WT/CTE/W/160/Rev.8  
TN/TE/S/5/Rev.6  
 
9 October  2017 
(17-5441) Page: 1/193 
Committee on Trade and Environment  
Committee  on Trade  and Environment  in Special  Session    
 
 MATRIX ON TRADE -RELATED MEASURES PUR SUANT TO SELECTED  
MULTILATERAL  ENVIRONMENTAL AGREEM ENTS  
NOTE BY THE SECRETAR IAT1 
Revision  
1.  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, presents updated information (e.g.  membership, decisions and other major 
development s) on MEAs.2  
2.  The WTO Secretariat periodically update s this document  in light of developments.  In this 
revision , the Agreement  on Port State Measures , the Paris Agreement on Climate Change , and the 
Kigali Amendment to the Montreal Protocol have been added to the Matrix. The Matrix now 
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);  
 Convention on the Conservation of Antarctic M arine Living Resources (CCAMLR);  
 International Convention for the Conservation of Atlanti c Tunas (ICCAT);  
 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 Biological Diversity ; 
 Cartagena Protocol on Biosafety to the Con vention on Biological Diversity;  
 Nagoya – Kuala Lumpur Supplement ary 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 Convention on the Prior Informed Consent Procedure for Certain Hazardous  
Chemicals and Pesticides in International Trade ; 
 Stockh olm Convention on Persistent Organic Pollutants ; and 
 Minamata Convention on Mercury . 
3.  Information for each of these MEA s has been provided in 6 Sub -Sections  and an Annex . 
                                                
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 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 June 2011, Rev.6 of 4 October 2013 and Re v.7 of 4 September 2015.  WT/CTE/W/160/Rev.8 • TN/TE/S/5/Rev.6  
 
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  4.  Sub-section 1  provid es the following information  for each MEA : 
a. Web site;  
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 Members party to the MEA;  
g. Openness of Membership;  
h. Decision -Making Bodies; and  
i. Provisions relating to Amendments and Protocols.  
5.  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.  
 
6.  Sub-section 3  provides information on supportive measures, such as technology transfer, and 
financial or technical assistance under the provisions of the MEA.  
7.  Sub-section 4  explains the mechanism set out in the MEA for the non -compliance of a party.  
8.  Sub-section 5  lists the dispute settlement mechanisms in the MEA .  
9.  Sub-section 6  sets out the prov isions relating to non -parties of the MEA.  
10.  The Annex to this  document provides a comparat ive table of WTO and MEA membership.  
  
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  Table of Contents  
 
1   CONVENTION ON INTERN ATIONAL TRADE IN END ANGERED SPECIES OF 
WILD FAUNA AND FLORA  (CITES)  ................................ ................................ ....................  7 
1.1   Brief Description of the MEA  ................................ ................................ ..........................  7 
1.2   Trade -related Measures  ................................ ................................ ................................  9 
1.3   Supportive measures  ................................ ................................ ................................ ..24 
1.4   Non-compliance mechanism ................................ ................................ ......................... 29 
1.5   Dispute Settlement Mechanism  ................................ ................................ .................... 33 
1.6   Provisions for non -parties  ................................ ................................ ............................ 33 
2   CONVENTION ON THE CO NSERVATION OF ANTARC TIC MARINE LIVING 
RESOURCES (CCAMLR)  ................................ ................................ ................................ ... 34 
2.1   Brief Description of the MEA  ................................ ................................ ......................... 34 
2.2   Trade -related Measures  ................................ ................................ ............................... 37 
2.3   Supportive measures  ................................ ................................ ................................ ..37 
2.4   Non-compliance mechanism ................................ ................................ ......................... 37 
2.5   Dispute Settlement Mechanism  ................................ ................................ .................... 41 
2.6   Provisions for non -parties  ................................ ................................ ............................ 41 
3   INTERNATIONAL CONVEN TION FOR THE CONSERV ATION OF ATLANTIC 
TUNAS (ICCAT)  ................................ ................................ ................................ ..............  43 
3.1   Brief Description of the MEA  ................................ ................................ ......................... 43 
3.2   Trade -related Measures  ................................ ................................ ............................... 45 
3.3   Supportive measures  ................................ ................................ ................................ ..50 
3.4   Non-compliance mechanism ................................ ................................ ......................... 51 
3.5   Dispute Settlement Mechanism  ................................ ................................ .................... 51 
3.6   Provisions for non -parties  ................................ ................................ ............................ 51 
4   UNITED NATIONS FISH STOCKS AGREEMENT (UN FSA)  ................................ .............  52 
4.1   Brief Description of the MEA  ................................ ................................ ......................... 52 
4.2   Trade -related Measures  ................................ ................................ ............................... 55 
4.3   Supportive measures  ................................ ................................ ................................ ..55 
4.4   Non-compliance mechanism ................................ ................................ ......................... 57 
4.5   Dispute Settlement Mechanism  ................................ ................................ .................... 58 
4.6   Provisions for non -parties  ................................ ................................ ............................ 59 
5   AGREEMENT ON PORT ST ATE MEASURES TO PREVENT,  DETER AND 
ELIMINATE ILLEGAL, U NREPORTED AND UNREGU LATED FISHING (PSMA)  ....................  59 
5.1   Brief Description of the MEA  ................................ ................................ ......................... 59 
5.2   Trade -related Measures  ................................ ................................ ............................... 61 
5.3   Supportive measures  ................................ ................................ ................................ ..63 
5.4   Non-compliance mechanism ................................ ................................ ......................... 65 
5.5   Dispute Settlement Mechanism  ................................ ................................ .................... 65 
5.6   Provisions for non -parties  ................................ ................................ ............................ 66 WT/CTE/W/160/Rev.8 • TN/TE/S/5/Rev.6  
 
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  6   INTERNATIONAL  TROPICAL TIMBER AGRE EMENT (ITTA)  ................................ .........  66 
6.1   Brief Description of the MEA  ................................ ................................ ......................... 66 
6.2   Trade -related Measures  ................................ ................................ ............................... 68 
6.3   Supportive measures  ................................ ................................ ................................ ..69 
6.4   Non-compliance mechanism ................................ ................................ ......................... 70 
6.5   Dispute Settleme nt Mechanism  ................................ ................................ .................... 70 
6.6   Provisions for non -parties  ................................ ................................ ............................ 70 
7   INTERNATIONAL PLANT PROTECTION CONVENTIO N (IPPC)  ................................ ..... 70 
7.1   Brief Description of the MEA  ................................ ................................ ......................... 70 
7.2   Trade -related Measures  ................................ ................................ ............................... 73 
7.3   Supporti ve measures  ................................ ................................ ................................ ..76 
7.4   Non-compliance mechanism ................................ ................................ ......................... 76 
7.5   Dispute Settlement Mechanism  ................................ ................................ .................... 76 
7.6   Provisions for non -parties  ................................ ................................ ............................ 77 
8   CONVENTION ON BIOLOG ICAL DIVERSITY (CBD)  ................................ .....................  77 
8.1   Brief Descripti on of the MEA  ................................ ................................ ......................... 77 
8.2   Trade -related Measures  ................................ ................................ ............................... 79 
8.3   Supportive measures  ................................ ................................ ................................ ..97 
8.4   Non-compliance mechanism ................................ ................................ ......................... 97 
8.5   Dispute Settlement Mechanism  ................................ ................................ .................... 97 
8.6   Provisions for non -parties  ................................ ................................ ............................ 98 
9   NAGOYA PROTOCOL ON A CCESS TO GENETIC RES OURCES AND THE FAIR AND 
EQUITABLE SHARING OF  BENEFITS ARISING FRO M THEIR UTILIZATION TO 
THE CONVENTION ON BIOLOG ICAL DIVERSITY  ................................ .............................  98 
9.1   Brief Description of the MEA  ................................ ................................ ......................... 98 
9.2   Trade -related Measures  ................................ ................................ .............................  100 
9.3   Supportive measures  ................................ ................................ ................................  102 
9.4   Non-compliance mechanism ................................ ................................ .......................  104 
9.5   Dispute Settlement Mechanism  ................................ ................................ ..................  104 
9.6   Provisions for non -parties  ................................ ................................ ..........................  104 
10   CARTAGENA PROTOCOL O N BIOSAFETY TO THE C ONVENTION ON 
BIOLOGICAL DIVERSITY  ................................ ................................ ..............................  105  
10.1   Brief Description of the MEA  ................................ ................................ .....................  105 
10.2   Trade -related Measures  ................................ ................................ ...........................  106 
10.3   Supportive measures  ................................ ................................ ..............................  116 
10.4   Non-compliance mechanism  ................................ ................................ .....................  118 
10.5   Dispute Settlement Mechanism  ................................ ................................ .................  119 
10.6   Provisions for non -parties  ................................ ................................ ........................  119 
11   NAGOYA – KUALA LUMPUR SUPPLEM ENTARY PROTOCOL ON L IABILITY AND 
REDRESS TO THE CARTA GENA PROTOCOL ON BIO SAFETY  ................................ ...........  119  
11.1   Brief Description of the MEA  ................................ ................................ .....................  119 
11.2   Trade -related Measures  ................................ ................................ ...........................  120 WT/CTE/W/160/Rev.8 • TN/TE/S/5/Rev.6  
 
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  11.3   Supportive meas ures ................................ ................................ ..............................  122 
11.4   Non-compliance mechanism  ................................ ................................ .....................  122 
11.5   Dispute Settlement Mechanism  ................................ ................................ .................  122 
11.6   Provisions for non -parties  ................................ ................................ ........................  122 
12   MONTREAL PROTOCOL AN D THE VIENNA CONVENT ION FOR THE 
PROTECTION OF THE OZ ONE LAYER  ................................ ................................ .............  122  
12.1   Brief Description of the MEA  ................................ ................................ .....................  122 
12.2   Trade -Related measures  ................................ ................................ ..........................  127 
12.3   Supportive Measures  ................................ ................................ ...............................  133 
12.4   Non-Compliance Mechanism  ................................ ................................ .....................  133 
12.5   Dispute Settlement Mechanism  ................................ ................................ .................  133 
12.6   Provisions for Non -Parties  ................................ ................................ ........................  134 
13   UNITED NATIONS FRAME WORK CONVENTION ON C LIMATE CHANGE 
(UNFCCC), THE KYOTO PROTOCOL AND THE PAR IS AGREEMENT  ................................ . 134  
13.1   Brief Description of the MEA  ................................ ................................ .....................  134 
13.2   Trade -Related measures  ................................ ................................ ..........................  142 
13.3   Supportive  Measures  ................................ ................................ ...............................  145 
13.4   Non-Compliance Mechanism  ................................ ................................ .....................  148 
13.5   Dispute Settlement Mechanism  ................................ ................................ .................  149 
13.6   Provisions for Non -Parties  ................................ ................................ ........................  150 
14   BASEL CONVENTION ON THE CONTROL OF TRANS BOUNDARY MOVEMENTS 
OF HAZARDOUS WASTES AND THEIR DISPOSAL  ................................ ..........................  150  
14.1   Brief Description of the MEA  ................................ ................................ .....................  150 
14.2   Trade -related Measures  ................................ ................................ ...........................  154 
14.3   Supportive measures  ................................ ................................ ..............................  160 
14.4   Non-compliance mechanism  ................................ ................................ .....................  161 
14.5   Dispute Settlement Mechanism  ................................ ................................ .................  162 
14.6   Provisions for non -parties  ................................ ................................ ........................  162 
15   ROTTERDAM CONVENTION  ON THE PRIOR INFORME D CONSENT 
PROCEDURE FOR CERTAI N HAZARDOUS CHEMICAL S AND PESTICIDES IN 
INTERN ATIONAL TRADE ................................ ................................ ...............................  163  
15.1   Brief Description of the MEA  ................................ ................................ .....................  163 
15.2   Trade -related Measures  ................................ ................................ ...........................  164 
15.3   Supportive measures  ................................ ................................ ..............................  169 
15.4   Non-compliance mechanism  ................................ ................................ .....................  170 
15.5   Dispute Settlement Mechani sm ................................ ................................ .................  171 
15.6   Provisions for non -parties  ................................ ................................ ........................  171 
16   STOCKHOLM CONVENTION  ON PERSISTENT ORGANI C POLLUTANTS  ....................  172  
16.1   Brief Description of the MEA  ................................ ................................ .....................  172 
16.2   Trade -related Measures  ................................ ................................ ...........................  173 
16.3   Supportive Measures  ................................ ................................ ...............................  175 
16.4   Non-compliance mechanism  ................................ ................................ .....................  176 WT/CTE/W/160/Rev.8 • TN/TE/S/5/Rev.6  
 
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  16.5   Dispute Settlement Mechanism  ................................ ................................ .................  176 
16.6   Provisions for non -parties  ................................ ................................ ........................  177 
17   MINAMATA CONVENTION ON MERCURY  ................................ ................................  177  
17.1   Brief Desc ription of the MEA  ................................ ................................ .....................  177 
17.2   Trade -related Measures  ................................ ................................ ...........................  179 
17.3   Supportive measures  ................................ ................................ ..............................  180 
17.4   Non-compliance mechanism  ................................ ................................ .....................  181 
17.5   Dispute Settlement Mechanism  ................................ ................................ .................  182 
17.6   Provisions for non -parties ................................ ................................ ........................  182 
ANNEX  ................................ ................................ ................................ .........................  183  
 
 
  
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- 7 - 1  CONVENTION ON INTERN ATIONAL TRADE IN END ANGERED SPECIES OF W ILD FAUNA AND FLORA (CITES)  
1.1  Brief Description of the MEA  
Web site  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 prim arily covers species that are in the international markets which 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 specime ns 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 regarding how different types of tra de regulations can affect specific populations.  
 CITES trade -related measures seek to ensure that trade is not detrimental to the survival of species of wild plants and animals and that traded 
specimens are not obtained in contravention of national laws for the protection of fauna and flora. It also requires that any living specimen 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 R egulations of the International Air Transport Association and the CITES G uidelines 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 Arti cle 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): 18 3 Parties (as of 31 August  2017)  
Bonn Amendmen t (1979): 14 9 Parties  (as of 31 August  2017)  
Gaborone Amendment (1983):  102 Parties ( as of 31 August  2017)  
WTO Members  Convention (1973):  160 Parties to CITES are also WTO Members.  
Bonn Amendment (1979): 1 30 Parties to this Amendment are also WTO Membe rs. 
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. Instr uments of accession shall be deposited with the Depositary Government".  
 
 The Gaborone Amendment, which enter ed into force  on 29 November 2013 , open s the membership to regional economic integration organizations . 
Paragraph 2 of Article XXI read s: "This Co nvention 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 the m 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, a nd 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 include d in Appendices I, II and III;  
(d) receive and consider any reports presented by the Secretariat or by any Party; and  
(e) w here appropriate, make recommendations for improving the effectiveness of the present Convention".  
Resolution Conf. 11.1 (Rev. CoP1 7) – Establishment of Committees  
"[The CoP to the Convention] … Resolves that:   
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- 8 - (a) there shall be a permanent Standing Commit tee of the [CoP], which shall be the senior Committee, and shall report to the [CoP];  
(b) there shall be an Animals Committee and a Plants Committee, which shall report to the [CoP] at its meetings and, if so re quested, to the 
Standing Committee between me etings of the [CoP];  
(c) the [CoP] may appoint additional committees as the need arises;  
(d) the [CoP] ,  the Standing Committee and the Animals and Plants Committees may appoint working groups with specific terms of reference as 
require d to address specifi c problems.  These working groups shall have a defined life span which shall not exceed the period until the next meeting of 
the [CoP], at which time it may be re-established  if necessary. Working Groups established by the [CoP] shall report to the [CoP] an d, if so 
requested, to the Standing Committee; …"  
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 an d 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 amendment shall 
be communicated to the Secretariat at least 150 days before the meeting. The Secretariat shall consult the other Parties and interested bodies on the 
amendment in accordance with the provisions of sub -parag raphs (b) and (c) of paragraph 2 of this Article and shall communicate the response to all 
Parties not later than 30 days before the meeting.  
(b) Amendments shall be adopted by a two -thirds majority of Parties present and voting. For these purposes "Parti es present and voting" 
means Parties present and casting an affirmative or negative vote. Parties abstaining from voting shall not be counted among the two -thirds required 
for adopting an amendment.  
(c) Amendments adopted at a meeting shall enter into for ce 90 days after that meeting for all Parties except those which make a reservation in 
accordance with paragraph 3 of this Article.  
2. The following provisions shall apply in relation to amendments to Appendices I and II between meetings of the [CoP]:  
(a) Any Party may propose an amendment to Appendix I or 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 r eplies and recommendations 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 Articl e. 
(g) If an objection by any Party is received by the Secretariat, the proposed amendment shall be submitted to a postal vote i n accordance with 
the provisions of sub -paragraphs (h) , (i) and (j) of this paragraph  ... 
(j) Provided that votes are received f rom 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  Secretariat 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 th is Article any Party may by 
notification in writing to the Depositary Government make a reservation with respect to the amendment. Until such 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 concern ed."  
Article XVI – Appendix III and Amendments thereto  
"1. Any Party may at any time submit to the Secretariat a list of species which it identifies as being subject to regulation with in its jurisdiction for the 
purpose men tioned in paragraph 3 of Article II. Appendix III shall include the names of the Parties submitting the species for inclusion  therein, the 
scientific names of the species so submitted, and any parts or derivatives of the animals or plants concerned that ar e specified in relation 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 Secretari at as soon as possible 
after receivin g it. The list shall take effect as part of Appendix III 90 days after the date of such communication. At any time after the communication of 
such list, any Party may by notification in writing to the Depositary Government enter a reservation with respect to any species or any parts or 
derivatives, and until such reservation is withdrawn, the State shall be treated as a State not a Party to the present Conven tion with respect to trade in  
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- 9 - the species or part or derivative concerned.  
3. A Party which has subm itted a species for inclusion in Appendix III may withdraw it at any time by notification to the Secretariat which shall 
communicate the withdrawal to all Parties. The withdrawal shall take effect 30 days after the date of such communication  ..." 
Article X VII – 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 b e 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 f rom voting shall not be 
counted among the two -thirds re quired 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 meetin g. 
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 the Depositary Government. Thereafter, the amendment shall enter into force for any other Pa rty 60 days after that 
Party deposits its instrument of acceptance of th e 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 coming into force of such amendment".   
Amendments 
adopted  Bonn A mendment – 22 June 1979  
 On 22 June 1979, the CoP to CITES adopted an amendment to Article XI, parag raph 3 a), co nsisting of inserting the words  ", and 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 acceptance, i.e. on 13 April 1987. At that time it entered into force only for those  States that had 
accepted the amendment (no matter on what date they became party to the Convention). However, t he amended text of the Convention now applies 
automatically to any State that becomes a Party after the date of entry into force of the amendment.  
Gaborone Amendment – 30 April 1983  
 On 30 April 1983, the CoP to CITES adopted in Gaborone, Botswana, an ame ndment to Article XXI of the Convention to permit accession by regional 
economic integration organizations and especially to allow the E U to become a CITES party.  
 In accordance with Article XVII, paragraph 3, the Gaborone amendment enter ed into force 60 days after 54 of the 80 States that were party to CITES 
on 30 April 1983 ha d deposited their instruments of acceptance , i.e. on 29 November 2013 . At that time it enter ed 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.  
1.2  Trade -related Measures  
CITES provides for trade measures at different decision -making levels:  
a. Trade measures that are legally binding (text of the Convention);  
b. Trade measures decided by the Conference of the Parties ( CoP); 
c. Trade measures decided by the Standing Committee (SC) on behalf of the CoP; 
d. Trade measures recommended by the Animals Committee/Plants Committee;  
e. Trade measures recommended by the Secretariat to the C oP and SC ; and 
f. Stricter domestic trade measures unilateral ly adopted by the Parties.   
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- 10 - 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 authorized 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 thr eatened 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 although 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 surviv al; and  
(b) other species which must be subject to regulation 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 a ny Party identifies as being subject to regulation within its jurisdiction for the purpose of 
preventing or restricting exploitation, and as needing the co -operation of other Parties in the control of trade.  
4. The Parties shall not allow trade in specime ns of species included in Appendices I, II and III except 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 specimens 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 t he 
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 spec imens 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. Reso lution Conf. 5.10 (Rev. CoP15) defines "commercial" 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 Resol ution further defines "primarily commercial" by 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 App endix -I specie s 
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 pe rson or entity seeking to import such specimens."  
2. It must not be detrimental to the survi val 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 prep ared 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 sp ecies. 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 acquisiti on 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 Sp ecies 
Included in Appendix II   Appendix II includes species that are not necessarily now threatened with extinction but that may become so unless trade is subject to strict 
regulation . It also includes so -called "look -alike species". International trade i n 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 that certain conditions are met, and above all, that trade is legal (i.e. trade is in accordance with the provi sions of CITES and the 
specimen is n ot obtained in contravention of the laws of the State of origin) and will not be detrimental to the survival of the species i n the wild.   
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- 11 - Article V  
Regulation of Trade in 
Specimens of Species 
Included in 
Appendix  III  Appendix III comprises a list of spec ies 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 specime ns 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 II I). 
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. CoP 16) further elaborates on the requirements of permits and c ertificates.  Annex 2 to the Resolution contains a 
standard CITES 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 exhibitions) . This Article provides all the exceptions to the regulation of 
trade in wild fauna and flora species listed in the three CITES Appen dices.  
 Guidance on t he application and implementation of Article VII, paragraphs 1, 2, 3, 6 and 7 has been specified in Resolutions Conf. 9.7 (Re v. 
CoP15), 13.6 (Rev. CoP16), 13.7 (Rev. CoP16), 11.15 (Rev. CoP12) and 12.3 (Rev. CoP16) adopted by the Conf erence of the Parties. 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 t he provisions of the present Convention and to prohibit trade in specimens in 
violation thereof. These s hall include measures:  
(a) to penalize trade in, or possession of, such specimens, or both; and  
(b) to provide for the confiscation or return to the St ate 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 expenses incurred as a result of the confiscation of a s pecimen traded in violation of the measures taken in the 
application of the provisions of the present Convention.  
3. As far as possible, the Parties shall ensure that specimens shall pass through any formalities required for trade with a mini mum 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 proper ly 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 i n paragraph 1 of this Article:  
(a) the specimen shall be entrusted to a Management Author ity 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 a ppropriate and consistent with the purposes of the 
present Convention; and  
(c) the Management Authority may obtain the advice of a Scientific Authority, or may, whenever it considers it desirable, con sult the 
Secretariat in order to facilitate the decisio n under sub -paragraph (b) of this paragraph, including the choice of a rescue centre or other place.  
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 li ving 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) th e number and type of permits and certificates granted; the States with which such trade occurred; the numbers or quantities a nd types 
of specimens, names of species as included in Appendices I, II and III and, where applicable, the size and sex of the spec imens in question.  
7. Each Party shall prepare periodic reports on its implementation of the present Convention and shal l 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 inconsistent with the law of the 
Party concerned".   
Article IX  
Management and "1. Each Party shall designate for the purpo ses of the present Convention:  
(a) one or more Management Authorities competent to grant p ermits or certifi cates on behalf of that Party; and   
  WT/CTE/W/160/Rev.8 • TN/TE/S/5/Rev.6  
 
- 12 - Scientific Authorities  (b) one or more Scientific Authorities.  
2. A State depositing an instrument of ratification, acceptance, approval or accession shall at that time inform the Depositary Government of the 
name and address  of the Management Authority authorized to communicate with other Parties and with the Secretariat  …".  
Article XIV  
Effect on Domestic 
Legislation and 
International 
Conventions  "1. The provisions of the present Convention shall in no way affect the right of Parties to adopt:  
(a) stricter domestic measures regarding the conditions for trade, taking, possession or transport of specimens of species in cluded in 
Appendices I, II and III, or the complete prohibition thereof;  or  
(b) domestic measures restricting  or prohibiting trade, 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, convention, or international agreement  relating to other aspects of trade, taking, possession or transport of specimens 
which is in force or subsequently may enter into force for any Party including any measure pertaining to the Customs, publi c health, veterinary 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 b etween States creating 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 agre ement.  
4. A State party to the present Convention, which is also a party to any other treaty, convention or international agreement whi ch is in force at 
the time of the coming into force of the present Convention and under the provisions of which protectio n is afforded to marine 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 registe red in that State and in accordance with the provisions of such other treaty, 
convention or international agreement.  
5. Notwithstanding the provisions of Articles III, IV and V, any export of a specimen taken in accordance with paragraph 4 of 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 accordance 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 pres ent or f uture 
claims and legal views of any State concerning the law of the sea and the nature and extent of coastal and flag State jurisdi ction".  
 Allows for Parties to take stricter domestic measures. Appendix II does not require an import permit, but major imp orting countries have 
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 instan ces, they also apply those conditions to species listed in 
Appendix III.  
1.2.2   Resolutions and Decisions of the Conference of the Parties  
Relevant  Resolutions and Decisions 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 trade in 
specimens of non -indigenous species included in the Appendices make every reasonable effort to notif y 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 ex press a wish to 
confer on the matter; and  
(b) each Party that has taken such stricter domestic me asures 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 th e implementation of the Convention.  
Resolution Conf. 9.21 
(Rev. CoP 13)  "...   (a) a Party wishing the Conference of the Parties to establish a quota for a species included in App endix  I, or to amend an existing quota, 
should submit to the Secretariat its proposal, with supporting information including details of the scientific basis for the proposed quota, at  
  WT/CTE/W/160/Rev.8 • TN/TE/S/5/Rev.6  
 
- 13 - Interpretation and 
Application of Quotas 
for Species included 
in Appendix I  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, pr ovided that:  
i) the quota is not exceeded; and  
ii) no new scientific or management data have emerge d to indicate that the species population in the range State concerned can no 
longer sustain the agreed quota."  
Resolution Conf. 
10.14 (Rev. CoP16)  
Quotas for Leopard 
Hunting Trophies and 
Skins for Personal 
Use "...   (a) in reviewing applications for per mits 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 satisfied that the skins being c onsidered a re 
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 (Re v. 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 plants for the preparation and transport of live spec imens 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 anim als) and the 
IATA Perishable Cargo Regulations (for plants), so as to promote their effectiveness;  
(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 Association (AATA) be continued and that a relationship with the In ternational 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 I ATA 
Perish able 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 requirements;…   
  WT/CTE/W/160/Rev.8 • TN/TE/S/5/Rev.6  
 
- 14 - Resolution Conf. 12.3 
(Rev. CoP1 7)  
Permits and certificat es 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 pre -Convention certificates  
V. Regarding certificates of origin  
VI. Regarding travelling -exhibition certificates  
VII. Regarding phytosanitary certificates  
VIII. Regarding permits and certificates for species subject to quotas  
IX. Regarding permits and certificates  for crocodilian specimens  
X. Regarding permits and certificates for coral specimens  
XI. Regarding permits and certificates for timber species included in Appendices  II and III with the annotation ‘Logs, sawn wood and veneer 
sheets’  
XII. Regarding the use of simplified procedures to issue permits and certificates  
XIII. Regarding retrospective issue of permits and certificates  
XIV. Regarding acceptance and clearance of documents and security measures  
XV. Regarding documents for sample collections covered by ATA carnets  
XVI.   Regarding permits and certificates issue d 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 cer tificate; instructions and explanations; continuation sheet  
Annex 4  Types of biological samples and their use  
Trade in Vicuña Cloth  Resolution Conf. 11.6 (Rev. CoP13) has been deleted and the relevant language about marking is now contained in annotations  1, 2, 3, 4, and 5 to 
the listing of vicuña in Appendix II.  These annotations were amended at CoP17.  
Resolution Conf. 11.7  
Conservation of and 
Trade in Musk Deer  "... Urges all Parties, particularly musk deer range and consuming countries and those throu gh which musk deer specimens pass in transit, to take 
immediate action in order to reduce demonstrably the illegal trade in musk deriving from wild musk deer by:  
(a) introducing innovative enforcement methods in range and consumer States and, as a matter o f priority, strengthening enforcement efforts 
in key border regions;  
(b) pursuing the development of a clear labelling system for products containing musk, and the development and dissemination of forensic 
methods to detect natural musk in medicinal and ot her products;  
(c) encouraging all range States and consumer States that are not party to CITES to accede to it at the earliest possible dat e in order to 
improve international trade control of raw musk and products containing musk;  
(d) working with musk con sumers to develop alternatives for raw musk in order to reduce demand for natural musk, while encouraging the 
development of safe and effective techniques for collecting musk from live musk deer; and  
(e) developing bilateral and regional agreements for imp roving musk deer conservation and management, strengthening legislation and 
strengthening enforcement efforts;  …" 
Trade in Appendix -II 
and –III Species  Resolution Conf. 11.18 has been deleted and the relevant language included in Resolution Conf. 11.3 (Re v. CoP16) on Compliance and 
enforcement.   
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- 15 - Resolution Conf. 12.7 
(Rev. CoP1 7) 
Conservation of and 
Trade in Sturgeons and 
Paddlefish  "... Urges  the range States of species in the Order Acipenseriformes to: …  
(b) curtail the illegal fishing of and trade in st urgeon 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 t o regulating trade in sturgeon products, 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  Secretariat 
without delay. A copy of the list should be p rovided to the Secretariat by 30 November 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 a ll aspects of the trade in specimens 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 sturgeo n 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 
mechanis ms needed to implement the provisions 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 
exemp tion 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 quota year 
at the latest. Parties should not import caviar harvested or processed in the preceding quota year.  
(g) no re -export of caviar take place more than 18 months after the date of issuance of the relevant original export permit. For that p urpose, 
re-export certificates should not be valid beyond the 18 -month period;  
(h) Parties supply UNEP -WCMC c opies 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;  
(k) Parties implement the universal  labelling system for caviar outlined 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 t he case of pressed caviar ". 
Resolution Conf. 12.8 
(Rev. CoP1 7) 
Review of Significant 
Trade in Specimens of 
Appendix -II species  "... Directs the Animals and Plants Committees, in cooperation with the Secretariat and experts, and in consultation with ran ge States, to review 
the biological, 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) of the Conve ntion in accordance  with the following procedure:  
When the Animals and Plants Committees are not satisfied that Article IV, paragraphs 2 a), 3 or 6 are being correctly impleme nted:  
(m) the Animals Committee or Plants Committee shall, in consultation with the Secretariat, formulate recommendations for the remaining 
species. These recommendations shall be directed to the range States concerned;  
(n) for species of urgent concern, these recommendations should propose specific actions to address problems relate d to the implementation 
of Article IV , paragraph 2  (a), 3 or 6  (a). Such recommendations should differentiate between short -term and long -term actions, and may 
include, for example:  
i) the establishment of administrative procedures, cautious export quotas or temporary restrictions on expor ts of the species concerned; 
… 
(o) for species of possible concern, these recommendations should specify the information required to enable the Animals or P lants Committee 
to determine whether the species should be categor ized as either of urgent concern or of least concern. They should also specify interim 
measures where appropriate for the regulation of trade. Such recommendations should differentiate between short -term and long -term 
actions, a nd may include, for example:   
  WT/CTE/W/160/Rev.8 • TN/TE/S/5/Rev.6  
 
- 16 - i) the establishment of cautious export quotas for the species concerned as an interim measure; ...  
(s) when the Secretariat, having consulted with the Chairman of the Animals or Plants Committee, is not satisfied that a range St ate has 
implemented the re commendations made by the Animals or Plants Committee in accordance with paragraphs  n) or o), it should recommend to 
the Standing Committee appropriate action, which may include, as a last resort, a suspension of trade in the affected species  with that Sta te. 
On the basis of the report of the Secretariat, the Standing Committee shall decide on appropriate action and make recommendat ions to the 
State concerned, or to all Parties ...".  
Resolution Conf. 13.2 
(Rev.  CoP 14)  
Sustainable Use of 
Biodiversity:  Add is 
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 circumstan ces, 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 Abab a Principles and Guidelines:  
Practical P rinciple 3: International, national policies, laws and regulations that distort markets which contribute to habitat degradati on or otherwise 
generate perverse incentives that undermine conservation and sustainable use of biodiversity, should be identified and removed or mitigated. ..."  
Resolution Conf. 13.4 
(Rev.CoP16)  
Conservation of and 
trade in great apes  "... Urges all Parties to:  
(a) adopt and implement comprehensive legislation to protect great apes, which includes:  
i) a prohibition of all internati onal trade for primarily commercial purposes, including sale, display, purchase, offer to purchase and 
acquisition for commercial purposes of wild -caught specimens of great apes; and  
ii) deterrent penalties aimed at eliminating illegal trade in great apes  and parts and derivatives thereof;  
Directs the Secretariat to:  
(a) work closely with Parties, and as a member of the GRASP partnership, to develop and implement measures, including legislative  and 
enforcement measures and regional and sub -regional initia tives, to halt or reduce and ultimately eliminate illegal trade in great apes;  
(b) work closely with ICCWC partners to support the implementation of this Resolution  
(c) assist range States in the implementation of national and regional conservation plans,  where these include measures aimed at eliminating 
illegal trade; and  
(d) report to the Standing Committee on the implementation of this Resolution at each of its regular meetings.  
Urges the Secretariat, the Standing Committee and the Animals Committee to work closely with GRASP, and to explore and implement other 
measures through which the Convention can contribute to the conservation of great apes and to the promotion of public awarene ss of the threat 
posed to great ape populations by illegal trade; ..."  
Resolution Conf. 13.5 
(Rev. CoP14)  
 Establishment of 
export quotas for black 
rhinoceros hunting 
trophies  "... The [CoP] to the Convention recommends that the parties:  
Approves the establishment of an annual export quota of five hunting trophies of adult m ale black rhinoceros from South Africa and five from 
Namibia;  
Recommends that:  
(a) in reviewing applications for permits to import black rhinoceros hunting trophies, in accordance with Article III, paragr aph 3 (a), of the 
Convention, and Resolution Conf. 9.21 (Rev. CoP13), paragraph b), the Scientific Authority of the State of import approve permits 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 c onservation 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 import 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 a s 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. CoP13)".   
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- 17 - 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 wh en 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 considerin g exports of 
potentially inv asive species, to determine whether there are domestic measures regulating such imports  ..."; and  
(c) consider the opportunities for synergy between CITES and the Convention on Biological Diversity (CBD) and explore appropr iate 
cooperation and collaboratio n between the two Conventions on the issue of introductions of alien species that are potentially invasive."  
Resolution Conf. 14.4  
Cooperation between 
CITES and ITTO 
regarding trade in 
tropical timber  The [CoP] to CITES:  
Welcomes the work of ITTO in prom oting transparent markets, trade in tropical timber from sustainably managed tropical forests 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 im prove 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  threatened by 
international trade and sustainable management of tropi cal timber producing forests; and  
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 t hat ‘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 international law, as reflected in the United Nations Con vention 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 jurisdiction  of any State 
by a vessel registered in one State and is transported into that same Sta te, 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 specimen 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 Article IV, 
paragraphs 2, 3 and 4, respectively, should be applied, wi th the State in which the vessel that took the specimen is registered 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 exp ort quota is a limit on the number or quantity of specimens of a particular species that may be 
exported from the country concerned within 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 re cognized that there are some cases in which it is likely that the export of specimens removed from the wild will occur after 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 the 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 -implem ented export quota system can be an advantage for any Party to CITES that authorizes exports. It eliminates the need for a 
non-detriment finding for each individual shipment of CITES specimens, provides a basis for monitoring the trade and may facilita te the issuance of 
export permits. In the case of species whose populations span international borders, the establishment of export quotas can b e 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, administrative o r 
other management context. In some cases, the use of quotas could have an undesirable effect, particularly if they are not adj usted as necessary to 
take into account changing biological, legal or administrative needs. For example, where a quota has been set for a particula r year but the species  
  WT/CTE/W/160/Rev.8 • TN/TE/S/5/Rev.6  
 
- 18 - 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 scientifically based, and 
harvests managed in the most appropriate manner . This requires that implementation, including administra tive, legislative and enforcement 
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 and trade in specimens 
of CITES -listed species, taking into account environmental, social and economic issues and relevant policy instruments, in order to fa cilitate a 
better understanding  of the effects of wildlife trade policies on the international wildlife trade;  … 
(d) Requests Parties that undertake wildlife trade policy reviews on a voluntary basis to share relevant details of their rev iews and lessons 
learned with other Parties;  
(e) Instructs the Secretariat to facilitate the review of wildlife trade policies, through raising the necessary funds and provid ing necessary 
technical cooperation, compile  information provided voluntarily by the Parties regarding their wildlife trade policy reviews and make this 
information available to other Parties  ..."  
Resolution Conf. 16.3 
(Rev. CoP 17) CITES  
Strategic Vision: 2008 -
2020  
 The [CoP] to CITES:  
“Adopts the CITES Strategic Vision: 2008 -2020”  
Contains the CITES vision statement:” Conserve b iodiversity and contribute to its sustainable use by ensuring that no species of wild fauna or flora 
becomes or remains subject to unsustainable exploitation through international trade, thereby contributing to the significant  reduction of the rate of 
biodiversity loss and making a significant contribution towards achieving the relevant Aichi Biodiversity Targets".  
 
Establishes three goals with related objectives:  
GOAL 1 -  ENSURE COMPLIANCE WITH AND IMPLEMENTATION AND ENFORCEMENT OF THE CONVENTION  
GOAL 2 -  SECURE THE NECESSARY FINANCIAL RESOURCES AND MEANS FOR THE OPERATION AND IMPLEMENTATION OF THE CONVENTION  
GOAL 3 -  CONTRIBUTE TO SIGNIFICANTLY REDUCING THE RATE OF BIODIVERSITY LOSS AND TO ACHIEVING RELEVANT 
GLOBALLY -AGREED GOALS AND TARGETS BY ENSURIN G THAT CITES AND OTHER MULTILATERAL INSTRUMENTS AND PROCESSES 
ARE COHERENT AND MUTUALLY SUPPORTIVE  
Objective 3.1  Cooperation between CITES and international financial mechanisms and other related institutions is enhanced in order to suppo rt 
CITES -related c onservation and sustainable development projects, without diminishing funding for currently prioritized activities.  
Objective 3.2  Awareness of the role and purpose of CITES is increased globally.  
Objective 3.3  Cooperation with relevant international enviro nmental, trade and development organizations is enhanced.  
Objective 3.4  The contribution of CITES to the relevant Millennium Development Goals, the sustainable development goals set at WSSD, the 
Strategic Plan for Biodiversity 2011 -2020 and the relevant Ai chi Biodiversity Targets, and the relevant outcomes of the United 
Nations Conference on Sustainable Development is strengthened by ensuring that international trade in wild fauna and flora is  
conducted at sustainable levels.  
Objective 3.5  Parties and the S ecretariat cooperate with other relevant international organizations and agreements dealing with natural 
resources, as appropriate, in order to achieve a coherent and collaborative approach to species which can be endangered by 
unsustainable trade, includi ng those which are commercially exploited.  
Resolution Conf. 16.6 
(Rev. CoP17) CITES and 
livelihoods  The [CoP] to the Convention:  
“Recommends the following to be considered when Parties address livelihood issues:  
Regarding empowerment of rural communities  
Encourages Parties to work with key stakeholder groups to design, implement and monitor effective strategies with regard to t he implementation of 
CITES listings,  
Regarding enabling policies  
Invites Parties to initiate or strengthen collaborative partnershi ps among local, regional, national and international development and conservation 
agencies to enhance:  
(a) financial support for wildlife conservation and rural communities; and  
(b) the complementarity of thei r work and CITES implementation.   
  WT/CTE/W/160/Rev.8 • TN/TE/S/5/Rev.6  
 
- 19 - Invites Partie s to explore the use of registered marks of certification and origin consistent with CITES provisions; and  
invites international financial institutions and cooperation agencies to assist Parties in the development of supportive poli cies and institutions at  the 
regional, national and local levels to address impacts of the implementation o f listings on rural communities  
Regarding the potential shift from in situ to ex situ production  
Recognizes that:  
(a) ex situ production may lead to loss of revenues for rur al 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 a ssociations; and  
ii) conser vation and development projects.  
Resolution Conf. 16.7 
(Rev. CoP17) Non-
detriment findings  The [CoP] to the Convention:  
Recommends that:  
(a) Scientific Authorities take into account the following concepts and non -binding guidin g principles in considering whether trade would be 
detrimental to the survival of a species:  
i) a non -detriment finding for an Appendix -I or -II species is the result of a science -based assessment that verifies whether a 
proposed export is detrimental to t he survival of that species or not;3 
ii) Scientific Authorities should consider whether the species would be maintained throughout its range at a level consistent wit h its role 
in the ecosystems in which it occurs;  
iii) in making a non -detriment finding, S cientific 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 proportionate to  the 
vulnerability of the species concerned;  
v) the making of an effective non -detriment finding relies upon a correct identificati on 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 wild origin 
for example;  
vii) the methodology used should be flexible enough to allow for consideration of the specific and individual characterist ics of different 
taxa; 
viii) the implementation of adaptive management, including monitoring, is an important consideration in the making of a non -detriment 
finding;  
ix) the non -detriment finding is based on resource assessment methodologies which may incl ude, but are not limited to, consideration 
of: 
 A. species biology and life -history characteristics;  
 B. species range (historical and current);  
 C. population structure, status and trends (in the harvested area, nationally and internationally);  
 D. threat s; 
 E. historical and current species -specific levels and patterns of harvest and mortality (e.g. age, sex) from all sources combined;  
 F. management measures currently in place and proposed, including adaptive management strategies and consideration of le vels   
  of compliance;  
 G. population monitoring; and  
 H. conservation status; and  
                                                
3 In considering whether an export may be detrimental, the sustainability of the overall harvest will usually be a necessary co nsideration.   
  WT/CTE/W/160/Rev.8 • TN/TE/S/5/Rev.6  
 
- 20 - 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 speci es biology, life history, distribution and population trends;  
 B. details of any ecological risk assessments conducted;  
 C. scientific surveys conducted at harvest locations and at sites protected from harvest and other impacts; and  
 D. relevant knowledge and expertise of l ocal 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 investigations of sales at markets or 
through the Internet for example; and  
(b) Scientific Authorities consider, as a reference for making non -detriment finding s, the information included in the Annex to document 
AC26/PC20 Doc. 8.4 and any subsequent updates available on the CITES website4. 
Resolution Conf. 16.8 
(Rev. CoP17) Frequent 
cross -border non -
commercial movements 
of musical instruments  The [CoP] to the Convention:  
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 t he Appendices:  
(a) Parties issue a musical instrument certificate for a pre -Convention Appendix -I, -II or -III personally -owned musical instrument or for a 
personally -owned musical instrument containing specimens of Appendix -II or -III species acquired aft er the effective listing date (“personal 
effects”), to facilitate the frequent non -commercial cross -border movement of musical instruments for purposes including, but not limited to, 
personal use, perf ormance, display or competition  
Resolution Conf. 16.10   
(Rev. CoP17)  
Implementation of the 
Convention for 
agarwood -producing 
taxa The [CoP] to the Convention:  
Regarding management and trade control  
Encourages range States to establish a registration system for the artificial propagation of agarwood -producing trees;  
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 all Parties through a 
Notification.  
Resolution Conf. 17.4  
Demand 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 wi ldlife products to:  
a) develop strategies to reduce the demand for illegal products of wild animals and plants through demand campaigns and to en hance, 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) act ively develop and implement well -targeted, species -specific, evidence -based campaigns by engaging key consumer groups and targeting the 
motivations for the demand, including the speculative nature of the demand, and develop specific messaging approaches an d methods for target 
audiences;  
d) create greater awareness of the broader consequences and impacts of illegal harvest and illegal trade of wildlife and plan ts, particularly on wild  
populations and the ecosystems in which they exist, as well as raise awar eness of broader impacts of wildlife trafficking on livelihoods and 
sustainable development; and  
e) strengthen legal and enforcement deterrents by creating greater awareness of laws prohibiting trade in illegal wildlife pr oducts and any 
associated penaltie s;  
                                                
4 See: http://www.cites.org/eng /prog/ndf/index.php .  
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- 21 - Resolution 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 whi ch relates to the implementation or enforcement of CITES greatly 
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, implementation or enforcement of CITES are punishable with appropria te penalties under 
national legislation;  
3. Reiterates its call to all Parties that have not yet ratified UNCAC and UNTOC to do an d 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 e nforcement agencies, judicial authorities, as well as with relevant 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 provisions 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  
Review of trade in 
animal specimens 
reported as produced in 
captivity  The [CoP] to the Convention:  
… 
2. Direct s the Animals and Standing Committees, in cooperation with the Secretariat, relevant experts an d in consultation with Parties, to review 
biological, trade and other relevant information reported as produced in captivity  
 
Resolution Conf. 17.7 -2  
Regarding animal species subject to significant levels of trade using source codes C,D,F or R, to identif y problems associated with the 
implementation of the Convention and to develop solutions in accordance with the following 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 im plementation of recommendations  
Resolution 17.8  
Disposal of illegally 
traded and confiscated 
specimens of CITES -
listed sp ecies  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 th e seizure and confiscation of such specimens are generally preferable to the definitive refusal of the import of the 
specimen;  
ii) notify as 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 co nfiscation 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 re turn to the country and providing for their confiscation;    
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- 22 - Resolution 17.9  
Trade in hunting 
trophies of species 
listed in Appendix I or 
II The [CoP]  to the Convention:  
… 
2. Urges exporting countries to only auth orize 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 
countr y 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 conforms to the 
definition of hunting trophy as contained in Resolution Conf. 12.3 (Rev. CoP17) on Perm its 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 certific ate, that:  
i) is raw, processe d or manufactured;  
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 export of the hunting trophy would be detr imental to the 
survival of the species; which may include:  
i) information relating to distributions, status and trends of populations b ased on national conservation plans, where applicable and 
which informs harvests; and  
ii) a review of the sustainability  of harvest levels taking account all mortality sources affecting the wild populations of the species, 
including mortality due to illegal killing;  
Resolution 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, transit 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) methods and tec hniques to detect and identify illegal ly 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 pa ngolins; 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 deri vatives of pangolins in 
trade;  
Resolution 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 an y 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 an d derivatives, except  
for bona fide purposes, including conservation, scientific research, cultural activities, education and forensic investigatio n;   
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- 23 - Resolution 17.12  
Conservation, 
sustainable use of an d 
trade in snakes  The [CoP] to the Convention;  
Regardin g monitoring and trade controls  … 
8.Encourages Parties to use guidance developed for monitoring wild populations and 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 of 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 enforcement 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;  
1.2.3   Quota systems within CITE S  
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 Notifica tion to the Parties No. 200 8/053 of 22 August 2008 ): 
(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 w ith Resolution Conf. 10.10 (Rev. CoP17 ) and d) catch and 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 
managemen t 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.  
CITES quotas have served as  a significant conservation measure to curtail unsustainable trade in Appendix -II species (and therefore the likely transfer of such 
species to Appendix I), but also to help countries regulate trade and maintain market access in situations where internatio nal trade provides positive incentives 
for conservation.  
1.2.3.1   Voluntary national export quotas  
Many Parties routinely establish annual export quotas on a voluntary basis for one or more Appendix -II and/or –III species as a means of regulating exports in 
those s pecies . 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 ranch ing or captive breeding 
operations;  
- to announce the intended level of exports to both producers at national level and importers for the purpose of facilitating t rade;  
- to establish a basis for allocating amounts to be exported per year to individual exporte rs. 
In June 2007, the CoP adopted Resolution Conf.  14.7 on the Guidelines for Management of Nationally Established Export Quotas, specifying a number of 
general principles regarding the establishment and management of such annual export quotas. This Resolu tion was later revised by the CoP in March 2010 and 
is now referred to as Resolution Conf. 14.7 (Rev.CoP15).   
  WT/CTE/W/160/Rev.8 • TN/TE/S/5/Rev.6  
 
- 24 - 1.2.3.2   Quotas established by the CoP or the Standing Committee  
At previous meetings, the CoP to CITES has established quotas for hunting trophies and oth er 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. C oP14) 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 a nnotation for Crocodylus niloticus  that es tablishes 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 onl y 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 specified in the 
Appendices need to be submitte d 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 status assessments, apply mana gement 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 recommendation s can include the establi shment of quotas or the suspension of imports with regard to specimens of listed  
species (e.g.  Notification to the Parties No 2016/018 of 15 March 2016 ). 
 
