandis, 
to this Supplementary Protocol.  
4. Without prejudice to paragraph 3 above, this Supplementary Protocol shall not affect the rights and obligations of a Party un der international 
law." 
9.3  Supportive measures  
In accordance to Article 16, paragraph 3, "[e]xcept as otherwise provided in this Su pplementary Protocol, the provisions of the [CBD] and the [Cartagena] Protocol sha ll apply, 
mutatis mutandis , to this Supplementary Protocol ." 
9.4  Non-compliance mechanism  
In accordance to Article 16, paragraph 3, "[e]xcept as otherwise provided in this Supplementary Protocol, the provisions of the [CBD] and the [Cartagena] Protocol shal l apply, 
mutatis mutandis , to this Supplementary Protocol."  
9.5  Dispute settlement mechanism  
No express provisions. However, in accordance to Article 16, paragraph 3, "[e]xce pt as otherwise provided in this Supplementary Protocol, the provisions of the [CBD] and the 
[Cartagena] Protocol shal l apply, mutatis mutandis , to this Supplementary Protocol."  
9.6  Provisions for non -parties  
Article 3: Scope  
"... 
7. Domestic law implementing this Supplementary Protocol shall also apply to damage resulting from transboundary movements of living modified  organisms from non -Parties."   
 
10  MONTREAL PROTOCOL AND THE VIENNA CONVENTION FOR THE PROTECTION OF THE OZONE LAYER  
10.1  Brief description of the MEA  
The Vienna Convention for the Protection of the Ozone Layer is a framework convention. It did not itself establish controls o n ozone -depleting substances but 
rather, it established the procedural rules for future protocols to be devel oped under the framework of the Convention. The Montreal Protocol on Substances that 
Deplete the Ozone Layer was adopted in 1987 and has been amended five times: London Amendment (1990), Copenhagen Amendment (1992), Montreal 
Amendment (1997) , Beijing Amend ment (1999)  and the Kigali Amendment (2016) . Its control provisions were strengthened through five adjustments to the 
Protocol adopted in London (1990), Copenhagen (1992), Vienna (1995), Montreal (1997) and Beijing (1999).   
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- 115 -  Vienna 
Convention for 
the Protec tion of 
the Ozone Layer  Montreal Protocol 
on Substances 
that Deplete the 
Ozone Layer  London 
Amendment  Copenhagen 
Amendment  Montreal 
Amendment  Beijing 
Amendment  Kigali 
Amendment  
Date of Signature  22 March 1985  16 September 1987  29 June 1990  25 November 1992  17 September 1997  3 December 1999  15 October 2016  
Entry into force  22 September 1988  1 January 1989  10 August 1992  14 June 1994  10 November 1999  25 February 2002  1 January 2019  
Parties14 198 198 197 197 197 197 114 
WTO Members15 161 161 161 161 161 161 96 
 
 Vienna Convention for the Protection of the Ozone Layer  Montreal Protocol on Substances that Deplete the Ozone Layer, 
either  adjusted and/or amended in London -1990, Copenhagen -
1992, Vienna -1995, Montreal -1997, Beijing -1999 and Kigali -2016  
Website  http://ozone.unep.org/  
Objective  → 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 activities which modify or are 
likely to modify the ozone layer, and committed themselves to protect the 
ozone layer and to co -operate with each other in scientific research and 
information exchange to improve understanding of atmospheric processes 
and technical and economic aspects.  → The Montreal Protocol develops a regime that limits the release of ozone -
depleting substances (ODS) into the atmosphere.  
 
14 As of 7 March 2021.  
15 As of 7 March 2021.   
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- 116 - 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, shall 
enter 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 or 
accedes thereto after the deposit of the twentieth instrument  of ratification, 
acceptance, approval or accession, it shall enter into force on the 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, shall 
enter into force for a party that ratifies, accepts or approves that protocol or 
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 instrume nt 
of ratification, acceptance, approval or accession, or on the date which the 
Convention enters into force for that Party, whichever shall be the later.  
5. For the purposes of paragraphs 1 and 2 above, any instrument 
deposited by a regional economic inte gration organization shall not be 
counted 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 ratifi cation, acceptance, approval of the 
Protocol or accession thereto have been deposited by States or regional 
economic integration organizations representing at least two -thirds of 1986 
estimated global consumption of the controlled substances, and the provi sions 
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 into force on the ninetieth day following the date on which the conditions 
have been  fulfilled. …  
3. After the entry into force of this Protocol, any State or regional 
economic integration organization shall become a Party to it on the ninetieth 
day following the date of deposit of its instrument of ratification, acceptance, 
approval or a ccession".  
Article 17 – Parties joining after entry into force  
"Subject to Article 5, any State or regional 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 
regional economic integration organizations that became Parties on the date 
the Protocol entered into force".  
Article IV - Kigali Am endment  
"1.  Except as noted in paragraph 2, below, this Amendment shall enter 
into force on 1 January 2019, provided that at least twenty instruments of 
ratification, acceptance or approval of the Amendment have been deposited 
by States or regional econom ic integration organizations that are Parties to 
the Montreal Protocol on Substances that Deplete the Ozone Layer. In the 
event that this condition has not been fulfilled by that date, the Amendment 
shall enter into force on the ninetieth day following the  date on which it has 
been fulfilled.  
2.  The changes to Article 4 of the Protocol, Control of trade with non -
Parties, set out in Article I of this Amendment shall enter into force on 1 
January 2033, provided that at least seventy instruments of ratificati on, 
acceptance or approval of the Amendment have been deposited by States or 
regional economic integration organizations that are Parties to the Montreal 
Protocol on Substances that Deplete the Ozone Layer. In the event that this 
condition has not been ful filled by that date, the Amendment shall enter into 
force on the ninetieth day following the date on which it has been fulfilled.  
3. For purposes of paragraphs 1 and 2, any such instrument deposited 
by a regional economic integration organization shall not  be counted as 
additional to those deposited by member States of such organization.  
4. After the entry into force of this Amendment, as provided under 
paragraphs 1 and 2, it shall enter into force for any other Party to the Protocol 
on the ninetieth day fo llowing the date of deposit of its instrument of 
ratification, acceptance or approval."   
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- 117 -  Vienna Convention for the Protection of the Ozone Layer  Montreal Protocol on Substances that Deplete the Ozone Layer, 
either  adjusted and/or amended in London -1990, Copenhagen -
1992, Vienna -1995, Montreal -1997, Beijing -1999 and Kigali -2016  
Openness of 
Membership  Article 12 – Signature  
"This Convention shall be open for signature by States and by regional 
economic integration organizations ..."  
Article 13 – Ratification, acceptance or approval  
"1. This Convention and any protocol shall be subject to ratification, 
acceptance or approval by States and by regional economic integration 
organizations ...  
2. Any organization referred to in paragraph 1 above which becomes a 
Party to this Convention or any protocol without any of its member States 
being a Party shall be bound by all the obligations under the Convention or 
the protocol, as the case may be. In the case of such organizations, one or 
more of whose member State is a Party to the Convention or relevant 
protocol, the organization and its member States shall decide on their 
respective responsibilities for the performance of their obligation under the 
Convention or protocol, as the case may be. In such cases, the organization 
and the member States shall not be entitled to exercise rights under the 
Convention or relevant protocol concurrently ...".  
Article 14 – Accession  
"1. This Convention and any protocol shall be open for accession by States 
and b y regional economic integration organizations from the date on which 
the Convention or the protocol concerned is closed for signature …".  Montreal Protocol:  Article 15 – Signature  
"This Protocol shall be open for signature by States and by regional economi c 
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, approval or accession to this 
Amendm ent unless it has previously, or simultaneously, deposited such an 
instrument to the Amendment adopted at the Second MoP in London, 29  June 
1990."  
Montreal Amendment (1997):   
Article 2 – Relationship to the 1992  Amendment  
"No State or regional economic integration organization may deposit an 
instrument of ratification, acceptance, approval or accession to this 
Amendment unless it has previously, or simultaneously, deposited such an 
instrument to the Amendment adopted at the Fourth MOP in Copenha gen, 25 
November 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 this 
Amendment u nless it has previously, or simultaneously, deposited such an 
instrument to the Amendment adopted at the Ninth MOP in 
Montreal,  17 September 1997."  
Kigali Amendment (2016):   
Article II: Relationship to the 1999 Amendment  
No State or regional economic integ ration organization may deposit an 
instrument of ratification, acceptance or approval of or accession to this 
Amendment unless it has previously, or simultaneously, deposited such an 
instrument to the Amendment adopted at the Eleventh Meeting of the 
Partie s in Beijing, 3 December 1999.  
Article III: Relationship to the United Nations Framework 
Convention on Climate Change and its Kyoto Protocol  
This Amendment is not intended to have the effect of excepting 
hydrofluorocarbons from the scope of the commitments  contained in 
Articles  4 and 12 of the United Nations Framework Convention on Climate 
Change or in Articles 2, 5, 7 and 10 of its Kyoto Protocol.  
Decision -Making 
Bodies  Article 6  – Conference of the Parties  
"... 4.  The [CoP] shall keep under continuous review the implementation of 
this Convention, and, in addition, shall: …  
(c) Promote, in accordance with article 2, the harmonization of 
appropriate policies, strategies and measures for minimizing the release 
of substances causing or likely to cause modification of the ozone layer, Article 11 – 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 
of Article 2;   
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- 118 -  Vienna Convention for the Protection of the Ozone Layer  Montreal Protocol on Substances that Deplete the Ozone Layer, 
either  adjusted and/or amended in London -1990, Copenhagen -
1992, Vienna -1995, Montreal -1997, Beijing -1999 and Kigali -2016  
and make recommendations on any other measures relating to this 
Convention;  
(d) Adopt, in accordance with articles 3 and 4, programmes for research, 
systematic observations, scientific and technological co -operation, the 
exchange of information and the transfer of technology and knowledge;  
(e) Consider and adopt, as required, in accordance with articles 9 and 
10, amendments to this Convention and its annexes;  
(f) Consider amendments to any protocol, as well as to any annexes 
thereto, and, if so decided, recommend 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, protoco ls in accordance with 
article  8; …" (c) decide on any addition to, insertion in or removal from any annex of 
substances and on related control measures in accordance with 
paragraph 10 of Article 2;  
(d) establish, where necessary, guidelines or procedures for reporti ng of 
information as provided for in Article 7 and paragraph 3 of Article  9; 
(e) review requests for technical assistance submitted pursuant to 
paragraph 2 of Article 10;  
(f) review reports prepared by the secretariat pursuant to subparagraph 
(c) of Articl e 12;  
(g) assess, in accordance with Article 6, the control measures;  
(h) consider and adopt, as required, proposals for amendment of this 
Protocol or 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 
Protocols  Article 8 – Adoption of protocols  
"1. The [CoP] may at a meeting adopt protocols pursuant to Article 2.  
2. The text of any proposed protocol shall be communicated to the Parties 
by 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 the 
[CoP]. Am endments to any protocol shall be adopted at a [MoP] to the 
protocol in question. The text of any proposed amendment to this Convention 
or to any protocol, except as may otherwise be provided in such protocol, 
shall be communicated to the Parties by the se cretariat 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 reach agreeme nt on any 
proposed amendment to this Convention by consensus. If all efforts 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 Parties 
present and voting at t he meeting, and shall be submitted by the Depositary 
to all Parties for ratification, approval 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 tha t 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 with Article 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".  
→ 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).  
Kigali Amendment (2016)  
→ Parties agreed to include Hydrofluorocarbons (HFCs) as part of its ambit 
and to set phase -down schedules for HFCs.   
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- 119 -  Vienna Convention for the Protection of the Ozone Layer  Montreal Protocol on Substances that Deplete the Ozone Layer, 
either  adjusted and/or amended in London -1990, Copenhagen -
1992, Vienna -1995, Montreal -1997, Beijing -1999 and Kigali -2016  
paragraphs 3 or 4 above shall enter i nto force between parties having 
accepted them on the ninetieth day after the receipt by the Depositary of 
notification of their ratification, approval or acceptance by at least three -
fourths of the Parties to this Convention or by at least two -thirds of t he parties 
to the protocol concerned, except 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, 
approval or acce ptance 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, a 
Party to the Convention.  
2. Decisions concerning any protocol shall be taken only by the parties to 
the protocol concerned".  
→Proce dures for amending annexes to the Convention are laid out in 
Article  10.  
10.2  Trade -related measures  
10.2.1   Montreal Protocol: 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 production s et out in Articles  2A 
to 2F, and Article 2H, and 2J 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 Articles for that group. Such transfer of production shall be  notified to the Secretariat 
by each of the Parties concerned, stating the terms of such tra nsfer 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 Party  any portion of its 
calculated level of consumption set out in Article 2F, provided that the calculated level of consumption of con trolled substances 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 in 1989  and that the total combined 
calculated levels of consumption of the Parties concerned do not exceed the consumption limits set out in Article 2F. Such transfer of consumption 
shall be notified to the Secretariat by each of the Parties concerned, stating the terms of such transfer and the period for which it is to apply.  
6. Any Party not opera ting 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 produc tion from such 
facilities to its 1986 production of such substances for the purposes of determining its calculated level of production for 1 986, provided that such 
facilities are completed by 31 December 1990 and that such production does not raise that Pa rty's annual calculated level of consumption 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 to  the Secretariat, 
no later than the time of the transfer or addition.  
8. (a) Any Parties which are Member States of a regional economic integration organization as defined in Article 1(6) of the Con vention may 
agree that they shall jointly fulfil their obligations respecting co nsumption 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 2J. Any such agreement  may be extended to  
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- 120 - include obligations respe cting consumption or production under Article 2J provided that the total combined calculated level of consumption or 
production of the Parties concerned does not exceed the levels required by Article 2J.  
(b) The Parties to any such agreement shall inform t he Secretariat of the terms of the agreement before the date of the reduction 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 th e organization 
concerned are Parties to the Protocol and have notified 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 po tentials specified in Annex A, Annex B, Annex C and/or Annex E should be made and, if so, what 
the adjustments should be;  
(ii) Adjustments to the global warming potentials specified in Group I of Annex A, Annex C and Annex F should be made and, if  so, wha t 
the adjustments should be; and  
(ii) Further adjustments and reductions of production or consumption of the controlled substances should be undertaken and, i f so, what 
the scope, amount and timing of any such adjustments and reductions should be;  
(b) Prop osals for such adjustments shall be communicated to the Parties by the Secretariat at least six months before the MOP at whic h 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 present 
and voting representing a majority of the Parties operating under Paragraph 1 of Article 5 present and voting and a majority of the Parties not 
so operating present and voting;  
(d) The decisions , which shall be binding on all Parties, shall forthwith be communicated to the Parties by the Depositary. Unless otherwise 
provided in the decisions, they shall enter into force on the expiry of six months from the date of the circulation of the commun ication by the 
Depositary.  
10. Based on the assessments made pursuant to Article 6 of this Protocol and in accordance with the proc edure set out in Article 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 ap ply to those substances;  
11. Notwithstanding the provisions contained in this Article and Articles 2A to 2J Parties may take more stringent measures than those required 
by this Article and Articles 2A to 2J".  
Articles 2A -2I → Articles 2A to 2I provide  specific guidance on control measures for CFCs, Halons, other fully halogenated CFCs, Carbon tetrachloride, Methyl 
chloroform, hydrochlorofluorocarbons, hydrobromofluorocarbons, methyl bromide, and bromochloromethane.  
Article 2J  
Kigali Amendment  Article 2J: Hydrofluorocarbons  
"1.  Each Party shall ensure that for the twelve -month period commencing on 1 January 2019, and in each twelve -month period thereafter, its 
calculated level of consumption of the controlled substances in Annex F, expressed in  CO2 equivalents, does not exceed the percentage, set out for 
the respective range of years specified in subparagraphs (a) to (e) below, of the annual average of its calculated levels of consumption of Annex F 
controlled substances for the years 2011, 2012  and 2013, plus fifteen per cent of its calculated level of consumption of Annex C, Group I, controlled 
substances as set out in paragraph 1 of Article 2F, expressed in CO2 equivalents:  
 (a) 2019 to 2023: 90 per cent   
 (b) 2024 to 2028: 60 per cent  
 (c) 2029 to 2033: 30 per cent  
 (d) 2034 to 2035: 20 per cent  
 (e) 2036 and thereafter: 15 per cent  
2.  Notwithstanding paragraph 1 of this Article, the Parties may decide that a Party shall ensure that, for the twelve -month period commencing 
on 1 January 2 020, and in each twelve -month period thereafter, its calculated level of consumption of the controlled substances in Annex F, expressed 
in CO2 equivalents, does not exceed the percentage, set out for the respective range of years specified in subparagraphs  (a) to (e) below, of the 
annual average of its calculated levels of consumption of Annex F controlled substances for the years 2011, 2012 and 2013, pl us twenty -five per cent 
of its calculated level of consumption of Annex C, Group I, controlled substances  as set out in paragraph 1 of Article 2F, expressed in CO2 equivalents:   
  WT/CTE/W/160/Rev.9 • TN/TE/S/5/Rev.7  
 
- 121 -  (a) 2020 to 2024: 95 per cent  
 (b) 2025 to 2028: 65 per cent  
 (c) 2029 to 2033: 30 per cent  
 (d) 2034 to 2035: 20 per cent  
 (e) 2036 and thereafter: 15 per cent   
3.  Each Party produ cing the controlled substances in Annex F shall ensure that for the twelve -month period commencing on 1 January 2019, and 
in each twelve -month period thereafter, its calculated level of production of the controlled substances in Annex F, expressed in CO2 e quivalents, does 
not exceed the percentage, set out for the respective range of years specified in subparagraphs (a) to (e) below, of the annu al average of its calculated 
levels of production of Annex F controlled substances for the years 2011, 2012 and 20 13, plus fifteen per cent of its calculated level of production of 
Annex C, Group I, controlled substances as set out in paragraph 2 of Article 2F, expressed in CO2 equivalents:  
 (a) 2019 to 2023: 90 per cent   
 (b) 2024 to 2028: 60 per cent  
 (c) 2029 to 2 033: 30 per cent  
 (d) 2034 to 2035: 20 per cent  
 (e) 2036 and thereafter: 15 per cent   
4.  Notwithstanding paragraph 3 of this Article, the Parties may decide that a Party producing the controlled substances in Annex  F shall ensure 
that for the twelve -month period commencing on 1 January 2020, and in each twelve -month period thereafter, its calc ulated level of production of 
the controlled substances in Annex F, expressed in CO2 equivalents, does not exceed the percentage, set out for the respectiv e range of years 
specified in subparagraphs (a) to (e) below, of the annual average of its calculated  levels of production of Annex F controlled substances for the years 
2011, 2012 and 2013, plus twenty -five per cent of its calculated level of production of Annex C, Group I, controlled substances as set out in paragraph 
2 of Article 2F, expressed in CO2 e quivalents:  
 (a) 2020 to 2024: 95 per cent   
 (b) 2025 to 2028: 65 per cent  
 (c) 2029 to 2033: 30 per cent  
 (d) 2034 to 2035: 20 per cent  
 (e) 2036 and thereafter: 15 per cent    
5.  Paragraphs 1 to 4 of this Article will apply save to the extent that the P arties decide to permit the level of production or consumption that is 
necessary to satisfy uses agreed by the Parties to be exempted uses."  
 
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 this 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, within  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 Proto col, the import of 
products produced with, but not containing, controlled substances in Annex A. If determined feasible, the Parties shall, foll owing 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 accordance with those 
procedures shall ban or restrict, within one year of the annex having become effective, the import of those products from any  State not party to this 
Protocol. …  
5. Each Party undertakes to the fullest pr acticable extent to discourage the export to any State not party to this Protocol of technology for 
producing and for utilizing controlled substances in Annexes A, B, C, E and F.  
6. Each Party shall refrain from providing new subsidies, aid, credits, guara ntees or insurance programmes for the export to States not party to 
this Protocol of products, equipment, plants or technology that would facilitate the production of controlled substances in A nnexes A, B, C, E and F.  
7. Paragraphs 5 and 6 shall not apply to products, equipment, plants or technology that improve the containment, recovery, recycling or 
destruction of controlled substances, promote the development of alternative substances, or otherwise contribute to the reduc tion of emissions of 
controlled s ubstances in Annexes A, B, C, E.   
  WT/CTE/W/160/Rev.9 • TN/TE/S/5/Rev.7  
 
- 122 - 8. Notwithstanding the provisions of this Article, imports and exports 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 [MoP], to be in full compliance with Article 2, Articles 2A to 2J 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 re spect to a particular controlled substance, a 
State or regional economic integration organization that has not agreed to be bound by the control measures in effect for tha t substance.  
10. By 1 January 1996, the Parties shall consider whether to amend this Protocol in order to extend the measures in this Article to trade in 
controlled substances in Group I of Annex C and in Annex E with States not party to the Protocol".  
→ Article 4  provides for measures that are directed against non -parties. Trade measures under Article 4 are as follows:  
(a) Control  of trade in ODS with non -parties:  
(i) Annex A substances (mainly CFCs and halons): import from non -parties banned from January 1990, export banned from January 1993;  
(ii) Annex B substances (carbon tetrachloride , methyl chloroform and other CFCs): import and export banned from August 1993 for 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) Anne x C – Group I (HCFCs): import and export banned for non -parties to the Beijing Amendment (1999) from 1  January  2004. Trade 
also banned in HCFCs with countries that have not yet ratified the Copenhagen Amendment (1992), which introduced the HCFC pha se out.  
(v) Annex C – Group III (Bromochloromethane): Import and export banned for non -parties to the Beijing Amendment (1999) after 
February  2003.  
(vi) Annex E substances (Methyl bromide): import and export banned from November 2000 for non -parties to the Montre al Amendment 
(1997).  
(vii) Annex F: Controlled substances (hydrofluorocarbons)   
(b) Control of trade in products containing ODS with non -parties: Import of products (listed in Annex D) containing Annex A substances  
banned from May 1992;  
(c) Exports of OD S-technologies: Parties are discouraged "to the fullest practicable extent", export of technology for producing ODS; however, 
there are exceptions for HCFCs and for equipment or technology to recycle ODS.  
Article 4,  
paragraph 1 sept  
 Kigali Amendment   "1 sept. Upon entry into force of this paragraph, each Party shall ban the import of the controlled substances in Annex F from any S tate not Party to 
this Protocol. " 
Article 4,  
paragraph 2 sept  
 Kigali Amendment  "2 sept. Upon entry into force of this paragraph, each Party shall ban the export of the controlled substances in Annex F to any State not Party to 
this Protocol."  
Article 4A  
Control of trade with 
Parties  "1. Where, after the phase -out date applicable to it for a controlled subst ance, a Party is unable, despite having taken all practicable steps to 
comply with its obligation under the Protocol, to cease production of that substance for domestic consumption, other than for  uses agreed by the 
Parties to be essential, it shall ban th e 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 -compliance procedure  
developed under Article 8 of the Protocol".   
  WT/CTE/W/160/Rev.9 • TN/TE/S/5/Rev.7  
 
- 123 - 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, whichever is the later, establish 
and implement a system for licensing the import and export of new, used, 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 thos e actions 
until 1 January 2005 and 1 January 2002, respectively.  
3. Each Party shall, within three months of the date of introducing its licensing system, report to the Secretariat on the establishment and 
operation of that system.  
4. The Secretariat shall periodically prepare and circulate to all Parties a list of the Parties that have reported to it on the ir licensing systems and 
shall forward this information to the Implementation Committee for consideration and appropriate recommendations to the Parti es". 
 
→ Many parties already have licensing systems in place as a method of complying with the controls of cons umption and production of ODS. This 
licensing requirement is binding since November 1999. As of November 2020, all Parties to the Montreal Amendment to the Montr eal Protocol, had 
already established licensing systems for ODS.  
Article 4 B  
paragraph 2 bis  
Kigali Amendment  "2 bis. Each Party shall, by 1 January 2019 or within three months of the date of entry into force of this paragraph for it, whichever is later, establish 
and implement a system for licensing the import and export of new, u sed, recycled and reclaimed controlled substances in Annex F. Any Party 
operating under paragraph 1 of Article 5 that decides it is not in a position to establish and implement such a system by 1 J anuary 2019 may delay 
taking those actions until 1 January 2021."  
 
→ As of November 2020, total 67 Parties to the Montreal Protocol (of which 62 ratified the Kigali Amendment and 5 parties have not ratified the Kigali 
Amendment) had already established licensing systems for HFCs. Decision XXXI/10 of the the Thirty  First Meeting of the Parties  urged that have 
ratified, approved or accepted the Kigali Amendment and that already operate licensing systems for controlled substances unde r Annex F to the 
Protocol to ensure that those licensing systems include the import a nd export of new, used, recycled and reclaimed controlled substances, in 
accordance with Article 4B, paragraph 2 bis of the Protocol, and that they are implemented and enforced effectively and remind all parties to the 
Montreal Protocol that have ratified,  approved or accepted the Kigali Amendment and that have not yet done so to establish and implement import  
and export licensing systems consistent with Article 4B, paragraph 2 bis for controlled substances listed in Annex F to the Protocol.  
 
