WT/CTE/W/160/Rev.6  
TN/TE/S/5/Rev.4  
 
4 October 2013  
(13-5425)  Page: 1/163  
Committee on Trade and Environment 
Committee on Trade and Environment in Special Session    
  
MATRIX ON TRADE-RELATED MEAS URES PURSUANT TO SELECTED 
MULTILATERAL ENVIRONMENTAL AGREEMENTS 
NOTE BY THE SECRETARIAT
1 
Revision 
1.  This Matrix provides background information on trade-related measures pursuant to selected 
Multilateral Environmental Agreements (MEAs).2 This revision presents updated information 
(e.g. membership, decisions and other major development) on MEAs.3 The Secretariat will 
continue to update this Matrix in the light of further developments. 
2.  The Matrix is divided into six Sections and an Annex. 3.  Section 1  briefly describes each MEA, providing information on the following: 
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. 
4.  Section 2  contains information on the trade-related measures of each MEA, notably on 
requirements or restrictions on imported or exported products. Information under this section is 
divided, where applicable, into two sub-sections: 
a. Provisions of the MEA, and 
b. Decisions of the Decision-Making Bodies. 
5.  Section 3  provides information on supportive measures, such as technology transfer, and 
financial or technical assistance under the provisions of the MEA.   
6.  Section 4  explains the mechanism set out in the MEA for the non-compliance of a party.   
                                               
1 This document has been prepared under the Secret ariat's own responsibility and without prejudice to 
the positions of Members and to their rights and obligations under the WTO. 
2 It has been prepared in consultation with the Secr etariats of the respective  MEAs.  However, the WTO 
Secretariat takes full responsibility  for any errors or omissions th at this document may contain. 
3 Previous versions of this Matrix are contained in documents WT/CTE/W/160 of 19 September 2000, 
WT/CTE/W/160/Rev.1 of 14 June 2001, Rev.2 of 25 April 2003, Rev.3 of 16 February 2005, Rev.4 of 14 March 2007 and Rev.5 of 15 June 2011. WT/CTE/W/160/Rev.6 • TN/TE/S/5/Rev.4 
 
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  7.  Section 5  lists the dispute settlement mechanisms in the MEA and indicates whether there 
have been any disputes to date.   
8.  Section 6  sets out the provisions relating to non-parties to the MEA. 
9.  Annex provides a comparative table of WTO and MEA membership. WT/CTE/W/160/Rev.6 • TN/TE/S/5/Rev.4 
 
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  CONTENTS 
 
1   BRIEF DESCRIPTIO N OF THE MEAS ............................................................................. 8  
1.1   International Plant Prot ection Conventi on (IPPC) ............................................................ 8  
1.2   International Convention for the Co nservation of Atlant ic Tunas (ICCAT) .......................... 10 
1.3   Convention on International Trade in Endangered Species of Wild Fauna and Flora 
(CITES ) ....................................................................................................................... ... 11 
1.4   Convention on the Conservation of Antarctic Marine Living Resources (CCAMLR) ................ 14 
1.5   Montreal Protocol on Substa nces that Deplete the Ozone Layer ....................................... 16 
1.6   Basel Convention on the Control of Transboundary Movements of Hazardous Wastes 
and their Di sposal ............................................................................................................  20 
1.7   Convention on Biol ogical Diversity (CBD) ..................................................................... 24 
1.8   Cartagena Protocol on Biosafety to the Convention on Biological Diversity ......................... 26 
1.9   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 ...................... 27 
1.10   Nagoya – Kuala Lumpur Supplementary Protocol on Liability and Redress to the 
Cartagena Protocol on Biosafety ......................................................................................... 29 
1.11   United Nations Framework Conv ention on Climate Change (U NFCCC) ............................. 29 
1.12   Kyoto Protocol to the United Nation s Framework Convention on Climate Change .............. 32 
1.13   International Tropical  Timber Agr eement (ITTA) .......................................................... 34 
1.14   The United Nations Fish Stocks Agreement ................................................................. 36 
1.15   Rotterdam Convention on the Prior Informed Consent Procedure for Certain 
Hazardous Chemicals And Pesticid es in Internat ional Trade .................................................... 38 
1.16   Stockholm Convention on Persistent Organi c Pollut ants ................................................ 39 
2   TRADE-RELATED MEASURES ...................................................................................... 41  
2.1   IPPC .................................................................................................................... ... 41 
2.2   ICCAT ................................................................................................................... .. 44 
2.3   CITES ................................................................................................................... .. 49 
2.4   CCAMLR ..................................................................................................................  61 
2.5   Montreal  Protoc ol ..................................................................................................... 61 
2.6   Basel Convention Prov isions of th e Convention.............................................................. 66 
2.7   CBD ..................................................................................................................... .. 72 
2.8   Cartagen a Protocol ................................................................................................... 89 
2.9   Nagoya Protocol ..................................................................................................... 105  
2.10   Nagoya – Kuala Lumpur  Supplementary Protocol ....................................................... 107  
2.11   UNFCCC .............................................................................................................. 10 8 
2.12   Kyoto Protocol ...................................................................................................... 109  
2.13   ITTA ...................................................................................................................  110 
2.14   United Nations Fi sh Stocks Agreement ..................................................................... 112  
2.15   Rotterdam Convention ........................................................................................... 112  
2.16   Stockholm Convention ........................................................................................... 117  
3   SUPPORTIVE MEASURES ......................................................................................... 119  WT/CTE/W/160/Rev.6 • TN/TE/S/5/Rev.4 
 
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  3.1   IPPC .................................................................................................................... . 119 
3.2   ICCAT ...................................................................................................................  119 
3.3   CITES ...................................................................................................................  119 
3.4   CCAMLR ................................................................................................................ 1 21 
3.5   Montreal  Protocol ................................................................................................... 122  
3.6   Basel Convention .................................................................................................... 122  
3.7   CBD .....................................................................................................................  123 
3.8   Cartagen a Protocol ................................................................................................. 123  
3.9   Nagoya Protocol ..................................................................................................... 124  
3.10   Nagoya – Kuala Lumpur  Supplementary Protocol ....................................................... 125  
3.11   UNFCCC .............................................................................................................. 12 5 
3.12   Kyoto Protocol ...................................................................................................... 127  
3.13   ITTA ...................................................................................................................  127 
3.14   United Nations Fi sh Stocks Agreement ..................................................................... 127  
3.15   Rotterdam Convention ........................................................................................... 129  
3.16   Stockholm Convention ........................................................................................... 130  
4   NON-COMPLIANC E MECHANISM .............................................................................. 130  
4.1   IPPC .................................................................................................................... . 130 
4.2   ICCAT ...................................................................................................................  130 
4.3   CITES ...................................................................................................................  131 
4.4   CCAMLR ................................................................................................................ 1 34 
4.5   Montreal  Protocol ................................................................................................... 136  
4.6   Basel Convention .................................................................................................... 137  
4.7   CBD .....................................................................................................................  137 
4.8   Cartagen a Protocol ................................................................................................. 138  
4.9   Nagoya Protocol ..................................................................................................... 138  
4.10   Nagoya – Kuala Lumpur  Supplementary Protocol ....................................................... 139  
4.11   UNFCCC .............................................................................................................. 13 9 
4.12   Kyoto Protocol ...................................................................................................... 139  
4.13   ITTA ...................................................................................................................  140 
4.14   United Nations Fi sh Stocks Agreement ..................................................................... 140  
4.15   Rotterdam Convention ........................................................................................... 141  
4.16   Stockholm Convention ........................................................................................... 142  
5   DISPUTE SETTLEM ENT MECHAN ISM ........................................................................ 142  
5.1   IPPC .................................................................................................................... . 142 
5.2   ICCAT ...................................................................................................................  143 
5.3   CITES ...................................................................................................................  143 
5.4   CCAMLR ................................................................................................................ 1 43 
5.5   Montreal  Protocol ................................................................................................... 143  
5.6   Basel Convention .................................................................................................... 144  WT/CTE/W/160/Rev.6 • TN/TE/S/5/Rev.4 
 
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  5.7   CBD .....................................................................................................................  144 
5.8   Cartagen a Protocol ................................................................................................. 144  
5.9   Nagoya Protocol ..................................................................................................... 144  
5.10   Nagoya – Kuala Lumpur  Supplementay Protocol ........................................................ 145  
5.11   UNFCCC .............................................................................................................. 14 5 
5.12   Kyoto Protocol ...................................................................................................... 145  
5.13   ITTA ...................................................................................................................  145 
5.14   United Nations Fi sh Stocks Agreement ..................................................................... 145  
5.15   Rotterdam Convention ........................................................................................... 146  
5.16   Stockholm Convention ........................................................................................... 147  
6   PROVISIONS FO R NON-PARTI ES ............................................................................. 148  
6.1   IPPC .................................................................................................................... . 148 
6.2   ICCAT ...................................................................................................................  148 
6.3   CITES ...................................................................................................................  149 
6.4   CCAMLR ................................................................................................................ 1 50 
6.5   Montreal  Protocol ................................................................................................... 152  
6.6   Basel Convention .................................................................................................... 152  
6.7   CBD .....................................................................................................................  152 
6.8   Cartagen a Protocol ................................................................................................. 152  
6.9   Nagoya Protocol ..................................................................................................... 153  
6.10   Nagoya – Kuala Lumpur  Supplementary Protocol ....................................................... 153  
6.11   UNFCCC .............................................................................................................. 15 3 
6.12   Kyoto Protocol ...................................................................................................... 153  
6.13   ITTA ...................................................................................................................  153 
6.14   United Nations Fi sh Stocks Agreement ..................................................................... 153  
6.15   Rotterdam Convention ........................................................................................... 153  
6.16   Stockholm Convention ........................................................................................... 154  
 WT/CTE/W/160/Rev.6 • TN/TE/S/5/Rev.4 
 
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  GLOSSARY OF TERMS 
 
AIA Advanced Informed Agreement 
ATS Antarctic Treaty System 
BCH Biosafety Clearing-House 
CBD Convention on Biological Diversity  
CCAMLR  Convention on the Conservation of Antarctic Marine Living Resources  
CCAS Convention for the Conservation of Antarctic Seals 
CDM Clean Development Mechanism  
CFCs Chlorofluorocarbons  
CITES  Convention on International Trade in Endangered Species of Wild Fauna and 
Flora 
CMP The Conference of the Parties (COP) serving as the Meeting of the Parties 
(MOP) 
COP Conference of the Parties  
CPCs Contracting Parties and Cooperating non-Contracting Parties, Entities or 
Fishing Entities 
EEZ Exclusive Economic Zone  
FAO Food and Agriculture Organization of the United Nations GEF Global Environment Facility  
HBFCs Hydrobromofluorocarbons 
HCFCs Hydrochlorofluorocarbons 
ICCAT  International Commission for the Conservation of Atlantic Tunas  
ICJ International Court of Justice 
ICPO International Criminal Police Organization 
ICTSD International Centre for Trade and Sustainable Development IFC International Finance Corporation 
IPPC International Plant Protection Convention 
ITLOS International Tribunal of the Law of the Sea ITTA/ITTO/ITTC  International Tropical Timber Agreement/Organization/Council  
IUCN The World Conservation Union 
IUU Illegal, Unregulated and Unreported 
IWC International Whaling Commission LDCs Least Developed Countries 
LMOs  Living Modified Organisms  
MCP Multilateral Consultative Process  
MEAs  Multilateral environmental agreements  
MOP Meeting of the Parties 
MP Montreal Protocol on Substances that Deplete the Ozone Layer  
NBF National Biosafety Frameworks NCPs Non-Contracting Parties, Entities or Fishing Entities WT/CTE/W/160/Rev.6 • TN/TE/S/5/Rev.4 
 
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  ODS Ozone-Depleting Substances  
OECD Organization for Economic Co-operation and Development PFII Permanent Forum on Indigenous Issues PIC Prior Informed Consent Procedure  
POPs Persistent organic pollutants  
RFMO Regional Fisheries Management Organizations SPS Sanitary and Phytosanitary Measures 
TBT Technical Barriers to Trade 
TRIPS Agreement on Trade-Related Aspects of Intellectual Property Rights UN United Nations UNCLOS United Nations Convention on the Law of the Sea 
UNCTAD United Nations Conference on Trade and Development 
UNEP United Nations Environment Programme UNEP-ETB UNEP Economics and Trade Branch 
UNESCO United Nations Educational, Scientific and Cultural Organization 
UNFCCC  United Nations Framework Co nvention on Climate Change  
UNGA General Assembly of the United Nations 
WHO World Health Organization 
WIPO World Intellectual Property Organization 
 
  
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- 8 - 1  BRIEF DESCRIPTION OF THE MEAS 
1.1  International Plant Protection Convention (IPPC) 
10.  The first version of the IPPC was adopted in November 1951 and entered into force in April 1952 (IPPC 1951).  It was revis ed in 1979 (IPPC 1979), and 
the revised text came into force in April 1991.  The text of th e Convention was further amended in 1997 (the New Revised Text o f 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 Octo ber 2005.     
Web site www.ippc.int  
Objective  The IPPC is an international treaty for plant protection.  Its pu rpose is to "secure common and effective action to prevent the  spread and introduction of 
pests of plants and plant products, and to promote appropriate measures for their control" (Article I).  
 Although the IPPC has strong implications for international trade, its focus is international cooperation for plant protection.   Many forms of cooperation 
fall within the scope of the Convention.  Its application to plants is not limited to the protection of cultivated plants or di rect damage from pests.  The 
scope of the Convention extends to the prot ection of cultivated and natural flora, as  well as plant produc ts, and includes dire ct and indirect damage by 
pests.  The Preamble recognizes that phytosanitary measures should be te chnically justified, transparent and should not be applied in s uch a way as to 
constitute either a means of arbitrary 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 Mu ltilateral Trade Negotiations, including the SPS Agreement. 
Date of Adoption November 1997 
Entry into force 2 October 2005 
Parties 179 
WTO Members 150 Parties to IPPC are also WTO Members.  
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 d ate. 
2. As soon as this Convention has come into force in accordance with Article XXII it shall be open for adherence by non-signato ry states and member 
organizations of FAO.  Adherence shall be effected by the deposit of an instrument of adherence with the Director-General of FA O, 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 accordan ce with the 
provisions of Article II paragraph 7 of the FAO Constitution, as appropriate, notify at the time of its adherence such modifica tions 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 ac ceptance of this 
Convention.  Any contracting party to this Convention may, at any time, request a member organization of FAO that is a contract ing 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 Conventi on.  The member organization shall provide this informatio n within a reas onable time" . 
Decision-Making 
Bodies Article X – Standards 
"1. The contracting parties agree to cooperate in the development of international standards in accordance with the procedures adopted by the 
Commission. 2. International standards shall be adopted by the Commission. 
3. Regional standards should be consistent with the principles of this Convention;  such standards may be deposited with the Co mmission for 
consideration as candidates for international standards for phytosanitary measures if  more broadly applicable. 
4. Contracting parties should ta ke into account, as appropriate, international standards when undertaking activities related to  this Convention". 
Article XI – Commission on Phytosanitary Measures "1. Contracting parties agree to  establish the Commission on Phytosanitary Measures within the fra mework of the FAO. 
2. The functions of the Commission shall be to promote the full implementation of the objectives of the Convention and, in part icular, to: 
(a) review the state of plant protection in the world and the need for action to control the international spread of pests and their introduction into  
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- 9 - endangered areas; 
(b) establish and keep under review the necessary institutional arrangements and procedures for the development and adoption of  international 
standards, and to adopt international standards; (c) establish rules and procedures for the resolution of disputes in  accordance with Article XIII; 
(d) establish such subsidiary bo dies of the Commission as may be necessary fo r the proper implementation of its functions; 
(e) adopt guidelines regarding the recognition of regional pl ant protection organizations; 
(f) establish cooperation with other relevant international organizations on matters covered by this Convention; (g) adopt such recommendations for the implementation of the Convention as necessary;  and (h) perform such other functions as ma y be necessary to the fu lfilment of the objectives of this Convention. 
3. Membership in the Commission shall be open to all contracting parties. 5. The contracting parties shall make every effort to reach agreement on all matters by  consensus.  If all efforts to reach con sensus have been 
exhausted and no agreement is reached, the decision shall, as a last resort, be taken by a two-thirds majority of the contracti ng parties present and 
voting. 6. A member organization of FAO that is a contracting party and the member states of  that member organization that are contract ing parties shall 
exercise their membership rights and fulfil their membership obligations in accordance, mutatis mutandis , with the Constitution and General Rules of FAO 
…". 
 An Interim Commission on Phytosanitary Measures (ICPM) was es tablished with the adoption of the 1997 Amendments.  With the ent ry into force of the 
1997 Amendments in 2005, the Commission on Phytosanitary Measures (CPM) superseded the ICPM.   The first meeting of the CPM was  held in Rome on 
3-7 April 2006.    There are two Subsidiary bodies under the CPM: 
- Standards Committee: 25 elected members representing the seven FAO regions whose primary function is to oversee the developme nt of 
International Standards for Phytosanitary Measures ISPMs. 
- Subsidiary Body for Dispute Settlement: seven elected members (one from each FAO region) who oversee the IPPC dispute settlem ent system.  
Amendments and 
Protocols Article XVI – Supplementary agreements 
"1. The contracting parties may, for the purpose of meeting specia l problems of plant protection which need particular attentio n or action, enter into 
supplementary agreements.  Such agreements may be applicable to specific regions, to specific pests, to specific plants and pla nt products, to specific 
methods of international transportation of plants and plant prod ucts, or otherwise supplement th e provisions of this Convention .  
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 Conv ention and shall conform to the principles and provisions of t his Convention, as well 
as to the principles of transparency, non- discrimination and the avoidance of disguise d restrictions, particularly on internati onal trade". 
Article XXI – Amendment "1. Any proposal by a contracting party for the amendment of this Convention shall be communicated to the Director-General of F AO. 
2. Any proposed amendment of this Convention received by the Director-General of FAO from a co ntracting party shall be presente d 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 comm ittee of specialists convened by FAO prior to the Commission.  
3. Notice of any proposed amendment of this Convention, other than amendments to the Annex, shall be transmitted to the contrac ting 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 c onsidered is dispatched. 
4. Any such proposed amendment of this Convention shall require the approval of the Commission and shall come into force as fro m the thirtieth day 
after acceptance by two-thirds of the contra cting parties.  For the purpos e of this Article, an inst rument deposited by a membe r organization of FAO shall 
not be counted as additional to those deposite d by member states of such an organization. 
5. Amendments involving new obligations for contracting parties, however, shall come into force in respect of each contracting party only on acceptance 
by it and as from the thirtieth day after such acceptance.  The instruments of acceptance of amendments involving new obligatio ns shall be deposited with 
the Director-General of FAO, who shall info rm 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 th e Secretary and shall be 
considered for approval by the Commission.  Approved amendments  to the model phytosanitary certificates set out in the Annex to  this Convention shall  
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- 10 - become effective ninety days afte r their notification to the contra cting 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 t o this Convention 
becoming effective, the previous version of  the phytosanitary certificates shall also be legally valid for the purpose of this Convention." 
 