1.2.3.3   Quotas submitted or established in accordance with Resolution Conf. 10.10 (Rev. CoP1 7) and Resolution  Conf. 12.7 (Rev. CoP1 7) 
Export quotas are also established with regard to trade in specific species, i.e. elephant specimens (Resolution Conf. 10.10 Rev. CoP17) and sturgeons and 
paddlefish (Resolution Conf. 12.7 Rev. CoP1 7). These quotas are established by the member States in accordance with the said Resolutions.  
1.3  Supportive measures  
CoP Decisions 17.58 -17.64  – National laws for implementation of the Convention  
 
CoP Decisions 17.58 -17.64 are available at: https://cites.org/eng/dec/valid17/81833 . 
 
17.58 Decision directed to: Parties  
Parties whose legislation is in Category 2 or 3 under the National Legislation Project (NLP) are urged to submit to the Secretariat as soon as possible, and no later than b y the 70th 
meeting of the Standing Committee, in one of the three working languages of the Convention, details of appropriate measures t hat have been adopted for the effective 
implementation of the Convention. Such Parties are called on to provide an updat e of their legislative progress by the 69th meeting of the Standing Committee.  
 
17.59 – Decision directed to: Parties  
Such Parties are urged to submit to the Secretariat by 3 January 2017 (i.e. 90 days after the 17th meeting of the Conference of the Parti es) a legislative timetable, to be agreed 
with the Secretariat, if they have not already done so. Such timetables should clearly set out the steps that the Party commi ts in order to adopt appropriate measures to 
implement the Convention; relevant actors; d eadlines and outputs, based on the format provided by the Secretariat.  
 
17.60 – Decision directed to: Parties  
Parties whose legislation is in Category 1 under the National Legislation Project are encouraged to review their national CIT ES-implementing legi slation for areas where it may not  
fully satisfy the requirements of the Convention, in particular with regard to the possession of illegally traded specimens o f CITES -listed species, and to adopt any necessary  
  WT/CTE/W/160/Rev.8 • TN/TE/S/5/Rev.6  
 
- 25 - amendments. Those Parties are also encouraged  to provide technical or financial assistance to one or more Parties whose legislation is in Category 2  or 3 under the National 
Legislation Project, either directly or through the Secretariat.  
 
17.61 – Decision directed to: Standing Committee  
At its 69th meeting, the Standing Committee shall review the progress of Parties in adopting appropriate measures for effective implementa tion of the Convention and submission 
of agreed timetables and take appropriate compliance measures with regard to Parties affected  by Decision 17.58 that have failed to submit an appropriate legislative timetable in 
accordance with Decision 17.59. The Standing Committee shall identify Parties requiring attention as a priority, with the ass istance of the Secretariat.  
 
17.62 – Decision  directed to: Standing Committee  
At its 70th meeting, the Standing Committee shall review the progress of Parties in adopting appropriate measures for effective implement ation of the Convention and shall take 
appropriate compliance measures with regard to Parties affected by Decision 17.58 that have failed to adopt appropriate measures for the effective implementation of the 
Convention or failed to take steps to effectively implement their legislative timetable. For Parties that have acceded to the  Conventi ons since March 2008, the Standing 
Committee may decide to allow more time to adopt appropriate measures.  
 
17.63 – Decision directed to: Standing Committee  
Such compliance measures may include a recommendation to suspend trade with Parties affected by Deci sion 17.58 that have failed to adopt appropriate measures for the 
effective implementation of the Convention or failed to submit an appropriate timetable, or failed to effectively implement t heir legislative timetable, in particular Parties requiring 
attention as a priority. Any recommendation to suspend trade with the Party concerned shall take effect 69 days after it is agreed , unless the Party adopts appropriate measures 
before the expiry of the 60 days or submits an appropriate legislative timetable, to  be agreed with the Secretariat or takes steps to effectively implement their legislative 
timetable.  
 
17.64 – Decision directed to: Secretariat  
The Secretariat shall:  
a) compile and analyse the information submitted by Parties on measures adopted before the 18th meeting of the Conference of the Parties (CoP18) to fulfil the 
requirements laid down in the text of the Convention and Resolution Conf. 8.4 (Rev. CoP15) on National laws for implementatio n of the Convention;  
b) review and agree to appropriate ti metables, submitted by Parties, to the Secretariat and make such agreed timetables available for information to the Standing 
Committee;  
c) assist the Standing Committee in identifying countries with legislation in Category 2 or 3 requiring attention as a priority;  
d) subject to external funding, provide legal advice and assistance to Parties on the development of appropriate measures for  effective implementation of the Convention 
including legislative guidance for and training of CITE S authorities, legisl ative drafters, policymakers, the judiciary, parliamentarians and other relevant government 
officials responsible for the formulation and adoption of CITES -related legislation;  
e) subject to external funding, cooperate, in the provision of legislative ass istance, with the legal programmes of United Nations bodies and intergovernmental 
organizations, such as the Food and Agriculture Organization of the United Nations (FAO), the United Nations Development Prog ramme (UNDP), The United Nations Office  
on Drugs  and Crime (UNODC) the United Nations Environment Programme (UNEP), the World Bank and regional development banks , as well as regional organizations, 
such as  the African, Caribbean and Pacific Group of States (ACP), the Amazon Cooperation Treaty Organizat ion (ACTO), the Association of South East Asian Nations 
(ASEAN), League of Arab States (LAS), the Organization of American States (OAS) and the South Pacific Regional Environment Programme ( SPREP);  
f) report at the 69th and the 70th meeting of the Standin g Committee on Parties' progress in adopting appropriate measures for effective implementation of the Convention 
and, if necessary, recommend the adoption of appropriate compliance measures, including as a last resort, recommendations to suspend trade in s pecimens of CITES -
listed species; and  
g) report  at the 18th meeting of the Co P on progress made with regard to the implementation of Resolution Conf. 8.4. (Rev. CoP15) and Decisions 17.58 through 17.64.  
 
Decisions 17.65 -17.69 –Compliance Matters  
 
CoP Deci sions 17.65 -17.69 are available at:  https://cites.org/eng/dec/valid17/81834 . 
  
17.65 – Decision directed to: Parties   
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- 26 - Parties are encouraged to provide to the Secretariat with: any examples and relevan t information regarding methodologies, practical tools, legislative information, forensic 
expertise and other resources used to monitor compliance with the Convention and to verify the legal acquisition of specimens  of CITES -listed species to be exported i n 
accordance with Article III, paragraph 2(b), Article IV, paragraph 2(b), and Article V, paragraph 2(a) of the Convention (ref erred to as 'legal acquisition finding '). 
 
17.66 – Decision directed to: Standing Committee  
The Standing Committee shall, with th e assistance of the Secretariat:  
a) consider whether a Compliance Assistance Programme (CAP ) should be established to assist countries with difficulties in achieving compliance, including how such a CAP 
would be funded;  
b) consider further guidance for v erifying the legal acquisition of specimens of CITES -listed species to be exported;  
c) provide guidance on verifying the legal acquisition of founder stock of captive -bred CITES listed species to be exported; and 
d) make appropriate recommendations for con sideration at the 18th meeting of the Conference of the Parties.  
 
17.67 – Decision directed to: Secretariat  
Subject to the availability of external funding, the Secretariat, in collaboration with other relevant institutions, cooperat ion agencies and potent ial donors, shall:  
a) organize an international workshop on guiding principles, methodologies, practical tools, information,  forensic expertise, compliance  risk assessments and other legal resources 
needed by Management Authorities to verify the legal acq uisition of specimens of CITES -listed species to be exported; and 
b) prepare and submit for consideration by the Standing Committee, a proposal for further guidance for verifying the legal ac quisition of specimens of CITES -listed to be 
exported.  
 
17.68 – Decision directed to: Secretariat  
The Secretariat shall assist the Standing Committee in the preparation of its findings and recommendations with regard to the  implementation of Decision 17.66.  
 
17.69 – Decision directed to: Secretariat  
The Secretariat sha ll report on the implementation of Article XIII and Resolution Conf. 14.3 on CITES compliance procedures to the Standing Comm ittee and at the 18th meeting 
of the Conference of the Parties.  
 
Decisions 17.83 – 17.85  – Enforcement Matters  
 
CoP Decisions 17.8 3-17.85 are available at: https://cites.org/eng/dec/valid17/81836 . 
 
17.83 – Decision directed to: Secretariat  
The Secretariat shall, subject to external funding:  
a) request the International Consort ium on Combating Wildlife Crime (IICWC) to develop guidelines that could be used to promote adequate integrity policies, and assist 
Parties to mitigate the risks of corruption in the trade chain as it relates to CITES -listed specimens;  
b) work with the Wo rld Bank and other ICCWC partner organizations to mobilize the "Wildlife crime and anti -money laundering" training programme developed under the 
auspices of ICCWC, to enhance capacity amongst law -enforcement agencies, prosecutors and judges, to detect and investigate illegal transactions and suspicious activities 
associated with wildlife crime, and to effectively prosecute and adjudicate money -laundering cases associated with wildlife crime;  
c) in consultation with identified laboratories, and in collaborat ion with ICCWC partners organizations and the ICCWC Wildlife Forensics  Advisory Group, compile an 
electronic directory of laboratories that conduct wildlife forensic testing, that meet the minimum quality assurance standards and that, subject to available resources, are 
able and willing to carry out wildlife forensic analyses upon request from other countries;  and 
d) convene a Task Force on illegal trade in specimens of CITES -listed tree species, consisting of representatives of Parties affected by illicit trafficking in such specimens, 
ICCWC partner organizations, other intergovernmental organizations, such as the Food and Agriculture Organization of the Unit ed Nations (FAO), regional enforcement 
networks, other Parties and experts. The Task Force should de velop strategies to combat illegal trade in specimens of CITES -listed tree species, including measures to 
promote and further strengthen international cooperation . 
  
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- 27 - 17.84 – Decision directed to: Secretariat  
The Secretariat shall report on the implementatio n of Decision 17.83 at the 69th and 70th meetings of the Standing Committee.  
 
17.85 – Decision directed to  Standing Committee  
The Standing Committee shall:  
a) examine mechanisms to facilitate the efficient international movement of samples for forensics o r enforcement purposes, for consideration by the 18th Conference of the 
Parties; and  
b) with support of the Secretariat, explore to strengthen cooperation and collaboration between CITES and the United Nations Convention against Transnational Organized 
Crime and the United Nations Convention against Corruption, including through their respective programmes of work and Secretaria ts, and report at the 18th meeting of 
the Conference of the Parties.  
 
Decisions 17.70 to 17.82 National ivory action plans process  
 
17.70 – Decision directed to: Parties  
Parties that have been implementin g the National I vory action plans process (NIAPS) at the request of the Standing Committee, should complete the implementation of any NIAP 
actions in accordance with the Guidelines to  the NIAP Process.  
 
17.71 – Decision directed to: Parties  
New Parties identified in document CoP17 Doc. 57.6 (Rev. 1) on ETIS Report of TRAFFIC, shall, upon the conclusion of the Conf erence of the Conference of the Parties at its 17th 
meeting, collaborate with the Secretariat in regards of Step 1 of the NIAP process as defined in the Guidelines to the NIAP Process.  
 
17.72 Decision directed to: Parties  
All Parties are invited to provide financial and/or technical assistance for the development and effective implementation of the NIAPs process.  
 
17.73 – Decision directed to: Standing Committee  
The Standing Committee is directed to:  
a) review the reports presented by Parties already in the NIAP process in accordance with the Guidelines and determine, on th e basis of these reports, whether assistance 
is required by these countries or if any other measures are required to ensure timely and effective completion of the NIAPs;  
b) on the basis of recommendations by the Secretariat, determine in accordance with the Gu idelines to the NIAP Process whether any Party should continue to particip ate 
in the NIAP process;  
c) report to the Conference of Parties at its 18th meeting on the implementation of these decisions as part of its report on the general implementation of R esolution 
Conf.10.10 (Rev.CoP17) on Trade in elephant specimens.  
 
17.74 – Decision directed to: Secretariat  
The Secretariat shall upon the conclusion  of the 17th meeting of the Conference of the Parties consult with TRAFFIC in order to review current names  of the c ategories used to 
group Parties identified in the ETIS Report of TRAFFIC and present its conclusions to the 69th meeting of the Standing Committee.  
 
17.75 – Decision directed to: Secretariat  
The Secretariat shall, upon the conclusion of the 17th meeting of the Conference f the Parties, commence the process of identifying new Parties to participate in the NIAP process 
in accordance with the Guidelines to the NIAP Process contained in Annex 3 of Resolution Conf. 10.10 (Rev. CoP17).  
 
17.76 – Decision  directed to: Secretariat  
The Secretar iat shall, upon the conclusion of the 17th meeting of the Conference of the Parties, commence the application of the Guidelines to the NIAP Process to Parties already 
participating in the NIAP process.  
 
17.77  - Decisio n directed to: Secretariat   
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- 28 - The Secretariat shall develop a template for NIAPs and progress reports in accordance with the Guidelines to the NIAP Process .  
 
17.78  - Decision directed to: Secretariat  
The Secretariat shall submit progress reports of Parties t o the Standing Committee at each of its meetings.  
 
17.79  - Decision directed to: Secretariat  
The Secretariat shall make all NIAPs and progress reports publicly available on the CITES NIAP webpage.  
 
17-80 – Decision directed to: Secretariat  
The Secretariat shall, subject to external funding:  
a) convene a meeting from representative of Parties concerned with the development and implementation of National Ivory Actio n Plans, in cooperation with partners 
organizations in the International Consortium on Combati ng Wildlife Crime (ICCWC) and, as appropriate, other Parties, experts and donors, to:  
i) review the development and implementation  of National Ivory Action Plans and, inter alia, exchange experiences and best practices;  
ii) identify opportunities includi ng opportunities that promote long -term collaboration among enforcement authorities, for cross -border collaboration and regional 
cooperation, joint actions, and resource mobilisation; and  
iii) discuss shared cha llenges and technical assistance  needs;  
b) report on the implementatio n of the present decision to th e Standing Committee at its 69th or 70th meeting with recommendations, as appropriate.  
 
17.81 – Decision directed to: Secretariat  
The Secretariat shall l iaise with ICCWC and its members to seek their  cooperation for the development of the NIAPS and the monitoring of their implementation.  
 
17.82 – Decision directed to: Secretariat  
The Secretariat shall approach Parties, governmental, intergovernmental and non -governmental organizations and other source s to provide financial and/or technical assistance 
for the development and effective implementation of the NIAPs  process.  
 
More information on National Ivory Action Plans (NIAPs) is available at https://cites.or g/eng/niaps . 
 
Other relevant Decisions adopted at 17th meeting of the C oP, Johannesburg 2016.  
 
Decisions 17.41 to 17.43 Food security and livelihoods  
Decisions 17.44 to 17.48 Demand reduction  
Decisions 17.87 to 17.88 Domestic markets for frequently illega lly traded specimens  
Decisions 17.89 to 17.91 Specimens produced from synthetic or cultured DNA  
Decisions 17.118 to 17.119 Disposal of confiscated specimens  
Decisions 17.152 to 17.155 Traceability  
Decisions 17.156 to 17.159 Electronic systems and informati on technologies  
Decisions 16.58 (Rev. CoP17) Physical inspection of timber shipments  
Decisions 17.170 Stocks and stockpiles (specimens of CITES -listed species)  
Decisions 17.175 to 17.177, 16.156 (Rev. CoP17) Definition of the term 'artificially propagated ' 
 
 The core administrative costs of the Secretariat, the Conference of the Parties and its subsidiary bodies, the Standing Commi ttee and the other permanent committees, are 
financed from the CITES Trust Fund. This Trust Fund is replenished from contributi ons from the Parties to the Convention based on the United Nations scale of assessment, 
adjusted to take account that not all members of the United Nations are Parties to the Convention.  The European Commission provides  significant financial support for th e 
implementation of externally funded projects.  
 
 The CITES Secretariat provides technical assistance to developing countries through special programmes. These programmes aim to raise the capacity of Partie s to implement  
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- 29 - the Convention. CITES' training a ctivities are coordinated by the Knowledge Management and Outreach Services (KMOS) team in the Secretariat. Capacity -building activities 
include: workshops, seminars, training packages, dissemination of information through the Internet, CITES Virtual Colle ge and InforMEA portal, technical assistance. The 
Scientific Services team (SST) provides assistance to the CITES Parties to enhance the scientific basis for decision -making in CITES. S ST is responsible for workshops on 
non-detriment findings and quota man agement, as well as the creation of identification manuals. Compliance and enforcement are also important focal activities of  the CITES 
Secretariat. The Regulatory Services team monitors national reports, responds to permit queries, provides legal and poli cy 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 complia nce, provides technical assistance to enforcement 
officers in relation to al legations of illegal trade, organizes enforcement seminars and works with KMOS to  preparate relevant training packages. The Governing Bodies and 
Meeting Services team assists the Parties with Convention -related documentation and provides logistic support i n the organization of CITES meetings. KMOS 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 assi stance in the development of legislation 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 d rafters, etc.) und ertaking country missions or organizing 
regional workshops, and providing written advice and/or comments on draft legislation. Parties to CITES have precisely define d an approach, the National Legislation Project, for 
reviewing and evaluating domestic meas ures 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 interac tion between environmental and trade 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 surve ys, a number of which have been aimed at gathering information on a specific 
population’s conservation status with a view to devising sustainable management programmes. Some of this financial support ha s also come from users of wildlife. Species 
covered in  surveys with a sustainable use dimension include sharks/rays (with FAO), parrots, pythons, crocodilians, lizards, corals, tree s (with ITTO), plants and orchids.  
 
 Specific programmes include:  
1. There is a Legal Affairs and Compliance  team in Regulatory  Services which assists the Parties, inter alia , in the development of national legislation and 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 . 
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 in particular to what extent observed 
trends are a result of any decisio ns taken by the CoP to CITES.  
3. ETIS (Elephant Trade Information System). This comprehensive information system tracks illegal trad e in ivor y and other elephant products.  
4. Species programmes on trade in Asian big cats, elephants, falcons, great apes, hawksbill turtles, saiga antelopes, snakes, sh arks and stingrays, tortoises and freshwater 
turtles, Malagasy ebonies and rosewoods, ag arwood -producing taxa and neotropical tree species.  
5. EC-funded projects to strengthen the CITES implementation capacity of developing countries to ensure sustainable wildlife manage ment and non -detrimental trade.  
 
More information on CITES projects  is available at: https://www.cites.org/eng/news/search/index.php . 
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 sp ecimens of that 
species or that the provisions of the present Convention are not being effectively implemented, it shall communica te such information to the authorized Management Authority of 
the Party or Parties concerned.  
2. When any Party receives a communication as indicated in paragraph 1 of this Article, it shall, as soon as possible, inform th e Secretariat of any relevant fac ts insofar as its 
laws permit and, where appropriate, propose remedial action. Where the Party considers that an inquiry is desirable, such inq uiry may be carried out by one or more persons  
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- 30 - expressly authorized by the Party.  
3. The information provided by the Party or resulting from any inquiry as specified in paragraph 2 of this Article shall be reviewed by the next CoP which m ay 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 C OP and CITES 
subsidiary bodies (e.g. annual reports, the Review of Significant Trade, national legislation and alleged illegal trade and o ther implementation problems).  
 The Standing Committee carries out such interim activities  on behalf of the CoP as ma y be necessary and provides guidance and advice on matters brought 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 restrictions 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 ado pt 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 effectiveness of the Convention is a temporary suspension of trade r ecommended 
by either the CoP or the Standing Committee. In practical terms, this provides a period of time during which the relevan t Party can move from non -compliance to compliance by, 
inter alia , submitting missing annual reports, enacting adequate legislation, combating and reducing illegal trade or responding to specific recommendations of the Standing  
Committee concerning the imp lementation of Article IV of the Convention in the context of the 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 reg arded as a precautionary measure to prevent a continuing violation 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 o f trade and where no domestic measures exist to 
enforce the  Convention. Finally, such recommendations are withdrawn immediately 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 Stan ding Committee to determine which Pa rties 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 accordance with Resolution Conf. 14.3";  
Resolution Conf. 11.3  (Rev. CoP1 7) – Compliance and enforcement  
"... Regarding compliance, control and cooperation  
Urges  all Parties to strengthen, as soon as possible, the controls on trade in wildlife in the territories under their jurisdiction , and in particular controls on  shipments from 
producing countries, including neighbouring countries, and to strictly verify the documents originating from such countries w ith the respective Management Authorities;  
Recommends  that: 
(a) all Parties:  
i) recognize the seriousness of illega l trade in wild fauna and flora and identify it as a matter of high priority for their national law enforcement agencies;  
ii) if appropriate, consider formulating national and regional action plans, incorporating timetables, targets and provisions  for fund ing, designed to enhance 
enforcement of CITES, achieve compliance with its provisions, and support wildlife -law enforcement 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) if appropriate, make use of the ICCWC Wildlife and forest crime analytic toolkit ; 
 v) ensure strict compliance and control in respect of 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;  
 vi) in case of violation of the above -mentioned provisions, immedia tely 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  
vii) inform each other of all circumstances and facts likely to be relevant to illegal traffic and also of control measures, with the aim of eradicating such traffic;  
(b) Parties should advocate sanctions for infringements that are appropriate to their nature and gravity;   
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- 31 - (c) Parties 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) importing Parties in particular not accept under any circumstances or pretext, export or re -export documents issued by any authority, i rrespective 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;  
(e) if an importing country has reason to believe that specimens of a n Appendix -II or -III species are traded in contravention of the laws of any country i nvolved in the 
transaction, it:  
 i) immediately inform the country whose laws were thought to have been violated and, to the extent possible, provide that cou ntry with co pies of all documentation 
relating to the transaction; and  
ii) where possible, apply stricter domestic measures to that transaction as provided for in Article  XIV of the Convention; and  
(f) Parties remind their diplomatic missions, their delegates on missi on in foreign 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 , recommends  that: 
(a) when, in application of Article  XIII of the Convention and Resolution Conf.  14.3 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 indicate 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 justification 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 Secretariat wo rk with the Parties concerned to try to solve 
the matter and offer advice or technical assistan ce as required;  
(d) if it does not appear a solution can be readily achieved, the Secretariat bring the matter to the attention of the Standing C ommittee, which may pursue the matter in 
direct contact with the Party concerned with a view to helping to find  a solution; and  
(e) the Secretariat keep the Parties informed as fully as possible, through Notifications to the Parties, of such compliance matt ers and of actions taken to solve them, and 
include such matters in its reports for meetings of the Standing C ommittee and the Conference of the Parties;  
Resolution Conf. 11.17 (Rev. CoP1 7) – National  reports  
Recommends that, when compiling their annual reports in accordance with Article  VIII, paragraph  7, of the Convention and this Resolution, Parties pay partic ular 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 in the reporting yea r in specimens obtained under a quota for the previous year, this should be reflected in the annual report;  
Decides that:  
(a) failure to submit an annual report by 31  October of the year following the year for which the report was due constitutes a major p roblem 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 reaso nable 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;  
Instructs the Standing Committee t o 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;  
Recommends that Parties not authorize trade in specimens of CITES -listed species with any Party that the Standing Committee has determined has failed, for three 
consecutive years and without having provided adequate justification, to pr ovide 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;  
Resolutio n Conf. 12.8 (Rev. CoP1 7) – Review of significant trade in specimens of Appendix -II species  
"... Measures to be taken regarding the implementation of recommendations  
(q) the Secretariat shall, in consultation with the Chairman of the Animals or Plants Comm ittee, determine whether the recommendations referred to above have been 
implemented and report to the Standing Committee accordingly;  
(r) where the recommendations have been met, the Secretariat shall, following consultation with the Chairman of the Stand ing Committee, notify the Parties that the species 
was removed from the process;  
(s) when the Secretariat, having consulted with the Chairman of the Animals or Plants Committee, is not satisfied that a range St ate has implemented the recommendations  
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- 32 - made b y the Animals or Plants Committee in accordance with paragraphs n) or o), it should recommend to the Standing Committee appro priate action, which may include, 
as a last resort, a suspension of trade in the affected species with that State. On the basis of the report of the Secretariat, the Standing Committee shall decide on 
appropriate action and make recommendations to the State concerned, or to all Parties;  
(t) the Secretariat shall notify the Parties of any recommendations or actions taken by the Standin g Committee;  
(u) a recommendation to suspend trade in the affected species with the State concerned should be withdrawn only when that Stat e demonstrates to the satisfaction of the 
Standing Committee, through the Secretariat, compliance with Article IV, pa ragraph 2 (a), 3 or 6 (a); and 
(v) the Standing Committee, in consultation with the Secretariat and the Chairman of the Animals or Plants Committee, shall re view recommendations to suspend trade that 
have been in place for longer than two years and, if app ropriate, 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. 2013/013 of 2 Ma y 2013.  
Resolution Conf. 14.3 – 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 ac hieving 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 ha ndling 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 de cides to take one or more 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, requesting 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 invi tation of the Party concerned;  
 (f) send a public notification of a compliance matter through the Secretariat to all Parties advising that compliance matters hav e been brought to the attention of a Party  
and that, up to that time, there has been no satisfa ctory 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  
 (h) request a compliance action plan to be submitted to the Standing Co mmittee 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 o r all trade in specimens of one 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 persisten t and the Party is showing no intention to 
achieve complia nce or a State not a Party is not issuing the documentation referred to in Article X of the Convention. Such a recommendation  is always specifically and explicitly 
based on the Convention and on any applicable Resolutions and Decisions of the Conference of  the Parties5. 
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, especially developing countries, and in particular the least developed and small island developing States and Part ies with 
economies 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  
                                                
5  These currently include:  
 – Resolution Conf. 11.17 (Rev. CoP14) (National reports) [now Resolution Conf. 11.17 (Rev. CoP16)] ; 
 – Decision 14.29 (National laws for implementation of the Convention)  [now Resolution Conf. 8.4 (Rev. CoP15)] ; 
 – Resolution Conf. 12.8 (Rev. CoP13) (Review of Significant trade in specimens of Appendix -II species);  
 – Convention Article XIII and Resolution Conf. 11.3 (Rev. CoP14) (Compliance and enforcement)  [now Resolutio n Conf. 11.3 (Rev. CoP16)] ; and  
 – Resolution Conf 11.1 (Rev. CoP14) (Establishment of committees)  [now Resolution Conf. 11.1 (Rev. CoP16)] .  
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- 33 -  (d) the possible impact on conservation and sustainable use with a view to avoiding negative results  …. 
34. Existing recommendations to suspend tra de are generally reviewed 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 ma de. 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 website.   
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 d ispute.  
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 subm itting the dispute shall be bound by the arbitral decision ." 
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, comparabl e 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 origin, or justification for omitting such 
certific ation;  
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 do ubt 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 that the competent authority of the country of origin has i ssued 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 r isk 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 of such States are included in 
the most recent updated lis t 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, including specimens in transit between 
such States;  
(d) partic ular 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 o r 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 provides for the welfare of the specimens, and only after consultation with th e 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 survival 
of that species , it: 
i) consult directly with the competent authorities of the State concerned; and   
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- 34 - 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 appropriate;  
(g) Parties allow import from States not party to the Convention of c aptive -bred and artificially propagated specimens of Appendix -I species only after favourable advice 
from the Secretariat; and  
(h) Parties communicate to the Secretariat any inconsistencies in trade involving States not party to the Co nvention . 
Instructs t he Secretariat to seek, every two years, information on, and to include in its Directory, details of the designated competent  authorities, scientific institutions and 
enforcement authorities of non -party States that were communicated by these States, toget her 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 that comparable documentatio n 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: Tuvalu, Timor Leste  and Turkmenistan . 
2   CONVENTION ON THE CO NSERVATION OF ANTARC TIC MARINE LIVING RE SOURCES (CCAMLR)  
2.1  Brief Description of the MEA  
The CCAMLR is part of the Antarct ic Treaty System, a set of arrangements made for the purpose of coordinating relations among states with respect to 
Antarctica. The Antarctic Treaty came into force on 23 June 1961  and remains in force indefinitely. Fifty-three countries  have acceded to th e Antarctic Treaty. 
Consultative (voting) status is open to all countries who have demonstrated their commitment to the Antarctic by conducting s ignificant research. Twenty -eight 
nations  have Consultative status under the Antarctic Treaty. The Antarctic Tr eaty parties meet every year. They have adopted over 200 recommendations and 
negotiated five separate  international agreements. These, together with the original Treaty, provide the rules which govern activities in Antarcti ca. Collectively, 
they are known as the Antarctic Treaty System (ATS). The five international A greements are :  
 Agreed Measures for the Conservation of Antarctic Fauna and Flora (1964) ;  
 Convention for the Conserv ation of Antarctic Seals (1972);  
 Convention on the Conservation of Antarctic  Marine Living Resources (1980);  
 Protocol on Environmental Protection to the Antarctic Treaty (1991) ; 
 Agreement for the Conservation of Albatross and Petrels (2001).  
 
The Preamble to CCAMLR recognises "the prime responsibility of the Antarctic Treaty Consul tative Parties for the protection and preservation of the Antarctic 
environment and, in particular, their responsibilities under Article IX, paragraph 1(f) of the Antarctic Treaty in respect of  the preservation and conservation of 
living resources in Antar ctica".  
Website  http://www.ccamlr.org/ . 
Objective   The Convention is based on an ecosystem approach to the conservation of marine living resources in the waters surrounding Ant arctica. It incorporates 
standards desig ned to ensure the conservation of not only individual populations and species, but also the maintenance of the Antarctic mari ne ecosystem 
as a whole. Conservation principles established by the Convention embody an ecosystem approach to living marine resour ce conservation and set 
CCAMLR's marine resources management regime apart from other international fisheries organisations.  
 
 The Convention seeks to conserv e marine living resources in the Convention Area, (south of 60°S latitude and in some parts, below  the zone of the 
Antarctic Polar Convergence), and include s all species of finfish, molluscs, crustaceans and other marine organisms as well as marine birds. In addition the 
Conventions provides for the r ational use  of marine resources.  Although  the manage ment of seals and whales is under the jurisdiction of the Convention  
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- 35 - for the Conservation of Antarctic Seals (CCAS) and the International Whaling Commission (IWC), CCAMLR  manages fishing activities in a way that  takes 
into account, the impacts fishing may have on these  species  which form  an integral part of the Antarctic marine ecosystem.  
Date of Signature  20 May 1980  
Entry into force  7 April 1982  
Parties  36 Parties  – 25 Members and 11 Acceding States  and 2 co -operating non -contracting States (as of  31 August  2017).  
WTO Members  35 Parties to CCAMLR are also WTO Members (see Annex).  
Openness of 
Membership  Article XXIX  
"1. This Convention shall be open for accession by any State interested in research or harvesting activities in relation to the m arine li ving resources to 
which this Convention applies.  
2. This Convention shall be open for accession by regional economic integration organisations constituted by sovereign States wh ich include among 
their members one or more States Members of the Commission an d to which the States members of the organisation have transferred, in whole or in part, 
competences with regard to the matters covered by this Convention. The accession of such regional economic integration organi sations shall be the 
subject of consultati ons among Members of the Commission".  
Decision -Making 
Bodies   CCAMLR’s  main decision -making body is the Commission. The Commission has two standing committees: The Standing Committee on Administration 
and Finance (SCAF) and the Standing Committee on Impl ementation and Compliance (SCIC). All decisions on matters of substance are taken by 
consensus. The institutional features of the Convention comprise, in addition to the Commission, a Scientific Committee for t he Conservation of Antarctic 
Marine Living Res ources (SC -CAMLR) and a permanent Secretariat, based in Hobart, Australia. The Scientific Committee has three permanent working 
groups, the Working Group on Ecosystem Monitoring and Management (WG -EMM), the Working Group on Fish Stock Assessment (WG -FSA) a nd the 
Working Group on Assessment Methods (WG -SAM).   
(1) Commission for the Conservation of Antarctic Marine Living Resources  
Article VII  
"1. The Contracting Parties hereby establish and agree to maintain the Commission for the Conservation of Antarc tic Marine Living Resources 
(hereinafter referred to as ‘the Commission’)".  
Article IX  
"1. The function of the Commission shall be to give effect to the objective and principles set out in Article II of this Conventi on. To this end, it shall: …  
(e) identif y conservation needs and analyse the effectiveness of conservation measures;  
(f) formulate, adopt and revise conservation measures on the basis of the best scientific evidence available, subject to the provisions of paragraph  5 
of this Article;  
(g) impleme nt the system of observation and inspection established under Article XXIV of this Convention;  
(h) carry out such other activities as are necessary to fulfil the objective of this Convention.  
2. The conservation measures referred to in paragraph 1(f) above  include the following:  
(a) the designation of the quantity of any species which may be harvested in the area to which this Convention applies;  
(b) the designation of regions and sub -regions based on the distribution of populations of Antarctic marine livi ng resources;  
(c) the designation of the quantity which may be harvested from the populations of regions and sub -regions;  
(d) the designation of protected species;  
(e) the designation of the size, age and, as appropriate, sex of species which may be harves ted; 
(f) the designation of open and closed seasons for harvesting;  
(g) the designation of the opening and closing of areas, regions or sub -regions for purposes of scientific study or conservation, including special areas 
for protection and scientific stud y; 
(h) regulation of the effort employed and methods of harvesting, including fishing gear, with a view, inter alia , to avoiding undue concentration of 
harvesting in any region or sub -region;  
(i) the taking of such other conservation measures as the Commis sion considers necessary for the fulfilment of the objective of this Convention, 
including measures concerning the effects of harvesting and associated activities on components of the marine ecosystem other  than the harvested 
populations.   
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- 36 - 3. The Commission  shall publish and maintain a record of all conservation measures in force.  
4. In exercising its functions under paragraph 1 above, the Commission shall take full account of the recommendations and advice  of the Scientific 
Committee.  
5. The Commission shal l take full account of any relevant measures or regulations established or recommended by the Consultative Meetings pursuant 
to Article  IX of the Antarctic Treaty or by existing fisheries commissions responsible for species which may enter the area to whic h this Convention applies, 
in order that there shall be no inconsistency between the rights and obligations of a Contracting Party under such regulation s or measures and 
conservation measures which may be adopted by the Commission.  
6. Conservation measures  adopted by the Commission in accordance with this Convention shall be implemented by Members of the Commission in the 
following manner:  
(a) the Commission shall notify conservation measures to all Members of the Commission;  
(b) conservation measures shall  become binding upon all Members of the Commission 180 days after such notification, except as provided in 
subparagraphs (c) and (d) below;  
(c) if a Member of the Commission, within ninety days following the notification specified in sub -paragraph (a), not ifies the Commission that it is 
unable to accept the conservation measure, in whole or in part, the measure shall not, to the extent stated, be binding upon that Member of the 
Commission;  
(d) in the event that any Member of the Commission invokes the proce dure set forth in sub -paragraph (c) above, the Commission shall meet at the 
request of any Member of the Commission to review the conservation measure. At the time of such meeting and within thirty day s following the 
meeting, any Member of the Commission s hall have the right to declare that it is no longer able to accept the conservation measure, in which case 
the Member shall no longer be bound by such a measure".  
Article XII  
"1. Decisions of the Commission on matters of substance shall be taken by consens us. The question of whether a matter is one of substance shall be 
treated as a matter of substance.  
2. Decisions on matters other than those referred to in paragraph 1 above shall be taken by a simple majority of the Members of the Commission 
present and v oting".  
(2) Scientific Committee for the Conservation of Antarctic Marine Living Resources  
Article XIV  
"1. The Contracting Parties hereby establish the Scientific Committee for the Conservation of Antarctic Marine Living Resources ( hereinafter referred  to 
as ‘the Scientific Committee’) which shall be a consultative body to the Commission …".  
Article XV  
"1. The Scientific Committee shall provide a forum for consultation and co -operation concerning the collection, study and exchange of information with 
respect to the marine living resources to which this Convention applies. It shall encourage and promote co -operation in the field of scientific research in 
order to extend knowledge of the marine living resources of the Antarctic marine ecosystem.  
2. The Sc ientific Committee shall conduct such activities as the Commission may direct in pursuance of the objective of this Conventio n …".  
Amendments and 
Protocols  Article XXX  
"1. This Convention may be amended at any time.  
2. If one -third of the Members of the C ommission request a meeting to discuss a proposed amendment the Depositary shall call such a meeting.  
3. An amendment shall enter into force when the Depositary has received instruments of ratification, acceptance or approval ther eof from all the 
Members o f the Commission.  
4. Such amendment shall thereafter enter into force as to any other Contracting Party when notice of ratification, acceptance or  approval by it has 
been received by the Depositary. Any such Contracting Party from which no such notice has been received within a period of one year from the date of 
entry into force of the amendment in accordance with paragraph 3 above shall be deemed to have withdrawn from this Convention ". 
  
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- 37 - 2.2  Trade-related Measures  
The Convention does not contain trade measu res, but trade -related measures have been adopted, for instance, in the following Conservation Measures that are 
binding for the Contracting Parties:  
10-02 (201 6) 
Licensing and 
Inspection Obligations 
of Contracting Parties 
with regard to their 
Flag Vessels  Operating 
in the Convention Area  "1. Each Contracting Party shall prohibit fishing by its flag vessels in the Convention Area except pursuant to a licence that th e Contracting Party 
has issued setting forth the specific areas, species and time periods for  which such fishing is authorised and all other specific conditions to which 
the fishing is subject to give effect to CCAMLR conservation measures and requirements under the Convention  …". 
 Requires a Contracting Party to prohibit its flag vessels from fi shing in the Convention Area unless licensed or permitted to do so. The licence 
should be carried on board and must include conditions of timely notification of port entry and exit and movement between sub -areas or divisions, 
reporting of catch data and op eration of an automated satellite -linked vessel monitoring system (VMS). Any infringement of these conditions 
discovered upon port arrival, departure or upon inspection in the Convention Area on high seas (see sub-section below on Non-Compliance 
Mechanism)  or, where appropriate, in an EEZ, are to be investigated and dealt with in accordance with national legislation.  
10-05 (20 16) 
Catch Documentation 
Scheme for 
Dissostichus  spp. 
Species toothfish  "… Each Contracting Party and non -Contracting Party cooperati ng with CCAMLR by participating in the CDS shall take steps to identify the origin 
of Dissostichus  spp. landed in, imported into, or exported or re -exported from its territories and determine whether  Dissostichus  spp. harvested in 
the Convention Area that is landed in, imported into, or exported or re -exported from its territories was caught in a manner consistent with 
CCAMLR conservation measures  …." 
 