Article IV:  
Entry into force  
Kigali Amendment  "2.  The changes to Article 4 of the Protocol, Control of trade with non -Parties, set out in Article I of this Amendment shall enter into force on 
1 January 2033, provided that at least seventy instruments of ratification, acceptance or approval of the Amendment have been deposited by States 
or regional economic integration organizations that are Parties to the Montreal Protocol on Substances that Deplete the Ozone  Layer. In the event 
that this condition has no t been fulfilled by that date, the Amendment shall enter into force on the ninetieth day following the date on which it has 
been fulfilled."  
10.2.2   Montreal Protocol: Decisions of the Meetings of the Parties  
Examples of decisions adopted at the Meetings of the P arties (M oP) include the following:  
MoP V  
Bangkok, 1993  → It was decided at MoP V that it was not feasible to ban or restrict the import of products made with, but not containing Anne x A substances (CFCs 
and halons) ( Decision  V/17 ). 
MoP IX  
Montreal, 1997  → 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 a ny 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 equip ment or technology that would facilitate production 
of methyl bromide.  
MoP XIV  → MoP XIV adopted two trade -related decisions:   
  WT/CTE/W/160/Rev.9 • TN/TE/S/5/Rev.7  
 
- 124 - Rome, 2002  - 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 identifying ODS and preventi ng illegal 
trade in ODS. The decision also invites Parties to report to the Ozone Secretariat fully proved cases of illegal trade in ODS  and the Secretariat 
is requested to collect any information on illegal trade received from the Parties and to disseminate i t 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 system s of ODS.  
→ MoP XIV also adopted Decision XIV/11 on the relationship between the Montreal Protocol and the WTO:  
"1. To request the Ozone Secretariat to report to the Parties to the Montreal Protocol on any meetings it attends at the WTO and any substantive  
contacts with the WTO Secretariat and its Committee Secretariats;  
2. To request the Secretariat to monitor developments in the negotiations of the WTO CTE in special session and report to the Pa rties;  
3. To further request that the Ozone Secretariat, in c oordination with the Multilateral Fund Secretariat, when called upon to provide general 
advice to the WTO on trade provisions of the Montreal Protocol and activities of the Multilateral Fund, consult with the Part ies of the Montreal Protocol 
and the Execut ive Committee before providing this advice. If the Ozone Secretariat is asked for interpretations of the Protocol 's trade provisions, the 
Secretariat should refer the matter to the Parties before providing that advice".  
MoP XV  
Nairobi, 2003  Decision XV/20  on the report on licensing system takes note of the status report for parties that have established licensing systems and enc ourages 
those Parties that have not yet done so to establish import and export licensing systems of ozone -depleting substances.  
MoP XVI  
Prague, 2004  → MoP XIV adopted five trade -related decisions:  
- Decision XVI/7  on trade in products and commodities treated with methyl bromide invites the Parties to the Montreal Protocol, subject to 
rights and obligations under this agreement and any other international agreements, not to restrict trade in products or commodities from 
Parties that have ratified the Montreal Protocol provisions regarding methyl bromide and are otherwise in compliance with the ir Montreal 
Protocol obliga tions just because the commodities or products have been treated with methyl bromide, or because the commodities have been 
produced or grown on soil treated with methyl bromide.  
- Decision XVI/11  on the coordination among UN bodies on quarantine and pre -shipment uses inter alia  encourages the importing Parties 
to consider accepting the wood packaging treated with alternative methods to methyl bromide, in accordance with standard 15 o f the 
International Standards for Phytosanitary Measures of the IPPC.  
- Decision XVI/32  on the establishment of licensing systems under Article 4B of the Montreal Protocol inter alia  encourages the Parties to 
establish import and export licensing systems for ODS.  
- Decision XVI/33  on illegal trade in ODS noted the need for coo rdination of efforts by parties at national and international level to suppress 
illegal trade in ODS and requested draft terms for a study on the feasibility of developing a system of tracking trade in ODS . 
→Pursuant to this Decision, a workshop of experts  was convened in 2005 to develop specific ideas and a conceptual framework of cooperation 
to address illegal trade in ODS.  
- Decision XVI/34  on the cooperation between the secretariat of the Montreal protocol and other related conventions and international  
organizations requested the secretariat to enhance its cooperation with, inter alia , the WTO, as well as report on and monitor developments 
in the WTO.  
MoP XVII  
Dakar, 2005  → MoP XVII adopted several trade -related decisions:  
- Decision XVII/16 on preventing illegal trade in controlled ODS approved the terms of reference for a study on the feasibility of developing 
an international system of monitoring the transboundary movement of controlled ODS between parties (This feasibili ty study was published 
in September 2006, and is available at http://ozone.unep.org/Meeting_Documents/mop/18mop/ODS -Tracking -September -2006-1.pdf). In 
addition, the Decision urged all Parties, including regional integration organizations, to implement fully their obligations under  Article 4B of 
the Montreal Protocol, in particular the licensing systems for the control of imports, exports, and re -exports (expo rts of previously imported 
substances). The Decision also proposed to consider additional control measures with regard to the use of controlled ODS in p articular sectors 
or in particular applications.  
- Decision XVII/23 on establishing licensing systems un der Article 4B of the Protocol noted that 107 Parties to the Montreal Amendment to 
the Montreal Protocol, and 37 Parties that are Parties to the Montreal Protocol but have not yet ratified the Montreal Amendm ent had already 
established licensing systems fo r ODS. The Decision encouraged all the remaining Parties to the Montreal Amendment that had not yet 
introduced import and export licensing systems to do so as a matter of urgency.   
  WT/CTE/W/160/Rev.9 • TN/TE/S/5/Rev.7  
 
- 125 - - Decision XVII/25 on non -compliance noted Armenia's non-compliance with the Montreal Protocol (exceeded the Party' maximum allowable 
consumption level of methyl bromide), and warned that if Armenia fails to return to compliance in a timely manner, the MoP wi ll consider 
measures, which can include ensuring t hat the supply of methyl bromide be "ceased so that exporting Parties are not contributing to a 
continuing situation of non -compliance."  
- Decision XVII/26 on non -compliance  noted that Azerbaijan has failed to enforce its newly introduced ban on the import  of CFCs due to its 
lack of expertise in the tracking of this substance, and requested exporting Parties to assist Azerbaijan to comply with its commitment.  
→ Similar decisions that noted non -compliance by other Parties include the following:  
- Non-complia nce with the phase -out commitment for methyl chloroform: Decision XVII/27 (Bangladesh); Decision XVII/28 (Bosnia and 
Herzegovina); Decision XVII/31 (Ecuador); Decision VII/29 (Chile)  
- Non-compliance with the phase -out commitment for CFCs: Decision XVII/32  (Federated States of Micronesia)  
- Non-compliance with the phase -out commitment for methyl bromide: Decision XVII/33 (Fiji); Decision XVII/34 (Honduras); Decision  XVII/37 
(Libyan Arab Jamahiriya); Decision VII/29 (Chile)  
- Non-compliance with the phase -out commitment for halons: Decision XVII/36 (Kyrgyzstan); Decision XVII/37 (Libyan Arab Jamahiriya); 
Decision XVII/38  (Sierra Leone).  
MoP XVIII  
New Delhi, 2006  
 - Decision XVIII/18  on preventing the illegal trade in ozone -depleting substances through systems for monitoring their transboundary movement 
between Parties. In addition, the Decision urged all "to implement fully their obligations under Article 4B of the Montreal P rotocol,  as well as to take 
into account recommendations contained in existing decisions of the Parties, notably decisions IX/8, XIV/7, XVII/12 and XVII/ 16". 
MoP XXIV  
Geneva, 2012  - Decision XXIV/2  on application to some parties of paragraph 8 of Article 4 of the  Montreal Protocol with respect to the Beijing Amendment to the 
Montreal Protocol. The decision allowed some parties who had not yet ratified the Beijing Amendment to the Montreal Protocol to continue trading in 
ozone -depelting substances for one year afte r they were, inter alia, found to be in compliance with the Montreal Protocol and had undertaken to ratify 
the Amendment as soon as possible and notify the Secretariat accordingly. Other states were given a similar opportunity to co ntiue trading in ozone -
depleting substances provided they reported certain information to the Secretariat within a speficied deadline.   
10.3  Supportive measures  
Montreal Protocol  
 
→ Article 10 (as modified by the London Amendment) established a Multilateral Fund for incremental costs of phasing out ODS by developing countries. As of May 2015, the 
Fund has disbursed US$3.185 billion through more than 7,350 projects and activities in 145 developing countries for the imple mentation of projects including industrial conversion, 
technical assistance, training and capacity building.  The Fund has the obligation to meet all the agreed incremental costs of developing countries for implementing the control 
measures (i .e. changing from ODS technologies to more ozone -friendly technologies and phasing out their consumption of ODS in accordance with the Protocol. The budget has 
been replenished in 1993, 1996, 1999  2002, 2005, 2008, 2011, 2014 and the allocations so far have been as follows (Per iod Amount in US$ in Millions):  US$240 (1991 -1993); 
US$455 (1994 -1996);  US$466 (1997 -1999);  US$440 (2000 -2002);  US$474 (2003 -2005); US$400.4 (2006 -2008), US$400 (2009 -2011), US$400 (2012 -2014) and US$437 (2015 -
2017), US$540 (2018 -2020).   
→ for more informa tion on the Fund, see http://www.multilateralfund.org/  
→ The Global Environmental Facility (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 c ountries in Central and Eastern Europe, and the former 
Soviet Union. The same criteria apply for the funding of ozone projects under the GEF as under the Multilateral Fund.  
→ for more information on the GEF, see https://www.thegef.org/gef/  
→ Technology Transfer under Article 10A occurs under fair a nd most favourable conditions.   
  WT/CTE/W/160/Rev.9 • TN/TE/S/5/Rev.7  
 
- 126 - 10.4  Non-compliance mechanism  
Montreal Protocol  
 
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 practicable steps to comply with its obligation under the 
Protocol, to cease production of that substance for domestic consumption, other than for uses agreed by the Parties to be ess ential, it shall ban the export of used, recycled and 
reclaimed quantitie s of that substance, other than for the purpose of destruction."  
 
Article 8  – Non-compliance  
"The Parties, at their first meeting, shall consider and approve procedures and institutional mechanisms for determining non -compliance with the provisions of this  Protocol and for 
treatment of Parties found to be in non -compliance".  
→ In 1992 Mo P IV adopted non -compliance procedure 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 Mo P may, taking into considerat ion the circumstances 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.  
→ The Multilateral Fund, discussed above, suppor ts developing countries to implement the Protocol's control measures.  
10.5  Dispute settlement mechanism  
→ 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 P arties concerning the interpretation or application of this Convention, the parties concerned shall seek solution by negotiat ion. 
2. If the parties concerned cannot reach agreement by negotiation, they may jointly seek the good offices of, or request media tion by, a third party.  
3. When ratifying, accepting, approving or acceding 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 acc ordance with paragraph  1 or paragraph  2 above, it accepts one or both of the following means of dispute settlement as 
compulsory:  
(a) Arbitration in accordance  with pro cedures to be adopted by the [Co P] at its first ordinary meeting;  
(b) Submission of the dispute  to the [ICJ].  
4. If the parties have not, in accordance with paragraph 3 above, accepted the same or any procedure, the dispute shall be submi tted to conciliation in accordance with 
paragraph 5 below unless the parties otherwise agree.  
5. A concil iation commission shall be created upon the request of one of the parties to the dispute. The commission shall be composed of  an equal number of members appointed 
by each party concerned and a chairman chosen jointly by the members appointed by each party.  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".  
10.6  Provisions for non-parties  
Montreal Protocol  
→ See Article 4 (in Section on Trade -related measures above).  
→ According to Article 4:8, trade restrictions do not apply if a non -party is in compliance with the Protocol.  
  
  WT/CTE/W/160/Rev.9 • TN/TE/S/5/Rev.7  
 
- 127 - 11  UNITED NATIONS FRAMEWORK CONVENTION ON CLIMATE CHANGE (UNFCCC), THE KYOTO PROTOCOL AND THE PARIS AGREEMENT  
11.1  Brief description of the MEA  
The United Nations Framework Convention on Climate Change  is a framework convention. The UNFCCC does not have provisions that directly restrict trade, but 
domestic actions of countries implementing the UNFCCC could have trade implications . The Kyoto  Protocol to the United Nations Convention on Climate Change 
was adopted in 1997. It was ame nded in Doha (2012) . The Paris Agreement was adopted on 12 December 2015.  
 United Nations Framework Convention 
on Climate Change  Kyoto Protocol  Paris Agreement  
Website  http://unfccc.int/  
Objective  → The objective of the UNFCCC is set out in 
Article 2 which provides "The ultimate 
objective of this Convention and any related 
legal instruments that the Conference of the 
Parties may adopt is to achieve, in 
accordance with the relevant provisions of the 
Convention, stabilization of greenhouse gas 
concentrations in the atmosphere at a level 
that would prevent dangerous anthropogenic 
interference with the climate system. Such a 
level should be achieved within a time -frame 
sufficient to allow ecosystems to ad apt 
naturally to climate change, to ensure that 
food production is not threatened and to 
enable economic development to proceed in 
a sustainable manner."  → The Kyoto Protocol supplements and strengthens 
the United Nations Framework Convention on 
Climate Ch ange (UNFCCC).  →The objective of the Paris Agreement is set out in 
Article 2.1.  
Article 2  
"1. This Agreement, in enhancing the implementation 
of the Convention, including its objective, aims to 
strengthen the global response to the threat of climate 
change, in the context of sustainable development and 
efforts to eradicate poverty, including by: (a) Holding 
the increase in the global average temperature to well 
below 2°C above pre -industrial levels and pursuing 
efforts to limit the temperature increase to  1.5°C 
above pre -industrial levels, recognizing that this would 
significantly reduce the risks and impacts of climate 
change; (b) Increasing the ability to adapt to the 
adverse impacts of climate change and foster climate 
resilience and low greenhouse gas emissions 
development, in a manner that does not threaten food 
production; and  
(c) Making finance flows consistent with a pathway 
towards low greenhouse gas emissions and climate -
resilient development."  
Date of 
Signature  22 March 1985  11 December 1997  22 April 2016  
Entry into 
force  22 September 1988  16 February 2005  4 November 2016   
  WT/CTE/W/160/Rev.9 • TN/TE/S/5/Rev.7  
 
- 128 -  United Nations Framework Convention 
on Climate Change  Kyoto Protocol  Paris Agreement  
Parties16 197 
For the list of Parties, please see here. 
Please also note that, for the purpose of 
entry into force of the Convention, any 
instrument of ratification, acceptance, 
approval or accession deposited by a 
regional economic integration organization 
shall not be counted as additional to those 
deposited by member States of that 
Organization.  192 
For the list of Parties, please see here. 
Please also note that, for the purpose of entry into 
force of the Protocol, any instrument of ratification, 
acceptance, approval or access ion deposited by a 
regional economic integration organization shall not 
be counted as additional to those deposited by 
member States of that Organization.  191 
For the list of Parties, please see here. 
WTO Members  161 159 159 
Entry into 
force 
(provision)  Article 23:  Entry into force  
"1. The Convention shall enter into force on 
the ninetieth day after the date of deposit of 
the fiftieth instrument of ratification, 
acceptance, approval or accession.  
2. For each State or regional economic 
integration organization that ratifies, accepts 
or approves the Convention or accedes 
thereto 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 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 States members of the 
organization".  Article 25  
"1. This Protocol shall enter in to force on the 
ninetieth day after the date on which not less than 
55 Parties to the Convention, incorporating Parties 
included in Annex I which accounted in total for at 
least 55 per cent of the total carbon dioxide 
emissions for 1990 of the Parties incl uded in Annex 
I, have deposited their instruments of ratification, 
acceptance, approval or accession.  
2. For the purposes of this Article, "the total carbon 
dioxide emissions for 1990 of the Parties included in 
Annex I " means the amount communicated on or  
before the date of adoption of this Protocol by the 
Parties included in Annex I in their first national 
communications submitted in accordance with 
Article 12 of the Convention.  
3. For each State or regional economic integration 
organization that ratifie s, accepts or approves this 
Protocol or accedes thereto after the conditions set 
out in paragraph 1 above for entry into force have 
been fulfilled, this Protocol shall enter into force on 
the ninetieth day following the date of deposit of its 
instrument of  ratification, acceptance, approval or 
accession.  
4. For the purposes of this Article, any instrument 
deposited by a regional economic integration 
organization shall not be counted as additional to 
those deposited by States members of the 
organization ". Article 21  
"1. This Agreement shall enter into force on the 
thirtieth day after the date on which at least 55 Parties 
to the Convention accounting in total for at least an 
estimated 55 per cent of the total global greenhouse 
gas emissions have deposited t heir instruments of 
ratification, acceptance, approval or accession.  
2. Solely for the limited purpose of paragraph 1 of this 
Article, "total global greenhouse gas emissions" 
means the most up -to-date amount communicated on 
or before the date of adoption of this Agreement by 
the Parties to the Convention.  
3. For each State or regional economic integration 
organization that ratifies, accepts or approves this 
Agreement or accedes thereto after the conditions set 
out in paragraph 1 of this Article for entry into force 
have been fulfilled, this Agreement shall enter into 
force on the thirtieth day after the date of deposit by 
such State or regional economic integration 
organization of its instrument of ratification, 
acceptance, approval or accession.  
4. For t he purposes of paragraph 1 of this Article, any 
instrument deposited by a regional economic 
integration organization shall not be counted as 
additional to those deposited by its member States".  
 
16 As of 7 March 2021.   
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Openness of 
Membership  Article 20 – Signature  
"This Conventio n shall be open for signature 
by States Members of the United Nations or 
of any of its specialized agencies or that are 
Parties to the Statute of the [ICJ] and by 
regional economic integration organizations".  Article 24  
"1. This Protocol shall be open for signature and 
subject to ratification, acceptance or approval by 
States and regional economic integration 
organizations which are Parties to the Convention 
...". Article 20  
"1. This Agreement shall be open for signature and 
subject to ratification, acceptance or approval by 
States and regional economic integration 
organizations that are Parties to the Convention. It 
shall be open for signature at the United Nations 
Headquarters in New York from 22 April 2016 to 21 
April 2017.  Thereafter, this Agreement shall be open 
for accession from the day following the date on which 
it is closed for signature. Instruments of ratification, 
acceptance, approval or accession shall be deposited 
with the Depositary."  
Decision -
Making Bodies  Article 7 – Conference of the Parties  
"2. The [CoP], as the supreme body of this 
Convention, shall keep under regular review 
the implementation of the Convention and 
any related legal instruments that the [CoP] 
may adopt, and shall make, within its 
mandate, t he decisions necessary 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 of 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 effects, taking into account the 
differing circumstances, responsibilities 
and capabilities of the Parties and their 
respective commitments under the 
Convention;  
(c) Facilitate, at the request of two or 
more Parties, the coordination of 
measures adopted by them to address 
climate change and its effects, taking 
into account the differing 
circumstances, responsibilities and 
capabilities of the Parties and their The Convention's Conference of the Parties [CoP] 
shall serve as the meeting of the Parties to the 
Protocol (CMP).  
 
Article 13  
"1. The [CoP] , the supreme body of the 
Convention, shall serve as the Meeting of the Parties 
[MOP] to this Protocol.  
2. Parties to the Convention that are not Parties 
to this Protocol may participate as observers in the 
proceedings of any session of the [CMP] to this 
Protocol.  When the [COP] serves as the [MOP] to this 
Protocol, decisions under this Protocol shall be taken 
only by those that are Parties to this Protocol.  
3. When the [CoP] serves as the [MoP] to this 
Protocol, any member of the Bureau of the CoP 
representing a Party to the Convention but, at that 
time, not a Party to this Protocol, shall be replaced 
by an additional member to be elected by and from 
amongst the Parties to this Protocol.  
4. The [CMP] to this Protocol shall keep under 
regular review the implementation of this Protocol 
and shall make, within its mandate, the decisions 
necessary to promote its effective implementation. 
It shall perform the functions 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 implementation of this 
Protocol by the Parties, the overall effects of the 
measures taken pursuant to this Protocol, in 
particular environmental, economic and social Article 16  
"1. The Conference  of the Parties, the supreme body 
of the Convention, shall serve as the meeting of the 
Parties to this Agreement.  
2. Parties to the Convention that are not Parties to this 
Agreement may participate as observers in the 
proceedings of any session of the Conf erence of the 
Parties serving as the meeting of the Parties to this 
Agreement. When the Conference of the Parties serves 
as the meeting of the Parties to this Agreement, 
decisions under this Agreement shall be taken only by 
those that are Parties to this A greement.  
3. When the Conference of the Parties serves as the 
meeting of the Parties to this Agreement, any member 
of the Bureau of the Conference of the Parties 
representing a Party to the Convention but, at that 
time, not a Party to this Agreement, shall  be replaced 
by an additional member to be elected by and from 
amongst the Parties to this Agreement.  
4. The Conference of the Parties serving as the 
meeting of the Parties to this Agreement shall keep 
under regular review the implementation of this 
Agree ment and shall make, within its mandate, the 
decisions necessary to promote its effective 
implementation. It shall perform the functions 
assigned to it by this Agreement and shall: (a) 
Establish such subsidiary bodies as deemed necessary 
for the implementa tion of this Agreement; and (b) 
Exercise such other functions as may be required for 
the implementation of this Agreement.  
5. The rules of procedure of the Conference of the 
Parties and the financial procedures applied under the  
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respective commitments under the 
Convention;  
(d) Promote and guide, in accordance 
with the objective and pro visions of the 
Convention, the development and 
periodic refinement of comparable 
methodologies, to be agreed on by the 
[CoP], inter alia , for preparing 
inventories of greenhouse gas emissions 
by sources and removals by sinks, and 
for evaluating the effecti veness of 
measures to limit the emissions and 
enhance the removals of these gases;  
(e) Assess, on the basis of all 
information made available to it in 
accordance with the provisions of the 
Convention, the implementation of the 
Convention by the Parties, th e overall 
effects of the measures taken pursuant 
to the Convention, in particular 
environmental, economic and social 
effects as well as their cumulative 
impacts and the extent to which 
progress 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 wi th 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 a nd adopt, by 
consensus, rules of procedure and effects as we ll 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 by Art icle 
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 
implementation and the evolution of scientific 
and technological knowledge, and in this 
respect consider an d adopt regular reports on 
the implementation of this Protocol;  
(c) Promote and facilitate the exchange of 
information on measures adopted by the 
Parties to address climate change and its 
effects, taking into account the differing 
circumstances, responsibi lities and capabilities 
of the Parties and their respective 
commitments under this Protocol;  
(d) Facilitate, at the request of two or more 
Parties, the coordination of measures adopted 
by them to address climate change and its 
effects, taking into account the differing 
circumstances, responsibilities and capabilities 
of the Parties and their respective 
commitments under this Protocol;  
(e) Promote and guide, in accordance with the 
objective of the Convention and the provisions 
of this Protocol, and taking fu lly into account 
the relevant decisions by the [CoP], the 
development and periodic refinement of 
comparable methodologies for the effective 
implementation of this Protocol, to be agreed 
on by the [CMP] to this Protocol;  
(f) Make recommendations on any mat ters 
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;  Convention shall be applied  mutatis mutandis under 
this Agreement, except as may be otherwise decided 
by consensus by the Conference of the Parties serving 
as the meeting of the Parties to this Agreement.  
6. The first session of the Conference of the Parties 
serving as the meeting of the Parties to this Agreement 
shall be convened by the secretariat in conjunction 
with the first session of the Conference of the Parties 
that is scheduled after the date of entry into force of 
this Agreement. Subsequent ordinary sessions of the 
Confere nce of the Parties serving as the meeting of the 
Parties to this Agreement shall be held in conjunction 
with ordinary sessions of the Conference of the Parties, 
unless otherwise decided by the Conference of the 
Parties serving as the meeting of the Parties  to this 
Agreement.  
7. Extraordinary sessions of the Conference of the 
Parties serving as the meeting of the Parties to this 
Agreement shall be held at such other times as may 
be deemed necessary by the Conference of the Parties 
serving as the meeting of the Parties to this Agreement 
or at the written request of any Party, provided that, 
within six months of the request being communicated 
to the Parties by the secretariat, it is supported by at 
least one third of the Parties.  
8. The United Nations and its specialized agencies and 
the International Atomic Energy Agency, as well as any 
State member thereof or observers thereto not party 
to the Convention, may be represented at sessions of 
the Conference of the Parties serving as the meeting 
of the Parties to this Agreement as observers. Any 
body or agency, whether national or international, 
governmental or non -governmental, which is qualified 
in matters covered by this Agreement and which has 
informed the secretariat of its wish to be represented 
at a session of the Conference of the Parties serving 
as the meeting of the Parties to this Agreement as an 
observer, may be so admitted unless at least one third 
of the Parties present object. The admission and 
participation of observers shall be subject to the rules 
of procedure referred to in paragraph 5 of this Article."  
 
Article 18   
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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 
interg overnmental and non -
governmental bodies;  and 
(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".  
The Convention has two permanent 
subsidiary bodies that provide advice or make 
recommendations to the CoP.  
Article 9 – Subsidiary Body for Scientific 
and Technological Advice  
"1. A subsidiary body for scientific and 
technological advice is hereby established to 
provide the [CoP] and, as appr opriate, its 
other subsidiary bodies with timely 
information and advice on scientific and 
technological matters relating to the 
Convention. This body shall be open to 
participation by all Parties and shall be 
multidisciplinary. It shall comprise 
government  representatives competent in the 
relevant field of expertise. It shall report 
regularly to the [CoP] on all aspects of its 
work"....  
 
Article 10 – Subsidiary Body for 
Implementation  
"1. A subsidiary body for implementation 
is hereby established to assist the [CoP] in 
the assessment and review of the effective 
implementation of the Convention. This body 
shall be open to participation by all Parties 
and comprise government representatives 
who are experts on matters related to climate 
change. It shall report regularly to the [CoP] 
on all aspects of its work.  (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 
resulting from a decision by the [CoP]".  
In accordance with Article 15, the two 
permanent subsidiary bodies established by the 
UNFCCC shall serve the Kyoto Protocol.  "1. The Subsidiary Body for Scientific and 
Technological Advice and the Subsidiary Body for 
Implementation established by Articles 9 and 10 of the 
Convention shall serve, respectively, a s the Subsidiary 
Body for Scientific and Technological Advice and the 
Subsidiary Body for Implementation of this 
Agreement. The provisions of the Convention relating 
to the functioning of these two bodies shall apply 
mutatis mutandis to this Agreement. Ses sions of the 
meetings of the Subsidiary Body for Scientific and 
Technological Advice and the Subsidiary Body for 
Implementation of this Agreement shall be held in 
conjunction with the meetings of, respectively, the 
Subsidiary Body for Scientific and Techno logical Advice 
and the Subsidiary Body for Implementation of the 
Convention.  
2. Parties to the Convention that are not Parties to this 
Agreement may participate as observers in the 
proceedings of any session of the subsidiary bodies. 
When the subsidiary bodies serve as the subsidiary 
bodies of this Agreement, decisions under this 
Agreement shall be taken only by those that are 
Parties to this Agreement.  
3. When the subsidiary bodies established by Articles 
9 and 10 of the Convention exercise their functions 
with regard to matters concerning this Agreement, any 
member of the bureaux  of those subsidiary bodies 
representing a Party to the Convention but, at that 
time, not a Party to this Agreement, shall be replaced 
by an additional member to be elected by and from 
amongst the Parties to this Agreement."  
 
Article 19  
"1. Subsidiary bodi es or other institutional 
arrangements established by or under the Convention, 
other than those referred to in this Agreement, shall 
serve this Agreement upon a decision of the 
Conference of the Parties serving as the meeting of the 
Parties to this Agreeme nt. The Conference of the 
Parties serving as the meeting of the Parties to this 
Agreement shall specify the functions to be exercised 
by such subsidiary bodies or arrangements.  
2. The Conference of the Parties serving as the 
meeting of the Parties to this  Agreement may provide  
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2. Under the guidance of the [CoP], this 
body shall:  
(a) Consider the information 
communicated in accordance with 
Article 12, paragraph 1, to assess the 
overall aggregated effect of the steps 
taken by the Parties in the light of the 
latest scientific assessments concerning 
climate change;  
(b) Consider the information 
communicated in accordance with 
Article 12, paragraph 2, in order to 
assist the [CoP] in carrying out the 
reviews required by Article 4 , paragraph 
2(d); and  
(c) Assist the [CoP], as appropriate, in 
the preparation and implementation of 
its decisions".  further guidance to such subsidiary bodies and 
institutional arrangements."  
Amendments 
and Prot ocols  Article 15 – Amendments to the 
Convention  
"1. Any Party may propose amendments 
to the Convention.  
2. Amendments to the Convention s hall 
be adopted at an ordinary session of the 
[CoP]. The text of any proposed amendment 
to the Convention 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 s hall 
also communicate proposed amendments to 
the 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 the Convention by consensus. If all efforts 
at co nsensus have been exhausted, and no 
agreement reached, the amendment shall as a 
last resort be adopted by a three -fourths 
majority vote of the Parties present and voting 
at the meeting. The adopted amendment shall 
be communicated by the secretariat to the 
Depositary, who shall circulate it to all Parties 
for their acceptance.  Article 20  
"1. Any Party may propose amendments to this 
Protocol.  
2. Amendments to this Protoco l shall be adopted 
at an ordinary session of the [CMP] 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 th is 
Protocol by consensus. If all efforts 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 Parties present 
and voting at the meeting. The adopted amendment 
shall be communicated by the secretariat to the 
Depositary, who shall circulate it to all Parties for 
their acceptance.   
4. Instruments of acceptance in respect of an 
amendment shall be deposited with the Depositary. 
An amendment adopted in accordance with 
paragraph 3 above shall enter into force for those Article 22  
"The provisions of Article 15 of the Convention on the 
adoption of amendments to the Convention shall apply 
mutatis mutandis to this Agreement."  
Article 23  
"1. The provisions of Article 16 of the Convention on 
the adoption and amendment of annexes to the 
Convention shall apply mutatis mutandis to this 
Agreement.  
2. Annexes to this Agreement shall form an integral 
part thereof and,  unless otherwise expressly provided 
for, a reference to this Agreement constitutes at the 
same time a reference to any annexes thereto. Such 
annexes shall be restricted to lists, forms and any 
other material of a descriptive nature that is of a 
scientific , technical, procedural or administrative 
character."  
  