1.2  International Convention for the Co nservation of Atlantic Tunas (ICCAT) 
Web site 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.  
Date of Signature Convention:  14 May 1966 
Paris Protocol (on Articles XIV, XV and XVI):  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 47 Parties 
WTO Members 42 Parties to ICCAT are also WTO Members 
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 Specialized Ag ency of the 
United Nations.  Any such Government which does not si gn this Convention may adhe re 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 any inter-
governmental economic integration organization constituted by States that have transferred to it competence over the matters go verned by this 
Convention, including the competence to enter into treaties in respect of those matters." Paragraph 6 further provides that, "W hen an organization 
referred to in paragraph 4 becomes a Contracting Party to this Co nvention, the member states of that organization and those whi ch adhere to it in the 
future shall cease to be pa rties 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 othe r relevant information, recommend management measures and Resol utions aimed at 
carrying out its objective of maintaining the populations of tuna and tuna-like fishes at "levels which will permit maximum sus tainable catch".  The 
scientific advice is prepared by the organization´s scientific branch, the Standing Committee on  Research and Statistics (SCRS) . 
 Normally, Recommendations and Resolutions ar e drafted by already-established auxiliary bodies (such as the four species-group P anels, the Compliance 
Committee or the Permanent Working Group on ICCAT Statistics and Conservation Measures), and are presented to the Commission as  the ultimate 
decision-making body.  Whil e Recommendations are applicable to  Contracting Parties and Cooperat ing non-Contracting Parties, Ent ities or Fishing Entities, 
Contracting Parties 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  the Conservation of 
Atlantic Tunas, 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 Conven tion 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, gr oup of species, or geographic area under its purview, and for collecting scientific and 
other information relating thereto; (b) may propose to the Commission, upon the basis of scientific investigations, recommendations for joint action by the Contrac ting Parties; 
(c) may recommend to the Commission studies and investigations necessary for obtaining information relating to its species, gro up of species, or 
geographic area, as well as the co-ordination of pr ogrammes of investigation by  the Contracting Parties."  
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- 11 - Article VIII 
"1. (a) The Commission may, on the basis of scientific evidence, make recommendations designed to  maintain the populations of t una and tuna-like 
fishes that may be taken in the Convention area at levels which will permit the maximum sustainable catch.  These recommendatio ns 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 paragrap h 1 of this Article shall become effective for all Contracting Parties six months aft er the date of the 
notification from the Commission transmitting the recommendation to  the Contracting Parties, except  as provided in paragraph 3 of this Article.... 
4. Any Contracting Party ob jecting to a recommendation may at any time withdr aw that objection, and the recommendation shall be come effective with 
respect to such Contracting Party immediately if the recommendation is already in effect, or at such time as it may become effe ctive under the terms of 
this Article. 5. The Commission shall notify each Contract ing Party immediately upon receipt of each objection and of each withdrawal of an o bjection, and of the 
entry into force of any recommendation."  
Amendments and 
Protocols Article XIII:1 
"1. Any Contracting Party or the Commission may propose amendments to this Conven tion.  The Director-General of the FAO shall t ransmit a certified 
copy of the text of any proposed amendment to all the Contract ing Parties.  Any amendment not involving new obligations shall t ake effect for all 
Contracting Parties on the thirti eth day after its acceptance by three-fourths of the Contracting Parties.  Any amendment invol ving new obligations shall 
take effect for each Contracting Party accepting the amendment on the ninetieth day after its acceptance by three-fourths of th e Contracting Parties and 
thereafter for each remaining Cont racting Party upon acceptance by it.  Any amendm ent considered by one or more Contracting Par ties to involve new 
obligations shall be deemed to involve new obligations and shall take effect accordingly.  A government which becomes a Contrac ting Party after an 
amendment to this Convention has been opened  for acceptance pursuant to the provisions  of this Article shall be bound by the Co nvention as amended 
when the said amendment comes into force".  
 
1.3  Convention on International Trade in Enda ngered Species of Wild Fauna and Flora (CITES) 
Web site www.cites.org 
Objective  CITES is an international treaty to regulate international trade in wildlife (animals, plants and their parts and derivatives) for conservation and 
sustainable use purposes.  The Convention primarily covers spec ies that are in the international markets which are not yet thre atened with extinction but 
could become so without trade regulation (97% of the total). It also prohibits international commercial trade in wild specimens  of the small number of 
species listed as already being threatened with extinction (3% of the total). It provides a framework for legal, sustainable an d traceable wildlife trade 
based on the best scientific information av ailable, and analyses regard ing how different types of trade regulations can affect specific populations.  
 CITES trade-related measures seek to ensure that trade is not detrimental to the survival of wildlife species and traded specim ens are not obtained in 
contravention of national laws for the protection of fauna and flor a.  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 (e.g. in  accordance with the Live Animals Regulations and Perishable Ca rgo Regulations of the 
International Air Transp ort Association and the CITES guidelines for the non-air transport of live wild animals and plants ). 
Date of Signature Convention: 3 March 1973 
Bonn Amendment to Article XI: 22 June 1979 Gaborone Amendment to Article XXI: 30 April 1983  
Entry into force Convention: 1 July 1975 
Bonn Amendment to Article XI: 13 April 1987 Gaborone Amendment to Article XXI: has not entered into force as of 1 October 2013 
Parties Convention (1973):  178 Parties 
Bonn Amendment (1979):  142 Parties  Gaborone Amendment (1983):  94 Parties  
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- 12 - WTO Members Convention (1973):  151 Parties to CITES are also WTO Members. 
Bonn Amendment (1979):  122 Parties to this Amendment are also WTO Members. Gaborone Amendment (1983):  88 Parties to this Amendment are also WTO Members. 
Openness of 
Membership Article XXI – Accession  
"The present Convention shall be open inde finitely for accession.  Inst ruments of accession shall be deposited with the Deposit ary Government". 
 The Gaborone Amendment, when it enters into force, will open the membership to regional economic integration organizations :  " This Convention shall 
be open for accession by regional  economic integration organizations constituted by  sovereign States which have competence in r espect of the 
negotiation, conclusion and implementation of international agreements in matters transferred to them by their Member States an d covered by this 
Convention... In the fields of their competence, regional economic integration organizations shall exercise their right to vote  with a number of votes equal 
to the number of their Member States which are Parties to the Convention. Such organizations shall not exercise their right. to  vote if their Member States 
exercise theirs, and vice versa."  
Decision-Making 
Bodies Article XI:3 – Conference of the Parties  
"3. At meetings, whether regular or extraord inary, the Parties shall review the implementation of the present Convention and ma y:   
(a) make such provision as may be necessary to enable the Secretariat to carry out its duties, and adopt financial provisions;   
(b) consider and adopt amendments to Appendices I and II in accordance with Article XV;   (c) review the progress made towards the re storation and conservation of the species included in Appendices I, II and III;   
(d) receive and consider  any reports presented by the Secr etariat or by any Party;  and  
(e) where appropriate, make recommendations for impr oving the effectiveness of the present Convention". 
Resolution Conf. 11.1 (Rev. CoP16) – Establishment of Committees "[The CoP to the Convention] … Resolves that: 
(a) there shall be a permanent Standing Comm ittee of the [CoP], which shall be the senior Committee, and shall report to the [C oP]; 
(b) there shall be an Animals Committee and a Plants Committee, which shall report to the [CoP] at its meetings and, if so requ ested, to the 
Standing Committee between meetings of the [CoP]; (c) the [CoP] may appoint additional committees as the need arises; (d) the [CoP] or the Standing Committee may appoint working groups with specific terms of reference as required to address spec ific problems.  
These working groups shall have a defined life span which shall not exceed the period until the next meeting of the [CoP], at w hich time it may be 
renewed if necessary.  They shall report to the [CoP] an d, if so requested, to th e Standing Committee; …" 
Amendments and 
Protocols Article XV – Amendments to Appendices I and II  
"1. The following provisions shall apply in relation to amendm ents to Appendices I and II at meetings of the [CoP]:   
(a) Any Party may propose an amendment to Appendix I or II for cons ideration at the next meeting.  The text of the proposed ame ndment shall be 
communicated to the Secretariat at least 150 days before the meeting.  The Secretariat shall consult the other Parties and inte rested bodies on the 
amendment in accordance with the provisions  of sub-paragraphs (b) and (c) of paragrap h 2 of this Article and shall communicate the response to all 
Parties not later than 30 da ys before the meeting.  
(b) Amendments shall be adopted by a two-thirds majority of Parties present and voting.  For these purposes "Parties present an d 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 en ter into force 90 days after that meeting for all Parties except those which make a  reservation in 
accordance with paragraph 3 of this Article.  
2. The following provisions shall apply in relation to amendmen ts to Appendices I and II between meetings of the [CoP]:   
(a) Any Party may propose an amendment to Appendix I or II for co nsideration between meetings by the postal procedures set fort h in this 
paragraph. … (f) If no objection to the proposed amendm ent is received by the Secretariat within 30 days of the date the replies and recomme ndations were 
communicated under the provisions of sub-pa ragraph (e) of this paragraph, the amendmen t shall enter into force 90 days later fo r all Parties except 
those which make a reservation in accordan ce with paragraph 3 of this Article. 
(g) If an objection by any Party is received by the Secretariat,  the proposed amendment shall be submitted to a postal vote in accordance with the 
provisions of sub-paragraphs (h) , (i) and (j) of this paragraph...  
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- 13 - (j) Provided that votes are received from on e-half of the Parties, the amendment shall be adopted by a two-thirds majority of P arties 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 Secretaria t of its acceptance for all 
Parties except those which make a reservation in accordance with paragraph 3 of this Article.  
3. During the period of 90 days provided for by sub-paragraph (c ) of paragraph 1 or sub-paragraph (l) of paragraph 2 of this Ar ticle any Party may by 
notification in writing to the Depositary Government make a rese rvation 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 concerned".  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 wit hin its jurisdiction for the 
purpose mentioned in paragraph 3 of Article II. Appendix III sha ll 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 are specifie d in relation to the species 
for the purposes of sub-pa ragraph (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 Secretar iat as soon as possible 
after receiving it. The list shall take effect as part of Append ix III 90 days after the date of such communication. At any tim e after the communication of 
such list, any Party may by notification in  writing to the Depositary Government ente r a reservation with respect to any specie s 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 Conventi on with respect to trade in 
the species or part or derivative concerned. 3. A Party which has submitted a species for inclusion in Appendix  III may withdraw it at any time by notification to the Secre tariat which shall 
communicate the withdrawal to al l Parties. The withdrawal shall take effect 30 days after the date of such communication... 
Article XVII – Amendment of the  "1. An extraordinary meeting of the [CoP] shall be convened by the Secretariat on the written request of at least one-third of the Parties to consider and 
adopt amendments to the present Convention.  Such amendments shall be adopted by a two-thirds majority of Parties present and v oting.  For these 
purposes "Parties present and voting" means Parties present and casting an affirmative or negative vote.  Parties abstaining fr om voting shall not be 
counted among the two-thirds required for adopting an amendment. 2. The text of any proposed amendment shall be communicated by the Secretariat to all Parties at least 90 days before the meeti ng. 
3. An amendment shall enter into  force for the Parties which have accepted it 60 days after two-thirds of the Parties have depo sited an instrument of 
acceptance of the amendment with the Depositary Government.  Th ereafter, the amendment shall enter into force for any other Par ty 60 days after that 
Party deposits its instrument of acceptance of the amendment".  
 Resolution Conf. 4.27 on the Interpretation of  Article XVII, paragraph 3, of the Convention provides that "the meaning of Article XVII, 
paragraph 3, of the Convention be interpreted in its narrow sense so as to mean that the acceptance of two-thirds of the Partie s at the time of the 
adoption of an amendment is required for th e coming into force of such amendment".  
Amendments 
adopted Bonn amendment – 22 June 1979 
 On 22 June 1979, the CoP to CITES adopted an amendment to Articl e XI, paragraph 3 a), consisting of inserting the words ", and  adopt financial 
provisions" at the end of the provision.  In accordance with Article XVII, paragraph 3, the Bonn amendm ent entered into force 60 days after 34 of the 50 States (two-thi rds) that were parties 
to CITES on 22 June 1979 deposited their instruments of acceptance, i.e. on 13 April 1987.  At that time it entered into force only for those States that 
had accepted the amendment (no matter on what date they became party to the Convention).  However, the amended text of the Conv ention now applies 
automatically to any State that becomes a Party afte r the date of entry into force of the amendment. 
Gaborone amendment– 30 April 1983 (not yet in force)  On 30 April 1983, the CoP to CITES adopted in Gaborone, Botswana, an amendment to Article XXI of the Convention to permit acce ssion by regional 
economic integration organizations and especially  to allow the EC to become a CITES party. 
 In accordance with Article XVII, paragraph 3, the Gaborone amen dment shall enter into force 60 da ys after 54 of the 80 States that were party to 
CITES on 30 April 1983 have deposited their instruments of acceptance .  However, at that time it will enter into force only for  those States that have 
accepted the amendment.  The amended text of the Convention wi ll apply automatically to any State that becomes a Party after th e date of entry into 
force of the amendment.  For States that became party to the Conv ention before that date and have  not accepted the amendment, i t will enter into force 
60 days after they  do accept it.  
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- 14 - 1.4  Convention on the Conservation of Antarctic Marine Living Resources (CCAMLR) 
11.  The CCAMLR is part of the Antarctic Treaty System, a set of  arrangements made for the purpose of coordinating relations am ong states with respect to 
Antarctica.  The Antarctic Treaty came into force on 23 June 1961, and it remains in force indefinitely.  The success of the An tarctic Treaty has been the growth 
in membership.  Fifty countries, comprising 80% of the world's population, have acceded to the Antarctic Treaty.  Consultative (voting) status is open to all 
countries who have demonstrated their commitment to the Antarctic by conducting significant research.  Twenty-eight nations hav e Consultative status under 
the Antarctic Treaty.  The Antarctic Treaty 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 Antarctica.  Collectively, they are known as the Antarctic 
Treaty System (ATS).  The five international Agreements are:   
 Agreed Measures for the Conservation of Antarctic Fauna and Flora (1964);  
 Convention for the Conservation of Antarctic Seals (1972); 
 Convention on the Conservation of Antarctic Marine Living Resources (1980); 
 Convention on the Regulation of Antarctic Mineral Resource Activities (1988); 
 Protocol on Environmental Protection to the Antarctic Treaty (1991). 
12.  The Preamble to CCAMLR recognises "the prime responsibility  of the Antarctic Treaty Consultative Parties for the protectio n and preservation of the 
Antarctic environment and, in particular, their responsibilities under Article IX, paragraph 1(f) of the Antarctic Treaty in re spect of the preservation and 
conservation of living resources in Antarctica". 
Web site www.ccamlr.org  
Objective  The Convention is based on an ecosystem-wi de approach to the conservation of marine living resources in the waters surrounding Antarctica.  It 
incorporates standards designed to ensure the conservation of no t only individual populations and species, but also the mainten ance of the breadth of the 
Antarctic marine ecosystem as a whole.  Conservation principles established by the Convention em body an "ecosystem approach" to  living resources 
conservation and set CCAMLR's marine resources management re gime apart from other internatio nal fisheries organisations. 
 The Convention's Commission is re sponsible for the conservation of marine living resources in the Convention Area, (south of ab out 60°S and between 
that latitude and the Antarctic Convergence), which include all species of fish, molluscs, crustaceans and other marine organis ms as well as marine birds.  
Rational use of resources is considered a part of their conserva tion.  Although management of seals and whales is under the jur isdiction of the Convention 
for the Conservation of Antarctic Seals (CCAS) and the Internat ional Whaling Commission (IWC), CCAMLR takes into account, in el aborating its 
conservation strategy, the status of these animals as an integral part of the Antarctic marine ecosystem. 
Date of Signature 20 May 1980 
Entry into force 7 April 1982 
Parties 36 Parties (25 Members and 11 Acceding States) 
 States that have ratified the Convention, but are not Commission members:  Bulgaria, Canada, Cook  Islands, Finland, Greece, Mau ritius, Netherlands, 
Pakistan, Peru, Panama and Vanuatu. 
WTO Members 35 Parties to CCAMLR are also WTO Members. 
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  marine living resources to 
which this Convention applies. 2. This Convention shall be open for acce ssion by regional economic in tegration organisations constituted by sovereign States w hich include among 
their members one or more States Members of the Commission and to  which the States members of the organisation have transferred , in whole or in part,  
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- 15 - competences with regard to the matters covered by this Convention .  The accession of such regional economic integration organis ations shall be the 
subject of consultations among Members of the Commission". 
Decision-Making 
Bodies  The main decision-making body is the Commission for the CCAMLR.  The Commission has two standing committees:  The Standing Com mittee on 
Administration and Finance (SCAF) and the Standing Committee on Implementation and Compliance (S CIC).  All decisions on matters  of substance are 
taken by consensus.  The institutional features of the Convention comprise, in addition to the Commission, a Scientific Committ ee for the Conservation of 
Antarctic Marine Living Resources (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 Mana gement (WG-EMM), the Working Grou p on Fish Stock Assessment ( WG-FSA) and 
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 Antarctic Marine Livi ng Resources 
(hereinafter referred to as ‘the Commission’)". 
Article IX "1. The function of the Commission shall be  to give effect to the objective and principles set out in Article II of this Conven tion.  To this end, it shall: … 
(e) identify conservation needs and analyse the effectiveness of conservation measures; (f) formulate, adopt and revise co nservation measures on the basis of the best sc ientific evidence available, subject to the pr ovisions of paragraph 5 
of this Article; (g) implement the system of observation and inspection established under Article XXIV of this Convention; (h) carry out such other activities as are necessa ry 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-regi ons based on the distribution of populati ons of Antarctic marine living resources; 
(c) the designation of the quantity which may be harv ested from the populations of regions and sub-regions; 
(d) the designation of  protected species; 
(e) the designation of the size, ag e and, as appropriate, sex of species which may be harvested; 
(f) the designation of open and closed seasons for harvesting; (g) the designation of the opening and closin g of areas, regions or sub-regions for purp oses of scientific study or conservatio n, including special areas 
for protection and scientific study; (h) regulation of the effort employed and methods of harvesting, including fishing gear, with a view, inter alia , to avoiding undue concentration of 
harvesting in any re gion or sub-region; 
(i) the taking of such other conservation measures as the Co mmission considers necessary for the fulfilment of the objective of  this Convention, 
including measures concerning the effects of harvesting and associ ated activities on components of the marine ecosystem other t han the harvested 
populations. 
3. The Commission shall publish and maintain a record of all conservation measures in force. 4. In exercising its functions under paragraph 1 above, the Commi ssion shall take full account of the recommendations and advic e of the Scientific 
Committee. 5. The Commission shall take full account of any relevant measur es or regulations esta blished or recommende d by the Consultativ e Meetings pursuant 
to Article IX of the Antarctic Treaty or by existing fisherie s commissions responsible for species which may enter the area to which this Convention applies, 
in order that there shall be no inconsistency between the rights and obligations of a Contracting Party under such regulations or measures and 
conservation measures which may be adopted by the Commission. 
6. Conservation measures adopted by the Comm ission in accordance with this Convention  shall be implemented by Members of the Co mmission in the 
following manner: 
(a) the Commission shall notify conservation measures to all Members of the Commission; 
(b) conservation measures shall become binding upon all Members of  the Commission 180 days after such notification, except as p rovided in 
subparagraphs (c) and (d) below;  
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- 16 - (c) if a Member of the Commission, within ninety days following the notification specified in sub-paragraph (a), notifies the C ommission that it is 
unable to accept the conservation measure, in whole or in part, the measure shall not, to the extent stated, be binding upon th at Member of the 
Commission; (d) in the event that any Member of the Commission invokes the procedure set forth in sub-paragr aph (c) above, the Commission s hall meet at the 
request  
of any Member of the Commission to review the conservation measure.  At the time of such meeting and within thirty days followi ng the meeting, 
any Member of the Commission shall have the right to declare that it is no longer able to accept the conservation measure, in w hich 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 consensus.  The question of whether a matter is one o f substance shall be 
treated as a matter of substance. 2. Decisions on matters other than those referred to in paragrap h 1 above shall be taken by a simple majority of the Members of  the Commission 
present and voting". 
(2) Scientific Committee for the Conservati on of Antarctic Marine Living Resources  
Article XIV 
"1. The Contracting Parties hereby establish the Scientific Committee for the Conservati on 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 consultati on and co-operation concerning the collection, study and excha nge of information with 
respect to the marine living resources to which this Convention applies.  It shall encourage an d promote co-operation in the fi eld of scientific research in 
order to extend knowledge of the marine living resources of the Antarctic marine ecosystem. 
2. The Scientific Committee shall conduct such activities as the Commission may di rect in pursuance of the objective of this Co nvention …".  
Amendments and 
Protocols Article XXX 
"1. This Convention may be amended at any time. 
2. If one-third of the Members of the Commission request a meet ing to discuss a proposed amendment the Depositary shall call su ch a meeting. 
3. An amendment shall enter into force when  the Depositary has received instruments of  ratification, acceptance or approval the reof from all the 
Members of the Commission. 
4. Such amendment shall thereafter enter into force as to any ot her Contracting Party when notice of ratification, acceptance o r approval by it has been 
received by the Depositary.  Any such Contracting Party from which no such notice has been received within a period of one year  from the date of entry 
into force of the amendment in accordance with paragraph 3 ab ove shall be deemed to have withdrawn from this Convention".  
 