 This Conservation Measure was adopted in November 1999 and came into force on 7 May 2000 . It has been pe riodically reviewed and refined 
since. This measure establishes CCAMLR’s Catch Documentation Scheme  for Dissostichus spp. (CDS) which tracks all landing, export and re -export  
of toothfish ( Dissostichus  spp.) landed and or/traded by CCAMLR Contracting Parti es through an electronic monitoring system.  
 Further trade -related measures are contained in Conservation Measures 10 -06 (2016) and 10 -07 (2016) (see sub-sections below on Non-
Compliance Mec hanisms and Provisions for Non -Parties).  
2.3  Supportive measures  
No provisions  
2.4  Non-compliance mechanism  
2.4.1   Promotion of Compliance  
Article XXI  
"1. Each Contracting Party shall take appropriate measures within its competence to ensure compliance with the provisions of this  Convention and with conservation measures 
adopted by the Commission to which the Party is bound in accordance with Article IX of this Convention.  
2. Each Contracting Party shall transmit to the Commission information on measures taken pursuant to paragraph 1 above, includin g the imposition of sanctions for a ny 
violation".  
Conservation Measure 10 -03 (2015 ) – Port Inspections of Vessels Carrying Toothfish  
"... 1.  Contracting Parties shall undertake inspection of all fishing vessels carrying Dissostichus spp. which enter their ports. The inspection shall be for the purpose of 
determining that if the vessel carried out harvesting activities in the Convention Area, these activities were carried out in  accordance with CCAMLR conservation measures, and 
that if it intends to land or tranship Dissostichus spp. the catc h to be unloaded or transhipped is accompanied by a Dissostichus  catch document (DCD) required by Conservation 
Measure 10 -05, and that the catch agrees with the information recorded on the document.  
2. Contracting Parties shall inspect at least 50% of fis hing vessels that enter their ports carrying species other than  Dissostichus  spp. that were harvested in the Convention  
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- 38 - Area and that have not been previously landed or transhipped at a port. The purpose  of the inspection will be to determine whether harve sting activities in the Convention Area 
were carried out in accordance with CCAMLR conservation measures  …" 
Conservation Measure 10 -06 (2 016) – Scheme to Promote Compliance by Contracting Party Vessels with CCAMLR Conservation Measures  
"... 1.  At each ann ual meeting, the Commission will identify those Contracting  Parties whose vessels have engaged in fishing activities in the Convention Area in a manner which 
has diminished the effectiveness of CCAMLR conservation measures in force, and shall establish a l ist of such vessels (Contracting Party Illegal Unregulated, and Unreported 
Vessel List or "CPP -IUU Vessel List" ), in accordance with the procedures and criteria set out hereafter. …  
4. For the purposes of this conservation measure, the Contracting Parties are considered as having carried out fishing activities that have diminished the effectiveness of the 
conservation measures adopted by the Commission if:  
(i) the Parties do not ensure compliance by their vessels with the conservation measures adopted by th e Commission and in force, in respect of the fisheries in which they 
participate that are placed under the competence of CCAMLR;  
(ii) their vessels are repeatedly included in the CP -IUU Vessel List.  
5. In order for a Contracting Party’s vessel to be includ ed in the CP -IUU Vessel List there must be evidence, gathered in accordance with paragraphs 2 and 3, that the vessel 
has: 
(i) engaged in fishing activities in the CCAMLR Convention Area without a licence issued in accordance with Conservation Meas ure 10 -02, or in violation of the conditions 
under which such licence would have been issued in relation to authorised areas, species and time periods; or  
(ii) not recorded or not declared its catches made in the CCAMLR Convention Area in accordance with the report ing system applicable to the fisheries it engaged in, or 
made false declarations; or  
(iii) fished during closed fishing periods or in closed areas in contravention of CCAMLR conservation measures; or  
(iv) used prohibited gear in contravention of applicable  CCAMLR conservation measures; or  
(v) transhipped or participated in joint fishing operations with, supported or re -supplied other vessels identified by CCAMLR as carrying out IUU fishing activities (i.e. 
vessels on the CP -IUU Vessel List or the NCP -IUU Ve ssel List (Non -Contracting Party Illegal Unregulated, and Unreported Vessel List), established under Conservation Measure 
10-07); or  
(vi) failed to provide, when required under Conservation Measure 10 -05, a valid catch document for Dissostichus spp.; or  
(vii) engaged in fishing activities in a manner that undermines the attainment of the objectives of the Convention in waters ad jacent to islands within the area to which the 
Convention applies over which the existence of State sovereignty is recognised by al l Contracting Parties, in the terms of the statement made by the Chairman on 19  May 1980; 
or 
(viii) engaged in fishing activities contrary to any other CCAMLR conservation measures in a manner that undermines the attai nment of the objectives of the Convent ion 
according to Article XXII of the Convention.  … 
7. Contracting Parties whose vessels are included in the Draft CP -IUU Vessel List shall transmit their comments to the Executive Secretary before 1 September, including 
verifiable VMS data and other suppor ting information showing that the vessels listed have not engaged in the activities which led to their inclusion in the Draft  CP-IUU Vessel List.  
… 
12. At each CCAMLR annual meeting, the Standing Committee on Implementation and Compliance (SCIC) shall, by consensus:  
(a) adopt a Proposed CP -IUU Vessel List, following consideration of the Provisional CP -IUU Vessel List and information and evidence circulated under paragraph 10. The 
Proposed CP -IUU Vessel List shall be submitted to the Commission for approval;  
(b) recommend to the Commission which, if any, vessels should be removed from the CP -IUU Vessel List adopted at the previous CCAMLR annual meeting, following 
consideration of that List and information and evidence circulated under paragraph 10  ... 
14. SCIC shall recommend that the Commission should remove a vessel from the CP - IUU Vessel List if the Contracting Party proves that:  
(i) the vessel did not take part in the activities described in paragraph 1 which led to the inclusion of the vessel in the C P-IUU Vessel List; or  
(ii) it has taken effective action in response to the activities in question, including prosecution and imposition of sanctio ns of adequate severity; or  
(iii) the vessel has changed ownership, including beneficial ownership if known to be distinct from the registered ownership, and that the new owner can establish the 
previous owner no longer has any legal, financial, or real interests in the vessel, or exercises control over it and that the  new owner has not participated in IUU fishing;  or 
(iv) it has taken measures considered sufficient to ensure the granting of the right to the vessel to fly its flag will not r esult in IUU fishing. …  
23. Without prejudice to their rights to take proper action consistent with international law, Contract ing Parties should not take any trade measures or other sanctions which 
are inconsistent with their international obligations against vessels using as the basis for the action the fact that the ves sel or vessels have been included in the draft lCP -IUU 
Vessel List drawn up by the Executive Secretariat, pursuant to paragraph 6.  
24. The Chair of the Commission shall request the Contracting Parties identified pursuant to paragraph 1 to take all necessary me asures to avoid diminishing the effectiveness  
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- 39 - of the CC AMLR conservation measures resulting from their vessels’ activities, and to advise the Commission of actions taken in that re gard. 
25. The Commission shall review, at subsequent CCAMLR annual meetings, as appropriate, action taken by those Contracting Part ies to which requests have been made 
pursuant to paragraph  23, and identify those which have not rectified their fishing activities.  
26. The Commission shall decide appropriate measures to be taken in respect to Dissostichus  spp. so as to address these is sues with those identified Contracting Parties. In 
this respect, Contracting Parties may cooperate to adopt appropriate multilaterally agreed trade -related measures, consistent with their obligations as members of the [WTO], 
that may be necessary to preven t, deter and eliminate the IUU fishing activities identified by the Commission.  Multilateral trade -related measures may be used to support 
cooperative efforts to ensure that trade in Dissostichus  spp. and its products does not in any way encourage IUU fis hing or otherwise diminish the effectiveness of CCAMLR’s 
conservation measures which are consistent with the United Nations Convention on the Law of the Sea 1982".  
Conservation Measure 10 -10 (2016 ) 
"1. Draft CCAMLR Compliance Reports  
(i) The Secretariat sh all compile a Draft CCAMLR Compliance Report using the template in Annex 10 -10/A for each Contracting Party for whom there is a relevant 
compliance issue. The Draft CCAMLR Compliance Report will cover the period 1 August –31 July of the following year. In c ompiling Draft CCAMLR Compliance Reports, the 
Secretariat shall take into account appropriate compliance data holdings, as well as data from other relevant sources.  
(ii) The Secretariat shall circulate to each Contracting Party its respective Draft CCAMLR Compliance Report no later than 75 days before the annual Commission meeting.  
(iii) In considering its Draft CCAMLR Compliance Report, each Contracting Party shall provide  in the ‘Additional Information’ column in Annex  10-10/A, detailed information 
releva nt to the compliance issues raised in its report, so that the Standing Committee on Implementation and Compliance (SCIC) may fully evaluate each compliance issue. This 
may include, but is not limited to, any relevant documentary or photographic evidence  demonstrating implementation of any conservation measure contained in the  Schedule of 
Conservation Measures in Force and Part D of the Scheme of  International Scientific Observation or specific actions taken to address any non -compliance. In the 'Additional 
Information ' column, the concerned Contracting  Party should also suggest a preliminary compliance status for each compliance  issue from Annex 10 -10/B, and indicate whether 
any further action is planned .  
(iv) Each Contracting Party shall return its Draft C CAMLR Compliance Report incorporating any additional information and suggested compliance status for each  compliance 
issue to the Secretariat no later than 45  days before the annual Commission meeting. Where no response is received from a Contracting Party  under paragraph 1(iii), the 
Secretariat shall note nil response in the relevant Draft CCAMLR Compliance Report.  
2. Summary CCAMLR Compliance Report  
(i) The Secretariat shall prepare a Summary CCAMLR Compliance Report based on  the Draft CCAMLR Compliance R eports. This report shall include,  inter alia , a summary 
of Contracting Parties’ implementation of any conservation measure  contained in the  Schedule of Conservation Measures in Force  and Part D of the  Scheme of International 
Scientific Observation, Contra cting Parties’ suggested  preliminary  compliance status and details of whether any  further action is  planned. The Draft CCAMLR Compliance Reports 
shall be annexed to the  Summary CCAMLR Compliance Report.   
(ii) The Summary  CCAMLR Compliance Report shall be m ade available on the secure CCAMLR website for consideration no later than 42 days before the annual 
Commission meeting. As soon as practicable after posting the Summary CCAMLR Compliance Report, the Secretariat shall notify  Contracting Parties of its avai lability.  
3. Provisional CCAMLR Compliance Report  
(i) At its annual meeting, SCIC shall consider the Summary CCAMLR Compliance Report, taking into account any additional infor mation received, including in accordance 
with paragraph 1(iii).  SCIC will also co nsider the circumstances relating to any nil response.  
(ii) In considering the Summary CCAMLR Compliance Report, SCIC may request any Contracting Parties who have relevant informat ion to provide further additional 
details, so that SCIC may fully evaluate e ach compliance issue. This information may include, but is not limited to, any relevant documentary or photographic evidence.  
(iii) On the basis of the information considered in paragraph 3(i), SCIC shall adopt an annual Provisional CCAMLR Compliance Repor t by consensus, in which it shall record 
its findings of non -compliance. The Provisional CCAMLR Compliance Report shall include an assessment of compliance status, in accordance with Ann ex 10 -10/B, ‘Compliance 
Status Categories’. The Provisional CCAMLR Com pliance Report shall also include recommendations to the Commission regarding:  
(a) any remedial action taken, or proposed to be taken, by the Contracting Party;  
(b) where appropriate, proposals to amend existing conservation measures;  
(c) priority obligati ons to be monitored and reviewed; and  
(d) other responsive action which may be considered by the Commission, as appropriate.  
(iv) If any Contracting Party requests additional time for submitting further information to SCIC for a specific case included in a  summary  CCAMLR  compliance report, SCIC 
shall record a compliance status for that case in the provisional CCAMLR Compliance Report based on the information available . At its next annual meeting, SCIC shall review any 
further information provided by the Con tracting Party and shall recommend to the Commission a final compliance status that shall be recorded in that year’s CCAMLR C ompliance  
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- 40 - Report . 
4. CCAMLR Compliance Report  
(i) At its annual meeting, the Commission shall consider the Provisional CCAMLR Compl iance Report.  
(ii) The annual CCAMLR Compliance Report  will outline the Commission’s response to the recommendations of SCIC in the Provisional CCAMLR Compliance Report.  
5. Review of Conservation Measure 10 -10 
(i) At its annual meeting, SCIC will consider the effectiveness of this conservation measure in evaluating and addressing non -compliance, and will report to the 
Commission on its findings and recommendations for improving this conservation measure. " 
Resolution 19/XXI – Flags of Non -Compliance  
"The Com mission... urges all Contracting Parties and non -Contracting Parties cooperating with CCAMLR to:  
1. Without prejudice to the primacy of the responsibility of the Flag State, to take measures or otherwise cooperate to ensure, to the greatest extent possible,  that the 
nationals subject to their jurisdiction do not support or engage in IUU fishing, including engagement on board FONC (Flags of  Non-Compliance) vessels in the CCAMLR Convention 
Area if this is consistent with their national law.  
2. Ensure the full cooperation of their relevant national agencies and industries in implementing the measures adopted by CCAMLR.  
3. Develop ways to ensure that the export or transfer of fishing vessels from their State to a FONC State is prohibited.  
4. Prohibit the landings  and transhipments of fish and fish products from FONC vessels. " 
2.4.2   System of Inspection  
Article XXIV  
"1. In order to promote the objective and ensure observance of the provisions of this Convention, the Contracting Parties agree t hat a system of observation  and inspection 
shall be established.  
2. The system of observation and inspection shall be elaborated by the Commission on the basis of the following principles:  
(a) Contracting Parties shall co -operate with each other to ensure the effective implementatio n of the system of observation and inspection, taking account of the existing 
international practice. This system shall include, inter alia , procedures for boarding and inspection by observers and inspectors designated by the Members of the 
Commission and procedures for flag state prosecution and sanctions on the basis of evidence resulting from such boarding and inspections. A report of such prosecutions 
and sanctions imposed shall be included in the information referred to in Article XXI of this Conventio n; 
(b) in order to verify compliance with measures adopted under this Convention, observation and inspection shall be carried ou t on board vessels engaged in scientific 
research or harvesting of marine living resources in the area to which this Convention applies, through observers and inspectors designated by the Members of the 
Commission and operating under terms and conditions to be established by the Commission;  
(c) designated observers and inspectors shall remain subject to the jurisdiction of the Cont racting Party of which they are nationals. They shall report to the Member of the 
Commission by which they have been designated which in turn sha ll report to the Commission"  
 The CCAMLR System of Inspection has been in operation since 1989. Inspections of  fishing and fisheries research vessels of CCAMLR Flag States are being carried out regularly 
by CCAMLR Inspectors designated by Members.  
 In December 2000, the Commission established the Standing Committee on Observation and Inspection (SCOI) to consider  and prepare advice to the Commission on all 
matters related to inspections undertaken and steps taken by Members to enforce compliance with Conservation Measures. In 200 2, the Subcommittee was renamed the 
Standing  Committee on Implementation and Complianc e (SCIC).  
 In 2004, the Commission agreed on a set of principles required to develop and implement a comparative methodology for assessi ng compliance with CCAMLR conservation 
measures. The work on the compliance evaluation procedure has been continued in 2005 and 2006.   
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- 41 -  
 
2.5  Dispute  Settlement Mechanism  
Article XXV  
"1. If any dispute arises between two or more of the Contracting Parties concerning the interpretation or application of this Con vention, those Contracting Parties shall consult 
among themselves with a view to having the dispute resolved by negotiation, inquiry, mediation, conciliation, arbitration, judicial settlement  or other peaceful means of their own 
choice.  
2. Any dispute of this character not so resolved shall, with the consent in each case  of all Parties to the dispute, be referred for settlement to the ICJ or to arbitration;  but 
failure to reach agreement on reference to the International Court or to arbitration shall not absolve Parties to the dispute  from the responsibility of continuin g to seek to resolve 
it by any of the various peaceful means referred to in paragraph 1 above.  
3. In cases where the dispute is referred to arbitration, the arbitral tribunal shall be constituted as provided in the Annex to  this Convention".  
2.6  Provisions fo r non -parties  
Article X  
"1. The Commission shall draw the attention of any State which is not a Party to this Convention to any activity undertaken by it s nationals or vessels which, in the opinion of 
the Commission, affects the implementation of the objec tive of this Convention" ...  
Conservation Measure 10 -07 (2016) – Scheme to Promote Compliance by Non -Contracting Party Vessels with CCAMLR Conservation Measures  
"...1. The Contracting Parties request non -Contracting Parties to cooperate fully with the Comm ission with a view to ensuring that the effectiveness of CCAMLR conservation 
measures is not undermined.  
2. At each annual meeting the Commission shall identify those non -Contracting Parties whose vessels are engaged in IUU fishing activities in the Conven tion Area that 
threaten to undermine the effectiveness of CCAMLR conservation measures, and shall establish a list of such vessels (NCP -IUU Vessel List), in accordance with the procedures 
and criteria set out hereafter ...  
4. A non -Contracting Party vessel  which has been sighted engaging in fishing activities in the Convention Area or which has been denied port access, landing or  
transhipment in accordance with Conservation Measure 10 -03 is presumed to be undermining the effectiveness of CCAMLR conservation  measures. In the case of any 
transhipment activities involving a sighted non -Contracting Party vessel inside or outside the Convention Area, the presumption of undermining the effectiveness of CCAMLR 
conservation measures applies to any other non -Contract ing Party vessel which has engaged in such activities with that vessel.  
5. When a non -Contracting Party vessel referred to in paragraph 4 enters a port of any Contracting Party, it shall be inspected by authoris ed Contracting Party officials in 
accordance with Conservation Measure 10 -03 and shall not be allowed to land or tranship any fish species subject to CCAMLR conservation measures it might be holding on 
board unless the vessel establishes that the fish were caught in compliance with all relevant CCAML R conservation measures and requirements under this Convention.  
6. A Contracting Party which sights a non -Contracting Party vessel engaging in fishing activities in the Convention Area or denies a non -Contracting Party port access, 
landing or transhipment under paragraph 5 shall attempt to inform the vessel that it is presumed to be undermining the effectiveness of CCAMLR conser vation measures, and 
that this information will be distributed to the Executive Secretary, all Contracting Parties and the Flag Sta te of the vessel.  
7. Information regarding such sightings or denial of port access, landings or transhipments, and the result of all inspections c onducted in the ports of Contracting Parties, 
and any subsequent action shall be transmitted within one busine ss day to the Commission in accordance with Article XXII of the Convention. The Executive Secretary shall 
transmit this information to all Contracting Parties, within one business day of receiving it, and to the Flag State of the v essel concerned as soon a s possible and to appropriate 
regional fisheries organisations. At this time, the Executive Secretary shall, in consultation with the Chair of the Commissi on, request the Flag State concerned that, where 
appropriate, measures be taken in accordance with it s applicable laws and regulations to ensure that the vessel desists from any activities that undermine the effectiveness of 
CCAMLR conservation measures, and that the Flag State report back to CCAMLR on the results of such enquiries and/or on the me asures it has taken in respect of the vessel. 
The other Contracting Parties and non -Contracting Parties cooperating with the Commission by  participating in the Catch Documentation Scheme for  Dissostichus  spp. (CDS) 
shall be invited to communicate any information available to them in respect of the vessels referred to above, including their ownership, operators and their trade activitie s. ... 
9. In order for a non -Contracting Party’s vessel to be included in the NCP -IUU Vessel List, there must be evidence, gathered  in accordance with paragraphs 3 and 8, that the  
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- 42 - vessel has:  
(i) been sighted engaging in fishing activities in the CCAMLR Convention Area; or  
(ii) been denied port access, landing or transhipment in accordance with Conservation Measure 10 -03; or  
(iii) tra nshipped or participated in joint fishing operations with, supported or resupplied other vessels identified by CCAMLR as carr ying out IUU fishing activities (i.e. 
vessels on the NCP -IUU Vessel List or the CP -IUU Vessel List established under Conservation M easure 10 -06); or  
(iv) failed to provide, when required under Conservation Measure 10 -05, a valid catch document for Dissostichus spp.; or  
(v) engaged in fishing activities in a manner that undermines the attainment of the objectives of the Convention in w aters adjacent to islands within the area to which the 
Convention applies over which the existence of State sovereignty is recognised by all Contracting Parties, in terms of the st atement made by the Chairman on 19 May 
1980; or  
(vi) engaged in fishing acti vities contrary to any other CCAMLR conservation measures in a manner that undermines the attainment of the objectives of the  Convention 
according to Article XXII of the Convention ...  
18. SCIC shall recommend that the Commission should remove a vessel fro m the NCP -IUU Vessel List if the non -Contracting Party proves that:  
(i) the vessel did not take part in the activities described in paragraph 9 which led to the inclusion of the vessel in the N CP-IUU Vessel List; or  
(ii) it has taken effective action in re sponse to the activities in question, including prosecution and imposition of sanctions of adequate severity; or  
(iii) the vessel has changed ownership including beneficial ownership if known to be distinct from the registered ownership a nd that the new ow ner can establish the 
previous owner no longer has any legal, financial, or real interests in the vessel, or exercises control over it and that the  new owner has not participated in IUU fishing; or  
(iv) it has taken measures considered sufficient to ensure  the granting of the right to the vessel to fly its flag will not result in IUU fishing ...  
21. On approval of the NCP -IUU Vessel List, the Commission shall request non - Contracting Parties whose vessels appear thereon to take all necessary measures to add ress 
these activities, including if necessary, the withdrawal of the registration or of the fishing licences of these vessels, the  nullification of the relevant catch documents and denial of 
further access to the CDS, and to inform the Commission of the me asures taken in this respect.  
22. Contracting Parties shall take all necessary measures, to the extent possible in accordance with their applicable laws and re gulations, in order that:  
(i) the issuance of a licence to vessels on the NCP -IUU Vessel List to fish in waters under their fisheries jurisdiction is prohibited;  
(ii) fishing vessels, support vessels, refuel vessels, mother -ships and cargo vessels flying their flag do not in any way assist vessels on the NCP -IUU Vessel List by 
participating in any tra nshipment or joint fishing operations, supporting or resupplying such vessels;  
(iii) vessels on the NCP -IUU Vessel List should be denied access to ports unless for the purpose of enforcement action or for reasons of force majeure  or for rendering 
assistan ce to vessels, or persons on those vessels, in danger or distress. Vessels allowed entry to port are to be inspected in accor dance with relevant conservation 
measures;  
(iv) where port access is granted to such vessels:  
(a) documentation and other informat ion, including DCDs where relevant are examined, with a view to verifying the area in which the catch was taken; and where th e 
origin cannot be adequately verified, the catch is detained or any landing or transhipment of the catch is refused; and  
(b) wher e possible  
i. in the event catch is found to be taken in contravention of CCAMLR conservation measures, catch is confiscated;  
ii. all support to such vessels, including non -emergency refuelling, resupplying and repairs is prohibited.  
(v) the chartering of  vessels on the NCP -IUU Vessel List is prohibited;  
(vi) granting of their flag to vessels on the NCP -IUU Vessel List is refused;  
(vii) imports, exports and re -exports of Dissostichus  spp. from vessels on the NCP -IUU Vessel List are prohibited;  
(viii) ‘E xport or Re -export Government Authority Validation’ is not certified when the shipment (of Dissostichus  spp.) is declared to have been caught by any vessel on the 
NCP-IUU Vessel List;  
(ix) importers, transporters and other sectors concerned are encouraged to refrain from dealing with and from transhipping of fish caught by vessels on the NCP -IUU 
Vessel List;  
(x) any appropriate information which is suitably documented is collected and submitted to the Executive Secretary, to be for warded to Contracting Part ies and 
non-Contracting Parties, entities or fishing entities cooperating with the Commission by participating in the CDS, with the aim o f detecting, controlling  
and preventing the importation or exportation of, and other trade -related activities relating  to, catches from vessels on the NCP -IUU Vessel List intended to circumvent 
this conservation measure. …  
30. The Commission shall decide appropriate measures to be taken in respect to Dissostichus spp. so as to address these issues with those identified no n-Contracting Parties. 
In this respect, Contracting Parties may cooperate to adopt appropriate multilaterally agreed trade -related measures, consistent with their obligations as members of the  
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- 43 - World  Trade  Organization that may be necessary to prevent, dete r and eliminate the IUU activities identified by the Commission. Multilateral trade -related measures may be 
used to support cooperative efforts to ensure that trade in Dissostichus  spp. and its products does not in any way encourage IUU fishing or otherwis e diminish the effectiveness 
of CCAMLR’s conservation measures which are consistent with the United Nations Convention on the Law of the Sea 1982."  
 
Policy to Enhance Cooperation between CCAMLR and Non -Contracting Parties  (as adopted in 1998 at CCAMLR -XVII and amended in 2006 at CCAMLR -XXV) 
"I. The Executive Secretary is requested to develop a list of non -Contracting Parties implicated in IUU fishing and or trade either after the adoption of this policy or during the 
three years prior, which has undermined the effectiveness of CCAMLR conservation measures.  
 II. The Chairman of the Commission shall write to the Minister for Foreign Affairs of each non -Contracting Party included in the abovementioned list explaining how IUU fishing 
undermines the effectiveness  of CCAMLR conservation measures.  The letter, as appropriate, will:  
(a) invite and encourage non -Contracting Parties to attend as observers at meetings of the Commission in order to improve their understanding of the work of the 
Commission and the effects  of IUU fishing;  
(b) encourage non -Contracting Parties to accede to the Convention;  
(c) inform non -Contracting Parties of the development and implementation of the CCAMLR Catch Documentation Scheme for Dissostichus  spp. and provide them with a 
copy of the conservation measure and the explanatory memorandum;  
(d) encourage non -Contracting Parties to participate in the CCAMLR Catch Documentation Scheme and draw their attention to the consequences for them of not 
participating;  
(e) request non -Contracting Parti es to prevent their flag vessels from fishing in the Convention Area in a manner which undermines the effectiveness of measur es adopted 
by CCAMLR to ensure conservation and sustainably managed fisheries;  
(f) if their flag vessels are involved in IUU fishin g, request non -Contracting Parties to provide information to the CCAMLR Secretariat on their vessels’ activities, including 
catch and effort data;  
(g) seek the assistance of non -Contracting Parties in investigating the activities of their flag vessels susp ected of being involved in IUU fishing, including inspecting such 
vessels when they next reach port;  
(h) request non -Contracting Parties to report to the CCAMLR Secretariat on landings and transhipments in their ports in accordance with the f ormat specifie d in Attachment 
A; and  
(i) request non -Contracting Parties to deny landing or transhipments in their ports for fish harvested in CCAMLR waters not taken in complian ce with CCAMLR conservation 
measures and requirements under the Convention."  
 
3  INTERNATIONAL  CONVENTION FOR THE C ONSERVATION OF ATLAN TIC TUNAS (ICCAT)  
3.1  Brief Description of the MEA  
Web site  http://www.iccat.int/  
Objective  ICCAT is responsible for the conservation of tunas and tuna -like species in the Atlantic Ocean and adjacent seas. Its mandate also includes the study of 
fish species caught incidentally to tuna fishing  as well as highly migratory, oceanic and pelagic sharks .  
Date of Signature  Convention: 14 May 1966  
Paris Protocol (on Articles XIV, XV and XV I): 10 July 1984  
Madrid Protocol (to Article X:2): 5 June 1992  
Entry into force  Convention: 21 March 1969  
Paris Protocol (on Articles XIV, XV and XVI): 14 December 1997  
Madrid Protocol (to Article X:2): 10 March 2005    
Parties  51 Contracting Parties  (as of 31 August  2017)  
WTO Members  45 Contracting Parties to ICCAT are also WTO Members (see Annex).   
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- 44 - Openness of 
Membership  Article XIV.1  
"This Convention shall be open for signature by any Government which is a Member of the United Nations or of any Speci alized Agency of the 
United  Nations. Any such Government which does not sign this Convention may adhere to it at any time".  
 In addition, the Paris Protocol  states in Article XIV, paragraph 4: "This Convention shall be open for signature or adherence by a ny inter -
governmental economic integration organization constituted by States that have transferred to it competence over the matters governed by this 
Convention, including the competence to enter into treaties in respect of those matters." Paragraph 6 fur ther provides that, " When an organization 
referred to in paragraph 4 becomes a Contracting Party to this Convention, the member states of that organization and those w hich adhere to it in the 
future shall cease to be parties to the Convention."  
Decision -Making 
Bodies   The Convention established the International Commission for the Conservation of Atlantic Tunas (hereafter the "Commission").  
 The Commission can, on the basis of scientific evidence and other relevant information, recommend management meas ures and Resolutions aimed at 
carrying out its objective of maintaining the populati ons of tuna and tuna -like fish  at "levels which will permit maximum sustainable catch". The scientific 
advice is prepared by the organization´s scientific branch, the Stand ing Committee on Research and Statistics (SCRS).  
 Normally, Recommendations and Resolutions are drafted by already -established auxiliary bodies (such as the four species -group Panels, the Compliance 
Committee or the Permanent Working Group on ICCAT Statis tics and Conservation Measures), and are presented to the Commission as the ultimate 
decision -making body. While Recommendations are applicable to Contracting Parties and Cooperating non -Contracting Parties, Entities or Fishing Entities, 
Contracting Partie s have a six -month grace period in which to present objections (Article VIII:3).  
Article III:1  
"1. The Contracting Parties hereby agree to establish and maintain a Commission to be known as the International Commission for t he Conservation of 
Atlantic Tuna s, hereinafter referred to as "the Commission," which shall carry out the objectives set forth in this Convention".  
Article VI  
"To carry out the objectives of this Convention the Commission may establish Panels on the basis of species, group of species , or of geographic areas.  
Each Panel in such case:  
(a) shall be responsible for keeping under review the species, group of species, or geographic area under its purview, and fo r collecting scientific and 
other information relating thereto;  
(b) may propose to the Commission, upon the basis of scientific investigations, recommendations for joint action by the Contracting Parties;  
(c) may recommend to the Commission studies and investigations necessary for obtaining information relating to its species, g roup of s pecies, or 
geographic area, as well as the co -ordination of programmes of investigation by the Contracting Parties."  
Article VIII  
"1. (a) The Commission may, on the basis of scientific evidence, make recommendations designed to maintain the populations of tuna and tuna -like 
fishes that may be taken in the Convention area at levels which will permit the maximum sustainable catch. These recommendati ons shall be applicable to 
the Contracting Parties under the conditions laid down in paragraphs 2 and 3 of this Article  … 
2. Each recommendation made under paragraph 1 of this Article shall become effective for all Contracting Parties six months afte r the date of the 
notification from the Commission transmitting the recommendation to the Contracting Parties, except as provided  in paragraph 3 of this Article ... 
4. Any Contracting Party objecting to a recommendation may at any time withdraw that objection, and the recommendation shall bec ome effective 
with respect to such Contracting Party immediately if the recommend ation is already in effect, or at such time as it may become effective under the terms 
of this Article.  
5. The Commission shall notify each Contracting Party immediately upon receipt of each objection and of each withdrawal of an ob jection, and of the 
entry into force of any recommendation."   
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- 45 - Amendments and 
Protocols  Article XIII:1  
"1. Any Contracting Party or the Commission may propose amendments to this Convention. The Director -General of the FAO shall transmit a certified 
copy of the text of any proposed  amendment to all the Contracting Parties. Any amendment not involving new obligations shall take effect for all 
Contracting Parties on the thirtieth day after its acceptance by three -fourths of the Contracting Parties. Any amendment involving new obligati ons shall 
take effect for each Contracting Party accepting the amendment on the ninetieth day after its acceptance by three -fourths of the Contracting Parties and 
thereafter for each remaining Contracting Party upon acceptance by it. Any amendment consider ed by one or more Contracting Parties to involve new 
obligations shall be deemed to involve new obligations and shall take effect accordingly. A government which becomes a Contra cting Party after an 
amendment to this Convention has been opened for acceptan ce pursuant to the provisions of this Article shall be bound by the Convention as amended 
when the said amendment comes into force".  
3.2  Trade-related Measures  
The ICCAT is not a regulatory body, however, regulatory Recommendations and Resolutions related to the conservation of tuna and tuna -like species in the 
Atlantic Ocean and adjacent seas, adopted by the Commission, are to be implemented domestically by Contracting  Parties and Cooperating non -Contracting 
Parties, Entities or Fishing Entities. Recommendati ons are the only binding instruments. They are subject to a six -month period during which Contracting 
Parties can file an o bjection (see Article VIII:3). The Recommendations then enter into force after t he six -month objection period. Resolutions are a seco nd 
instrument of the Commission, but are not s ubject to an objection period. The number of Resolutions and Recommendations that the Commission adopts each 
year has been increasing. They include the following:  
3.2.1   Resolutions  
Resolution 99 -11 
Further Actions Ag ainst 
IUUs  Resolution Calling for Further Actions Against Illegal, Unregulated, and Unreported Fishing Activities by Large -Scale Longline 
Vessels in the Convention Area and Other Areas (Transmitted to Contracting Parties on 16 December 1999)  
"... 2.  The C ontracting Parties, Cooperating Non -Contracting Parties, Entities or Fishing Entities shall take every possible action, consistent with 
the relevant laws,  
i. to urge their importers, transporters and other concerned business people to refrain from engagin g in transaction and transshipment of 
tunas and tuna -like species caught by vessels carrying out illegal, unregulated and unreported fishing activities in the Convention Area and  
other areas. ..."  
Resolution 01 -18 
Scope of IUU Fishing  Resolution Further D efining the Scope of IUU Fishing (Transmitted to Contracting Parties on 22 March 2002)  
"... Contracting Parties and Cooperating Non -Contracting Parties, Entities and Fishing Entities shall take every possible action, consistent with 
relevant laws, to instr uct their importers, transporters, and other concerned business people to refrain from engaging in transaction and 
transshipment of tunas and tuna -like species caught by vessels carrying out illegal, unregulated, and unreported fishing activities, which in clude, 
inter alia , any fishing not in compliance with relevant ICCAT conservation and management measures, in the Convention Area or other are as."  
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- 46 - Resolution 14 -11 
Establishing guidelines 
for the cross -listing of 
vessels contained of 
vessels contained on 
IUU vessel lists of other 
tuna RFMOs  Resolution establishing guidelines for the cross -listing of vessels contained on IUU vessel lists of other tuna RFMOs on the ICCAT 
IUU vessel list in accordance with Recommendation 11 -18. 
"… (a) The ICCAT Secretariat wi ll maintain appropriate contracts with the Secretariats of other RFMOs managing tuna or tuna -like species in order 
to obtain copies of these RFMOs' IUU vessel lists in  a timely manner upon adoption or amendment.  
b) As soon as possible after adoption or am endment of an IUU vessel list by another RFMO managing tuna or tuna -like species, the ICCAT 
Secretariat will collect all supporting documentation available from that RFMO regarding the listing/delisting determinations .  
c) Once the ICCAT Secretariat has re ceived/collected the information outlined in paragraphs (a) and (b), it will, consistent with Recommendation 
11-18, circulate the other RFMO's IUU vessel list, supporting information, and any other relevant information regarding the list ing determination 
to all CPCs. The requisite circular will clearly state the reason the information is being provided and explain that ICCAT Con tracting Parties have 
30 days to object to the inclusion of the vessels on the ICCAT IUU vessel list.  
d) The ICCAT Secretariat will  add any new vessels contained in the other RFMO's IUU vessel list to the final ICCAT IUU Vessel List at the end of 
the 30 -day period provided no objection to such inclusion is received from a Contracting Party pursuant to paragraph 11 of Recommend ation 11 -
18. If a CPC objects to inclusion of any vessel, the ICCAT Secretariat will instead include such vessel on the Draft IUU Vess el List, and then the 
Provisional IUU Vessel List to be considered by the PWG at the next Annual meeting.  
e) Where a vessel has be en included on the ICCAT IUU vessel list solely due to its inclusion on another RFMO's IUU vessel list, the ICCAT 
Secretariat will immediately remove that vessel from the ICCAT list when it has been deleted by the RFMO that originally list ed it. 
f) Upon th e addition or deletion of vessels from the final ICCAT IUU Vessel List pursuant to paragraph 11 of Recommendation 11 -18, the ICCAT 
Secretariat will circulate the final ICCAT IUU Vessel List as amended to ICCAT CPCs. " 
3.2.2   Recommendations  
Recommendation 96 -14 
Compliance in Bluefin & 
North Atlantic 
Swordfish Fisheries  Recommendation Regarding Compliance in the Bluefin Tuna and North Atlantic Swordfish Fisheries (Entered into force on 
4 August  1997)  
"... 3.   ... if any Contracting Party exceeds its catch limit du ring any two consecutive management periods, the Commission will recommend 
appropriate measures, which may include, but are not limited to, reduction in the catch limit equal to a minimum of 125% of t he excess harvest, 
and, if necessary, trade restrictive measures. Any trade measures under this paragraph will be import restrictions on the subject species and 
consistent with each Party's international obligations. The trade measures will be of such duration and under such conditions  as the Commission 
may det ermine."  
 This recommendation was extended to South Atlantic swordfish fishery, effective on 24 September 1998 (Recommendation 97 -8 – Compliance in 
the South Atlantic Swordfish Fishery)  
Recommendation 16 -01 
Tropical Tuna  
Management Plan  Recommendation by  ICCAT on a Multi -Annual Conservation and Management Program for Tropical Tunas (Entered into force on 4 
June 2017, replacing Rec. 15 -01 which contained the same provision)  
"10. Notwithstanding paragraph 9 if any CPC exceeds its catch limit during any two consecutive years, the Commission will recommend appropriate 
measures, which may include, but are not limited to, reduction in the catch limit equal to a minimum of 125% of the excess ha rvest, and, if 
necessary, trade restrictive measures. Any trade measur es under this paragraph will be import restrictions on the subject species and consistent 
with each CPC’s international obligations. The trade measures will be of such duration and under such conditions as the Commi ssion may 
determine."  
Recommendation 01 -21 
Concerning the ICCAT 
Bigeye Tuna Statistical 
Document Program  Recommendation by ICCAT Concerning the ICCAT Bigeye Tuna Statistical Document Program (Entered into force: 21 September 
2002)  
"... 1. By July 2002, or as soon as possible thereafter, Contract ing Parties shall require that all bigeye tuna, when imported into the territory of a 
Contracting Party, be accompanied by an ICCAT Bigeye Tuna Statistical Document which meets the requirements described in Anne x 1 or an ICCAT 
Bigeye Tuna Re -export Certifi cate which meets the requirements described in Annex 2. Bigeye tuna caught by purse seiners and pole and line (bait) 
vessels and destined principally for the canneries in the Convention area are not subject to this statistical document requir ement. The Com mission 
and the Contracting Parties importing bigeye tuna shall contact all the exporting countries to inform them of this program in  advance of 
implementation of the program."   
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- 47 - Recommendation 01 -22 
Establishing a 
Swordfish Statistical 
Document Program  Recommendation by ICCAT Establishing a Swordfish Statistical Document Program (Entered into force: 21 September 2002)  
"... 1. Contracting Parties shall require that all swordfish, when imported into the territory of a Contracting Party, be accompanied  by an I CCAT 
Swordfish Statistical Document (Attachment 2) that meets the requirements described in Attachment 1 or an ICCAT Swordfish Re -export 
Certificate (Attachment 4) that meets the requirements described in Attachment 3. The Commission and the Contracting P arties importing 
swordfish shall contact all the exporting countries to inform them of this program, particularly differentiation of treatment  between catches of 
swordfish in the Convention Area and those outside of it in advance of implementation of the p rogram."  
Recommendation 03 -16 
Additional Measures 
Against Illegal, 
Unreported and 
Unregulated Fishing  Recommendation to Adopt Additional Measures Against Illegal, Unreported and Unregulated Fishing (Entered into force on 
19 June  2004)  
"... Consistent with  their rights and obligations under international law, Contracting Parties and Cooperating non -Contracting Parties, Entities or 
Fishing Entities (hereafter referred to as CPCs) take the necessary measures to prohibit landings from fishing vessels, placi ng in cages for farming 
and/or the transshipment within their jurisdiction of tunas or tuna -like species caught by IUU fishing activities".   
Recommendation 06 -07 
on Bluefin Tuna 
Farming [Rec.04 -06] Recommendation to Amend the Recommendation on Bluefin Tuna F arming  [Rec. 04 -06] (entered into force 13 June 2006)  
"... 9.  
(g) Each CPCs shall take the necessary measures, under their applicable legislation, to prohibit the imports and sale of blue fin tuna from farms not 
registered in the ICCAT record of farming f acilities authorised to operate as well as those that do not respect the sampling requirements foreseen in 
paragraph 2b and/or do not participate in the sampling programme referred to in paragraph 2 b) ... ."  
Recommendation 06 -13 
Concerning Trade 
Measures  
 Recommendation by ICCAT Concerning Trade Measures (entered into force on 13 June 2007)  
"... 6.  The Compliance Committee or the PWG should evaluate the response of the CPCs or NCPs, together with any new information, and propose 
to the Commission to deci de upon one of the following actions: a) the revocation of the identification; b) the continuation of the identification stat us 
of the CPC or NCP; or c) the adoption of non -discriminatory trade restrictive measures.  
Absence of response from the CPCs/NCPs concerned within the time limit shall not prevent action from the Commission.  
In the case of CPCs, actions such as the reduction of existing quotas or catch limits should be implemented to the extent pos sible before 
consideration is given to the applicatio n of trade restrictive measures. Trade measures should be considered only where such actions either have 
proven unsuccessful or would not be effective.  
7. If the Commission decides upon the action described in paragraph 6 c), it should recommend to the Co ntracting Parties pursuant to Article 
VIII of the Convention to take non -discriminatory trade restrictive measures, consistent with their international obligations. The Commission shall 
notify the CPCs and NCPs concerned of the decision and the underlying reasons in accordance with the procedures specified in paragraph 5.  
8. CPCs shall notify the Commission of any measures that they have taken for the implementation of the non -discriminatory trade restrictive 
measures adopted in accordance with paragraph 7 .  
9. In order for the Commission to recommend the lifting of trade restrictive measures, the Compliance Committee or the PWG shall  review 
each year all trade restrictive measures adopted in accordance with paragraph 7. Should this review show that the sit uation has been rectified, the 
Compliance Committee or PWG shall recommend to the Commission the lifting of the non -discriminatory trade restrictive measures.  
Such decisions should also take into consideration whether the CPCs and/or NCPs concerned have t aken concrete measures capable of achieving 
lasting improvement of the situation.  
10. Where exceptional circumstances so warrant or where available information clearly shows that, despite the lifting of trade -restrictive 
measures, the CPC or NCP concerned  continues to diminish the effectiveness of ICCAT conservation and management measures, the Commission 
may immediately decide on action including, as appropriate, the imposition of trade -restrictive measures in accordance with paragraph 7.  
Before making s uch a decision, the Commission shall request the CPC or NCP concerned to discontinue its wrongful conduct and shall provide t he 
CPC or NCP with a reasonable opportunity to respond.  
11. The Commission shall establish annually a list of CPCs and NCPs that h ave been subject to a trade -restrictive measure pursuant to 
paragraph 7 and, with respect to NCPs, are considered as non -Cooperating non -Contracting Parties to ICCAT."  
Recommendation  
11-20 
Amending the 
Recommendation 09 -11 
on an ICCAT Bluefin …"2. For the purpose of this Program:  
 (a) 'Domestic trade' means:  
- trade of bluefin tuna harvested in the ICCAT Convention area by a vessel or trap, which is landed in the territory of the CPC  where the 
vessel is flagged or where the trap is established, and  
- trade of farmed bluefin tuna products originating from bluefin tuna harvested in the ICCAT Convention area by a vessel which is flagged to  
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- 48 - Tuna Catch 
Documentation 
Program  the same CPC where the farm is established, which is supplied to any entity in this CPC, and  
- trade between the Member States of the European Union of bluefin tuna harvested in the ICCAT Convention area by vessels flagg ed to one 
Member State or by a trap established in one Member State.  
3. Each consignment of bluefin tuna domestically traded, impo rted into or exported or re -exported from its territories shall be accompanied by 
a validated BCD, except in cases where paragraph 13(c) applies and, as applicable, an ICCAT transfer declaration or a validat ed Bluefin Tuna 
Re-export Certificate (BFTRC). An y such landing, transfer, delivery, harvest, domestic trade, import, export or re -export of bluefin tuna without a 
completed and validated BCD or a BFTRC shall be prohibited…  
10. Domestic trade, export, import and re -export of fish parts other than the mea t (i.e., heads, eyes, roes, guts and tails) shall be exempted 
from the requirements of this Recommendation … 
24. If a CPC involved in trade of bluefin tuna identifies a consignment with no BCD, it shall notify the findings to the exportin g CPC and, where 
known, the flag CPC.  
25. Pending the examinations or verifications under paragraph 22 to confirm compliance of the bluefin tuna consignment with the r equirements 
in the present Recommendation and any other relevant Recommendations, the CPCs shall not grant i ts release for domestic trade, import or 
export, nor, in the case of live bluefin tuna destined to farms, accept the transfer declaration.  
26. Where a CPC, as a result of examination or verifications under paragraph 22 above and in cooperation with the val idating authorities 
concerned, determines that a BCD or BFTRC is invalid, the domestic trade, import, export or re -export of the bluefin tuna concerned shall be 
prohibited.  
27. The Commission shall request the non -Contracting Parties that are involved in d omestic trade, import, export or re -export of bluefin tuna to 
cooperate with the implementation of the Program and to provide to the Commission data obtained from such implementation."  
Recommendation 15 -10 
Clarifying aspects of the 
Electronic Bluefin Tuna  
Catch Document (eBCD) 
System  Recommendation by ICCAT to Clarify and Amend Aspects of ICCAT's Bluefin Tuna Catch Documentation Program to Facilitate the 
Application of the eBCD System  
"… 2. Use of the eBCD system shall become mandatory for CPCs on May 1, 2 016, unless, based on examination of the status of the system, the 
TWG advises the Commission through the Secretariat that the system is not sufficiently ready for implementation. If the TWG s o advises the 
Commission, CPCs must use the eBCD system to the f ullest extent practicable, but paper BCD documents (issued pursuant to Recommendation 11 -
20 or printed eBCDs) shall continue to be accepted until the TWG advises the Commission that the system is sufficiently ready  to be implemented. 
After May 1, 2016, or the date that the TWG advises the Commission that the system is sufficiently ready to be implemented (whichever is later), 
paper BCDs shall no longer be accepted, and eBCDs shall be used thereafter except in the limited circumstances specified in p aragraph  6 below.  
… 
5. Notwithstanding paragraph 4 of this recommendation, the following provisions shall be applied with respect to the BCD prog ram and its 
implementation through the eBCD system:  
a) Following the recording and validation of catch and first trade  in the eBCD system in accordance with part II of Recommendation 11 -20, the 
recording of information on internal sales of bluefin tuna in the eBCD (i.e. sales occurring within one Contracting Party or Cooperating non -
Contracting Party, Entity or Fishing En tity (CPC) or, in the case of the European Union, within one of its Member States) is not required.  
b) Following the recording and validation of catch and first trade in the eBCD, the domestic trade between Member States of t he European Union 
shall be com pleted in the eBCD system by the seller consistent with paragraph 13 of Recommendation 11 -20; however, in derogation to 
Recommendation 11 -20, where such trade is of bluefin tuna that is in the following product forms listed on the eBCD, validation shall no t be 
required: "fillets" (FL) or "other, specified" (OT). "Gilled and gutted" (GG), "dressed" (DR), and "Round" (RD) product forms  will require validation. 
When such product (FL and OT) is packaged for transport, however, the associated eBCD number must be  written legibly and indelibly on the 
outside of any package containing any part of the tuna except for exempted products specified in paragraph 10 of Recommendati on 11 -20. […] The 
derogation in this paragraph expires on 31 December 2017. […]  The trade of  live bluefin tuna including all trade events to and from bluefin farms 
must be recorded and validated in the eBCD system in accordance with the provisions of Recommendation 11 -20 unless otherwise specified in this 
recommendation. The validation of section s 2 (catch) and 3 (live trade) in the eBCD may be completed simultaneously in derogation to paragraph 3 
of Recommendation 11 -20. The amending and re -validation of sections 2 and 3 in the eBCD as required by Paragraph 83 of Recommendation 14 -04 
may be compl eted following caging operation.  
c) Bluefin tuna harvested in sport and recreational fisheries for which sale is prohibited is not subject to the terms of Rec ommendation 11 -20 and 
need not be recorded in the eBCD system. …   
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- 49 - e) Bluefin tuna that die during  the transfer, towing, or caging operations foreseen by paragraphs 71 to 86 of Recommendation 14 -04 prior to 
harvesting may be traded by the purse seine vessel, auxiliary/support vessel(s), and/or farm representatives, where applicabl e. … 
h) The trade sect ion of an eBCD shall be validated prior to export. The buyer information in the trade section must be entered into the eBCD 
system as soon as available. The information may be entered post export but must be entered prior to re -export.  
6 […] c) Notwithstan ding the requirement to use the eBCD system in paragraph 2, paper BCDs or printed eBCDs may be used as a back -up in the 
limited event that technical difficulties with the system arise that preclude a CPC from using the eBCD system. […]  
d) In the case of t rade of Pacific bluefin tuna as specified in paragraph 5g.  
e) In the case of trade between ICCAT CPCs and non -CPCs where access to the eBCD system through the Secretariat (pursuant to paragraph 5(i) 
above) is not possible or is not timely enough to ensure  the trade is not unduly delayed or disrupted."  
Recommendation 10 -08 
on Hammerhead Sharks 
(Family Sphyrnidae) 
Caught in Association 
with Fisheries Managed 
by ICCAT  
 Recommendation by ICCAT on hammerhead sharks (family Sphyrnidae) caught in association wit h fisheries managed by ICCAT 
(entered into force: 14 June 2011)  
…"3. Hammerhead sharks that are caught by developing coastal CPCs for local consumption are exempted from the measures established  in 
paragraphs 1 and 2, provided these CPCs submit Task I and,  if possible, Task II data according to the reporting procedures established by the 
SCRS. If it is not possible to provide catch data by species, they shall be provided at least by genus Sphryna. Developing co astal CPCs exempted 
from this prohibition pursu ant to this paragraph should endeavor not to increase their catches of hammerhead sharks. Such CPCs shall take 
necessary measures to ensure that hammerhead sharks of the family Sphyrnidae (except of Sphyrna tiburo) will not enter intern ational trade and 
shall notify the Commission of such measures"  
Recommendation 11 -01 
On a Multi -Annual 
Conservation and 
Management Program 
for Bigeye and 
Yellowfin Tunas  
 Recommendation By ICCAT on a multi -annual conservation and management program for Bigeye and Yellowfin t unas (entered into 
force: 7 June 2012)  
…"15. Notwithstanding paragraph 14, if any CPC exceeds its catch limit during any two consecutive management periods, the Commissio n will 
recommend appropriate measures, which may include, but are not limited to, redu ction in the catch limit equal to a minimum of 125% of the 
excess harvest, and, if necessary, trade restrictive measures. Any trade measures under this paragraph will be import restric tions on the subject 
species and consistent with each CPC's internationa l obligations. The trade measures will be of such duration and under such conditions as the 
Commission may determine."  
Recommendation 11 -08 
on the Conservation of 
Silky Sharks Caught in 
Association with ICCAT 
Fisheries  
 Recommendation by ICCAT on the cons ervation of silky sharks caught in association with ICCAT fisheries (entered into force: 
7 June  2012)  
…"4. Silky sharks that are caught by developing coastal CPCs for local consumption are exempted from the measures established in p aragraphs 1 
and 2, provi ded these CPCs submit Task I and, if possible, Task II data according to the reporting procedures established by the SCRS. CP Cs that 
have not reported species -specific shark data shall provide a plan by 1 July 2012, for improving their data collection for sharks on a species specific 
level for review by the SCRS and Commission. Developing coastal CPCs exempted from the prohibition pursuant to this paragraph  shall not increase 
their catches of silky sharks. Such CPCs shall take necessary measures to ensure t hat silky sharks will not enter international trade and shall notify 
the Commission of such measures."  
Recommendation 11 -18 
on the List of Vessels 
Presumed to have 
Carried Out Illegal, 
Unreported and 
Unregulated Fishing 
Activities in the ICCAT 
Convention Area  
 Recommendation by ICCAT further amending recommendation 09 -10 establishing a list of vessels presumed to have carried out 
illegal, unreported and unregulated fishing activities in the ICCAT convention area (entered into force: 7 June 2012)  
…"9. CPCs shall take all necessary measures, under their applicable legislation:  
− So that the fishing vessels, support vessels, refueling vessels, the mother -ships and the cargo vessels flying their flag do not assist in any way, 
engage in fishing processing operations or participate in any transhipment or joint fishing operations wit h vessels included on the IUU Vessels List;  
− So that IUU vessels are not authorized to land, tranship re -fuel, re -supply, or engage in other commercial transactions;  
− To prohibit the entry into their ports of vessels included on the IUU list, except in  case of force majeure, unless vessels are allowed entry into 
port for the exclusive purpose of inspection and effective enforcement action;  
− To give priority to the inspection of vessels on the IUU list, if such vessels are otherwise found in their ports ; 
− To prohibit the chartering of a vessel included on the IUU vessels list;  
− To refuse to grant their flag to vessels included in the IUU list, except if the vessel has changed owner and the new owner h as provided sufficient 
evidence demonstrating the p revious owner or operator has no further legal, beneficial or financial interest in, or control of, the vessel, or having 
taken into account all relevant facts, the flag CPC determines that granting the vessel its flag will not result in IUU fishi ng;  
− To prohibit the imports, or landing and/or transhipment, of tuna and tuna -like species from vessels included in the IUU list;   
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- 50 - − To encourage the importers, transporters and other sectors concerned, to refrain from transaction and transhipment of tuna an d tuna-like 
species caught by vessels included in the IUU list;  
− To collect and exchange with other CPCs any appropriate information with the aim of searching for, controlling and preventing  false 
import/export certificates regarding tunas and tuna -like spec ies from vessels included in the IUU list.  
13. Without prejudice to the rights of flag States and coastal States to take proper action consistent with international law, CP Cs shall not take 
any unilateral trade measures or other sanctions against vessels p rovisionally included in the Draft IUU List, pursuant to paragraph 3, or which 
have been already removed from the list, pursuant to paragraph 6, on the grounds that such vessels are involved in IUU fishin g activities."  
Recommendation 11 -19 
Lifting Trade s anctions 
of Bolivia and Georgia  
 Recommendation by ICCAT concerning the lifting of trade restrictive measures against Bolivia and Georgia (entered into force:  
7 June 2012)  
"1. Contracting Parties and Cooperating non -Contracting Parties, Entities or Fishing  Entities (CPCs) shall lift the import prohibitions on Atlantic 
bigeye tuna and its products that were imposed on Bolivia and Georgia…"  
Recommendation 14 -05 
concerning the Western 
Atlantic Bluefin Tuna 
Rebuilding Program  
(replaced by Rec. 16 -
08, but 7c) r emains in 
force)  
 Recommendation by ICCAT amending the recommendation by ICCAT concerning the western Atlantic Bluefin Tuna rebuilding  
program   
"…7.   (c) Notwithstanding paragraph 7(b), if a CPC has an overharvest of its total quota during any two consecu tive management periods, the 
Commission will recommend appropriate measures, which may include, but are not limited to, reduction in the CPC’s total quota  equal to a 
minimum of 125% of the overharvest amount and, if necessary, trade restrictive measures. A ny trade measures under this paragraph will be 
import restrictions on the subject species and consistent with each CPC’s international obligations. The trade measures will be of such duration and 
under such conditions as the Commission may determine."  
Recommendation 14 -04 
to Establish a Multi -
Annual Recovery Plan 
for Bluefin Tuna in the 
Eastern Atlantic and 
Mediterranean  
 Recommendation by ICCAT amending the recommendation 13 -07 by ICCAT to establish a multi -annual recovery plan for Bluefin 
tuna in the eas tern Atlantic and Mediterranean (entered into force August 2015)  
…"94. Consistent with their rights and obligations under international law, exporting and importing CPCs shall take the necessary m easures:  
− to prohibit domestic trade, landing, imports, exp orts, placing in cages for farming, re -exports and transhipments of eastern Atlantic and 
Mediterranean bluefin tuna species that are not accompanied by accurate, complete, and validated documentation required by th is 
Recommendation and the Recommendation b y ICCAT Amending Recommendation 08/12 on an ICCAT Bluefin Tuna Catch Documentation 
Programme [Rec. 11 -20] on a Bluefin Tuna Catch Documentation Programme."  
− to prohibit domestic trade, imports, landings, placing in cages for farming, processing, exports, re -exports and the transhipment within their 
jurisdiction, of eastern and Mediterranean bluefin tuna species caught by fishing vessels whose flag State eith er does not have a quota, catch limit 
or allocation of fishing effort for that species, under the terms of ICCAT management and conservation measures, or when the flag State fishing 
possibilities are exhausted, or when the individual quotas of catching ves sels referred to in paragraph 10 are exhausted;  
− to prohibit domestic trade, imports, landings, processing, exports from farms that do not comply with Recommendation Rec. 06 -07." 
3.3  Supportive measures  
 Contracting Parties have access to scientific research, statistical database and other information. T hey can also obtain technical assistance in establishing their statistical 
systems, and in receivin g training from the Commission.  
 Funding of many of the Commission’s activities is through the regular budget, provided by Contracting Party contributions. Special funding arrangements have been 
established, with funds from the public and private sectors.  
 In 2011, the Commission established a Meeting Participation Fund to finance the attendence of delegates from developing countries at ICCAT meetings . 
 In 2014, the Commission established a special Monitoring, Control, and Survaillance Fund (MCSF) to support and strengthen the de velopment and implementation  of effective 
systems of port inspection by developing CPCs.   
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- 51 - 3.4  Non-compliance mechanism  
Article IX  
"1. The Contracting Parties agree to take all action necessary to ensure the enforcement of this Convention.  Each Contracting Par ty shall transmit to the Commission, biennially 
or at such other times as may be required by the Commission, a statement of the act ion taken by it for these purposes.  
2. The Contracting Parties agree:  
(a) to furnish, on the request of the Commission, any available statistical, biological and other scientific information the Commission may need for the purposes of this 
Convention;  
(b) when their official agencies are unable to obtain and furnish the said information, to allow the Commission, through the Cont racting Parties, to obtain it on a voluntary 
basis direct from companies and individual fishermen.  
3. The Contracting Parties under take to collaborate with each other with a view to the adoption of suitable effective measures to ensure the application of t he provisions of this 
Convention and in particular to set up a system of international enforcement to be applied to the Convention area except the territorial sea and other waters, if any, in which a 
state is entitled under international law to exercise jurisdiction over fisheries".  
 The mandate and terms of reference for a Conservation and Management Measures Compliance Committee we re adopted in Decision 95 -15, and revised through 
Recommendation 11-24. 
 Some non -compliance procedures have been enforced, such as reducing catch quotas by the amount of excess catch over the quota and or b y 125 per cent of the excess.  
Also, trade measu res can be, and have been, applied to Contracting Parties (see Section II on Trade -Related Measures).  From 2013 onwards, Contracting Parties may be 
forbidden to fish for species for which data have not been provided in previous years, under the Recommendat ion By I CCAT  On Penalties Applicable In Case Of Non Fulfilment Of 
Reporting Obligations [Rec. 11 -15] 
 In 2016, the Commission adopted additional measures to strengthen the compliance process, particularly the Resolution Establi shing an ICCAT Schedule of A ctions to Improve 
Compliance and Cooperation with ICCAT Measures (Res. 16 -17) and the Resolution to Facilitate an Effective and Efficient Compliance Process (Res. 16 -22). 
3.5  Dispute Settlement Mechanism  
 No provisions  
3.6  Provisions for non -parties  
 In 1997, the Commission adopted a Resolution urging non -contracting parties, entities or fishing entities known to be fishing in the Convention area for species under ICCAT 
competence to either become Contracting Parties to the Convention or to attain status as a " Cooperating Party, Entity, or Fishing Entity" (Resolution 97 -17 - Becoming a 
Cooperating Party, Entity or Fishing Entity). Such status requires the firm commitment to provide the same data that Contract ing Parties are required to submit and to respect the 
Commission’s management recommendations. Such status is granted for one -year periods and is subject to annual review. In 1999, Chinese Taipei and Mexico were granted 
Cooperating Status. In 2001, the Philippines was also granted Cooperating Status. Cooperat ing Status was granted to Guyana in 2003 and to the Netherlands Antilles in 2004. In 
2002, Mexico became a member of ICCAT. In 2004, the Philippines became a member of ICCAT. In 2014, Curaçao, formerly Netherla nds Antilles, became a member of ICCAT. 
This 1 997 resolution was substituted by a Resolution 01 -17 in 2002, and later by Recommendation 03 -20 in 2003. Cooperating status is currently enjoyed by the following: 
Bolivia, Chinese Taipei, Costa Rica, Guyana and Suriname.  
Recommendation 03 -20 on Criteria f or Attaining the Status of Cooperating Non -Contracting Party, Entity or Fishing Entity (Entered into Force on 19 June  2004)  
"... 1.  Each year, the Executive Secretary of ICCAT  shall contact all non -Contracting Parties, Entities, or Fishing Entities known  to be fishing in the Convention area for species 
under ICCAT competence to urge them to become a Contracting Party to ICCAT or to attain the status of a Cooperating non -Contracting Party, Entity or Fishing Entity. In doing 
so, the Executive Secretary shal l provide a copy of all relevant Recommendations and Resolutions adopted by the Commission.  
2. Any non -Contracting Party, Entity, or Fishing Entity that seeks to be accorded the status of a Cooperating non -Contracting Party, Entity or Fishing Entity shall apply to the 
Executive Secretary. Requests must be received by the Executive Secretary no later than ninety (90) days in advance of an ICC AT annual meeting, to be considered at that 
meeting.  
3. Non-Contracting Parties, Entities or Fishing Entities requesti ng the status of Cooperating non -Contracting Party, Entity or Fishing Entity shall provide the following  
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- 52 - information in order to have this status considered by the Commission:  
(a) where available, data on its historical fisheries in the Convention area, i ncluding nominal catches, number/type of vessels, name of fishing vessels, fishing effort and 
fishing areas;  
(b) all the data that Contracting Parties have to submit to ICCAT based on the Recommendations adopted by ICCAT;  
(c) details on current fishing pre sence in the Convention area, number of vessels and vessel characteristics and;  
(d) information on any research programs it may have conducted in the Convention area and the information and the results of this research.  
4. An applicant for Cooperating non-Contracting Party, Entity or Fishing Entity Status shall also:  
(a) confirm its commitment to respect the Commission’s conservation and management measures and;  
(b) inform ICCAT of the measures it takes to ensure compliance by its vessels with ICCAT conserv ation and management measures .  
5. The Commission's Permanent  Working Group for the Improvement of ICCAT Statistics and Conservation Measures (hereinafter PWG) shall be responsible for re viewing 
requests for Cooperating Status and for recommending to the C ommission whether or not an applicant should receive Cooperating Status. In this review, the PWG shall also 
consider information regarding the applicant available from other Regional Fisheries Management Organizations (RFMOs) as well  as data submission of the applicant to the 
Commission. Caution shall be used so as not to introduce into the Convention area the excessive fishing capacity of other reg ions or IUU fishing activities in granting Cooperating 
Status to the applicant.  
6. Cooperating non -Contractin g Parties, Entities or Fishing Entity status shall be annually reviewed and renewed unless revoked by the Commission due to n on-compliance 
with ICCAT conservation and management measures ...".  
 