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4. Instruments  of acceptance in respect 
of an amendment shall be deposited with the 
Depositary. An amendment adopted in 
accordance with paragraph 3 above shall 
enter into force for th ose Parties having 
accepted it on the ninetieth day after the date 
of receipt by the Depositary 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 ni netieth day after 
the date on which that Party deposits with the 
Depositary its instrument of acceptance of 
the said amendment …".  
Article 16 - Adoption and Amendment of 
Annexes to the Convention  
"1. Annexes to the Convention shall form 
an integral part thereof and, unless 
otherwise expressly provided, a reference to 
the Convention constitutes at the same time 
a reference to any annexes thereto. Without 
prejudice to the provisions of Article 14, 
paragraphs 2 (b) and 7, such annexes shall 
be restricte d to lists, forms and any other 
material of a descriptive nature that is of a 
scientific, technical, procedural or 
administrative character.  
2. Annexes to the Convention shall be 
proposed and adopted in accordance with the 
procedure set forth in Article 15 , paragraphs 
2, 3 and 4.  
3. An annex that has been adopted in 
accordance with paragraph 2 above shall 
enter into force for all Parties to the 
Convention six months after the date of the 
communication by the Depositary to such 
Parties of the adoption of the  annex, except 
for those Parties that have notified the 
Depositary, in writing, within that period of 
their non -acceptance of the annex. The 
annex shall enter into force for Parties which 
withdraw their notification of non -acceptance 
on the ninetieth day a fter the date on which Parties having accepted it on the ninetieth day after 
the date of receipt by the Depositary 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 with the Depositary its 
instrument of acceptance of the said amendment".  
Article 21  
"1. Annexes to this Protocol shall form an integral 
part thereof and, unless otherwise expressly 
provided, a reference to this Protocol constitutes at 
the same time a reference to any annexes thereto. 
Any annexes adopted after the entry into force of 
this Protocol shall be restricted to lists, forms and 
any othe r material of a descriptive nature that is of 
a scientific, technical, procedural or administrative 
character.  
2. Any Party may make proposals for an annex 
to this Protocol and may propose amendments to 
annexes to this Protocol.  
3. Annexes to this Protocol  and amendments to 
annexes 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 annex or amendment to an 
annex shall be communicated to th e 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 
annex or amendment to an annex to the Parties and 
signatories to the Convention and, f or information, 
to the Depositary.  
4. The Parties shall make every effort to reach 
agreement on any proposed annex or amendment to 
an annex by consensus. If all efforts at consensus 
have been exhausted, and no agreement reached, 
the annex or amendment to a n annex shall as a last 
resort be adopted by a three -fourths majority vote 
of the Parties present and voting at the meeting. The 
adopted annex or amendment to an annex shall be 
communicated by the secretariat to the Depositary, 
who shall circulate it to al l Parties for their 
acceptance.   
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withdrawal of such notification has been 
received by the Depositary.  
4. The proposal, adoption and entry into 
force of amendments to annexes to the 
Convention shall be subject to the same 
procedure as that for the proposal, adoption  
and entry into force of annexes to the 
Convention in accordance with paragraphs 2 
and 3 above.  
5. If the adoption of an annex or an 
amendment to an annex involves an 
amendment to the Convention, that annex or 
amendment to an annex shall not enter into 
force until such time as the amendment to the 
Convention enters into force."  
Article 17 – Protocols  
"1. The [CoP] 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 sh all be 
taken only by the Parties to the protocol 
concerned".  
 
→ See column on Kyoto Protocol.  
→ Decision 1/CP 17 launched a process to 
"develop a protocol, another legal instrument 
or an agreed outcome with legal force under 
the Convention applicable to all Parties". 
Parties also decided that the protocol, 
another legal instrument or an agreed 
outco me with legal force will be adopted no 
later than CoP 21, due to be held in 2015, in 
order for the agreement to come into effect 
and be implemented from 2020.  5. An annex, or amendment to an annex other 
than Annex A or B, that has been adopted in 
accordance with paragraphs 3 and 4 above shall 
enter into force for all Parties to this Protocol six 
months after the date of the commun ication by the 
Depositary to such Parties of the adoption of the 
annex or adoption of the amendment to the annex, 
except for those Parties that have notified the 
Depositary, in writing, within that period of their 
non-acceptance of the annex or amendment t o the 
annex. The annex or amendment to an annex shall 
enter into force for Parties which withdraw their 
notification of non -acceptance on the ninetieth day 
after the date on which withdrawal of such 
notification has been received by the Depositary.  
6. If the adoption of an annex or an amendment 
to an annex involves an amendment to this Protocol, 
that annex or amendment to an annex shall not 
enter into force until such time as the amendment to 
this Protocol enters into force.  
7. Amendments to Annexes A and B  to this 
Protocol shall be adopted and enter into force in 
accordance with the procedure set out in Article  20, 
provided that any amendment to Annex B shall be 
adopted only with the written consent of the Party 
concerned".  
Decision 1/CMP.8  
Decision 1/CMP. 8 was adopted at the eighth session 
of the CMP, held in 2012 Doha, Qatar. This decision 
amends the Kyoto Protocol to provide for a second 
commitment period from 2013 to 2020. In order for 
the Amendment to enter into force, 144 Parties to 
the Kyoto Protocol  need to deposit their instruments 
of ratification. As of 31 July 2017, 79 Parties have 
deposited their instruments.   
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- 135 - 11.2  Trade -related measures  
11.2.1   United Nations Framework Convention on Climate Change  
The UNFCCC does not have provisions that directly restrict trade, but domestic actions of countries implementing the UNFCCC could have trade implications.  
Article 3.5  
Principles  "The Parties should cooperate to promote a supportive and open international economic system that would lead to sustainable e conomic growth and 
development in all Parties, partic ularly developing country Parties, thus enabling them better to address the problems of climate change. Measures 
taken to combat climate change, including unilateral ones, should not constitute a means of arbitrary or unjustifiable discri mination or a disg uised 
restriction on international trade".  
→ No adverse impacts on trade pursuant to policies and measures adopted by Parties have been reported to the UNFCCC.  
→ CoP 16 reaffirmed the Article 3.5 Principle s. 
Article 4  
Commitments  "2. The developed country Parties and other Parties included in Annex I commit themselves specifically as provided for in the followi ng: 
(a) Each of these Parties shall adopt national policies and take corresponding measures on the mitigation of climate change, by limiting its 
anthropogenic emissions of greenhouse gases and protecting and enhancing its greenhouse gas sinks and reservoirs. These polic ies and 
measures will demonstrate that developed countries are taking the lead in modifying longer -term trends in ant hropogenic emissions consistent 
with the objective of the Convention, recognizing that the return by the end of the present decade to earlier levels of anthr opogenic emissions 
of carbon dioxide and other greenhouse gases not controlled by the Montreal Prot ocol would contribute to such modification, and taking into 
account the differences in these Parties' starting points and approaches, economic structures and resource bases, the need to  maintain strong 
and sustainable economic growth, available technologie s and other individual circumstances, as well as the need for equitable and appropriate 
contributions by each of these Parties to the global effort regarding that objective. These Parties may implement such polici es 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".  
→ Sets up the requirement for developed country Parties to adopt national policies and corresponding measure s to mitigate climate change.  
11.2.2   Kyoto Protocol to the United Nations Framework Convention on Climate Change  
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 into account 
its commitments under relevant international environmental agreements; promotion of sustainable forest management practices, 
afforestation 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 seque stration 
technologies and of advanced and innovati ve environmentally sound technologies;  
(v) Progressive reduction or phasing out of market imperfections, fiscal incentives, tax and duty exemptions and subsidies in  all greenhouse 
gas emitting sectors that run counter to the objective of the Convention an d application of market instruments;  
(vi) Encouragement of appropriate reforms in relevant sectors aimed at promoting policies and measures which limit or reduce emissions 
of greenhouse gases not controlled by the Montreal Protocol;  
(vii) Measures to lim it and/or reduce emissions of greenhouse gases not controlled by the Montreal Protocol in the transport sector;  
(viii) Limitation and/or reduction of methane emissions through recovery and use in waste management, as well as in the produ ction, 
transport a nd distribution of energy.   
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- 136 - (b) Cooperate with other such Parties to enhance the individual and combined effectiveness of their policies and measures ado pted under this 
Article, pursuant to Article 4, paragraph 2(e)(i), of the Convention.  To this end, thes e Parties shall take steps to share their experience and 
exchange information on such policies and measures, including developing ways of improving their comparability, transparency and 
effectiveness. The [CMP] to this Protocol shall, at its first session or as soon as practicable 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 Ma ritime Organization, 
respectively.  
3. The Parties included in Annex I shall strive to implement policies and mea sures under this Article in such a way as to minimize adverse effects, 
including the adverse effects of climate change, effects on international trade, and social, environmental and economic impac ts on other Parties, 
especially developing country Parties a nd in particular those identified in Article 4, paragraphs 8 and 9, of the Convention, taking into account Article 
3 of the Convention. The [CMP] to this Protocol may take further action, as appropriate, to promote the implementation of the  provisions of t his 
paragraph.  
4. The [CMP] to this Protocol, if it decides that it would be beneficial to coordinate any of the policies and measures in parag raph 1(a) above, 
taking into account different national circumstances and potential effects, shall consider ways and means to elaborate the coordination of such policies 
and measures".  
Articles 6, 12 and 17  → The Kyoto Protocol sets out three mechanisms:  
− Article 6: Joint Implementation (projects between Parties included in Annex I with commitments inscribed in Annex B to the Kyoto Protocol 
(Annex I Parties) countries to help meet a Party's commitments).  
− Article 12: Clean Development Mechanism (The CDM allows Annex I Parties to invest in projects in developing countries to achi eve sustainable 
development, contrib ute to the objective of the Convention and assist Annex 1 Parties to comply with reduction commitments).  
− Article 17: Emissions Trading.  
→ In decision 2/CMP.1 the CMP of Kyoto Protocol agreed on Principles, nature and scope of the mechanisms pursuant to Art icles 6, 12 and 17 of the 
Kyoto Protocol.  
→ Guidelines for the implementation of Article 6 of the Kyoto Protocol are contained in the annex to decision 9/CMP.1 of the CM P of the Kyoto Protocol, 
as revised by subsequent decisions of the CMP.  
→ Modalities an d procedures for the CDM as defined in Article 12 of the Kyoto Protocol are contained in the annex to decision 31/CMP.1 of th e CMP  
of Kyoto Protocol.  
- → Modalities, rules and guidelines for emissions trading under Article 17 of the Kyoto Protocol are contained in the annex to d ecision 11/CMP.1 
of the CMP  of the Kyoto Protocol.  
11.2.3   Paris Agreement17 
The Paris Agreement does not have provisions that directly refer to trade, but some elements could have trade implications.  
Article 4  "…15. Parties shall take into consideration in the implementation of this Agreement the concerns of Parties with economies mo st affected by th e 
impacts of response measures, particularly developing country Parties."  
Article 6  "1. Parties recognize that some Parties choose to pursue voluntary cooperation in the implementation of their nationally dete rmined contributions to 
allow for higher ambition in their mitigation and adaptation actions and to promote sustainable development and environmental integrity . 
2. Parties shall, where engaging on a voluntary basis in cooperative approaches that involve the use of internationally trans ferred mitigation outcomes 
towards nationally determined contributions, promote sustainable development and ensure environmental integrity and transpare ncy, including in 
 
17 The Paris Agreement was adopted through Decision 1/CP.21. The Decision also includes a number of requests / mandates. The sta tus of these requests can be tracked 
here: http://unfccc.int/files/paris_agreement/application/pdf/pa_progress_tracker_200617.pdf .  
  WT/CTE/W/160/Rev.9 • TN/TE/S/5/Rev.7  
 
- 137 - governance, and shall apply robust accounting to ensure, inter alia, the avoidance of doub le counting, consistent with guidance adopted by the 
Conference of the Parties serving as the meeting of the Parties to this Agreement.  
3. The use of internationally transferred mitigation outcomes to achieve nationally determined contributions under this  Agreement shall be voluntary 
and authorized by participating Parties.  
4. A mechanism to contribute to the mitigation of greenhouse gas emissions and support sustainable development is hereby esta blished under the 
authority and guidance of the Conference of the Parties serving as the meeting of the Parties to this Agreement for use by Parties on a voluntary 
basis. It shall be supervised by a body designated by the Conference of the Parties serving as the meeting of the Parties to this Agreement, and shall 
aim: 
(a) To promote the mitigation of greenhouse gas emissions while fostering sustainable development;  
(b) To incentivize and facilitate participation in the mitigation of greenhouse gas emissions by public and private entities authorized by a Party;  
(c) To contribute to the reduction of emission levels in the host Party, which will benefit from mitigation activities resulting in emission reductions 
that can also be used by another Party to fulfil its nationally determined contribution; and  
(d) To deliver an overall mitigation in global emissions.  
5. Emission reductions resulting from the mechanism referred to in paragraph 4 of this Article shall not be used to demonstra te achievement of the 
host Party's nationally determined contribution if used by anothe r Party to demonstrate achievement of its nationally determined contribution.  
6. The Conference of the Parties serving as the meeting of the Parties to this Agreement shall ensure that a share of the pro ceeds from activities 
under the mechanism referred to  in paragraph 4 of this Article is used to cover administrative expenses as well as to assist developing country Parties 
that are particularly vulnerable to the adverse effects of climate change to meet the costs of adaptation.  
7. The Conference of the Par ties serving as the meeting of the Parties to this Agreement shall adopt rules, modalities and procedures for the 
mechanism referred to in paragraph 4 of this Article at its first session.  
8. Parties recognize the importance of integrated, holistic and bal anced non -market approaches being available to Parties to assist in the 
implementation of their nationally determined contributions, in the context of sustainable development and poverty eradicatio n, in a coordinated and 
effective manner, including through , inter alia, mitigation, adaptation, finance, technology transfer and capacity building, as appropriate. These 
approaches shall aim to:  
(a) Promote mitigation and adaptation ambition;  
(b) Enhance public and private sector participation in the implementation of nationally determined contributions; and  
(c) Enable opportunities for coordination across instruments and relevant institutional arrangements.  
9. A framework for non -market approaches to sustainable development is hereby defined to promot e the non -market approaches referred to in 
paragraph 8 of this Article."  
Article 10  "1. Parties share a long -term vision on the importance of fully realizing technology development and transfer in order to improve resilience to climat e 
change and to reduc e greenhouse gas emissions.  
2. Parties, noting the importance of technology for the implementation of mitigation and adaptation actions under this Agreem ent and recognizing 
existing technology deployment and dissemination efforts, shall strengthen cooperat ive action on technology development and transfer.  
3. The Technology Mechanism established under the Convention shall serve this Agreement.  
4. A technology framework is hereby established to provide overarching guidance to the work of the Technology Mechan ism in promoting and 
facilitating enhanced action on technology development and transfer in order to support the implementation of this Agreement,  in pursuit of the long -
term vision referred to in paragraph 1 of this Article.  
5. Accelerating, encouraging and enabling innovation is critical for an effective, long -term global response to climate change and promoting economic 
growth and sustainable development. Such effort shall be, as appropriate, supported, including by the Technology Mechanism an d, through  financial 
means, by the Financial Mechanism of the Convention, for collaborative approaches to research and development, and facilitati ng access to 
technology, in particular for early stages of the technology cycle, to developing country Parties.  
6. Suppo rt, including financial support, shall be provided to developing country Parties for the implementation of this Article, incl uding for 
strengthening cooperative action on technology development and transfer at different stages of the technology cycle, with  a view to achieving a 
balance between support for mitigation and adaptation. The global stocktake referred to in Article 14 shall take into account  available information on 
efforts related to support on technology development and transfer for developing c ountry Parties."  
  
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- 138 - 11.3  Supportive measures  
United Nations Framework Convention on Climate Change  
 
Article 4 – Commitments  
"... 3.  The developed country Parties and other developed Parties included in Annex II shall provide new and additional financial res ources 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 financial resources, including for the transfer of 
technology, needed by the developing country Parties to meet the agreed full incremental costs of implementing measures that are covered by paragraph 1 of this Art icle and that 
are agreed between a developing country Party and the international entity or entities referred to in Article 11, in accordan ce with that Article. The implementation of these 
commitments shall take into account the need for adequacy and predi ctability in the flow of funds and the importance of appropriate burden sharing among the developed country 
Parties.  
4. The developed country Parties and other developed Parties included in Annex II shall also assist the developing country Parti es that are  particularly vulnerable to the adverse 
effects of climate change in meeting costs of adaptation to those adverse effects.  
5. The developed country Parties and other developed Parties included in Annex II shall take all practicable steps to promote, f acilitate and finance, as appropriate, the transfer 
of, or access to, environmentally sound technologies and know -how to other Parties, particularly developing country Parties, to enable them to implement the provisions of the 
Convention. In this process, the d eveloped country Parties shall support the development and enhancement of endogenous capacities and technologies of developin g country 
Parties. Other Parties and organizations in a position to do so may also assist in facilitating the transfer of such tech nologies …  
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 fin ancial resources and transfer of technology and will take fully into account that economic and social 
development and poverty eradication are the first and overriding 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 necessary under the Convention, including acti ons 
related to funding, insurance and the transfer of technology, to meet the specific needs and concerns of developing country P arties arising from the adverse effects of climate 
change and/or the impact of the implementation of response measures…".  
 
→ A Consultative Group of Experts on National Communications from Parties not included in Annex I to the Convention or "Non -Annex 1 Pa rties" (CGE) helps developing countries 
prepare national reports on climate change issues. A Least Developed Country Expert Group (LEG) advises such nations on estab lishing programmes for adapting to climate change 
and an Expert Group on Technology Transfe r (EGTT) enhances technology transfer activities under the Convention.  
→ At CoP 16, the CoP affirmed that  capacity -building is essential to enable developing country Parties to participate fully in, and to implement effectively, their commi tments under 
the Convention; and that the goal is to enhance the capacity of developing country Parties in all areas. It decided to establish the Cancun Adaptation Framework  and an Adaptation 
Committee  to promote the implementation of enhanced action on adaptation in a co herent manner under the Convention.  
 
Article 9 – Subsidiary Body for Scientific and Technological Advice  
→This subsidiary body is charged with providing advice on "ways and means of supporting endogenous capacity building in develo ping countries.".  
 
Article 11 – Financial Mechanism  
→ Establishes a financial mechanism (the GEF) to provide financial resources, including for the transfer of technology. The CoP  entrusted the operation of the financial mechanism 
to the GEF.  
→ GEF covers the d ifference (or "increment") between the costs of a project undertaken with global environmental objectives in mind, and the co sts of an alternative project that 
the country would have implemented in the absence of global environmental concerns.  
→ Further f inancial resources are provided for in the Special Climate Change Fund (SCCF) and the Least Developed Countries Fund (LDCF). The SCCF will finance projects relating 
to adaptation; technology transfer and capacity building; energy, transport, industry, agri culture, forestry and waste management; and economic diversification. The LDCF will 
support a work programme to assist LDCs to carry out, inter alia , the preparation and implementation of national adaptation programmes of action.  
→ At CoP 7 (Marrakech, Nov ember/December 2001), Parties established frameworks for capacity -building for developing countries and countries with economies in transition 
(Decisions 2/CP.7 and 3/CP.7) to help these countries comply with their obligations under the Convention.   
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- 139 - In dec ision 9/CP.9, the CoP decided to complete a first comprehensive review of the capacity building framework for developing coun tries by its tenth session, and to conduct 
further comprehensive reviews every five years thereafter. The results of the first comp rehensive review of the capacity building frameworks, given in decisions 2/CP.10 and 
3/CP.10, acknowledged some progress in a range of priority areas identified in the frameworks. However, the CoP noted that si gnificant gaps still needed to be filled and a ccess to 
financial resources to be addressed. The CoP reiterated the relevance of the frameworks contained in decisions 2/CP.7 and 3/C P.7 and identified key factors to be taken into account 
by the GEF (as an operating entity of the financial mechanism) whe n supporting capacity building activities in developing countries, as defined in the Strategic Approach to Enhance 
Capacity Building (GEF/C.22/8).  
In its decision 2/CP.10, the CoP decided on a time frame and process for a second comprehensive review of the  implementation of the capacity building framework in developing 
countries. In decision 8/CP.15, the CoP postponed to its sixteenth session (Cancun, November -December 2010) the review that should have initially been initiated at SBI 28 (June 
2008) with a v iew to completing it at CoP 15 (Copenhagen, November -December 2009 th). 
→ At SBI 28 (June 2008), the Secretariat was mandated, to provide, upon request, information on the assessment of financing nee ds of non-Annex I Parties with regard to the 
implementation of mitigation and adaptation measures (FCCC/SBI/2008/8). The National E conomic, Environment and Development Study (NEEDS) for Climate Change Project was 
launched in order to support the participating countries in the selection of the key sectors for climate change mitigation and adaptation measures (on the basis of priorities  identified 
in the national communications and in national development plans), the assessment of the financing required and received to i mplement mitigation and adaptation measures in the 
key sectors selected and identifying appropriate financial and regul atory instruments to support these measures, and in raising awareness and facilitating informed consensus 
among government agencies on the policy actions required to mobilize finance and investment in mitigation and adaptation meas ures. E leven  countries ha ve availed of technical 
assistance from the secretariat to conduct financial needs assessments as part of this project.  
→ At CoP 16, the CoP took note of the collective commitment by developed countries to provide new and additional resources, including fo restry and investments through 
international institutions, approaching USD 30 billion for the period 2010 -2012, with a balanced allocation between adaptation and mitigation; funding for adaptation will be 
prioritized for the most vulnerable developing coun tries, such as the least developed countries, small island developing States and Africa. It re cognized  that developed country 
Parties commit, in the context of meaningful mitigation actions and transparency on implementation, to a goal of mobilizing j ointly USD 100 billion per year by 2020 to address the 
needs of developing countries.  
A Green Climate Fund  was established to be designated as an operating entity of the financial mechanism of the Convention under Article 11 to supp ort projects, programmes, 
policies and other activities in developing country Parties. The Fund, supported by an independent secret ariat, shall be governed by a board of 24 members comprising an equal 
number of members from developing and developed country Parties. The World Bank has been invited to serve as the interim trus tee of the Green Climate Fund. A Transitional 
Committee will design the Green Climate Fund.  
A Standing Committee  under the CoP will assist the CoP in exercising its functions with respect to the financial mechanism of the Convention in te rms of improving coherence and 
coordination in the delivery of climate change financing, rationalization of the financial mechanism, mobilization of financial resources and measurement, reporting and ver ification 
of support provided to developing country Parties; Parties agreed to further define the roles and functions of this Stand ing Committee (Decision 1/CP.16). By Decision  2/CP.17 
(paragraphs 120 -125), Parties further defined the roles and functions of the Standing Committee, as well as its composition and working modal ities. Parties agreed the Committee 
will report and make reco mmendations to the CoP, for its consideration, at each ordinary session of the COP on all aspects of its work.  
 
Technology development and transfer  
→ CoP 16 established a Technology Mechanism, consisting of a Technology Executive Committee  (TEC) and a Climate Technology Centre and Network  (CTCN). The TEC is the 
Technology Mechanism 's policy arm and it addresses policy issues related to climate technology development and transfer. It analyses  key climate technology policy issues and 
provides recommendations which support countries to enhance climate efforts. The CTCN is the implementation arm of the mechan ism and it supports country efforts to enhance 
the implementation of climate technology p rojects and programmes. It has three core services: (1) providing technical assistance to developing countries; (2) creating access to 
knowledge on climate technologies; and (3) fostering collaboration among climate technology stakeholders. CoP 18 elected UNEP, as the leader of the consortium of partner 
organizations, as the host of the Climate Technology Centre. CoP 18 also agreed on the constitution of the Advisory Board to the CTCN, thereby making the Technology Mechanism 
fully operational. The modalitie s and procedures of the CTCN and its Advisory Board were adopted at COP 19. CoP 20 noted that through the work of the TEC and  the CTCN in 2014 
the Technology Mechanism is progressing in an effective manner towards fulfilling its mandate as provided for in the Cancun Agreements and the Durban Outcomes.  
 
Kyoto Protocol to the United Nations Framework Convention on Climate Change  
 
Article 11   
  WT/CTE/W/160/Rev.9 • TN/TE/S/5/Rev.7  
 
- 140 - "... 2.  In the context of the implementation of Article 4, paragraph 1, of the Convention, in accordance with the provi sions of Article 4, paragraph 3, and Article 11 of the Convention, 
and through the entity or entities entrusted with the operation of the financial mechanism of the Convention, the developed c ountry Parties and other developed Parties included in 
Annex II to the Convention shall:  
(a) Provide new and additional financial resources to meet the agreed full costs incurred by developing country Parties in ad vancing the implementation of existing commitments 
under Article 4, paragraph 1(a), of the Convention tha t are covered in Article 10, subparagraph (a); and  
(b) Also provide such financial resources, including for the transfer of technology, needed by the developing country Parties  to meet the agreed full incremental costs of advancing 
the implementation of e xisting commitments under Article 4, paragraph 1, of the Convention that are covered by Article 10 and that are agreed betwee n a developing country 
Party and the international entity or entities referred to in Article 11 of the Convention, in accordance wi th that Article.  
The implementation of these existing commitments shall take into account the need for adequacy and predictability in the flow  of funds and the importance of appropriate burden 
sharing among developed country Parties. The guidance to the e ntity or entities entrusted with  the operation of the financial mechanism of the Convention in relevant decisions of 
the Conference of the Parties, including those agreed before the adoption of this Protocol, shall apply mutatis mutandis  to the provisions of this paragraph.  
3. The developed country Parties and other developed Parties in Annex II to the Convention may also provide, and developing coun try Parties avail themselves of, financial 
resources for the implementation of Article 10 , through bilateral, regional and other multilateral channels."  
 
Paris Agreement  
 
Article 8  
"2. The Warsaw International Mechanism for Loss and Damage associated with Climate Change Impacts shall be subject to the aut hority and guidance of the Conference o f the 
Parties serving as the meeting of the Parties to this Agreement and may be enhanced and strengthened, as determined by the Co nference of the Parties serving as the meeting of 
the Parties to this Agreement.  
3. Parties should enhance understanding, act ion and support, including through the Warsaw International Mechanism, as appropriate, on a cooperative and facilitative basi s with 
respect to loss and damage associated with the adverse effects of climate change."  
 
Article 9  
"1. Developed country Parties shall provide financial resources to assist developing country Parties with respect to both mitigation and adaptation in cont inuation of their existing 
obligations under the Convention.  
2. Other Parties are encouraged to provide or continue to provide such support voluntarily.  
3. As part of a global effort, developed country Parties should continue to take the lead in mobilizing climate finance from a wide variety of sources, instruments  and channels, 
noting the significant role of public funds, through a variety of actions, including supporting country -driven strategies, and taking into account the needs and priorities of developing 
country Parties. Such mobilization of climate finance s hould represent a progression beyond previous efforts.  
4. The provision of scaled -up financial resources should aim to achieve a balance between adaptation and mitigation, taking into account country -driven strategies, and the priorities 
and needs of deve loping country Parties, especially those that are particularly vulnerable to the adverse effects of climate change and have s ignificant capacity constraints, such as 
the least developed countries and small island developing States, considering the need for  public and grant -based resources for adaptation.  
5. Developed country Parties shall biennially communicate indicative quantitative and qualitative information related to para graphs 1 and 3 of this Article, as applicable, including, 
as available, projecte d levels of public financial resources to be provided to developing country Parties. Other Parties providing resources are en couraged to communicate biennially 
such information on a voluntary basis.  
6. The global stocktake referred to in Article 14 shall t ake into account the relevant information provided by developed country Parties and/or Agreement bodies on efforts related 
to climate finance.  
7. Developed country Parties shall provide transparent and consistent information on support for developing coun try Parties provided and mobilized through public interventions 
biennially in accordance with the modalities, procedures and guidelines to be adopted by the Conference of the Parties servin g as the meeting of the Parties to this Agreement, at 
its first ses sion, as stipulated in Article 13, paragraph 13. Other Parties are encouraged to do so.  
8. The Financial Mechanism of the Convention, including its operating entities, shall serve as the financial mechanism of thi s Agreement.  
9. The institutions serving this Agreement, including the operating entities of the Financial Mechanism of the Convention, shall aim to ensure efficient access to financial resources 
through simplified approval procedures and enhanced readiness support for developing country Parties,  in particular for the least developed countries and small island developing 
States, in the context of their national climate strategies and plans."  
  