1.5  Montreal Protocol on Substa nces that Deplete the Ozone Layer 
13.  The Vienna Convention for the Protection of the Ozone Laye r is a framework convention.  It did not itself establish contro ls on ozone-depleting substances 
but rather, it established the procedural rules for future protoc ols to be developed under the framework of the Convention.  Th e Montreal Protocol on 
Substances that Deplete the Ozone Layer was adopted in 1987 and ha s been amended four times:  London Amendment (1990), Copenhag en Amendment 
(1992), Montreal Amendment (1997) and Beijing Amendment (1999).  Its control provisions were strengthened through five adjustme nts to the Protocol 
adopted in London (1990), Copenhagen (1992), Vienna (1995), Montreal (1997) and Beijing (1999). 
 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 
Date of Signature 22 March 1985 16 September 1987  29 June 1990  25 November 1992  17 September 1997  3 December 1999  
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- 17 -  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 
Entry into force 22 September 1988 1 January 1989  10 August 1992  14 June 1994  10 November 1999  25 February 2002 
Parties 197 197 197 197 194 190 
WTO Members 156 WTO Members 156 WTO Members 156 WTO Members 156 WTO Members 154 WTO Members 151 WTO Members 
 
 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, and Beijing -1999 
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 fro m 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 ea ch other in scientific research and 
information exchange to improve under standing 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 force 
"1. This Convention shall enter into force on the ninetieth day after the 
date of deposit of the twentieth instrument of ratification, acceptance, approval or accession. 2. Any protocol, except as otherwis e provided in such protocol, shall 
enter into force on the ninetieth day after the date of deposit of the eleventh instrument of ratification, acce ptance or approval of such protocol 
or accession thereto. 
3. For each Party which ratifies, accepts or approves this Convention or 
accedes thereto after the deposit of the twentieth instrument of ratification, acceptance, approval or accession, it shall enter into force on the ninetieth 
day after the date of deposit by such Pa rty of its instrument of ratification, 
acceptance, approval or accession. 4. Any protocol, except as otherwis e provided in such protocol, shall 
enter into force for a party that ratifies , accepts or approves that protocol or 
accedes thereto after its entry into force pursuant to paragraph 2 above, on the ninetieth day after the date on which that party deposits its instrument of ratification, acceptance, approval or accession, or on the date which the Convention enters into fo rce for that Party, whiche ver 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 depo sited by member States of such 
organization".  Article 16 – Entry into force  
"1. This Protocol shall enter into forc e on 1 January 1989, provided that at 
least eleven instruments of ratification, acceptance, approval of the Protocol or accession thereto have been deposi ted by States or regional economic 
integration organizations representing at least two-thirds of 1986 estimated global consumption of the controlled  substances, and the provisions of 
paragraph 1 of Article 17 of the Conventi on 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 da y following the date on which the 
conditions have been fulfilled. … 3. After the entry into force of this Protocol, any State or regional economic integration organization shall become a Party to it on the ninetieth 
day following the date of deposit of  its instrument of ratification, 
acceptance, approval or accession". Article 17 – Parties joining after entry into force "Subject to Article 5, any State or regional economic integration 
organization which becomes a Party to this Protocol after the date of its 
entry into force, shall fulfil forthwith the sum of the obligations under Article 2, as well as under Articles 2A to 2I an d Article 4, that appl y at that date to 
the States and regional economic in tegration organizations that became 
Parties on the date the Prot ocol entered into force".   
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- 18 -  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, and Beijing -1999 
Openness of 
Membership Article 12 – Signature 
"This Convention shall be open for si gnature by States and by regional 
economic integration organizations..." Article 13 – Ratification, acceptance or approval "1. This Convention and any protocol  shall be subject to ratification, 
acceptance or approval by States an d by regional economic integration 
organizations... 2. Any organization referred to in  paragraph 1 above which becomes a 
Party to this Convention or any protoc ol without any of its member States 
being a Party shall be bound by all th e obligations under the Convention or 
the protocol, as the case may be. In the case of such organizations, one or more of whose member State is a Party to the Convention or relevant protocol, the organization and its me mber States shall decide on their 
respective responsibilities for the pe rformance 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 sh all 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 si gnature by States and by regional 
economic integration organizations …". Copenhagen Amendment (1992):   Article 2 – Relationship to the 1990 Amendment "No State or regional economic inte gration 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 MOP in London, 29 June 1990."  Montreal Amendment (1997):   Article 2 – Relationship to the 1992 Amendment "No State or regional economic inte gration organization may deposit an 
instrument of ratification, acceptance, approval or accession to this Amendment unless it has previously, or simultaneously, deposited such an instrument to the Amendment adopted at the Fourth MOP in Copenhagen, 
25 November 1992." 
Beijing Amendment (1999):   Article 2 – Relationship to the 1997 Amendment  "No State or regional economic inte gration organization may deposit an 
instrument of ratification , acceptance or approval of or accession to this 
Amendment unless it has previously, or simultaneously, deposited such an instrument to the Amendment adopted at the Ninth MOP in Montreal, 17 September 1997."  
Decision-Making 
Bodies Article 6  – Conference of the Parties 
"...4. The [COP] shall keep under continuous review the implementation of this Convention, and, in addition, shall: … 
(c) Promote, in accordance with article 2, the harmonization of 
appropriate policies, st rategies and measures  for minimizing the 
release of substances causing or likely to cause modification of the ozone layer, and make recommen dations 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 prot ocol, 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 meetin gs of the Parties shall be to: 
(a) review the implementation of this Protocol; (b) decide on any adjustments or re ductions referred to in paragraph 9 
of Article 2; (c) decide on any addition to, inse rtion in or removal from any annex 
of substances and on related cont rol measures in accordance with 
paragraph 10 of Article 2; 
(d) establish, where necessary, guidel ines 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 additi onal action that may be required  
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- 19 -  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, and Beijing -1999 
(h) Consider and adopt, as requir ed, 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 [COP] may at a meeting adopt protocols pursuant to Article 2. 
2. The text of any proposed prot ocol shall be co mmunicated 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 sh all be adopted at a meeting of the 
[COP].  Amendments to any protocol shall be adopted at a [MOP] to the protocol in question.  The text of any proposed amendment to this Convention or to any protocol, except as may otherwise be provided in such 
protocol, shall be communicated to the Parties 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 e ffort 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 Pa rties 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, appr oval 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, exce pt as may otherwise be provided in 
such protocol.  Thereafter the amendments shall enter into force for any other Party on the ninetieth day after th at 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 a ffirmative 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 th is Protocol, the provisions of the 
Convention relating to its protocols shall apply to this Protocol".  A party to the Protocol that has not ratified a subsequent amendment is 
treated as a non-Party for the purposes of trade in the relevant substances 
controlled by that particular amendm ent (Article 4(9) of the Protocol).  
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- 20 -  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, and Beijing -1999 
become a party to a protocol unless it is, or becomes at the same time, a 
Party to the Convention. 2. Decisions concerning any protocol shall be taken only by the parties to the protocol concerned". Procedures for amending annexes to the Convention are laid out in 
Article 10.  
 
1.6  Basel Convention on the Control of Transbound ary Movements of Hazardous Wastes and their Disposal 
 Basel Convention on the Control of Transboundary Movements  
of Hazardous Wastes and their Disposal Basel Protocol on Liability and Compensation for Damage Resulting 
from Transboundary Movements of Hazardous Wastes and their 
Disposal 
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 e ffects which may result from the 
generation and management of  hazardous and other wastes. 
 The specific objectives of the Basel Convention are:   
 to minimize the generation of  hazardous and other wastes; 
 to promote the environmentally sound management of hazardous 
and other wastes;  and  
 to reduce transboundary movements of hazardous and other 
wastes. 
 The Convention provides for the attainment of these objectives through 
control of the transbo undary movements of hazar dous and other wastes, 
monitoring and prevention of illegal tr affic, requirements with regards to 
the environmentally sound management  of hazardous and other wastes, 
promotion of cooperation between Part ies, 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 an d prompt compensation for damage 
resulting from the transboundary moveme nt 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 
Entry into force 5 May 1992 Not in force. 
The Protocol will enter into force 90 days after the date of the 20th 
instrument of ratification, acceptance , formal confirmation, approval or 
accession. 
Parties 180 11 
WTO Members 146 Parties to the Basel Convention are also WTO Members.  7 Parties to the Basel Protocol on Liability are also WTO Members. 
Openness of 
Membership Article 21  – Signature  
"This Convention shall be open for sign ature by States ... and by political 
and/or economic integration organizations...". 
Article 22 – Ratification, Acceptance, Formal Confirmation or 
Approval  Article 26 – Signature 
"The Protocol shall be open for si gnature by States and by regional 
economic integration organizations Pa rties to the Basel Convention …". 
Article 27 – Ratification, Acceptance, Formal Confirmation or  
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- 21 -  Basel Convention on the Control of Transboundary Movements  
of Hazardous Wastes and their Disposal Basel Protocol on Liability and Compensation for Damage Resulting 
from Transboundary Movements of Hazardous Wastes and their 
Disposal 
"1. This Convention shall be subject to  ratification, acceptance or approval 
by States ... and to formal confirmati on or approval by political and/or 
economic integration organizations. In struments of ratification, acceptance, 
formal confirmation, or approval shal l be deposited with  the Depositary. 
2. Any organization referred to in  paragraph 1 above which becomes a 
Party to this Convention without any of its member States being a Party shall be bound by all the obligations under the Convention. In the case of 
such organizations, one or more of wh ose member States is a Party to the 
Convention, the organization and its member States shall decide on their respective responsibilities for the perfo rmance 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/or economic integration organizat ions from the day after the date on 
which the Convention is closed for signature …". Approval  
"1. The Protocol shall be subject to ra tification, acceptance  or approval by 
States and to formal co nfirmation or approval by regional 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 of this Article which becomes a Contracting Pa rty without any of its member States being a 
Contracting Party shall be bound by all the obligations under the Protocol. In the case of such organizations, one or more of whose member States is 
a Contracting Party, the or ganization and its member States shall decide on 
their respective responsibilities for the performance of their obligations 
under the Protocol. In such cases, the organization and the member States shall not be entitled to exercise righ ts 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 th e Depositary...".
Decision-Making 
Bodies Article 15 – Conference of the Parties  
"...5. The Conference of the Parties (COP) shall keep under continuous review and evaluation the effective implementation of this Convention, and, in addition, shall: 
(a) Promote the harmonization of appropriate policies, strategies and measures for minimizing harm to human health and the environment 
by hazardous wastes and other wastes; (b) Consider and adopt, as required , amendments to this Convention 
and its annexes, taking into consideration, inter alia , available 
scientific, technical, economic and environmental information; (c) Consider and undertake any additi onal action that may be required 
for the achievement of the purposes of this Convention in the light of experience gained in its operation and in the operation of the 
agreements and arrangements envisaged in Article 11; 
(d) Consider and adopt protocols as required;  and (e) Establish such subsid iary bodies as are d eemed necessary for the 
implementation of this Convention. (...)  
7. The COP shall undertake three years after the entry into force of this Convention, and at least every six years thereafter, an evaluation of its effectiveness and, if deemed necessary, to consider the adoption of a complete or partial ban of transbou ndary movements of hazardous wastes 
and other wastes in light of the latest scientific, environmental, technical and economic information".  Article 24 – Meeting of the Parties 
"4. The functions of the Meeting of the Parties (MOP) shall be: 
(a) To review the implementation of and compliance with the Protocol; (b) To provide for reporting and es tablish guidelines and procedures 
for such reporting where necessary;   
(c) To consider and adopt, where necessary, proposals for amendment of the Protocol or any annexes and for any new annexes;  and 
(d) To consider and undertake any additional action  that may be 
required for the purposes of the Protocol".   
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- 22 -  Basel Convention on the Control of Transboundary Movements  
of Hazardous Wastes and their Disposal Basel Protocol on Liability and Compensation for Damage Resulting 
from Transboundary Movements of Hazardous Wastes and their 
Disposal 
 The COP 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 COP composed of 13 
representatives of all the regions.  It meets between the meetings of the COP to orientate the work of the Secretariat; provide advice for the preparation of meeting agendas and any other matters raised by the 
Secretariat.  The Open-ended Working Group is a subs idiary body to the COP and its 
mandate is to assist the COP in the implementation of the Convention and 
consider and advise the COP on issu es relating to policy, technical, 
scientific, legal, institutional, administrative, financial, budgetary and other aspects of the implementation of the Convention.  The Committee for Admi nistrating the Mech anism for Promoting 
Implementation and Compliance (also referred to as "the Compliance 
Committee") is a subsidiary body to the CO P and its mandate is to 
administer the said mechanism establishe d 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 se tting out appropriate rule s and procedures in the 
field of liability and compensation for damage resulting from the transboundary movement and disposal of hazardous wastes and other 
wastes". Article 17 – Amendment of the Convention  "1. Any Party may propose amendments to this Convention and any Party to a protocol may propose amendments to that protocol. Such amendments 
shall take due account, inter alia , of relevant scientific and technical 
considerations. 2. Amendments to this Convention sh all be adopted at a meeting of the 
COP.  Amendments to any protocol shall be adopted at a MOP to the protocol in question.  The text of  any proposed amendment to this 
Convention or to any protocol, except as may otherwise be provided in such 
protocol, shall be communicated to th e Parties by the Secretariat at least 
six months before the meeting at which it is proposed for adoption.  The Secretariat shall also communicat e 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 Article 22 – Relationship of the Protocol with the Basel Convention 
"Except as otherwise provided in the Protocol, the provisions of the 
Convention relating to its Protocols shall apply to the Protocol".   
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- 23 -  Basel Convention on the Control of Transboundary Movements  
of Hazardous Wastes and their Disposal Basel Protocol on Liability and Compensation for Damage Resulting 
from Transboundary Movements of Hazardous Wastes and their 
Disposal 
amendment shall as a last resort be ad opted 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 pa ragraph 3 above shall apply to 
amendments to any protocol, except that a two-thirds majority of the Parties to that protocol present and voting at the meeting shall suffice for their adoption. 5. … Amendments adopted in accordan ce 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, approval, formal confirmati on 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 protoc ol.  The amendments shall enter into 
force for any other Party on the nineti eth day after that Party deposits its 
instrument of ratification , approval, formal confirma tion or acceptance of 
the amendments. 6. For the purpose of this Article, "Parties present and voting" means Parties present and casting an a ffirmative or negative vote".  
 The Ban Amendment was adopted on 22 September 1995. 75 Parties 
(74 States and one regional economic  integration org.) - 68 of which are 
also WTO Members - have ratified the Amendment.  Entry into force of the amendment will take 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 a ll other countries, of hazardous wastes 
intended for final disposal, and to prohibit transboundary movements from Annex VII to non-Annex VII countries of hazardous wastes 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 throug h Decision IV/9):  in order to 
make reference to Annexes VIII and IX and establish the relationship between these new annexes and Annex III  
 Introduction of Annex VIII and IX:  Annex VIII includes wastes 
characterized as hazardous under Arti cle 1, paragraph 1(a) of the Basel 
Convention and Annex IX includes wastes that are not covered by Article 1, paragraph 1(a), unless they  contain Annex I material to an 
extent causithem to exhibit an Annex III characteristic. 
Amendment to Annex VIII and IX:  at its sixth meeting, the COP  
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- 24 -  Basel Convention on the Control of Transboundary Movements  
of Hazardous Wastes and their Disposal Basel Protocol on Liability and Compensation for Damage Resulting 
from Transboundary Movements of Hazardous Wastes and their 
Disposal 
adopted an amendment to Annex VIII and IX in order to harmonize the 
annexes with other international lists and incorporate changes in accordance with scientific and technical advances.  
 COP-7 adopted 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 eleventh meeting in 2013, the COP adopted amendments to 
Annex IX of the Basel Convention adding two new entries. 
 