 
4  UNITED NATIONS FISH STOCKS AGREEMENT (UNFSA)  
4.1  Brief Descripti on of the MEA  
The full name of the  United Nations Fish Stock s Agreement (UNFSA) is the Agreement for the Implementation of the Provisions of the U nited Nations  
Convention on the Law of the Sea (UNCLOS) of 10  December 1982 relating to the Conservation and M anagement 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 th e Agreement and UNCLOS provides 
that "[n]othing in this Agreement shall prejudice the r ights, 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".  
 
Web site  http://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 migrato ry 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, either 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  86 (as of 31 August  2017)   
WTO Members  75 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   
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- 53 - "This Agreement shall remain open for accession by States and the other entities referred to in article 1, paragraph 2(b)  …". 
Article 1:2(b) – Use of terms and scope  
"2. (b) This Agreement applies mutatis mutandis : 
(i) to any entity referred to in article 305, paragraph 1 (c), (d) and (e), of the Convention and  
(ii) subject to article 47, to any entity referred to as an "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 other fishing entities whose vessels fish on the high seas."  
Article 305:1 of the United N ations 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 stat us in an act of self -determination supervised and approved by the 
United  Nations in accordance with General Assembly resolution 1514 (XV) and which have competence over the matters governed by this 
Convention, including the competence to enter into treatie s in respect of those matters;  
(d) all self -governing associated States which, in accordance with their respective instruments of association, have competence over the m atters 
governed by this Convention, including the competence to enter into treaties in respect of those matters;  
(e) all territories which enjoy full internal self -government, recognized as such by the United Nations, but have not attained full independence in 
accordance with General Assembly resolution 1514 (XV) and which have competence ov er the matters governed by this Convention, including 
the competence to enter into treaties in respect of those matters;  
(f) international organizations, in accordance with Annex IX".  
Governing Bodies  
 Informal Consultations of States Parties  
 The Genera l 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 States Parties, for the purposes and objectives of, inter alia, consid ering the regional, sub -regional 
and global implementation of the Agreement; making any appropriate recommendation to the UNGA on the scope and content of the  annual report of 
the Secretary -General relating to the Agreement; and preparing for the review co nference 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 annually betw een  2002 and 
2010 as well as from 2014 to 2016 .  The General Assembly, in its resolution 71/123 of 7 December 2016, requested the Secretary -General to convene in 
2018 a thirteenth round of Informal Consultations of States Parties to the Agreement.  
 
Review Conference  
 The Agreement provides for the convening of a Re view Conference four years after the date of the entry into force of the Agreement (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 a nd highly migratory fish 
stocks. The Secretary -General shall invite to the conference all States Parties and those States and ent ities which are entitled to become parties to this 
Agreement as well as those intergovernmental and non -governmental organizations entitled to participate as observers.  
2. The conference shall review and assess the adequacy of the provisions of this Agreem ent and, if necessary, propose means of strengthening the 
substance and methods of implementation of those provisions in order better to address any continuing problems in the conserv ation 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. Th e 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 st rengthening the 
implementation of its provisions. Recommendations were made regardi ng: 1) conservation and management of straddling fish stocks and highly 
migratory fish stocks; 2) mechanisms for international cooperation, including cooperation with non -members of regional fisheries management  
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- 54 - 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 ad dress concerns raised 
by some non -parties regarding some provisions of the Agreement. The Review Conference also agreed to continue the Informal Consultations 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 future 
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 an d 64/72. The 
Conference con ducted a review of the implementation of the recommendations adopted at the Review Conference in 2006 and adopted additional 
recommendations that built on the outcome in 2006 in order to strengthen the substance and methods of implementing the provis ions o f the Agreement. 
The resumed Review Conference decided to continue the Informal Consultations of States Parties to the Agreement and keep the Agreement under 
review through the resumption of the Review Conference at a date not earlier than 2015.  
Pursuant t o General Assembly resolutions 69/109 and 70/75, the Review Conference was resumed in New York from 23 to 27 May 2016. In its  outcome, 
the resumed Review Conference determined that implementation of the Agreement should be further strengthened by recommend ations 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 devel oping States (see A/CONF.210/2016/5, annex). The resumed 
Review Conference recommended that the Informal Consultations of States Parties to the Agreement be dedicated, on an annual b asis, to the 
consideration of specific issues arising from the implementat ion 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.  
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 co nvening of a conference to consider such proposed amendments. The Secretary -General shall circulate such communication to all 
States Parties. If, within six months from the date of the circulation of the communication, not less than one half of the St ates Parties reply favourably to 
the request, the Secretary -General shall convene the conference.  
2. The decision -making procedure applicable 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 conference. The 
conference should make every effort to reach agreement on any amendments by way of consensus and there should be no voting on  them until  all 
efforts at consensus have been exhausted.  
3. Once adopted, amendments to this Agreement shall be open for signature at United Nations Headquarters by States Parties for t welve months 
from the date of adoption, unless otherwise provided in the amendmen t itself.  
4. Articles 38, 39, 47 and 50 apply to all amendments to this Agreement.  
5. Amendments to this Agreement shall enter into force for the States Parties ratifying or acceding to them on the thirtieth day  following the deposit 
of instruments of rati fication or accession by two thirds of the States Parties. Thereafter, for each State Party ratifying or acceding to an amend ment 
after the deposit of the required number of such instruments, the amendment shall enter into force on the thirtieth day follo wing the 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 int o force than  are 
required by this article.  
7. A State which beco mes a Party to this Agreement after the entry into force of amendments in accordance with paragraph 5 shall, failing an 
expression of a different intention by that State:  
(a) be considered as a Party to this Agreement as so amended;  and  
(b) be considered as a Party to the unamended Agreement in relation to any State Party not bound by the amendment".  
 
Article 48 – Annexes  
"… 2. The Annexes may be revised from time to time by States Parties. Such revisions shall be based on scientific and technic al consider ations. 
Notwithstanding the provisions of article 45, if a revision to an Annex is adopted by consensus at a meeting of States Partie s, it shall be incorporated in 
this Agreement and shall take effect from the date of its adoption or from such other date a s may be specified in the revision. If a revision to an Annex is 
not adopted by consensus at such a meeting, the amendment procedures set out in article 45 shall apply".   
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- 55 - 4.2  Trade -related Measures  
 
4.3  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 straddlin g fish stocks 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 juri sdiction 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 management 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 Nations and other specialized agencies, the Global Environment Facility, the Commission on Sustainable Development and  other appropriate 
international and regional organizations and bodies, provide assistance to developing States. " 
Article 25 – Forms of cooperation with developing States  
"1. States shall cooperate, either directly or through subregional, regional or global organizations:  
(a) to enhance the ability of developing States, in particular the least -developed among them and small island de veloping 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 St ates, 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 man agement 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 which 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 re gional conservation and management 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 m anagement arrangement may take action in accordance with international law, including through recourse to subregional or regi onal 
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  subregion 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 p ort State shall not discriminate in form or in fact 
against the vessels of any State.  
2. A port State may, inter alia , inspect documents, fishing gear and catch on board fishing vessels, when such vessels are voluntarily in its ports 
or at its offshore ter minals.  
3. States may adopt regulations empowering the relevant national authorities to prohibit landings and transshipments where it ha s been 
established that the catch has been taken in a manner which undermines the effectiveness of subregional, regional  or global conservation 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 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".   
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- 56 - 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 migrato ry 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 trai ning 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 cooperate to establish special funds to assist developing States in the implementation of this Agreement, including assisting developin g States to meet the costs 
involved in any proceedings for the settlement of disputes to which they may be parties.  
2. States and i nternational organizations should assist developing States in establishing new subregional or regional fisheries management o rganizations or arrangements, or in 
strengthening existing organizations or arrangements, for the conservation and management of st raddling 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 ad ministers the Fund in collaboration with the Division for Ocean Affairs and the Law of the Sea, Office of Legal Affairs of th e United Nations, and invites 
States, intergovernmental organizations, international financial institutions, national institutions,  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 provides that financial assistance from the Fu nd can be sought for the following purposes:  
"(a) Facil itating 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 fishe ries management organizations and arrangements. Such assistance may include 
such costs as travel costs and, if appropriate, daily subsistence allowances for delegations participating in relevant region al and subregional fisheries management 
organisations o r arrangements, including technical experts.  
(b) Assisting with travel costs, and if appropriate daily subsistence allowances, associated with the participation of develop ing States Parties, in particular the least -
developed among them and small island dev eloping 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 specialised agencies, the G lobal Environment Facility, the Commission 
on Sustainable Development and other appropriate international and regional organizations and bodies. Applications for this p urpose shall 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 organ izations 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 and/or work programmes of the regional or subregional fisheries management organizations or arrangements and i n the national fisheries policies 
and/or management plans of States Parties.  
(d) Building capacity for activities in key areas such  as effective exercise of flag State responsibilities, monitoring, control and surveillance, data collection and scientific 
research relevant to straddling and highly migratory fish stocks on a national and/or regional level.  
(e) Facilitating exchange of information and experience on the implementation of the Agreement.  
(f) Assisting developing States Parties to the Agreement, in particular the least -developed among them and small island developing States, with human resources 
development, technical traini ng, and technical assistance in relation to conservation and management of straddling and highly migratory fish stocks and de velopment of 
fisheries for such stocks, consistent with the duty to ensure the proper conservation and management of such stocks.  
(g) Assisting in meeting the costs involved in proceedings for the settlement of disputes between States Parties to the Agreem ent concerning the interpretation or 
application of the Agreement in accordance with Part VIII of the Agreement or proceedings conc erning the interpretation or application of a subregional, regional or global 
fishery agreement relating to straddling fish stocks or highly migratory fish stocks to which they are parties, including any  dispute concerning the conservation and 
management o f such stocks and complementary to any assistance provided under the ITLOS Trust Fund established by General Assembly resolut ion 55/7 or the Trust Fund 
for the International Court of Justice established by General Assembly resolution A/47/444 or the financ ial assistance fund established by the Permanent Court of 
Arbitration. "  
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- 57 - 4.4  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 in an RFMA , and which doe s not 
otherwise agree to apply the conservation and management measures established by such organization or arrangement , is not discharged from the obligation to cooperate, in 
accordance with the Convention and the Agreement, in the conservation and manage ment 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 h ighly migratory fish stocks which ar e 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 with subregiona l and region al 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 its 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 w ithout the necessary authorization;  requirement of 
permits for high seas fishing; prohibition of unauthorized fishing in areas under the national jurisdiction of other States; requirements for marking of fishing vessels and fishing 
gear in accordance with F AO Standard Specifications for the Marking and Identification of Fishing Vessels; obligation of reporting relevant fisheries data; implementation of 
observer programmes and national inspection schemes; implementation of vessel monitoring system s; regulatio n 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 syste ms. 
  Part VI on "Compliance and Enforcement" (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 State 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, t hat 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 include the physical inspection of 
the vessels concerned, and report promptly to the State alleging the violation and the relevant subregional or regional organizat ion or arrangement on the progress and 
outcome of the investigation;  
(c) require any vessel flying its flag to give information to  the investigating authority regarding vessel position, catches, fishing gear, fishing operations and related activities 
in the area of an alleged violation;  
(d) if satisfied that sufficient evidence is available in respect of an alleged violation, refer t he case to its authorities with a view to instituting proceedings without delay in 
accordance with its laws and, where appropriate, deta in the vessel concerned;  and 
(e) ensure that, where it has been established, in accordance with its laws, a vessel has b een 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 discourage violations wherever they occur and  shall deprive offenders of the benefits accruing from their illegal activities. Measures applicable in 
respect of masters and other officers of fishing vessels shall include provisions which may permit, inter alia , refusal, withdrawal or suspension of aut horizations 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 fisheries management organizations o r arrang ements, 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 cooperation in enforcement  
 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 inspection pursuant to Article 21  
 Provides for the basic procedures to be followed by duly authorized inspectors from an inspecting State in case of boarding and inspection.   
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- 58 - Article 23 – Measures taken by a port State  
 Provides for enforcement measures, which may be taken by a port State, wh enever fishing vessels are voluntarily in its ports or at its offshore terminals. Such measures may 
include inspection of documents, fishing gear and catch on board fishing vessels, and prohibition of landings and transhipmen ts if national regulations exis t to this effect.  
4.5  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 sett le disputes by peaceful means  
"States have the obligation to settle their disputes by negotiation, inquiry, mediation, conciliation, arbitration, judicial settlement, resort to regional agencies or arrangements, or 
other peaceful means of their own choice" . 
Article 28 – Prevention of disputes  
"States shall cooperate in order to prevent disputes. To this end, States shall agree on efficient and expeditious decision -making procedures within subregional and regional 
fisheries management organizations and arran gements 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 estab lished 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 settlement 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 P arties 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 fish eries agreement relating to straddling fish stocks or 
highly migratory fish stocks to which they are parties, including any dispute concerning the conservation and management of su ch stocks, whether or not they are a lso Parties to 
the Convention.  
Article 31 – Provisional measures  
"1. Pending the settlement of  a dispute in accordance with this Part, the parties to the dispute shall make every effort to enter into provisional arrangem ents of a practical 
nature.  
2. Without prejudice to article 290 of the Convention, the court or tribunal to which the dispute has been submitted under this Part may prescribe any provisional measures 
which it considers appropriate under the circumstances to preserve the respective rights of the parties to the dispute or to prevent damage to the stocks in question, as well as in 
the circumstances referred to in article 7, 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 not be entitled to prescribe, modify or revoke provisional measures without the agreement o f such State".  
 The relevant provisions of UNCLOS  
 Part XV of UNCLOS requires that State Parties to the Convention settle any dispu te between them concerning the interpretation 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, th e dispute shall be submitted at the request 
of any party, to the compulsory procedures entailing binding decisions provide d for in Section 2 of Part XV.  
 Article 287 lists the following courts or tribunals as means for the settlement of disputes under Secti on 2:  
- The International Tribunal for the Law of the Sea ( ITLOS ), established in accordance with Annex VI of the Convention including the Seabed Disputes Chamber;  
- The International Court of Justice  (ICJ); 
- an arbitral tribunal constituted in accordance with  Annex VII of the Convention;  
- a special arbitral tribunal constituted in accordance with Annex VIII for one or more of the categories of disputes specified  therein.   
 The jurisdiction of ITLOS comprises all disputes and all applications submitted to it in accordance with UNCLOS and all matters specifically provided for in any other 
agreement, which confers jurisdiction to the Tribunal.  
 Part XV, Section 3 on limitations and exceptions to the applicability of Section 2 stipulates in Article 297, paragraph 3 that disputes relating to the sovereign 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  
  WT/CTE/W/160/Rev.8 • TN/TE/S/5/Rev.6  
 
- 59 - decisions provi ded for in Part XV, S ection  2. 
 In relation to the above disputes subject to limitations and exceptions under Article 297, paragraph 3, w here no settlement has been reached by recourse to Part XV, 
Section 1, such disputes shall be submitted to the compulsory conciliation proced ure established under Annex V, Section 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 concilia tion, including its conclusions or 
recommendations, remains non -binding upon the Parties to the dispute.  
4.6  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 regul ations 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 Agreeme nt". 
Article 36 – Review conference  
"1. Four years after the date of entry into force of this Agreement, the Secretary -General of the United Nations shall convene a conference with a view to assessing the 
effectiveness of this Agreement in securing the con servation 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 intergovernmental and non -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.  
 
5  AGREEMENT ON PORT ST ATE MEASURES TO PREV ENT, DETER AND ELIMI NATE ILLEGAL, UNREPO RTED AND UNREGULATED  FISHING (PSMA)   
5.1  Brief Description of the MEA  
Website  http://www.fao.org/fishery/psm/a greement/en  
Objective  Article 2    The objective of this Agreement is to prevent, deter and eliminate IUU fishing through the implementation of effective Port State meas ures, 
and thereby to ensure the long-term conservation and sustainable use of liv ing marine resources and marine ecosystems.  
Date of Signature  22 November 2009  
Entry into Force  5 June 2016  
Parties  48 (as of 31 August  2017)   
WTO Members  43 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 ec onomic in tegration 
organization . 
2. Instruments of accession shall be deposited with the Depositary. "  
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- 60 - 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 Agre ements 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 d iscussed 
and agreed upon.  
 
At this meeting, Parties establi shed 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 will provide S ecretariat services to the meetings of the Parties and their working group meetings.  
Amendments and 
Protocols  Article 33: Amendments  
"1. Any Party may propose amendments to this Agreeme nt after the expiry of a period of two years from the date of entry in to force of this Agreement.  
2. Any proposed amendment to this Agreement shall be transmitted by written communication to the Depositary along with a request fo r the convening 
of a meeting of the Parties to consider it. The Depositary shall circulate to  all Parties such communication as well as all replies to the request received 
from Parties. Unless within six month s 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 this Agr eement 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 ad opted by t he meeting of the Parties shall come into force among the Parties having ratified,  accepted or 
approved it on the ninetieth day after the deposit of instruments of ratifica tion, acceptance or approval by two-thirds of the Parties to this Agreemen t 
based on the n umber 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 amen dment.  
 
5. For the purposes of this Article, an instrument deposited by a re gional economic integration organization shall not be counted as addit ional to those 
deposited by its Member States ." 
 
Article 34: Annexes  
"1. The Annexes form an integral part of this Ag reement 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 wher e the 
proposed amendment to t he 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 th ose Parties that have expressed their 
acceptance from the date on which the Depo sitary receives notification of acceptance from one -third of the Parties to this Ag reement, based on the 
number of Parties on the date of adoption of the amendment. The amendme nt shall thereafter enter into force  for each remaining Party upon receipt by 
the Depositary of its acceptance ."  
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- 61 - 5.2  Trade -related Measures  
5.2.1   Provisions of the Convention  
Article 4 
Relationship with 
international law and 
other international 
instruments  "1. Nothing in this Agreement shall prejudic e the rights, jurisdiction and duties of Parties under international law. In particular, 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 internat ional 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 regional 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 internation al 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 d ue publicity.  
2. Each Party shall, to the greatest extent possible, en sure that every port designated and publicized in accordance with paragraph 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 authorization 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 appropriate 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 suffi cient 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 regional 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. "  
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- 62 - 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 find s 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 engage in fishin g or fishing related activities required 
by a coastal State in respect of areas under the national jurisdiction of that State;  
 
(c) the Party receives clear evidence that the fish on board was  taken in contravention of applicable requirements of 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 requirement s 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 su pport 
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 pro vision 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 ca rrying 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 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, transsh ipping, 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 vessels 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  
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- 63 - other measures consistent with this Agreement.  
 
3. Each Party shall encourage vessels entitled to fly its f lag to land, transship, package and process fish, and use other port services, in por ts of 
State s that are acting in accordance with, or in a manner consistent with this Agreement. Parties are encouraged to develop, including through 
regional  fisheries management organizations and FAO, fair, transparent and non-discriminatory procedures for identifyi ng 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 immediately and fully  
investigate the matter and shall, upon sufficient evidence, take enforcement  action without delay in accordan ce with its laws and regulations.  
 
5. Each Party shall, in its capacity as a flag State, report to other  Parties, relevant port States and, as appropriate, other relevant States,  regional 
fisheries management organizations and FAO on actions it has  taken i n respect of vessels entitled to fly its flag that, as a result of port State 
measures taken pursuant to this Agreement, have been determined to have  engaged in IUU fishing or fishing related activities in support of such  
fishing.   
 
6. Each Party shall ens ure 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. " 
5.3  Supportive measures  
Article 6 : Cooperation and exchange of information  
"[…] 
 
2. Each Party shall, to the greatest extent possib le, take measures in support of conservation and management measures adopted by other States and other relevant  
international organizations.  […]" 
 
Article 21: Requirements of developing States  
 
"[…] 1. Parties shall, either directly or  through FAO, other specialized agencies of the United Nations or other appropriate international organizations and bodies, includin g 
regional fisheries management organ izations, provide assistance to developing 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 l egal basis an d capacity for the implementation of 
effective port State measures;  
(b) facilitate their participation in any international  organizations that promote the effective development and implementation of port State measures; and  
(c) facilitate technical assist ance 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 require ments of developing port States Parties, in particular the least-developed among them and small island dev eloping States, to 
ensure that a disproportionate burden resulting from the implementation of this Agreement is not transferred directly or indirectly to them.  In cases where the transfer of a 
disproportionate  burden has been demonstrated, Parties shall co operate to facilitate the implementation by the relevant developing States Partie s of specific obligations under this 
Agreement.  
3. Parties shall, either directly or through FAO, ass ess the special requirement s of developing States Parties concerning the implementation of this Agreement.   
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- 64 - 4. Parties shall cooperate to establish appropria te funding mechanisms to assist developing States in the implementation of this Agr eement. These mechanisms shall, inter alia, 
be directed specifically towards:  
(a) developing national and international port State measures;  
(b) developing and enhancing capacity, includ ing for monitoring, control and surveillance and for training at the natio nal and regional levels of port manager s, inspectors, 
and enforcement and legal personnel;  
(c) monitoring, control, surveillance and complia nce activities relevant to port State measures, including access to technology and equipment; and  
(d) assisting developing States Parties with the co sts in volved in any proceedings for the settlement of disputes that result from actions they ha ve taken pursuant to this 
Agreement.  
5. Cooperation with and among developing States Part ies for the purposes set out in this Article may include the provision of tech nical a nd financial assistance through bilateral, 
multilateral and regional 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 establishment of funding mechanisms including a 
scheme for contributions, identification and mobilizati on of funds, the development of criteria and procedures to guide implementation, and pr ogress in the implementation of the 
funding mechanisms. In addition to the consi derations p rovided in this Article, the ad hoc working group shall take into account, inter alia:   
(a) the assessment of the needs of developing St ates Parties, in particular the least-developed among them and small island developing States;   
(b) the avail ability and timely disbursement of funds;  
(c) transparency of decision -making and management processes concerning fundraising and allocations; and  
(d) accountability of the recipient developing Stat es Parties in the agreed use of funds.  
Parties shall take  into account the reports and an y recommendations of the ad hoc working group and take appropriate action. " 
 
PSMA Assistance Fund  
 
The first meeting of the Part 6 Working Group6 (Oslo, Norway 1 - 2 June 2017) drafted Terms of Reference for the funding mech anisms to assist developing States Parties which 
shall be considered by Parties at their next meeting. Such mechanisms shall include contribution schemes towards an Assistanc e Fund to be managed by FAO in accordance with 
its Financial Regulations and other  applicable Rules.  
 
The proposed Assistance Fund will be comprised of (i) a Trust Fund to which developing States Parties may apply for assistanc e; 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 inst ruments to combat 
                                                
6 The Part 6 Working Group is tasked with making recommendations to the Parties on:  
- the establishment of a fundin g mechanism;  
- priorities for the use of the funding mechanism; and  
- identification of States, intergovernmental organizations, international financial institutions, regional economic integratio n organizations, national institutions, non -
governmental orga nizations, foundations, as well as natural and juridical persons, that shall be approached by FAO to make voluntary financial  contributions to the funding 
mechanisms.   
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- 65 - illegal, unreported and unregulated fishing ', which will benefit both developing States Parties and non -parties, will serve as an implementing framework for projects developed 
under the Assistance Fund.   
5.4  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, Parti es shall cooperate and exchange 
information with relevant States, FAO, o ther international organizations and regional  fisheries management organizations, including on the me asures 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 th e effective implementation of this Agreement 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 and systematic monitoring and review of the impl ementation of this Agreement as well 
as the assessment of progress made towards achieving its objective.  
2. Four years after t he entry into force of this Agreement , FAO shall convene a meeting of the Parties to review and assess the eff ectiveness of this Agreement in achieving its 
objective. The Parties shall decide on fur ther such meetings as necessary ." 
 
During the first meetin g of the Parties, the Parties recognized the importance of ensuring regular and systematic monitoring and review of the imple mentation of the Agreement. 
While Article 24(2) specifies a Meeting every four years, the Parties decided to hold more frequent mee tings in the initial years 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 two years, utilizing, inter alia , information 
submitted through the questionnaire.  
 
5.5  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 appl ication of the prov isions 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 am ong 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 sh all, with the consent of all Parties to the dispute, be referred for settlement to the International Court of Justice, to the  
International Tribunal for the Law of the Sea or to arbitration. In the case of failure 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 accordance with the rules 
of international law rela ting to the conservation of living marine resources."  
  
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- 66 - 5.6  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 imple ment measures consistent with its provisions.  
 
2. Parties shall take fair, non -discriminatory and transparent measures consistent with this Agreement and other applicable international law to deter the activities of non -
Parties which undermine the effectiv e implementation of this Agreement."  
6  INTERNATIONAL TROPIC AL TIMBER AGREEMENT (ITTA)7 
6.1  Brief Description of the MEA  
Web site  http://www.itto.int/ . 
Objective   ITTA, 2006 seeks to promote international trade in tropical t imber, the sustainable management of tropical forests, and the development 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 Apri l 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, deci des 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 
additiona l one of three years.  
3. If, before the expiry 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 Ag reement has been negotiated but has not yet 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 Agree ment.  
4. If the new agreement is negotiated and enters into force during any period of extension of this Agreement under paragraph 2 o r paragraph 3 of this 
article, this Agreement, as extended, shall terminate upon the entry into force of the new agreemen t.  
5. The Council may at any time, by special 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 bein g for a period not exceeding 18 months to carry out the 
liquidation of the Organization, including the settlement of accounts, and, subject to relevant decisions to be taken by spec ial vote in accordance with 
article 12, shall have during that period such powers and functions as may be necessary for these purposes.  
7. The Council shall notify the depositary of any decision taken under this article."  
ITTA Members  73 Members of which 35 producing and 38 consuming, including the European Union (as of 31 Augus t 2017).  
WTO Members  73 Members  to ITTA are also WTO Members  (see Annex). 
                                                
7 The International Tropical Timber Agreement (ITTA), 2006 is the Successor Agreement to the International Tropical Timber Agreement, 1994 (and, previously, 1983).   
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- 67 - 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 of its entry into 
force, by Governments invited to the United Nations Conference for the Negotiation of a Successor Agreement to the Internatio nal 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 its 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 depositary.  
3. Upon signature and ratification, acceptance or approval, or accession, or provisional application, the European Community or any 
intergovernmental organiz ation referred to in article 5, paragraph 1, shall deposit a declaration issued by the appropriate authority of such organiza tion 
specifying the nature and extent of its competence over matters governed by this Agreement, and shall inform the depositary o f any subsequent 
substantial change in such competence. Where such organization declares exclusive competence over all matters governed by thi s Agreement, the 
member States of such organization shall not take the actions under article 36, paragraph 2, artic le 37 and article 38, or shall take the action under 
article 41 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 o f 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 su ch 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 n ecessary 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 Or ganization. Such financial 
rules and regulations shall, inter alia, govern t he 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 en sure 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 shall, for the du ration of this Agreement, use their best endeavours and cooperate to promote the attainment of its objectives and to 
avoid any action contrary thereto.  
2. Members undertake to accept and carry out the decisions of the Council under the provisions of this A greement 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 Comm ittees 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 Com mittees and other 
subsidiary bodies shall be responsible to and work under the authority of the Council."   
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- 68 - Amendments  Article 40 – Amendments  
"1. The Council may, by special vote in accordance with article 12, recommend an amendment of this Agreement to members.  
2. The Council shall fix a date by which members shall notify the depositary of their acceptance of the amendment.  
3. An amendment shall enter into force 90 days after the depositary has received notifications of acceptance from members consti tuting 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 accounting 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 me mber 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.  
5. Any member which has not notified its acceptance of an amendment by the date on which such am endment 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 acceptance 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 with paragraph 2 
of this article, the amendment shall be considered withdrawn".  
6.2  Trade -related Measures  
6.2.1   Provisions of the Agreement  
There are no provisions for trade measures in th e 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 fr om 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 capac ity of members to implement strategies for achieving exports of tropical timber and timber products from 
sustainably managed sources;  
(e) Promoting improved understanding 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 
sustainable forest management;  … 
(h)  Improv ing market intelligence and encouraging information sharin g on the international timber market with a view to ensuring greater 
transparency and better information on markets and market trends, including the gathering, compilation and dissemination of t rade related 
data, including data related to species being tra ded; … 
(k) Improving marketing and distribution of tropical timber and timber product  exports from sustainably managed and legally harvested 
sources and which are legally traded,  including promoting consumer awareness;  
(l) Strengthening the capacity of mem bers 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 governan ce, 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 ass isting members with their efforts in this area.   
  