  WT/CTE/W/160/Rev.9 • TN/TE/S/5/Rev.7  
 
- 141 - Article 10  
"1. Parties share a long -term vision on the importance of fully realizing technology development and transfer in order to improve resilience to climat e change and to reduce 
greenhouse gas emissions.  
2. Parties, noting the importance of technology for the implementation of mitigation and adaptation actions under this Agreement and recognizing existing technology deployment 
and dissemination efforts, shall strengthen cooperative action on technology development and transfer.  
3. The Technology Mechanism esta blished under the Convention shall serve this Agreement.  
4. A technology framework is hereby established to provide overarching guidance to the work of the Technology Mechanism in pr omoting and facilitating enhanced action on 
technology development and tr ansfer in order to support the implementation of this Agreement, in pursuit of the long -term vision referred to in paragraph 1 of this Article.  
5. Accelerating, encouraging and enabling innovation is critical for an effective, long -term global response to  climate change and promoting economic growth and sustainable 
development. Such effort shall be, as appropriate, supported, including by the Technology Mechanism and, through financial me ans, by the Financial Mechanism of the Convention, 
for collaborative approaches to research and development, and facilitating access to technology, in particular for early stages of the technolo gy cycle, to developing country Parties.  
6. Support, including financial support, shall be provided to developing country Parties for the implementation of this Article, including for strengthening cooperative action on 
technology development and transfer at different stages of the technology cycle, with a view to achieving a balance between s upport for mitigation and adaptation. The  global 
stocktake referred to in Article 14 shall take into account available information on efforts related to support on technology  development and transfer for developing country Parties."  
 
Article 11  
"5. Capacity -building activities shall be enhanced t hrough appropriate institutional arrangements to support the implementation of this Agreement, including the appropriate 
institutional arrangements established under the Convention that serve this Agreement. The Conference of the Parties serving as the mee ting of the Parties to this Agreement shall, 
at its first session, consider and adopt a decision on the initial institutional arrangements for capacity -building."  
11.4  Non-compliance mechanism  
United Nations Framework Convention on Climate Change  
 
Article 13 – Resolution of Questions Regarding Implementation  
"The [CoP] shall, at its first session, consider the establishment of a multilateral consultative process, available to Parti es on their request, for the resolution of questions regarding 
the im plementation of the Convention".  
→ Pursuant to Article 13, CoP 4 considered the establishment of a Multilateral Consultative Committee (MCC) for the resolution of questions regarding the implementation of the 
UNFCCC. To date, the Parties have not established such a Committee or adopted a m ultilateral consultative process. 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.  
 
Reporting  
An overview of the reporting requirements and the related review/analyses processes is available on the UNFCCC website. These  requirements are different for  Annex I Parties More 
information is available at: < http://unfccc.int/national_reports/items/1408.php > and non -Annex I Parties < http://unfccc.int/national_reports/non -
annex_i_natcom/items/2716.php >. 
 
Kyoto Protocol to the United Nations Framework Convention on Climate Change  
 
Article 16  
"The [CMP] to this Protocol shall, as soon as practicable, consider the a pplication 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 decisions that may be taken by the [CoP]. Any multilateral consult ative process that may be applied to this Protocol shall 
operate without prejudice to the procedures and mechanisms established in accordance with Article 18".  
 
Article 18   
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- 142 - "The [CMP] to this Protocol shall, at its first session, approve appropriate 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 procedures and mechanisms under this Article entailing binding consequences shall be adopted by means of an amendment to this Protocol".  
→ A strong compliance system has been developed to facilitate, promote and enforce compliance with the commitments under the Kyoto Protocol: The Compliance Committee 
consists of an enforcement branch and a facilitative branch.  
The enforcement branch is responsible for determining whether an Annex I Party is not in compliance with its emissions target s, the methodological and reporting requirements for 
greenhouse gas inventories, and the eligibility requirements under the flexibility mechanisms. In case of disagreements betwe en a Party and an expert review team, the enforcement 
branch shall determine whether to apply adjustments to greenhouse gas inventories or to correct the compilation and accounting database for the accounting o f assigned amounts 
(i.e., a Party 's allowable level of emissions over the Protocol 's first commitment period (2008 -2012)).  
The mandate of the facilitative branch is to provide advice and facilitation to Parties in implementing the Protocol and to p romote compliance by Parties with their commitments.  It 
is responsible for addressing questions of implementation rel ating to response measures taken by Annex I Parties aimed at mitigating climate change in a way that minimizes their 
adverse impacts on developing countries and the use by Annex I Parties of the mechanisms as "supplemental" to domestic action . Furthermore,  the facilitative branch may provide 
"early warning" of potential non -compliance with emissions targets, methodological and reporting commitments relating to greenhouse gas inventories, and commi tments on 
reporting supplementary information in a Party 's annual inventory.  
More information on the Compliance Committee, including on questions of implementation that have been referred to it, is avai lable at: 
http://unfccc.int/kyoto_protoc ol/compliance/items/2875.php . 
 
Paris Agreement  
 
Article 15  
"1. A mechanism to facilitate implementation of and promote compliance with the provisions of this Agreement is hereby establ ished.  
2. The mechanism referred to in paragraph 1 of this Article shal l consist of a committee that shall be expert -based and facilitative in nature and function in a manner that is 
transparent, non -adversarial and non -punitive. The committee shall pay particular attention to the respective national capabilities and circumst ances of Parties.  
3. The committee shall operate under the modalities and procedures adopted by the Conference of the Parties serving as the me eting of the Parties to this Agreement at its first 
session and report annually to the Conference of the Parties  serving as the meeting of the Parties to this Agreement."  
11.5  Dispute settlement mechanism  
United Nations Framework Convention on Climate Change  
 
Article 14 – Settlement of Disputes  
"1. In the event of a dispute between any two or more Parties concerning the interpretation or application of the Convention, the 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 Con vention, or at any time thereafter, a Party which is not a regional economic integration organization may declare 
in a written instrument submitted to the Depositary that, in respect of any dispute concerning the interpretation or applicat ion of the Conven tion, 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 [ICJ], and/or  
(b) Arbitration in accordance with procedures to be adopted by the [C oP] as soon as practicable, in an annex on arbitration.  
A Party which is a regional economic integration organization may make a declaration with like effect in relation to arbitrat ion 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 d ispute 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 com posed o f an equal number of members appointed 
by each party concerned and a chairman chosen jointly by the members appointed by each party. The commission shall render a r ecommendatory award, which the parties shall 
consider in good faith.   
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- 143 - 7. Additional procedure s relating to conciliation shall be adopted by the C oP, as soon as practicable, in an annex on conciliation.  
8. The provisions of this Article shall apply to any related legal instrument which the C oP may adopt, unless the instrument provides otherwise".  
 
Kyoto Protocol to the United Nations Framework Convention on Climate Change  
 
Article 19  
"The provisions of Article 14 of the Convention on settlement of disputes shall apply mutatis mutandis  to this Protocol".  
 
Paris Agreement  
 
Article 24  
"The provisions of Article 14 of the Convention on settlement of disputes shall apply mutatis mutandis  to this Agreement. " 
11.6  Provisions for non-parties  
No provisions.  
 
12  BASEL CONVENTION ON THE CONTROL OF TRANSBOUNDARY MOVEMENTS OF HAZARDOUS WASTES AND THEIR DISPOSAL  
12.1  Brief description of the MEA  
 Basel Convention on the Control of Transboundary Movements  
of Hazardous Wastes and their Disposal  Basel Protocol on Liability and Compensation for Damage 
Resulting from Transboundary Movements of Hazardous Wastes 
and their Disposal  
Website  http://www.basel.int/  
http://synergies.pops.int/  
Objective  → The objective of the Basel Convention is to protect human health and the 
environment against the adverse effects which may result from the generation 
and management of hazardous and other wastes.  
→ The specific objectives of the Basel Convention are:  
− to minimize the generation of hazardous and other wastes;  
− to promote the environmentally sound management of hazardous and 
other wastes; and  
− to reduce transboundary movements of hazardous and other wastes.  
→ The Convention provides for the attainment of these objectives through 
control of the transboundary movements of hazardous and other wastes, 
monitoring and prevention of illegal traffic, requirements with regards to the 
environmentally sound management of hazardous and other wastes, promotion 
of cooperation between Parties, and development of technical guidelines for the 
management of hazardous and other wastes.  → The objective of the Protocol is to provide for a comprehensive regime 
for liability as well as adequate and prompt compensation for damage 
resulting from the transboundary movement of hazardous wastes an d 
other wastes and their disposal, including incidents occurring because of 
illegal traffic in those wastes.  
→ Under the Protocol, actors involved in the transboundary movement 
and disposal of hazardous waste are strictly liable for damage caused 
regardles s of the presence of fault and up to the financial limits 
established by the Protocol. Fault -based liability is also regulated by the 
Protocol.  
Date of Adoption  22 March 1989  10 December 1999   
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of Hazardous Wastes and their Disposal  Basel Protocol on Liability and Compensation for Damage 
Resulting from Transboundary Movements of Hazardous Wastes 
and their Disposal  
Entry into force  5 May 1992  Not yet in force.  
The Protocol will enter into force 90 (ninety) days after the date of the 
20th instrument of ratification, acceptance, formal confirmation, approval 
or accession.  
Parties  188 Parties  (as of 10 February 2021) . See official list maintained by the 
Depositary i.e. the United Nations (UN) Treaty Section, for the UN Secretary 
General, in New York here. 12 Parties  (as of 10 February  2021) . See official list maintained by the 
Depositary i.e. the UN Treaty Section, for the UN Secretary General, in 
New York here. 
WTO Members  156 Parties to Basel Convention  are also WTO Members (see  Annex ). 9 Parties to the Protocol are also WTO Members (see  Annex ). 
Openness of 
Membership  Article 21  – Signature  
"This Convention shall be open for signature by States ... and by political and/or 
economic integration organizations ...".  
Article 22 – Ratification, Acceptance, Formal Confirmation or Approval  
"1. This Convention shall be subject to ratific ation, acceptance or approval by 
States ... and to formal confirmation or approval by political and/or economic 
integration organizations. Instruments of ratification, acceptance, formal 
confirmation, or approval shall be deposited with the Depositary.  
2. Any organization referred to in paragraph 1 above which becomes a Party 
to this Convention without any of its member States being a Party shall be bound 
by all the obligations under the Convention. In the case of such organizations, 
one or more of whose me mber States is a Party to the Convention, the 
organization and its member States shall decide on their respective 
responsibilities for the performance of their obligations under the Convention. In 
such cases, the organization and the member States shall no t be entitled to 
exercise rights under the Convention concurrently ...".  
Article 23 – Accession  
"1. This Convention shall be open for accession by States, and by political 
and/or economic integration organizations from the 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 Parties to the Basel Convention  …". 
Article 27 – Ratification, Acceptance, Formal Confirmation or 
Approval  
"1. The Protocol shall be subject to ratification, acceptance or approval 
by States and to formal confirmation or approval by regional economic 
integration organizations. Instruments o f ratification, acceptance, formal 
confirmation, or approval shall be deposited with the Depositary.  
2. Any organization referred to in paragraph 1 of this Article which 
becomes a Contracting Party without any of its member States being a 
Contracting Party  shall be bound by all the obligations under the Protocol. 
In the case of such organizations, one or more of whose member States 
is a Contracting Party, the organization and its member States shall 
decide on their respective responsibilities for the perfor mance of their 
obligations under the Protocol. In such cases, the organization and the 
member States shall not be entitled to exercise rights under the Protocol 
concurrently ...".  
Article 28 – Accession  
1. The Protocol shall be open for accession by any S tates and by any 
regional economic integration organization Party to the Basel Convention 
which has not signed the Protocol. The instruments of accession shall be 
deposited with the Depositary ...".  
Decision -Making 
Bodies  Article 15 – Conference of the Parties  
"... 5.  The Conference of the Parties (CoP) shall keep under continuous review 
and evaluation the effective implementation of this Convention, and, in addition, 
shall:  
(a) Promote the harmonization of appropriate pol icies, strategies and 
measures for minimizing harm 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 , availabl e scientific, 
technical, economic and environmental information;  Article 24 – Meeting of the Parties  
"4. The functions of the Meeting of the Parties (MoP) shall be:  
(a) To review the implementation of and compliance with the 
Protocol;  
(b) To provide for reporting and establish guidelines and pr ocedures 
for such reporting where necessary;  
(c) To consider and adopt, where necessary, proposals for 
amendment of the Protocol or any annexes and for any new 
annexes; and  
(d) To consider and undertake any additional action that may be 
required for the pu rposes of the Protocol".   
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of Hazardous Wastes and their Disposal  Basel Protocol on Liability and Compensation for Damage 
Resulting from Transboundary Movements of Hazardous Wastes 
and their Disposal  
(c) 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 and in the oper ation of the agreements 
and arrangements envisaged in Article 11;  
(d) Consider and adopt protocols as required; and  
(e) Establish such subsidiary bodies as are deemed necessary for the 
implementation of this Convention ...  
7. The CoP 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 h azardous wastes and other 
wastes in light of the latest scientific, environmental, technical and economic 
information".  
→ The CoP is the governing body of the Convention and is composed of the 
representatives of the Parties.  
→ The Expanded Bureau is a subs idiary body to the CoP composed of 13 
representatives of all the regions. It meets between the meetings of the CoP to 
orientate the work of the Secretariat; provide advice for the preparation of 
meeting agendas and any other matters raised by the Secretari at. 
→ The Open-ended Working Group is a subsidiary body to the CoP and its 
mandate is to assist the CoP in the implementation of the Convention and 
consider and advise the CoP on issues relating to policy, technical, scientific, 
legal, institutional, admin istrative, financial, budgetary and other aspects of the 
implementation of the Convention.  
→ The Committee for Administrating the Mechanism for Promoting 
Implementation and Compliance (also referred to as "the Compliance 
Committee") is a subsidiary body to  the CoP and its mandate is to administer 
the said mechanism established to assist Parties to comply with their obligations 
under the Convention and to facilitate, promote, monitor and aim to secure the 
implementation of, and compliance with, the obligatio ns under the Convention.  
Amendments and 
Protocols  Article 12 – Consultations on Liability  
"The Parties shall co -operate with a view to adopting, as soon as practicable, a 
protocol setting out appropriate rules and procedures in the field of liability and 
compensation for damage resulting from the transboundary movement and 
disposal of hazardous wastes and other wastes".  
Article 17 – Amendment of the Convention  
"1. Any Party may propose amendments to this Convention and any Party to 
a protoco l 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 CoP. 
Amendments to any protocol shall be adopted at a MOP to the protocol in 
question. The text of any proposed amendment to this Convention or to any 
protocol, except as may otherwise be p rovided in such protocol, shall be Article 22 – Relationship of the Protocol with the Basel 
Convention  
"Except as otherwise provided in the Protocol, the provisions of the 
Convention relating to its Protocols shall apply to the Protocol".   
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of Hazardous Wastes and their Disposal  Basel Protocol on Liability and Compensation for Damage 
Resulting from Transboundary Movements of Hazardous Wastes 
and their Disposal  
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 for 
information.  
3. The Parties shall make every effort to reach agreement on any proposed 
amendment to this Convention by consensus. If all efforts at consensus have 
been exhausted, and no agreement reached, the amendment shall as a last 
resort be adopted  by a three -fourths majority of the Parties present 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 appl y 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 f orce between Parties having accepted them on the ninetieth day 
after the receipt by the Depositary of their instrument of ratification, approval, 
formal confirmation or acceptance by at least three -fourths of the Parties who 
accepted them or by at least tw o-thirds of the Parties to the protocol concerned 
who accepted them, except as may otherwise be provided in such protocol. The 
amendments shall enter into force for any other Party on the ninetieth day after 
that Party deposits its instrument of ratificati on, 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".  
→ The Ban Amendment was adopted on 22 September 1995. T o date, 100 
Parties have ratified the Amendment (see official list maintained by the 
Depositary i.e. the United Nations (UN) Treaty Section, for the UN Secretary 
General, in New York  here. The Ban Amendment entered into force on 05 
December 2019 in accordance with Art. 17.5 of the Convention.  
→ 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 transboundary movements from 
Annex VII to non -Annex VII countries of hazardous wastes in tended for recycling 
or reuse as of end 1997. Annex VII is not yet in force, pending the entry into 
force of the Amendment.  
→ The following amendments to technical annexes have been adopted by the 
CoP: 
− 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 and Annex  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  
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of Hazardous Wastes and their Disposal  Basel Protocol on Liability and Compensation for Damage 
Resulting from Transboundary Movements of Hazardous Wastes 
and their Disposal  
Annex IX includes wastes that are not covered by Article  1, paragraph 1(a), 
unless they contain Annex I material to an extent causing them to exhibit 
an Annex III characteristic.  
− Amendmen t to Annex VIII and IX: at its sixth meeting, the COP 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.  
− CoP-7 adopted fur ther amendments to Annex VIII and IX of the Basel 
Convention (Decision VII/19 added new wastes to be included in Annexes 
VIII and IX).  
− At its eleventh meeting in 2013, the CoP adopted amendments to Annex  IX 
of the Basel Convention adding two new entries.  
12.2  Trade-related measures  
12.2.1   Provisions of the convention  
Article 1  
Scope of the Convention  "1. The following wastes that are subject to transboundary movement shall be "hazardous wastes" for the purposes of this Conventi on: 
(a) Wastes that belong to any category contained in Annex I,  unless they do not possess any of the characteristics contained in Annex III; and  
(b) Wastes that are not covered under paragraph (a) but are defined as, or are considered to be, hazardous wastes by the dome stic legislation 
of the Party of export , import or transit.  
2. Wastes that belong to any category contained in Annex II that are subject to transboundary movement shall be "other wastes" f or the purposes 
of this 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, othe r than 
those listed in Annexes I and II, considered or defined as hazardous under its national legislation and of any requirements concerning 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 t o paragraph  1. 
3. The Secretariat shall forthwith inform  all Parties of the information it has received pursuant to paragraphs 1 and 2.  
4. Parties shall be responsible for making the information transmitted to them by the Secretariat under paragraph 3 available to  their exporters".  
Article 4  
General Obligation s "1. (a) Parties exercising their right to prohibit the import of hazardous wastes or other wastes for disposal shall inform the o ther Parties of the ir 
decision pursuant to Article 13.  
(b) Parties shall prohibit or shall not permit the export of hazardous wastes and other wastes to the Parties which have prohibited the import of 
such wastes, when notified pursuant to subparagraph (a) above.  
(c) Parties shall prohibit or shall not permit the export of hazardous wastes and other wastes if the State of import does not consent in writing 
to the specific import, in the case where that State of import has not prohibited the import of such wastes.  
2. Each Party shall take the appropriate measures to:  
(a) Ensure that the generation of hazardous wastes and other wastes within it is reduced to a minimum, taking into account social, technological 
and economic aspects;  
(b) Ensure the availability of adequate disposal facilities, for the environmentally sound management of hazardous wastes and  other wastes, 
that shall be located, to the extent possible, within it, whatever the place of their disposal;  ...  
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- 148 -   (d) Ensure that the transboundary movement of hazardous wastes and other wastes is reduced to the minimum consistent with the  
environmentally sound and effici ent 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 grou p of States belonging to an economic and/or political integration 
organization that are Parties, particularly developing countries, which have prohibited by their legislation all imports, or if it has reason to believe 
that the wastes in question will not be managed in an environmentally sound manner, according to criteria to be decided on by the Parties at 
their first meeting.  
(f) Require that information about a proposed transboundary movement of hazardous wastes and other wastes be provided to the States  
concerned, according to Annex V (A), to state clearly the effects of the proposed movement on human health and the environmen t; 
(g) Prevent the import of hazardous wastes and other wastes if it has reason to believe that the wastes in question will not be managed in an 
environmentally sound manner;  
(h) Co -operate in activities with other Parties and interested organizations, directly and through the Secretariat, including the di ssemination of 
information on the transboundary movement of hazardous wastes an d other wastes, in order to improve the environmentally sound management 
of such wastes and to achieve the prevention of illegal traffic; ...  
5. A Party shall not permit hazardous wastes or other wastes to be exported to a non -Party or to be imported from a non -Party.  
6. The Parties agree not to allow the export of hazardous wastes or other wastes for disposal within the area south of 60° South  latitude, whether 
or not such wastes are subject to transboundary movement.  
7. Furthermore, each Party shall:  
(a) Prohibit all persons under its national jurisdiction from transporting or disposing of hazardous wastes or other wastes unles s such persons 
are authorized or allowed to perform such types of operations;  
(b) Require that hazardous wastes and other wastes th at are to be the subject of a transboundary movement be packaged, labelled, and 
transported in conformity with generally accepted and recognized international rules and standards in the field of packaging,  labelling, and 
transport, and that due account is taken of relevant internationally recognized practices;  
(c) Require that hazardous wastes and other wastes be accompanied by a movement document from the point at which a transbound ary 
movement commences to the point of disposal.  
8. Each Party shall requir e that hazardous wastes or other wastes, to be exported, are managed in an environmentally sound manner in the 
State of import or elsewhere. Technical guidelines for the environmentally sound management of wastes subject to this Convent ion shall be decided  
by the Parties at their first meeting.  
9. Parties shall take the appropriate measures to ensure that the transboundary movement of hazardous wastes and other wastes on ly be allowed 
if: 
(a) The State of export does not have the technical capacity and the n ecessary facilities, capacity or suitable disposal sites in order to dispose 
of the wastes in question in an environmentally sound and efficient manner; or  
(b) The wastes in question are required as a raw material for recycling or recovery industries in th e State of import; or  
(c) The transboundary movement in question is in accordance with other criteria to be decided by the Parties, provided those criteria do not 
differ from the objectives of this Convention.  
10. The obligation under this Convention of St ates in which hazardous wastes and other wastes are generated to require that those wastes are 
managed in an environmentally sound manner may not under any circumstances be transferred to the States of import or transit.  
11. Nothing in this Convention shal l prevent a Party from imposing additional requirements that are consistent with the provisions of this 
Convention, and are in accordance with the rules of international law, in order better to protect human health and the enviro nment.  
12. Nothing in this Convention shall affect in any way the sovereignty of States over their territorial sea established in accord ance with international 
law, and the sovereign rights and the jurisdiction which States have in their exclusive economic zones and their continental shelves in accordance 
with international law, and the exercise by ships and aircraft of all States of navigational rights and freedoms as provided for in international law and 
as reflected in relevant international instruments …".   
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- 149 - Artic le 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  → Article 6 provides for the prior informed consent procedure or "control system", according to which the transboundary movemen ts of hazardous 
wastes shall take place.  
"1. The State of export shall notify, or shall require the generator or exporter to notif y, in writing, through the channel of the competent authority 
of the State of export, the competent authority of the States concerned of any proposed transboundary movement of hazardous w astes or other 
wastes. Such notification shall contain the declaratio ns and information specified in Annex V A, written in a language acceptable to the State of 
import. Only one notification needs to be sent to each State concerned.  
2. The State of import shall respond to the notifier in writing, consenting to the movement with or without conditions, denying permission for the 
movement, or requesting additional information. A copy of the final response of the State of import shall be sent to the comp etent authorities of the 
States concerned which are Parties.  
3. The State of  export shall not allow the generator or exporter to commence the transboundary movement until it has received written 
confirmation that:  
(a) The notifier  has received the written consent of the State of import; and  
(b) The notifier has received from the S tate of import confirmation of the existence of a contract between the exporter and the disposer specifying 
environmentally sound management of the wastes in question.  
4. Each State of transit which is a Party shall promptly acknowledge to the notifier rec eipt of the notification. It may subsequently respond to the 
notifier in writing, within 60 days, consenting to the movement with or without conditions, denying permission for the moveme nt, or requesting 
additional information. The State of export shall no t allow the transboundary movement to commence until it has received the written consent of the 
State of transit.  However, if at any time a Party decides not to require prior written consent, either generally or under specific conditions, for transit 
transboundary movements of hazardous wastes or other wastes, or modifies its requirements in this respect, it shall forthwith info rm the other Parties 
of its decision pursuant to Article 13. In this latter case, if no response is received by the State of export  within 60 days of 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 wastes are legally defined as o r considered to be hazardous wastes only:  
(a) By the State of export, the requirements of paragraph 9 of this Article that apply to the importer or disposer and the St ate of import shall 
apply mutatis mutandis  to the exporter and State of export, respectiv ely; 
(b) By the State of import, or by the States of import and transit which are Parties, the requirements of paragraphs 1, 3, 4 and 6 of this Article 
that apply to the exporter and State of export shall apply mutatis mutandis  to the importer or disposer and State of import, respectively;  or 
(c) By any State of transit which is a Party, the provisions of paragraph 4 shall apply to such State.  
6. The State of export may, subject to the written consent of the States concerned, allow the generator or the expo rter to use a general 
notification where hazardous wastes or other wastes having the same physical and chemical characteristics are shipped regular ly to the same disposer 
via the same customs office of exit of the State of export via the same customs offic e of entry of the State of import, and, in the case 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 pa ragraph 6 subject 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 wastes 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 s ign the 
movement document either upon deliv ery or receipt of the wastes in question. They shall also require that the disposer inform both the exporter and 
the competent authority of the State of export of receipt by the disposer of the wastes in question and, in due course, of th e completion of di sposal 
as specified in the notification. If no such information is received within the State of export, the competent authority of t he State of export or the 
exporter shall so notify the State of import.  
10. The notification and response required by this A rticle shall be transmitted to the competent authority of the Parties concerned or to such 
governmental authority as may be appropriate in the case of non -Parties.   
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- 150 - 11. Any transboundary movement of hazardous wastes or other wastes shall be covered by insur ance, bond or other guarantee as may 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 the contract, the State of export shall en sure that the wastes in 
question are taken back into the State of export, by the exporter,  if alternative arrangements cannot be made for their disposal in an environmentally 
sound manner, within 90 days from the time that the importing State informed the State of export and the Secretariat, or such  other period of time 
as the States concerned agree. To this end, the State of export and any Party of transit shall not oppose, hinder or prevent the return of those wast es 
to the State of export."  
→ 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 pursuan t to the provisions of this Convention of a State concerned; or  
(c) with consent obtained from States concerned through falsification, misrepresentation or fraud; or  
(d) that does not conform in a material way with the documents; or  
(e) that results in deliberate disposal (e.g. dumping) of hazardous wastes or other wastes in contravention of this Convention and of general 
principles of international law,  
shall be deemed to be illegal traffic.  
2. In case of a transboundary movement of hazardous wastes or other wastes deemed to be illegal traffic as the result of conduct on the part of 
the exporter or generator, the State of export shall ensure that the wastes in question are:  
(a) taken back by the exporter or the generator or, if necessary, by itself into the State of export, or, if impracticable,  
(b) are otherwise disposed of in accordance with the provisions of this Convention,  
within 30 days from the time the State of export has been informed about the illegal traffic or such other period of time as States concerned may 
agree.  To this end the Parties concerned shall not oppose, hinder or prevent the return of those wastes to the State of export.  
3. In the case of a transboundary movement of hazardous wastes or other wastes deemed to be illegal traffic as  the result of conduct on the part 
of the importer or disposer, the State of import shall ensure that the wastes in question are disposed of in an environmental ly sound manner by the 
importer or disposer or, if necessary, by itself within 30 days from the time the illegal traffic has come to the attention of the State of import or such 
other period of time as the States concerned may agree. To this end, the Parties concerned shall co -operate, as necessary, in the disposal of the 
wastes in an environmentally  sound manner.  
4. In cases where the responsibility for the illegal traffic cannot be assigned either to the exporter or generator or to the im porter or disposer, 
the Parties concerned or other Parties, as appropriate, shall ensure, through co -operation, t hat the wastes in question are disposed of as soon as 
possible in an environmentally sound manner either in the State of export or the State of import or elsewhere as appropriate.  
5. Each Party shall introduce appropriate national/domestic legislation to p revent and punish illegal traffic. The Parties shall co -operate with a view 
to achieving the objects of this Article".  
Article 10  
International 
cooperation  1. The Parties shall co -operate with each other in order to improve and achieve environmentally sound management of hazardous wastes and 
other wastes.  
2. To this end, the Parties shall:  
(a)  Upon request, make available information, whether on a bilateral or multilateral basis, with a view to promoting the environmental ly 
sound manage ment of hazardous wastes and other wastes, including harmonization of technical standards and practices for the adequate 
management of hazardous wastes and other wastes;  
(b)  Co-operate in monitoring the effects of the management of hazardous wastes on hum an health and the environment;  
(c)  Co-operate, subject to their national laws, regulations and policies, in the development and implementation of new environmental ly 
sound low -waste technologies and the improvement of existing technologies with a view to eliminating, as far as practicable, the generation of 
hazardous wastes and other wastes and achieving more effective and efficient methods of ensuring their management in an envir onmentally 
sound manner, including the study of the economic, social and envi ronmental effects of the adoption of such new or improved technologies;   
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- 151 - (d)  Co-operate actively, subject to their national laws, regulations and policies, in the transfer of technology and management syst ems 
related to the environmentally sound management  of hazardous wastes and other wastes. They shall also co -operate in developing the technical 
capacity among Parties, especially  those which may need and request technical assistance in this field; … 
12.2.2   Decisions of the Conference of Parties  
The following ar e examples of trade -related decisions adopted at meetings of the CoP of the Basel Convention:  
CoP-2 
Geneva, 1994  → At CoP -2, 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 incorporated in the text of the Convention itself, the q uestion as to whether it was legally 
binding or not arose.  
CoP-3 
Geneva, 1995  → At CoP -3, it was proposed that the Ban be formally incorporated in the Basel Convention as an amendment (Decision III/1). If and whe n the ban 
comes into force (The Ban Amendment has 82 Parties as of 31 July 2015) , the amendment would insert in the Convention a new Article 4A(2) which 
would:  
− prohibit all transboundary movements of hazardous wastes destined for final disposal  from Parties listed in Annex VII (consisting of  members of 
OECD, EC and Liechtenstein) to states not listed in Annex VII, and  
− prohibit all transboundary movements of hazardous wastes under Art 1, para 1(a) destined for recovery operations , from Annex VII states to 
non-Annex VII states.  
CoP-4 
Kuching, 1998  → At CoP -4, there was a discussion concerning other countries wishing to join Annex VII. These countries are Monaco, Slovenia and Isra el. 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 dec ision could then be 
made as to whether to close Annex VII or to have open criteria. This issue was raised again at CoP -5.  
→ Annexes VIII and IX of the Convention, adopted at CoP -4, clarify what is and what is not considered to be hazardous waste. Non -hazardous 
material is listed in Annex IX (list B) wastes. Many of the recyclable materials such as copper, zinc (and their pro ducts) 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 considered hazardous waste under Base l).  
CoP-5 
Basel, 1999  → At CoP -5, the Basel Declaration on Environmentally Sound Management was adopted. This Declaration outlines the activities to be 
undertaken to achieve the objectives of the practical implementation of environmentally sound management: prevention, minimization, recycling, 
recovery and disposal of wastes subject to the Convention.   
CoP-6 
Geneva, 2002  → At CoP -6, Decision VI/30 was adopted by the CoP on the Cooperation with the WTO:  
"... 1. Requests the secretariat of the Base l Convention to:  
(a) Seek observer status in the [CTE] 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] Secretariat 
and its committee secretariats;  
(c) Monitor developments in the [WTO CTE] meeting in Special Session and report to the Parties thereon;  
2. Further requests the secretariat  of the Basel Convention, when called upon to provide general information to [WTO] on trade provisions of the 
Basel Convention, to consult with the Parties to the Basel Convention before providing that information. If the Secretariat o f the Basel Conventio n is 
requested to provide interpretation on the trade provisions of the Convention, it will refer such requests to the [CoP]."  
CoP-7 
Geneva, 2004  → The CoP -7 adopted a ministerial statement on partnerships for meeting the global waste challenge which sets  out strategies for mobilizing additional 
resources to address hazardous wastes. The statement calls for strengthening partnerships with industries and other internati onal organizations and 
agreements, in particular the Rotterdam Convention on Trade in Haz ardous Chemicals and Pesticides and the Stockholm Convention on Persistent 
Organic Pollutants. It also encourages governments to consider setting their own individual or regional targets for minimizin g wastes. Decisions VII/2 
on Hazardous Waste Minimizatio n, VII/3 Basel Convention Partnership Programme and VII/4 Mobile Phone Partnership Initiative were adopted to 
meet the global waste challenge.   
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- 152 - → Decision VII/38 on  International Cooperation, including cooperation with the WTO and the Global Environment Facility (GEF)  "requests the 
Secretariat to continue its cooperation, in accordance with decisions VI/29 and VI/30, on critical areas for the effective im plementation of the Basel 
Convention, its protocol and amendments with relevant organizati ons, including the following: ... (j) the WTO; …"  
CoP-8 
Nairobi, 2006  → CoP-8 adopted the Nairobi Ministerial declaration on the environmentally sound management of electronic and electrical waste whic h sets out 
strategies to address e -wastes, and includes the promotion of exchange of information and transfer of best available technologies for the 
environmentally sound management of e -waste from developed countries to developing countries and countries with economies in transition. The 
declaration a lso addresses the combating and prevention of illegal traffic in e -waste, and encourages national, regional and global comprehensive 
actions for the environmentally sound management of e -waste, and end -of-life equipment, through shared responsibilities and  commitments from all 
concerned stakeholders. A decision on the environmentally sound management of e -waste was also adopted, which mandates the Open -ended 
Working Group to develop a work plan on the environmentally sound management of e -waste, focussing o n the needs of developing countries and 
countries with economies in transition. The decision, inter alia, urges Parties to collaborate in the prevention and combatin g of illegal traffic through 
information exchange; tracking and early warning systems; capa city-building, particularly strengthening institutional mechanisms; legal frameworks; 
and control activities. It also requests Parties to ensure that donated electronic and electrical equipment that is the subje ct of transboundary 
movement is not end -of-life equipment. Reports on progress in the implementation of the decision will be made to CoP -9. 
→ CoP 8 adopted a decision requesting the Secretariat to further strengthen cooperation and coordination with other internation al and regional 
organizations and multilateral environmental agreements in areas of relevance to the Basel Convention, including the WTO. Moreover, the same 
decision requested the Secretariat to seek observer status with the Committee on Trade and Environment of the WTO and to advi se the P arties to 
the Convention when the request has been submitted to, and granted by, the WTO.  
→ With respect to the interpretation of article 17, paragraph 5, of the Convention, which provides for the entry into force of amendments to the 
Convention, CoP 8 man dated the Open -ended Working Group to begin work on addressing the issue of interpretation, and to develop a draft decision 
to reach an agreed interpretation, of article 17, paragraph 5, in accordance with international law for consideration by COP -9. It i s noted that the 
entry into force of the amendment contained in decision III/1, adopted by CoP -3, may be affected by the interpretation of article  17, paragraph 5.  
→ With respect to the transboundary movement of used and end -of-life mobile phones, CoP -8 provisionally adopted a guidance document on the 
environmentally sound management of used and end -of-life mobile phones as a voluntary document, and invited Parties to use and test the guidance 
document, and five guidelines produced under the Mobile Phone Pa rtnership Initiative which had worked during the biennium 2005 -2006. The 
guidance document addresses, inter alia, the transboundary movement of used and end -of-life mobile phones.  
CoP-9 
Bali, 2008  → At CoP -9, the Bali Declaration on Waste Management for Human Health and Livelihood was adopted. This Declaration calls:  
" Parties and by relevant public and private organizations, including international and regional organizations and programmes, to: 
(b) Strengthen subregional and regional cooperation on waste and health issues ...  
(c) Improve waste shipment and border controls to prevent illegal movements of hazardous and other wastes ...  
(d) Improve cooperation between national authorities in the was te, chemicals and health sectors and, in collaboration with other relevant 
authorities and stakeholders, in the development and implementation of effective and sound waste management systems;  
(e) Increase capacity -building and promote and, where possible, enhance, public and private investment for the transfer and use of appropriate 
technology for the safe and environmentally sound management of waste".  
→ The CoP -9 agreed that the Secretariat should take note of the request of revising the draft technical g uidelines so as to further address aspects 
such as incineration on land and the co -processing of hazardous wastes in the context of the Basel Convention.  
→ The CoP -9 adopted a decision (IX/26) inviting the Parties to take into consideration the "possible way forward on the Ban Amendment" set out in 
the President's Statement, in order to explore means by which the Amendment's objectives might be achieved, while waiting for  its entry into force.  
Ex CoP-1 
Bali, 2010  The simultaneous extraordinary meetings of  the Conferences of the Parties  to the Basel, Rotterdam and Stockholm conventions resulted in the 
adoption of an omnibus decision (BC Ex -1/1)18, on the following thematic areas:  
(a) Joint activities;  
(b) Joint managerial functions;  
(c) Joint services;  
(d) Synchronization of budget cycles;  
 