1.7  Convention on Biological Diversity (CBD) 
Web site http://www.cbd.int  
Objective  The objective of the CBD is the conservation of biological dive rsity, the sustainable use of its components and the fair and eq uitable sharing of the 
benefits arising out of the utilization of genetic resources. 
Date of Signature 5 June 1992 
Entry into force 29 December 1993 
Parties 193 
WTO Members 155 Parties to the CBD are also WTO Members. 
Openness of 
Membership Article 33 – Signature 
"This Convention shall be open for signature … by all Stat es 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 a pproval by States and by regional economi c integration 
organizations… 2. Any organization referred to in paragraph 1 above which becomes a Contracting Party to  this Convention or any protocol witho ut any of its member 
States being a Contracting Party shall be bound by all the obligations under the Convention or the protocol, as the case may be .  In the case of such 
organizations, one or more of wh ose member States is a Contracting Party to this  Convention or relevant protocol, the organizat ion and its member 
States shall decide on their re spective responsibilities for the performance of their obligations under the Convention or proto col, 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 pro tocol concurrently...". 
Article 35 – Accession "1. This Convention and any protoc ol shall be open for accession by States and by regional econ omic integration organization... ". 
Decision-Making 
Bodies Article 23 – Conference of the Parties 
"...4. The COP shall keep under review the implementation  of this Convention, and, for this purpose, shall: 
(a) Establish the form and the intervals for transmitting the info rmation to be submitted in acco rdance with Article 26 and con sider such 
information as well as reports subm itted 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 ac cordance with Article 28; 
(d) Consider and adopt, as required, in ac cordance with Articles 29 and 30, amendmen ts 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 the  parties to the 
protocol concerned; (f) Consider and adopt, as required, in accordance wi th Article 30, additional annexes to this Convention;  
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- 25 - (g) Establish such subsidiary bo dies, particularly to provide scientific and te chnical advice, as are deemed necessary for the implementation of this 
Convention; (h) Contact, through the Secretariat, the ex ecutive bodies of conventions dealing with matters covered by this Convention with a view to 
establishing appropriate forms of  cooperation with them;  and  
(i) Consider and undertake any additional action that may be requ ired for the achievement of the purposes of this Convention in  the light of 
experience gained in its operation.".... 
 The COP has established a number of working groups to address sp ecific issues, such as the Working Group on Article 8(j) and Re lated Provisions of 
the Convention and the Working Group on Access to Genetic Resources and Benefit-Sharing. Article 25 –  Subsidiary Body on Scientific, Technical and Technological Advice "1. A subsidiary body for the provision of scientific, technical and technological advice is hereby established to provide the [COP] and, as appropriate, 
its other subsidiary bodies with timely advice relating to the im plementation of this Convention.  This body shall be open to p articipation by all Parties 
and shall be multidisciplinary.  It shall comprise government representatives competent in the relevant field of expertise.  It  shall report regularly to the 
[COP] on all aspects of its work.  2. Under the authority of and in accordance with guidelines laid  down by the [COP], and upon its request, this body shall: 
(a) Provide scientific and technical assessment s of the status of biological diversity; 
(b) Prepare scientific and technical assessments of the effects of  types of measures taken in accordance with the provisions of  this Convention; 
(c) Identify innovative, efficient and state-of-the-art technologi es and know-how relating to the conservation and sustainable use of biological 
diversity and advise on the ways and means of promotin g development and/or transf erring such technologies; 
(d) Provide advice on scientific programmes and international cooperation in research and development related to conservation a nd sustainable use 
of biological diversity;  and (e) Respond to scientific, technical, technological and methodolog ical questions that the [COP] an d its subsidiary bodies may p ut to the body".... 
Amendments and 
Protocols (1) Amendments 
Article 29 – Amendment of the Convention or Protocols 
"1. Amendments to this Convention may be pr oposed by any Contracting Party.  Amendments  to any protocol may be proposed by any Party to that 
protocol.  2. Amendments to this Convention  shall be adopted at a meeting of the [COP].  Am endments to any protocol shall be adopted at a [MOP] to the 
Protocol in question.  The text of any prop osed amendment to this Convention or to an y protocol, except as may otherwise be pro vided in such protocol, 
shall be communicated to the Parties to the instrument in questi on by the secretariat at least six months before the meeting at  which it is proposed for 
adoption.  The secretariat shall also communicate proposed amendm ents 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 co nsensus.  If all 
efforts at consensus have been exhausted, and no agreement reache d, the amendment shall as a last resort be adopted by a two-th ird majority vote of 
the Parties to the instrument in question present and voting at the meeting, and shall be submit ted by the Depositary to all Pa rties for ratification, 
acceptance or approval.   4. Ratification, acceptance or approval of amendments shall be no tified to the Depositary in writing.  Amendments adopted in ac cordance with 
paragraph 3 above shall enter into force among Parties having acce pted them on the ninetieth day after the deposit of instrumen ts of ratification, 
acceptance or approval by at le ast two-thirds of the Contracting Parties to this Convention or of the Parties to the protocol c oncerned, except as may 
otherwise be provided in such protocol.  Thereafter the amendm ents shall enter into force for any other Party on the ninetieth day after that Party 
deposits its instru ment of ratification, acceptance or approval of the amendments.  
5. For the purposes of this Article, "Parties present and voti ng" means Parties present and cast ing an affirmative or negative vote". 
 See also Article 23:4(d) on the COP in the Section on Decision-Making Bodies above.  
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- 26 -  (2) Protocols 
Article 28 – Adoption of Protocols 
"1. The Contracting Parties shall cooper ate in the formulation and adoption of protocols to this Convention.  
2. Protocols shall be adopted at a meeting of the [COP].  
3. The text of any proposed protocol shal l be communicated to the Contracting Parties by the Secretariat at least six months be fore such a meeting."   
 The COP adopted the Cartagena Protocol on Biosafety on 29 January 2000.  The Protocol entered into force on 11 September 2003. 
Article 32 – Relationship between this Convention and Its Protocols "1. A State or a regional economic integration organization may not become a Party to a protocol unless it is, or becomes at th e same time, a 
Contracting Party to this Convention.  2. Decisions under any protocol shall be taken only by the Partie s to the protocol concerned.  Any Contracting Party that has n ot ratified, accepted or 
approved a protocol may participate as an observer in any MOP to that protocol". 
 See Cartegena Protocol on Biosafety and Nagoya Protocol on Acce ss to Genetic Resources and the Fair and Equitable Sharing of Be nefits Arising from 
their Utilization as well as the Nagoya–Kuala Lumpur Supplementary Protocol on Liability and Redress to the Cartagena Protocol On Biosafety (below). 
 
1.8  Cartagena Protocol on Biosafety to the Convention on Biological Diversity  
Web site http://bch.cbd.int/protocol/  
Objective  The objective of the Biosafety Protocol is to  ensure an adequate level of protection in the field of safe transfer, handling an d use of Living Modified 
Organisms (LMOs) that may have adverse effects on the conservation  and sustainable use of biologic al diversity, also taking int o account risks to human 
health. 
Date of Adoption 29 January 2000 
Entry into force 11 September 2003 
Parties 166 
WTO Members 138 Parties to the Biosafety Protocol are also WTO Members. 
Openness of 
Membership Article 36 – Signature 
"This Protocol shall be open for signature … by States  and regional economic in tegration organizations …". 
Article 32:1 of the Convention on Biological Diversity – Relationship between this Convention and Its Protocols 
"1. A State or a regional economic integration organization may no t become a Party to a protocol unless it is, or becomes at th e same time, a 
Contracting Party to  this Convention".  
Decision-Making 
Bodies Article 29 – Conference of the Parties Serving as the Meeting of the Parties to this Protocol 
"1. The [COP] shall serve as the [MOP] to this Protocol. 2. Parties to the Convention that are not Parties to this Protoc ol may participate as observers in the proceedings of any meeti ng of the [COP] serving 
as the [MOP] to this Protocol.  When the [COP] serves as the [MOP] to this Protocol, decisions under this Protocol shall be tak en only by those that are 
Parties to it. 3. When the [COP] serves as the [MOP] to this Protocol, any memb er of the bureau of the [COP] representing a Party to the Conve ntion but, at that 
time, not a Party to this Protocol, shall be substituted by a me mber to be elected by and from among the Parties to this Protoc ol. 
4. The [COP] serving as the [MOP] to this Protocol shall keep und er regular review the implementa tion of this Protocol and shal l make, within its 
mandate, the decisions necessary to promote its effective implementation.  It shall perfo rm the functions assigned to it by thi s Protocol and shall: 
(a) Make recommendations on any matters necessar y for the implementation of this Protocol;   
(b) Establish such subsidiary bodies as are deemed ne cessary for the implementation of this Protocol;   
(c) Seek and utilize, where appropriate, the services and cooper ation of, and information provided by, competent international organizations and 
intergovernmental and non-governmental bodies;   (d) Establish the form and the intervals for transmitting the information to be submitted in accordance with Article 33 of this  Protocol and consider 
such information as well as reports su bmitted by any subsidiary body;   
(e) Consider and adopt, as required, amendmen ts to this Protocol and its annexes, as well as any additional annexes to this Pro tocol, that are  
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- 27 - deemed necessary for the implemen tation of this Protocol;  and 
(f) Exercise such other functions as may be requ ired for the implementation of this Protocol. 
5. The rules of procedure of the Conference of the Partie s and financial rules of the Convention shall be applied, mutatis mutandis , under this Protocol, 
except as may be otherwise decided by consensus by the [COP] serving as the [MOP] to this Protocol." 
 
Article 30 – Subsidiary Bodies "1. Any subsidiary body es tablished by or under the Convention  may, upon a decision by the [COP] serving as the [MOP] to this P rotocol, serve the 
Protocol, in which case the [MOP] shall specify which functions that body shall exercise. 2. Parties to the Convention that are not Parties to this Protoc ol may participate as observers in the proceedings of any meeti ng of any such subsidiary 
bodies.  When a subsidiary body of the Conv ention serves as a subsidiary body to th is Protocol, decisions under the Protocol sh all be taken only by the 
Parties to the Protocol. 3. When a subsidiary body of the Conventi on exercises its functions with regard to matters concerning this Protocol, any member  of the bureau of that 
subsidiary body representing a Party to the Convention but, at that time, not a Party to the Protocol, shall be substituted by a member to be elected by 
and from among the Partie s to the Protocol". 
 COP-MOP 3 considered the issue of subsidia ry bodies and adopted Decision BS-III/13, by which COP-MOP decided to consider, at i ts fourth meeting, 
potential mechanisms to provide scientific and technical advice to the [COP-MOP], including, inter alia , the potential designation or establishment of a 
permanent subsidiary body, or use of subsidiary bo dies or mechanisms that may be created on an ad hoc  basis, and requested the Executive Secretary 
to prepare a pre-sessional paper fo r that meeting which includes:  
(a) A review of the findings of the Ad Hoc Open-Ended Working Gr oup on Review of Implementation  of the Convention, and any asso ciated 
decisions by the 8
th COP, concerning the review of the impacts and effectiveness 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 provided in this Prot ocol, the provisions of the Convention relating to its protocols shall apply to this Protocol". 
 See also Article 29:4(e) on [COP-MOP] to this Protocol in the Section on Decision-making Bodies above. 
 Article 29 of the CBD (Amendment of the Convention  or Protocols) will also apply to the Protocol. 
 
1.9  Nagoya Protocol on Access to Genetic Resources and the Fair and Equitable Sharin g of Benefits Arising from their Utilizati on to 
the Convention on Biological Diversity 
Objective The objective of this Protocol is the fair and equitable sharing of the benefits arising from the utilization of genetic resour ces, including by appropriate 
access to genetic resources and by appropriate transfer of releva nt technologies, taking into account all rights over those res ources and to technologies, 
and by appropriate funding, thereby contributing to the conserva tion of biological diversity an d the sustainable use of its com ponents (Article 1). 
Date of Signature This Protocol shall be open for signature by Parties to the Convention at the United  Nations Headquarters in New York, from 2 F ebruary 2011 to 
1 February 2012 (Article 32).  
Entry into force --- (NOT YET IN FORCE) The Nagoya Protocol will enter into forc e 90 days after the deposit of th e fiftieth instrument of ratifi cation, acceptan ce, approval, 
or accession (Article 33). 
Signatories 24 (not yet in force) 
WTO Members 18 (not yet in force) 
Openness of 
Membership States or regional economic integration organization s that are Parties to the Convention (Article 33).   
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- 28 - 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 Protoc ol may participate as observers in the proceedings of any meeti ng of the Conference of the 
Parties serving as the meeting of the Parties to this Protocol. Wh en the Conference of the Parties serves as the meeting of the  Parties to this Protocol, 
decisions under this Protocol shall be taken only by those that are Parties to it.  
3. When the Conference of the Parties serves as the meeting of the Parties to this Protocol, any member of the Bureau of the Co nference of the Parties 
representing a Party to the Convention but, at that time, not a Party to this Protocol, shall be substituted by a member to be elected by and from among 
the Parties to this Protocol. 4. The Conference of the Parties serving as the meeting of the Parties to this Protocol shall kee p under regular review the 
implementation of this Protocol and shall make, within its mandate, the decisions necessary to promote its effective implementa tion. It shall perform the 
functions assigned to it by this Protocol and shall:  
(a) Make recommendations on any matters necessar y for the implementation of this Protocol;  
(b) Establish such subsidiary bodies as are deemed necessary for the implementa tion of this Protocol;  
(c) Seek and utilize, where appropriate, the services and coop eration of, and information provided by, competent international organizations and 
intergovernmental and non-governmental bodies;  (d) Establish the form and the intervals for transmitting the information to be submitted in accordance with Article 29 of this  Protocol and 
consider such information as well as re ports submitted by any subsidiary body;  
(e) Consider and adopt, as required, amendmen ts to this Protocol and its Annex, as well  as any additional annexes to this Proto col, that are 
deemed necessary for the implementation of this Protocol; and  (f) Exercise such other functions as may be requ ired for the implementation of this Protocol.  
5. The rules of procedure of the Conference of the Partie s and financial rules of the Convention shall be applied, mutatis mutandis , under this Protocol, 
except as may be otherwise decided by consensus by the Conference  of the Parties serving as the meeting of the Parties to this Protocol.  
6. The first meeting of the Conference of the Parties serving as the meeting of the Parties to this Protocol shall be convened by the Secretariat and held 
concurrently with the first meeting of the Conference of the Parties that is scheduled after the date of the entry into force o f this Protocol. Subsequent 
ordinary meetings of the Conference of the Parties serving as the meeting of the Parties to this Protocol shall be held concurr ently with ordinary meetings 
of the Conference of the Parties, unless otherwise decided by th e Conference of the Parties serving as the meeting of the Parti es to this Protocol.  
7. Extraordinary meetings of the Conference of the Parties serving as the meeting of the Parties to this Protocol shall be held  at such other times as may 
be deemed necessary by the Conference of the Parties serving as the meeting of the Parties to this Protocol, or at the written request of any Party, 
provided that, within six months of the request being communicated  to the Parties by the Secretaria t, it is supported by at lea st one third of the Parties.  
8. The United Nations, its specialized agencies and the Internatio nal Atomic Energy Agency, as well as any State member thereof  or observers thereto 
not party to the Convention, may be represen ted as observers at meetings of the Confer ence of the Parties serving as the meetin g of the Parties to this 
Protocol. Any body or agency, whether nation al 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 represen ted at a meeting of the Conferen ce of the Parties serving as a meeting of the Parties to 
this Protocol as an observer, may be so admitted, unless at le ast one third of the Parties present object. Except as otherwise provided in this Article, the 
admission and participation of observers sh all be subject to the rules of procedure,  as referred to in paragraph 5 above." 
 Article 31. Assessment and Review  "The Conference of the Parties serving as the meeting of the Part ies to this Protocol shall unde rtake, four years after the ent ry into force of this Protocol 
and thereafter at intervals determined by the Conference of the Parties serving as the meeting of the Parties to this Protocol,  an evaluation of the 
effectiveness of this Protocol."  
  