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- 69 - Article 36   
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 a nd timber products".  
6.2.2   Decisions and Recommendations  
Examples of the decisions and 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 Obj ective", 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 st udies and project 
financing for a number of activities to help member cou ntries move toward this Objective. The ITTO Year 2000 Objective has been incorporated 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 achievi ng 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 f or tropical timber and requested members to inform the Council on 
progress made with regard to measures undertaken to eliminate possible obstacles to market access for tropical timber as a po ssible means to 
facilitate sustainable forest management.  
Decisi on 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 promot e phased approaches 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 c apacity of tropical 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 assist ance 
to tropical 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 ti mber 
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 2 012, the ITTC adopted the ITTO Strategic Action Plan 2013 -2018, its fourth action plan (Decision 3 (XLVIII), 10  November  2012).  
6.3  Supportive measures  
 Article 20 provides for the establishment of the Special Account  comprising of the Pre -Project Sub -Accoun t 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 voluntar y contributions. The resources of the Special 
Account shall be used o nly 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 establishmen t 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 and is add itional to the Special Account.   
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- 70 - 6.4  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 with paragraph 6 of this 
article, the Executi ve Director shall request that member to make payment as quickly as possible. If that member has still not paid its contribut ion within two months after such 
request, that member shall be requested to state the reasons for its inability to make payment. If  at the expiry of seven months from 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, unless the Council, by special vote, decides ot herwise.  
If, on the contrary, a member has paid its full contribution to the administrative budget within four months after such contr ibution 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 44 – Exclusion  
"If the Council decides that any member is in breach of its obligations under this Agreement and decides further that such br each 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 A greement".  
6.5  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 interpr etation 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".  
6.6  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 stakeholders have established two advisory groups to facilitate their p articipation 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.  
7  INTERNATIONAL PLANT PROTECTION CONVENTIO N (IPPC)  
7.1  Brief Description of the MEA  
The first ver sion of the IPPC was adopted in November 1951 and entered into f orce in April 1952 (IPPC 1951).  It was re vised in 1979 (IPPC 1979), and the  
revised text came into force in April 1991 . The 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 20 05. 
The IPPC was formally recognized by the Liaison Group of Biodiversity -related Conven tions (BLG) on 16 August 2014 . 
Web site  https://www.ippc.int/ . 
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 intr oduction 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 form s of cooperation  
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- 71 - fall within the scope of the Convention. Its application to plants is not limited to the protection of cultivated plants or d irect damage from pests. The scope 
of the Convention extends to the protection of cultivated and natural flora, as  well as plant products, and includes direct and indirect damage by pests.  
 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 arbitra ry or unjustified discrimination or a disguised restriction, particularly on international trade; it also takes note of the 
Agreements concluded as a result of the Uruguay Round of Multilateral Trade Negotiations, including the SPS Agreement.  
 The four IP PC Strategic objectives are:  
(a) protect sustainable agriculture and enhance  global food security through the prevention of  pest spread;  
(b) protect the environment, forests and biodiversity  from plant pests;  
(c) facilitate economic and trade development  through the promotion of harmonized  scientifically based phytosanitary measures; and  
(d) develop phytosanitary capacity for members to  accomplish a, b and c. 
Date of Adoption  New Revised Text: November 1997  
Entry into force  2 October 2005  
Parties  183 (as of 31 August  2017)  
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. Ad herence shall be effected by the deposit of an instrument of adherence 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 accordance with the 
provisions of Article II paragraph 7 of the FAO Constitution, as appropriate, notify at the time of its adherence such modifi cations or clarifications to its 
declaration of competence submitted under Article II paragraph 5 of the FAO Constitution as may be necessary in light of its acceptance of this 
Convention. Any contracting party to this Convention may, at any time, request a member organization of FAO that is a contrac ting party to this 
Convention 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 -Maki ng 
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 particular, to:  
(a) review the state of plant protection in the world and the need for action to control the international spread of pests an d their introduction into 
endangered areas;  
(b) establish and keep unde r 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 othe r relevant international organizations on matters covered by this Convention;  
(g) adopt such recommendations for the implementation of the Convention as necessary; and  
(h) perform such other functions as may be necessary to the fulfilment of the objectives  of this Convention.  
3. Membership in the Commission shall be o pen 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 a greement 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 a re contracting parties shall 
exercise their membership rights and fulfil their membership obligations in accordance, mutatis mutandis , with the Constitution and General Rules of FAO  
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- 72 - ...". 
 An Interim Commission on Phytosanitary Measures (ICPM) was establi shed with the adoption of the 1997 Amendments. With the entry 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 th e work of the CPM there  are five Subsidiary bodies under the CPM:  
- 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 primar y function is to oversee the development of 
International Standards for Phytosanitary Measures (ISPMs ). 
- Subsidiary Body for Dispute Settlement  (SBDS) : seven elected  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 capacity 
development programme.  
- National Reporting Obligations Advisory Body (NROAG): seven nominated by the Bureau  members (one from each FAO region) plus a CPM Bureau 
member the Chairpersons of the SC, CDC and SBDS who provide advice and guidance to  the National Reporting Obligations (NRO) programme.  
Amendments and 
Protocols  Article XVI – Supplementary agreements  
"1. The contracting p arties 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 specific plants and pl ant 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 party 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 
well as to the princ iples 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 D irector -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 amendment 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 Convention, other than ame ndments 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 amendm ent of this Convention shall require the approval of the Commission and shall come into force as from the thirtieth day 
after acceptance by two -thirds of the contracting parties. For the purpose of this Article, an instrument deposited by a member organiza tion 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 p arty only on 
accepta nce by it and as from the thirtieth day after such acceptance. The instruments of acceptance of amendments involving new obli gations shall be 
deposited with the Director -General of FAO, who shall inform all contracting parties of the receipt 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 t o 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, there are no suppleme ntary agreements under the IPPC and no amendments have been made to the New Revised Text of the IPPC 
(1997).   
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- 73 - 7.2  Trade -related Measures  
Article IV  
General provisions 
relating to the 
organizational 
arrangements for 
national plant 
protection  "[...] 
2. The responsi bilities 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 plants, plant 
products and other r egulated 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 lead ing to issuance of phytosanitary certificates shall be carried out only by or under the authority of 
the official national plant protection organization. The issuance of phytosanitary certificates shall be carried out by publi c 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 importing contracting parties may accep t 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 t his Convention. These certificates should be completed and issued taking into account relevant international 
standards.  
(c) Uncertified alterations or erasures shall invalidate the certificates.  
3. Each contracting party undertakes not to require consignme nts 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 req uirements for additional 
declarations sha ll 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 products and other regulated articles and, 
to this end, may:  
(a) prescribe and adopt phytosanitary measures concerning the importation of plants, plant produc ts and other regulated articles, including, for 
example, inspection, prohibition on importation, and treatment;   
(b) refuse entry or detain, or require treatment, destruction or removal from the territory of the contracting party, of plan ts, plant product s and 
other regulated articles or consignments thereof that do not comply with the phytosanitary measures prescribed or adopted und er 
subparagraph  (a);  
(c) prohibit or restrict the movement of regulated pests into their territories;  
(d) prohibit or restr ict the movement of biological control agents and other organisms of phytosanitary concern claimed to be beneficial into thei r 
territories.  
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:  
(a) Contracting parties shall not, under their phytosanitary legislation, take any of the measures specified in paragraph 1 of this Article unless 
such measures are mad e necessary by phytosanitary considerations and are technically justified.  
(b) Contracting parties shall, immediately upon their adoption, publish and transmit phytosanitary requirements, restrictions  and prohibitions to 
any contracting party or parties t hat 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 requiremen ts, restrictions and 
prohibitions.  
(d) If a contracting party require s consignments of particular plants or plant products to be imported only through specified points of entry, such  
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- 74 - points shall be so selected as not to unnecessarily impede international trade. The contracting party shall publish a list of  such points of e ntry and 
communicate it to the Secretary, any regional plant protection organization of which the contracting party is a member, all c ontracting parties 
which the contracting party believes to be directly affected, and other contracting parties upon reques t. Such restrictions on points of entry shall 
not be made unless the plants, plant products or other regulated articles concerned are required to be accompanied by phytosa nitary certificates 
or to be submitted to inspection or treatment.  
(e) Any inspectio n 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  regar d 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 p hytosanitary 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 party concerned.  
(g) C ontracting parties shall institute 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 ability, 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 ntractin g 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 phytosa nitary measures. This information shall be made 
available to contracting parties, on request.  
3. A contracting party may apply measures specified in this Article to pests which may not be capable of establishment in its te rritories but, if they 
gained ent ry, 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 scien tific 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 pest posing a potential 
threat to its territories or the report of such a detection. Any such action shall be evaluated as soon as possible to ensure  that its continuance is 
justified. The action taken shall be immediately reported to contracting parties c oncerned, the Secretary, and any regional plant protection 
organization of which the contracting party is a member".  
 Phytosanitary measures, based on International Standards f or Phytosanitary Measures ( ISPMs), are established and implement ed by contracti ng 
parties i.e. there are no global or regional phytosanitary measures that are obligatory.  
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 providing 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. "  
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- 75 - Articl e X 
Standards  "1. The contracting parties agree to cooperate in the development of international standards in accordance with the procedures ad opted by 
the Commission.  
2. International standards shall be adopted by the Commission.  
3. Regional standards sho uld 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 t ake into account, as appropriate, 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 Phytosanitary Measures (SPS Agreement).  
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 applicat ion 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 beneficial 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 surveillance  
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 production and pest free production s ites 
ISPM # 11 (20 13):  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 # 1 3 (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 reg ulated 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 of low pest prevalence  
ISPM # 23  (2005):  Guidelines for inspection  
ISPM # 24 (2005):  Guidelines for the determination and recognition of equivalence of phytosanitary measures  
ISPM # 25 (2006):  Consignments in transit  
ISPM # 26 (20 15):  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 Appendices 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 samp ling 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 fl ies (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   
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- 76 - ISPM # 39 (2017): 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 associated appendices or supp lements can be found at:  
https://www.ippc.int/en/core -activities/standards -setting/ispms/ . 
7.3  Supportive measures  
Article XX – Technical Assistance   
"The contracting parties a gree to promote the provision of technical assistance to contracting parties, especially those that are developing contractin g parties, either bilaterally or 
through the appropriate international organizations, with the objective of facilitating the implem entation 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 c apacity development prioriti es. 
 In the past the IPPC maintained an Informal Working Group (IWG) on Technical Assistance as well as an Expert Working Group on Phytosanita ry Capacity Development, which 
held meetings in 2010, 2011, and 2012.  
 More recently t he IPPC formed a Capacity Development Committee (CDC), comprised of technical representatives from all seven FAO 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 . 
7.4  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: …  
(f) Importing contracting parties shall, as soon as possible, inform the exporting contracting party concerned or, where appro priate, 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 party 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 rela tion 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 S upport System (IRSS) that will undertake a 
gaps ana lysis of ISPM implementation and then develop strategies to improved implementation when challenges are identified . 
7.5  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 that 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 pr ohibiting or restrictin g the imports of plants, plant 
products or other regulated articles coming from its territories, the contracting parties concerned shall consult among thems elves as soon as possible with a view to resolving the 
dispute.  
2. If the dispute cannot be resolve d by the means referred to in paragraph 1, the contracting party or parties concerned may request 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 establishe d 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 contr acting 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 established 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  
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- 77 - organization responsible for resolving trade disputes.  
4. The contracting parties agree that the recommendations of such a committee, while not binding in character, will become the b asis for renewed consideration by the 
contracting parties concerned of the matter out of which the disagreement arose.  
5. The cont racting parties concerned shall 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 mat ters".  
 The Interim Commission established the Subsidiary Body on Dispute Settlement (SBDS) in 2001. The first meeting was held in Ap ril 2003. The SBDS is composed of seven 
experts, one from each of the seven FAO geographic regions. The role of the SBDS i s to assist the IPPC Secretariat 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 disput e settlement rules and procedures.  
 CPM (2014) agreed that increased emphasis should be placed on dispute avoidance  as this was the most utilized and successful component of the IPPC Dispute Avoidance and 
Settlement System.  
Additional information on t he IPPC Dispute Avoidance and Settlement Sys tem is available on the IPPC website at: https://www.ippc.int/en/core -activities/dispute -settlement/ . 
7.6  Provisions for non -parties  
Article XVIII – Non-contracting  parties  
"The cont racting parties shall encourage any state or member organization of FAO, not a party to this Convention, to accept this Conve ntion, and shall encourage any non -
contracting party to apply phytosanitary measures consistent with the provisions of this Convent ion and any international standards adopted hereunder".  
8  CONVENTION ON BIOLOG ICAL DIVERSITY (CBD)  
8.1  Brief Description of the MEA  
Web site  http://www.cbd.int . 
Objective   The objective s of the CBD , to be pursued in accordan ce 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 , 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 (Article 1 of the Convention) . 
Date of Signature  5 June 1992  
Entry into force  29 December 1993  
Parties  196 (as of  31 August  2017).  
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 integratio n 
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 Conventio n 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 or ganization and its 
member States shall decide on their respective responsibil ities 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 protocol  
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- 78 - concurrently  ...". 
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 Co P shall keep under revie w 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 advice on biological diversity provided in accordance with Article 25;  
(c) Consider and adopt, as required, protocols in accordance with Article 28;  
(d) Consider and adopt, as required, in accordance with Articles 29 and 30, amendments to this Convention and 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) Con sider 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 
Conven tion; 
(h) Contact, through the Secretariat, the executive bodies of conventions dealing with matters covered by this Convention wit h a view to 
establishing appropriate forms of cooperation with them; and  
(i) Consider and undertake any additional action th at may be required for the achievement of the purposes of this Convention in the light of 
experience gained in its operation ". 
 The C oP has established a number of working groups to address specific issues, such as the Working Group on Article 8(j) and Re lated Provisions of 
the Convention  and, by Decision XII/26, a Subsidiary Body on Implementation . 
 The thirteenth meeting of the C oP took place in Cancun, Mexico , from 4–17 December 20 16. 
Article 25 –  Subsidiary Body on Scientific, Technical and Technolog ical Advice  
"1. A subsidiary body for the provision of scientific, technical and technological advice is hereb y established to provide the [Co P] and, as appropriate, 
its other subsidiary bodies with timely advice relating to the implementation of this Conv ention. 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 sha ll report regularly to the [C oP] 
on all aspects of its work.  
2. Under the authority of and in accordance with guidelines laid down by the [C oP], and upon its request, this body shall:  
(a) Provide scientific and technical assessments of the status of biological diversity;  
(b) Prepare scientific and technical assessmen ts of the effects of types of measures taken in accordance with the provisions of this Convention;  
(c) Identify innovative, efficient and state -of-the-art technologies and know -how relating to the conservation and sustainable use of biological 
diversity an d 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 d iversity; and  
(e) Respond to scientific, technical, technological and methodological quest ions that the [Co P] and its subsidi ary bodies may put to the body" ... 
Amendments and 
Protocols  (1) Amendments  
Article 29 – Amendment of the Convention or Protocol s 
"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 [C oP]. Amendments to any protocol  shall be adopted at a [M oP] to the 
Protocol in question. The text of any proposed amendment to this Convention or to any protocol, except as may otherwise be pr ovided in such protocol, 
shall be communicated to the Parties to the instrument in question 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 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 t o the instrument in question present and voting at the meeting, and shall be submitted by the Depositary to all Parties for r atification,  
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- 79 - acceptance or approval.  
4. Ratification, acceptance or approval of amendments shall be notified to the Depositary in w riting. 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 Contractin g Parties 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 instrume nt 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 Co P in the Section on Dec ision-Making Bodies above.  
 (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 [C oP].  
3. The text of any proposed protocol shall be communicated to the Contracting Parties by the Secretariat at least six months before s uch a meeting."  
 The COP adopted the Cartagena Protocol on Biosafety on 29 January 2000. The Protocol entered into force on 11 Sep tember 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 Convent ion.  
2. Decisions under any protocol shall be taken only by the Parties to the protocol concerned. Any Contracting Party that has not  ratified, accepted or 
approved a protocol may part icipate as an observer in any Mo P to that protocol".  
 See Cartegena Pr otocol 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 Protoco l On Biosafety.  
8.2  Trade -related Measures  
8.2.1   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 except ions, set goals and establish general principles. The specific measures required to achieve these goals and operationalize th ese 
principles are largely the prerogative of the Parties. However, the Convention contains a number of provisions that are general ly 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 Cont racting Party shall, in accordance with its particula r 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 o r programmes which 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 relevant sectoral 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 proces ses 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, respect, preserve and maintain knowledge, innovations and practices of indigenous and local 
communities embodying traditional lifestyles relevant for the conservation and sustainable use of biological diversity and pr omote their wider  
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- 80 - application with the approval and invol vement of the holders of such knowledge, innovations and practices and encourage the equitable 
sharing of the benefits arising from the utilization of such knowledge, innovations and practices; …  
(l) Where a significant adverse effect on biological diversi ty 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 p ossible 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 co mpati ble with 
conservation or sustainable use requirements; …".  
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 s ustainable 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 imp act 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 procedures;  
(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 reciprocity, notific ation, 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 jurisdiction, by 
encouragin g 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 States of 
such danger or damage, as well as initiate action to prevent or minimize such danger or damage; and  
(e) Promote national arrangements for e mergency 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 agre ed by the States or regional economic integration organizations concerned, to establish joint contingency plans.  
2.   The [C oP] shall examine, on the basis of studies to be carried out, the issue of liability and redress, including restoration and co mpensa tion, 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 ge netic 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 Parti es 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 Artic le and Articles 16 
and 19, are only tho se that are provided by Contracting Parties that are countries of origin of such resources or by the Parties that have acquir ed 
the genetic resources in accordance with this Convention.  
4. Access, where granted, shall be on mutually agreed terms and subjec t 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 develo p and carry out scientific research based on genetic resources provided by other 
Contracting Parties with the full participation of, and where possible in, such Contracting Parties.  
7. Each Contracting Party shall 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  equitable 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".  
Article 16  
Access to and Transfer 
of Technology  "1. Each Contracting P arty, recognizing that technology includes biotechnology, and that both access to and transfer of technology among 
Contracting Parties are essential elements for the attainment of the objectives of this Convention, undertakes subject to the  provisions of t his 
Article to provide and/or facilitate access for and transfer to other Contracting Parties of technologies that are relevant t o the conservation and  
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- 81 - sustainable use of biological diversity or make use of genetic resources and do not cause significant da mage 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 concessional and preferential terms where mutu ally 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 intellectual 
property rights. The application of this paragraph shall be consistent with paragraphs 3, 4 and 5 below.  
3. Each Contracting Party shall take legislative, administrativ e 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 which makes use 
of those resources, on mutuall y agreed terms, including technology protected by patents and other intellectual property rights, where necessary, 
through the provisions of Articles  20 and 21 and in accordance with international law and consistent with paragraphs 4 and 5 below.  
4. Each C ontracting Party shall take legislative, administrative or policy measures, as appropriate, with the aim that the private sec tor 
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 above.  
5. The Contracting Parties, recognizing that patents and other intellectual property rights ma y 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 Co ntracting 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 gen etic resources provided 
by those Contracting Parties. Such access shall be on mutually agreed term s. 
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, handling and use of any living modified organism resulti ng 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 organ isms referre d to in 
paragraph 3 above, provide any available information about the use and safety regulations required by that Contracting Party in handling such 
organisms, as well as any available information on the potential adverse impact of the specific organisms concerned to the 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 de riving from any existing international 
agreement, except where the exercise of those rights and obligations would cause a serious damage or threat to biological div ersity.  
2. Contracting Parties shall implement this Convention with respect to the marine e nvironment consistently with the rights and obligations of 
States under the law of the sea".  
8.2.2   Decisions of the Conference of the Parties 8 
A number of topics addressed by the Conference of the Parties relate to international trade and the work of the World Trade Organization . 
8.2.2.1   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 provisi ons 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 
                                                
8 All decisions of the Conference of the Parties to the Convention  are available online under  http://www.cbd.int/decisions/ .  
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- 82 - [TRIPS] Agreemen t and the [CBD] are interrelated and to further explore this interrelationship;  
3.   Requests the Executive Secretary to transmit the present decision to the secretariats of the [WTO] and the [WIPO], for use by  appropriate 
bodies of these organizations, a nd 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 requ ests him to 
report back to the [COP ] on his efforts …".  
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, section A. The following 
sections of  the guidelines may be of particular relevance:  
"A. Bonn Guidelines on Access to Genetic Resources and Fair and Equitable Sharing of the Benefits Arising out of their Utilizatio n 
I. General Provisions   
1. These Guidelines may serve as inputs when developi ng and drafting legislative, administrative or policy measures on access and benefit -
sharing with particular reference to provisions under Articles 8(j), 10 (c), 15, 16 and 19; and contracts and other arrangeme nts under mutually 
agreed terms for access and  benefit -sharing. …  
7. The present guidelines are voluntary and were prepared with a view to ensuring their: 
(a) Voluntary nature: they are intended to guide both users and providers of genetic resources on a voluntary basi s; 
9. All genetic resources and a ssociated traditional knowledge, innovations and practices covered by the [CBD] and benefits arising from the 
commercial and other utilization of such resources should be covered by the guidelines, with the exclusion of human genetic r esources. …  
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 process 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 and make such information av ailable 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 -sharing, and on competent nation al 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 respons ibilities provides key 
elements to be acted upon: ... 
(b) In the implementation of mutual ly 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, administrative, or  policy measures, 
as appropriate, to support compliance with prior informed consent of the Contracting Party providing such resourc es 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) Measur es 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 intellectual property rights;  
(iii) Measures aim ed at preventing the use of genetic resources obtained without the prior informed consent of the Contracting Party 
providing such resources;  
(iv) Cooperation between Contracting Parties to address alleged infringements of access and benefit -sharing agreem ents;  
(v) Voluntary certification schemes for institutions abiding by rules on access and benefit -sharing;  
(vi) Measures discouraging unfair trade practices;  
(vii) Other measures that encourage users to comply with provisions under subparagraph 16 (b) a bove. …  
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 c onditions 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, paragraph 5, of the  [CBD], access to genetic 
resources shall be subject to prior informed consent of the contracting Party providing such resources, unless otherwise deter mined 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  
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- 83 - accordance with Article 15, paragraph 5, of the Convention . 
D. Mutually agreed terms  
… 
Basic requirements for mutually agreed terms  
43.  The following elements should be considered as guiding parameters in contractual agreemen ts. These elements could also be considered as 
basic requirem ents for mutually agreed terms:  
(c)  Provision for the use of intellectual property rights include joint research, obligation to implement rights on inventio ns 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 [C oP]  
1 .  Invites Parties and Governments to encourage the disclosure of the country of origin of genetic resources in applications for  intellectual 
prope rty rights, where the subject matter of the application concerns or makes use of genetic resources in its development, as a p ossible 
contribution to tracking compliance with prior informed consent and the mutually agreed terms on which access to those reso urces was granted;  
2. Also invites Parties and Governments to encourage the disclosure of the origin of relevant traditional knowledge, innovations  and practices of 
indigenous and local communities relevant for the conservation and sustainable use of biol ogical diversity in applications for intellectual property 
rights, where the subject matter of the application concerns or makes use of such knowledge in its development;  
3. Requests the Executive Secretary, with the help of other international and interg overnmental 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 research;  
(b) Role of customary laws and practices in relation to the protection of genetic resources and traditional knowledge, innova tions and practi ces, 
and their relationship with intellectual property rights;  
(c) Consistency and applicability of requirements for disclosure of country of origin and prior informed consent in the conte xt of international 
legal obligations;  
(d) Efficacy of country of origin and prior informed consent disclosures in assisting the examination of intellectual property rights applications 
and the re -examination of intellectual property rights granted;  
(e) Efficacy of country of origin and prior informed consent disclosure s in monitoring compliance with access provisions;  
(f) Feasibility of an internationally recognized certificate of origin system as evidence of prior informed consent and mutua lly agreed terms;  
and  
(g) Role of oral evidence of prior art in the examinati on, granting and maintenance of i ntellectual property rights;  
8. Invites other relevant international organizations (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, section D on Other issues relating to access and benefit -sharing  
The [C oP],  
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 conf ormity with 
[Paragraph  19] of the Do ha [WTO] Ministerial Declaration, adopted in November 2001,  
Noting further that the Convention Secretariat has still not been granted observer status on the [TRIPS Council], notwithstan ding 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 renew the application for observer status on the [TRIPS Council], and t o report back to 
the Conference of Parties on his efforts;   
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- 84 - 2. Requests the Executive Secretary to follow discussions and developments in the [CTE of the WTO and the TRIPS Council] regarding the 
relationship between the [TRIPS Agreement] and the Convention;  
Cooperation with other relevant intergovernmental organizations  
3. Ackno wledges relevant work being carried out by other intergovernmental organisations, such as the [WIPO, the WTO, the Union for t he 
Protection of New Varieties of Plants, the UNCTAD, and the FAO], on issues related to access to genetic resources and 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 Resources  
(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 Contract ing 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 F ood and Agriculture of the [FAO] acting as the Interim Committee for the International Treaty on Plant 
and Genetic Resources for Food and Agriculture, regarding measures to support compliance with prior informed consent, ...  
2. Invites  Parties and Governme nts 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 traditional 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 B onn Guidelines, to encourage users to comply with national legislation, including 
prior informed consent and mutually agreed terms, such as publicly sponsored research grants and voluntary certification sche mes; ...  
(d) Aspects related to the import and ex port 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 l ocal communities regarding access to genetic resources and associated traditional knowledge; ...  
F. Needs for capacity -building identified by countries to implement the Guidelines ...  
1.  Adopts the Action Plan on Capacity -building for Access to Genetic Re sources and Benefit -sharing annexed to this decision; ...  
Annex: Action plan on capacity -building for access to genetic resources and benefit -sharing ...  
5. Capacities should be strengthened at the systemic, institutional and individual levels in the follo wing key areas: ...  
(m) Development of awareness with respect to conventions, norms and policies relating to intellectual property rights and tra de 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 Parties 
with users of such resources under their 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 Pr ogramme of the [WTO] ... 
4. Requests the Executive Secretary to renew the 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 Be nefits 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 ou t in the annex I to the present decision;"  
 
 See further information provided on the Nagoya Protocol  (Section 8)  
  
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- 85 - 8.2.2.2   Article 8 (j) and related provisions  
Decision V/16  
Article 8(j) and 
related provisions  "The [Co P] ... 14. Recognizes the potential importan ce 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 [CB D], 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 paragrap h 6 (b) of 
recommendation 3 of the Inter -Sessional Meeting on the Operations of the Convention (UNEP/CBD/C oP/5/4, annex); …"  
Decis ion 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 notification 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 [CBD], and indigenous and local communit ies 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 traditi onal-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, innovations and practices of 
indigenous and local communities relevant to the conservation and sustainable use of biological diversity in applications for intellectu al 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 cons ent and 
mutually agreed terms where traditional knowledge is used in its original form or in the 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; ...". 
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 traditiona l knowledge, innovations 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 contin ued collaboration with 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 UN CTAD 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 loca l, 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 
practices; ...".  
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 ong oing discussions in the [WTO] to examine, inter alia , the relationship between the [TRIPS Agreement] and  
the [CBD] and the protection of traditional knowledge  ..." 
  
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- 86 - 8.2.2.3   Technology transfer and scientific and technological cooperation  
Decision IX/14  
Technolog y 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 rights 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 Intellectual Property Rights (TRIPS)  ..." 
8.2.2.4   Mainstreaming and i ncentive measures  
Decision VI/15  
Incentive measures  
Annex I  
Proposals for the 
Design and 
Implementation of 
Incentive Measures  "The [C oP] ... 2. Endorses the proposals for the design and implementation of incentive measures and the recommendations for further 
cooperation on incentive measures, contained respectively in annexes I and II to the present decision, as far as they are con sistent 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 a nd sustainable use of biological diversity, while taking 
into account: ... 
(d) The measures' relationship to existing international agreements. ... 
2. The following elements should be taken into consideration in the design and implementation of incentive m easures for the conservation and 
sustainable use of biological diversity: ...  
E. Guidelines for selecting appropriate and complementary measures  
36. The following are guidelines 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 decisi on-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 suffice  to address the 
complexities involved in decisions on biodiversity conservation or s ustainable use, and that a mix of measures may be needed;  
(d) Equity considerations, such as poverty alleviation, should be given a prominent role in the design and selection of appro priate incentive 
measures;  
(e) The implementation of incentive measures s hould not result in a significant increase in the cost of living and/or increase 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 the conservation of 
biological diversity and the promotion of sustainable use;  
(h) Positive incentives can influence decision -making by recognizing and rewarding activities that are carried out for conservation and 
sustainable use purposes;  
(i) The removal of perverse incentives eases pressure on the environment. The identification of both internal and external pe rverse incentives 
and other threats to biodiversity conservatio n and to the promotion of sustainable use, is essential to the selection and design of incentive 
measures. The removal of perverse incentives may improve economic efficiency and reduce fiscal expenditures;  
(j) Disincentives continue to be an important tool  for ensuring the conservation and sustainable use of biological diversity and can be used in 
combination with positive incentives ...". 
Decision VII/2  
The Biological 
Diversity of Dry and 
Sub-humid Lands  "The [COP]... 2.  Adopts the proposal prepare d by the Executive Secretary for the further refinement of the programme of work and suggesting 
collaborating partners as indicated in the annex to the present decision; ...  
Annex: Synthesis table of expected outcomes and timeframes, potential actors, and indicators of progress in the implementation of the programme 
of work on biological diversity of dry and sub -humid lands   
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- 87 - Annex  
 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 Appro ach 
 "The [C oP] ... 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 e cosystem approach, all principles need 
to be considered, with appropriate weight given to each, in accordance with local conditions, and keeping in mind also that t he implementation of the 
ecosystem approach and all principles need to be considered as volu ntary instruments and should be adapted to local conditions and implemented in 
accordance with national legislation; ...  
Annex I:  Refinement and elaboration of the ecosystem approach, based on assessment of experience of parties in implementatio n ... 
Principle 4:  Recognizing potential gains from management, there is usually a need to understand and manage the ecosystem in an economic 
context. Any such ecosystem -management programme should:  
(a) Reduce those market distortions that adversely affect biologi cal 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 replacemen t by alternative systems of land use. This often arises through market distortions, 
which undervalue natural systems and populations and provide perverse incentives and subsidies to favour the conversion of la nd to less diverse 
systems. Often those who ben efit from conservation do not pay the costs associated with conservation and, similarly, those who generate 
environmental costs (e.g. pollution) escape responsibility. Alignment of incentives allows those who control the resource to benefit and ensures tha t 
those who generate environmental costs will pay. ..."  
Decision VII/12  
Sustainable use  
(Article 10)  "The [C oP] ... 1. Adopts the Addis Ababa Principles and Guidelines for the Sustainable Use of Biodiversity, as contained in annex II to the pre sent 
decisi on;  
2. Invites Parties, other Governments and relevant organizations to initiate a process for the implementation of the Addis Ababa  Principles and 
Guidelines, in accordance with Article 10 of the Convention which provides that Contracting Parties underta ke specified actions 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 un der other international 
agreements and conventions and existing frameworks for sustain able use of components of biodiversity, including the concept of sustainable forest 
management, e.g., by developing pilot projects, with a view to:  
(a) Integrating and mainstreaming the Addis Ababa Principles and Guidelines into a range of measures includ ing policies, programmes, national 
legislation and other regulations, sectoral and cross -sectoral plans and programmes addressing consumptive and non -consumptive use of   
components of biological diversity, including plans and programmes addressing the remo val or mitigation of perverse incentives that undermine 
the conservation and sustainable use of biodiversity, as deemed necessary by individual Parties; and  
(b) Gathering and disseminating through the clearing -house mechanism and other means relevant info rmation 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 o f Decision VII/12.  
 Some of the relev ant principles include:  
Practical principle 3: International or national policies, laws and regulations that distort markets which contribute to habitat degradation or 
other -wise generate perverse incentives that undermine conservation and sustainable use of biodiversity, should be identified and removed or 
mitigated.  
Rationale: Some policies or practices induce unsustainable behaviours that reduce biodiversity, often as unanticipated side e ffects as they were 
initially designed to attain other objectives.  For example, some policies that encourage domestic overproduction often generate perverse incentives  
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- 88 - that undermine 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 fisheries, 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 unsustaina ble uses of biodiversity components; ...  
Practical principle 13: The costs of management and conservation of biological 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 covered then mana gement 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 sustain the resources is maintained. Such benef its may be direct, 
such as entrance fees from visitors to a national park paid directly to, and reta ined by, the park management authority or indirect, such as stumpage 
tax revenue from timber harvesting paid by loggers that flows through a national treasury to a local forest service.   In some cases, licence fees for 
fishing rights are paid directly to t he 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 c osts, e.g., certification to access new markets, waiver or 
deferral of taxes in lieu of environmental investment, promotion of "green -labelling" for marketing. ..."  
Decision VII/28  
Protected areas 
(Articles 8 (a) to (e))  "The [C oP] 1.   Confirms  that effo rts to establish and maintain systems of protected areas and areas where special 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 achi eving, in 
implementing the ecosystem approach, the three objectives of the Convention and thus contributing to achieving the 2010 targe t contained in the 
Strategic Plan of the Convention and in the Plan of Implementation of the World Summit on Sustainable Development, and to achieve sustainable 
development and the attainment of the Millennium 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, effectively managed, and ecologically representative nati onal 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 re sources, particularly 
from existing protected areas and from areas of ecological importance for biodiversity conservation; ...  
Goal 3.1 - To provide an enabling policy, institutional and socio -economic environment for protected areas  
Target:  By 2008 revi ew 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 ac tivities of the Parties ...  
3.1.2  Conduct national -level assessments of the contributions of protected areas, considering as appropriate environmental services, to the country' s 
economy and culture, and to the achievement of the Millennium Development Goa ls at the national level; and integrate the use of economic valuation 
and natural resource accounting tools into national planning processes in order to identify the hidden and non -hidden economic benefits provided by 
protected areas and who appropriates t hese benefits.  
3.1.3   Harmonize sectoral policies and laws to ensure that they support the conservation and effective management of the protected a rea system. ...  
3.1.5  Identify and remove perverse incentives and inconsistencies in sectoral policies tha t increase pressure on protected areas, or take action to 
mitigate their perverse effects.  Whenever feasible, redirect these to positive incentives for conservation.  
3.1.6  Identify and establish positive incentives that support the integrity and mainten ance 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  Identi fy and foster economic opportunities and markets at local, national and international levels for goods and services produced by protected  
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- 89 - areas and/or reliant on the ecosystem services that protected areas provide, consistent with protected area objectives  and promote the equitable 
sharing of the benefits. ..."  
Decision VIII/25  
Incentive measures: 
application of tools 
for valuation of 
biodiversity and 
biodiversity resources 
and functions  "The [C oP]… 1.  Takes note of the options for the application of tool s 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 legislation, their capacity, and taking  into acco unt 
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 biodiversity resources and functions, and ass ociated 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 mea sures, 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 biological diversity, and are important in achieving the o bjectives 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, impleme ntation of sustainable consumption and production patterns for the 
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 w ith 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 Convention and other relevant internation al obligations; "  
Decisio n 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 o ut 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, consistent and 
in harmony with the Convention and other relevant international obliga tions, 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 organization s and initiatives such as 
the Un ited Nations Environment Programme, the Organisation for Economic Cooperation and Development, the International Union for Co nservation 
of Nature, and the World Trade Organization:  
(a) Invites Parties and other Governments to develop and apply tools to ide ntify 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 for resource mobilizati on (decision X/3, 
paragraph  7, indicator 13);  
(b) Emphasizes  that conducting studies for the identification of incentives, including subsidies, harmful for biodiversity need not delay 
immediate policy action in cases where candidates for elimination, phase out or reform are already known, taking into account  nation al socio -
economic conditions;  
(c) Encourages Parties and invites other Governments to take appropriate action in these cases, in the form of elimination or ini tiation 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 relevant 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 support of international organizations and initiatives, including, among others, the Gl obal 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 Econom ic Co -operation and Development , and the International Union for 
Conservation of Nature, to efforts at the global, regional and nationa l levels in identifying and eliminating, phasing out or reforming incentives  
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- 90 - that are harmful to biodiversity, in promoting positive incentives for the conservation and sustainable use of biodiversity, consistent and in 
harmony with the Convention and othe r relevant international obligations, and in assessing and mainstreaming the values of biodiversity and 
associated ecosystem services, and invites these and other relevant organizations and initiatives to continue and further int ensify 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 f ramework for the full implementation of Aichi 
Biodiversity Target  3, in a manner that is consistent and in harmony with the Convention and other relevant international obligations, taking int o 
account national socioeconomic conditions;  
22. Invites Parties to report progress in achieving these milestones, as well as any additional milestones and timelines established at the natio nal 
level, through their national reports or, as appropriate, through the online reporting framework on implementing the Strategi c Plan for Biodiversity 
2011-2020 and the Aichi Biodiversity Targets;"  ... 
 
"Annex I  
Milestones for the full implementation of Aichi Biodiversity Target  3 
Milestones and associated timelines:  
1. By 2015 : Development and inclusion of a national target reflecting  Aichi Biodiversity Target 3 in revised national biodiversity strategies and 
the inclusion of pertinent action items in revised national biodiversity action plans.  
Action items may include:  
(a) Undertaking national analytical studies that identify candida tes for elimination, phase -out or reform of incentives, including subsidies, 
harmful for biodiversity, and that identify opportunities to enhance the effectiveness of existing financial instruments for biodiversity and to 
promote the design and implementat ion of positive incentive measures;  
(b) Based, as appropriate, on the analytical studies above, developing policy plans that (i)  identify those harmful incentives that 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 cons ervation 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 already identified as candi dates for 
elimination, phase -out or reform, foreseeing immediate p olicy 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 for elimination, phase -out or reform are already known, immediate 
policy or legislative acti on is being developed, in the form of their elimination or initiation of their phase -out or their reform;  
3. By 2016  (CoP 13): Finalization of national analytical studies 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 and imp lementation of 
positive incentive measures;  
4. By 2018  (CoP 14): Finalization of policy plans, in line with revised national biodivers ity 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)  provid e 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 mile stones and the associated timelines. It reflects the possibility that a country may already know some 
candidates for immediate policy action (as per 1 (c) above) but may also wish to engage in the preparation of analytical stud ies (as per para.  1 (a) 
above ) in order to obtain a more comprehensive picture.   
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- 91 -  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 legi slative 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 re form 
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 p ositive 
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 the conservation and 
sustainable use of biodiversity; (iv) provide for associated timelines and milestones  
 
Decisi on 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  and 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 o f 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, inc luding 
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 commitm ents 
in a coherent, clear, and mutually supportive manner, and to include biodiversity considerations in their engagement in these  various processes, 
where relevant, and to implement goals and commitments under the Convention and relevant international processes in a coheren t manner;  
[…] 
17. Encourages Parties and invites other Governments, as appropriate: …  
(h) Recalling decision X/3 2, paragraph 2(i), to make use of voluntary sustainability standards and/or of voluntary certification schemes, and 
promote their further development, as appropriate and where available, and in accordance with national circumstances and legi slation, and 
consistent and in harmony with the Convention and other international obligations, for sustainably produced goods and services,  and to encourage 
the integration of biodiversity considerations into procurement policies, taking into consideration specificities  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 appropria te 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 fragmentation a nd 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 
while reduci ng 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 consistent with na tional 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 o bligations, including 
through actions such as the de velopment, implementation and enforcement of legislation and regulation to prevent imports of forest products from 
illegal sources, and to implement systems for the verification of legal compliance;  
…  
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- 92 - 60. Also recognizes that there are currently a number o f 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 conservation, 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, respectively;  
… 
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 provi des 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 considerations, in particular the precautio nary 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 promoting 
the conservation and recovery  of endangered species; …" 
8.2.2.5   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 therefore invited the World Trade Orga nization 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 Impacts 
of Alien Species that 
Threat en Ecosystems, 
Habitats or Species  "The [C oP] ... 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 Princi ples; ...  
15. Urges Parties, Governments, multilateral 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 partic ular: ...  
(b) Invites the [WTO], through its [CTE], to take this matter into account when considering the impacts of trade and trade libera lization; ...  
Guiding principle 1: Precautionary approach  
Given the unpredictability of the pathways and impacts on biological diversity of invasive alien species, efforts 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 analys is, 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 applie d when considering eradication, containment and control measures in relation to alien species that 
have become established. Lack of scientific certainty about the various implications of an invasion should not be used as a r eason for postponing or 
failing to take appropriate eradication, containment and control 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 en sure that:  
(a) Intentional introductions of alien species are subject to appropriate authorization (principle 10);  
(b) Unintentional or unauthorized introductions of alien species are minimized.  
2. States should consider putting in place appropriate mea sures to control introductions of invasive alien species 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 pathw ays of entry. Existing  
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- 93 - appropriate governmental agencies or authorities should be strengthened and broadened as necessary, and staff should be prope rly trained to 
implement these measures. Early detection systems and regional and international coordination  are essential to prevention …".9 
Decision VII/13  
Alien Species that 
Threaten Ecosystems, 
Habitats or Species 
(Article 8 (h))  "The [C oP] ...  
5. Noting the existing international, regional and national frameworks but recognizing the need to strengthen ins titutional coordination 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 deliberations and recent development in the respective bodies of relevance to alien invasive s pecies;  
(d) Invites Parties and other Governments to take into consideration, as appropriate, the risks associated with the introduction, use and spread 
of invasive alien species during the development, expansion and environmental review of international, bilateral and regional  arrangements 
such as trade arrangements, where appropriate; ...  
6. Invites relevant Parties to th e [CBD] and other Governments, as well as national, 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 o f 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 relation to species 
that are invasive, but do not qualify as plant pests under the regulations of the [IPPC] and other international agreements o r animal diseases under 
the regulations of the Office international des ep izooties 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 [C oP] ... 4. Invites  the Committee on Sanit ary 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 
disease s that are listed by the World Organization 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 add ress 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 Agricu lture Organization of the United Nations and the World Trade Organization; …."  
Decision X/38  
Invasive Alien Species  "The [C oP] ...  
10. Welcomes the participation of the secretariats of the International Plant Protection Convention, the World Organisation  for Animal Health 
(OIE), the World Trade Organization, the International Maritime Organization, 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 Organization, 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 Health 
(OIE), the World Trade Organization and the Committee on Fisheries of the Food and Agriculture Organization of the United Nat ions (FAO) to the 
invitations to these bodies i n, 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 [C oP] … 
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 O rganisation for Animal Health (OIE), 
the Codex Alimentarius Commission, the World Trade Organization Agreement on the Application of Sanitary and Phytosanitary Me asures, the 
Convention on International Trade in Endangered Species of Wild Fauna and Flora, a nd the Food and Agriculture Organization of the United Nations, 
(ii) to address threats from invasive alien species, and, (iii) as appropriate, to make full use of existing standards in add ressing the risks 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 
                                                
9 One repr esentative entered a formal objection 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 reservations regarding the procedure leading to the adoption of 
this decision (see UNEP/CBD/COP/6/20, paras. 294 -324).   
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- 94 - International Plant Protection Convention and relevant r egional plant protection organizations operating within the framework of that Convention, 
the World Organisation for Animal Health (OIE) and the Codex Alimentarius Commission, to further address, including by develo ping and improving 
international standard s, guidelines and recommendations, the risks associated with the introduction 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 h uman health, taking note 
that the risks associated with the introduction of alien species may include impacts on ecosystem functioning and biodiversit y 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 this 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, inclu ding 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 purs ue 
its efforts to consider the impact of invasive alien species on ecosystems and animal health, and to provide advice and guida nce on the assessment 
of the risk of invasion of alien species on ecosystems; … 
15. Invites the Committee on Sanitary and Phytosa nitary 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 purs ue the application with 
a view to enhancing  the exchange of information on deliberations and recent developments in bodies relevant to invasive alien species, in light o f 
the increasing importance of the ecosystem level when establishing adequate standards;  
16.  Takes note of Articles 9.2 and 10 o f 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 
food, and related 
issues  “Recalling it s encouragement to Parties, in D ecision 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 Healt h 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 pro gress in its relationship with standard -setting bodies recognized by the 
World Trade Organization (the International Plant Protection Convention, the World Organisation for Animal Health and the Cod ex Alimentarius 
Commission), and other relevant organizati ons, 
1. Adopts the voluntary 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, as contained in the annex to this de cision, noting that measures taken under 
this guidance are to be consistent with applicable national and international obligations; ” 
... 
Annex : Guidance  on devising and  implementing measures to address the risks assoc iated 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 obligations, for example, the 
Agreement on the Application of Sanitary and Phytosanitary Measures of the 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, Annex:  Summary of tec hnical 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 introductions, as referred to in the fifth  
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- 95 - experiences in the use 
of biological control 
agents, and decision 
support tools  
 preambular paragraph above, to the existing Guidance on Devising and Implementing Measures to Address the Risks Associate d with the 
Introduction of Alien Species as Pets, Aquarium and Terrarium Species, and as Live Bait and Live Food, for consideration by t he Subsidiary Body on 
Scientific, Technical and Technological Advice prior to the fourteenth meeting of the Conference o f 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 to ols or guidance for Parties that may assist national customs authorities in facilitating the necessary control of live alien species via e -
commerce, building on the national experience or legislation related to the Convention on International Trade in Enda ngered 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 tools, for better development a nd application of 
biological control programmes against invasive alien species, including prioritization based on impacts, feasibil ity and likelihood of success of 
biological control, and the selection of the biological control agents and requests the Executive Secretary to compile this i nformation 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 further collaborate with the International Pla nt Protection 
Convention, the World Organisation for Animal Health, the Food and Agriculture Organization of the Unite d Nations, other members of the inter -
agency liaison group on invasive alien species and other relevant organizations, such as the International Organization for B iological Control, to 
identify options for supplementing risk assessment and risk management standards for the use of biological control agents against invasive alien 
species, 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 me eting of the Conference of the Parties;  …" 
8.2.2.6   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 t o apply for observer status in relevant bodies of the WTO, or 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 Biolog ical 
Diversity with the 
Commission on 
Sustainable Development 
and Biodiversity -Related 
Conventions, other 
International 
Agreements, Institutions 
and Processes of 
Relevance  
(as modified by "The [C oP] ... 
8. Also notes that some Parties to t he [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 t he [CBD] and the [WTO] agreements, including the [TRIPS] Agreement, with a 
view to promoting increased mutual supportiveness and integration of biological diversity concerns and the protection of inte llectual property rights, 
and invites the [WTO] to consi der how to achieve these objectives in the light of Article 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 de velop a common appreciation of the relationship between intellectual 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 biologi cal diversity and the fair and equitable sharing of benefits 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 ...".  
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- 96 - Decision  VII/33)  
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 1 4 November 2001;  
26. Notes the Doha Ministerial Declaration, which welcomes a continued cooperation by the [WTO] with [UNEP] and other intergovern mental 
environmental organizations, and encourages efforts to promote cooperation between the [WTO] and relev ant international environmental 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 Pro tocol, emphasizes the need to ensure mutual supportiveness 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 Secretar y 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 Co uncil]".  
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  ..." 
 
Decision X/20  
Cooperation with other 
conventions and 
international 
organizations and 
initiatives  "The [C oP] ... 18. Also requests  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 Or ganization;  …" 
Decision XI/28  
Invasive Alien Species  "The [C oP] … 
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 Commit tee and requests the Executive Secretary to actively pursue the application with 
a view to enhancing the exchange of information on deliberations and recent developments in bodies relevant to invasive alien  species, in light of 
the increasing importance of  the ecosystem level when establishing adequate standards;"  
8.2.2.7   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 biodiversit y 
(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 "The [Co P] 1. Adopts t he 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,  
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- 97 - Tourism  the World Bank, the WTO], r egional development banks and other relevant international organizations, 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 related cultural resources 
within tourism sites. ..."  
8.3  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, inclu de 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 national 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 Contracting 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 . 
8.4  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.  
8.5  Dispute Settlement Mechanism  
Article 27 – Settlement of Disputes  
"1. In the event of a dispute bet ween Contracting Parties concerning the interpretation or application of this Convention, the parties concerned shall seek so lution by 
negotiation.  
2. If the parties concerned cannot reach agreement by negotiation, they may jointly seek the good offices o f, 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 se ttlement as 
compulsory:  
(a) Arbitration in accordance with the procedure la id down in Part 1 of Annex II;  
(b) Submission of the d ispute 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  
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- 98 - accordance with Part 2 of Annex II unless the parties otherwise agree .  
5. The provisions of this Article shall apply with respect to any protocol except as otherwise provided in the protocol conce rned".  
 
 The procedures for arbitration are set out in Part 1 of Annex II. The award of the arbitral tribunal is binding on the  parties to the dispute. In the event of a conflict between two 
Parties, the arbitral provisions provide for the standard three -member panel, as described under the Montreal Protocol and the Basel Convention. If more Parties are involved, 
Parties "in the s ame 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 must be 
submitted to conciliatio n. Conciliation does not lead to a binding decision, unless the Parties agree otherwise, but the proposals for resolution of the dispute must be considered in 
good faith. The procedures for the five -member conciliation commission are set out in Part 2 of A nnex II.  
8.6  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 Implementation of Expanded Progr amme of Work on Forests."  
9  NAGOYA PROTOCOL ON A CCESS TO GENETIC RES OURCES AND THE FAIR AND EQUITABLE SHARIN G OF BENEFITS ARISIN G FROM THEIR 
UTILIZATION TO THE  CONVENTION ON BIOLOG ICAL DIVERSITY  
9.1  Brief Description of the MEA  
Web site  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 t ransfer of relevant technologies, taking into account all rights over those resources and to technologies, 
and by appropriate funding, thereby contributing to the conservation of biological diversity and the sustainable use of its c omponents  (Article 1).  
Date of Adoption  29 October 2010   
Entry into force  12 October 2014  
Parties  100 (as of 31 August  2017) 
WTO Members  90 Parties to the Nagoya  Protocol are also WTO Members  (see Annex). 
Openness of 
Membership  State s 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 serves as the meeting of the Parties to this Protocol, 
decisions under this Protocol shall be taken only by those that are Parties to it.  
3. When the Conference of the Parties serves as the meeting of the Parties to this Protocol, any member of the Bureau of the 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 mem ber to be elected by and from 
among the Parties to this Protocol.  
4.  The Conference of the Parties serving as the meeting of the Parties to this Protocol shall keep under regular review the impl ementation of this 
Protocol and shall make, within its mandate, the decisions necessary to promote its effectiv e implementation. It shall perform the functions assigned to it  
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- 99 - 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 im plementation 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 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 a nd its Annex, as well as any additional annexes to this Protocol, 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 procedu re 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 Part ies to thi s Protocol.  
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 a fter 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 concurrently with 
ordinary meetings of the Conference of the Parties,  unless otherwise 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 othe r times as 
may be deemed necessary by the Conference of the Parties serving as the meeting of the Parties to this Protocol, or at the wr itten request of any Party, 
provided that, within six months of the request being communicated to the Parties by the Sec retariat, 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 repres ented as observers 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 has informed the Secretariat of its wish to be represented at a meeting of the Conference of the Parties servi ng as a meeting of the 
Parties to this Protocol as an observer, may be so admitted, unless at least one third of the Parties presen t 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 Meet ing of the Parties to the Nagoya Protocol, was held in Pyeongchang, Republic of 
Korea, from 13 to 17 October 2014; and the second meeting took place in Cancun, Mexico, from 4 –17 December 2016 . 
 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 Pa rties 
serving as the meeting of the Parties to 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 a ny such 
subsidiary bodies. When a subsidiary body of the Convention serves as a subsidiary body to this Protocol, decisions under thi s Protocol shall be taken 
only by Parties to this Protocol.  
3. When a subsidiary body of the Convention exercises its funct ions with regard to matters concerning this Protocol, any member of the bureau of 
that subsidiary body representing a Party to the Convention but, at that time, not a Party to this Protocol, shall be substit uted 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 prev ious Ad Hoc 
Open -ended Working Group on Review of Implementation of the Convention . The SB I will undertake a number of functions to assist 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 that when 
the SBI exercises its functions with regard to matters concerning the Nagoya Protocol, decisions will be taken only by Partie s to the Nagoya Protocol as  
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- 100 - provided in paragraph 2 of Article 27 of the Protocol . 
9.2  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 agreements . 
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 obligati ons 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 developing and im plementing 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 Protocol shall  be implemented in a mutually supportive manner with other international instruments relevant to this Protocol. Due regard 
should be paid to useful and relevant ongoing work or practices under such international instruments and relevant internation al organ izations, 
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 Convention. Where a s pecialised 
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 specialised instrum ent in respect of the specific genetic resource 
covered by and for the purpose of the specialised instrument."  
 At CoP -MoP 2, in decision NP -2/5, 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 and what could be a possible process 
for recognizing such an instru ment for consideration by the Subsidiary Body on Implementation at its second meeting and by COP -MOP, at its third 
meeting . 
Article 5 Fair and 
equitable benefit -sharing  "1. In accordance with Article 15, paragraphs 3 and 7 of the Convention, benefits aris ing 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 a cquired the 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.  […]"  
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- 101 - Article 6 Acce ss to 
genetic 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 pri or 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 paragraph 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 right s; [...]" 
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 mutually ag reed 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 specifie d 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 compliance whe re 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 appropriate.  
(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 resea rch, 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 t he 
implementation of such terms, including through re porting 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, sh all 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 informed consen t 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 complianc e 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 granted;  
(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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- 102 - 9.3  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 con fidential 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 authority(ies); and  
(c)Permit s or their equivalent issued at the time of access as evidence of the decision to grant prior informed consent and of the est ablishment of mutually agreed terms.  
3. Additional information, if available and as appropriate, may include:  
(a) Relevant competen t 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 o f 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 Protocol at its first meeting, and kept under review t hereafter. " 
 
 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 C oP-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 C oP-MoP 2 are contained in decision NP-2/2. 
 
Article 22: Capacity  
"1. The Parties shall cooperate in the cap acity-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 developed countries and small island developing States amon g them, and Parties with economies in transition, 
including through existing global, regional, subregional and national institutions and organizations. In this context, Partie s should facilitate the involvement of indigenous and local 
communities and relev ant 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 
transitio n for financial resources in accordance with the relevant provisions of the Convention shall be taken fully into account for capacity -building and development to implement 
this Protocol.  
3. As a basis for appropriate measures in relation to the implementat ion 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 national capacity needs a nd priorities through natio nal capacity 
self-assessments. In doing so, such Parties should support the capacity needs and priorities of indigenous and local communities a nd relevant stakeholders, as identified by them, 
emphasizing the 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 Protocol;  
(b) Capacity to negotiate mutually agreed ter ms; 
(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 reso urces.  
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 training to negotiate mutually agreed terms;   
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- 103 - (c) The monitoring an d 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 stud ies; 
(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 to the conservation of biological diversity and the sustainab le 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 indigenous 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 development initiatives at national, regional and international l evels, undertaken in accordance with paragraphs 1 to 5 above, should 
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 C oP-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 provide ad vice to the Executive Secretary on matters related to the assessment of the 
effectiveness of the strategic framework. Developments at C oP-MoP 2 are contained in decision  NP-2/8. 
Article 23: Technology Transfer, Collaboration and Cooperation  
"In accordance with Articles 15, 16, 18 and 19 of the Convention, the Parties shall collaborate and cooperate in technical and scientific re search and development programmes, 
including biotechnological research activities, as a means to achieve the objective of this Prot ocol. 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 economies i n 
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 activitie s 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. " 
 
Artic le 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 shall 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 re spect 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 island developing S tates 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, includ ing women within these communities.  
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 developed countries  and 
small island developing States among them, and of the Parties with economies in transition, in their efforts to 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, including t hose agre ed 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 avail themselves o f, 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 C oP-MoP, the C oP, in its Decision XII/30, provi ded 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 countries and countries with economies in t ransition that 
provide a clear political commitment towards becoming Parties to the Protocol . Further guidance was provided at C oP 13 in decision XIII/21.   
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- 104 - 9.4  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 Conference of the Parties 
serving as the meeting of the Parties to this Protocol, report to the Conference of the Parties serving as the meeting of the  Parties to this Protoc ol 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 C oP-MoP 3. The interim national reports will provide input to the first assessment and review of the implementation of the Nagoya Protoc ol (Article 31 of the 
Protocol) to be carried out by C oP-MoP 3 (decision NP -2/4). 
 