18 http://archive.basel.int/synergies/documents/At tachment%2018.pdf    
  WT/CTE/W/160/Rev.9 • TN/TE/S/5/Rev.7  
 
- 153 - (e) Joint audits;  
(f) Review arrangements . 
The implementation of the omnibus decisions will be reviewed by the respective Conferences of the Parties in 2011. CoP -10 is scheduled for 17 -21 
October  2011 in Colombia.  
CoP-10 
Cartagena, 2011  
 
 The theme of the tenth meeting of the Conference of the Parties to the Basel Convention  was "Prevention, minimization and recovery of wastes ". In 
particular, decision BC - 10/15 on international cooperation and coordination requested the Secretariat to further strengthen cooperation and 
coordination with other international and regional organizations and multilateral environmental agreements in areas of releva nce to the Basel 
Convention, including  the WTO. Moreover, the same decision requested the Secretariat to follow -up on its observer status request with the Committee 
on Trade and Environment of the WTO and advise Parties in that respect.  
Ex CoP-2 / CoP -11 / 
High Level Segment,  
Geneva, 2013   → ExCoP -2: The Conferences of the Parties to the Basel, Rotterdam and Stockholm Conventions, at their second simultaneous extraordina ry meetings, 
reviewed the impact of the arrangements put in place by Parties in the 2011 "omnibus decisions", to strengthen synergies among these three treaties. 
The Parties endorsed the new organization of a single Secretariat, and adopted programmes of work and budgets for Convention -specific as well as 
joint activities corresponding to the biennium 2014 -2015.  
→ CoP-11: The Parties, in decisions BC -11/3, BC -11/4, BC -11/5 adopted a framework for the environmentally sound management (ESM) of hazardous 
wastes and other wastes, and agreed, over the next two years, to develop technical guidelines on transboundary movements of e lectronic and 
electrical wastes (e -waste). The Parties also adopted a decision (BC -11/8), setting out terms of reference for the newly established Environmental 
Network for Optimizing Regulatory Compliance on Illegal Traffic (ENFORCE), which aims at preventin g and combating illegal traffic in hazardous 
wastes and other wastes by means of the better implementation and enforcement of national law. They pledged to deepen coopera tion and 
collaboration as part of a broader effort to raise the profile of chemicals a nd waste issues, to promote green growth and to alleviate poverty.  
→ High Level Segment: The ordinary and extraordinary meetings of the conferences of the parties to the Basel, Rotterdam and Sto ckholm conventions 
included a high -level segment, which culmin ated to the adoption of the "Geneva Statement on the Sound Management of Chemicals and 
Waste s", as submitted by the co -facilitators of the informal consultations on a ministerial declaration. The Geneva Statement welcomed the UNEP -
led consultative process on financing options for chemicals and wastes that has considered the need for heightened effo rts to increase the priority 
granted to the sound management of chemicals and wastes. It also welcomed the completion of the negotiation of a global legal ly binding instrument 
on mercury, called for wider cooperation and expressed their interest and signal led readiness to cooperate and coordinate with the Minamata 
Convention  on Mercury .  
CoP-12 
Geneva, 2015  
 The Conference of the Parties to the Basel Convention, at its twelfth meeting, adopted 25 decisions, in particular on: e -waste technical guidelines, of 
seven POPs wastes technical guidelines, and of updated technical guidelines on mercury wastes, the follow -up to the Indonesian -Swiss country -led 
initiative, national reporting, Partnership for Action on Computing Equipment, among others.  
CoP-13 
Geneva, 2017  The Conference of the Parties to the Basel Convention, at its thirteenth meeting, adopted a number of important decisions, in  particular on the 
establishment of a new partnership on house -hold waste under the Basel Convention, and gave the mandate to begin tackling the issue of marine 
litter by including it in the programme of work of the Basel Convention 's Open -ended working group.  
 
COP-14 
Geneva, 2019  In May 2019, the Conference of the Parties to the Basel Convention adopted 29 decisions, including seven similar decisions in synergy with the 
Rotterdam and Stockholm Conventions ' respective Conferences of the Parties on issues such as international cooperation and coordination and the 
clearing -house mechanism for information exchan ge.  
Among the main outcomes, these decisions included the amendments to the annexes to the Basel Convention to include plastic wa ste, the 
establishment of a Partnership on Plastic Waste.  
12.3  Supportive measures  
→ UNEP administers two trust funds for the Basel Convention:  
1. A Trust Fund to meet the operational costs of the Convention (mainly costs of meetings of the Parties and for the Secretariat ) where contributions by Parties are based on the 
UN scale of assessment and;   
  WT/CTE/W/160/Rev.9 • TN/TE/S/5/Rev.7  
 
- 154 - 2. A Technical Cooperation Trust  Fund to assist developing countries and other countries in need of assistance to implement the Convention. Funds received are  from voluntary 
contributions  and may be earmarked by donors for specific activities.  
→ Basel has no specific financial mechanism to promote capacity building and to facilitate technology transfer.  
→ Capacity building is carried out by the fourteen Basel Convention Regional and Coordinating Centres (BCRCs), the Secretariat,  Parties and other stakeholders. The Secretariat 
also plays a facilitative role between donors, recipients and implementing agencies. With the adoption of the Basel Declaration on Envir onmentally Sound Management in 1999, 
efforts increased to assist Parties to minimize generation of hazardous and other wastes and t o manage these wastes in an environmentally sound manner. The C oP, at its sixth 
meeting in December 2002, adopted a Strategic Plan for the implementation of the Basel Convention to 2010, building on and us ing the framework of the 1999 Ministerial Basel 
Declaration on Environmentally Sound Management. Under the Strategic Plan the Parties approved US$1,200,000 for 21 projects b eing carried out by the BCRCs and the Parties.  
During C oP-10, Parties will consider the adoption of a Strategic F ramework 2012 -2021.for the implementation of the Basel Convention.  
→ At Co P-5, the Parties decided to enlarge the scope of the Technical Cooperation Trust Fund, on an interim basis, to assist those Par ties which are developing countries or countries 
with e conomies in transition in cases of emergency and compensation for damage resulting from incidents arising from the transbound ary movements of hazardous wastes or other 
wastes and their disposal. At COP6, the Parties adopted guidelines for the interim emerg ency mechanism. Contributions have been received for the interim emergency mechanism. 
The first and so far only request for assistance under this mechansim was received from, and granted to, Côte d 'Ivoire in 2006 in connection with the incident of toxic wa ste dumping 
in Abidjan which took place in August 2006.  
→ At Co P-7, Parties adopted a Ministerial Statement on Partnership for meeting the Global Waste Challenge that provides fundamental po licy direction to Parties and the other 
stakeholders, focusing on implementing life -cycle approach, integrated waste management and regional approaches for priority waste streams such as P oPs wastes, biomedical and 
healthcare wastes, electronic wastes, used lead -acid batteries and hazardous wastes mixed with hazardous wa stes. 
→ At CoP-8, the Parties took note of cost estimates provided by the Secretariat for a number of activities planned for 2007 -2008 aimed at addressing the priority waste streams 
identified by C oP-7, for funding through the Basel Convention Technical Cooperation Trust Fund. The implementation of these activities will, therefore, be dependent on funding 
through the Technical Cooperation Trust Fund or from external sources of funding. C oP-8 also called upon Parties, use and support the Basel Co nvention regional and coordinating 
centres in the implementation of activities aimed at supporting implementation of the Convention. A decision on resource mobi lization also called for increased efforts to identify 
sources of funding to support implementat ion of the Convention, including through the Global Environmental Facility and other multilateral sources of funding.  Several decisions 
adopted by C oP-8 highlighted the importance of cooperation and coordination between the Basel Convention, the Stockholm Convention and the Rotterdam Convention, in the 
conduct of relevant activities.  
→ At Co P-9, the Parties decided to enlarge the Technical Cooperation Trust Fund to establish an implementation fund in order to assist  developing countries facing difficulties in 
their implementation of the Convention. This implementation fund would be subsidized by voluntary contributions.  
→ At CoP-10, the Parties adopted the following relevant decisions:  
o BC-10/22 on "Implementation of decision V/32 on the enlargement of the scope of the Trust Fund to Assist Developing and Other Countries in Need of Technical Assistance 
in the Implementation of the Basel Convention";  
o BC-10/23 on "Capacity -building for the implementation of the Basel Convention";  
o BC-10/24 on "Implementation of the decisions of the Conference of the Parties on resource mobilization and sustainable financing"; and  
o in line with the Rotterdam and Stockholm Conventions, it decided to adopt financial rules, taking into account the terms of reference  set out in decision BC -6/41, for its 
operation and for the operation of its subsidiary bodies and the Convention Secretariat.  
→ At Co P-11/Ex CoPs-2, the Parties have among others agreed to strengthen capacity building and technical assistance activities by investing the savings realized over the past 
biennium into an enhanced technical assistance programme that better meets the needs of developing countries and countries wi th economies in transition. It also considered the 
facilitating of the f inancial resources for chemicals and wastes.  
→ At CoP -12, in the context of enhancing synergies between the Basel, Rotterdam and Stockholm Conventions, the Parties examined and ad opted an integrated programme for 
technical assistance and capacity building for the next biennium.  
→ At COP -13, the Parties have among others:  
o Adopted  the integrated Technical Assistance  plan for 2018 -2021,  for the Basel,  Rotterdam and Stockholm Conventions, requesting the Secretariat to implement it with 
relevant actors, and to t hat end, emphasized the role of regional centres, FAO offices, UNEP and other IOMC organizations ; 
o Approved the synchronised budgets for all  three conventions for 2018 -19, and i nvited the Executive Secretary to continue cooperating with the interim secretar iat of 
the Minamata Convention on programmatic matters and to provide any secretariat support that may be requested and is fully fun ded by the COP to the Minamata 
Convention ; 
o Established intersessional group to conduct the final evaluation of the strategic framework on the implementation of the Convention for 2012 -2021; 
o Adopted 6 updated or new tec hnical guidelines on POPs wastes .  
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- 155 - → At COP -14, the Parties, have adopted decisions on, among other things:  
o Technical assistance, taking note of the repor t on the implementation of the technical assistance plan for the period 2018 -2021 in the biennium 2018 -2019, inviting  
developing -country Parties and Parties with economies in transition to submit to the Secretariat, by 31 March 2020;    
o Programme of work and budget for the Basel Convention for the biennium 2020 –2021;  
o Technical guidelines on transboundary movements of electrical and electronic waste and used electrical and electronic equipme nt, in particular regarding the  distinction 
between waste and non -waste under the Basel Convention;  
o Five further sets of technical guidelines and guidance documents developed by subsidiary and expert bodies to the Convention . 
12.4  Non-compliance mechanism  
→ At CoP-6, Parties adopted a decision on the compliance mechanism which sets out a Mechanism for Promoting Implementation and Compliance. The Mechanism is  a 
non-confrontational, flexible and non -binding tool that aims at preventing and solving problems.  It will be administered by a Co mmittee composed of 15 members reflecting an 
equitable geographic representation of the five UN regional groups. Submissions to the Committee may be made by: a Party rega rding itself; one Party regarding another Party;  or 
the Secretariat. Submissions regar ding compliance are forwarded to the Party in question, who ma y 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 suppor t; elaboration 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 rec ommend that the COP take additional measures 
regarding specific cases.  
→ At Co P-7, Parties approved the Committee 's first work programme, for 2005 -2006, which instructed to the Committee to, in the exercise of its general review power, identify 
and analyse difficultes relating to reporting obligations under the Convent ion, the designation of focal points and competent authorities, and the development of national legislation 
to effectively implement the Convention. During the biennium 2005 -2006, the Committee also provided guidance to the Secretariat in the preparation o f a national legislation 
checklist, aimed at assisting Parties to ensure that they have appropriate implementing legislation in place.  
→ The results of the implementation of the work programme f or 2005 -2006 were reported to CoP -8. CoP-8 approved the work p rogramme for the Compliance Committee for 2007 -
2008 which, under the general review power, involved (a) further work on the national reporting, with a view to providing gui dance on how national reporting could be improved, 
given that it underpins the opera tion of the Convention, and (v) work on the issue of illegal traffic.  
→ At Co P-9, Parties approved the Committee 's work programme, for 2009 -2011, which instructed to the Committee to address existing shortcomings and limitations in relation to 
the lack of specific submissions to the Committee, with a view to developing recommendat ions for the consideration of Co P-10 the Conference of the Parties at its tenth meeting on 
appropriate actions to address those shortcomings and limitations. The Committee was also  instructed to undertake several activities with the goal of improving national reporting 
as well as the implementation of and compliance with specific obligations under articles 3 (national definition of hazardous wastes) 4, (general obligations), 5  (designation of 
Competent Authorities and Focal Point) and 6 (transboundary movements between Parties). Since C oP-9, the Committee has elaborated a directory of institutions providing training 
on preventing and combating illegal traffic and a Guidance Manual on  improving national reporting.  
→ At Co P-10, Parties approved the Committee 's work programme for 2012 -2013.  
→ At Co P-11, Basel Convention's Parties approved the Committee's work programme for 2014 -2015.  
→ At CoP -12, Parties approved the Committee 's work programme for 2016 -2017.  
→ At CoP -13, Parties approved the Committee 's work programme for 2018 -2019; and adopted guidance on implementation of the Convention provisions dealing with illegal traffic.  
→ At CoP -14, Parties approved the Committee 's work programme for 2020 -2021.   
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- 156 - 12.5  Dispute  settlement mechanism  
Article 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 prot ocol 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 t he Parties to the dispute agree, shall be 
submitted to the [ICJ] or to arbitration under the conditions set out in Annex VI on Arbi tration. However, failure to reach common agreement on submission of the dispute to the 
ICJ or to 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 acceding to this Convention, or at any time thereafter, a State or po litical and/or economic integration 
organization may declare that it recognizes as compulsory ipso facto and without special agreem ent, in relation to any Party accepting the same obligation:  
(a) submission  of the dispute to the [ICJ]; and/or  
(b) arbitration in accordance with the procedures set out in Annex VI.  
Such declaration shall be notified in writing to the Secretariat which shall communicate it to the Parties".  
→ In the event that arbitration is the chosen method (Annex VI), the tribunal is to draw up its own rules of procedure and rend er its decision in accordance with international law 
and with the provisi ons of the Convention. It may take all appropriate measures to establish the facts of the dispute and shall render a decision  within a specified time limit. The 
award of the arbitral tribunal shall be accompanied by a statement of reasons and be final and binding on the Parties to the dispute.  
12.6  Provisions for non -parties  
Article 4 – General Obligations  
"... 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".  
Article 7 – Transboundar y 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, Multilateral and Regional Agreements  
"1. Notwithstanding the provisions of Article 4 paragraph 5, Parties may enter into bilateral, multilateral, or regional agreements or arrangements regarding transboundary 
movement of hazardous wastes or other wastes with Parties or non -Parties provided that such agreements or arrangements do not derogate from the environme ntally sound 
management of hazardous wastes and other wastes as required by this Convention. These agreements or arrangements shall stipul ate provisions which are not less environmentally 
sound than those provided for by this Convention in particular takin g 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 par agraph 1 and those which they have entered into 
prior to the entry into fo rce of this Convention for them, for the purpose of controlling transboundary movements of hazardous wastes and other wastes which take place entirely 
among the Parties to such agreements. The provisions of this Convention shall not affect transboundary mo vements which take place pursuant to such agreements provided that 
such agreements are compatible with the environmentally sound management of hazardous wastes and other wastes as required by this Convention".  
→ Parties can consent to transboundary  movemen ts with non -parties provided the provisions in the Convention are met.  
  
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- 157 - 13  ROTTERDAM CONVENTION ON THE PRIOR INFORMED CONSENT PROCEDURE FOR CERTAIN HAZARDOUS CHEMICALS AND PESTICIDES IN 
INTERNATIONAL TRADE  
13.1  Brief description of the MEA  
Website  http://www.pic.int/  
http://synergies.pops.int/  
Objective  Article 1 – Objective  
"The objective of the Rotterdam Convention is to promote shared responsibility and cooperative efforts among Parties in the international trade of certain 
hazardous chemicals in order to protect human health and the environment from potential harm and to contribute to their envir onmentally sound use, by 
facilitating information exchange about their characteristics, by providing for a national decision -making process on their import and export and by 
disseminating these decisions to Parties".  
Date of Signature  10 September 1998  
Entry into Force  24 February 2004  
Parties  164 Parties (as of 10 February 2021).  See official list maintained by the Depositary i.e. the United Nations (UN) Treaty Section, for the UN Secretary 
General, in New York here. 
WTO Members  145 Parties to the Rotterdam Convention are also WTO Members  (see Annex ). 
Openness of 
Membership  Article 24 – Signature  
"This Conventi on shall be open for signature ... by all States and regional economic integration organizations [from 11 -12 September 1998 until 
10 September 1999]".  
Article 25 – Ratification, acceptance, approval or accession  
"1. This Convention shall be subject to rati fication, acceptance or approval by States and by regional economic integration organizations. It shall be 
open for accession by States and by regional economic integration organizations from the day after the date on which the Conv ention is closed for sig nature. 
Instruments of ratification, acceptance, approval or accession shall be deposited with the Depositary.  
2. Any regional economic integration organization that becomes a Party to this Convention without any of its member States being  a Party shall be  
bound by all the obligations under the Convention. In the case of such organizations, one or more of whose member States is a  Party to this Convention, 
the organization and its member States shall decide on their respective responsibilities for the perfor mance of their obligations under the Convention. In 
such cases, the organization and the member States shall not be entitled to exercise rights under the Convention concurrently  ..." 
Decision -Making 
Bodies  Article 18 – Conference of the Parties  
"... 
5. The Conference of the Parties [C oP] shall keep under continuous review and evaluation the implementation of this Convention. It shall 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 implementation of the 
Convention;  
(b) Cooperate, where appropriate, with competent international organizations and intergovernmental and non -governmental bodies; and  
(c) Consi der and undertake any additional action that may be required for the achievement of the objectives of the Convention.  
6. The [C oP] shall, at its first meeting, establish a subsidiary body, to be called  the Chemical Review Committee,  for the purposes of per forming 
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 [C oP]. Membership of the Committee shall consist of a limited number 
of government -designated ex perts 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 [C oP] 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 exh austed, and no 
consensus reached, such recommendation shall as a last resor t be adopted by a two -thirds majority vote of the members present and voting".   
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- 158 - → In decisions RC -1/6 and RC -1/7, the C oP, at its first meeting, respectively established the Chemical Review Committee (CRC) and adopted the "rules 
and procedures for preventin g and dealing with conflicts of interest relating to the activities of the Chemical Review Committee".  
Amendments and 
Protocols  Article 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 [C oP]. The text of any proposed amendment shall be communicated to the 
Parties by the Secretariat at least six months before the meeting at which it is proposed for adoption. The Secretaria t 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 any proposed amendment to this 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 Parties present 
and voting at the meeting.  
4. The amendment shall be communicated by the Depositary to al l 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 ac cepted it on the ninetieth day after the date of deposit of instruments 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  the ninetieth day after the 
date on which that Party deposits its instrument of ratification, acceptance or approval of the amendment".  
 