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- 29 - 1.10  Nagoya – Kuala Lumpur Supplementary  Protocol on Liability and Redress to  the Cartagena Protocol on Biosafety 
Objective The objective of this Supplementary Protocol is to contribute to the conservation and sustainable use of biological diversity, taking also into account risks 
to human health, by providing international rules and procedures in the field of liability and redress relating to living modif ied organisms (Article 1). 
Date of Signature "This Supplementary Protocol shall be open for signature by Partie s to the Protocol at the United Nations Headquarters in New Y ork from 7 March 2011 to 
6 March 2012" (Article 17). 
Entry into force --- (NOT YET IN FORCE). This Supplementary Protocol shall enter into force on the ninetieth day after the date of deposit of th e fortieth instrument of 
ratification, acceptance, approval or access ion by States or regional economic integration organizations that are Parties to th e Protocol (Article 17, 
paragraph 1). 
Signatories 17 (not yet in force) 
WTO Members 16 (not yet in force) 
Openness of 
Membership Parties to the Cartagena Protocol on Biosafety ma y become a Party to the Protocol  (Article 17) 
Decision-Making 
Bodies Article 14. Conference of the Parties serving as the meeting of the Parties to the Protocol 
1. Subject to paragraph 2 of Article 32 of the Convention, the Confer ence of the Parties serving as the meeting of the Parties to the [Cartagena 
Biosafety] Protocol shall serve as the meeting of the Parties to this Supplementary Protocol. 
2. The Conference of the Parties serving as the meeting of the Parties to the Protocol shall keep under regular review the impleme ntation of this 
Supplementary 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 Supplementary Protocol and, mutatis mutandis.  
Relationship with 
the CBD and the 
Cartagena 
Protocol Article 16. relationship with the Convention and the Protocol 
1. This Supplementary Protocol shall supplement the Prot ocol 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, th e provisions of the Convention and the Protocol shall apply, mutatis mutandis , to 
this Supplementary Protocol. 
4. Without prejudice to paragraph 3 above, this Supplementary Protoc ol shall not affect the rights and obligations of a Party unde r international 
law. 
 
1.11  United Nations Framework Convention on Climate Change (UNFCCC) 
Web site http://unfccc.int/ 
Objective  The objective of the UNFCCC is set out in Article 2 which provid es “The ultimate objective of this Convention and any related legal instruments that 
the Conference of the Parties may adopt is to achieve, in accord ance with the relevant provisions of the Convention, stabilizat ion of greenhouse gas 
concentrations in the atmosphere at a level that would prevent dangerous anthropogenic interference with the climate system. Su ch a level should be 
achieved within a time-frame sufficient to allow ecosystems to adapt naturally to climate change, to ensure that food productio n is not threatened and to 
enable economic development to proceed in a sustainable manner. 
Date of Signature 9 May 1992 
Entry into force 21 March 1994 
Parties 195 
WTO Members 156 Parties to UNFCCC are also WTO Members. 
Openness of Article 20 – Signature  
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- 30 - Membership "This Convention shall be open for signature by States Members of the United Nations or of any of its specialized agencies or t hat are Parties to the 
Statute of the [ICJ] and by  regional economic integration organizations…". 
Decision-Making 
Bodies Article 7 – Conference of the Parties 
"2. The [COP], as the supreme body of this Convention, shall keep  under regular review the implementation of the Convention and  any related legal 
instruments that the [COP] may adopt, and shall make, within its mandate, the decisions necessary to promote the effective impl ementation of the 
Convention.  To this end, it shall: 
(a) Periodically examine the obligations of the Parties and the institutional arrangements under the Convention, in the light o f the objective of the 
Convention, the experience gained in its implementation and the evolution of scientific and technological knowledge; 
(b) Promote and facilitate the exchange of information on measures  adopted by the Parties to addr ess climate change and its eff ects, taking into 
account the differing circumstances, responsibilities and capabi lities of the Parties and their respective commitments under th e Convention; 
(c) Facilitate, at the request of two or more Parties, the coordi nation of measures adopted by th em to address climate change a nd its effects, 
taking into account the differing circumstances, responsibilities  and capabilities of the Parties and their respective commitme nts under the 
Convention; (d) Promote and guide, in accordance with the objective and prov isions of the Convention, the development and periodic refineme nt of comparable 
methodologies, to be agreed on by the [COP], inter alia , for preparing inventories of greenhouse gas em issions 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 imple mentation of the 
Convention by the Parties, the ov erall effects of the measures taken pursuant to the Convention, in particular environmental, e conomic and social 
effects as well as their cumulative impact s and the extent to which progress towards the objective of the Convention is being a chieved; 
(f) Consider and adopt regular reports on the implementation of the Convention and ensure their publication;   
(g) Make recommendations on any matters necessary for the implementation of the Convention; (h) Seek to mobilize financial resources in accordance with Article 4, paragraphs 3, 4 and 5, and Article 11; 
(i) Establish such subsidiary bodies as are deemed necessary for the implementa tion of the Convention; 
(j) Review reports submitted by its subsidia ry bodies and provide guidance to them; 
(k) Agree upon and adopt, by consensus, rules of procedure and financial ru les for itself and for any subsidiary bodies; 
(l) Seek and utilize, where appropriate, the services and coop eration of, and information provided by, competent international organizations and 
intergovernmental and non-governmental bodies;  and (m) Exercise such other functions as are re quired for the achievement of the objective of the Convention as well as all other f unctions assigned to it 
under the Convention".  
 ● The Convention has two permanent subsidiary bodies that  provide advice or make re commendations to the COP. 
Article 9 – Subsidiary Body for Scientific and Technological Advice "1. A subsidiary body for scientific and technological advice is hereby established to provide th e [COP] and, as appropriate, i ts 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 expert ise.  It shall report regularly 
to the [COP] on all aspects of its work".... Article 10 – Subsidiary Body for Implementation "1. A subsidiary body for implementation is hereby established to assist the [COP] in the assessment and review of the effectiv e implementation of the 
Convention.  This body shall be open to participation by all Parties and comprise go vernment representatives who are experts on  matters related to 
climate change.  It shall report regularly to the [COP] on all aspects of its work. 
2. Under the guidance of the [COP], this body shall: 
(a) Consider the information communicated in accordance with Ar ticle 12, paragraph 1, to assess the overall aggregated effect o f 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 Ar ticle 12, paragraph 2, in order to assist the [COP] in carrying out the reviews 
required by Article 4, paragraph 2(d);  and (c) Assist the [COP], as appropriate, in the pr eparation and implementati on of its decisions".  
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- 31 - Amendments and  
Protocols (1) Amendments 
Article 15 – Amendments to the Convention 
"1. Any Party may propose amendments to the Convention. 2. Amendments to the Convention shall be ad opted at an ordinary session of the [COP].  The text of any proposed amendment to th e Convention shall 
be communicated to the Parties by the secretariat at least six mo nths before the meeting at whic h it is proposed for adoption.  The secretariat shall also 
communicate proposed amendments to the signatories to th e Convention and, for inform ation, to the Depositary. 
3. The Parties shall make every effort to re ach agreement on any proposed amendment to the Convention by consensus.  If all eff orts at consensus have 
been exhausted, and no agreement reached, the amendment shall as a last resort be adopted by a three-fourths majority vote of t he Parties present and 
voting at the meeting.  The adopted amendment shall be communicated by the secretariat to the Depositary, who shall circulate i t 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 accord ance 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 wi th 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 pr ovided, a reference to the Convention constitutes 
at the same time a reference to any annexes thereto. Without pr ejudice to the provisions of Article 14, paragraphs 2 (b) and 7,  such annexes shall be 
restricted to lists, forms and an y other material of a descriptive nature that is  of a scientific, technical, procedural or adm inistrative character. 
2. Annexes to the Convention shall be proposed and adopted in accordance with the procedure se t forth in Article 15, paragraphs  2, 3 and 4. 
3. An annex that has been adopted in acco rdance with paragraph 2 above shall enter in to 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 an nex, except for those Parties that have no tified the Depositary, in 
writing, within that period of their non- acceptance of the annex. The annex shall en ter into force for Part ies which withdraw t heir 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 procedur e as that for the 
proposal, adoption and entry into force of annexes to the Convention in accord ance 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." 
(2) Protocols  
Article 17 – Protocols 
"1. The [COP] may, at any ordinary sess ion, adopt protocols to the Convention. 
2. The text of any proposed prot ocol 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 establis hed by that instrument. 
4. Only Parties to the Convention may be Parties to a protocol.  
5. Decisions under any protocol shall be taken on ly by the Parties to the protocol concerned". 
 See Kyoto Protocol below. 
 Decision 1/CP 17 launched a process to "develop a protocol, anothe r legal instrument or an agreed outcome with legal force unde r the Convention 
applicable to all Parties". Parties also decided that the protocol, another legal instrument or an agreed outcome with legal fo rce will be adopted no later 
than COP 21, due to be held in 2015, in order for the agreement to come into effect and be implemented from 2020.  
  
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- 32 - 1.12  Kyoto Protocol to the United Nations Framework Convention on Climate Change   
Web site http://unfccc.int/ 
Objective  The Kyoto Protocol supplements and strengthens the UNFCCC.   
Date of Signature 11 December 1997 
Entry into force 16 February 2005 
Parties 192  
WTO Members 154 Parties to the Kyoto Protocol are also WTO Members. 
Openness of 
Membership Article 24 
"1. This Protocol shall be open for signat ure and subject to ratification, acceptance or approval by States and regional econom ic integration 
organizations which are Parties to the Convention…". 
Decision-Making 
Bodies 
 The Convention's Conference of the Parties [COP] shall serve as the meeting of the Parties to the Protocol (CMP).   
Article 13 
"1. The [COP], the supreme body of the Convention, shall serve as the Meeting of  the Parties [MOP] to this Protocol.  
2. Parties to the Convention that are not Parties to this Protoc ol may participate as observers in the proceedings of any sessi on of the [CMP] to this 
Protocol.  When the [COP] serves as the [MOP] to this Protocol, decisions under this Protocol shall be taken only by those that  are Parties to this 
Protocol.  3. When the [COP] serves as the [MOP] to this Protocol, any memb er of the Bureau of the COP representing a Party to the Convent ion 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 th e implementation of this Protocol and shall make, within its ma ndate, the decisions 
necessary to promote its effective implementa tion.  It shall perform the fu nctions assigned to it by this Protocol and shall:   
(a) Assess, on the basis of all information made available to it in accordance with the provisions of this Protocol, the implem entation of this Protocol 
by the Parties, the overall effects of the measures taken pursuant to this Protocol, in particular environmental, economic and 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 b y Article 4, paragraph 
2(d), and Article 7, paragraph 2, of the Co nvention, in the light of the objective of the Convention, the experience gained in its implementation and 
the evolution of scientific and technological knowledge, and in this respect consider and adopt regular reports on the implemen tation of this 
Protocol;   (c) Promote and facilitate the exchange of information on measur es adopted by the Parties to a ddress climate change and its eff ects, taking into 
account the differing circumstances, responsibilities and capabi lities of the Parties and their respective commitments under th is Protocol;   
(d) Facilitate, at the request of two or more Parties, the coordi nation of measures adopted by them to address climate change a nd its effects, 
taking into account the differing circumstances, responsibilities  and capabilities of the Parties and their respective commitme nts 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 [COP], the development and periodic re finement of comparable methodol ogies for the effective implemen tation of this 
Protocol, to be agreed on by the [CMP] to this Protocol;   
(f) Make recommendations on any matters necessar y for the implementation of this Protocol;   
(g) Seek to mobilize additional financial resource s in accordance with Article 11, paragraph 2;   
(h) Establish such subsidiary  bodies as are deemed necessary for th e implementation of this Protocol;   
(i) Seek and utilize, where appropriate, the services and coop eration of, and information provided by, competent international organizations and 
intergovernmental and non-governmental bodies;  and  (j) Exercise such other functions as may be  required for the implementation of this Protocol, and consider any assignment resul ting from a decision 
by the [COP]". In accordance with Arti cle 15, the two permanent subsidiary  bodies established by the UNF CCC shall serve the Kyoto Protocol 
Amendments and 
Protocols Article 20  
"1. Any Party may propose amen dments to this Protocol.   
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- 33 - 2. Amendments to this Protocol shall be ad opted at an ordinary session of the [CMP] to  this Protocol.  The text of any proposed  amendment to this 
Protocol shall be communicated to the Parties by the secretariat at least six months be fore the meeting at which it is proposed  for adoption.  The 
secretariat shall also communicate the text of any proposed amen dments to the Parties and signatories to the Convention and, fo r information, to the 
Depositary.   
3. The Parties shall make every effort to re ach agreement on any proposed amendment to this Protocol 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 th ree-fourths majority vote of t he Parties present 
and voting at the meeting.  The adopted amendment shall be comm unicated by the secretariat to the Depositary, who shall circula te 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 accord ance 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 this Protocol.  5. The amendment shall enter into force for any other Party on the ninetieth day after the date on which that Party deposits wi th the Depositary its 
instrument of acceptance of the said amendment".  Article 21  "1. Annexes to this Protocol shall form an integral part thereo f and, unless otherwise expressl y 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 restrict ed to lists, forms and any 
other material of a descriptive nature that is of a scientific, technical, pr ocedural or administ rative character. 
2. Any Party may make proposals for an annex to this Protoc ol and may propose amendments to annexes to this Protocol. 
3. Annexes to this Protocol and amendments to annexes to this Protocol shall be adopted at an ordinary session of the Conferenc e 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 commun icated to the Parties 
by the secretariat at least six months before the meeting at wh ich it is proposed for adoption. The secretariat shall also comm unicate the text of any 
proposed annex or amendment to an annex to  the Parties and signatories to the Conventi on and, for information, to the Depositar y. 
4. The Parties shall make every effort to reach agreement on any proposed annex or amendment to an annex by consensus. If all e fforts at consensus 
have been exhausted, and no agreement reached, the annex or amen dment to an annex shall as a last resort be adopted by a three- fourths majority 
vote of the Parties present and voting at the meeting. The adopted annex or amendment to an annex shall be communicated by the secretariat to the 
Depositary, who shall circulate it to  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 abov e shall enter 
into force for all Parties 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 per iod 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 such notification has been received b y the Depositary. 
6. If the adoption of an annex or an amen dment to an annex involves an amendment to this Protocol, that annex or amendment to a n annex shall not 
enter into force until such time as the amendment to this Protocol enters into force. 
7. Amendments to Annexes A and B to this Protocol shall be adopted and enter into force in accordance with the procedure set ou t 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 Protoc ol to provide for a 
second commitment period from 2013 to 2020. 
  