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 appropriate. They shall be separate from, and without prejudice to, the dispute settlement  procedures and mechanisms under Article 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 Part ies 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 ob servers 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  CoP-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 sy stemic 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 C oP-MoP at its se cond meeting.  
9.5  Dispute Settlement Mechanism  
 According to Article 27(5) of the CBD, t he dispute settlement provisions of the CBD in Article 27 apply to the Protocol . 
9.6  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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- 105 - 10  CARTAGENA PROTOCOL O N BIOSAFETY TO THE C ONVENTION ON BIOLOGI CAL DIVERSITY  
10.1  Brief Description of the MEA  
Web site  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 sustain able 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  171 (as of 31 August  2017)  
WTO Members     146 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 Conven tion on Biological Diversity – 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 Co nvention".  
Decision -Making 
Bodies  Article 29 – Conference of the Parties Serving as the Meeting of the Parties to this Protocol  
"1. The [C oP] shall serve as the [M oP] to this Protocol.  
2. Parties to the Convention that are not Parties to this Protocol may  participate as observers in the proceedings of any meeting of the [C oP] serving 
as the [M oP] to this Protocol. When the [C oP] 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 [C oP] serves as the [M oP] to this Protocol, any member of the bureau of the [C oP] 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 th is Protocol.  
4. The [C oP] serving as the [M oP] 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 fu nctions assigned to it by this Protocol and shall:  
(a) Make recommendations on any matters necessary for the implementation of this Protocol;  
(b) Establish such subsidiary bodies as are deemed necessary for the implementation of this Protocol;  
(c) Seek a nd utilize, where appropriate, the services and cooperation of, and information provided by, competent international organiza tions and 
intergovernmental and non -governmental bodies;  
(d) Establish the form and the intervals for transmitting the information  to be submitted in accordance with Article 33 of this Protocol and consider 
such information as well as reports submitted by any subsidiary body;  
(e) Consider and adopt, as required, amendments to this Protocol and its annexes, as well as any additional annexes to this Protocol, 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 fi nancial rules of the Convention shall be applied, mutatis mutandis , under this 
Protocol, except as may be otherwise decided by consensus by the [C oP] serving as the [M oP] to this Protocol."  
 
 The Conference of the Parties serving as the meeting of the Par ties to the Cartagena Protocol on Biosafety (C oP-MoP) held its eigh t meeting in 
Cancún, Mexico, from 4 -7 December 2016.  
 
Article 30 – Subsidiary Bodies  
"1. Any subsidiary body established by or under the Convention may, upon a decision by the [C oP] servin g as the [M oP] to this Protocol, serve the 
Protocol, in which case the [M oP] shall specify which functions that body shall exercise.   
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- 106 - 2. Parties to the Convention that are not Parties to this Protocol may participate as observers in the proceedings of any m eeting of any such 
subsidiary bodies. When a subsidiary body of the Convention serves as a subsidiary body to this Protocol, decisions under the  Protocol shall be taken 
only by the Parties to the Protocol.  
3. When a subsidiary body of the Convention exerci ses its functions with regard to matters concerning this Protocol, any member of the bureau of 
that subsidiary body representing a Party to the Convention but, at that time, not a Party to the Protocol, shall be substitu ted by a member to be elected 
by and  from among the Parties to the Protocol".  
 CoP-MoP 3 considered the issue of subsidiary bodies and adopted Decision BS -III/13, by which C oP-MoP decided to consider, at its fourth meeting, 
potential mechanisms to provide scientific and technical advice to the [C oP-MoP], including, inter alia, the potential designation or establishment of a 
permanent subsidiary body, or use of subsidiary bodies or mechanisms that may be created on an ad hoc basis, and requested th e Executive Secretary 
to prepare a pre -sessio nal paper for that meeting which includes:  
(a) A review of the findings of the Ad Hoc Open -Ended Working Group on Review of Implementation of the Convention, and any associated 
decisions by the 8th C oP, concerning the review of the impacts and effectivene ss of existing processes under the Convention; and  
(b) Cost estimates for various potential mechanisms for the provision of scientific and technical advice.  
Amendments and 
Protocols  Article 32 – Relationship with the Convention  
"Except as otherwise provi ded in this Protocol, the provisions of the Convention relating to its protocols shall apply to this Protocol".  
 See also Article 29:4(e) on [C oP-MoP] to this Protocol in the Section on Decision -making Bodies above.  
 Article 29 of the CBD (Amendment of t he Convention or Protocols) will also apply to the Protocol.  
10.2  Trade -related Measures  
10.2.1   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 i nternational 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 o f the conservation and 
sustainable use of biological diversity than th at called for in this Protocol, provided that such action is consistent with the objective and the 
provisions of this Protocol and is in accordance with that Party's other obligations under international law".  
Article 4  
Scope  "This Protocol shall apply to  the transboundary movement, transit, handling and use of all [LMOs] that may have adverse effects on the 
conservation and sustainable 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] through its territory and 
make available to the Biosafety Clearing -House, any decision of that Party, subject to Article 2, paragraph 3, re garding the transit through its 
territory of a specific [LMO], the provisions of this Protocol with respect to the advance informed 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 decisions on import 
and to set standards for contained use within its jurisdiction, the provisions of this Protocol with respect to the advance i nformed agreement 
procedure shall not apply to the t ransboundary movement of [LMOs] destined for contained use undertaken in accordance with the s tandards of the 
Party of import ".  
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- 107 - Article 7  
Application of the 
Advance Informed 
Agreement Procedure  "1. Subject to Articles 5 and 6, the advance informed agreem ent procedure in Articles 8 to 10 and 12 shall apply prior to the first 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 food or feed, or for 
processing.  
3. Article 11 shall apply prior to the first transboundary movement of [LMOs] intended for direct use as food or feed, or for pr ocessing.  
4. The advance informed a greement procedure shall not apply to the intentional transboundary movement of [LMOs] identified in a decision of 
the [C oP] serving as the [M oP] to this Protocol as being not likely to have adverse effects on the conservation and sustainable use of biolog ical 
diversity, taking also int o account risks to human health . 
 Lays out the Advanced Informed Agreement (AIA) procedure which shall apply for the first intentional transboundary movement o f a LMO for 
intentional introduction into the environment of the Party of import. The AIA procedure is outlin ed in Articles 8 to 10 and 12. The procedure in 
Article 11 shall apply prior to the first transboundary movement of LMOs intended for direct use as food or feed, or for proc essing. The AIA 
procedure shall not app ly 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 autho rity of the Party of 
import prior to the intentional trans boundary 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 o f 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 accor ding to the procedure specified in 
Article  10.  
3. The domestic regulatory framework referred to in paragraph 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 transboundary 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, info rm the notifier, in writing, whether the intentional 
transboundary movement may proceed:  
(a) Only after the Party of import has given its written consent; or  
(b) After no less than ninety days without a subsequent written consent.  
3. Within two hundred an d seventy days of the date of receipt of notification, the Party of import shall communicate, 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 condi tions, 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 with in 
which the Party of import is to respond, the number of days it has to wait for additional relevant information shall not be t aken 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 da te of receipt of the notification 
shall not imply its consent to an intentional transboundary movement.  
6. Lack of scientific certainty due to insufficient relevant scientific information and knowledge regarding the extent of the po tential 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 the [LMO] i n question as referred to in 
paragraph 3 above, in order to avoid or minimize such potential adverse effects…".  
Article 11  
Procedure for Living "1. A Party that makes a final de cision regarding domestic use, including placing on the market, of a [LMO] that may be subject to 
transboundary movement for direct use as food or feed, or for processing shall, within fifteen days of making that decision, inform the Parties  
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- 108 - Modified Organisms 
Intended for Direct Use 
as Food or Feed, or for 
Processing  through the [B CH]. This information shall contain, at a minimum, the information specified in Annex II. The Party shall provide a copy of t he 
information, in writing, to the national focal point of each Party that informs the Secretariat in advance that it does not h ave 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 
provided by the applicant.   
3. Any Party may request additional information from the authority identified in paragraph (b) of Annex II.  
4. A Party may take a decision on the import of [LMOs] intended for direct use as food or feed, or for processing, under its dom estic 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 proces sing, 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, declare through the [BCH] th at 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, w ill be taken according 
to the following:  
(a) A risk assessment undertaken in a ccordance 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 consent 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 po tential ad verse 
effects of a [LMO] on the conservation and sustainable use of biological diversity in the Party of import, taking also into a ccount risks 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 -building with respect to [LMOs] i ntended 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 in tentional transboundary 
movement. In such case, the Party shall, wit hin thirty days, inform any notifier that has previously notified movements of the [LMO] referred 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 which 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 of import may, at its discreti on, 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 [LMOs] to it to be exempted from the advan ce 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 refe rred to in paragraph  1  
(a) above, shall be the information specified in Annex I".   
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- 109 - Article 14  
Bilateral, Regional and 
Multilateral Agreements 
and Arrangements  "1. Parties may enter into bilateral, regional and multilateral agreements and arrangements reg arding 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 provided for by the Protocol.  
2. The Parties shal l inform each other, through the [BCH], of any such bilateral, regional and multilateral agreements and arrangements that 
they have entered into before or after the date of entry into force of this Protocol.  
3. The provisions of this Protocol shall not aff ect intentional transboundary movements that take place pursuant to such agreements and 
arrangements as between the parties to those agreements or arrangements.  
4. Any Party may determine that its domestic regulations shall apply with respect to specific i mports 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 wi th Annex III 
and taking into account reco gnized 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 evaluate the possible adverse effe cts 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 Article  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 app ropriate mechanisms, measures and 
strategies to regulate, manage and control risks identified in the risk assessment provisions of this Protocol associated wit h the use, handling and 
transboundary movement of [LMOs].  
2. Measures based on risk assessment sh all be imposed to the extent necessary to prevent adverse effects of the [LMO] on the conservation 
and sustainable use of biological diversity, taking also into account risks to human health, within the territory of the Part y of import.  
3. Each Party shall  take appropriate measures to prevent unintentional transboundary movements of [LMOs], including such measures 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 sha ll endeavour to ensure that any [LMO], whether imported or locally developed, 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 wi th 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 health; 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 diversity, taking also into account r isks 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 conditions of safety, taking into consideration rele vant 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" [L MOs] and are  not 
intended for intentional introduction into the environment, as well as a contact point for further information. The [C oP] serving as the [MOP] 
to this Protocol shall take a decision on the detailed requirements for this purpose, including specificatio n 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 identifies 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 i nstitution to whom 
the [LMOs] are consigned; and 
(c) [LMOs] that are intended for intentional introduction into the environ ment 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, any requi rements 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 requirements of this Protocol applicable to the exporter.  
3. The [C oP] ser ving as the [M oP] to this Protocol shall consider the need for and modalities of developing standards with regard to  
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- 110 - identification, handling, packaging and transport practices, in consultation with other relevant international bodies".  
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 own e xpense, 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, may take into 
account, consistent with their international obligations, socio -economic considerations arising from the impact of [LMOs] on the conservation and 
sustainable use of biological diversit y, 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 out 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.  
10.2.2   Decisions of the COP -MOP 
The decisions of the Co P-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 Pro tocol to consider elements and options relevant to Article 8 of the Protocol, as well as the following elements 
(…):  
(a) Applying necessary measures to enforce 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 territor y, including requiring 
communication in writing to the competent national authority of the  Party of transit if so required by the regulations of that Party of transit."  
 
Decision BS -VI/10  
1. Requests Parties to address any gaps that may exist in their domestic implementation of the notification requirements unde r Article 8 of the 
Protocol, incl uding in the context of their general obligation to take the necessary and appropriate legal, administrative and other measur es to 
implement their obligations under the Protocol, in accordance with paragraph 1 of Article 2 of the Protocol;  
Decision Proced ure 
(Article 10 )  At the First C oP serving as the M oP to this Protocol (C oP-MoP 1) in 2004, C oP-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 mechanism s 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 Plants to living 
modified plants under the Protocol, without prejudice to the possible development and applicability of other systems;  
2. Requests the Executive Secretary to develop or ma intain, in the [BCH], a register of unique identification codes to ensure harmonisation of 
such codes by all users;  
3. Encourages the OECD and other organizations involved in the development of unique identification systems for [LMOs] to initia te or 
enhanc e their activities towards the development of a harmonized system of unique identifiers for genetically modified micro -organisms and  
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- 111 - animals. ..."  
Paragraph 2 (a) of Article 18:  
Decision BS -I/6 
"1. Requests Parties to the Protocol and urges other Governmen ts to take measures to require the use of a commercial invoice or other 
document required or utilized by existing documentation systems, as documentation that should accompany [LMOs] that are inten ded for direct 
use as food or feed, or for processing, for the purpose of identification by incorporating the information requirements of the first sentence of 
paragraph 2 (a) of Article 18, and the requirements established under paragraph 4 below, pending a decision on detailed requi rements for this 
purpose by th e 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 Governments to take measures ensuring that documentation accompanying [LMOs]  that 
are intended for direct u se as food or feed, or for processing clearly identifies that the shipment may contain [LMOs] intended for direct use as 
food or feed, or for processing, and states that they are not intended for intentional introduction into the environment;  
3. Further re quests 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 informa tion: the 
exporter, the importer, or any appropriate authority, when designated by a Government as the contact point;  
4. Further urges Parties to the Protocol and other Governments to require that the documentation referred to in paragraph 1 abov e 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 P arties 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 intenti onally contain 
[LMOs] that are intended for direct use as food or feed, or for processing, that the shipment contains [LMOs] that are intend ed for direct use as 
food or feed, or for processing, the identity of the [LMO], and any unique identification, where pos sible; ..."  
 
Decision BS -III/10  
"The [C oP] serving as the [MOP] to the 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 required 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 furt her information: the 
exporter, the importer, and/or any appropriate authority, 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 domest ic 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 identity 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 kno wn through means such as identity preservation systems, that the shipment 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 enviro nment;  
(d) The common, scientific and, where available, commercial names 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 add ress 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 s pecific requirements set out in this paragraph do not apply to such  
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- 112 - 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 [C oP] serving as the [M oP] to the Cartagena Protocol on Biosafety…  
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 partici pate 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 encourage s 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 technique s are made 
available via t he 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 [C oP] serving as the [M oP] 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 accomp anying 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 food or feed, or for processing;  …  
5. Encourages  Parties to develop domestic systems or use existing ones, as appropriate, to prevent imported living modified organisms 
intended for direct use as food or feed, or for processing, from being used for other purposes 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 syst ems, with consideration given to the formats outlined in the example templates 
annexed hereto, as documentation that should accompany [LMOs] for contained use and [LMOs] for intentional introduction into the environment 
of the Party of import, incorporatin g 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 submi t to the Executive Secretary, not later than six months prior to the 
third meeting of the [C oP] serving as the [MOP] to the Protocol, information on experience gained with the use of documentation 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 f or stand -alone documentation for consideration by the third meeting of the [C oP] serving as the [MOP] to the Protocol;  
3. Requests Parties to the Protocol and urges other Governments to take measures ensuring that documentation accompanying [LMOs]  
contain s 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 us e"; 
(ii) The name and add ress 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 applic able existing international 
instruments, such as the United Nations Recommendations on the Transport of Dangerous Goods, the International Plant Protecti on  
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- 113 - Convention and the Organisation Internationale des Epizooties, domestic regulatory frameworks or und er 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 availa ble, new or modified traits 
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 introduc tion 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 identification as "[LMOs]" and a brief description of the organisms, including common and scientific name, relev ant traits 
and genetic modification, including transgenic traits and characteristics such as event(s) of transformation or, where availa ble and 
applicable, a reference to a system of unique identification;  
(ii) Any requirements for the safe handling, stora ge, transport and use of the [LMOs] as provided under applicable existing 
international 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, including an individual or organization in possession of relev ant 
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 imp ort approval for the first 
transboundary movement of [LMOs]; .."  
 
Decision BS -II/10  
"The [C oP] 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 capabilities, to 
make sure that those requirements of paragraphs 2 (b) and 2 (c) of Article 18 of the Protocol as elaborated by decision BS -I/6 B are fully complied 
with; 
3. Further  urges Parties, especially those Parties of imp ort, to make available to the [BCH] information on their domestic requirements 
concerning imports of [LMOs] in general, and documentation requirements in particular, with respect to [LMOs] for contained u se and for 
intentional introduction into the environ ment, 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 [C oP] serving as the [MOP] to the Cartagena Protocol on Biosafety  ... 
2. Requests  Parties and encourages  other Governments and international organizations to ensure that information related to standards on the 
identification, handling, packaging and tr ansport 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 othe r relevant international organizations and, decides  that if a gap in such standards has been identified, to consider 
the need for and modalities of developing the necessary standards, in particular by referring such gaps to other relevant int ernational 
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  
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- 114 - excha nge information on activities relevant to the handling, transport, packaging and identification of living modified organisms being undertaken 
in each forum;  
3. Invites  the International Plant Protection Convention to collaborate with the Secretariat of the  Convention on Biological Diversity in 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 information on:  
(a) Standards relevant to the handling, transport, packaging and identification of living modified organisms;  
(b) Existing guid ance on the use of relevant international standards;  
(c) Methods for the detection and identification of living modified 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 organisms as well as the sha ring o f information and 
experiences."  
 
Decision BS -VI/8  
"1. Urges Parties to expedite the implementation of thei r 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 rela ted to the 
identification and documentatio n of living modified organisms destined for contained use or living modified organisms for international introduction 
into the environment;  
2. Requests Parties and encourages other Governments to continue to implement the requirements of paragraphs 2(b) a nd 2(c) of Article 18 of the 
Protocol and related decisions through the use of a commercial invoice or other documents required or utilized by existing do cumentation 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 t o 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 Biosafet y 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 relevan t 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 BS -VIII/13  
"Taking note  of the conclusions of the online discussion of the Ad Hoc Technical Expert Group on Socio -Economic Considerations ( contained in 
document UNEP/CBD/BS/COP -MOP/8/13, annex)  
2. Decides  to extend the mandate of the Ad Hoc Technical Expert Group on Socio -Economic Considerations, …  
4. Requests  the Ad Hoc Technical Expert Group on Socio -Economic Considerations to submit a report for consideration by the Conference of Parties 
serving as the meeting of the Parties to the Cartagena Protocol on Biosafety at its ninth meeting,"  
 
Cooperation with Other Decision BS -II/6  
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- 115 - Organizations, 
Conventions and 
Initiatives  "The [C oP] 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 Phyt osanitary 
Measures and on Technical Barriers to Trade;  
(b) To continue the involvement of the Secretariat of the [CBD] in discussi ons in the [WTO's CTE] on issues relevant to the Protocol  
(c) To reinforce cooperation with the Codex Alimentarius Commission, the Office International des Epizooties and the Internat ional Plant 
Protection Convention on issues of mutual relevance; ... 
(f) To establish cooperation with the World Customs Organization, the International Organization for Standardization (ISO), the U nited 
Nations Transport of Dangerous Goods Sub -Committee, the International Air Transport Association and other relevant customs an d transport 
organizations where biosafety issues are considered, with a view to developing a harmonized approach for the packaging and tr ansport 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, p ackaging and 
transport practices, in accordance with the medium -term programme of work."  
 
Decisi on 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 T rade Organization that 
are relevant to b iosafety." (similar requests were made by BS COP/MOP VI, V, IV, and III)  
Risk Assessment and 
Risk Management  Decision BS -III/11  
"The [C oP-MoP]... 
15.  Requests  the Executive Secretary to collaborate with relevant organizations such as the Food and Agricul ture Organization of the United 
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 portals such as the 
Biosafety Clearing -House and the International Portal on Food Safety, Animal & Plant Health;  
Decision BS -IV/11  
"The [C oP] 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. Decides  to establish an Ad Hoc Technical Expert Group on Risk Assessment and Risk Management according  to the modality of work and the 
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 Technica l 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 organizations to take the Guidance into account as a voluntary tool to assist in 
conducting risk assessment in acco rdance with the Cartagena Protocol while acknowledging that other guidance documents and national 
approaches can also assist in conducting risk assessment in accordance with the Protocol;  …" 
Liability and Redress 
under the Cartagena 
Protocol on Biosafety  Decision BS -V/11  
"The [C oP] 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 Ne w 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 Supple mentary Protocol on 7 March 2011 or at the earliest  
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- 116 - opportunity thereafter and to deposit instruments of ratification, acceptance or approval or instruments of accession, as app ropriate, as soon as 
possible;  
... 
7. Decides that, where the costs of response  measures as provided for in the Supplementary Protocol have not been covered, 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 t o be addressed by the Conference of the Parties 
serving as the meeting of the Parties ; …" 
 
Decision BS -VIII/11  
"… 2. Calls upon other Parties to the Cartagena Protocol on Biosafety to expedite their internal processes and to deposit their instrument of 
ratification, acceptance, approval or accession to the Nagoya -Kuala Lumpur Supplementary Protocol as soon as possible with a view to ensuring 
the expeditious entry into force of the Nagoya -Kuala Lumpur Supplementary Protocol;  
3. Calls upon States that Parties  to the Convention but not Parties to the Cartagena Protocol on Biosafety to ratify, accept, approve or accede to 
the Cartagena Protocol, as appropriate, without further delay, so that they can also become Parties to the Nagoya -Kuala Lumpur Supplementary 
Protocol;  …" 
Rights and/or 
obligations of Parties of 
transit of living 
modified organisms  Decision BS -V/10  
"The [C oP] 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 their 
domestic administrative and legal systems;  
2. Decides  to consider this item at its eighth meeting. " 
 
Decision BS -VIII/16  
"1. Adopts 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 purpo se of facilitating the implementation of the Protocol;  
2. Encourages Parties to make use of t he operational definitions of the terms "unintentional transboundary movement" and "illegal transboundary 
movement" when completing their national reports;"  
 
Decision BS -VIII/17  
"7. Encourages Parties to further develop measures to manage living modified o rganisms in transit and to make in the Biosafety Clearing -House 
information on such measures; " 
 
10.3  Supportive measures  
Article 20 – Information Sharing and the Biosafety Clearing -House (BCH)  
"1. A [BCH] is hereby established as part of the clearing -house mec hanism 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 a ccount the special needs of developing country Parties, in particular the least developed and small island developing 
States among them, and countries with economies in transition as well as countries that are centres of origin and centres of genetic diver sity.  
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 biosafety information exchange mechanisms.  
3. Without prejudice to the protection of confidential information, each Party shall make available to the [BCH] any information  required to be made availabl e 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 informed agreement 
procedure;   
(b) Any bilateral, regional and mu ltilateral agreements and arrangements;   
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- 117 - (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 regardi ng products thereof, namely, processed materials that are of [LMO] origin, containing detectable novel combinations of 
replicable genetic material obtained through the use of modern biotechnology;  
(d) Its final decisions regarding the importation or relea se 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 C oP serving as the MOP to this Protocol at its 
first meeting, and kept under review thereafter".  
 In 2004, COP -MOP 1 adopted modalities  for the operation of the BCH (Decision BS -I/3), which outline the role of the BCH, its characte ristics, 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 periodic review by the C oP-MoP. 
Article 22 – Capacity -Building  
"1. The Parties shall cooperate in the development and/or strengthening of human resources and institutional capacities in biosaf ety, 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, subre gional and national 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 p articular 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. Cooperati on 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 managem ent for biosafety, and the 
enhancement of technological and institutional capacities in biosafety. The needs of Parties with economies in transition sha ll also be taken fully into account for such 
capacity -building in biosafety".  
 In 2004, C oP-MoP 1 adopt ed interim guidelines for the roster of experts on biosafety (Decision BS -I/4) to provide assistance, upon request, to developing countries and 
countries with economies in transition Parties to the Protocol in risk assessment and risk management, and in ca pacity building. It also adopted interim guidelines for the pilot 
phase of the voluntary fund for the roster of experts.  
 CoP-MoP 3 requested the Liaison Group on Capacity -Building for Biosafety to develop, for consideration at the 4th meeting of the Pro tocol, draft criteria and minimum 
requirements (including minimum qualifications or experience), for experts to be included in the roster to assist countries i n making their nominations to the roster and in 
re-assessing the nominations already made. The C oP-MoP also requested the Liaison Group to explore the possibility of establishing a quality control mechanism.  
 In Decision BS -I/5 on capacity building, C oP-MoP 1 also adopted an action plan for building capacities for the effective implementation of the  Protocol, a coordination 
mechanism 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 increase their financial and technical suppor t to developing countries and countries with 
economies in transition for the implementation of the Action Plan .  
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. Regardin g the capacity -building referred to in Article 22 of this Protocol, the [C oP] serving as the [M oP] to this Protocol, in providing guidance with respect to the financial 
mechanism referred to in paragraph 2 above, for consideration by the [C oP], shall take into account the need for financial resources by developing country 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 developed 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 developed country Parties may also provide, and the developing country Parties and the Parties with economies in transiti on avail themselves of financial and 
technological resources for the implementa tion of the provisions of this Protocol through bilateral, reg ional and multilateral channels ". 
 Following the recommendation from the first meeting of the C oP-MoP, the C oP, in its Decision VII/20, provided detailed guidance to the GEF with regard to the 
Cartagena  Protocol, including the eligibility criteria, strategy 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  
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- 118 - a global UNEP -GEF project  to assist all eligible countries to develop national biosafe ty 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 requir ements  in order to 
expedite access, by developing country Parties and the Parties with economies in transition, to the financial resources neede d to assist the implementation of the Protocol.  
10.4  Non-compliance mechanism  
Article 27 – Liability and Redress  
"The Con ference of the Parties serving as the meeting of the Parties to this  Protocol shall, at its first meeting, adopt a process with respect to the  appropriate elaboration of 
international rules and procedures in the field of  liability and redress for damage re sulting from transboundary movements of  living modified organisms, analysing and taking due 
account of the ongoing  processes in international law on these matters, and shall endeavour to  complete this process within four years. " 
 At its fifth meeting , CoP-MoP:  
Adopted the Nagoya – Kuala Lumpur Supplementary Protocol  on Liability and Redress to provide international rules and procedure on liability and redress for damage to 
biodiversity resulting from LMOs. It requested the UN Secretary -General to open the  new Protocol for signature from  7 March 2011 to 6 March 2012 and called upon parties to the 
Biosafety Protocol to sign and ratify it at the earliest opportunity.  
In Decision BS -V/11, the C oP-MoP also:  
 Decided  that additional and supplementary compensatio n measures may be taken in instances where the costs of response measures provided for in the Supplementary 
Protocol have not been covered and that those measures may include arrangements to be addressed by the C oP-MoP.  
 Urged Parties to cooperate in the d evelopment and/or strengthening of human resources and institutional capacities . 
 Parties to cooperate in the development and/or strengthening of human resources and institutional capacities relating to the implementation of the Supplementary 
Protocol and i nvited Parties to take this into account in formulating bilateral, regional and multilateral assistance to developing country  Parties. It also decided to take 
this into account in the next review of the capacity -building Action Plan . 
Decision BS -VIII/11  
"2. Calls upon  other Parties to the Cartagena Protocol on Biosafety to expedite their internal processes and to deposit their instrument of ratification, acceptance, approval or 
accession to the Nagoya -Kuala Lumpur Supplementary Protocol as soon as possible with a view to ensuring the expeditious entry into force of the Nagoya -Kuala Lumpur 
Supplementary Protocol;  
3. Calls upon  States that are Parties to the Convention but not Parties to the Cartagena Protocol on Biosafety to ratify, Accept, approve o r accede  to the Cartagena Protocol, as 
appropriate, without further delay, so that they can also become Parties to the Nagoya -Kuala Lumpur Supplementary Protocol;"  
 
Article 33 – Monitoring and Reporting  
"Each Party shall monitor the implementation of its obligatio ns 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 – Complianc e 
"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. Thes e 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 procedures and mechanisms establis hed 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 membe rs 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 Par ty. 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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- 119 - (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 first meeting of the Compliance Committee was held in March 2005, where its rules  of procedures were developed. The Rules were adopted at C oP-MoP 2 (Decision 
BS-II/1).  
 
10.5  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 Pr otocol . 
10.6  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 agre ements and arrangements with non -Parties regarding such transboundary 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 notificatio n and risk assessment and assist non -Parties to make informed decisions 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 an d 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 av ailable to the Biosafety Clearing -House information required under the Protocol and participate in capacity -building activities.  
11  NAGOYA – KUALA LUMPUR SUPPLEM ENTARY PROTOCOL ON L IABILITY AND REDRESS  TO THE CARTAGENA PRO TOCOL ON BIOSAFETY  
11.1   Brief Descriptio n of the MEA  
Web site  https://www.cbd.int/  
http://bch.cbd.int/protocol/supplementary/  
Objective  The objective of this Supplementary Protocol is to contribute t o 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 o f Adoption  15 October 2010  
Entry into force  --- NOT YET IN FORCE . This Supplementary Protocol shall enter into force on the ninetieth day after the date of deposit of the fortieth instrument of 
ratification, acceptance, approval or accession by States or regional economic integration organizations that are Parties to the Protocol (Article  17, 
paragraph 1).  
Signatories  39 (as of 31 August  2017). 
WTO Members  38 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 1 8). 
Decision -Making 
Bodies  Article 14. Conference of the Parties serving as the meet ing 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 [Cartagena  
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- 120 - Biosafety] Protocol shall serve as the meeting of the Parties to this Suppl ementary Protocol.  
2. The Conference of the Parties serving as the meeting of the Parties to the Protocol shall keep under regular review the imple mentation of this 
Supplementary Protocol and shall make, within its mandate, the decisions necessary to promo te its effective implementation. It shall perform 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 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 Pro tocol.  
4. Without prejudice to paragraph 3 above, this Supplementary Protocol shall not affect the rights and obligations of a Party under international law ." 
11.2  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 
domestic law, include, inter alia, the permit holder, person who placed the living modified organism on the market, developer , producer, 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 transboundary 
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 Supplementary Protocol applies to damage resulting from any authori zed 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 Art icle 17 of the 
Protocol as well as damage resulting from illegal transboundary movements as referred to in Ar ticle 25 of the Protocol.  
4. This Supplementary Protocol applies to damage resulting from a transboundary movement of living modified organisms that start ed 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 jurisdiction of Parties . 
6. Parties may use criteria set out in their domestic law to address damage that occurs wit hin the limits of their national jurisdiction.  
7. Domestic law implementing this Supplementary Protocol shall also apply to damage resulting from transboundary movements of li ving 
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  
(c)  Take appropriate response measur es.  
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- 121 - 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 scientifi c 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 req uired to take appropriate 
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 t o do so.  
5. The competent authority has the right to recover from the operator the costs and expense s of, and incidental to, the evaluation of the 
damage and the implementation of any such appropriate response measures. Parties may provide, in their domestic law, for othe r situations in 
which the operator may not be required to bear the costs and expense s. 
6. Decisions of the competent authority requiring the operator to take response measures should be reasoned. Such decisions shou ld be notified 
to the operator. Domestic law shall provide for remedies, including the opportunity for administrative or judi cial review of such decisions. The 
competent authority shall, in accordance with domestic law, also inform the operator of the available remedies. Recourse to s uch remedies shall 
not impede the competent authority from taking response measures in appropria te circumstances, unless otherwise provided by domestic law.  
7. In implementing this Article and with a view to defining the specific response measures to be required or taken by the compet ent authority, 
Parties may, as appropriate, assess whether response  measures are already addressed by their domestic law on civil liability.  
8.  Response measures shall be implemented in accordance with domestic law."  
Article 10  
Financial security  "1. Parties retain the right to provide, in their domestic law, for financ ial security.  
2. Parties shall exercise the right referred to in paragraph 1 above in a manner consistent with their rights and obligations un der international 
law, taking into account the final three preambular paragraphs of the Protocol.  
3. The first mee ting 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 m odalities of financial security mechanisms;  
(b) An assessment of the environmental, economic and social impacts of such mechanisms, in particular on developing countries; an d 
(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 domestic law, for rules and procedures that address damage. To implement this obligation, Parties sha ll provide 
for response measures in accordance with this Su pplementary 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 providing 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 and 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 ci vil liability law as referred to in subparagraphs (b) or (c) of paragraphs 1 or 2 above, Parties shall, as appropriate, 
address, inter alia, the following elements:  
(a) Damage;  
(b) Standard of liability, including strict or fault -based liability;  
(c) Chann elling of liability, where appropriate;  
(d) Right to bring claims."   
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- 122 - 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 Supplem entary Protocol shall not affect the rights and obligations of the Parties to this Supplementary Protocol under the Conventio n and 
the Protocol.  
3. Except as otherwise provided in this Supplementary Protocol, the provisions of the Convention and the Protoc ol 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." 
11.3  Supportive measures  
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 sha ll apply, 
mutatis mutandis , to this Supplementary Protocol ." 
11.4  Non-compliance mechanism  
In accordance to Art icle 16, paragraph 3, "[e]xcept as otherwise provided in this Supplementary Protocol, the provisions of the [CBD] and the [Ca rtagena] Protocol shal l apply, 
mutatis mutandis , to this Supplementary Protocol."  
11.5  Dispute Settlement Mechanism  
No express provisio ns. However, in accordance to Article 16, paragraph 3, "[e]xcept as otherwise provided in this Supplementary Protocol, the pr ovisions of the [CBD] and the 
[Cartagena] Protocol shal l apply, mutatis mutandis , to this Supplementary Protocol."  
11.6  Provisions for  non-parties  
Article 3: Scope  
"... 
7. Domestic law implementing this Supplementary Protocol shall also apply to damage resulting from transboundary movements of li ving modified organisms from non -
Parties."   
12  MONTREAL PROTOCOL AN D THE VIENNA CONVENT ION FOR  THE PROTECTION OF TH E OZONE LAYER  
12.1  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 procedu ral rules for future protocols to be developed 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 Amendment (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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- 123 -  Vienna 
Convention for 
the Protection 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  
Parties10 197 197 197 197 197 197 5 
WTO Members11 161 161 161 161 161 161 2 
 
 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  
Web site  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.  
Entry into force 
(provision)  Article 17:  Entry into forc e 
"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 for ce 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 d eposit 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 proto col, except as otherwise provided in such protocol, shall Article 16 – Entry into force  
"1. This Protocol shall enter into force on 1 January 1989, provided that 
at least eleven instruments of ratification, acceptance, approval of the 
Protocol 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 co ntrolled substances, and the 
provisions of paragraph 1 of Article 17 of the Convention have been fulfilled. 
In the event that these conditions have not been fulfilled by that date, the 
Protocol shall enter 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 ratif ication, 
acceptance, approval or accession".  
                                                
10 As of 31 August  2017. 
11 See Annex for list of Parties that are also  WTO Members.   
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- 124 -  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  
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 whic h that party deposits its instrument 
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 integration organization shall not be 
counted as additional to those deposited by member States of such 
organization".  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, s hall 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 i nto force".  
 
Article IV - Kigali Amendment  
"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 depo sited 
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 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 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 th at 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.  
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 th e 
Protocol on the ninetieth day following the date of deposit of its instrument 
of ratification, acceptance or approval. " 
  
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- 125 -  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 integr ation 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 re ferred 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 organ izations, 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 by 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 Stat es and by regional 
economic integration organizations …".  
Copenhagen Amendment (1992):   
Article 2 – Relationship to the 1990  Amendment  
"No State or regional economic integration organization may deposit an 
instrument of ratification, acceptance, approval or accession to this 
Amendment unless it has previously, or simultaneously, deposited such an 
instrument to the Amendment adopted at the Second M oP in London, 29 
June 1990."  
Montreal Amendment (1997):   
Article 2 – Relationship to the 1992  Amendment  
"No S tate 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 Four th MOP in Copenhagen, 
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 t o this 
Amendment unless it has previously, or simultaneously, deposited such an 
instrument to the Amendment adopted at the Ninth MOP in 
Montreal,  17 September 1997."  
Decision -Making 
Bodies  Article 6  – Conference of the Parties  
"... 4. The [C oP] shall kee p 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 li kely to cause modification of the 
ozone layer, 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;  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 pa ragraph  9 
of Article 2;  
(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 reporting  
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 Article 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  
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- 126 -  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  
(h) Consider and adopt, as required,  protocols in accordance with 
article  8; …" for the achievement of the purposes of this Protocol"....  
Amendments and 
Protocols  Article 8 – Adoption of protocols  
"1. The [C oP] 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]. Amendments to any protocol shall be adopted at a [M oP] 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 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 
vote of the Parties present and voting at the meeting, and shall be 
submitted by the Depositary to all Part ies 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 that protocol present and voting at the meeting shall suffice for 
their adoption.  
5. Ratification, approval or acceptance of amendments shall be notified 
to the Depositary in writing. Amendments adopted in accordance with 
paragraphs 3 or 4 above shall enter into 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 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, approval or acceptance of the amendments.  
6. For the purposes of this article, " Parties present and voting" means 
Parties present and casting an affirmative or negative vote".  
Article 16 – Relationship between the Convention and its protocols  
"1. A State or a regional economic integration organization may not 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 subsequen t 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 Hydroflu orocarbons (HFCs) as part of its ambit  
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- 127 -  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  
become a party to a proto col 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".  
Procedures for amending annexes to the Convention are laid out in 
Article  10.  and to set phase -down schedules for HFCs . 
 
12.2  Trade -Related measures  
12.2.1   Montreal Protocol: Provisions of the Protocol  
Article 2  
Control Measures  "…5. Any Party may, for one or more control periods, transfer to another Par ty any portion of its calculated level of production set out in 
Articles  2A to 2F, and Article 2H, provided that the total combined calculated levels of production of the Parties concerned for any g roup 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 transfer and the period for which it is to apply.  
5 bis. Any Party not operating  under paragraph 1 of Article 5 may, for one or more control periods, transfer to another such Party any portion of its 
calculated level of consumption set out in Article 2F, provided that the calculated level of consumption of controlled substa nces in Gro up 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 19 89 and that the 
total combined calculated levels of consumption of the Parties concerned do not exceed the consumptio n 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 operating under Article 5, tha t 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 
production from such facilities  to its 1986 production of such substances for the purposes of determining its calculated level of production for 1986, 
provided that such facilities are completed by 31 December 1990 and that such production does not raise that Party’s annual c alculated l evel 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 consumption under this Arti cle and Articles 2A to 2I provided that their total combined 
calculated level of consumption does not exceed the levels required by this Article and Articles 2A to 2I.  
(b) The Parties to any such agreement shall inform the Secretariat of the terms of the a greement 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 the 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 potentials specified in Annex A, Annex  B, Annex C and/or Annex E should be made and, if so, 
what the adjustments should be; and  
(ii) Further adjustments and reductions of production or consumption of the controlled substances should be undertaken and, i f so, what 
the scope, amount and timing o f any such adjustments and reductions should be;  
(b) Proposals for such adjustments shall be communicated to the Parties by the Secretariat at least six months before the MOP  at which they 
are proposed for adoption;   
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- 128 - (c) In taking such decisions, the Partie s 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 represe nting 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 co mmunication by the 
Depositary.  
10. Based on the assessments made pursuant to Article 6 of this Protocol and in accordance with the procedure set out in 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 a nd timing of the control measures that should apply to those substances;  
11. Notwithstanding the provisions contained in this Article and Articles 2A to 2I Parties may take more stringent measures than those required 
by this Article and Articles 2A to 2I".  
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 bromochlorome thane.  
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 controlle d 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 
controlle d substances for the years 2011, 2012 and 2013, plus fifteen per cent of its calculated level of consumption of Annex C, Grou p 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 2020, 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, 201 2 and 2013, plus 
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:  
 (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 producing 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 substan ces 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 production of Annex F controlled substanc es for the years 2011, 2012 and 2013, 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 2033: 30 per cent  
 (d) 2034 to 2035: 20 per cent   
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- 129 -  (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 calculated level of production 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 production of Annex F controll ed substances for the 
years 2011, 2012 and 2013, plus twenty -five per cent of its calcul ated level of production of Annex C, Group I, controlled substances as set out in 
paragraph 2 of Article 2F, expressed in CO2 equivalents:  
 (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 Parties decide to permit the level of production or consumption that is 
necessary to satisfy uses agreed by the Parties to be ex empted 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 thi s Protocol. …  
2. As of 1 January 1993, each Party shall ban the exp ort 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 substan ces 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 Protocol, 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 a ccordance with those 
procedures shall ban, within one year of the annex having become effective, the import of t hose products from any State not party to this Protocol. 
… 
5. Each Party undertakes to the fullest practicable extent to discourage the export to any State not party to this Protocol of t echnology for 
producing and for utilizing controlled substances in An nexes A, B, C and E.  
6. Each Party shall refrain from providing new subsidies, aid, credits, guarantees or insurance programmes for the export to Sta tes not party to 
this Protocol of products, equipment, plants or technology that would facilitate the produ ction of controlled substances in Annexes A, B, C and E.  
7. Paragraphs 5 and 6 shall not apply to products, equipment, plants or technology that improve the containment, recovery, recyc ling or 
destruction of controlled substances, promote the development o f alternative substances, or otherwise contribute to the reduction of emissions of 
controlled substances in Annexes A, B, C and E.  
8. Notwithstanding the provisions of this Article, imports and exports referred to in paragraphs 1 to 4 ter of this Article m ay be permitted from, 
or to, any State not party to this Protocol, if that State is determined, by a [M oP], to be in full compliance with Article 2, Articles 2A to 2I and this 
Article, and have submitted data to that effect as specified in Article 7.  
9. For the purposes of this Article, the term "State not party to this Protocol" shall include, with respect to a particular contr olled substance, a 
State or regional economic integration organization that has not agreed to be bound by the control measures in e ffect for that substance.  
10. By 1 January 1996, the Parties shall consider whether to amend this Protocol in order to extend the measures in this Article to trade in 
controlled substances in Group I of Annex C and in Annex E with States not party to the P rotocol".  
 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 f or non -
parties to the London Amendment;  
(iii) Annex C – Group II (HBFCs): impo rt and export banned from June 1995 for non -parties to the Copenhagen Amendment (1992).  
(iv) Annex C – Group I (HCFCs): import and export banned for non -parties to the Beijing Amendment (1999) from 1  January  2004.  
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- 130 - Trade also banned in HCFCs with countries  that have not yet ratified the Copenhagen Amendment (1992), which introduced the HCFC 
phase out. Trade ban does not apply to all developing countries that are operating under Article 5, paragraph 1 when trading in HCFCs 
among themselves until 1 January 20 13. 
(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 Mon treal Amendment 
(1997).  
(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 ODS -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 Pa rty shall ban the import of the controlled substances in Annex F from any State 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 controlle d 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 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 u ses agreed by the 
Parties to be essential, it shall ban the export of used, recycled and reclaimed quantities of that substance, ot her 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".  
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 su bstances 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 controlle d substances in Annexes C and E, may delay taking those actions 
until 1 January 2005 and 1 January 2002, respectively.  
3. Each Party shall, within three months of the date of introducing its licensing system, report to the Secretariat on the estab lishment 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 consid eration and appropriate recommendations to the Parties".  
 