→ At its first meeting , in Decision RC -1/11 of 24 September 2004, the C oP adopted Annex VI on the settlement of disputes.  
→ At is first, fourth, fift h, sixth, seventh, eighth and ninth meetings, the C oP further amended Annex III to add new chemicals subject to the prior informed 
consent procedure . 
13.2  Trade-related measures  
13.2.1   Provisions of the convention  
Preamble  "The Parties to this Convention,  
Aware of the harmful impact on human health and the environment from certain hazardous chemicals and pesticides in international trade ,  
(...) 
…Recognizing that trade and environmental policies should be mutually supportive with a view to achieving sustainable deve lopment,  
Emphasizing that nothing in this Convention shall be interpreted as implying in any way a change in the rights and obligation s of a Party under any 
existing international agreement applying to chemicals in international trade or to environmental p rotection,  
Understanding that the above recital is not intended to create a hierarchy between this Convention and other international ag reements,  
Determined to protect human health, including the health of consumers and workers, and the environment against  potentially harmful impacts from 
certain hazardous chemicals and pesticides in international trade ...". 
Articles 5, 6, 7 and 9  
 → Set out the procedures for i) inclusion of relevant chemicals to list in Annex III that are subject to the Prior Informed C onsent, and ii) removal of 
chemicals from 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 notification 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 ef fect, and 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 Guidelines or the 
International Code of Conduct need not resubmit those notifications.  
3. The Secretariat shall, as soon as possible, and in any event no later than six months after receipt of a notification under p aragraphs 1 and 2, 
verify whether the not ification contains the information required by Annex I. If the notification contains the information required, the Secretaria t shall 
forthwith forward to all Parties a summary of the information received. If the notification does not contain the informatio n required, it shall inform 
the notifying Party accordingly.   
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- 159 - 4. The Secretariat shall every six months communicate to the Parties a synopsis of the information received pursuant to paragrap hs 1 and 2, 
including information regarding those notifications whi ch do not contain all the information required by Annex I.  
5. When the Secretariat has received at least one notification from each of two Prior Informed Consent regions regarding a parti cular chemical 
that it has verified meet the requirements of Annex I,  it shall forward them to the Chemical Review Committee. The composition of the Prior Informed 
Consent regions shall be defined in a decision to be adopted by consensus at the first meeting of the [CoP].  
6. The Chemical Review Committee shall review the information provided in such notifications and, in accordance with the criteri a set out in 
Annex  II, recommend  to the [CoP] whether the chemical in question should be made subject to the Prior Informed Consent  procedure and, 
accordingly, be listed in Annex III".  
Article 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 territory, may propose to the Secretariat the listing of the s everely hazardous pesticide 
formulation in Annex III. In developing a proposal, the Party may draw upon technical expertise from any relevant source. The proposal shall contain 
the information required by part 1 of Annex IV.  
2. The Secretariat shall, as soon as possible, and in any event no later than six months after receipt of a proposal under paragraph 1, verify 
whether the proposal contains the information required by part 1 of Annex IV. If the proposal contains the information required, the Secr etariat shall 
forthwith forward to all Parties a summary of the information received. If the proposal does not contain the informat ion required, it shall inform the 
proposing Party accordingly.  
3. The Secretariat shall collect the additional information set out in part 2 of Annex IV regarding the proposal forwarded under paragraph  2. 
4. When the requirements of paragraphs 2 and 3 abov e have been fulfilled with regard to a particular severely hazardous pesticide formulation, 
the Secretariat shall forward the proposal and the related information to the Chemical Review Committee.  
5. The Chemical Review Committee shall review the informati on provided in the proposal and the additional information collected and, in 
accordance with the criteria set out in part 3 of Annex IV, recommend to the [CoP] whether the severely hazardous pesticide f ormulation in question 
should be made subject to the P rior Informed 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 decided 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, as 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 regulatory action applies.  
2. The recommendation referred  to in paragraph 1 together with the draft decision guidance document shall be forwarded to the [CoP]. The 
[CoP] shall decide whether the chemical should be made subject to the P rior Informed Consent procedure 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 taken and the related decision guidance document has been approve d by the [CoP], 
the Secretariat shall forthwith communicate this information to all Parties".  
Article 8  
Chemicals in the Volun -
tary Prior Informed 
Consent Procedure  "For any chemical, other than a chemical listed in Annex III, that has been included in the voluntary Prior Informed Consent procedure before the 
date of the first meeting of the [CoP], the [CoP] shall decide at that meeting to list the chemical in Annex III, provided th at it is satisfied that all the 
requirements for listing in t hat Annex have been fulfilled".  
Article 9  
Removal of Chemicals 
from Annex III  "1. If a Party submits to the Secretariat information that was not available at the time of the decision to list a chemical in An nex III and that 
information indicates that its listing may no longer be justified in accordance with the relevant criteria in Annex II or, as the 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 Chemical Review 
Committee decides, in accordance with the relevant criteria in Annex II or, as the case may be, Annex IV, to recommend for re moval from Annex  III, 
it shall prepare a revi sed draft decision guidance document.  
3. A recommendation referred to in paragraph 2 shall be forwarded to the [CoP] and be accompanied by a revised draft decision gu idance 
document. The [CoP] 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 approv ed by the 
[CoP], the Secretariat shall forthwith commun icate this information to all Parties".  
→ Sets out the procedure for removing a chemical from the list contained in Annex III.   
  WT/CTE/W/160/Rev.9 • TN/TE/S/5/Rev.7  
 
- 160 - Articles 10, 11, 12, 13  Oligations relating to the import and/or export of i) chemicals listed in Annex III, and ii) chemicals that are banned or severely restricted by a Party 
but not listed in Annex III.  
Article 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 the import of chemicals 
listed in Annex III.  
2. Each Party shall transmit to the Secretariat, 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 c oncerned. If a Party 
modifies this response, it shall forthw ith 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 provide d 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 to 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 consenti ng to import with or without specified conditions,  or not consenting to import during the interim period;  
(ii) A statement that a final decision is under active consideration;  
(iii) A request to the Secretariat, or to the Party that notified the final regu latory 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 chemica l 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 force of this Convention for it, transmit to the Secretariat res ponses with respect to each 
chemical listed in Annex III. A Party that has provided such responses under the Amended London Guidelines or the Internation al Code of Conduct 
need not resubmit those responses.  
8. Each Party shall make its responses under this  Article available to those concerned within its jurisdiction, in accordance with 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 mak e subject to the same 
conditions:  
(a) Import of the chemical from any source; and  
(b) Domestic production o f 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 bas ed, where available. The Secretariat shall, in addition, 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 acc ordance 
with paragraph 10 of Article 10 to those concerned within its jurisdiction;  
(b) Take appropriate legislative or administrat ive measures to ensure that exporters within its jurisdiction comply with decisions in each response 
no later than six months after the date on which the Secretariat first informs the Parties of such response in accordance wit h paragraph 10 of 
Article 10;  
(c) Advise and assist importing Parties, upon request and as appropriate:  
(i) To obtain further information to help them to take action in accordance with paragraph 4 of Article 10 and paragraph 2 (c ) below; and  
(ii) To strengthen their capacities and capa bilities 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, i n exceptional 
circumstances, has failed to transmit a response or h as transmitted an interim response that does not contain an interim decision, unless:   
  WT/CTE/W/160/Rev.9 • TN/TE/S/5/Rev.7  
 
- 161 - (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 previo usly been used in, or imported into, the importing Party and in relation to which 
no regulatory action to prohibit its use has been taken; or  
(c) Explicit consent to the import has been sought and received by the exporter through a designated national auth ority of the importing Party. 
The importing Party shall respond to such a request within sixty days and shall promptly notify the Secretariat of its decisi on. 
The obligations of exporting Parties under this paragraph shall apply with effect from the expira tion of a period of six months from the date on which 
the Secretariat first informs the Parties, in accordance with paragraph 10 of Article 10, that a Party has failed to transmit  a response or has transmitted 
an interim response that does not contain an i nterim 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 corresponding  final regulatory 
action. Thereafter, the expor t notification shall be provided before the first export in any calendar year. The requirement to notify before export may 
be waived by the designated national authority of the importing Party.  
3. An exporting Party shall provide an updated export notifica tion 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 t he final regulatory action. If the 
exporting Party does not receive the acknowledgement within thirty days of the dispatch of the export notification, it shall submit a second notification.  
The exporting Party shall make reasonable efforts to ensure that t he importing Party receives the second notification.  
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 i n accordance with paragraph 2 of Article 10;  and 
(c) The Secretariat has distributed the response to the Parties in accordance with paragraph 10 of Article 10".  
Article 13  
Information to 
Accompany Exported 
Chemicals  "1. The COP shall encourage the World Customs Organization to assign specific Harmonized System customs codes 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 that 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 II I and chemicals 
banned or severely restricted in its territory are, when exported, subject to labelling requirements that ensure adequate availability of information 
with regard to risks and/or hazards to human health or the environment, 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 labelling requirements that ensure adequate availabili ty of information wi th 
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 that 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 practicabl e, be given in one or more of the official languages of 
the importing Party".  
Article 15  
Implementation of the 
Convention  "1. Each Party shall take such measures as may be necessary to establish and strengthen its national infrastructures and institut ions for the 
effective implementation of this Convention. These measures may include, as required, the adoption or amendment of national l egislative or 
administrative measures and may also include:  
(...) 
2. Each Party shall ensure, to the extent practicable, t hat the public has appropriate access to information …  
3. The Parties agree to cooperate, directly or, where appropriate, through competent international organizations, in the impleme ntation of this 
Convention  
4. Nothing in this Convention shall be interpreted as restricting the right of the Parties to take action that is more stringently protective of human 
health and the environment than that called for in this Convention, provided that such action is consistent with the provisio ns of this Conventi on and 
is in accordance with international law".   
  WT/CTE/W/160/Rev.9 • TN/TE/S/5/Rev.7  
 
- 162 - 13.3  Main COP decisions on the linkage between the Secretariat of the Rotterdam Convention and the WTO  
Decision RC -1/15  
Cooperation with the 
WTO  
(2004)  "The Conference of the Parties  ... 
1. Welcomes  the enhanced cooperation between the secretariat of the Convention and the World Trade Organization;  
2. Requests the secretariat:  
(a) To seek observer status in the CTE in Special Session of the WTO and inform Parties when the request has been submitted and when it has 
been granted;  
(b) To report to the C oP on any meetings of the WTO that it attends, any substantive contacts that it has with the secretariat of the WTO and 
any general or factual information provided to or any other information requested by the secretariat of the WTO  or any other body of the WTO;  
(c) To ensure that at all times it does not provide an interpretation of the provisions of the Convention;  
(d) To monitor developments in the CTE in Special Session and report on such de velopments to the C oP; 
(e) To reflect on ways of enhancing information flows on matters of common interest with the WTO; ...".  
 
→ At the invitation of the CTESS, the Secretariat of the Convention participated as an ad hoc observer in the Special Session on  14 October 2005, 
21-22 February 2006, and on 6 -7 July 2006.  
→ At COP 3, the Secretariat of the Convention highlighted some of the progress made on the implementation of Decision RC -1/15.  
Decision RC -4/10  
Cooperation with the 
WTO  
(2008)  "The [C oP] (...) Requests the secretariat, while continuing to follow up the request for observer status in the World Trade Organization 's Committee 
on Trade and Environment in Special Session, to seek observer status in the Organization 's Committee on Trade and Envi ronment, as that Committee 
is the standing body of the World Trade Organization mandated to discuss trade and environment issues in regular sessions, an d to inform Parties 
when the request has been submitted and when it has been granted".  
Decision RC -5/13  
Cooperation with the 
WTO  
(2011)  The Conference of the Parties to the Rotterdam Convention, taking note of the progress made in the implementation of Decision RC -1/15 on 
cooperation between the Secretariat and the World Trade Organization:  
"1. Requests  the Secretariat to communicate with the World Trade Organization with a view to achieving continued participation by the 
Secretariat in the meetings of the Committee on Trade and Environment in Special Session of the Organization on a meeting -by-meeting basi s; 
2. Also requests the Secretariat to continue to follow up on its application for observer status with the Committee on Trade and Environment 
of the World Trade Organization and to report on the status of that application to the Conference of the Parties  at its sixth meeting;  
3. Invites parties to coordinate at the national level in order to promote mutual supportiveness between trade and environment policies,  and 
to support the request for observer status, as appropriate".  
ExCOPs -2/COP -6/High 
Level Segment  
(2013)  → ExCOP -2: The Conferences of the Parties to the Basel, Rotterdam and Stockholm Conventions, at their second simultaneous extraordinary meetings, 
reviewed the impact of the arrangements put in place by Parties in the 2011 "omnibus decisions", to strengthen synergies  among these three treaties.  
The Parties endorsed the new organization of a single Secretariat, and adopted programmes of work and budgets for Convention -specific as well as 
joint activities corresponding to the biennium 2014 -2015.  
→ CoP-6: The Parties re called the previously adopted decisions on cooperation with the WTO (in particular  RC-1/15), took note of the further progress 
in implementing them, and required to continue to enhance cooperation with the WTO, to  monitor the work of the WTO, in particular  the CTESS and 
CTE, and to follow - up on its application for observer status. Also, some Parties expressed and called upon more trade and environment -related 
activities between the WTO and the Secretariat.  
→ High Level Segment: The ordinary and extraordina ry meetings of the conferences of the parties to the Basel, Rotterdam and Stockholm conventions 
included a high -level segment, which culminated to the adoption of the "Geneva Statement on the Sound Management of Chemicals and Waste s", as 
submitted by the co -facilitators of the informal consultations on a ministerial declaration. The Geneva Statement welcomed the UNEP -led consultative 
process on financing options for chemicals and wastes that has considered the need for heightened effo rts to increase the priority granted to the 
sound management of chemicals and wastes. It also welcomed the completion of the negotiation of a global legally binding inst rument on mercury, 
called for wider cooperation  and expressed their interest and signal led readiness to cooperate and coordinate with the Minamata Convention  on 
Mercury. In that respect, the Conference of the Plenipotentiaries of the Minamata Convention, was invited to consider coopera tion and coordination 
with the BRS Conventions.   
  WT/CTE/W/160/Rev.9 • TN/TE/S/5/Rev.7  
 
- 163 - COP-7 
(2015)  In the context of enhancing synergies between the Basel, Rotterdam and Stockholm Conventions, Parties took note of the integr ated report, common 
to the three Conventions, presented by the Secretariat on its international cooperation and coordi nation activities, in which the specific cooperation 
with the WTO was included and addressed. On this occasion, Parties emphasized the importance of enhancing cooperation and coo rdination with 
other international bodies, in particular within the chemicals and wastes cluster, for the fulfilment of the objectives of the Conventions. Therefore, 
Parties requested the Secretariat to continue such cooperative and coordinated activities with other international bodies, in cluding with the WTO, in 
areas of relevance  to them such as those listed in the aforementioned report; report on them will occur again at the next meeting of the Confere nces 
of the Parties. See decision RC -7/9 on "international cooperation and coordination ". 
COP-8 
(2017)  In the context of enhancing synergies between the Basel, Rotterdam and Stockholm Conventions, Parties took note of the integrated report, commo n 
to the three Conventions, presented by the Secretariat on its international cooperation and coordination activities, in which  the specific cooperation 
with the WTO was included and addressed.  
COP-9 
(2019)  In decision RC -9/9 on international c ooperat ion and coordination, the Confer ence o f the Parties took note of the report by the Secretariat on 
international cooperation and coordination during the period 1 January 2017 –31 December 201819, in which the specific cooperation with the WTO 
was included and addressed. Parties requested the Secretariat to continue to enhance such cooperative and  coordinated activities with other 
international bodies, incl uding with the WTO, in areas of relevance to th e Basel, Rotterdam an d Stockh olm Conventions, such as those listed in the 
aforementioned repor t; report on them will occ ur again  at the next meetin g of the Conferences of the Parties in 2021 or 2022 (postponed due to 
the pandemic).  
 
13.4  Supportive measures  
Article 11 – Obligations in relation to exports of chemicals listed in Annex III  
"1. Each export ing Party shall   (…)     
  (c) Advise and assist importing Parties, upon request and as  appropriate:  
  (i) To obtain further information to help them to take action 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 ..."  
 
Article 16 – Technical  assistance  
"The Parties shall, taking into account in particular the needs of developing countries and countries with economies in trans ition, cooperate in promoting technical assistance for 
the development of the infrastructure and the capacity necessary to manage chemicals to enable implementation of this Convention. Parties with more advanced programmes for 
regulating chemicals should provide technical assistance, including training, to other Parties in developin g their infrastructure and capacity to manage chemicals throughout their 
life-cycle".  
 
→ Since 1998, the Secretariat  has conducted a series of subregional workshops. Initially these workshops focused on awareness raising; however, since 2004,  the focus has been 
on providing training in the practical implementation of the Rotterdam Convention. In addition, the Secretaria t has organized trainer workshops designed to familiarize selected 
regional experts with the detailed workings of the Rotterdam Convention. These trained regional experts in turn participate i n the Convention workshops as facilitators and 
presenters, and a lso work with designated national authorities in individual countries within their region to address specific problems in the  implementation of the Convention. The 
Secretariat has also developed a guide and case studies on the development of national laws to implement the Convention, plans for the implementation of chemicals -related MEAs, 
and a resource kit to provide comprehensive information on the Convention to stakeholders as well as other tools and guidance  documents that are available to Parties throu gh 
workshops - which have focused on more specific issues and programmes, such as synergies, customs, indu strial chemicals, etc. - and also published on the Rotter dam Convention 's 
website.  
→ In the final decision, at its third meeting in October 2006 (UNEP /FAO/RC/COP.3/CRP.10), the C oP requested Parties to contribute to the voluntary trust fund in support of technical 
assistance and adopted the 2007 -2008 programme of work for the regional and national delivery of technical asssitance activities.  
 
19 UNEP/CHW.14/INF/36 –UNEP/FAO/RC/COP.9/INF/29 –UNEP/POPS/COP.9/INF/38.   
  WT/CTE/W/160/Rev.9 • TN/TE/S/5/Rev.7  
 
- 164 - → In Octobe r 2008, the C oP 4 requested the Parties "in a position to do so to contribute to the Convention 's Voluntary Special Trust Fund in support of technical assistance activities" 
and the Secretariat to support the activities as contained in the programme for th e regional and national delivery of technical assistance for 2009 -2011 (Decision RC -4/9) "as 
available resources allow and in accordance with Decision RC -4/12 on Financing and Budget for the Triennium 2009 -2011".  
→ In June 2011, at C oP-5, Parties adopted Decision RC-5/10 a technical assistance workplan for the biennium 2012−2013, Decision RC -5/11 on the progress made in the 
implementation of Decision RC -3/5 on possible options for lasting and sustainable financial mechanisms, as well a s Decision RC -5/14 for the financing and budget for the biennium 
2012–2013.  
→ At CoP-6/ExC oPs-2, the Parties have among others agreed to strengthen capacity building and technical assistance activities by investing the sav ings realized over the past 
biennium into an enhanced technical assistance programme that better meets the needs of developing countries and countries wi th economies in transition. It also considered the 
facilitating of the financial resources for chemicals and wastes.  
→At CoP -7, in the context of enhancing synergies between the Basel, Rotterdam and Stockholm Conventions, the Parties examined and adopted a n integrated programme for 
technical assistance and capacity building for the next biennium.  
→ At CoP -8, Parties, among others:  
- adopted  the integrated Technical Assistance  plan for 2018 -2021,  for the Basel,  Rotterdam and Stockholm Conventions, requesting the Secretariat to implement it with 
relevant actors, and to that end, emphasized the role of regional centres, FAO offices, UNEP and other IOMC organizations ; 
- approved the synchronised budgets for all  three conventions for 2018 -19, and i nvited the Executive Secretary to continue cooperating with the interim secretariat of the 
Minamata Convention on programmatic matters and to prov ide any secretariat support that may be requested and is fully funded by the COP to the Minamata Convention.  
→ At CoP -9, Parties, in decision RC -9/8, among other things, took note of the report on the implementation of the technical assistance plan for the period 2018 –2021 in the 
biennium 2018 –2019 and the work carried out on monitoring and evaluation; and invited  developing -country Parties and Parties with economies in transition to submit to the 
Secretariat, by 31 March 2020, information  on their needs for technical assistance and technology transfer.   
 
13.5  Non-compliance mechanism  
Article 17 – Non-compliance  
"The C oP shall, as soon as practicable, develop and approve procedures and institutional mechanisms for determining non -compliance with the provisions of this Convention and 
for treatment of Parties found to be in non-compliance".  
 
→ The C oP has been discussing the non -compliance mechanisms required under Article 17 since its first meeting in 2004. At its third meeting in October 2006, the Pa rties established 
a working group to further discuss the mechanisms and pro cedures for non -compliance but no consensus was reached on the text.20 The Parties agreed to use the draft text that 
resulted from the working group as the basis for further work at the fourth meeting of the C oP.  
→ At the fourth meeting of the C oP in Octo ber 2008, the Parties convened to further consider  for adoption the procedures and institutional mechanisms on non -compliance required 
under Article 17 based on the draft text (Decision RC -4/7): 
"The C oP (…)  
1. Decides  to consider further at its next ordin ary meeting for adoption the procedures and institutional mechanisms on non -compliance required under article  17 of the 
Convention;  
2. Decides also that the draft text contained in the annex to the present decision shall be the basis for its further work o n the procedures and institutional mechanisms at its 
fifth meeting [in June 2011]."  
→ At the subsequent meetings of the C oP held in 2011 , 2013, 2015, and 2017  efforts to adopt non -compliance procedures and mechanism s, did not succeed and this matter w as 
therefore considered again at the meeting of the Conference of the Parties in 2019, at which these procedures and mechanisms were finally adopted.   
 
20 The issues that are particularly contentious include: membership, open versus closed meetings, the decision -making process, triggers for the non -compliance procedure, 
and possible measures to address non -compliance.    
  WT/CTE/W/160/Rev.9 • TN/TE/S/5/Rev.7  
 
- 165 - 13.6  Dispute  settlement mechanism  
Article 20 – Settlement of disputes  
"1. Parties shall settle any dispute between them concerning the interpretation or application of this Convention through negotia tion or other peaceful means of their own choice.  
2. When rati fying, accepting, approving or acceding to this Convention, or at any time thereafter, a Party that is not a regional economi c integration organization may declare in 
a written instrument submitted to the Depositary that, with respect to any dispute concer ning the interpretation or application of the Convention, it recognizes one or both of the 
following means of dispute settlement as compulsory in relation to any Party accepting the same obligation:  
(a) Arbitration in accordance with procedures to be adopt ed by the [C oP] in an annex as soon as practicable; and  
(b) Submission of the dispute to the [ICJ].  
3. A Party that is a regional economic integration organization may make a declaration with like effect in relation to arbitrati on 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 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 befo re an arbitral tribunal or the [ICJ] unless the parties 
to the dispute otherwise agree.  
6. If the parties to a dispute have not  accepted the same or any procedure pursuant to paragraph 2, and if they have not been able to settle their dispute within twe lve months 
following notification by one party to another that a dispute exists between them, the dispute shall be submitted to a conciliation commission at the request of any party to the 
dispute. The conciliation commission shall render a report with recommendations.  Additional procedures relating to the conciliation commission shall be included in an annex to be 
adopted by the [C oP] no later than the second meeting of the Conference".  
→ In Decision RC -1/11, C oP 1 established rules for the settlement of disputes:  
− In cases of Arbitration under Article 20 paragraphs 1 -5, an Arbitration Tribunal shall be established, consisting of three members, which renders a decision within five months 
of being fully constituted. The decision is binding between the Parties to the dispute and Parties intervening under Article 10, insofar as it relates to matters in respect of which 
that Party intervened. The award shall be without appeal unless the Parties to the dispute have agreed in advance to an appell ate procedure.  
− In cases of conciliation under Article 20 paragraph 6, a conciliation commission shall be established composed of fi ve members. It shall take its decision by majority vote of its 
members and shall render a report for the resolution within 12  months of being established.  
13.7  Provisions for non -parties  
Article 10 – Obligations in relation  to imports of chemicals listed in An nex 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 th e same conditions:  
(a) Import of the chemical from any source ...".  
  
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- 166 - 14  STOCKHOLM CONVENTION ON PERSISTENT ORGANIC POLLUTANTS  
14.1  Brief description of the MEA  
Website  http://www.pops.int/  
http://synergies.pops.int/  
Objective  → "Mindful of the precautionary approach as set forth in Principle 15 of the Rio Declaration on Environment and Development, the  objective of this 
Convention is to protect human health and the environment from persistent organic pollutants" ( Article 1 ). 
→ The aim of the Convention is to reduce or eliminate the release of Persistent Organic Pollutants (POPs) into the environment.   
Date of Signature  22 May 2001  
Entry into force  17 May 2004  
Parties  184 Parties  (as of 10 February 2021) . See official list maintained by the Depositary i.e. the United Nations (UN) Treaty Section, for the UN Secretary 
General, in New York  here. 
WTO Members  154 Parties to the Rotterdam Convention are also WTO Members (see  Annex ). 
Openness of 
Membership  Article 24 – Signature  
"This Conventi on shall be open for signature ... by all States and regional economic integration organization s [from 23 -24 May 2001 until 22  May 2002] 
". 
Article 25 – Ratification, acceptance, approval or accession  
"1. This Convention shall be subject to ratification, acceptance or approval by States and by regional economic integration organ izations. It shall be 
open for accession by States and by regional economic integration organizations from the day af ter the date on which the Convention is closed for 
signature. Instruments of ratification, acceptance, approval or accession shall be deposited with the Depositary  
2. Any regional economic integration organization that becomes a Party to this Convention wi thout any of its member States being a Party shall be 
bound by all the obligations under the Convention. In the case of such organizations, one or more of whose member States is a  Party to this Convention, 
the organization and its member States shall decid e on their respective responsibilities for the performance of their obligations under the Convention. In 
such cases, the organization and the member States shall not be entitled to exercise rights und er the Convention concurrently ...". 
Decision -Making 
Bodies Article 19 – Conference of the Parties  
"... 
5. The Conference of the Parties [C oP] shall keep under continuous review and evaluation the implementation of this Convention. It shall perform 
the functions assigned to it by the Convention and, to this en d, shall:  
(a) Establish, further to the requirements of paragraph 6, such subsidiary bodies as it considers necessary for the implement ation of the Convention;  
(b) Cooperate, where appropriate, with competent international organizations and intergovernment al and non -governmental bodies; and  
(c) Regularly review all information made available to the Parties pursuant to Article 15, including consideration of the eff ectiveness of 
paragraph  2 (b) (iii) of Article 3;  
(d) Consider and undertake any additional act ion that may be required for the achievement of the objectives of the Convention.  
6. The [C oP] shall, at its first meeting, establish a subsidiary body  to be called the Persistent Organic Pollutants 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 [C oP]. Membership of the Committee shall 
consist of government -designated experts in chemical assessment or management. The members of the Committee shall be appointed on the basis 
of equitable geographical distribution;  
(b) The [C oP] 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 ex hausted, and no 
consensus reached, such recommendation shall as a l ast resort be adopted by a two -thirds majority vote of the members present and voting.   
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- 167 - 7. The [C oP] shall, at its third meeting, evaluate the continued need for the procedure contained in paragraph 2 (b) of Article 3, incl uding 
consideration of its effecti veness.  
(...)". 
 
→ In decisions SC -1/7 and SC -1/8, the C oP, at its first meeting, respectively established the Persistent Organic Pollutants Review Committee  (POPRC) 
and adopted the "rules and procedures for preventing and dealing with conflicts of interest relating to the activities of the  Persistent Organic Pollutants 
Review Committee ". 
Amendments and 
Protocols  Article 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 [C oP]. The text of any proposed amendment shall be communicated to the 
Parties by the Secretariat at least six months before t he 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 any proposed amendment to this Convention by consensus. If all efforts 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 Parties 
present and voting.  
4. The amendm ent 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 accepted it on the ninetieth day after the date of deposit of instruments of ra tification, acceptance 
or approval by at least three -fourths of the Parties. Thereafter, the amendment shall enter into force for any other Party on the ninetieth day after the 
date on which that Party deposits its instrument of ratification, acceptance or approval of the amendment".  
 