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- 34 - 1.13  International Tropical Timber Agreement (ITTA)4 
Web site www.itto.int 
Objective  ITTA, 2006 seeks to promote international trade in tropical timber , the sustainable management of tropical forests, and the dev elopment of tropical 
forest industries through internat ional cooperation, policy work and project activi ties, as provided for in objectives (a) to ( i) of Article 1. 
Date of Signature 3 April 2006 
Entry into force 7 December 2011  
Article 46 – Duration, extension and termination  "1. This Agreement shall remain in force fo r a period of 10 years after its entry in to force unless the Council, by special vot e in accordance with 
article 12, decides to extend, renegotiate or terminate it in accordance with the provisions of this article.  2. The Council may, by special vote in accordance with article 12, decide to extend this Agreement for two periods, an initial period of five years and 
additional one of three years.  3. If, before the expiry of the 10-year peri od referred to in paragraph 1 of this articl e, or before the expiry of an extension  period referred to in 
paragraph 2 of this article, as the case may be, a new agreemen t to replace this Agreement has been negotiated but has not yet entered into force 
either definitively or provisionally, the Council may, by specia l vote in accordance with article 12, extend this Agreement unt il the provisional or 
definitive entry into forc e of the new Agreement.  
4. If the new agreement is negotiated and enters into force during any period of ex tension of this Agreement under paragraph 2 or paragraph 3 of this 
article, this Agreement, as extended, shall terminat e upon the entry into force of the new agreement.  
5. The Council may at any time, by special vote in accordance with article 12, decide to terminate this Agreement with effect f rom such date as it may 
determine."  
6. Notwithstanding the termination of this Agreement, the Council shall continue in being for a period not exceeding 18 months to carry out the 
liquidation of the Organization, including the settlement of accounts, and, subject to relevant decisions to be taken by specia l vote in accordance with 
article 12, shall have during that pe riod 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." 
Parties 65 Members (28 producing and 37 consuming countries, including the European Union) 
WTO Members 64 Parties to ITTA are also WTO Members.  
Openness of 
Membership Article 36    Signature, Ratification, Acceptance and Approval 
"1. This Agreement shall be open for signature, at United Na tions Headquarters from 3 April 20 06 until one month after the date  of its entry into 
force, by Governments invited to the United Nations Conference for the Negotiation of a Successo r Agreement to the Internationa l 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 Agreemen t (definitive 
signature); or  
(b) After signing this Agreement, ratify, acce pt or approve it by the deposit of an in strument to that effe ct with the deposita ry. 
3. Upon signature and ratification, acceptance or approval, or accession, or provisional application, the European Community or  any 
intergovernmental organization referred to in article 5, paragrap h 1, shall deposit a declaration issued by the appropriate aut hority of such organization 
specifying the nature and extent of its competence over matters governed by this Agreement, and shall inform the depositary of any subsequent 
substantial change in such competence. Where such organization de clares exclusive competence over  all matters governed by this Agreement, the 
member States of such organization shall not take the actions under article 36, paragraph 2, article 37 and article 38, or shal l take the action under 
article 41 or withdraw notification of provisional application under article 38." 
                                               
4 The International Tropical Timber Agreement (ITTA), 2006 is the Successor Agreement to the International Tropical Timber Agree ment, 1994 (and, previously, 1983).    
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- 35 - 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 th e Council by one representative  and may designate alternates  and advisers to attend se ssions of the 
Council.  
3. An alternate representative shall be empo wered to act and vote on behalf of the representative during the latter's absence o r in special 
circumstances".  
Article 7 – Powers and functions of the Council  
"The Council shall exercise all such powers  and perform or arrange for the performance of all such functions as are necessary t o carry out the provisions 
of this Agreement. In particular, it shall: 
(a)  By special vote in accordance with article 12, adopt such rules and regulations as are necessary to carry out the provisio ns of this Agreement and 
as are consistent therewith, including its own rules of proced ure and the financial rules and st aff regulations of the Organiza tion. Such financial rules and 
regulations shall, inter alia, govern the receipt and expenditure of funds under the accounts established in article 18. The Co uncil may, in its rules of 
procedure, provide for a procedure whereby it may,  without meeting, decide  specific questions; 
(b)  Take such decisions as are necessary to ensure the effect ive and efficient functioning and operation of the Organization; and 
(c)  Keep such records as are required for the pe rformance of its functions under this Agreement." 
Article 29 – General obligations of members  
"1. Members shall, for the duration of this Agreement, use their best endeavours and cooperate to  promote the attainment of its  objectives and to 
avoid any action contrary thereto.  
2. Members undertake to accept and carry out the decisions of th e Council under the provisions of this Agreement and shall refr ain from implementing 
measures which would have the effect of  limiting or running counter to them". 
 (2) Committees and Subsidiary Bodies 
Article 26 Committees and Subsidiary Bodies 
"1. The following are hereby establishe d as Committees of the Or ganization, which shall be open to all members:  
(a) Committee on Forest Industry; (b) Committee on Economics, Statistics and Markets; (c) Committee on Re forestation and Forest Management; and 
(d) Committee on Financ e and Administration. 
2. The Council may, by special vote in accordance with article 12, establish or dissolve committees and subsidiary bodies as ap propriate.  
3. The Council shall determine the functionin g and scope of work of the committees an d other subsidiary bo dies. The Committees and other 
subsidiary bodies shall be re sponsible to and work under the authority of the Council." 
Amendments and 
Protocols Article 42 – Amendments  
"1. The Council may, by special vote in a ccordance with article 12, recommend an am endment 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 deposita ry has received notifications of acceptance from members const ituting at least two 
thirds of the producer members and accounting for at least 75 pe r cent of the votes of the producer members, and from members c onstituting 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 notw ithstanding the 
provisions of paragraph 2 of this article relating to the date fixed by the Council, a member ma y still notify the depositary o f its acceptance of the 
amendment, provided that such notification is made  before the entry into fo rce of the amendment.  
5. Any member which has not notified its acceptance of an amendment by the date on which such amendment enters into force shall  cease to be a 
party to this Agreement as from that date, unless such member has satisfied the Council that its acceptance could not be obtain ed in time owing to 
difficulties in completing its constitutional or institutional procedures, and the Council decides to extend for that member th e 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 accordan ce with paragraph 2 
of this article, the amendment shall be considered withdrawn".  
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- 36 - 1.14  The United Nations Fish Stocks Agreement 
14.  The United Nations Fish Stocks Agreement is the Agreement fo r the Implementation of the Provisions of the UN Convention on  the Law of the Sea 
(UNCLOS) of 10 December 1982 relating to the Conservation and Ma nagement of Straddling Fish Stocks and Highly Migratory Fish St ocks (UN Fish Stocks 
Agreement).  Article 4 of the UN Fish Stocks Agreements on the relationship between the Agreement and UNCLOS provides that "[n] othing in this Agreement 
shall prejudice the rights, jurisdiction and duties of States und er the Convention.  This Agreement shall be interpreted and ap plied 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 cons ervation and sustainable use of straddling and highly migratory fish stocks by 
requiring coastal States and States fishing on the high seas to  cooperate for these purposes, ei ther directly or through approp riate subregional or 
regional fisheries management organi zations or arrangements (RFMO/As). 
Date of Signature 5 August 1995 
Entry into force 11 December 2001 
Parties 81, including the European Union. 
WTO Members 68 Parties to the UN Fish Stocks Agreement are also WTO Members. 
Openness of 
Membership Article 37 – Signature 
"This Agreement shall be open for signature by all States and the other entities re ferred to in article 1, paragraph 2(b)…". 
Article 38 – Ratification "This Agreement is subject to ratification by States and th e other entities refe rred to in article 1, paragraph 2(b)…". 
Article 39 – Accession  "This Agreement shall remain  open for accession by States an d 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 Convent ion 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 UN Convention on the Law of the Sea – Signature "1. This Convention shall be open for signature by: 
(a) all States; (b) Namibia, represented by the UN Council for Namibia; 
(c) all self-governing associated States which have chosen that status in an act of self-determination supervised and approved by the UN in 
accordance with General Assembly resolution 1514 (XV) and which ha ve competence over the matters governed by this Convention, i ncluding the 
competence to enter into treaties in respect of those matters; (d) all self-governing associated States which, in accordance wi th their respective instruments of association, have competence  over the matters 
governed by this Convention, including the competence to enter into treaties in respect of those matters; 
(e) all territories which enjoy full internal self-government, recognized as such by the UN, but have not attained full indepen dence in accordance 
with General Assembly resolution 1514 (XV) and which have compet ence over the matters governed by this Convention, including th e competence 
to enter into treaties in respect of those matters; 
(f) international organizations, in  accordance with Annex IX".  
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- 37 - Governing Bodies 
 Informal Consultations of States Parties 
 The General Assembly of the United Nations (UNGA) in its Resolution 56/13 of 28 November 2001 requested the Secretary-General o f the UN, once 
the Agreement entered into force, to consult with the States Parties, for the pu rposes and objectives of, inter alia , considering the regional, subregional 
and global implementation of the Agreement;  making any appropri ate recommendation to the UNGA on the scope and content of the annual report of 
the Secretary-General relating to the Agreement;  and preparing fo r the review conference to be convened by the Secretary-Gener al pursuant to 
Article 36 of the Agreement.  The Informal Consultations of States  Parties were  held annually at the UN Headquarters in New Yo rk between  2002 and 
2010. The tenth round of the Informal Consultations of States Parties will be held in 2014.  
Review Conference 
 The Agreement provides for the convening of a Review Conference four years after the date of the entry into force of the Agreem ent (Article 36).   
Article 36  "1. Four years after the date of entry into force of this Agre ement, the Secretary-General of the UN shall convene a conference  with a view to 
assessing the effectiveness of this Agreement in securing the cons ervation 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 bec ome 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 pr ovisions of this Agreement and,  if necessary, propose means of strengthening the 
substance and methods of implementa tion of those provisions in order better to a ddress any continuing problems in the conservat ion and management 
of straddling fish stocks and hi ghly migratory fish stocks". 
 Pursuant to Article 36, the General Assemb ly (resolution 59/25, para.16) requested the Secretary-General to convene a review c onference on the 
Agreement in the first part of 2006.  The Conference was held in New York, from 22 to 26 May 2006. The Conference addressed way s to give full effect 
to the Agreement, both through a substantive review and assessme nt of the Agreement and by agreeing on recommendations for stre ngthening the 
implementation of its provisions.  Recommenda tions were made regarding: 1) conservation  and management of straddling fish stock s and highly 
migratroy fish stocks; 2) mechanis ms for international cooperation , including cooperation with non-member s of regional fisheries management 
organizations or arrangements; 3)  monitoring, control and surveillance and compli ance and enforcement; and 4) developing States  and non-parties. The 
Conference also recommended promoting furthe r ratification and accession to the Agreem ent through a continuing dialogue to addr ess concerns raised 
by some non-parties regarding some provisions  of the Agreement.  The Review Conference also agreed to continue the Informal Con sultations of States  
Parties and keep the Agreement under review through the resumption of the Review Conference at a date not later than 2011, to b e 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 and 64/72.  The 
Conference conducted a review of the implementation of the reco mmendations adopted at the Review Conference in 2006 and adopted  additional 
recommendations that built on the outcome in 2006 in order to st rengthen the substance and methods of implementing the provisio ns of the Agreement.  
The resumed Review Conference decided to continue the Informal Consultations of States Parties to the Agreement and keep the Ag reement under 
review through the resumption of the Review Conference at a date not earlier than 2015. 
Amendments and 
Protocols Article 45 – Amendment 
"1. A State Party may, by written communicat ion addressed to the Secretary-General of the UN, propose amendments to this Agreem ent and request 
the convening of a conference to  consider such proposed amendments.  The Secret ary-General shall circulate such communication t o all States Parties.  
If, within six months from the date of the circulation of the communication, not less than one half of the States Parties reply  favourably to the request, 
the Secretary-General shall convene the conference. 2. The decision-making procedure applicable at the amendment confer ence convened pursuant to paragraph 1 shall be the same as t hat applicable at 
the UN Conference on Straddling Fish Stocks and Highly Migrator y 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 effo rts at consensus 
have been exhausted. 3. Once adopted, amendments to this Agreement shall be open fo r signature at United Nations Head quarters by States Parties for twelve months from 
the date of adoption, unless otherwise provided in the amendment itself. 4. Articles 38, 39, 47 and 50 apply to all amendments to this Agreement. 5. Amendments to this Agreement shall enter into force for the States Parties ratifying or acceding to them on the thirtieth da y following the deposit 
of instruments of ratification or accession by two thirds of th e States Parties.  Thereafter, for each State Party ratifying or  acceding to an amendment  
  WT/CTE/W/160/Rev.6 • TN/TE/S/5/Rev.4  
 
- 38 - after the deposit of the required number of such instruments, the amendment shall enter into force on the thirtieth day followi ng 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 sh all be required for its entry in to force than are 
required by this article.   
7. A State which becomes a Party to this Agreement after the entry into force of amendments in accordance with paragraph 5 shal l, failing an 
expression of a different intention by that State: 
(a) be considered as a Party to th is 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". 
 
1.15  Rotterdam Convention on the Prior Informed Consent Proced ure for Certain Hazardous Chemicals And Pesticides in Internatio nal Trade 
Website http://www.pic.int/  
http://synergies.pops.int/  
Objective Article 1 – Objective 
"The objective of the Rotterdam Convention is to promote shared responsibility and cooperative e fforts among Parties in the inte rnational trade of 
certain hazardous chemicals in order to protect human health and the environment from potential harm  and to contribute to their  environmentally sound 
use, by facilitating information exchange about their characteri stics, by providing for a nation al decision-making process on t heir import and export and 
by disseminating these decisions to Parties". 
Date of Signature 10 September 1998 
Entry into Force 24 February 2004 
Parties 154 
WTO Members 135 Parties to the Rotterdam Convention are also WTO Members. 
Openness of 
Membership Article 24 – Signature 
"This Convention shall be open for signatur e (...) by all States and re gional economic integration organizations [from 11-12 Se ptember 1998 until 
10 September 1999]". 
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 org anizations. It shall be 
open for accession by States and by region al economic integration organizations from the day after the date on which the Conven tion is closed for 
signature. Instruments of ratification, acceptance, approv al or accession shall be de posited with the Depositary. 
2. Any regional economic integration organization that becomes a Party to this Convention without any of its member States bein g 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 P arty to this Convention, 
the organization and its member States shall decide on their respective respon sibilities for the performance of their obligatio ns under the Convention. In 
such cases, the organization and the member States shall not be entitled to exercise rights under  the Convention concurrently ( ...)." 
Decision-Making 
Bodies Article 18 – Conference of the Parties 
"(...) 5. The Conference of the Parties [COP] shall keep under continuous  review and evaluation the implementation of this Convention.  It shall perform the 
functions assigned to it by the Convention and, to this end, shall: 
(a) Establish, further to the re quirements of paragraph 6 below, such subsidiary  bodies, as it considers necessary for the impl ementation of the 
Convention; 
(b) Cooperate, where appropriate, with competent international organizations and intergovernmenta l and non-governmental bodies;   and 
(c) Consider and undertake any additional ac tion that may be required for the achievement of the objectives of the Convention. 
6. The [COP] 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 Committee by this Convention.  In this regard: 
(a) The members of the Chemical Review Committee shall be appoin ted by the [COP].  Membership of the Committee shall consist of  a limited number 
of government-designated experts in chemical s management.  The members of the Committee shall be appointed on the basis of equi table  
  WT/CTE/W/160/Rev.6 • TN/TE/S/5/Rev.4  
 
- 39 - geographical distribution, includ ing ensuring a balance between de veloped and develo ping Parties; 
(b) The [COP] shall decide on the terms of referenc e, organization and oper ation of the Committee; 
(c) The Committee shall make every effort to make its recommendati ons by consensus. If all efforts at consensus have been exhau sted, and no 
consensus reached, such recommendation shall as a last resort be  adopted by a two-thirds majority vote of the members present a nd voting". 
 In decisions RC-1/6 and RC-1/7, the COP, at its first meeting, respectively established the Chemical Review Committee (CRC) and  adopted the "rules 
and procedures for preventing and dealing wi th conflicts of interest relating to the activities of the Chemical Review Committe e". 
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 commu nicated to the 
Parties by the Secretariat at least six months before the meetin g at which it is proposed for adoption.  The Secretariat shall also communicate the 
proposed amendment to the signatories to this Conv ention and, for information, to the Depositary. 
3. The Parties shall make every effort to re ach agreement on any proposed amendment to this Convention by consensus.  If all ef forts at consensus 
have been exhausted, and no agreement reac hed, the amendment shall as a last resort be adopted by a three-fourths majority vote  of the Parties 
present and voting at the meeting. 4. The amendment shall be communicated by the Depositary to all Parties for ratification, acceptance or approval. 
 5. Ratification, acceptance or ap proval of an amendment shall be notified to the Depositary in writing.  An amendment adopted i n accordance with 
paragraph 3 shall enter into force for the Pa rties having accepted it on the ninetieth day after the date of deposit of instrum ents of ratification, 
acceptance or approval by at least three fourths of the Partie s. Thereafter, the amendment shall enter into force for any other  Party on the ninetieth day 
after the date on which that Party deposi ts its instrument of ratification, acceptance or approval of the amendment". 
 At its first meeting , in decision RC-1/11 of 24 September 2004, the COP adopted Annex VI on the settlement of disputes. 
 At is first, fourth, fifth an d sixth meetings, the COP further amended Annex III to add new chemicals subject to the prior inf ormed consent procedure  
 
1.16  Stockholm Convention on Persistent Organic Pollutants 
Web site http://www.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 enviro nment from persistent organi c 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 179 
WTO Members 148 Parties to the Stockholm Convention are also WTO Members.  
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- 40 - Openness of 
Membership Article 24 – Signature 
"This Convention shall be open for signatur e (...) by all States and regional econom ic integration organizations [from 23-24 Ma y 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 re gional economic integration org anizations.  It shall be 
open for accession by States and by region al economic integration organizations from the day after the date on which the Conven tion is closed for 
signature.  Instruments of ra tification, acceptance, approval or accessio n shall be deposited with the Depositary 
2. Any regional economic integration organi zation that becomes a Party to this Conven tion without any of its member States bein g a Party shall be 
bound by all the obligations under the Convention.  In the case of  such organizations, one or more  o f  w h o s e  m e m b e r  S t a t e s  i s  a  Party to this 
Convention, the organization and its member States shall decide on  their respective responsibiliti es for the performance of the ir obligations under the 
Convention.  In such cases, the organization and the member States  shall not be entitled to exercise rights under the Conventio n concurrently (...)". 
Decision-Making 
Bodies Article 19 – Conference of the Parties 
"(...) 5. The Conference of the Parties [COP] shal l keep under continuous review and evaluati on 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, such subsidiary bodies as  it considers necessary for the implementat ion of the Convention; 
(b) Cooperate, where appropriate, with competent international organizations and intergovernmenta l and non-governmental bodies;   and 
(c) Regularly review all information made available to the Parties pursuant to Article 15, including consideration of the effec tiveness of 
paragraph 2 (b) (iii) of Article 3; 
(d) Consider and undertake any additional ac tion that may be required for the achievement of the objectives of the Convention. 
6. The [COP] shall, at its first meeting, establish a subsidiary body to be called the Persistent Organic Pollutants Review Committee  for the 
purposes of performing the functions assigned to that  Committee by this Convention.  In this regard: 
(a) The members of the Persistent Organic Pollutants Review Commit tee shall be appointed by the [COP].  Membership of the Commi ttee shall consist 
of government-designated experts in chemical assessment or mana gement.  The members of the Comm ittee shall be appointed on the basis of 
equitable geographical distribution; (b) The [COP] shall decide on the terms of reference,  organization and operatio n of the Committee;  and 
(c) The Committee shall make every effort to adopt its recommendati ons 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 a nd voting. 
7. The [COP] shall, at its third meeting, evaluate the continue d need for the procedure contained in paragraph 2 (b) of Article  3, including 
consideration of its effectiveness. (…)".  In decisions SC-1/7 and SC-1/8, the COP, at its first meeting, respectively established the Persistent Organic Pollutants Revie w Committee (POPRC) 
and adopted the "rules and procedures for preventing and dealing wi th conflicts of interest relating to the activities of the P ersistent Organic Pollutants 
Review Committee". 
Amendments and 
Protocols Article 21 – Amendments to the Convention 
"1. Amendments to this Convention  may be proposed by any Party. 
2. Amendments to this Convention shall be adopted at a meeting of the [COP].  The text of any proposed amendment shall be commu nicated 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 Co nvention and, for informat ion, to the depositary. 
3. The Parties shall make every effort to reach agreement on any proposed amendment to this Conven tion 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 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 ap proval of an amendment shall be notified to the depositary in writing.  An amendment adopted i n accordance with 
paragraph 3 shall enter into force for the Pa rties having accepted it on the ninetieth day after the date of deposit of instrum ents of ratification, 
acceptance or approval by at least three-fourths of the Parties.  Thereafter, the amendment shall enter into force for any othe r Party on the ninetieth  
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- 41 - day after the date on which that Party deposits its instrument  of ratification, acceptance or  approval of the amendment". 
 At its first meeting , in decision SC-1/2 of 24 September 2004, the COP adopted Annex G on arbitration and conciliation procedures for the 
settlement of disputes. 
 At is fourth, fifth and sixth meetings, the COP fu rther amended Annexes A, B and C to add new POPs. 
 