 Many parties already have licensing systems in place as a method of complying with the controls of consumption and production  of ODS. This 
licensing requirement is binding since November 1999. As of 31 August 2013 , 192 Parties to the Montreal Amendment to the Montreal Protocol, 
and  3 Parties that are Parties to the Montreal Protocol but have not yet ratified the Montreal Amendment had already establi shed licensing systems 
for ODS. Decision XXII/1 4 of the Twenty Second Meeting of the Parties urged all the 5 remaining Parties to the Montreal Amendment and the 3 
remaining Parties to the Montreal Protocol that had not yet introduced import and export licensing systems to do so as a matt er of urgency.  
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 ex port of new, used, 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 January 2019 may 
delay taking those actions un til 1 January 2021."   
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- 131 - 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 s eventy 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 th e 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 d ate on which 
it has been fulfilled. " 
12.2.2   Montreal Protocol: Decisions of the Meetings of the Parties  
Examples of decisions adopted at  the Meetings of the Parties (M oP) include the following:  
MoP V  
Bangkok, 1993   It was decided at Mo P V that it was not feasible to ban or restrict the import of products made with, but not containing Annex 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 bromi de from any State not Party to 
the Montreal Amendment.  
- Parties are to discourage the export to non -parties of technology for producing or for utilising methyl bromide.  
- Each Party shall refrain from providing any assistance for the export to non -parties of any equipment or technology that would facilitate 
production of methyl bromide.  
MoP XIV  
Rome, 2002   MoP XIV adopted two trade -related decisions:  
- Decision XIV/7  on monitoring of trade in ozone -depleting substances and prevention of illegal trade in ozone -depleting substances, inter alia , 
encourages all Parties to exchange information and intensify joint efforts to improve means of identifying ODS and preventing  illegal trade in 
ODS. The decision also invites Parties to report to the Ozone Secretariat full y 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 it to all Parties.  
- Decision XIV/36  on the report on licensing system takes note of the status r eport for parties that have established licensing systems and 
encourages those Parties that have not yet done so to establish import and export licensing systems of ODS.  
 MoP XIV also adopted Decision XIV/11 on the relationship between the Montreal Protoc ol 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 Parties;  
3. To further request that the Ozone Secretariat, in coordination with the Multilateral Fund Secretariat, when called upon to pr ovide general 
advice t o the WTO on trade provisions of the Montreal Protocol and activities of the Multilateral Fund, consult with the Parties of t he Montreal 
Protocol and the Executive Committee before providing this advice. If the Ozone Secretariat is asked for interpretation s 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 establi shed licensing systems and 
encourages 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 i n 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 c ommodities 
from Partie s that have ratified the Montreal Protocol provisions regarding methyl bromide and are otherwise in compliance with their 
Montreal Protocol obligations just because the commodities or products have been treated with methyl bromide, or because the 
commoditi es 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 of 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  
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- 132 - establish import and export licensing systems for ODS.  
- Decision XVI/33  on illegal trade in ODS noted the need for coordination of efforts by parties at national and international level to 
suppress illegal trade in ODS and request ed 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 tra de 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 feasibility study 
was published in Sept ember 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 obliga tions 
under Article 4B of the Montreal Protocol, in particular the licensing systems for the control of imports, exports, and re -exports (exports of 
previously imported substances). The Decision also proposed to consider additional control measures with regard to the use of  control led 
ODS in particular sectors or in particular applications.  
- Decision XVII/23 on establishing licensing systems under 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 Amendment had 
already established licensing systems for ODS. The Decision encouraged all the remaining Parties to the Montreal Amendment th at had 
not yet introduced import and export licensing s ystems to do so as a matter of urgency.  
- 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 t o compliance in a timely manner, the M oP will 
consider measures, which can include ensuring that 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 wit h its commitment.  
 Similar decisions that noted non -compliance by other Parties include the following:  
- Non-compliance with the phase -out commitment for methyl chloroform: Decision XVII/27 (Bangladesh); Decision XVII/28 (Bosnia and 
Herzegovina); Decision XVII/31 (Ecuador); Deci sion 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); Decisio n 
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 M ontreal Protocol, 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 Proto col to continue 
trading in ozone -depelting substances for one year after 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 simi lar opportunity to 
contiue t rading in ozone -depleting substances provided they reported certain information to the Secretariat within a speficied deadline.    
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- 133 - 12.3  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$3.185 billion through more than 7,350 projects and activities in 145 developing countries for the imple mentation of projects including industrial 
conver sion, technical assistance, training and capacity building.  The Fund has the obligation to meet all the agreed incremental costs of developing countries for implementing the 
control measures (ie. changing from ODS technologies to more ozone -friendly techno logies and phasing out their consumption of ODS in accordance with the Protocol. The 
budget has been replenished in 1993, 1996, 1999   2002, 2005, 2008, 2011, 2014 and the allocations so far have been as follows (Period Amount in US$ in Millions):   $240 
(1991- 1993); $455 (1994 - 1996);   $466 (1997 to 1999);   $440 (2000 to 2002);   $474 (2003 -2005); $400.4 (2006 -2008), $ US $400 (2009 -2011), US $400 (2012 -2014) and 
US $437 (2015 -2017).   
 for more information 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 countries in Central and Eastern Europe, 
and the former Soviet Union. The same criteria apply for the funding of ozone projects under the GEF a s under the Multilateral Fund.  
 for more information on the GEF, see https://www.thegef.org/gef/  
 Technology Transfer under Article 10A occurs under fair and most favourable conditions.  
12.4  Non-Compliance Mechanism  
Montreal P rotocol  
 
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 essential, it shall ba n the export of used, recycled 
and reclaimed quantities 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 consideration 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, supports developing countries to implement the Protocol's control measures.  
12.5  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 e vent of a dispute between Parties concerning the interpretation or application of this Convention, the parties concerned shal l seek solution by negotiation.  
2. If the parties concerned cannot reach agreement by negotiation, they may jointly seek the good o ffices 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 pro cedures to be adopted by the [Co P] at its first ordinary meet ing;  
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- 134 - (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 o therwise agree.  
5. A conciliation commission shall be created upon the request of one of the parties to the dispute. The commission shall be com posed of an equal number of members 
appointed by each party concerned and a chairman chosen jointly by the membe rs 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 concerne d". 
12.6  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.  
13  UNITED NATIONS FRAME WORK CONVE NTION ON CLIMATE CHA NGE (UNFCCC) , THE KYOTO PROTOCOL  AND THE PARIS AGREEM ENT 
13.1  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 amended in Doha (2012) . The Paris Agreement was adopted on 12 Decemb er 2015.  
 
 United Nations Framework Convention 
on Climate Change  Kyoto Protocol  Paris Agreement  
Web site  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 adapt naturally to climate 
change, to ensure that food production is 
not threatened an d to enable economic 
development to proceed in a sustainable  The Kyoto Protocol supplements and strengthens 
the United Nations Framework Convention on 
Climate Change ( 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  
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manner. " low greenhouse gas emissions  development, in a 
manner that does not threaten food production; and  
(c) M aking 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  
Parties12 197 192 160 
WTO 
Members13 161 159 135 
Entry into 
force 
(provision)  Article 23 :  Entry into force  
"1. The Convention shall en ter into force on 
the ninetieth day after the date of deposi t of 
the fiftieth instrument of ratification, 
acceptance, approva l or accession.  
2. For each State o r regional economic 
integration organization that ratifies, accepts 
or approves the Conventio n or accedes 
thereto af ter the deposit of the fiftieth 
instrument of ratification, acc eptance, 
approval or accession, the Conven tion 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 o f paragraphs 1 and 2 
above, an y instrument deposited by a 
regional economic integration organization 
shall not be  counted as additional to those 
deposited by Stat es members of the 
organization ". Article 25  
"1. This Protocol shall enter into 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 included in Annex 
I, have deposited their instrumen ts 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 b y 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 ratifies, 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 
accessio n.  
4. For the purposes of this Article, any instrument 
deposited by a regional economic integration 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 their 
instruments of ratification, acceptance, ap proval 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 Conventi on.  
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 s hall 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 the 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".  
                                                
12 As of 31 August 2017.  
13 See Annex for list of Parties that are also WTO Members.   
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organization shall not be counted as additional to 
those deposited by States members of the 
organization ". 
Openness of 
Membership  Article 20 – Signature  
"This Convention 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, acceptan ce 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 [Co P], as the supreme body of this 
Convention, shall keep under regular review 
the implementation of the Convention and 
any related legal instruments that the [C oP] 
may adopt, and shall make, within its 
mandate, the decisions necessary to 
promote the effective implementation of the 
Conventio n. 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 The Convention's Conference of the Parties [C oP] 
shall serve as the meeting of the Parties to the 
Protocol (CMP).  
 
Article 13  
"1. The [C oP], the supreme body of the 
Convention, shall serve as the Meeting of the 
Parties [MOP] to thi s 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 Protoco l shall 
be taken only by those that are Parties to this 
Protocol.  
3. When the [C oP] serves as the [M oP] to this 
Protocol, any member of the Bureau of the C oP 
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 Article 16  
"1. The Conference of the Parties, the supreme body 
of the Convention, shall serve as the meeting of the 
Parties t o 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 Conference of the 
Parties serving as the meeting of the Parties to this 
Agreement. When the Conferen ce 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 
Agreement.  
3. When the Conference of the Parties serves as the 
meeting of the Parties to this Agr eement, 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 Agree ment.  
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 
Agreement and shall make, within its mandate, the 
decisions necessary to promote its effective 
implem entation. It shall perform the functions 
assigned to it by this Agreement and shall:  (a) 
Establish such subsidiary bodies as deemed 
necessary for the implementation of this Agreement;  
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circumstance s, responsibilities and 
capabilities of the Parties and their 
respective commitments under the 
Convention;  
(d) Promote and guide, in accordance 
with the objective and provisions of the 
Convention, the development and 
periodic refinement of comparable 
metho dologies, 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 
effectiveness 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, the 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 with Article 4, 
paragraphs 3, 4 and 5, and Article 11;  
(i) Establish such subsidiary bod ies as 
are deemed necessary for the 
implementation of the Convention;  
(j) Review reports submitted by its 
subsidiary bodies and provide guidance 
to them;  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 effects as well as their 
cumulative impacts and the extent to which 
progress towards the objective of the 
Convention is being achieved;  
(b) Periodically examine the obligations of the 
Parties under this Protocol, giving due 
consideration to any reviews required by 
Article 4, paragraph 2(d), and Article 7, 
paragraph 2, of the Convention, in the light of 
the objec tive of the Convention, the 
experience gained in its implementation and 
the evolution of scientific and technological 
knowledge, and in this respect consider and 
adopt regular reports on the implementation 
of this Protocol;  
(c) Promote and facilitate the e xchange 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 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 respecti ve 
commitments under this Protocol;  
(e) Promote and guide, in accordance with the 
objective of the Convention and the provisions 
of this Protocol, and taking fully into account 
the relevant decisions by the [C oP], 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 matters 
necessary for the implementation of this 
Protocol;  and (b) Exercise such other functions as may be 
required for the impleme ntation of this Agreement.  
5. The rules of procedure of the Conference of the 
Parties and the financial procedures applied under 
the Convention shall be applied mutatis mutandis 
under this Agreement, except as may be otherwise 
decided by consensus by the C onference 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 fi rst 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 Conference of the Parties serving as 
the meeting of the Parties to this Agreement shall be 
held in conj unction 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 m eeting 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 the reof 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 o bserver, may be 
so admitted unless at least one third of the Parties  
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(k) Agree upon and adopt, by 
consensus, rules of procedure and 
financial rules for itself and for any 
subsidiary bodies;  
(l) Seek and utilize, where appropriate, 
the services and cooperation of, and 
information provided by, competent 
international organizations and 
intergovernmental and non -
governmental bodies;  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 o r 
make recommendations to the Co P. 
Article 9 – Subsidiary Body for Scientific 
and Technological Advice  
"1. A subsidiary body for scientific and 
technological advice is hereby established to 
provide the [C oP] and, as appropriate, 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 s hall report 
regula rly to the [Co P] on all aspects of its 
work"....  
 
Article 10 – Subsidiary Body for 
Implementation  
"1. A subsidiary body for implementation 
is hereby established to assist the [C oP] in 
the assessment and review of the effective 
implementation of the Convent ion. This body 
shall be open to participation by all Parties 
and comprise government representatives (g) Seek to mobilize additional financia l 
resources in accordance with Article 11, 
paragraph 2;  
(h) Establish such subsidiary bodies as are 
deemed necessary for the implementation of 
this Protocol;  
(i) Seek and utilize, where appropriate, the 
services and cooperation of, and information 
provided  by, competent international 
organizations and intergovernmental and non -
governmental bodies; and  
(j) Exercise such other functions as may be 
required for the implementation of this 
Protocol, and consider any assignment 
resulting from a decision by the [C oP]". 
In accordance with Article 15, the two 
permanent subsidiary bodies established by 
the UNFCCC shall serve the Kyoto Protocol . 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  
"1. The Subsidiary Body fo r Scientific and 
Technological Advice and the Subsidiary Body for 
Implementation established by Articles 9 and 10 of 
the Convention shall serve, respectively, as the 
Subsidiary Body for Scientific and Technological 
Advice and the Subsidiary Body for Implem entation 
of this Agreement. The provisions of the Convention 
relating to the functioning of these two bodies shall 
apply mutatis mutandis to this Agreement. Sessions 
of the meetings of the Subsidiary Body for Scientific 
and Technological Advice and the Sub sidiary Body for 
Implementation of this Agreement shall be held in 
conjunction with the meetings of, respectively, the 
Subsidiary Body for Scientific and Technological 
Advice and the Subsidiary Body for Implementation 
of the Convention.  
2. Parties to the C onvention 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 t aken 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 subsidiar y 
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 bodies or other institu tional 
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 Agreement. The  
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who are experts on matters related to 
climate change. It s hall report regularly to 
the [Co P] on all aspects of its work.  
2. Under the guidance of the [Co P], 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, paragra ph 2, in order to 
assist the [Co P] in carrying out the 
reviews required by Article 4, 
paragraph 2(d); and  
(c) Assist the [Co P], as appropriate, in 
the preparation and implement ation of 
its decisions".  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 prov ide 
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 shall 
be adopted a t 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 whic h it is 
proposed for adoption. The secretariat shall 
also communica te 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 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 Article 20  
"1. Any Party ma y propose amendments to this 
Protocol.  
2. Amendments to this Protocol 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 lea st six months before the 
meeting at which it is proposed for adoption. The 
secretariat shall also communicate the text of any 
proposed amendments to the Parties and 
signatories to the Convention and, for information, 
to the Depositary.  
3. The Parties shall  make every effort to reach 
agreement on any proposed amendment to this 
Protocol by consensus. If all 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 th e 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 22  
"The provisions of Article 15 of the Convention on the 
adoption of am endments 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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on Climate Change  Kyoto Protocol  Paris Agreement  
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 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 ninetieth 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 restricted 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 P arties 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 4. Instruments of acceptance in respect of an 
amendment shall be de posited with the Depositary. 
An amendment adopted in accordance with 
paragraph 3 above shall enter into force for those 
Parties having accepted it on the ninetieth day after 
the date of receipt by the Depositary of an 
instrument of acceptance by at least t hree 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 other 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 amendmen ts 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 
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 annex or amendment to 
an an nex to the Parties and signatories to the 
Convention and, for 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 exhau sted, and no agreement 
reached, the annex or amendment to an annex 
shall as a last resort be adopted by a three -fourths  
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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.  
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 a nnexes 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 [Co P] may, at any ordinary 
session, adopt protocols to the Convention.  
2. The text of any proposed protocol 
shall be communicated to the Parties by the 
secretariat at least six months before such a 
session.  
3. The requirements for the entry into 
force of any protocol shall be established by 
that instrument.  
4. Only Parties to the Convention may 
be Parties to a protocol.  
5. Decisions under any protocol shall be 
taken only by the P arties 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 d ecided that the 
protocol, another legal instrument or an 
agreed outcome with legal force will be 
adopted no later than C oP 21, due to be held 
in 2015, in order for the agreement to come 
into effect and be implemented from 2020.  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 all 
Parties for their acceptance.  
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 Parti es to this Protocol six 
months after the date of the communication 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 to 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 suc h 
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 P rotocol 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 
commit ment period from 2013 to 2020. In order for 
the Amend ment 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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- 142 - 13.2  Trade -Related measures  
13.2.1   United Nations Framework Convention on Climate Change  
The UNFCCC does not have provisions that directly restrict trad e, 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, particularly 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 discrimination or a 
disguised 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 fol lowing:  
(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 lon ger-term trends in anthropogenic emissions 
consistent with the objective of the Convention, recognizing that the return by the end of the present decade to earlier leve ls of anthropogenic 
emissions of carbon dioxide and other greenhouse gases not controlle d by the Montreal Protocol 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 technologies 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 imple ment such policies 
and measures joint ly 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 measures to mitigate climate change.  
13.2.2   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 A rticle 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 ec onomy;  
(ii) Protection and enhancement of sinks and reservoirs of greenhouse gases not controlled by the Montreal Protocol, taking i nto account 
its commitments under relevant international environmental agreements; promotion of sustainable forest manageme nt 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 
sequestration technologies and of advanced and innovative environmentally sound technologies;  
(v) Progressive reduction or phasing out of market imperfections, fiscal incentives, tax and duty exemptions and subsidies in  all 
greenhouse gas emitting  sectors that run counter to the objective of the Convention and application of market instruments;  
(vi) Encouragement of appropriate reforms in relevant sectors aimed at promoting policies and measures which limit or reduce emissions 
of greenhouse gases not controlled by the Montreal Protocol;  
(vii) Measures to limit 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 production, 
transport and distribution of energy.  
(b) Cooperate with other such Parties to enhance the individual and combined effectiveness of their policies and measures ado pted under this  
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- 143 - Article, pursuant to Art icle 4, paragraph 2(e)(i), of the Convention.  To this end, these 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 
effect iveness. The [CMP] to this Protocol shall, at its first session or as soon as practicable thereafter, consider ways to facili tate 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 Partie s included in Annex I shall strive to implement policies and measures 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 econo mic impacts on other 
Parties, especially developing country Parties and in particular those identified in Article 4, paragraphs 8 and 9, of the Co nvention, taking into 
account Article 3 of the Convention. The [CMP] to this Protocol may take further action, as a ppropriate, to promote the implementation of the 
provisions of this 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 na tional 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 devel oping countries to achieve 
sustainable development, contribute 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 Pri nciples, nature and scope of the mechanisms pursuant to Articles 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 and procedures for the CDM as defined in Article 12 of the Kyoto Protocol are contained in the annex to decision 3 1/CMP.1 of the CMP  
of Kyoto Protocol.  
-  Modalities, rules and guidelines for emission s trading under Article 17 of the Kyoto Protocol are contained in the annex to decision 11/CMP.1 
of the CMP  of the Kyoto Protocol.  
13.2.3   Paris Agreement14 
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 the 
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 developme nt and ensure environmental integrity and transparency, 
including in governance, and shall apply robust accounting to ensure, inter alia, the avoidance of double counting, consisten t with guidance adopted 
                                                
14 The Paris Agreement  was adopted through Decision 1/CP.21 . The Decision also includes a number of requests / mandate s. The status of these requests can be tracked 
here: http://unfccc.int/files/paris_agreement/application/pdf/pa_progress_tracker_200617.pdf .  
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- 144 - by the Conference of the Parties serving as the mee ting of the Parties to this Agreement.  
3. The use of internationally transferred mitigation outcomes to achieve nationally determined contributions under this Agree ment shall be 
voluntary and authorized by participating Parties.  
4. A mechanism to contrib ute to the mitigation of greenhouse gas emissions and support sustainable development is hereby established under the 
authority and guidance of the Conference of the Parties serving as the meeting of the Parties to this Agreement for use by Pa rties on a vo luntary 
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 develo pment;  
(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 miti gation 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 r eferred to in paragraph 4 of this Article shall not be used to demonstrate achievement of the 
host Party's nationally determined contribution if used by another Party to demonstrate achievement of its nationally determi ned contribution.  
6. The Conference o f the Parties serving as the meeting of the Parties to this Agreement shall ensure that a share of the proceeds from activiti es 
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 Parties serving as the meeting of the Parties to this Agreement shall adopt rules, modalities and pr ocedures for the 
mechanism referred to in paragraph 4 of this Article at its first session.  
8. Parties recognize the importance of integrated, holistic and balanced non -market approaches being available to Parties to assist in the 
implementation of their n ationally determined contributions, in the context of sustainable development and poverty eradication, in a coordinated 
and effective manner, including through, inter alia, mitigation, adaptation, finance, technology transfer and capacity buildi ng, as appr opriate. 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 i nstruments and relevant institutional arrangements.  
9. A framework for non -market approaches to sustainable development is hereby defined to promote 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 
climate change and to reduce greenhouse gas emissions.  
2. Parties, noting the importance of technology for the implementation of mitigat ion and adaptation actions under this Agreement and recognizing 
existing technology deployment and dissemination efforts, shall strengthen cooperative action on technology development and t ransfer.  
3. The Technology Mechanism established under the Conventi on 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 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 promoti ng 
economic growth and sustainable development. Such effort shall be, as appropriate, supported, including by the Technology Mec hanism and, 
through financial means, 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 technology cycle, to developing country Parties.  
6. Support, including financial support, shall be provided to developing country Parties for the implementation of th is Article, including for 
strengthening cooperative action on technology development and transfer at different stages of the technology cycle, with a v iew to achieving a 
balance between support for mitigation and adaptation. The global stocktake referred t o in Article 14 shall take into account available information 
on efforts related to support on technology development and transfer for developing country Parties."  
  
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- 145 - 13.3  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 parag raph 1 of this Article and that 
are agreed between a developing country Party and the international entity or entities referred to in Article 11, in accordan ce with that Article. The implementation of these 
commitments shall take into account the need for adequacy and predictability in the flow of funds and the importance of 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 countr y Parties 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, facilitate and finance, as appropriate, the 
transfer of, or access to, environmentally sound technologies and know -how to other Parties, particularly developing country Parties, to enable them to implement the provisions 
of the Convention. In t his process, the developed country Parties shall support the development and enhancement of endogenous capacities and technol ogies of developing 
country Parties. Other Parties and organizations in a position to do so may also assist in facilitating the tra nsfer of such technologies …  
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 Convent ion related to financial 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 Convent ion, including actions 
related to funding, insurance and the transfer of technology, to meet the specific needs and concerns of dev eloping country Parties 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 Parties" (CGE) helps developing 
countries prepare national reports on climate change issues. A Least Developed Country Expert Group (LEG) advises such nation s on establishing programmes for adapting to 
climate change and an Expert Group on Technology Transfer (EGTT) enhances technology transfer activities under the Convention.  
 
 At CoP 16, the C oP affirmed that  capacity -building is essential to enable developing country Parties to participate fully in, and to implement effectively, their co mmitments 
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 coherent 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 c ountries.".  
Article 11 – Financial Mechanism  
 Establishes a financial mechanism (the GEF) to provide financial resources, including for the transfer of technology.  The C oP entrusted the operation of the financial mechanism 
to the GEF.  
 GEF covers the dif ference (or "increment") between the costs of a project undertaken with global environmental objectives in mind, and the cost s of an alternative project that 
the country would have implemented in the absence of global environmental concerns.  
  Further fi nancial resources are provided for in the Special Climate Change Fund (SCCF) and the Least Developed Countries Fund (LDCF). T he SCCF will finance projects 
relating to adaptation; technology transfer and capacity building; energy, transport, industry, agric ulture, 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, Nove mber/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.  
In deci sion 9/CP.9, the C oP decided to complete a first comprehensive review of the capacity building framework for developing countries by its tenth s ession, and to conduct 
further comprehensive reviews every five years thereafter. The results of the first compr ehensive 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 C oP noted that significant gaps still needed to be filled and ac cess  
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- 146 - to financial resources to be addressed. The C oP reiterated the relevance of the frameworks contained in decisions 2/CP.7 and 3/CP.7 and identified key factors to be taken into 
account by the GEF (as an operating entity of the financial mechanism) when  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 C oP 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 C oP postponed to its sixteenth session (Cancun, November -December 2010) the review that should have initially been initiated at SBI 28 
(June 2008) with a vi ew to completing it at C oP 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 Economic, 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 clima te 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 re ceived to implement mitigation and adaptation 
measures in the key sectors selected and identifying appropriate financial and regulatory instruments to support these measures, and in r aising awareness and facilitating 
informed consensus among government agencies on the policy actions required to mobilize finance a nd investment in mitigation and adaptation measures. E leven  countries have 
availed of technical assistance from the secretariat to conduct financial needs assessments as part of this project.  
 At CoP 16, the C oP took note of the collective commitment by d eveloped countries to provide new and additional resources, including forestry and investments through 
international institutions, approaching USD 30 billion for the perio d 2010 -2012, with a balanced allocation between adaptation and mitigation; funding fo r adaptation will be 
prioritized for the most vulnerable developing countries, such as the least developed countries, small island developing Stat es and Africa. It re cognized  that developed country 
Parties commit, in the context of meaningful mitigation ac tions and transparency on implementation, to a goal of mobilizing jointly 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 mechanis m of the Convention  under Article 11 to support projects, programmes, 
policies and other activities in developing country Parties. The Fund, supported by an independent secretariat, shall be gove rned by a board of 24 members comprising an equal 
number of m embers from developing and developed country Parties. The World Bank has been invited to serve as the interim trustee of the Green Climate Fund. A Transitional 
Committee will design the Green Climate Fund.  
A Standing Committee  under the C oP will assist th e CoP in exercising its functions with respect to the financial mechanism of the Convention in terms of improving coherence and 
coordination in the delivery of climate change financing, rationalization of the financial mechanism, mobilization of financi al resources and measurement, reporting and 
verification of support provided to developing country Parties; Parties agree d to further define the roles and funct ions of this Standing 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 modalities. Part ies 
agreed the Committee will report and make recommendations to the C oP, for its consideration, at each ordinary session of the CO P 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 i ssues related to climate technology development and transfer. It analyzes key climate technology policy issues and 
provides recommendations which support countries to enhance climate efforts. The CTCN is the implementati on arm of the mechanism and it sup ports country efforts to enhance 
the implementation of climate technology projects and programmes. It has three core services: (1) providing technical assista nce 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. C oP 18 also agreed on the constitutio n of the Advisory Board to the CTCN, thereby making the Technology 
Mechanism fully operational. The modalities and procedures of the CTCN and its Advisory Board were adopted at COP 19. C oP 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 Agree ments and the Durban 
Outcomes.  
 
Kyoto Protocol to the United Nations Framework Convention on Climate Change  
 
Article 11  
"... 2.  In the context of the implementation of Article 4, paragraph 1, of the Convention, in accordance with the provisions 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 country 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 i n advancing the implementation of existing  
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- 147 - commitments under Article 4, paragraph 1(a), of the Convention that 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 existing commitments under Article 4, paragraph 1, of the Convention that are covered by Arti cle 10 and that are agreed between a 
developing country  Party and the international entity or entities referred to in Article 11 of the Convention, in accordance with 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 entity 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 cou ntry 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 authority and guidance of the Conference of 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, action and support, including through the Warsaw International Mechanism, as appropr iate, on a cooperative and facilitative basis with 
respect to loss and damage associ ated 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 miti gation and adaptation in continuation of their existing 
obligations u nder 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 o f 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 mobilizatio n of climate finance should 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 developing country Parties, especially those that are particularly vulnerable to the adverse effects of cli mate change and have significant capacity 
constraints, such as the least developed countries and small island developing States, co nsidering 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, projected levels of public financial resources to be provided to developing country Parties. Other Parties prov iding resources are encouraged to communicate 
biennially such information on a voluntary basis.  
6. The global stocktake referred to  in Article 14 shall take 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 suppo rt for developing country 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 Agree ment, at 
its first session, 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 devel oping country Parties, in particular for the least developed countries and small island developing 
States, in the context of their national climate strategies and plans. "  
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 climate change and to reduce 
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  
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- 148 - and dissemination efforts, shall strengthen cooperative 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 Mechanism in promoting and faci litating enhanced action on 
technology development and transfer in order to support the implementation of this Agreement, in pursu it 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 means, by the  Financial Mechanism of the 
Convention, for collaborative approaches to research and development, and facilitating access to techno logy, in particular for early stages of the technology cycle, to developing 
country Parties.  
6. Support, including financial support, shall be provided to developing country Parties for the implementation of this Artic le, including for strengthening coope rative 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 avail able information on efforts related to support on technology development and transfer for developing country 
Parties. " 
 
Article 11  
"5. Capacity -building activities shall be enhanced through appropriate institutional arrangements to support the implementati on of this Agreement, including the appropriate 
institutional arrangements established under the Convention that serve this Agreement. The Conference of the Parties serving as the meeting of the Parties to this Agreement 
shall, at its first session, consid er and adopt a decision on the initial institutional arrangements for capacity -building. " 
 
13.4  Non-Compliance Mechanism  
United Nations Framework Convention on Climate Change  
 
Article 13 – Resolution of Questions Regarding Implementation  
"The [C oP] shall, at i ts first session, consider the establishment of a multilateral consultative process, available to Parties on their request, f or the resolution of questions 
regarding the implementation of the Convention".  
 Pursuant to Article 13, C oP 4 considered the esta blishment 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 multilateral 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 effec tive 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 application to this Protocol of, and modify as ap propriate, 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 [C oP]. Any multilateral consultative process that may be applied to this Protocol shall 
operate wi thout prejudice to the procedures and mechanisms established in accordance with Article 18".  
Article 18  
"The [CMP] to this Protocol shall, at its first session, approve appropriate and effective procedures and mechanisms to deter mine and to address cases  of non -compliance with the  
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- 149 - 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 Ky oto Protocol: The Compliance Committ ee 
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 between a Party and an expert review team, the 
enforcement branch shall determine whether to apply adjustments to greenhouse gas inventories or to cor rect the compilation and accounting database for the accounting of 
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 faci litation to Parties in implementing the Protocol and to promote compliance by Parties with their commitments.  
It is responsible for addressing questions of implementation relating to response measures taken by Annex I Parties aimed at mitigating climate c hange 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 commitments 
on reporting supplementary information in a Party’s annual inventory.  
More information  on the Compliance Committee, including on questi ons of implementation that have been referred to it, is available at: 
http://unfccc.int/kyoto_protocol/compliance/items/2875.php . 
 
Paris Agreement  
 
Article 15  
"1. A mechanism to fa cilitate implementation of and promote compliance with the provisions of this Agreement is hereby established.  
2. The mechanism referred to in paragraph 1 of this Article shall consist of a committee that shall be expert -based and facilitative in nature a nd function in a manner that is 
transparent, non -adversarial and non -punitive. The committee shall pay particular attention to the respective national capabilities and circumstances of Parties.  
3. The committee shall operate under the modalities and proce dures adopted by the Conference of the Parties serving as the meeting 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."  
13.5  Dispute Settlement M echanism  
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 se ek 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 Convention, or at any time thereafter, a Party which is not a regiona l economic integration organ ization may 
declare in a written instrument submitted to the Depositary that, in respect of any dispute concerning the interpretation or application of the Convention, 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 integ ration organization may make a declaration with like effect in relation to arbitration in accordance with the procedures refe rred to in 
subparagraph (b) above. [...] 
5. Subject to the operation of paragraph 2 above, if after twelve months following notific ation by one Party to another that a dispute exists between them, the Parties 
concerned have not been able to settle their dispute through the means mentioned in paragraph 1 above, the dispute shall be s ubmitted, 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 of an equal number of members 
appointed by each party concerned and a chairman chosen jointly b y the members appointed by each party. The commission shall render a recommendatory award, which the 
parties shall consider in good faith.   
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- 150 - 7. Additional procedures 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 p rovisions 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. " 
13.6  Provisions for Non -Parties  
No provisions.  
 
14  BASEL CONVENTION ON THE CONTROL OF TRANS BOUNDARY MOVEMENTS O F HAZARDOUS WASTES A ND THEIR DISPOSAL  
14.1  Brief Description of the MEA  
 Basel Convention on the Control of Transboundary Movements  
of Hazardou s Wastes and their Disposal  Basel Protocol on Liability and Compensation for Damage 
Resulting from Transboundary Movements of Hazardous Wastes 
and their Disposal  
Web site  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 w astes.  
 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 manag ement 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 and 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 
regardless 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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- 151 -  Basel Convention on the Control of Transboundary Movements  
of Hazardou s 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  186 (as of 31 August 2017)  11 (as of 31 August 2017).  
WTO Members  155 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, Fo rmal Confirmation or Approval  
"1. This Convention shall be subject to ratification, 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 un der the Convention. In the case of such 
organizations, one or more of whose member 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 not 
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/o r 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 th e 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 organ izations. Instruments of 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 be ing 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 responsi bilities for the 
performance 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 States 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 1 5 – Conference of the Parties  
"... 5. The Conference of the Parties (C oP) shall keep under continuous review 
and evaluation the effective implementation of this Convention, and, in 
addition, shall:  
(a) Promote the harmonization of appropriate policies, st rategies 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 , available scienti fic, 
technical, economic and environmental information;  
(c) Consider and undertake any additional action that may be required for Article 24 – Meeting of the Parties  
"4. The functions of the Meeting of the Parties (M oP) shall be:  
(a) To review the implementation of and compliance with the 
Protocol;  
(b) To provide for reporting and establish guidelines and 
procedures for such reporti ng 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 purposes of the Protocol".   
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- 152 -  Basel Convention on the Control of Transboundary Movements  
of Hazardou s Wastes and their Disposal  Basel Protocol on Liability and Compensation for Damage 
Resulting from Transboundary Movements of Hazardous Wastes 
and their Disposal  
the achievement of the purposes of this Convention in the light of 
experience gained in its operation and in the operation of the agreements 
and arrangements envisaged in Article 11;  
(d) Consider and adopt protocols as required; and  
(e) Establish such subsidiary bodies as are deemed necessary for the 
implementation of this Convention ...  
7. The C oP shall undertake three years aft er the entry into force of this 
Convention, and at least every six years thereafter, an evaluation of its 
effectiveness and, if deemed necessary, to consider the adoption of a complete 
or partial ban of transboundary movements of hazardous wastes and other  
wastes in light of the latest scientific, environmental, technical and economic 
information".  
 The C oP is the governing body of the Convention and is composed of the 
representatives of the Parties.  
 The Expanded Bureau is a subsidiary body to the C oP composed of 13 
representatives of all the regions. It meets between the meetings of the C oP to 
orientate the work of the Secretariat; provide advice for the preparation of 
meeting agendas and any other matters raised by the Secretariat.  
 The Open-ended Work ing Group is a subsidiary body to the C oP and its 
mandate is to assist the C oP in the implementation of the Convention and 
consider and advise the C oP on issues relating to policy, technical, scientific, 
legal, institutional, administrative, financial, bud getary 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 C oP 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 obligations 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 r esulting 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 protocol may propose amendments to that protoc ol. 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 Article 22 – Relationship of the Protocol with the Basel 
Convention  
"Except as otherwise provided in the Protocol, the provisions of the 
Convention re lating to its Protocols shall apply to the Protocol".   
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- 153 -  Basel Convention on the Control of Transboundary Movements  
of Hazardou s Wastes and their Disposal  Basel Protocol on Liability and Compensation for Damage 
Resulting from Transboundary Movements of Hazardous Wastes 
and their Disposal  
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 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 ef forts 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 apply to 
amendments to any protocol, except that a two -thirds majority of the Parties 
to that protocol present and voting at the meeting shall suff ice for their 
adoption.  
5.   ... Amendments adopted in accordance with paragraphs 3 or 4 above 
shall enter into force between Parties having accepted them on the ninetieth 
day after the receipt by the Depositary of their instrument of ratification, 
approva l, formal confirmation or acceptance by at least three -fourths of the 
Parties who accepted them or by at least two -thirds of the Parties to the 
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 ratification, 
approval, formal confirmation or acceptance of the amendments.  
6. For the purpose of this Article, "Parties present and voting" means 
Parties present and casting an affirmative or negative vote".  
 The Ban Amendment was adopted on 22 September 1995. 92 Parties ( 91 
States and one regional economic integration org anisation ) have ratified the 
Amendment. Entry into force of the amendment will ta ke place 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 cou ntries, of hazardous wastes 
intended for final disposal, and to prohibit transboundary movements from 
Annex VII to non -Annex VII countries of hazardous wastes intended 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  
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- 154 -  Basel Convention on the Control of Transboundary Movements  
of Hazardou s Wastes and their Disposal  Basel Protocol on Liability and Compensation for Damage 
Resulting from Transboundary Movements of Hazardous Wastes 
and their Disposal  
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 Annex IX includes wastes that are not covered by Article 
1, paragraph 1(a), unle ss they contain Annex I material to an extent 
causing them to exhibit an Annex III characteristic.  
 Amendment 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 internat ional lists and incorporate changes in accordance with 
scientific and technical advances.  
 CoP-7 adopted further 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 elevent h meeting in 2013, the C oP adopted amendments to Annex 
IX of the Basel Convention adding two new entries.  
14.2  Trade -related Measures  
14.2.1   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 Convention:  
(a) Wastes that belong to any category contained in Annex I, unless they do not possess any of the characteristics contained in A nnex III; and  
(b) Wastes that are not covered under paragraph (a) but are defined as, or are considered to be , hazardous wastes by the domestic 
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 w astes, other 
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 provide d pursuant to 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 para graph 3 available to their 
exporters".  
Article 4  
General Obligations  "1. (a) Parties exercising their right to prohibit the import of hazardous wastes or other wastes for disposal shall inform the o ther Parties of their            
        decision pursuan t to Article 13.  
(b) Parties shall prohibit or shall not permit the export of hazardous wastes and other wastes to the Parties which have proh ibited 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 ap propriate measures to:   
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- 155 - (a) Ensure that the generation of hazardous wastes and other wastes within it is reduced to a minimum, taking into account so cial, 
technological and economic aspects;  
(b) Ensure the availability of adequate disposal facilities, for t he 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;  ... 
   (d) Ensure that the transboundary  movement of hazardous wastes and other wastes  is reduced to the minimum consistent with the 
environmentally sound and efficient management of such wastes, and is conducted in a manner which will protect human health a nd the 
environment against the adverse effects which may result from such movement;  
(e) Not allow the export of hazardous wastes or other wastes to a State or group of States belonging to an economic and/or po litical 
integration organization that are Parties, particularly developing countries, which have prohibited by their legislation al l 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 t o be decided on 
by the Parties at their first meeting.  
(f) Require that information about a proposed transb oundary 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 o ther 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 and 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 hazardo us 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 waste s 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 u nless such persons 
are authorized or allowed to perform such types of operations;  
(b) Require that hazardous wastes and other wastes that are to be the subject of a transboundary movement be packaged, labell ed, and 
transported in conformity with generally accepted and recognized international rules and standard s 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 transb oundary 
movement commences to the point of disposal.  
8. Each Party shall require that hazardous wastes or other wastes, to be exported, are managed in an environmentally sound manne r in the 
State of import or elsewhere. Technical guidelines for the environ mentally sound management of wastes subject to this Convention 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 necessary facilities, capacity or suitable disposal site s in order to dispose 
of the wastes in question in an environmentally sound and efficient manner; or  
(b) The wastes in que stion are required as a raw material for recycling or recovery industries in the State of import; or  
(c) The transboundary movement in question is in accordance with other criteria to be decided by the Parties, provided those criteria do not 
differ from th e objectives of this Convention.  
10. The obligation under this Convention of States 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 tran sferred to the States of import or transit.  
11. Nothing in this Convention shall prevent a Party from imposing additional requirements that are consistent with the provision s of this 
Convention, and are in accordance with the rules of international law, in  order better to protect human health and the environment.  
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 jurisd iction 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 a s provided for in  
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- 156 - international law and  as reflected in relevant international instruments …".  
Article 5  
Designation of 
Competent Authorities 
and Focal Point  "To facilitate the implementation of this Convention, the Parties shall:  
1. Designate or establish one or more competent authorities an d 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 movements of hazardous 
wastes shall take place.  
"1. The State of export shall notify, or shall require the generator or exporter to notify, in writing, through the channel of th e competent 
authority of the State of e xport, the competent authority of the States concerned of any proposed transboundary movement of hazardous wastes 
or other wastes. Such notification shall contain the declarations and information specified in Annex V A, written in a langua ge 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 competent 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 State 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 receipt of the notification. It may subsequ ently respond to 
the notifier in writin g, within 60 days, consenting to the movement with or without conditions, denying permission for the movement, or requesting 
additional information. The State of export shall not allow the transboundary movement to commence until it has received the writte n consent of 
the State of transit.  However, if at any time a Party decides not to require prior written consent, either generally or unde r specific conditions, for 
transit transboundary movements of hazardous wastes or other wastes, or modifies its requir ements in this respect, it shall forthwith inform 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 or considered to be hazardous waste s only:  
(a) By the State of export, the requ irements of paragraph 9 of this Article that apply to the importer or disposer and the State of import shall 
apply mutatis mutandis  to the exporter and State of export, respectively;  
(b) By the State of import, or by the States of import and transit which are Parties, the requirements of paragraphs 1, 3, 4 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 exporter to use a  general 
notification where hazardous wastes or other wastes hav ing the same physical and chemical characteristics are shipped regularly to the same 
disposer via the same customs office of exit of the State of export via the same customs office of entry of the State of impo rt, 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 paragraph 6 subject  to the supply 
of certain information, such as the exact qua ntities 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 wast es 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 delivery or receipt of the wastes in question. They shall also require that the di sposer 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, o f the completion of 
disposal as specified in the notification. If no such information is received w ithin the State of export, the competent authority of the State of export 
or the exporter shall so notify the State of import.   
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- 157 - 10. The notification and response required by this Article shall be transmitted to the competent authority of the Parties concern ed or to such 
governmental authority as may be appropriate in the case of non -Parties.  
11. Any transboundary movement of hazardous wastes or other wastes shall be covered by insurance, bond or other guarantee as may be 
required by the State of import or an y 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 give n, subject to 
the provisions of this Convention, cannot be compl eted in accordance with the terms of the contract, the State of export shall ensure that the 
wastes in question are taken back into the State of export, by the exporter, if alternative arrangements cannot be made for t heir disposal in an 
environmentally so und 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 oppos e, hind er or prevent the 
return of those wastes 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 movemen t of hazardous wastes or other wastes:  
(a) without notification pursuant to the provisions of this Convention to all States concerned; or  
(b) without the consent pursuant to the provisions of this Convention of a State concerned; or  
(c) with consent obtain ed 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 expo rter 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 wit h 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 conce rned shall not 
oppose, hinder or pre vent 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 con duct on the part 
of the importer or disposer, the State of import shall ensure that the wastes in question are disposed of in an environmentally sound manner by the 
importer or disposer or, if necessary, by itself within 30 days from the time the illegal traffic has come to the attention o f the State of import or 
such other pe riod 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 assi gned either to the exporter or generator or to the importer or disposer, 
the Parties concerned or other Parties, as appropriate, shall ensure, through co -operation, that 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 prevent and punish illegal traffic. The Parties shall  co-operate with a 
view to achieving t he 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 management of hazardous wastes and other wastes, including harmonization of technical standards and practices for t he adequate 
management of hazardous wastes and other wastes;  
(b)  Co-operate in monitoring the effects of the management of hazardous wastes on human health and the environment;  
(c)  Co-operate, subject to their national laws, regulations and policies, in the development and implementation of new environmentally 
sound low -waste technologies and the improvement of existing technologies with a view to eliminating, as far as practicable, the genera tion of 
hazardous wastes and other wastes and achieving more ef fective and efficient methods of ensuring their management in an environmentally 
sound manner, including the study of the economic, social and environmental effects of the adoption of such new or improved t echnologies;  
(d)  Co-operate actively, subject to their national laws, regulations and policies, in the transfer of technology and management systems  
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- 158 - 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; … 
14.2.2   Decisions of the Conference of Parties  
The following are examples of trade -related decisions adopted at meetings of the C oP of the Basel Convention:  
CoP-2 
Geneva, 1 994  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 question 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 o f 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 decision could 
then be made as to whether to close Annex VII or to have open criteria. This issue was raised again at C oP-5.  
 Annexes VIII and IX of the Convention, adopted at C oP-4, clarify what is and what is not considered to be h azardous waste. Non -hazardous 
material is listed in Annex IX (list B) wastes. Many of the recyclable materials such as copper, zinc (and their products) an d other precious metals 
are in Annex IX and are not considered hazardous unless they have been contam inated. Further clarification is needed for some wastes, such as 
lead acid and zinc ashes (as these would be considered hazardous waste under Basel).  
CoP -5 
Basel, 1999   At CoP-5, the Basel Declaration on Environmentally Sound Management was adopted. Th is Declaration outlines the activities to be 
undertaken to achieve the objectives of the practical implementation of environmentally sound management: prevention, minimiz ation, recycling, 
recovery and disposal of wastes subject to the Convention.   
CoP -6 
Geneva, 2002   At CoP-6, Decision VI/30 was adopted by the C oP on the Cooperation with the WTO:  
"... 1. Requests the secretariat of the Basel 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 p rovisions of the 
Basel Conv ention, to consult with the Parties to the Basel Convention before providing that information. If the Secretariat of the Base l Convention 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 C oP-7 adopted a ministerial statement on partnerships for meeting the global waste challenge which sets out strategies for mobilizi ng 
additional resources to address hazardous wastes. The statement calls for strengthening partnerships with industries and other international 
organizations and agreements, in particular the Rotterdam Convention on Trade in Hazardous Chemicals and Pesticides and the S tockholm 
Convention on Persistent Organic Pollutants. It also encourages gover nments to consider setting their own individual or regional targets for 
minimizing wastes. Decisions VII/2 on Hazardous Waste Minimization, VII/3 Basel Convention Partnership Programme and VII/4 Mo bile Phone 
Partnership Initiative were adopted to meet the global waste challenge.  
 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 cr itical areas for the effective implementation of the Basel 
Convention, its protocol and amendments with relevant organizations, including the following: ... (j) the WTO; …"   
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- 159 - CoP -8 
Nairobi, 2006   CoP-8 adopted the Nairobi Ministerial declaration on the en vironmentally sound management of electronic and electrical waste which 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 also addresses the combating and prevention of illegal traffic in e -waste, and encourages national, regional and global comprehensive 
action s 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 mandate s the Open -ended 
Working Group to develop a work plan on the environmentally sound management of e -waste, focussing on the needs of developing countries and 
countries with economies in transition. The decision, inter alia, urges Parties to collaborate in t he prevention and combating of illegal traffic through 
information exchange; tracking and early warning systems; capacity -building, particularly strengthening institutional mechanisms; legal 
frameworks; and control activities. It also requests Parties to e nsure that donated electronic and electrical equipment that is the subject of 
transboundary movement is not end -of-life equipment. Reports on progress in the implementation of the decision will be made to C oP-9. 
 CoP 8 adopted a decision requesting the Se cretariat to further strengthen cooperation and coordination with other international and regional 
organizations and multilateral environmental agreements in areas of relevance to the Basel Convention, including the WTO. Mor eover, the same 
decision request ed the Secretariat to seek observer status with the Committee on Trade and Environment of the WTO and to advise the Parties t o 
the Convention when the request has been submitted to, and granted by, the WTO.  
 With respect to the interpretation of article 1 7, paragraph 5, of the Convention, which provides for the entry into force of amendments to the 
Convention, C oP 8 mandated the Open -ended Working Group to begin work on addressing the issue of interpretation, and to develop a draft 
decision to reach an agr eed interpretation, of article 17, paragraph 5, in accordance with international law for consideration by COP -9. It is noted 
that the entry into force of the amendment contained in decision III/1, adopted by C oP-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, C oP-8 provisionally adopted a guidance document on the 
environmentally sound management of used and end -of-life mobile phones as a voluntary docume nt, and invited Parties to use and test the 
guidance document, and five guidelines produced under the Mobile Phone Partnership Initiative which had worked during the bie nnium 2005 -2006. 
The guidance document addresses, inter alia, the transboundary movemen t 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 inte rnational and regional organizations and programmes, to:  
(b) Strengthen subregional and regional cooperat ion on waste and health issues ... 
(c) Improve waste shipment and border controls to prevent illegal movement s of hazardous and other wastes ... 
(d) Im prove cooperation between national authorities in the waste, chemicals and health sectors and, in collaboration with other re levant 
authorities and stakeholders, in the development and implementation of effective and sound waste management systems;  
(e) Inc rease 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 C oP-9 agreed that the Secretariat should take note of the request of revising the draft technical guidelines 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 C oP-9 adopted a decision (IX/26) invi ting 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 r esulted in the 
adoption of an omnibus decision (BC Ex -1/1), on the following thematic areas:  
 
(a) Joint activitie s; 
(b) Joint managerial functions;  
(c) Joint services;  
(d) Synchronization of budget cycles;  
(e) Joint audits;  
(f) Review arrangements .  
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- 160 - The implementation of the omnibus decisions will be reviewed by the respective Conferences of the Parties in 2011. C oP-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 / C oP-11 / 
High Level Segme nt, 
Geneva, 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 decis ions", 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 transboun dary movements of 
electronic 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), w hich aims at preventing and combating illegal traffic in 
hazardous wastes and other wastes by means of the better implementation and enforcement of national law. They pledged to deep en cooperation 
and collaboration as part of a broader effort to raise the profile of chemicals and 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 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 fi nancing options for chemicals and wastes that has considered the need for heightened efforts to increase the 
priority granted to the sound management of chemicals and wastes. It also welcomed the completion of the negotiation of a glo bal legally binding 
instrument on mercury, called for wider cooperation  and expressed their interest and signalled 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 it s twelfth meeting, adopted 25 decisions, in particular on:  e-waste technical guidelines, 
of seven POPs wastes technical guidelines, and of updated technic al guidelines on mercury wastes, the follow -up to the Indonesian -Swiss country -
led initiative, nationa l 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 number of important decisions, in p articular 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.  
14.3  Supportive measures  
 UNEP admin isters 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;  
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 stakehold ers. The Secretariat 
also plays a facilitative role between donors, recipients and implementing agencies. With the adoption of the Basel Declarati on on Environmentally Sound Management in 1999, 
efforts increased to assist Parties to minimize generation of hazardous and other wastes and to 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 o f 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 Framework 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  
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- 161 - countries with economies in transition in cases of emergency and compensation for damage resulting from incidents arising from th e transboundary movements of hazardous 
wastes or other wastes and their disposal. At COP6, the Parties adopted guidelines for the i nterim emergency 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 waste 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 wastes.  
 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.  Severa l 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 s cope 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 t he 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 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 Co P-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:  
 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 r egional centres, FAO offices, UNEP and other IOMC organizations;  
 Approved  the synchronised budgets for all three conventions for 2018 -2019 and invited the Executive Secretary to continue cooperating with the interim secretariat of the 
Minamata Convention o n programmatic matters and to provide any secretariat support that may be requested and is fully funded by the C oP to the Minamata 
Convention;  
 Established an intersessional group to conduct the final evaluation of the strategic framework on the implementa tion of the Convention for 2012 -2021;  
 Adopted 6 updated or new technical guidelines on POPs wastes.  
 