→ At its first meeting , in Decision SC -1/2 of 24 September 2004, the C oP adopted Annex G on arbitrat ion and conciliation procedures for the settlement 
of disputes.  
→ At is fourth, fifth , sixth, seventh, eighth and nin eth meetings , the C oP further amended Annexes A, B and C to add new P oPs. 
14.2  Trade-related measures  
Preamble  "The Parties to this Convention,  
(...)  
… Recognizing that this Convention and other international agreements in the field of trade and the environment are mutually supportive ...". 
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 mea sures 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  Annex B for which 
any production or use specific exemption or acceptable purpose is in effect, taking in to account any relevant provisions in existing 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 certifi cation shall specify 
the intended use of the chemical and include a statement that, wit h respect to that chemical, the importing State is committed to:   
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- 168 - 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 a ppropriate, 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, o r administrative or 
policy guidelines. The exporting Party sh all transmit the certification 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 partic ular chemical, a State 
or regional economic integrati on 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 m easures to 
regulate with the ai m of preventing the production and use of new pesticides or new industrial chemicals which, taking into consideration the cri teria 
in paragraph 1 of Annex D, exhibit the characteristics of persistent organic pollutants.  
4. Each Party that has one or more r egulatory and assessment schemes for pesticides or industrial chemicals shall, where appropriate, take into 
consideration within these schemes the criteria in paragraph 1 of Annex D when conducting assessments of pesticides or indust rial chemicals currentl y 
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 fo r laboratory -scale 
research or as a reference standard.  
6. Any Party that has a specific exemption in accordance with Annex A or a specific exemption or an acceptable purpose in accordance with 
Annex  B shall take appropriate measures to ensure that any production or use under such exemption or purpose is carried out in a ma nner that 
prevents or minimizes human exposure an d release into the environment. For exempted uses or acceptable purposes that involve intentional release 
into the environment under conditions of normal use, such release shall be to the minimum extent necessary, taking into accou nt any applicable 
standar ds 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 o r 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 shall 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 li sted 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 specifi c 
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 regis trations 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 [COP] 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 concerned shall submit a re port to the Secretariat justifying its continuing need for 
regist ration 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. Thereu pon, the [COP] may make such recommendations to the Party concerned as it deems appropriate.  
7. The [C oP] may, upon request from the Party concerned, decide to extend the expiry date of a specific exemption for a period of up to  five 
years. In making its decision, the [C oP] 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 Secre tariat. The 
withdrawal shall take effect on the date specified in the notification.  
9. When there are no longer any Parties regist ered for a particular type of specific exemption, no new registrations may be made with respect to 
it". 
→ Establishes a register of specific exemptions for Parties for production or use of POPs listed in Annexes A or B.   
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- 169 - Articles 5 and 6  
Measures to reduce  or 
eliminate releases  → Sets out obligations for Parties to take measures in view of the reduction or elimination of releases i) from unintentional p roduction, and ii) from 
stockpiles and wastes.  
Article 7  
Implementation plans  "1. Each Party shall:  
(a) Develop and endeavour to implement a plan for the implementation of its obligations under this Convention;  
(b) Transmit its implementation plan to the Conference of the Parties within two years of the date on which this Convention e nters into force 
for it; and  
(c) Review and update, as appropriate, its implementation plan on a periodic basis and in a manner to be specified by a decis ion of the Conference 
of the Parties.  
2. The Parties shall, where appropriate, cooperate directly or through glob al, regional and  
subregional organizations, and consult their national stakeholders, including women 's groups and groups involved in the health of children, in order 
to facilitate the development, implementation and updating of their implementation plans.  
3. The Parties shall endeavour to utilize and, where necessary, establish the means to integrate national implementation plans f or persistent 
organic pollutants in their sustainable development strategies where appropriate".   
Article 8  
Listing of chemicals in 
Annexes A, B and C  → Sets out the procedures for listing POPs in Annexes A, B and C.  
14.3  Supportive measures  
Article 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 develop ing 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 Conve ntion.  
3. In this regard, technical assistance  to be provided by developed country Parties, and other Parties in accordance with their capabilities, shall include, as appro priate 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 [C oP]. 
4. The Parties shall establish, as appropriate, arrangements for the purpose of providing technical assistance and promoting the  transfer of technology to developing country 
Parties and Parties with economies in transition relating to the implementation of this Convention. These arrangements shall include regional and subregional centres for 
capacity -building and transfer of technology to assist developing country Part ies and Parties with economies in transition to fulfil their obligations under this Convention. Further 
guidance in this regard shall be provided by the [C oP]. 
5. The Parties shall, in the context of this Article, take full account of the specific needs an d special situation of least developed countries and small island developing states in 
their actions with regard to technical assistance".  
Article 13 – Financial resources and mechanisms  
→ Parties undertake to provide financial support and incentives to ac hieve the objective of the Convention. Developed country Parties shall provide new and additional financial 
resources to enable developing country Parties and Parties with economies in transition to meet the agreed full incremental c osts of implementing me asures which fulfil their 
obligations under the Convention.  
→ Establishes a mechanism for the provision of adequate and sustainable financial resources to developing country Parties and P arties with economies in transition on a grant or 
concessional basis  to assist in their implementation of the Convention.  
→ Calls upon the first meeting of the C oP to develop appropriate guidance to be provided to the mechanism. At its second meeting, and on a regular basis, the COP sha ll review 
the effectiveness of the m echanism.  
Article 14 – Interim financial arrangements  
→ Entrusts the GEF, on an interim basis, to be the principal entity operating the financial mechanism referred to in Article 13 .  
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- 170 -  
→ At CoP-6/ExC oPs-2, the Parties have among others agreed to strengthen capacity building and technical assistance activities by investing the savings realized over the past 
biennium into an enhanced technical assistance programme that better meets the needs of developing countries and countries wi th economies in tr ansition. It also considered the 
facilitating of the financial resources for chemicals and wastes.  
→At CoP -7, in the context of enhancing synergies between the Basel, Rotterdam and Stockholm Conventions, the Parties examined and ado pted an integrated progr amme for 
technical assistance and capacity building for the next biennium.  
→ At CoP -8, Parties, among others:  
- adopted  the integrated Technical Assistance  plan for 2018 -2021,  for the Basel,  Rotterdam and Stockholm Conventions, requesting the Secretariat t o implement it with 
relevant actors, and to that end, emphasized the role of regional centres, FAO offices, UNEP and other IOMC organizations ; 
- approved the synchronised budgets for all  three conventions for 2018 -19, and i nvited the Executive Secretary to continue cooperating with the interim secretariat of the 
Minamata Convention on programmatic matters and to provide any secretariat support that may be requested and is fully funded by the COP to the Minamata Convention.  
→ At CoP -9, Parties have adopted decisions on, among other things:  
- Technical assistance, taking note of the report on the implementation of the technical assistance plan for the period 2018 -2021 in the biennium 2018 -2019, inviting 
developing -country Parties and Parties with economies in transition to submit to the Secreta riat, by 31 March 2020;    
- Programme of work and budget for the Stockholm Convention for the biennium 2020 –2021;  
- Terms of references for the fifth review of the financial mechanism and for the assessment of the funding needs for the imple mentation of the Co nvention over the period 
2022-2026,  
- The revised framework for effectiveness evaluation,  
- The endorsement of all Stockholm Convention regional centre for another four years, and of the Novosibirsk Institute of Organ ic Chemistry located in Novosibirsk, 
Russi an Federation, as a Stockholm Convention regional centre.  
 
14.4  Non-compliance mechanism  
Article 15 – Reporting  
→ Sets out a reporting mechanism on the implementation of the Convention.  
Article 16 – Effectiveness evaluation  
→ Requests the COP to evaluate the effectiveness of the Convention.  
Article 17 – Non-compliance  
"The [C oP] shall, as soon as practicable , develop and approve procedures and institutional mechanisms for determining non -compliance with the provisions of this Convention and 
for th e treatment of Parties found to be in non -compliance".  
→ At its first meeting in 2005, the C oP decided to convene an open -ended ad hoc working group on non -compliance (OEWG NC) to consider procedures and institutional mechanisms 
on non -compliance under Art icle 17 of the Convention. The working group recommended the establishment of a compliance committee which is responsible for  reviewing submissions 
made by one or more Parties and/or the Secretariat.  
 → At its second meeting in 2006, the C oP agreed to conv ene a second meeting of the OEWG NC prior to its third meeting in order to further consider the procedures and mechanisms 
on non -compliance.  
→ At the third meeting of the C oP, the Parties convened to negotiate further  and to consider for adoption, at its f ourth meeting, the procedures and institutional mechanisms on 
non-compliance required under article 17 of the Convention and on the basis of its Decision SC -3/20.  
→ At the fourth meeting of the C oP, the Parties adopted Decision SC -4/33 on further examination of the procedures and institutional mechanisms on non -compliance at the 
fifth meeting of the CoP in April 2011.  
→ At the subsequent meetings of the CoP held in 2011, 2013, 2015, 2017, and 2019 efforts to adopt non -compliance procedures and mechanism, did not succeed and this matter 
will therefore be considered again at the next meeting of the Conference of the Parties in 2021 and 2022 (postponed due to th e pandemic).   
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- 171 - 14.5  Dispute  settlement mechani sm 
Article 18 – Settlement of disputes  
"1. Parties shall settle any dispute between them concerning the interpretation or application of this Convention through negotia tion or other peaceful means of their own choice.  
2. When ratifying, accepting, approvin g or acceding to the Convention, or at any time thereafter, a Party that is not a regional economic integration organization may declare 
in a written instrument submitted to the depositary that, with respect to any dispute concerning the interpretation or application of the Convention, it recognizes one or both of the 
following means of dispute settlement as compulsory in relation to any Party accepting the same obligation:  
(a) Arbitration in accordance with procedures to be adopted by the [C oP] in an annex as soon as practicable;  
(b) Submission of the dispute to the [ICJ].  
3. A Party that is a regional economic integration organization may make a declaration with like effect in relation to arbitrati on 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 terms  or until three months after written notice of its 
revocation has been deposited with the depositary.  
5. The ex piry of a declaration, a notice of revocation or a new declaration shall not in any way affect proceedings pending before an arbitral tribunal or the [ICJ] unless the 
parties to the dispute otherwise agree.  
6. If the parties to a dispute have not accepted the same or any procedure pursuant to paragraph 2, and if they have not been able to settle their dispute within twelve month s 
following notification by one party to another that a dispute exists between them, the dispute shall be submitted to a concil iation commission at the request of any party to the 
dispute. The conciliation commission shall render a report with recommendations. Additional procedures relating to the concil iation commission shall be included in an annex to be 
adopted by the [C oP] no late r than at its second meeting".  
14.6  Provisions for non -parties  
Article 3 – Measures to reduce 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 Annex B for which any production or use specific 
exemption or acceptable purpose is in effect, taking into account any relevant provisions in existing international prior inf ormed c onsent 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 certification shall specify the in tended 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 provision s of paragr aph 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, o r administrative or  policy guidelines. The exporting Party 
shall transmit the certification to the Secretariat within sixty days of receipt ...". 
15  MINAMATA CONVENTION ON MERCURY  
15.1  Brief description of the MEA  
Website  http://www.mercuryconvention.org/  
Objective  Article 1  → The objective of this Convention is to protect human health and the environment from anthropogenic emissions and releases of mercury and 
mercury compou nds. 
Date of Signature  10 October 2013   
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- 172 - Entry into force  16 August 2017  
Parties  127 Parties (as of 31 January 2021).  A list of Parties and signatories is available here.  
WTO Members  114 Parties to Minamata Convention  are also WTO Members (see Annex ). 
Entry into force  
(provision)  Article 31: Entry into force  
"1.  This Convention shall enter into force on the ninetieth day after the date of deposit of the fiftieth instrument of ratificat ion, acceptance, approval or 
accession.  
2.  For each State or regional economic integration organization that ratifies, accepts or approves this Convention or accedes thereto after the deposit 
of the fiftieth instrument of ratification, acceptance, approval or accession, the Convention shall enter into force on the n inetieth day after the date of 
deposit by such State or regional economic integration organization of its instrument of ratification, acceptance, approval o r accession.  
3.  For the purposes of paragraphs 1 and 2, any instrument deposited by a regional economic inte gration organization shall not be counted as 
additional to those deposited by member States of that organization."  
Openness of 
Membership  Article 29: Signature  
"This Convention shall be opened for signature [ ...] by all States and regional economic integration organizations ..." 
Article 30: Ratification, acceptance, approval or accession  
"1. This Convention shall be subject to ratification, acceptance or approval by States and by regional economic integration organ izations. It shall be 
open for accession by States and by regional economic integration organizations from the day after the date on which the Conv ention is closed for signature. 
Instruments of ratification, acceptance, approval or accession shall be deposited with the Deposita ry. 
2. Any regional economic integration organization that becomes a Party to this Convention without any of its member States being  a Party shall be 
bound by all the obligations under the Convention. In the case of such organizations, one or more of whose  member States is a Party to this Convention, 
the organization and its member States shall decide on their respective responsibilities for the performance of their obligat ions under the Convention. In 
such cases, the organization and the member States shal l not be entitled to exercise rights under the Convention concurrently.  
3. In its instrument of ratification, acceptance, approval or accession, a regional economic integration organization shall decl are the extent of its 
competence in respect of the matte rs governed by this Convention. Any such organization shall also inform the Depositary, who shall in turn inform the 
Parties, of any relevant modification of the extent of its competence.  
4. Each State or regional economic integration organization is encou raged to transmit to the Secretariat at the time of its ratification, acceptance, 
approval or accession of the Convention information on its measures to implement the Convention . 
5. In its instrument of ratification, acceptance, approval or accession, any Party may declare that, with regard to it, any amendment to an annex shall 
enter into force only upon the deposit of its instrument of ratification, acceptance, approval or accession with respect ther eto." 
Decision -Making 
Bodies  
 Article 23: Conference of the Parties  
"[...] 
5.  The Conference of the Parties shall keep under continuous review and evaluation the implementation of this Convention. It sha ll perform the 
functions assigned to it by this Convention and, to that end, shall:  
(a) Establish such subsidiary bodies as it considers necessary for the implementation of this Convention;  
(b) Cooperate, where appropriate, with competent international organizations and intergovernmental and non -governmental bodies;  
(c) Regularly review all information made available to it and to the Secretariat [ ...];  
(d) Consider any recommendations submitted to it by the Implementation and Compliance Committee;  
(e) Consider and undertake any additional action that may be required for the achievement of t he objectives of this Convention; and  
(f) Review Annexes A and B pursuant to Article 4 and Article 5."  
Amendments and 
Protocols  Article 26: 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 ame ndment shall be 
communicated to the Parties by the Secretariat at leas t 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.   
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- 173 - 3. The Parties shall make every effort to rea ch agreement on any proposed amendment to this Convention by consensus. If all efforts 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 Parties present 
and v oting at the meeting.  
4. An adopted 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 amendm ent adopted in accordance with 
paragraph 3 shall enter into force for the Parties having consented to be bound by it on the ninetieth day after the date of deposit of instruments of 
ratification, acceptance or approval by at least three -fourths of the Part ies that were Parties at the time at which the amendment was adopted. Thereafter, 
the amendment shall enter into force for any other Party on the ninetieth day after the date on which that Party deposits its  instrument of ratification, 
acceptance or approv al of the amendment."  
Article 27: Adoption and amendment of annexes  
"1.  Annexes to this Convention shall form an integral part thereof and, unless expressly provided otherwise, a reference to this Convention constitutes 
at the same time a reference to any annexes thereto.  
2. Any additional annexes adopted after the entry into  force of this Convention shall be restricted to procedural, scientific, technical or administrative 
matters.  
... 
5. If an additional annex or an amendment to an annex is related to an amendment to this Convention, the additional annex or ame ndment shall n ot 
enter into force until such time as the amendment to the Convention enters into force."  
15.2  Trade -related measures  
Article 3 
Mercury supply sources 
and trade  "… 6. Each Party shall not allow the export of mercury except:  
(a) To a Party that has provided the exporting Party with its written consent, and only for the purpose of:  
(i)  A use allowed to the importing Party under this Convention; or  
(ii)  Environmentally sound interim storage as set out in Article 10; or  
(b) To a non -Party that has provided the exporting Party with its written consent, including certification demonstratin g that:  
(i)  The non -Party has measures in place to ensure the protection of human health and the environment and to ensure its compliance with 
the provisions of Articles 10 and 11; and  
(ii)  Such mercury will be used only for a use allowed to a Party unde r this Convention or for environmentally sound interim storage as set 
out in Article 10.  
7. An exporting Party may rely on a general notification to the Secretariat by the importing Party or non -Party as the written consent required 
by paragraph 6. Such ge neral notification shall set out any terms and conditions under which the importing Party or non -Party provides its consent. 
The notification may be revoked at any time by that Party or non -Party. The Secretariat shall keep a public register of all such no tifications.  
8. Each Party shall not allow the import of mercury from a non -Party to whom it will provide its written consent unless the non -Party has provided 
certification that the mercury is not from sources identified as not allowed [ ...]. 
9. A Party t hat submits a general notification of consent under paragraph 7 may decide not to apply paragraph 8, provided that it maintai ns 
comprehensive restrictions on the export of mercury and has domestic measures in place to ensure that imported mercury is man aged in an 
environmentally sound manner. The Party shall provide a notification of such decision to the Secretariat, including informati on describing its export 
restrictions and domestic regulatory measures, as well as information on the quantities and countr ies of origin of mercury imported from non -Parties. 
The Secretariat shall maintain a public register of all such notifications. The Implementation and Compliance Committee shall  review and evaluate 
any such notifications and supporting information in accor dance with Article 15 and may make recommendations, as appropriate, to the Conference 
of the Parties.  
10. The procedure set out in paragraph 9 shall be available until the  conclusion of the second meeting of the Conference of the Parties. After  
that time, it shall cease to be available, unless the Conference of the Parties  decides otherwise by simple majority of the Parties present and voting,  
except with respect to a Party that has provided a notification under  paragraph 9 before the end of the second meet ing of the Conference of  
the Parties.   
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- 174 - 11. Each Party shall include in its reports submitted pursuant to Article 21  information showing that the requirements of this Article have been 
met. 
12. The Conference of the Parties shall at its first meeting provide  further  guidance in regard to this Article, particularly in regard to  
paragraphs  5 (a), 6 and 8, and shall develop and adopt the required content of the  certification referred to in paragraphs 6 (b) and 8.21 
13. The Conference of the Parties shall evaluate whether the trade in specific mercury compounds compromises the objective of this Convention 
and consider whether specific mercury compounds should, by their listing in an additional annex adopted in accordance with Ar ticle 27, be made 
subject to paragraphs 6 and 8."  
Article 4 
Mercury -added products  " 1. Each Party shall not allow, by taking appropriate measures, the manufacture, import or export of mercury -added products listed in Part I of 
Annex A after the phase -out date specified for those products, except where an exclusion is specified in Annex A or the Party has a registered 
exemption pursuant to Article 6.  
2. A Party may, as an alternative to paragraph 1, indicate at the time of ratification or upon entry in to force of an amendment to Annex A for it, 
that it will implement different measures or strategies to address products listed in Part I of Annex A. A Party may only cho ose this alternative if it 
can demonstrate that it has already reduced to a de minimis level the manufacture, import, and export of the large majority of the products listed in 
Part I of Annex A and that it has implemented measures or strategies to reduce the use of mercury in additional products not listed in Part I of Annex 
A [...] No late r than five years after the date of entry into force of the Convention, the Conference of the Parties shall, as part of the r eview process 
[...], review the progress and the effectiveness of the measures taken under this paragraph.  
... 
5. Each Party shall take measures to prevent the incorporation into assembled products of mercury -added products the manufacture, import and 
export of which are not allowed for it under this Article.  
6. Each Party shall discourage the manufacture and the distribution in  commerce of mercury -added products not covered by any known use of 
mercury -added products prior to the date of entry into force of the Convention for it, unless an assessment of the risks and benefits  of the product 
demonstrates environmental or human hea lth benefits.  ..." 
Article 6  
Exemptions available to 
a Party upon request  "1. Any State or regional economic integration organization may register for one or more exemptions from the phase -out dates listed in Annex  A 
[...], by notifying the Secretariat in writing:  
(a) On becoming a  Party to this Convention; or  
(b) In the case of any mercury -added product that is added by an amendment to Annex A [ ...] no later than the date upon which the applicable 
amendment enters into force for the Party. "  
Article 11  
Mercury wastes  "... 3. Each Party shall take appropriate measures so that mercury waste is:  
 ...  
(c) For Parties to the Basel Convention, not transported across international boundaries except for the purpose of environmentally sound disposal 
in conformity with this Article and with that Convention. In circumstances where the Basel Convention does not apply to trans port across 
international boundaries, a Party shall allow such transport only after taking into acco unt relevant international rules, standards, and guidelines."  
Article 17  
Information exchange  "…4. E ach Party shall designate a national focal point for the exchange of information under the Convention, including with regard to the consent of 
importing Pa rties under Article 3 ." 
Article 21  
Reporting  "…2. Each Party shall include in its reporting the information as called for in Article 3… " 
15.3  Supportive measures  
Article 13: Financial resources and mechanism  
 
21 COP1 approved guidance documents to assist Parties in the implementation of their obligations under Article 3 as well as  the forms to be used to obtain and demonstrate 
consent from importing Parties and non -Parties. The forms and guidance documents are available here 
http://www.mercuryconvention.org/Convention/Formsandguidance/tabid/5527/language/en -US/Default.aspx   
  WT/CTE/W/160/Rev.9 • TN/TE/S/5/Rev.7  
 
- 175 - "1.  Each Party undertakes to provide, within its capabilities, resources in respect of those national activities that are intended to implement this Convention, in accord ance with 
its national policies, priorities, plans and programmes. Such resources may include domestic funding through relevant pol icies, development strategies and national budgets, and 
bilateral and multilateral funding, as well as private sector involvement.  
2. The overall effectiveness of implementation of this Convention by developing country Parties will be related to the effect ive implementation of this Article.  
3. Multilateral, regional and bilateral sources of financial and technical assistance, as well as capacity -building and technology transfer, are encouraged, on an urgent basis, to 
enhance and increase their activities on mercury in support of developing country Parties in the implementation of this Convention relating to financial  resources, technical assistance 
and technology transfer.  
4. The Parties, in their actions with regard to funding, shall take full account of the specific needs and special circumstances of Parties that are small island developing States 
or least developed countries.  
5. A Mechanism for the provision of adequate, predictable, and timely financial resources is hereby defined. The Mechan ism is to support developing country Parties and Parties 
with economies in transition in implementing their obligations under this Convention.  
6. The Mechanism shall include:  
 (a) The Global Environment Facility Trust Fund; and  
 (b) A specific internatio nal Programme to support capacity -building and technical assistance.22  
7. The Global Environment Facility Trust Fund shall provide new, predictable, adequate and timely financial resources to meet co sts in support of implementation of this 
Convention as a greed by the Conference of the Parties. For the purposes of this Convention, the Global Environment Facility Trust Fund shall  be operated under the guidance of 
and be accountable to the Conference of the Parties. The Conference of the Parties shall provide  guidance on overall strategies, policies, programme priorities and eligibility for 
access to and utilization of financial resources. In addition, the Conference of the Parties shall provide guidance on an ind icative list of categories of activities that c ould receive 
support from the Global Environment Facility Trust Fund. The Global Environment Facility Trust Fund shall provide resources t o meet the agreed incremental costs of global 
environmental benefits and the agreed full costs of some enabling activi ties. 
8. In providing resources for an activity, the Global Environment Facility Trust Fund should take into account the potential mer cury reductions of a proposed activity relative to 
its costs.  
9. For the purposes of this Convention, the Programme referr ed to in paragraph 6 (b) will be operated under the guidance of and be accountable to the Conference of the 
Parties. The Conference of the Parties shall, at its first meeting, decide on the hosting institution for the Programme, whic h shall be an existing entity, and provide guidance to it, 
including on its duration. All Parties and other relevant stakeholders are invited to provide financial resources to the Prog ramme, on a voluntary basis.  
10. The Conference of the Parties and the entities comprising the  Mechanism shall agree upon, at the first meeting of the Conference of the Parties, arrangements to give effect 
to the above paragraphs.  
11. The Conference of the Parties shall review, no later than at its third meeting, and thereafter on a regular basis, the level of funding, the guidance provided by the Conference 
of the Parties to the entities entrusted to operationalize the Mechanism established under this Article and their effectivene ss, and their ability to address the changing needs of 
developing cou ntry Parties and Parties with economies in transition. It shall, based on such review, take appropriate action to improve the  effectiveness of the Mechanism.23 
12. All Parties, within their capabilities, are invited to contribute to the Mechanism. The Mech anism shall encourage the provision of resources from other sources, including the 
private sector, and shall seek to leverage such resources for the activities it supports."  
Article 14: Capacity -building, technical assistance and technology transfer  
"1. Parties shall cooperate to provide, within their respective capabilities, timely and appropriate capacity -building and technical assistance to developing country Parties, in 
particular Parties that are least developed countries or small island  developing States, and Parties with economies in transition, to assist them in implementing their obligations 
under this Convention.  
2. Capacity -building and technical assistance pursuant to paragraph 1 and Article 13 may be delivered through regional, s ub regional and national arrangements, including 
existing regional and subregional centres, through other multilateral and bilateral means, and through partnerships, includin g partnerships involving the private sector. Cooperation 
 
22 The first meeting of the Conference of the Parties adopted de cision MC 1/6 to operationalize the SIP available at 
http://www.mercuryconvention.org/Meetings/COP1/Decisions/tabid/8648/language/en -US/Default. aspx 
23 The first meeting of the Conference of the Parties adopted decision MC 1/ on Guidance to the GEF available at 
http://www.mercuryconventio n.org/Meetings/COP1/Decisions/tabid/8648/language/en -US/Default.aspx   
  WT/CTE/W/160/Rev.9 • TN/TE/S/5/Rev.7  
 
- 176 - and coordination with oth er multilateral environmental agreements in the field of chemicals and wastes should be sought to increase the effectiveness of technical assistance and 
its delivery.  
3. Developed country Parties and other Parties within their capabilities shall promote an d facilitate, supported by the private sector and other relevant stakeholders as 
appropriate, development, transfer and diffusion of, and access to, up -to-date environmentally sound alternative technologies to developing country Parties, in particular the least 
developed countries and small island developing States, and Parties with economies in transition, to strengthen their capacit y to effectively implement this Convention.  
4. The Conference of the Parties shall, by its second meeting and thereafter on a regular basis, and taking into account submissions and reports from Parties including those 
as provided for in Article 21 and information provided by other stakeholders:  
 (a) Consider information on existing initiatives and progress made in  relation to alternative technologies;  
 (b) Consider the needs of Parties, particularly developing country Parties, for alternative technologies; and  
 (c) Identify challenges experienced by Parties, particularly developing country Parties, in technology tr ansfer.  
5. The Conference of the Parties shall make recommendations on how capacity -building, technical assistance and technology transfer could be further enhanced under 
this Article.  
15.4  Non-compliance mechanism  
Article 15: Implementation and Compliance Committee  
"1. A mechanism, including a Committee as a subsidiary body of the Conference of the Parties, is hereby established to promote im plementation of, and review compliance with, 
all provisions of this Conven tion. The mechanism, including the Committee, shall be facilitative in nature and shall pay particular attention to the respe ctive national capabilities and 
circumstances of Parties.  
2. The Committee shall promote implementation of, and review compliance with, all provisions of this Convention. The Committee shall examine both individual and systemic 
issues of implementation and compliance and make recommendations, as appropriate, to the Conference of the Parties.  
3. The Committee shall consist of 15 membe rs, nominated by Parties and elected by the Conference of the Parties, with due consideration to equitable geographical 
representation based on the five regions of the United Nations; the first members shall be elected at the first meeting of th e Conferenc e of the Parties and thereafter in accordance 
with the rules of procedure approved by the Conference of the Parties pursuant to paragraph 5; the members of the Committee s hall have competence in a field relevant to this 
Convention and reflect an appropriat e balance of expertise.  
4. The Committee may consider issues on the basis of:  
 (a) Written submissions from any Party with respect to its own compliance;  
 (b) National reports in accordance with Article 21; and  
 (c) Requests from the Conference of the Parties.  
5. The Committee shall elaborate its rules of procedure, which shall be subject to approval by the second meeting of the Confere nce of the Parties; the Conference of the Parties 
may adopt further terms of reference for the Committee.24 
6. The Comm ittee shall make every effort to adopt its recommendations by consensus. If all efforts at consensus have been exhausted and no consensus is reached, such 
recommendations shall as a last resort be adopted by a three -fourths majority vote of the members pre sent and voting, based on a quorum of two -thirds of the members."  
15.5  Dispute settlement mechanism  
Article 25: Settlement of Disputes  
"1. Parties shall seek to settle any dispute between them concerning the interpretation or application of this Convention through  negotiation or other peaceful means of their 
own choice.  
 