2  TRADE-RELATED MEASURES  
2.1  IPPC 
Article IV "(…) 
2. The responsibilities of an official national plant protection organization shall include the following: 
(a) the issuance of certificates relating to the phytosanitary regulations of the importing contracting party for consignments of plants, plant products 
and other regula ted articles; 
(…) 
(g) to ensure through appropriate procedures that the phytosanit ary security of consignments after certification regarding comp osition, substitution 
and reinfestation is maintained prior to export; and 
(…) 
Article V 
Phytosanitary 
certification  "1. Each contracting party shall make arrang ements for phytosanitary certification, with  the objective of ensuring that exporte d plants, plant products 
and other regulated articles and consignments thereof are in confor mity with the certifying statement to be made pursuant to pa ragraph 2(b) of this 
Article. 
2. Each contracting party shall make arrang ements for the issuance of phytosanitary ce rtificates in conformity with the followi ng provisions: 
(a) Inspection and other related activities leading to issuance of phytosanitary certificates shall be carried out only by or u nder the authority of 
the official national plant protection organization.  The issuan ce of phytosanitary certificates  shall be carried out by public  officers who are 
technically qualified and duly authorized by the official nation al plant protection organization to act on its behalf and under  its control with such 
knowledge and information available to those officers that the authorities of importing contracting parties may accept the phyt osanitary 
certificates with confidence as dependable documents. 
(b) Phytosanitary certificates, or their electronic equivalent wh ere accepted by the importing co ntracting party concerned, sha ll be as worded in 
the models set out in the Annex to this Convention.  These certificates should be completed and issued taking into account rele vant international 
standards. 
(c) Uncertified alterations or erasures shall invalidate the certificates. 
3. Each contracting party undertakes not to require consignments of plants or plant products or  other regulated articles import ed into its territories 
to be accompanied by phytosanitary certificates inconsistent with the models set out in the Annex to this Convention.  Any requ irements for additional 
declarations shall be limited to those technically justified". 
Article VII  
Requirements in 
relation to imports 
 "1. With the aim of preventing the introduction and/or spread of regulated pests into their te rritories, contra cting parties sh all have sovereign 
authority to regulate, in accordance with applicable international agreements, the entr y of plants and plant products and other  regulated articles and, 
to this end, may:   
(a) prescribe and adopt phytosanit ary measures concerning the importation of plan ts, plant products and other regulated article s, including, for 
example, inspection, prohibition on importation, and treatment;   (b) refuse entry or detain, or require trea tment, destruction or remova l from the territory of the contracting party, of plants , plant products and 
other regulated articles or consignments thereof that do not co mply with the phytosanitary measures prescribed or adopted under  
subparagraph (a);   (c) prohibit or restrict the movement of regulated pests into their territories;   
(d) prohibit or restrict the movement of biological control agen ts and other organisms of phytos anitary concern claimed to be b eneficial into their 
territories.   
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- 42 - 2. In order to minimize interference with international trade, each contracting party, in exercising its authority under paragr aph 1 of this Article, 
undertakes to act in conformity with the following:   
(a) Contracting parties shall not, under thei r phytosanitary legislation, take any of the measures specified in paragraph 1 of this Article unless 
such measures are made necessary by phytosanitary considerations and are technically justified.  
(b) Contracting parties shall, im mediately upon their adoption, publish and transm it phytosanitary requir ements, restrictions a nd prohibitions to 
any contracting party or parties th at they believe may be directly  affected by such measures.  
(c) Contracting parties shall, on  request, make available to any contracting pa rty the rationale for ph ytosanitary requirements , restrictions and 
prohibitions.  (d) If a contracting party requires consignments of particular pl ants or plant products to be imported only through specified p oints of entry, such 
points shall be so selected as not to unnecessarily impede international trade.  The contracting party shall publish a list of such points of entry 
and communicate it to the Secretary, any re gional plant protection orga nization of which the contra cting party is a member, all  contracting 
parties which the contracting part y believes to be directly affe cted, and other contracting partie s upon request.  Such restric tions on points of 
entry shall not be made unless the plants, plant products or other regulated articles concerned are required to be accompanied by phytosanitary 
certificates or to be submitted to inspection or treatment.  (e) Any inspection or other phytosanitary procedure required by  the plant protection organizatio n of a contracting party for a consignment of 
plants, plant products or other regulated ar ticles offered for importatio n, shall take place as prom ptly as possible with due r egard to their 
perishability.  (f) Importing contracting parties shall, as soon as possible, inform the exporting contracting party concerned or, where approp riate, the re-
exporting contracting party concerned, of si gnificant instances of non-compliance with phytosanitary certification.  The export ing contracting party 
or, where appropriate, the re-exporting contracting party concerned,  should investigate and, on request, report the result of i ts investigation to 
the importing contracting party concerned.  (g) Contracting parties shall institute only phytosanitary measures that are technically justified, consistent with the pest ri sk involved and 
represent the least restrictive measures available, and result in the minimum impediment to the international movement of peopl e, 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 fo und to be unnecessary.  
(i) Contracting parties shall, to the best of their ability, es tablish and update list s of regulated pests, using scientific na mes, and make such lists 
available to the Secretary, to regional plant protection organiza tions of which they are members and, on request, to other cont racting parties.  
(j) Contracting parties shall, to the best of their ability, conduct surveillance for pests and develop and maintain adequate i nformation on pest 
status in order to support categorization of pests, and for the development of approp riate phytosanitary measures.  This inform ation 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 t erritories but, if they 
gained entry, cause economic damage.  Measures taken against these pests must be technically justified.  
4. Contracting parties may apply measures specified in this Article to consignments in transit through their territories only w here such measures are 
technically justified and necessary to prevent the introduction and/or spread of pests.  5. Nothing in this Article shall prevent im porting contracting parties from making spec ial provision, subject to adequate safeg uards, for the 
importation, for the purpose of scientific re search, education, or other specific use, of plants and plant products and other r egulated articles, and of 
plant pests.  6. Nothing in this Article shall prevent any contracting party fr om taking appropriate emergency action on the detection of a p est posing a potential 
threat to its territories or the report of such a detection.  An y 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 concerned, th e Secretary, and any regional pl ant protection 
organization of which the contracting party is a member".  Phytosanitary measures, based on International Standards For Ph ytosanitary Measures (ISPMs), ar e established and determined by  national 
governments i.e. there are no global or region al phytosanitary measures  that are obligatory.  
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- 43 - Article X Standards "1. The contracting parties agree to cooperate in the development of international standards in ac cordance with the procedures adopted by 
the  Commission. 2. International standards shall be adopted by the Commission. 
3. Regional standards should be consistent with the principles of this Convention;  such standa rds may be deposited with the Co mmission 
for consideration as candidates for international standard s for phytosanitary measures if more broadly applicable. 
4. Contracting parties should take into ac count, as appropriate, international standa rds 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 th e 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 application of phytosanitary measures in inter national trade 
ISPM # 02 (2007):  Framework for pest risk analysis 
ISPM # 03 (2005):  Guidelines for the export, shipment, import an d release of biological control agents and other beneficial or ganisms  
ISPM # 04 (1995):  Requirements for the establishment of Pest Free Areas ISPM # 05(2010):   Glossary of phytosanitary terms ISPM # 06 (1997):  Guidelines for surveillance ISPM # 07 (1997):  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 sites 
ISPM # 11 (2004):  Pest risk analysis for quarantine pests incl uding analysis of environmental risks and living modified organi sms 
ISPM # 12 (2001):  Guidelines for phytosanitary certificates ISPM # 14 (2002):  The use of integrated measures in a systems approach for pest risk management ISPM # 15 (2009):  Regulation of wood pa ckaging material in international trade 
ISPM # 16 (2002):  Regulated non-quaranti ne pests:  concept and application 
ISPM # 17 (2002):  Pest reporting ISPM # 18 (2003):  Guidelines for the use of irradiation as a phytosanitary measure 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 (2006):  Establishment of pest free areas for fruit flies (Tephritidae) 
ISPM # 27 (2006):  Diagnostic protocols for regulated pests ISPM # 28 (2009):  Phytosanitary treatments for regulated pests ISPM # 29 (2007):  Recognition of pest free areas and areas of low pest prevalence ISPM # 30 (2008):  Establishment of areas of low pest prevalence for fruit flies (Tephritidae) ISPM # 31 (2008):  Methodologies for sampling of consignments ISPM # 32 (2009):  Categorization of commo dities according to their pest risk 
ISPM # 34 (2010):  Design and operation of post-entry quarantine stations for plants ISPM # 35 (2012): Systems approach for pest risk management of fruit flies (Tephritidae) ISPM # 36 (2012): Integrated measures for plants for planting 
  
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- 44 - 2.2  ICCAT 
15.  The ICCAT is not a regulatory body, however, regulatory Re commendations and Resolutions related to the conservation of tun a 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.  Recommendations are the only binding instruments.  They are subject to a six-month peri od during which Contracting 
Parties can file an objection (see Article VIII:3).  The Recommendations then enter into force after the six-month objection pe riod.  Resolutions are a second 
instrument of the Commission, but are not subject to an objectio n period.  The number of Resolutions and Recommendations that t he Commission adopts each 
year has been increasing.  They include the following: 
Resolutions 
Resolution 99-11 
Further Actions Against 
IUUs  Resolution Calling for Further Actions Against Illegal, Unregulate d, 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 Contracting Pa rties, Cooperating Non-Cont racting Parties, Entities or Fishing Entities shall take every possible ac tion, consistent with 
the relevant laws,  
i. to urge their importers, transporters and other concerned business people to refrain  from engaging in transaction and transs hipment of 
tunas and tuna-like species caught by vessels carrying out illegal, unregulated and unreported fishing activities in the Conven tion Area and 
other areas. ..." 
Resolution 01-18 
Scope of IUU Fishing  Resolution Further Defining the Scope of IUU Fishing (Transmitted to Contracting Parties on 22 March 2002) 
"... Contracting Parties and Coop erating Non-Contracting Parties, Entities and Fishing Entities shall take every possible actio n, consistent with 
relevant laws, to instruct their importers, transporters, and ot her concerned business people to refrain from engaging in trans action and 
transshipment of tunas and tuna-like species caught by vessels carrying out illegal, unregulate d, and unreported fishing activi ties, which include, 
inter alia , any fishing not in compliance with releva nt ICCAT conservation and management measur es, in the Convention Area or other areas ." 
Resolution 02-25  
Measures to Prevent 
the Laundering of 
Catches by IUU Large-
Scale Tuna Longline 
Fishing Vessels Resolution concerning the Measures to Prevent the Laundering of Catches by IUU Large-Scale Tuna Longline Fishing Vessels 
(Entered into force 3 June 2003) "... 1. Contracting Partie s, Cooperating Non-Contracting Parties, Entities or  Fishing Entities (hereina fter referred to as the "CPCs") should ensure 
that their duly licensed large-scale tuna longline fishing vessel s have a prior authorization of at sea or in port transshipmen t and obtain the 
validated Statistical Document, whenever po ssible, prior to the transshipment of their tuna and tuna-like species subject to th e Statistical 
Document Programs.  They should also ensure that transshipments are consistent with the reported catch amount of each vessel in  validating the 
Statistical Document and require the reporting of transshipment. 2. CPCs that import tuna and tuna-like sp ecies caught by large-scale tuna longline fishing vessels and subject to the Statistic al Document 
Programs should require transporters (which include container vesse ls, mother vessels, and the like) that intend to land such s pecies in their 
ports, to ensure that Statistical Documents are issued, whenever  possible before the transshipme nt.  Importing CPCs should obli gate the 
transporters to submit necessary documents, including a copy of  the validated Statistical Document and other documents, as requ ired under 
domestic regulation, such as the receipt of transshipment, to the importing CPCs’ authorities immediately after the transshipme nt".  
  WT/CTE/W/160/Rev.6 • TN/TE/S/5/Rev.4  
 
- 45 - Resolution 02-26 
Cooperative Actions to 
Eliminate IUU Fishing 
Activities by Large-
Scale Tuna Longline 
Vessels 
(LSTLVs) Resolution concerning Cooperative Actions to Eliminate IUU Fishin g Activities by Large-Scale Tuna Longline Vessels (Entered int o 
force 3 June 2003) "... 1. Japan and Chinese Taipei should further work together to eliminate the remaining IUU LSTLVs owned and/or operated by Ch inese Taipei’s 
residents. 
2. Japan should work closely with the flag States of LSTLVs an d if appropriate take joint action, so as to implement the Recomm endation 
smoothly and satisfactorily and to achi eve the objective of paragraph 1 above. 
3. The Commission urges Chinese Taipei to consider adopting appropriate domestic legislation to improve its ability to control its residents that 
invest in or otherwise support or engage in IUU fishing. 4. Contracting Parties, Cooperat ing non-Contracting Parties, Enti ties or Fishing Entities should urge and may instruct their re sidents to refrain 
from engaging in and/or associat ing with activities that may support IUU tuna lo ngline fishing vessels and with any other activ ities that 
undermine the effectiveness of ICCAT co nservation and management measures". 
 
Recommendations 
Recommendation 96-14 
Compliance in Bluefin & 
North Atlantic 
Swordfish Fisheries  Recommendation Regarding Compliance in th e Bluefin Tuna and North Atlantic Swordf ish Fisheries (Entered into force on 
4 August 1997)  "… 3. ... if any Contracting Party exceeds its catch limit during any two consecutive management period s, the Commission will recomme nd 
appropriate measures, which may include, but are not limited to, reduction in the catch limit equal to a minimum of 125% of the  excess harvest, 
and, if necessary, trade restrictive measures .  Any trade measures under this paragrap h will be import rest rictions on the subj ect species and 
consistent with each Party's international obligations.  The trade measures will be of such duration and under such conditions as the Commission 
may determine."  This recommendation was extended to South Atlantic swordfish fishery, effective on 24 September 1998 (Recommendation 97-8 – Co mpliance in 
the South Atlantic Swordfish Fishery)  
Recommendation 01-
21. Concerning the 
ICCAT Bigeye Tuna 
Statistical Document 
Program Recommendation by ICCAT Concerning the IC CAT Bigeye Tuna Statistical Document Pr ogram (Entered into force: 21 September 
2002) "… 1. By July 2002, or as soon as possible thereafter, Contracting Part ies shall require that all bigeye tuna, when imported into the  territory of a 
Contracting Party, be accompanied by an I CCAT Bigeye Tuna Statistical Document which meets the requirements described in Annex 1 or an ICCAT 
Bigeye Tuna Re-export Certificate which meets the requirements described in Annex 2.  Bigeye tuna caught by purse seiners and p ole and line 
(bait) vessels and destined principally for the canneries in the Convention area are not subject to this statistical document r equirement. The 
Commission and the Contracting Parties import ing bigeye tuna shall contact all the exporting countries to inform them of this p rogram in advance 
of implementation of the program." 
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 b y an ICCAT 
Swordfish Statistical Document (Attachment 2) that meets the requirements described in Attachment 1 or an ICCAT Swordfish Re -e xport 
Certificate (Attachment 4) that meets the requirements described  in Attachment 3. The Commissio n and the Contracting Parties im porting 
swordfish shall contact all the exporting countries to inform them  of this program, particularly differentiation of treatment b etween catches of 
swordfish in the Convention Area and those outside of  it in advance of implementation of the program." 
Recommendation 02-17 
Plurinational State of 
Bolivia:  pursuant to the 
1998 IUU Resolution Recommendation Regarding the Plurinational State of Bolivia pursuant to the 1998 Resolution Concerning the Unreported and 
Unregulated Catches of Tuna by Large-Scal e Longline Vessels in the Convention Area (Entered into force on 3 June 2003) 
"1. Contracting Parties and Cooperating non- Contracting Parties, Entities or Fishing Entities take appropriate measures, consis tent with provisions 
of the 1998 Resolution, to the effect that the import of Atlantic  bigeye tuna and its products in any form from the Plurination al State of Bolivia be 
prohibited, effective from the time this Recommendation enters into force".  The 1998 Resolution referred to in this paragraph was replaced by the Resolution by ICCAT Concerning Trade Measures (Res. 03-1 5 above).   
  WT/CTE/W/160/Rev.6 • TN/TE/S/5/Rev.4  
 