14.4  Non-compliance mechanism  
 At CoP-6, Parties adopted a decision on the compliance mechanism which sets out a Mechanism for Promoting Implementation and C ompliance. The Mechanism is a 
non-confrontational, flexible and non -binding tool that aims at preventing and solving problems.  It will be administered by a Committee composed of 15 members ref lecting an 
equitable geographic representation of the five UN r egional groups. Submissions to the Committee may be made by: a Party regarding itself; one Party regarding another Party;  
or the Secretariat. Submissions regarding 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 support;  elaboration of voluntary compliance action plans;  
and/or follow -up arrangements. The Committ ee may also review general issues of compliance and implementation of the Convention, and may recommend that the COP take  
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- 162 - 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 Convention, 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 of a national 
legislation checklist, aimed at assisting Parties to ensure that they have appropr iate implementing legislation in place.  
  The results of the implementation of the work programme f or 2005 -2006 were reported to CoP -8. Co P-8 approved the work programme for the Compliance Committee for 
2007-2008 which, under the general review power, inv olved (a) further work on the national reporting, with a view to providing guidance on how national reporting could be 
improved, given that it underpins the operation of the Convention, and (v) work on the issue of illegal traffic.  
 At Co P-9, Parties appr oved 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 consi deration 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 w ell as the implementation of and compliance with specific obligations under articles 3 (national definition of hazardous wast es) 4, (general obligations), 
5 (designation of Competent Authorities and Focal Point) and 6 (transboundary movements between Parti es). 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 repor ting. 
 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 Co P-12, Parties approved the Committee’s work programme for 2016 -2017.  
 At CoP -13, Parties approved the Committee's work programme for 2017 -2018; and adopted guidance on implementation of the Convention provisions dealing with illegal 
traffic.  
14.5  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 protocol thereto, they shall seek a settlement of 
the dispute through negotiation or any other peaceful means of their own choice.  
2. If the Parties concerned cannot settle their dispute through the means mentioned in the preceding paragraph, the dispute, if the Parties to the dispute agree, shall be 
submitted to the [ICJ] or to arbitration under the conditions set out in Annex VI on Arbitration. However, failure to reach c ommon 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 political and/or economic integration 
organization may declare that it recognizes as compulsory ipso facto and without special agreement, in relation to any Party accepting the same obligation:  
(a) submission  of the disp ute 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 metho d (Annex VI), the tribunal is to draw up its own rules of procedure and render its decision in accordance with international law 
and with the provisions of the Convention. It may take all appropriate measures to establish the facts of the dispute and sha ll 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.  
14.6  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 – Transboundary Movement from a Party through States which are not Parties  
"Paragraph 1 of Article 6 of the Convention s hall 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   
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- 163 - "1. Notwithstanding the provisions of Arti cle 4 paragraph 5, Parties may enter into bilateral, multilateral, or regional agreements or arrangements regarding transboun dary 
movement of hazardous wastes or other wastes with Parties or non -Parties provided that such agreements or arrangements do not derogate from the environmentally 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 Con vention in particular taking into account the interests of developing countries.  
2. Parties shall notify the Secretariat of any bilateral, multilateral or regional agreements or arrangements referred to in par agraph 1 and those which they have entered into  
prior to the entry into force of this Convention for them, for the purpose of controlling transboundary movements of hazardou s wastes and other wastes which take place entirely 
among the Parties to such agreements. The provisions of this Convention shall not affect transboundary movements which take place 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 conse nt to transboundary  movements with non -parties provided the provisions in the Convention are met.  
15  ROTTERDAM CONVENTION  ON THE PRIOR INFORME D CONSENT PROCEDURE FOR CERTAIN HAZARDOU S CHEMICALS AND PEST ICIDES IN 
INTERNATIONAL TRADE  
15.1  Brief Description of the M EA 
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 c ooperative 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 the ir environmentally sound 
use, by facilitating information exchange a bout 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  158 (as of 31 August  2017).  
WTO Members  142 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 ratification, acceptance or approval by St ates 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 
signature. Instruments of ratification, a cceptance, 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 th e 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 C onvention. 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] shal l 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 b odies, as it considers necessary for the implementation of the 
Convention;   
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- 164 - (b) Cooperate, where appropriate, with competent international organizations and intergovernmental and non -governmental bodies; and  
(c) Consider and undertake any additional action that may be required for the achievement of the objectives of the Convention.  
6. The [C oP] shall, at its first meeting, establish a subsidiary body, to be called  the Chemical Review Committee , for the purposes of performing 
the functions assigned to that C ommittee 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 experts in chemicals management. The membe rs 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 Commi ttee; 
(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 resort be adopted by a two -thirds majority vote of the members present and voting".  
 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 preventing 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 [ CoP]. 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 Secretariat shall  also communicate the 
proposed amendment to the signatories t o 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 a mendment 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 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 wit h 
paragraph 3 shall enter into force for the Parties having accepted it on the ninetieth day after the date of deposit of instr uments of ratification, 
acceptance or approval by at least three fourths of the Parties. Thereafter, the amendment shall enter into force for any oth er Party on the ninetieth day 
after the date on which that Party deposits its instrument of ratification, acce ptance 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, fifth , sixth, seventh and eight meetings, the C oP further amended Annex III to add new chemicals subject to the prior informed 
consent procedure  
 
15.2  Trade -related Measures  
15.2.1   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 develop ment,  
Emphasizing that nothing in this Convention shall be interpreted as i mplying in any way a change in the rights and obligations of a Party under any 
existing international agreement applying to chemicals in international trade or to environmental protection,  
Understanding that the above recital is not intended to create a hi erarchy between this Convention and other international agreements,  
Determined to protect human health, including the health of consumers and workers, and the environment against potentially ha rmful impacts from 
certain hazardous chemicals and pesticides i n 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 Con sent, and ii) removal of 
chemicals from Annex III.   
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- 165 - 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 notificati on shall be made as 
soon as possible, and in any event no later than ninety days after  the date on which the final regulatory action has taken effect, 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 it s final regulatory actions in 
effect at that time, except that each Party that has submitted notifications of final regulatory actions under the Amended Lo ndon Guidelines or the 
International Code of Conduct need not resubmit those notifications.  
3. The Se cretariat shall, as soon as possible, and in any event no later than six months after receipt of a notification under paragra phs 1 and 2, 
verify whether the notification contains the information required by Annex I. If the notification contains the informa tion required, the Secretariat 
shall forthwith forward to all Parties a summary of the information received. If the notification does not contain the inform ation required, it shall 
inform the notifying Party accordingly.  
4. The Secretariat shall every six months communicate to the Parties a synopsis of the information received pursuant to paragraphs 1 and 2, 
including information regarding those notifications which do not contain all the information required by Annex I.  
5. When the Secretariat has received at least one notification from each of two Prior Informed Consent regions regarding a particular chemical 
that it has verified meet the requirements of Annex I, it shall forward them to the Chemical Review Committee. The compositio n of the Prior 
Informed C onsent regions shall be defined in a decision to be adopted by consensus at the first meeting of the [C oP]. 
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 [C oP] 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 hazar dous 
pesticide formulation in Annex III. In developing a proposal, the Party may draw upon technical expertise from any relevant s ource. The proposal 
shall contain the information required by part 1 of Annex IV.  
2. The Secretariat shall, as soon as possibl e, 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 requir ed, the Secretariat 
shall forthw ith forward to all Parties a summary of the information received. If the proposal does not contain the information required, it shall 
inform the proposing Party accordingly.  
3. The Secretariat shall collect the additional information set out in part 2 of A nnex IV regarding the proposal forwarded under paragraph  2. 
4. When the requirements of paragraphs 2 and 3 above have been fulfilled with regard to a particular severely hazardous pesticid e formulation, 
the Secretariat shall forward the proposal and the re lated information to the Chemical Review Committee.  
5. The Chemical Review Committee shall review the information provided in the proposal and the additional information collected and, in 
accordance with the criteria set out in part 3 o f Annex IV, recommen d to the [Co P] whether the severely hazardous pesticide formulation in 
question should be made subject to the Prior Informed Consent procedure and, accordingly, be listed in Annex III".  
Article 7  
Listing of Chemicals in 
Annex III  "1. For each chemical tha t 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 regul atory action applies.  
2. The recommendation referred  to in paragraph 1 together with the draft decision guidance document shall  be forwarded to the [C oP]. The 
[CoP] shall decide whether the chemical should be made subject to the Prior Informed Consent procedure and, accordingly, list th e 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 approved by the [C oP], 
the Secretariat shall forthwith communicate this information to all Parties".  
Article 8  
Chemicals in the Volun -
tary Prior Informed 
Conse nt 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 [C oP], the [C oP] shall decide at that meeting to list the chemic al in Annex III, provided that it is satisfied that all the 
requirements for listing in that Annex have been fulfilled".  
  
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- 166 - Article 9  
Removal of Chemicals 
from Annex III  "1. If a Party submits to the Secretariat information that was not available at the tim e of the decision to list a chemical in Annex 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 informatio n 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 c ase may be, Annex IV, to recommend for removal from 
Annex  III, it shall prepare a revised draft decision guidance document.  
3. A recommendation referred to in paragraph 2 shall be forwarded to the [C oP] and be accompanied by a revised draft decision guidan ce 
document. The [C oP] 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 gu idance docum ent has been approved by 
the [Co P], the Secretariat shall forthwith communicate this information to all Parties".  
 Sets out the procedure for removing a chemical from the list contained in Annex III.  
Articles 10, 11, 12, 13  Obligations relati ng 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 Pa rty 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 t han 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 forthwith submit the revise d 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 legislati ve or administrative measures:  
(i) To consent to import;  
(ii) Not to consent to import; or  
(iii) To consent to import only subject to specified conditions;  or  
(b) An interim response, which may include:  
(i) An interim decision consenting to import with or  without specified conditions,  or not consenting to import during the 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 regulatory action, for further information;  
(iv) A request to the Secretariat for assistance in evaluating the chemical.  
5. A response under subparagraphs (a) or (b) of paragraph 4 shall relate to the category or categories specified for the chemica l in Annex III.  
6. A final dec ision 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 responses  with respect  to 
each chemical listed in Annex III. A Party that has provided such responses under the Amended London Guidelines or the Intern ational 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 o f a chemical or 
to consent to its import only under specified conditions shall, if it has not already done so, simultaneously prohibit or make sub ject to the same 
conditions:  
(a) Import of  the chemical from any source; and 
(b) Domestic production of the chemical for domestic u se. 
10. Every six months the Secretariat shall inform all Parties of the responses it has received. Such information shall include a description of the 
legislative or administrative measures on which the decisions have been based, where available. The Secr etariat shall, in addition, inform the  
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- 167 - 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 adminis trative measures to communicate the responses forwarded by the Secretariat in accordance 
with paragraph 10 of Article 10 to those concerned within its jurisdiction;  
(b) Take appropriate legislative or administrative measures to ensure that exporters within  its jurisdiction comply with decisions in each 
response no later than six months after the date on which the Secretariat first informs the Parties of such response in accor dance with 
paragraph 10 of Article 10;  
(c) Advise and assist importing Parties, upo n 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 t heir 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 has transmitted an interim response that does  not contain an interim decision, unless:  
(a) It is a chemical that, at the time of import, is registered as a chemical in the importing Party; or  
(b) It is a chemical for which evidence exists that it has previously been used in, or imported into, the imp orting 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 authority of th e importing 
Party. The importing Party shall respond to such a request within sixty days and shall promptly notify the Secretariat of its decision.  
The obligations of exporting Parties under this paragraph shall apply with effect from the expiration of a period of six mont hs 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 tr ansmit a response or has 
transmitted an interim response that does not contain an interim decision, and shall apply for one yea r". 
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 info rmation 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 export notification shall be provided before the first exp ort 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 notification after it has adopted a final regulatory action t hat results in a major change 
concerning the ban or severe restriction of that chemical.  
4. The importing Party shall acknowledge receipt of the first export notification received after the adoption of the final regul atory action. If the 
exporting Party do es 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 the importing Party receives the second notif ication.  
5. The obligations of a Party set out in paragraph 1 shall cease when:  
(a) The chemical  has been listed in Annex III;  
(b) The importing Party has provided a response for the chemical to the Secretariat in accordance with paragraph 2 of Article 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 S ystem 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 exp orted.  
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 requi re 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 with 
regard to risks and/or hazards to human health or the e nvironment, 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 interna tionally recognized format, setting out the most up -to-date information available, is sent to each  
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- 168 - importer.  
5. The information on the label and on the safety data sheet should, as far as practicable, be given in one or more of the offic ial 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. Thes e measures may include, as required, the adoption or amendment of national legislative or 
administrative measures and may also include:  
(...) 
2. Each Party shall ensure, to the extent practicable, that the public has app ropriate 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 actio n 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 pr ovisions of this 
Convention and is in accordance with international law".  
15.2.2   Main Co P Decisi ons 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 Wo rld 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 a nd 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 a t 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 developments 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 Co P 3, the Secretariat o f 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 Environment , as that 
Committee is the standing body of the World Trade Organization mandated to disc uss trade and environment issues in regular sessions, and 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, taki ng 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 continue d 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 basis;  
2. Also requests the Secretariat to continue to follow up on its application for observer sta tus 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 promot e mutual supportiveness between trade and environment policies, 
and to support the request for observer status, as appropriate".   
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- 169 - ExCOPs -2/COP -6/High 
Level Segment  
(2013)    ExCoP-2: The Conferences of the Parties to the Basel, Rotterdam and Stockholm Conv entions, at their second simultaneous extraordinary 
meetings, reviewed the impact of the arrangements put in place by Parties in the 2011 "omnibus decisions", to strengthen syne rgies 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 recalled the previously adopted decisions on cooperation with the WTO (in p articular  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 th e 
CTESS and CTE, and to follow -up on its application for observer stat us. 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 extraordinary 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 welco med the 
UNEP -led consultative process on financing options for chemicals and wastes that has considered the need for heightened efforts 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 
instrument on mercury, called for wider cooperation  and expressed their interest and signalled readiness to cooperate and coordinate with the 
Minamata Convention  on Mercury. In that respect, the Conference of the Pl enipotentiaries of the Minamata Convention, was invited to consider 
cooperation and coordination with the BRS Conventions.  
COP-7 
(2015)  In the context of enhancing synergies between the Basel, Rotterdam and Stockholm Conventions, Parties took note of the integrated report, 
common to the three Conventions, presented by the Secretariat on its international cooperation and coordination activities, i n which the specific 
cooperation with the WTO was included and addressed. On this occasion, Parties emphasized t he importance of enhancing cooperation and 
coordination with other international bodies, in particular within the chemicals and wastes cluster, for the fulfilment of th e objectives of the 
Conventions. Therefore, Parties requested the Secretariat to continu e such cooperative and coordinated activities with other international bodies, 
including 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 Conferences o f 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 integr ated report, 
common 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.  
15.3  Supportive measures  
Article 11 – Obligations in relation to exports of chem icals 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 1 0 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 developi ng countries and countries with economies in transition, cooperate in promoting technical assistance for 
the development of the infrastructure and the capacity necessary to manage chemicals to enable implementation of this Convent ion. Parties with more adv anced programmes for 
regulating chemicals should provide technical assistance, including training, to other Parties in developing their infrastruc ture and capacity to manage chemicals throughout their 
life-cycle".  
 
 Since 1998, the Secretariat  has conduct ed 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 Secretariat has organi zed 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 also work wit h designated national authorities in individual countries within their region to address specific problems in the implementat ion of the Convention. The  
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- 170 - 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 gu idance documents that are available to Parties 
through 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.  
 In October 2008, the CoP 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 the regional a nd 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 work  plan 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 as 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 me ets the needs of developing countries and countries with 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 Sto ckholm Conventions, the Parties examined and adopted an 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 centre s, FAO offices, UNEP and other IOMC organizations;  
 - approved the synchronised budgets for  all three conventions for 2018 -19, and invited 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 C oP to the Minamata Convention.  
15.4  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 Con vention 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 wor king group to further discuss the mechanisms and procedures for non -compliance but no consensus was reached on the text.15 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 t he CoP.  
 At the fourth meeting of the C oP in October 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 ordinary 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 presen t decision shall be the basis for its further work on 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, did not succeed and this matter will 
therefore be considered again at the next Conference of the Parties in 201 9.  
                                                
15 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 .    
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- 171 - 15.5  Dispute Settlement Mechanism  
Article 20 – Settlement of disputes  
"1. Parties shall settle any dispute between them concerning th e interpretation or application of this Convention through negotiation or other peaceful means of their own 
choice.  
2. When ratifying, accepting, approving or acceding to this Convention, or at any time thereafter, a Party that is not a regiona l economic i ntegration organization may declare 
in a written instrument submitted to the Depositary that, with respect to any dispute concerning the interpretation or applic ation 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; and  
(b) Submission of the dispute to the [ICJ].  
3. A Party that is a regiona l economic integration organization may make a declaration with like effect in relation to arbitration 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 ab le to settle their dispute within twelve months 
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 recomme ndations.  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 disp utes: 
 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  appellate procedure.  
 In case s of conciliation under Article 20 paragraph 6, a conciliation commission shall be established composed of five members. It s hall take its decision by majority vote of 
its members and shall render a report for the resolution within 12  months of being estab lished.  
15.6  Provisions for non -parties  
Article 10 – Obligations in relation  to imports of chemicals listed in Annex III  
"... 9. A Party that, pursuant to paragraphs 2 and 4 above and paragraph 2 of Article 11, takes a decision not to consent to import of a ch emical or to consent to its import only 
under specified conditions shall, if it has not already done so, simultaneously prohibit or make subject to the same conditio ns:  
(a) Import of the chemical from any source ...".  
  
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- 172 - 16  STOCKHOLM CONVENTION  ON PERSISTENT  ORGANIC POLLUTANTS  
16.1  Brief Description of the MEA  
Web site  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  181 (as of 31 August  2017) 
WTO Members  154 Parties to the Stockholm 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 orga nizations from the day after the date on which the Convention is closed for 
signature. Instruments of ratification, acceptance, approval or accession shall be deposited with the Depositary  
2. Any regional economic integration organization that becomes a Pa rty 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 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 C onvention and, to this end, 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 organiza tions and intergovernmental and non -governmental bodies; and  
(c) Regularly review all information made available to the Parties pursuant to Article 15, including consideration of the eff ectiveness of 
paragraph  2 (b) (iii) of Article 3;  
(d) Consider and und ertake 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 Persistent Organic Pollutants Review Committee  for the 
purpose s 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 last resort be adopted by a two -thirds majority vote of the memb ers present and voting.  
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 effectiveness.   
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- 173 - (...)". 
 
 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 Pollutan ts 
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 Secretariat shall  also communicate proposed 
amendments to the signatories to this Convention and, for informa tion, 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.  
4. The amendment shall be communicated by the depositary to all Parties for ratification, acceptance or approval.  
5. Ratification, acceptance or approval of an amendment shall be notified to the depositary in writing. An amendment adopted in accordance with 
paragraph 3 shall enter into force for the Parties having accepted it on the ninetieth day after the date of deposit of instr uments 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 f irst meeting , in Decision SC -1/2 of 24 September 2004, the C oP adopted Annex G on arbitration and conciliation procedures for the 
settlement of disputes.  
 At is fourth, fifth , sixth, seventh and eighth meetings, the C oP further amended Annexes A, B and C to add new P oPs. 
16.2  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 R educe 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 provis ions 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 Ann ex". 
2. Each Party shall take measures to ensure:  
(a) That a chemical listed in Annex A or Annex B is imported only:  
(i) For the purpose of environmentally sound disposal as set forth in paragraph 1 (d) of Article 6; or  
(ii) For a use or purpose which is p ermitted 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 into 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 w hich 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 inclu de 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;   
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- 174 - b. Comply with the provisions of paragraph 1 of Article 6 ; and  
c. Comply, where appropriate, with the provisions of paragraph 2 of Part II of Annex B.  
The certification shall also include any appropriate supporting documentation, such as legislation, regulatory instruments, o r administrative or 
policy guidelines . The exporting Party shall 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 e xcept 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 reg ional economic integration organization that has not agreed to be bound by the Convention with respect to that chemical.  
3. Each Party that has one or more regulatory and assessment schemes for new pesticides or new industrial chemicals shall take m easures  to 
regulate with the aim of preventing the production and use of new pesticides or new industrial chemicals which, taking into c onsideration the 
criteria in paragraph 1 of Annex D, exhibit the characteristics of persistent organic pollutants.  
4. Each Part y that has one or more regulatory and assessment schemes for pesticides or industrial chemicals shall, where appropriate, tak e into 
consideration within these schemes the criteria in paragraph 1 of Annex D when conducting assessments of pesticides or indus trial chemicals 
currently 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 exemp tion 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 min imizes human exposure and 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 in to accoun t any 
applicable standards and guidelines".  
Article 4  
Register of Specific 
Exemptions  "1. A Register is hereby established for the purpose of identifying the Parties that have specific exemptions listed in Annex A 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 exem ptions 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 specific 
exemptions listed in Annex A or Annex B.  
4. Unless an earlier date is indicated in the Register by a Party, or an extension is granted pursuant to paragraph 7, all  registrations of specific 
exemptions shall expire five years after the date of entry into force of this Convention with respect to a particular chemica l. 
5. At its first meeting, the [COP] shall decide upon its review process for the entries in the Regist er. 
6. Prior to a review of an entry in the Register, the Party concerned shall submit a report to the Secretariat justifying its co ntinuing need for 
regist ration of that exemption. The report shall be circulated by the Secretariat to all Parties. The revi ew of a registration shall be carried out on the 
basis of all available information. Thereupon, the [COP] may make such recommendations to the Party concerned as it deems app ropriate.  
7. The [C oP] may, upon request from the Party concerned, decide to exte nd 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, a t any time, withdraw an entry from the Register for a specific exemption upon written notification to the Secretariat. The 
withdrawal shall take effect on the date specified in the notification.  
9. When there are no longer any Parties registered for a par ticular 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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- 175 - 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 end eavour 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 decision of the 
Conference of the Parties.  
2. The Parties shall, where appropriate, cooperate directly or through global, 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 endeavo ur to utilize and, where necessary, establish the means to integrate national implementation plans for 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.  
16.3  Supportive Measures  
Article 12 – Technical assistance  
"1. The Parties recognize that rendering of timely and appropriate technical assistance in response to requests from developing c ountry Par ties and Parties with economies in 
transition is essential to the successful implementation of this Convention.  
2. The Parties shall cooperate to provide timely and appropriate technical assistance to developing country Parties and Parties with economies i n transition, to assist them, 
taking into account their particular needs, to develop and strengthen their capacity to implement their obligations under thi s Convention.  
3. In this regard, technical assistance to be provided by developed country Parties, an d other Parties in accordance with their capabilities, shall include, as appropriate and as 
mutually agreed, technical assistance for capacity -building relating to implementation of the obligations under this Convention. Further guidance in this regard sha ll 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 rela ting 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 Parties and Parties with economies in transition to fulfil t heir 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 and special situation of least dev eloped countries and small is land 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 achieve the objective of the Convention. Developed country P arties shall provide new and additional financial 
resources to enable developing country Parties and Parties with economies in transition to meet the agreed full incremental c osts of implementing measures 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 mechanism.  
Article 14 – Interim financial arrangements  
 Entru sts the GEF, on an interim basis, to be the principal entity operating the financial mechanism referred to in Article 13.   
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- 176 -  
 At CoP -6/ExCoPs -2, the Parties have among others agreed to strengthen capacity building and technical assistance activities by inve sting 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 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 programme for 
technical assistance and capacity building for the next bienni um. 
 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 r ole of regional centres, FAO offices, UNEP and other IOMC organizations;  
 - approved the synchronised budgets for all three conventions for 2018 -19, and invited the Executive Secretary to continue cooperating with the interim secretariat of the 
Minamata Co nvention on programmatic matters and to provide any secretariat support that may be requested and is fully funded by the CoP to the Minamata Convention.  
16.4  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 the 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 Article 17 of the Convention. The working group recommended the establishment of a compliance committee whic h 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 convene a second meeting of the OEWG NC prior to its third meeting in order to further consider the procedures an d 
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 fourth 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 fou rth 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 C oP in April 2011.  
At the subsequent meetings of the CoP held in 2011, 2013, 2 015 and 2017 efforts to adopt non -compliance procedures  and mechanism  did not succeed and this matter will 
therefore be considered again at the next Conference of the Parties in 2019.  
 
16.5  Dispute Settlement Mechanism  
Article 18 – Settlement of disputes  
"1. Parties shall settle any dispute between them concerning the interpretation or application of this Convention through negotiat ion or other peaceful means of their own 
choice.  
2. When ratifying, accepting, approving or acceding to the Convention, or at any t ime 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 applic ation 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 t he 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  
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- 177 - paragraph 2 (a).  
4. A declaration made pursuant to p aragraph 2 or paragraph 3 shall remain in force until it expires in accordance with its terms or until three months after wri tten notice of 
its revocation has been deposited with the depositary.  
5. The expiry of a declaration, a notice of revocation or a n ew 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, a nd if they have not been able to settle their dispute within twelve 
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 dis pute. The conciliation commission shall render a report with recommendations. Additional procedures relating to the conciliat ion commission shall be included in an 
annex to be adopted by the [C oP] no later than at its second meeting".  
16.6  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 o r 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 consent instruments, is exported only:  
(i) For the pu rpose 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 certifica tion to the exporting Party. Such certification shall specify the intended use of the 
chemical and include a statement that, with respect to that chemical, the importing State is committed to:  
a. Protect human health and the environment by taking the neces sary measures to minimize or prevent releases;  
b. Comply with the provision s of paragraph 1 of Article 6; and 
c. Comply, where appropriate, with the provisions of paragraph 2 of Part II of Annex B.  
The certification shall also include any appropriate suppo rting documentation, such as legislation, regulatory instruments, or administrative or policy guidelines. The exporting 
Party shall transmit the certification to the Secretariat within sixty days of receipt ...". 
17  MINAMATA CONVENTION ON MERCURY  
17.1  Brief Descr iption of the MEA  
Web site  http://www.mercuryconvention.org/ . 
Objective  Article 1    The objective of this Convention is to protect human health and the environment from anthropogenic emissions and release s of mercury 
and mercury compounds.  
Date of Signature  10 October 2013  
Entry into force  16 August 2017  
Parties  74 Parties (as of 31 August  2017). 
WTO Members  69 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 re gional 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 nin etieth day after the  
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- 178 - date of deposit by such State or regional economic integration organization of its instrument of ratification, acceptance, ap proval or accession.  
3.  For the purposes of paragraphs 1 and 2, any instrument deposited by a regional econom ic integration 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 acces sion by States and by regional economic integration organizations from the day after the date on which the Convention is clos ed for 
signature. Instruments of ratification, acceptance, approval or accession shall be deposited with the Depositary.  
2. Any reg ional economic integration organization that becomes a Party to this Convention without any of its member States being a Part y 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 shall not be entit led 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 matters 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 encouraged to trans mit 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 decl are 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 respec t thereto. " 
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 the objectives of this Conventio n; 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 amendment shall be 
communicated to the Parties by the Secretariat at least six months before the meeting at which it is proposed for adoption. T he Secretariat shall also 
communicate the pr oposed 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 exhau sted, 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. An adopted amendment shall be communicated by the Depositary to all Parties for ratificati on, 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 consented to be bound by i t on the ninetieth day after the date of deposit of instruments of 
ratification, acceptance or approval by at least three -fourths of the Parties that were Parties at the time at which the amendment was adopted. 
Thereafter, the amendment shall enter into fo rce for any other Party on the ninetieth day after the date on which that Party deposits its instrument of  
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- 179 - ratification, acceptance or approval of the amendment. " 
Article 27: Adoption and amendment of annexes  
"1.  Annexes to this Convention shall form an i ntegral 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 restrict ed 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 
not enter into force until such time as the amendment to the Convention enters into force."  
17.2  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, in cluding certification demonstrating 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 f or a use allowed to a Party under 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 general 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 notifications.  
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 that submits a general notification of consent under paragraph 7 may decide not to apply paragraph 8, provided that i t maintains 
comprehensive restrictions on the export of mercury and has domestic measures in place to ensure  that imported mercury is managed 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 informat ion on the quantities and countries of origin of mercury imported from non -
Parties. The Secretariat shall maintain a public register of all such notifications. The Implementation and Compliance Commit tee shall review and 
evaluate any such notifications and  supporting information in accordance with Article 15 and may make recommendations, as appropriate, to the 
Conference of the Parties.  
... 
13. The Conference of the Parties shall evaluate whether the trade in specific mercury compounds compromises the objec tive 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 n ot 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 re gistered 
exemption pursuant to Article 6.  
2. A Party may, as an alternative to paragraph 1, indicate at the time of ratification or upon entry into 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 choose this alternative if 
it can demonstrate that it has already reduced to a de minimis level the manufacture, import, and export of the large majorit y of the products  
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- 180 - listed in Part I of Annex A an d 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 later than five years after the date of entry into force of the Convention, the Conference of the Parties shall, a s part of the 
review 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 entr y into force of the Convention for it, unless an assessment of the risks and benefits of the product 
demonstrates environmental or human health benefits.  ..." 
Article 6  
Exemptions available to 
a Party upon request  "1. Any State or regional economic integr ation 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 transpor t 
across international boundaries, a Party shall allow such transport only after taking into account relevant international rul es, standards, and 
guidelines."  
17.3  Supportive measures  
Article 13: Financial resources and mechanism  
"1.  Each Party undertakes to provide, within its capabilities, resources in respect of those national activities that are intended to implement this Conve ntion, in accordance 
with its national policies, priorities, plans and programmes. Such resources may include domestic funding thro ugh relevant policies, 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 relat ed to the effective 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 the ir activities on mercury in support of developing country Parties in the implementation of this Convention relating to financ ial resources, technical 
assistance and technology transfer.  
4. The Parties, in their actions with regard to funding, shall take fu ll 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 Mec hanism 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 internati onal Programme to support capacity -building and technical assistance.  
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 ag reed 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  
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- 181 - 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 co uld 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 activit ies. 
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 referre d 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 e ntity, 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, t he 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 effectiveness, and their ability to address the changing 
needs of developing coun try Parties and Parties with economies in transition. It shall, based on such review, take appropriate action to improve the effectiveness of the 
Mechanism.  
12. All Parties, within their capabilities, are invited to contribute to the Mechanism. The Mechani sm 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, sub  regional and na tional arrangements, including 
existing regional and subregional centres, through other multilateral and bilateral means, and through partnerships, includin g partnerships involving the private sector. 
Cooperation and coordination with other multilateral en vironmental 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 and facilitate, supp orted 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 co untries and small island developing States, and Parties with economies in transition, to strengthen their capacity to effecti vely implement this Convention.  
4. The Conference of the Parties shall, by its second meeting and thereafter on a regular basis, an d 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 technolog ies; 
(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 transfer.  
5. The Conference of the Pa rties shall make recommendations on how capacity -building, technical assistance and technology transfer could be further enhanced under 
this Article.  
17.4  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 implementation of, and re view compliance 
with, all provisions of this Convention. The mechanism, including the Committee, shall be facilitative in nature an d shall pay particular attention to the respective national 
capabilities and circumstances of Parties.  
2. The Committee shall promote implementation of, and review compliance with, all provisions of this Convention. The Committee s hall examine both indivi dual and systemic 
issues of implementation and compliance and make recommendations, as appropriate, to the Conference of the Parties.   
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- 182 - 3. The Committee shall consist of 15 members, 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 Conference of the Parties and thereafter in 
accordance with the rules of procedure approv ed by the Conference of the Parties pursuant to paragraph 5; the members of the Committee shall have competence in a field 
relevant to this Convention and reflect an appropriate 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 subje ct to approval by the second meeting of the Conference of the Parties; the Conference of the 
Parties may adopt further terms of reference for the Committee.  
6. The Committee 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 present and voting, based on a quorum of two -thirds of the members."  
17.5  Dispute Settlement Me chanism  
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.  
2. When ratifying, accept ing, 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 rec ognizes 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 the procedure set out in Part I of Annex E;  
(b) Submission of the dispute to the Inte rnational Court of Justice.  
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 paragraph 2.  
... 
6. If the parties to a dispute have not accepted the same mea ns of dispute settlement pursuant to paragraph 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 conciliation 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."  
17.6  Provisions for non -parties  
See also the sub -section  on "T rade-related measures" above.  
In particular, Article 3: Mercury supply sources and trade paragraphs 6(b), 7, 8 and 9 contain provisions concerning non -parties.  
 
 
 
_______________  
 
  
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- 183 - ANNEX  
MEMBERSHIP IN WTO AN D MEAS  
 
 
CITES  
CITES: Bonn Amendment  
CITES: Ga borone Amendment  
CCAMLR  
ICCAT  
UN Fish Stocks Agreement  
PSMA  
ITTA  
IPPC  
CBD 
CBD: Nagoya Protocol  
CBD: Cartagena Protocol  
CBD: Nagoya - KL Supp. Protocol  
(not yet in force)  
Vienna Convention  
Montreal Protocol (MP)  
MP - London Amendment  
MP - Copenhagen Amendme nt 
MP - Montreal Amendment  
MP - Beijing Amendment  
Kigali Amendment  
UNFCCC  
UNFCCC: Kyoto Protocol  
Paris Agreement  
Basel Convention  
Basel Convention, Ban Amendment  
(not yet in force)  
Basel Convention, Protocol on Liability  
(not yet in force)  
Rotterdam Conven tion 
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 
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 
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 
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 
Armenia  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 
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     
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 
Barbados  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  
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- 184 -  
CITES  
CITES: Bonn Amendment  
CITES: Ga borone Amendment  
CCAMLR  
ICCAT  
UN Fish Stocks Agreement  
PSMA  
ITTA  
IPPC  
CBD 
CBD: Nagoya Protocol  
CBD: Cartagena Protocol  
CBD: Nagoya - KL Supp. Protocol  
(not yet in force)  
Vienna Convention  
Montreal Protocol (MP)  
MP - London Amendment  
MP - Copenhagen Amendme nt 
MP - Montreal Amendment  
MP - Beijing Amendment  
Kigali Amendment  
UNFCCC  
UNFCCC: Kyoto Protocol  
Paris Agreement  
Basel Convention  
Basel Convention, Ban Amendment  
(not yet in force)  
Basel Convention, Protocol on Liability  
(not yet in force)  
Rotterdam Conven tion 
Stockholm Convention  
Minamata Convention on Mercury  
WTO  
Belize  x x x   x x     x x   x   x x x x x x   x x x x     x x   x 
Benin  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             
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 
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 
Brazil  x x 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 
Burundi  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 
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 
Central 
African 
Republic  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 
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 x  
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- 185 -  
CITES  
CITES: Bonn Amendment  
CITES: Ga borone Amendment  
CCAMLR  
ICCAT  
UN Fish Stocks Agreement  
PSMA  
ITTA  
IPPC  
CBD 
CBD: Nagoya Protocol  
CBD: Cartagena Protocol  
CBD: Nagoya - KL Supp. Protocol  
(not yet in force)  
Vienna Convention  
Montreal Protocol (MP)  
MP - London Amendment  
MP - Copenhagen Amendme nt 
MP - Montreal Amendment  
MP - Beijing Amendment  
Kigali Amendment  
UNFCCC  
UNFCCC: Kyoto Protocol  
Paris Agreement  
Basel Convention  
Basel Convention, Ban Amendment  
(not yet in force)  
Basel Convention, Protocol on Liability  
(not yet in force)  
Rotterdam Conven tion 
Stockholm Convention  
Minamata Convention on Mercury  
WTO  
Colombia  x x x         x x x   x   x x x x x x   x x   x x x x x   x 
Comoros  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 
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 
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 
Croatia  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 
Curaçao          x                                                   
Cyprus  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 
Democratic 
Republic of 
the Congo  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 
Djibouti  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 
Ecuador  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   x 
El Salvador  x 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        
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- 186 -  
CITES  
CITES: Bonn Amendment  
CITES: Ga borone Amendment  
CCAMLR  
ICCAT  
UN Fish Stocks Agreement  
PSMA  
ITTA  
IPPC  
CBD 
CBD: Nagoya Protocol  
CBD: Cartagena Protocol  
CBD: Nagoya - KL Supp. Protocol  
(not yet in force)  
Vienna Convention  
Montreal Protocol (MP)  
MP - London Amendment  
MP - Copenhagen Amendme nt 
MP - Montreal Amendment  
MP - Beijing Amendment  
Kigali Amendment  
UNFCCC  
UNFCCC: Kyoto Protocol  
Paris Agreement  
Basel Convention  
Basel Convention, Ban Amendment  
(not yet in force)  
Basel Convention, Protocol on Liability  
(not yet in force)  
Rotterdam Conven tion 
Stockholm Convention  
Minamata Convention on Mercury  
WTO  
Eritrea  x x x           x x   x   x x x x x x   x x   x     x x     
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 
Ethiopia  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 x 
Fiji 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 
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 
Greece  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 
Guatemala  x   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 
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.8 • TN/TE/S/5/Rev.6  
 
- 187 -  
CITES  
CITES: Bonn Amendment  
CITES: Ga borone Amendment  
CCAMLR  
ICCAT  
UN Fish Stocks Agreement  
PSMA  
ITTA  
IPPC  
CBD 
CBD: Nagoya Protocol  
CBD: Cartagena Protocol  
CBD: Nagoya - KL Supp. Protocol  
(not yet in force)  
Vienna Convention  
Montreal Protocol (MP)  
MP - London Amendment  
MP - Copenhagen Amendme nt 
MP - Montreal Amendment  
MP - Beijing Amendment  
Kigali Amendment  
UNFCCC  
UNFCCC: Kyoto Protocol  
Paris Agreement  
Basel Convention  
Basel Convention, Ban Amendment  
(not yet in force)  
Basel Convention, Protocol on Liability  
(not yet in force)  
Rotterdam Conven tion 
Stockholm Convention  
Minamata Convention on Mercury  
WTO  
Holy See 
(Vatican)                            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 
Iceland  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 
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 
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 
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 
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 
Kiribati            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      
  WT/CTE/W/160/Rev.8 • TN/TE/S/5/Rev.6  
 
- 188 -  
CITES  
CITES: Bonn Amendment  
CITES: Ga borone Amendment  
CCAMLR  
ICCAT  
UN Fish Stocks Agreement  
PSMA  
ITTA  
IPPC  
CBD 
CBD: Nagoya Protocol  
CBD: Cartagena Protocol  
CBD: Nagoya - KL Supp. Protocol  
(not yet in force)  
Vienna Convention  
Montreal Protocol (MP)  
MP - London Amendment  
MP - Copenhagen Amendme nt 
MP - Montreal Amendment  
MP - Beijing Amendment  
Kigali Amendment  
UNFCCC  
UNFCCC: Kyoto Protocol  
Paris Agreement  
Basel Convention  
Basel Convention, Ban Amendment  
(not yet in force)  
Basel Convention, Protocol on Liability  
(not yet in force)  
Rotterdam Conven tion 
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   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 
Kyrgyz 
Republic  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 
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 
Lebanese 
Republic  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 
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 
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 
Lithuania  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 
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 
Malaysia  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 
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.8 • TN/TE/S/5/Rev.6  
 
- 189 -  
CITES  
CITES: Bonn Amendment  
CITES: Ga borone Amendment  
CCAMLR  
ICCAT  
UN Fish Stocks Agreement  
PSMA  
ITTA  
IPPC  
CBD 
CBD: Nagoya Protocol  
CBD: Cartagena Protocol  
CBD: Nagoya - KL Supp. Protocol  
(not yet in force)  
Vienna Convention  
Montreal Protocol (MP)  
MP - London Amendment  
MP - Copenhagen Amendme nt 
MP - Montreal Amendment  
MP - Beijing Amendment  
Kigali Amendment  
UNFCCC  
UNFCCC: Kyoto Protocol  
Paris Agreement  
Basel Convention  
Basel Convention, Ban Amendment  
(not yet in force)  
Basel Convention, Protocol on Liability  
(not yet in force)  
Rotterdam Conven tion 
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     
Mauritania  x 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 
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 
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 
Morocco  x 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 
Myanmar  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 
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 
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 
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   x 
Nicaragua  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 
Nigeria  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      
  WT/CTE/W/160/Rev.8 • TN/TE/S/5/Rev.6  
 
- 190 -  
CITES  
CITES: Bonn Amendment  
CITES: Ga borone Amendment  
CCAMLR  
ICCAT  
UN Fish Stocks Agreement  
PSMA  
ITTA  
IPPC  
CBD 
CBD: Nagoya Protocol  
CBD: Cartagena Protocol  
CBD: Nagoya - KL Supp. Protocol  
(not yet in force)  
Vienna Convention  
Montreal Protocol (MP)  
MP - London Amendment  
MP - Copenhagen Amendme nt 
MP - Montreal Amendment  
MP - Beijing Amendment  
Kigali Amendment  
UNFCCC  
UNFCCC: Kyoto Protocol  
Paris Agreement  
Basel Convention  
Basel Convention, Ban Amendment  
(not yet in force)  
Basel Convention, Protocol on Liability  
(not yet in force)  
Rotterdam Conven tion 
Stockholm Convention  
Minamata Convention on Mercury  
WTO  
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 x 
Oman  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   
Palestine                    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 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 
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 
Philippines  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 
Qatar  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 
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 
Saint Lucia  x x x     x     x x   x   x x x x x x   x x x x x     x   x 
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   x 
Samoa  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.8 • TN/TE/S/5/Rev.6  
 
- 191 -  
CITES  
CITES: Bonn Amendment  
CITES: Ga borone Amendment  
CCAMLR  
ICCAT  
UN Fish Stocks Agreement  
PSMA  
ITTA  
IPPC  
CBD 
CBD: Nagoya Protocol  
CBD: Cartagena Protocol  
CBD: Nagoya - KL Supp. Protocol  
(not yet in force)  
Vienna Convention  
Montreal Protocol (MP)  
MP - London Amendment  
MP - Copenhagen Amendme nt 
MP - Montreal Amendment  
MP - Beijing Amendment  
Kigali Amendment  
UNFCCC  
UNFCCC: Kyoto Protocol  
Paris Agreement  
Basel Convention  
Basel Convention, Ban Amendment  
(not yet in force)  
Basel Convention, Protocol on Liability  
(not yet in force)  
Rotterdam Conven tion 
Stockholm Convention  
Minamata Convention on Mercury  
WTO  
San Marino  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     
Saudi Arabia, 
Kingdom of  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     
Seychelles  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 
Singapore  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 
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 
Solomon 
Islands  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     
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                   
Spain  x   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 
Sudan  x           x   x x x x   x x x x x x   x x x x     x x     
Suriname  x x           x x x   x   x x x x x x   x x   x     x x   x 
Swaziland  x 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  
  WT/CTE/W/160/Rev.8 • TN/TE/S/5/Rev.6  
 
- 192 -  
CITES  
CITES: Bonn Amendment  
CITES: Ga borone Amendment  
CCAMLR  
ICCAT  
UN Fish Stocks Agreement  
PSMA  
ITTA  
IPPC  
CBD 
CBD: Nagoya Protocol  
CBD: Cartagena Protocol  
CBD: Nagoya - KL Supp. Protocol  
(not yet in force)  
Vienna Convention  
Montreal Protocol (MP)  
MP - London Amendment  
MP - Copenhagen Amendme nt 
MP - Montreal Amendment  
MP - Beijing Amendment  
Kigali Amendment  
UNFCCC  
UNFCCC: Kyoto Protocol  
Paris Agreement  
Basel Convention  
Basel Convention, Ban Amendment  
(not yet in force)  
Basel Convention, Protocol on Liability  
(not yet in force)  
Rotterdam Conven tion 
Stockholm Convention  
Minamata Convention on Mercury  
WTO  
Switzerland  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 
Thailand  x         x x x x x   x   x x x x x x   x x x x     x x x x 
The former 
Yugoslav 
Republic of 
Macedonia  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 
Tonga  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 
Tunisia  x 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 
Turkmenistan                    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     
Uganda  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   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  
  WT/CTE/W/160/Rev.8 • TN/TE/S/5/Rev.6  
 
- 193 -  
CITES  
CITES: Bonn Amendment  
CITES: Ga borone Amendment  
CCAMLR  
ICCAT  
UN Fish Stocks Agreement  
PSMA  
ITTA  
IPPC  
CBD 
CBD: Nagoya Protocol  
CBD: Cartagena Protocol  
CBD: Nagoya - KL Supp. Protocol  
(not yet in force)  
Vienna Convention  
Montreal Protocol (MP)  
MP - London Amendment  
MP - Copenhagen Amendme nt 
MP - Montreal Amendment  
MP - Beijing Amendment  
Kigali Amendment  
UNFCCC  
UNFCCC: Kyoto Protocol  
Paris Agreement  
Basel Convention  
Basel Convention, Ban Amendment  
(not yet in force)  
Basel Convention, Protocol on Liability  
(not yet in force)  
Rotterdam Conven tion 
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           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 x 
Uzbekistan  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 
Venezuela, 
Bolivarian 
Republic of  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 
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 
TOTAL MEA 
Members  183 149 102 36 51 86 48 73 183 196 100 171 39 197 197 197 197 197 197 5 197 192 160 186 92 11 158 181 74 164 
TOTAL WTO 
Members of 
MEA 160 130 96 35 45 75 43 73 158 160 90 146 38 161 161 161 161 161 161 2 161 159 135 155 84 9 142 154 69 164 
 
 
 
__________