24 The second meeting of the Conference of the Parties adopted decision MC -2/4 containing the rules of procedures of the for the Implementation and Compliance 
Committee of the Minamata Con vention on Mercury. Decision MC -2/4 is available here http://www.mercuryconvention.org/Meetings/COP2/Decisions/tabid/8651/language/en -
US/Default .aspx  The third meeting of the Conference of the Parties adopted decision MC -3/9 containing the terms of reference and template for written submissions from parties 
with respect to their own compliance for the Implementation and Compliance Committee. Decis ion MC -3/9 is available here 
http://www.mercuryconvention.org/Meetings/COP3/Decisions/tabid/8654/language/en -US/Default.aspx   
  WT/CTE/W/160/Rev.9 • TN/TE/S/5/Rev.7  
 
- 177 - 2. When ratifying, accepting, approving or acceding to this Convention, or at any time thereafter, a Party [ ...] may declare in a written instrument submitted to the Depositary 
that, with regard to any dispute concerning the interpretation or application of this Convention, it recognizes one or both o f the following means of d ispute settlement as compulsory 
in relation to any Party accepting the same obligation:  
 (a) Arbitration in accordance with the procedure set out in Part I of Annex E;  
 (b) Submission of the dispute to the International Court of Justice.  
3. A Party that is a regional economic integration organization may make a declaration with like effect in relation to arbitration in ac cordance with paragraph 2.  
... 
6. If the parties to a dispute have not accepted the same means of dispute settlement pursuant to pa ragraph 2 or 3, and if they have not been able to settle their dispute 
through the means mentioned in paragraph 1 within twelve months following notification by one Party to another that a dispute  exists between them, the dispute shall be submitted 
to a co nciliation commission at the request of any party to the dispute. The procedure set out in Part II of Annex E shall apply to conciliation under this Article."  
15.6  Provisions for non -parties  
See also the sub -section  on "Trade -related measures" above.  
In particular, Article 3: Mercury supply sources and trade paragraphs 6(b), 7, 8 and 9 contain provisions concerning non -parties.  
 
 
_______________  
 
  
  WT/CTE/W/160/Rev.9 • TN/TE/S/5/Rev.7  
 
- 178 - ANNEX  
MEMBERSHIP IN WTO AND MEAS   
CITES  
CITES: Bonn Amendment  
CITES: Gaborone Amendment  
UN Fish Stocks Agreement  
PSMA  
ITTA  
IPPC  
CBD 
CBD: Nagoya Protocol  
CBD: Cartagena Protocol  
CBD: Nagoya - KL Supp. Protocol   
Vienna Convention  
Montreal Protocol (MP)  
MP - London Amendment  
MP - Copenhagen Amendment  
MP - Montreal Amendment  
MP - Beijing Amendment  
Kigali Amendment  
UNFCCC  
UNFCCC: Kyoto Protocol  
Paris Agreement  
Basel Convention  
Basel Convention, Ban Amendment   
Basel Convention, Protocol on Liability  
(not yet in force)  
Rotterdam Convention  
Stockholm Convention  
Minamata Convention on Mercury  
WTO  
Afghanistan  x      x x x x  x x x x x x  x x x x   x x x x 
Albania  x x   x x x x x x x x x x x x x x x x x x x  x x x x 
Algeria  x      x x  x  x x x x x x  x x x x x  x x   
Andorra         x    x x x x x x x x  x x x      
Angola  x x      x x x  x x x x x x x x x x x    x  x 
Antigua and 
Barbuda  x x x    x x x x  x x x x x x  x x x x x  x x x x 
Argentina  x x x    x x x   x x x x x x x x x x x x  x x x x 
Armenia  x x     x x  x  x x x x x x x x x x x   x x x x 
Australia  x x x x x x x x    x x x x x x x x x x x   x x  x 
Austria  x x x x  x x x x x  x x x x x x x x x x x x  x x x x 
Azerbaijan  x x     x x  x  x x x x x x  x x x x    x   
Bahamas  x   x x  x x  x  x x x x x x  x x x x    x x  
Bahrain, 
Kingdom of  x x     x x  x  x x x x x x  x x x x x  x x  x 
Bangladesh  x   x x  x x  x  x x x x x x x x x x x    x  x 
Barbados  x x x x x  x x  x  x x x x x x x x x x x   x x  x 
Belarus  x x     x x x x  x x x x x x  x x x x    x   
Belgium  x x x x  x x x x x  x x x x x x x x x x x x  x x x x 
Belize  x x x x   x x  x  x x x x x x  x x x x   x x  x  
  WT/CTE/W/160/Rev.9 • TN/TE/S/5/Rev.7  
 
- 179 -  
CITES  
CITES: Bonn Amendment  
CITES: Gaborone Amendment  
UN Fish Stocks Agreement  
PSMA  
ITTA  
IPPC  
CBD 
CBD: Nagoya Protocol  
CBD: Cartagena Protocol  
CBD: Nagoya - KL Supp. Protocol   
Vienna Convention  
Montreal Protocol (MP)  
MP - London Amendment  
MP - Copenhagen Amendment  
MP - Montreal Amendment  
MP - Beijing Amendment  
Kigali Amendment  
UNFCCC  
UNFCCC: Kyoto Protocol  
Paris Agreement  
Basel Convention  
Basel Convention, Ban Amendment   
Basel Convention, Protocol on Liability  
(not yet in force)  
Rotterdam Convention  
Stockholm Convention  
Minamata Convention on Mercury  
WTO  
Benin  x   x  x x x x x  x x x x x x x x x x x x  x x x x 
Bhutan  x x x    x x x x  x x x x x x x x x x x       
Bolivia, 
Plurinational 
State of  x  x    x x x x  x x x x x x x x x x x x  x x x x 
Bosnia and 
Herzegovina  x x     x x  x  x x x x x x  x x x x   x x   
Botswana  x x x    x x x x  x x x x x x x x x x x x x x x x x 
Brazil  x x x x  x x x  x  x x x x x x  x x x x   x x x x 
Brunei 
Darussalam  x x x     x    x x x x x x  x x x x x     x 
Bulgaria  x x x x  x x x x x x x x x x x x x x x x x x  x x x x 
Burkina Faso  x x x    x x x x x x x x x x x x x x x x   x x x x 
Burundi  x x     x x x x  x x x x x x  x x x x   x x  x 
Cambodia  x x  x x x x x x x x x x x x x x  x x x x   x x  x 
Cameroon  x  x   x x x x x  x x x x x x  x x x x   x x  x 
Canada  x x x x x  x x    x x x x x x x x  x x   x x x x 
Cabo Verde  x x x  x  x x  x  x x x x x x x x x x x   x x  x 
Central 
African 
Republic  x     x x x x x x x x x x x x  x x x x    x  x 
Chad  x x     x x x x  x x x x x x x x x x x   x x x x 
Chile  x x x x x  x x    x x x x x x x x x x x x  x x x x 
China  x x x   x x x x x  x x x x x x  x x x x x  x x x x 
Colombia  x x x   x x x  x x x x x x x x x x x x x x x x x x x  
  WT/CTE/W/160/Rev.9 • TN/TE/S/5/Rev.7  
 
- 180 -  
CITES  
CITES: Bonn Amendment  
CITES: Gaborone Amendment  
UN Fish Stocks Agreement  
PSMA  
ITTA  
IPPC  
CBD 
CBD: Nagoya Protocol  
CBD: Cartagena Protocol  
CBD: Nagoya - KL Supp. Protocol   
Vienna Convention  
Montreal Protocol (MP)  
MP - London Amendment  
MP - Copenhagen Amendment  
MP - Montreal Amendment  
MP - Beijing Amendment  
Kigali Amendment  
UNFCCC  
UNFCCC: Kyoto Protocol  
Paris Agreement  
Basel Convention  
Basel Convention, Ban Amendment   
Basel Convention, Protocol on Liability  
(not yet in force)  
Rotterdam Convention  
Stockholm Convention  
Minamata Convention on Mercury  
WTO  
Comoros  x x     x x x x  x x x x x x x x x x x    x x  
Congo  x  x   x x x x x x x x x x x x  x x x x x x x x x x 
Cook Islands     x   x x    x x x x x x x x x x x x  x x   
Costa Rica  x  x x x x x x  x  x x x x x x x x x x x x  x x x x 
Côte d'Ivoire  x x   x x x x x x  x x x x x x x x x x x x  x x x x 
Croatia  x x x x  x x x x x x x x x x x x x x x x x x  x x x x 
Cuba  x x   x  x x x x x x x x x x x x x x x x   x x x x 
Curaçao                              
Cyprus  x x x x  x x x  x  x x x x x x x x x x x x  x x x x 
Czech 
Republic  x x x x  x x x x x x x x x x x x x x x x x x  x x x x 
Democratic 
Republic of 
the Congo  x     x x x x x x x x x x x x  x x x x  x x x  x 
Denmark  x x x x x x x x x x x x x x x x x x x x x x x  x x x x 
Djibouti  x x   x  x x x x  x x x x x x  x x x x   x x x x 
Dominica  x x   x  x x  x  x x x x x x  x x x x   x x  x 
Dominican 
Republic  x      x x x x  x x x x x x  x x x x   x x x x 
Ecuador  x x x x x x x x x x  x x x x x x x x x x x x  x x x x 
Egypt  x x x    x x x x  x x x x x x  x x x x x   x  x 
El Salvador  x x x    x x  x  x x x x x x  x x x x x  x x x x 
Equatorial 
Guinea  x x     x x    x x x x x x  x x x x   x x x  
Eritrea  x x x    x x x x  x x x x x x  x x  x   x x    
  WT/CTE/W/160/Rev.9 • TN/TE/S/5/Rev.7  
 
- 181 -  
CITES  
CITES: Bonn Amendment  
CITES: Gaborone Amendment  
UN Fish Stocks Agreement  
PSMA  
ITTA  
IPPC  
CBD 
CBD: Nagoya Protocol  
CBD: Cartagena Protocol  
CBD: Nagoya - KL Supp. Protocol   
Vienna Convention  
Montreal Protocol (MP)  
MP - London Amendment  
MP - Copenhagen Amendment  
MP - Montreal Amendment  
MP - Beijing Amendment  
Kigali Amendment  
UNFCCC  
UNFCCC: Kyoto Protocol  
Paris Agreement  
Basel Convention  
Basel Convention, Ban Amendment   
Basel Convention, Protocol on Liability  
(not yet in force)  
Rotterdam Convention  
Stockholm Convention  
Minamata Convention on Mercury  
WTO  
Estonia  x x x x  x x x x x x x x x x x x x x x x x x  x x x x 
Eswatini, 
Kingdom of  x x     x x x x x x x x x x x x x x x x   x x x x 
Ethiopia  x x     x x x x  x x x x x x x x x x x x x x x   
European 
Union 
(formerly 
European 
Communities)  x x x x x x x x x x x x x x x x x x x x x x x  x x x x 
Fiji x x x x x x x x x x  x x x x x x x x x x     x  x 
Finland  x x x x  x x x x x x x x x x x x x x x x x x  x x x x 
France  x x x x x x x x x x x x x x x x x x x x x x x  x x x x 
Gabon  x x   x x x x x x  x x x x x x x x x x x   x x x x 
The Gambia  x    x  x x x x  x x x x x x  x x x x x  x x x x 
Georgia  x x     x x  x  x x x x x x  x x x x   x x  x 
Germany  x x x x  x x x x x x x x x x x x x x x x x x  x x x x 
Ghana  x  x x x x x x x x  x x x x x x x x x x x x x x x x x 
Greece  x x x x  x x x x x  x x x x x x x x x x x x  x x x x 
Grenada  x x x  x  x x  x  x x x x x x x x x x       x 
Guatemala  x  x   x x x x x  x x x x x x  x x x x x  x x  x 
Guinea  x   x x  x x x x  x x x x x x x x x x x x  x x x x 
Guinea -
Bissau  x x     x x x x x x x x x x x x x x x x   x x x x 
Guyana  x x x  x x x x x x  x x x x x x  x x x x   x x x x 
Haiti        x x    x x x x x x  x x x       x  
  WT/CTE/W/160/Rev.9 • TN/TE/S/5/Rev.7  
 
- 182 -  
CITES  
CITES: Bonn Amendment  
CITES: Gaborone Amendment  
UN Fish Stocks Agreement  
PSMA  
ITTA  
IPPC  
CBD 
CBD: Nagoya Protocol  
CBD: Cartagena Protocol  
CBD: Nagoya - KL Supp. Protocol   
Vienna Convention  
Montreal Protocol (MP)  
MP - London Amendment  
MP - Copenhagen Amendment  
MP - Montreal Amendment  
MP - Beijing Amendment  
Kigali Amendment  
UNFCCC  
UNFCCC: Kyoto Protocol  
Paris Agreement  
Basel Convention  
Basel Convention, Ban Amendment   
Basel Convention, Protocol on Liability  
(not yet in force)  
Rotterdam Convention  
Stockholm Convention  
Minamata Convention on Mercury  
WTO  
Holy See 
(Vatican)             x x x x x x x           
Honduras  x  x   x x x x x  x x x x x x x x x x x   x x x x 
Hong Kong, 
China                             x 
Hungary  x x x x  x x x x x x x x x x x x x x x x x x  x x x x 
Iceland  x x x x x  x x    x x x x x x x x x x x x   x x x 
India  x x x x  x x x x x x x x x x x x  x x x x   x x x x 
Indonesia  x x  x x x x x x x  x x x x x x  x x x x x  x x x x 
Iran x x  x   x x  x  x x x x x x  x x  x x  x x x  
Iraq x x x    x x  x  x x x x x x  x x  x   x x   
Ireland  x x x x  x x x  x x x x x x x x x x x x x x  x x x x 
Israel  x  x    x x    x x x x x x  x x x x   x   x 
Italy  x x x x  x x x  x x x x x x x x  x x x x x  x  x x 
Jamaica  x x     x x  x  x x x x x x  x x x x x  x x x x 
Japan  x x  x x x x x x x x x x x x x x x x x x x   x x x x 
Jordan  x x     x x x x  x x x x x x x x x x x x  x x x x 
Kazakhstan  x x     x x x x  x x x x x x  x x x x   x x  x 
Kenya  x x x x x  x x x x  x x x x x x  x x x x x  x x  x 
Kiribati     x    x  x  x x x x x x x x x x x    x x  
Korea, 
Democratic 
People's 
Republic of        x x x x x x x x x x x x x x x x   x x    
  WT/CTE/W/160/Rev.9 • TN/TE/S/5/Rev.7  
 
- 183 -  
CITES  
CITES: Bonn Amendment  
CITES: Gaborone Amendment  
UN Fish Stocks Agreement  
PSMA  
ITTA  
IPPC  
CBD 
CBD: Nagoya Protocol  
CBD: Cartagena Protocol  
CBD: Nagoya - KL Supp. Protocol   
Vienna Convention  
Montreal Protocol (MP)  
MP - London Amendment  
MP - Copenhagen Amendment  
MP - Montreal Amendment  
MP - Beijing Amendment  
Kigali Amendment  
UNFCCC  
UNFCCC: Kyoto Protocol  
Paris Agreement  
Basel Convention  
Basel Convention, Ban Amendment   
Basel Convention, Protocol on Liability  
(not yet in force)  
Rotterdam Convention  
Stockholm Convention  
Minamata Convention on Mercury  
WTO  
Korea, 
Republic of  x x x x x x x x x x  x x x x x x  x x x x   x x x x 
Kuwait, the 
State of  x x     x x x x  x x x x x x  x x x x x  x x x x 
Kyrgyz 
Republic  x x     x x x x  x x x x x x x x x x x   x x  x 
Lao People's 
Democratic 
Republic  x x     x x x x  x x x x x x x x x x x   x x x x 
Latvia  x x x x  x x x  x x x x x x x x x x x x x x  x x x x 
Lebanese 
Republic  x x     x x x x  x x x x x x x x x x x x  x x x  
Lesotho  x x     x x x x  x x x x x x x x x x x x  x x x x 
Liberia, 
Republic of  x   x x x x x x x x x x x x x x x x x x x x x x x  x 
Libya  x x   x  x x  x  x x x x x x  x x  x   x x   
Liechtenstein  x x x     x    x x x x x x x x x x x x  x x x x 
Lithuania  x x x x  x x x  x x x x x x x x x x x x x x  x x x x 
Luxembourg  x x x x  x x x x x x x x x x x x x x x x x x  x x x x 
Macao, China                             x 
Madagascar  x x x  x x x x x x  x x x x x x  x x x x   x x x x 
Malawi  x  x    x x x x  x x x x x x x x x x x x  x x  x 
Malaysia  x     x x x x x  x x x x x x x x x x x x  x   x 
Maldives  x x x x x  x x x x  x x x x x x x x x x x x  x x  x 
Mali x x x   x x x x x x x x x x x x x x x x x   x x x x 
Malta  x x x x  x x x x x  x x x x x x  x x x x x  x x x x  
  WT/CTE/W/160/Rev.9 • TN/TE/S/5/Rev.7  
 
- 184 -  
CITES  
CITES: Bonn Amendment  
CITES: Gaborone Amendment  
UN Fish Stocks Agreement  
PSMA  
ITTA  
IPPC  
CBD 
CBD: Nagoya Protocol  
CBD: Cartagena Protocol  
CBD: Nagoya - KL Supp. Protocol   
Vienna Convention  
Montreal Protocol (MP)  
MP - London Amendment  
MP - Copenhagen Amendment  
MP - Montreal Amendment  
MP - Beijing Amendment  
Kigali Amendment  
UNFCCC  
UNFCCC: Kyoto Protocol  
Paris Agreement  
Basel Convention  
Basel Convention, Ban Amendment   
Basel Convention, Protocol on Liability  
(not yet in force)  
Rotterdam Convention  
Stockholm Convention  
Minamata Convention on Mercury  
WTO  
Marshall 
Islands     x    x x x  x x x x x x x x x x x   x x x  
Mauritania  x x   x  x x x x  x x x x x x  x x x x   x x x x 
Mauritius  x x x x x  x x x x  x x x x x x x x x x x x  x x x x 
Mexico  x x x   x x x x x x x x x x x x x x x x x   x x x x 
Micronesia     x   x x x   x x x x x x x x x x x    x   
Moldova, 
Republic of  x x x    x x x x x x x x x x x  x x x x x  x x x x 
Monaco  x x x x    x    x x x x x x  x x x x x   x x  
Mongolia  x x     x x x x x x x x x x x  x x x x   x x x x 
Montenegro  x x   x  x x x x  x x x x x x x x x x x x  x x x x 
Morocco  x x x x   x x  x  x x x x x x  x x x x x  x x  x 
Mozambique  x   x x x x x x x  x x x x x x x x x x x   x x  x 
Myanmar  x x   x x x x x x  x x x x x x  x x x x    x  x 
Namibia  x x  x x  x x x x  x x x x x x x x x x x x  x x x x 
Nauru     x    x  x  x x x x x x  x x x x    x   
Nepal  x x     x x x   x x x x x x  x x x x   x x  x 
Netherlands  x x x x  x x x x x x x x x x x x x x x x x x  x x x x 
New Zealand  x x x x x x x x  x  x x x x x x x x x x x   x x  x 
Nicaragua  x  x  x  x x x x  x x x x x x x x x x x x  x x x x 
Niger  x x x    x x x x  x x x x x x x x x x x x  x x x x 
Nigeria  x x  x   x x  x  x x x x x x x x x x x x  x x x x 
Niue     x   x x  x  x x x x x x x x x x     x    
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- 185 -  
CITES  
CITES: Bonn Amendment  
CITES: Gaborone Amendment  
UN Fish Stocks Agreement  
PSMA  
ITTA  
IPPC  
CBD 
CBD: Nagoya Protocol  
CBD: Cartagena Protocol  
CBD: Nagoya - KL Supp. Protocol   
Vienna Convention  
Montreal Protocol (MP)  
MP - London Amendment  
MP - Copenhagen Amendment  
MP - Montreal Amendment  
MP - Beijing Amendment  
Kigali Amendment  
UNFCCC  
UNFCCC: Kyoto Protocol  
Paris Agreement  
Basel Convention  
Basel Convention, Ban Amendment   
Basel Convention, Protocol on Liability  
(not yet in force)  
Rotterdam Convention  
Stockholm Convention  
Minamata Convention on Mercury  
WTO  
North 
Macedonia, 
Republic of  x x     x x  x  x x x x x x x x x x x x  x x x x 
Norway  x x x x x x x x x x x x x x x x x x x x x x x  x x x x 
Oman  x x  x x  x x x x  x x x x x x  x x x x x  x x x x 
Pakistan  x x     x x x x  x x x x x x  x x x x   x x x x 
Palau  x x x x x  x x x x  x x x x x x x x x x x    x x  
Palestine         x  x  x x      x  x x  x x x x  
Panama  x x x x x x x x x x  x x x x x x x x x x x x  x x x x 
Papua New 
Guinea  x x  x  x x x  x  x x x x x x  x x x x    x  x 
Paraguay  x x x    x x  x  x x x x x x x x x x x x  x x x x 
Peru  x x x  x x x x x x  x x x x x x x x x x x x  x x x x 
Philippines  x  x x x x x x x x  x x x x x x  x x x x   x x x x 
Poland  x x x x  x x x  x  x x x x x x x x x x x x  x x  x 
Portugal  x  x x  x x x x x  x x x x x x x x x x x x  x x x x 
Qatar  x x     x x x x  x x x x x x  x x x x x  x x x x 
Romania  x x x x  x x x x x x x x x x x x x x x x x x  x x x x 
Russian 
Federation  x x  x   x x    x x x x x x x x x x x   x x  x 
Rwanda  x x x    x x x x  x x x x x x x x x x x   x x x x 
Saint Kitts 
and Nevis  x x x x x  x x x x  x x x x x x  x x x x x  x x x x 
Saint Lucia  x x x x   x x  x  x x x x x x  x x x x x   x x x  
  WT/CTE/W/160/Rev.9 • TN/TE/S/5/Rev.7  
 
- 186 -  
CITES  
CITES: Bonn Amendment  
CITES: Gaborone Amendment  
UN Fish Stocks Agreement  
PSMA  
ITTA  
IPPC  
CBD 
CBD: Nagoya Protocol  
CBD: Cartagena Protocol  
CBD: Nagoya - KL Supp. Protocol   
Vienna Convention  
Montreal Protocol (MP)  
MP - London Amendment  
MP - Copenhagen Amendment  
MP - Montreal Amendment  
MP - Beijing Amendment  
Kigali Amendment  
UNFCCC  
UNFCCC: Kyoto Protocol  
Paris Agreement  
Basel Convention  
Basel Convention, Ban Amendment   
Basel Convention, Protocol on Liability  
(not yet in force)  
Rotterdam Convention  
Stockholm Convention  
Minamata Convention on Mercury  
WTO  
Saint Vincent 
and the 
Grenadines  x x  x x  x x  x  x x x x x x  x x x x   x x  x 
Samoa  x x x x   x x x x  x x x x x x x x x x x   x x x x 
San Marino  x x      x    x x x x x x x x x x        
São Tomé and 
Principe  x x   x  x x x   x x x x x x x x x x x   x x x  
Saudi Arabia, 
Kingdom of  x x     x x x x  x x x x x x  x x x x x x x x x x 
Senegal  x x x x x  x x x x  x x x x x x x x x x x   x x x x 
Serbia  x x     x x x x  x x x x x x  x x x x x  x x   
Seychelles  x x x x x  x x x x  x x x x x x x x x x x x   x x x 
Sierra Leone  x x   x  x x x x  x x x x x x x x x x x x  x x x x 
Singapore  x      x x    x x x x x x  x x x x   x x x x 
Slovak 
Republic  x x x x  x x x x x x x x x x x x x x x x x x  x x x x 
Slovenia  x x x x  x x x  x x x x x x x x x x x x x x  x x x x 
Solomon 
Islands  x x x x   x x x x  x x x x x x  x x x     x  x 
Somalia  x    x   x  x  x x x x x x x x x x x   x x   
South Africa  x x  x x  x x x x  x x x x x x x x x x x x  x x x x 
South Sudan        x x    x x x x x x  x  x        
Spain  x  x x  x x x x x x x x x x x x  x x x x x  x x  x 
Sri Lanka  x  x x x  x x  x  x x x x x x x x x x x x  x x x x 
Sudan  x    x  x x x x  x x x x x x  x x x x   x x    
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- 187 -  
CITES  
CITES: Bonn Amendment  
CITES: Gaborone Amendment  
UN Fish Stocks Agreement  
PSMA  
ITTA  
IPPC  
CBD 
CBD: Nagoya Protocol  
CBD: Cartagena Protocol  
CBD: Nagoya - KL Supp. Protocol   
Vienna Convention  
Montreal Protocol (MP)  
MP - London Amendment  
MP - Copenhagen Amendment  
MP - Montreal Amendment  
MP - Beijing Amendment  
Kigali Amendment  
UNFCCC  
UNFCCC: Kyoto Protocol  
Paris Agreement  
Basel Convention  
Basel Convention, Ban Amendment   
Basel Convention, Protocol on Liability  
(not yet in force)  
Rotterdam Convention  
Stockholm Convention  
Minamata Convention on Mercury  
WTO  
Suriname  x x    x x x  x  x x x x x x  x x x x   x x x x 
Sweden  x x x x  x x x x x x x x x x x x x x x x x x  x x x x 
Switzerland  x x x   x x x x x x x x x x x x x x x x x x  x x x x 
Syrian Arab 
Republic  x x     x x x x x x x x x x x  x x x x x x x x x  
Chinese 
Taipei                             x 
Tajikistan  x x x    x x x x  x x x x x x  x x x x    x  x 
Tanzania  x  x    x x x x  x x x x x x  x x x x x  x x x x 
Thailand  x   x x x x x  x  x x x x x x  x x x x   x x x x 
Timor -Lesté         x    x x x x x x  x x x        
Togo  x x x  x x x x x x x x x x x x x x x x x x  x x x x x 
Tonga  x x x x x  x x x x  x x x x x x x x x x x   x x x x 
Trinidad and 
Tobago  x x x x x x x x  x  x x x x x x x x x x x x  x x  x 
Tunisia  x x     x x  x  x x x x x x  x x x x x  x x  x 
Turkey  x x   x  x x  x  x x x x x x  x x  x x  x x  x 
Turkmenistan         x x x  x x x x x x x x x x x       
Tuvalu     x   x x x   x x x x x x x x x x x   x x x  
Uganda  x x x    x x x x x x x x x x x x x x x x   x x x x 
Ukraine  x x  x   x x  x  x x x x x x  x x x x   x x  x 
United Arab 
Emirates  x x     x x x x x x x x x x x  x x x x   x x x x 
United 
Kingdom  x x x x x x x x x x x x x x x x x x x x x x x  x x x x  
  WT/CTE/W/160/Rev.9 • TN/TE/S/5/Rev.7  
 
- 188 -  
CITES  
CITES: Bonn Amendment  
CITES: Gaborone Amendment  
UN Fish Stocks Agreement  
PSMA  
ITTA  
IPPC  
CBD 
CBD: Nagoya Protocol  
CBD: Cartagena Protocol  
CBD: Nagoya - KL Supp. Protocol   
Vienna Convention  
Montreal Protocol (MP)  
MP - London Amendment  
MP - Copenhagen Amendment  
MP - Montreal Amendment  
MP - Beijing Amendment  
Kigali Amendment  
UNFCCC  
UNFCCC: Kyoto Protocol  
Paris Agreement  
Basel Convention  
Basel Convention, Ban Amendment   
Basel Convention, Protocol on Liability  
(not yet in force)  
Rotterdam Convention  
Stockholm Convention  
Minamata Convention on Mercury  
WTO  
United States 
of America  x x  x x x x     x x x x x x  x  x      x x 
Uruguay  x x x x x  x x x x  x x x x x x x x x x x x  x x x x 
Uzbekistan  x x x    x x  x  x x x x x x  x x x x    x   
Vanuatu  x x  x x  x x x   x x x x x x x x x x x   x x x x 
Venezuela, 
Bolivarian 
Republic of  x  x   x x x x x x x x x x x x  x x x x   x x  x 
Viet Nam  x x  x x x x x x x x x x x x x x x x x x x   x x x x 
Yemen  x x     x x  x  x x x x x x  x x  x  x x x  x 
Zambia  x      x x x x  x x x x x x  x x x x x  x x x x 
Zimbabwe  x x x    x x x x  x x x x x x  x x x x   x x  x 
TOTAL MEA 
Members  183 149 102 91 68 74 184 196 129 173 48 198 198 197 197 197 197 114 197 192 191 188 100 12 164 184 127 164 
TOTAL WTO 
Members of 
MEA 160 130 96 80 62 74 158 160 113 147 46 161 161 161 161 161 161 96 161 159 159 156 91 9 145 154 114 164 
 
__________