- 46 - Recommendation 02-20 
Trade Sanction against 
St. Vincent and the 
Grenadines  Recommendation concerning the Tr ade Sanction Against St. Vincent and the Grenadines (Entered into force on 3 June 2003) 
"...2. Contracting Parties and Cooperating non-Contracting Part ies, Entities or Fishing Entities shall assist St. Vincent and t he Grenadines with its 
efforts to ensure that the owners  and operators of its large-scale fishing vessels have no history of illegal, unreported and u nregulated fishing 
activities, or the previous owners and operators have no legal, beneficial or financial interest  in, or control over its large- scale fishing vessels." 
Recommendation 03-16 
Additional Measures 
Against Illegal, 
Unreported and 
Unregulated Fishing Recommendation to Adopt Additional Measures Against Illegal, Unre ported and Unregulated Fishing (Entered into force on 19 June 
2004) "… Consistent with their rights and obli gations under international law, Contractin g Parties and Cooperating non-Contracting Pa rties, Entities or 
Fishing Entities (hereafter referred to as CPCs) take the necessa ry measures to prohibit landings from fishing vessels, placing  in cages for farming 
and/or the transshipment within their jurisdiction of tunas or tuna-like species caught by IUU fishing activities".  
Recommendation 04-13  
Lifting of Trade 
Sanctions against 
Equatorial Guinea Recommendation Concerning the Lifting of Trade Sanctions against Equatorial Guinea  (Entered into force on 13 June 2005) 
"… 1. Contracting Parties and Cooperatin g non-Contracting Parties, Entiti es or Fishing Entities shall lift he import prohibitions on Atlantic bigeye tuna 
and Atlantic bluefin tuna and their products that were imposed on Equatorial Guinea pursuant to the 1999 and 2000 Recommendatio ns. 
2. Notwithstanding the provisions  of Article VIII, paragraph 2, of the Convention, the Contract ing Parties and Cooperating Non- Contracting 
Parties, Entities or Fishing Entities shall implement this recomm endation as soon as possible in  accordance with their regulato ry procedures. 
3. The ICCAT Secretariat continue providing Equatorial Guinea with the technical assistance necessary for the implementation of  a statistical-
fishing data system so that this country can fully adapt to the ICCAT requirements concerning the submission of statistical dat a." 
Recommendation  06-
07  on Bluefin Tuna 
Farming [Rec.04-06] Recommendation to Amend the Recommendation on Bluefin Tuna Farming  [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 bluef in tuna from 
farms not registered in the ICCAT record of  farming facilities au thorised to operate as well as those that do not respect the s ampling 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 re sponse of the CPCs or NCPs, toge ther with any new information, and 
propose to the Commission to decide upon on e of the following actions:  a) the revocation of the identification; b) the continu ation of the 
identification status of the CPC or NCP; or c) the adop tion 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 possi ble before 
consideration is given to the application of trade restrictive me asures. Trade measures should be considered only where such ac tions 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 Contracting Parties pursua nt to Article VIII 
of the Convention to take non-discriminatory trade restrictive measures, consistent with their international obligations. The C ommission shall 
notify the CPCs and NCPs concerned of the decision and the under lying reasons in accordance with the procedures specified in pa ragraph 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 recommen d the lifting of trade restrictive measures, the Compliance Committee or the PWG shal l review each 
year all trade restrictive measures adopted in accordance with paragraph 7. Should this review show that the situation 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 CP Cs and/or NCPs concerned have taken concrete measures capable of 
achieving lasting improvement of the situation.  
10. Where exceptional circumstances so warrant or where availabl e 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 manage ment measures, the Commission may 
immediately decide on action  including, as appropriate, the im position of trade-restrictive meas ures in accordance with paragr aph 7.  
Before making such a decision, the Commission shall request the CPC or NCP concerned to discontinue its wrongful conduct and sh all provide 
the CPC or NCP with a reasonable opportunity to respond.  
11. The Commission shall establish annually a list of CPCs and NCPs  that have been subject to a trade-restrictive measure pursu ant to paragraph 7 
and, with respect to NCPs, are considered as no n-Cooperating non-Contracting Parties to ICCAT."  
  WT/CTE/W/160/Rev.6 • TN/TE/S/5/Rev.4  
 
- 47 - Recommendation  
11 - 20 Amending the 
Recommendation 09-11 
on an ICCAT Bluefin 
Tuna Catch 
Documentation 
Program "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 whi ch is 
flagged to 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 bl uefin tuna harvested in the ICCAT Convention area by vessels fla gged to 
one Member State or by a trap established in one Member State. 
3.    Each consignment of bluefin tuna domestically traded, im ported into or exported or re-e xported from its territories shall  be accompanied by a 
validated BCD, except in cases where paragraph 13(c) applies and,  as applicable, an ICCAT transf er declaration or a validated B luefin Tuna Re-
export Certificate (BFTRC). Any such landing, transfer, delivery, harvest, domestic trade, import , export or re-export of bluef in 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 meat  (i.e., heads, eyes, roes, guts and tails) sh all 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 export ing CPC and, where 
known, the flag CPC. 
25. Pending the examinations or verification s under paragraph 22 to confirm compliance of the bluefin tuna consignment with the  requirements in 
the present Recommendation and an y other relevant Recommendations,  the CPCs shall not grant its release for domestic trade, imp ort or 
export, nor, in the case of live bluefin tuna dest ined to farms, accept the transfer declaration. 
26. Where a CPC, as a result of examination or verifications und er paragraph 22 above and in cooperation with the validating au thorities 
concerned, determines that a BCD or BFTRC is  invalid, the domestic trade, import, expo rt or re-export of the bluefin tuna conce rned shall be 
prohibited. 
27. The Commission shall request the non-Contracting Parties that are involved in domestic trade, import, export or re-export o f bluefin tuna to 
cooperate with the implementation of the Program and to provide to the Commission data obtained from such implementation." 
Recommendation 10-08 
on Hammerhead Sharks 
(Family Sphyrnidae) 
Caught in Association 
with Fisheries Managed 
by ICCAT 
 Recommendation by ICCAT on hammerhead sharks (family Sphyrnid ae) caught in association with  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 establish ed in 
paragraphs 1 and 2, provided thes e CPCs submit Task I and, if possible, Task II data according to the re porting procedures esta blished by the 
SCRS. If it is not possible to provide catch data by species, th ey shall be provided at least by  genus Sphryna. Developing coas tal CPCs exempted 
from this prohibition pursuant 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 fami ly Sphyrnidae (except of Sphyrna tiburo) will not enter internat ional 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 co nservation and management program for Bi geye and Yellowfin tunas (entered into 
force: 7 June 2012)  
"15. Notwithstanding paragraph 14, if any CPC exceeds its catch limit during any two consecutive management periods, the Commis sion will 
recommend appropriate measures, which may include, but are not li mited to, reduction in the catch limit equal to a minimum of 1 25% of the 
excess harvest, and, if necessary, trade restrictive measures. An y trade measures under this para graph will be import restricti ons on the subject 
species and consistent with each CPC's international obligations. The trade measures will be of such duration and under such co nditions as the 
Commission may determine."  
  WT/CTE/W/160/Rev.6 • TN/TE/S/5/Rev.4  
 
- 48 - Recommendation 11-08 
on the Conservation of 
Silky Sharks Caught in 
Association with ICCAT 
Fisheries 
 Recommendation by ICCAT on the conservation of silky sharks caug ht in association wi th ICCAT fisheries (entered into force: 
7 June 2012) "4.  Silky sharks that are caught by deve loping coastal CPCs for local consumption ar e exempted from the measures established i n paragraphs 1 
and 2, provided these CPCs submit Task I an d, if possible, Task II data according to  the reporting procedures established by th e SCRS. CPCs that 
have not reported species-specific shark data shall provide a plan by July 1, 2012, for improving their data collection for sha rks on a species 
specific level for review by the SCRS and Commission. Developing coastal CPCs exempted from the prohibition pursuant to this pa ragraph shall not 
increase their catches of silky sharks. Such CPCs shall take nece ssary measures to ensure that silky sharks will not enter inte rnational 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 vess els, refueling vessels, the mother-ships and the cargo vessels flying their flag do n ot  assist in any way, 
engage in fishing processing operations or participate in any transhipment or joint fishing operations with vessels included on  the IUU Vessels List;  
− So that IUU vessels are not authorized to land, tranship re-f uel, re-supply, or en gage 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 ar e allowed entry into 
port for the exclusive purpose of inspec tion and effective enforcement action; 
− To give priority to the inspection of vessels on the IU U list, if such vessels are ot herwise 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 ha s provided sufficient 
evidence demonstrating the previous owner or  operator has no further legal, beneficial  or financial interest in, or control of,  the vessel, or having 
taken into account all relevant facts, the flag CPC determines that granting the vessel its flag will not result in IUU fishing ;  
− To prohibit the imports, or landing and/ or transhipment, of tuna and tuna-like spec ies from vessels included in the IUU list;  
− To encourage the importers, transporters and other sectors conc erned, to refrain from transactio n and transhipment of tuna and  tuna-like 
species caught by vessels included in the IUU list;  − To collect and exchange with other CPCs any appropriate inform ation with the aim of searching for, controlling and preventing false 
import/export certificates regarding tunas and tuna-like species 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, CPCs shall not take 
any unilateral trade measures or other sanctions against vessels provisionally included in the Draft IUU List, pursuant to para graph 3, or which 
have been already removed from the list, pu rsuant to paragraph 6, on the grounds that  such vessels are involved in IUU fishing activities." 
Recommendation 11-19 
Lifting Trade sanctions 
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, En tities or Fishing Entities (CPCs) shall lift the 
import prohibitions on Atlantic bigeye tuna and its products that were imposed on Bolivia and Georgia…" 
Recommendation 12-02 
concerning the Western 
Atlantic Bluefin Tuna 
Rebuilding Program 
 Supplemental recommendation by ICCAT concerning the western At lantic Bluefin Tuna rebuilding program (not yet in force) 
"7 c) Notwithstanding paragraph 7(b), if a CPC has an overharvest of its total quota during any two consecutive management peri ods, the 
Commission will recommend appropriate measures, which may includ e, but are not limited to, reduct ion in the CPC’s total quota e qual to a 
minimum of 125% of the overharvest amount and, if necessary, trade restrictive measures. Any trade measures under this paragrap h 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 12-03 
to Establish a Multi-
Annual Recovery Plan 
for Bluefin Tuna in the 
Eastern Atlantic and 
Mediterranean 
 Recommendation by ICCAT amending the recommendation by ICCAT to establish a multi-annual recovery  plan for Bluefin tuna in the 
eastern Atlantic and Mediterranean (not yet in force) "96. Consistent with thei r rights and obligations under international law, ex porting and importing CPCs shall take the necessar y measures: 
 − to prohibit domestic trade, landing, impo rts, exports, placing in cages for farming,  re-exports and transhipments of eastern At lantic and 
Mediterranean bluefin tuna species that are not accompanied by accurate, complete, and validated documentation required by this  
Recommendation and the Recommendation by I CCAT Amending Recommendation 08/12 on an  ICCAT Bluefin Tuna Catch Documentation 
Programme [Rec. 09-11] on a Bluefin Tuna Catch Documentation Programme."  
  WT/CTE/W/160/Rev.6 • TN/TE/S/5/Rev.4  
 
- 49 -  − to prohibit domestic trade, im ports, landings, placing in cages for farming, pr ocessing, exports, re-exports and the transhipme nt within their 
jurisdiction, of eastern and Mediterranean bluefin tuna species ca ught by fishing vessels whose flag State either 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 fl ag State fishing 
possibilities are exhausted, or when the individual quotas of  catching vessels referred to in paragraph 13 are exhausted; 
 − to prohibit domestic trade, imports, land ings, processing, export s from farms that do not comply with Recommendation Rec. 06-07 ." 
 
2.3  CITES  
16.  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 CoP and SC;  and 
f. Stricter domestic trade measures adopted by the Parties. 
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-ex port and 
introduction from the sea of specimens of species covered by the Convention be authorized throug h a permit and certificate syst em.  The species 
covered by CITES are listed in three Appendices, ac cording to the degree of protection they need. 
"1. Appendix I shall include all species threatened with extinction  which are or may be affected by trade.  Trade in specimens of these species 
must be subject to particularly strict regulation in order not to  endanger further their survival and must only be authorized i n 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 s pecies is 
subject to strict regulation in order to avoid utilization incompatible with their survival;  and  (b) other species which must be subject to regulation in order that trade in specimens of certain species referred to in sub-pa ragraph (a) of 
this paragraph may be brough t under effective control.  
3. Appendix III shall include all species which any Party identifies  as being subject to regulation within its jurisdiction for  the purpose of 
preventing or restricting exploitation, and as needing the co-operation of other Parties in the control of trade.  
4. The Parties shall not allow trade in spec imens 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 CI TES-listed 
animals and plants (see Article II,  paragraph 1 of the Convention).  CITES genera lly prohibits international commercial trade i n specimens of wild 
origin of these species.  However, trade may be allowed under exceptional circumstances, e.g. captive breeding, artificial prop agation, scientific 
research, etc.  In these cases, trade may be authorized by the granting of both an export permit (or re-export certificate) and  an import permit 
(See Article III of the Convention).  Trade in Appendix I species of wild origin must meet two criteria: 
1. Trade must not be primarily commercial in nature.  Resolution  Conf. 5.10 (Rev. CoP15) defines "commercial" as an activity wh ose "purpose is 
to obtain economic benefit (wheth er in cash or in kind) and is directed toward resale, exchange, provision of a service or othe r form of economic 
use or benefit. The Resolution further defines "primarily commercial" by providing that "all uses whose non-commercial aspects do not clearly  
  WT/CTE/W/160/Rev.6 • TN/TE/S/5/Rev.4  
 
- 50 - predominate shall be considered to be primarily commercial in na ture with the result that the importation of specimens of Appen dix-I species 
should not be permitted. The burden of pr oof for showing that the intended use of sp ecimens of Appendix-I species is clearly no n-commercial shall 
rest with the person or entity s eeking to import such specimens." 
2. It must not be detrimental to the survival of the species.  The non-detriment finding is a scientific assessment. Guidance o n the making of 
non-detriment findings is contained in Resolution Conf. 16.7. In  addition, document CoP11 Doc. 11.40 prepared for CITES CoP-11 (Gigiri, 2000) 
provides assistance to Scientific Authorities for making non-detriment findings.  It makes reference to Information Document Co P11 Inf. 11.3 which 
contains a checklist for making non-detriment findings for Appe ndix II species.  The checklist was published and distributed by  IUCN at CoP-12 (see 
also capacity building material prepared by the CITES Secretar iat, which is accessible through the CITES Virtual College at www .cites.org).   
Article IV 
Regulation of Trade in 
Specimens of Species 
Included in Appendix II  Appendix II includes species that are not necessarily threatened with extinction but that may become so unless trade is closely  controlled.  It 
also includes so-called "look-alike species".  International trade in specimens of Appendix-II species may be authorized by the  granting of an export 
permit or re-export certificate; no import permit is required by  the Convention (some countries adopt stricter domestic measure s under Article 
XIV).  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 provisions of CITES and the specimen is not obtained in contravention of t he laws of the State of 
origin) and will not be detrimental to the survival of the species in the wild. 
Article V 
Regulation of Trade in 
Specimens of Species 
Included in 
Appendix III  Appendix III comprises a list of species included at the request of a Party that already prevents or restricts exploitation of the species and that 
needs the cooperation of other countries in the control of trade (see Article II, paragraph 3, of  the Convention).  Internation al trade in specimens of 
species listed in this Appendix is allowed only on presentation  of the appropriate export permit  (issued by the Party that list ed the species in 
Appendix III) or certificate of orig in (issued by the Party which did not list the species in Appendix III). 
Article VI 
Permits and Certificates  Provides details for permits and certificates granted under th e provisions of Articles III, IV, and V of the Convention. 
Resolution Conf. 12.3 (Rev. CoP 16) fu rther elaborates on the requirements  of permits and certificates.   
Article VII 
Exemptions and Other 
Special Provisions 
Relating to Trade  Lists the Exemptions and Other Special Provisions Relating to Trade.  This Article provides all the exceptions to the regulatio n of trade in wild 
fauna and flora species listed in the three CITES Appendices.  Guidance on the application and implementation of Article VII, pa ragraphs 1, 2, 3, 6 and 7 has been specified in Resolutions Co nf. 9.7 (Rev. 
CoP15), 13.6 (Rev. CoP16), 13.7 (Rev. CoP16), 11.15 (Rev. CoP12) an d 12.3 (Rev. CoP16) adopted by the Conference of the Parties . Guidance 
related to paragraphs 4 and 5 is contained in Resolution s 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 approp riate measures to enforce the provisions of the present Convention and to prohibit trade in sp ecimens in violation 
thereof.  These shall include measures:   
(a) to penalize trade in, or possession of, such specimens, or both;  and  
(b) to provide for the confiscation or return to the State of export of such specimens.  
2. In addition to the measures taken under paragraph 1 of this Article, a Party may, when it deems it necessary, provide for an y method of 
internal reimbursement for expenses incurred as a result of the confiscation of a specimen traded in violation of the measures taken in the 
application of the provisions  of the present Convention. 
3. As far as possible, the Parties shall ensure that specimens shall pass through any formalities required for trade with a min imum of delay.  To 
facilitate such passage, a Party may designate ports of exit and ports of entry at which specimens must be presented for cleara nce.  The Parties 
shall ensure further that all living specimens, during any period of transit, holding or shipment, are properly cared for so as  to minimize the risk of 
injury, damage to health or cruel treatment. 4. Where a living specimen is confiscated as a result of measures referred to in paragraph 1 of this Article:   
(a) the specimen shall be entrusted to a Management Authority of the State of confiscation;   (b) the Management Authority shall, after consultation with the State of export, return the specimen to that State at the expen se of that 
State, or to a rescue centre or such other place as the Manage ment Authority deems appropriate and consistent with the purposes  of the 
present Convention;  and  (c) the Management Authority may obtain the advice of a Scientific Authority, or may, whenever it considers it desirable, consu lt the 
Secretariat in order to facilitate the decision under sub-paragr aph (b) of this paragraph, including the choice of a rescue cen tre or other place.  
5. A rescue centre as referred to in paragr aph 4 of this Article means an institution designated by a Management Authority to l ook after the  
  WT/CTE/W/160/Rev.6 • TN/TE/S/5/Rev.4  
 
- 51 - welfare of living specimens, particularly those that have been confiscated. 
6. Each Party shall maintain records of trade in specimens of species included in Appendices I, II and III which shall cover:   
(a) the names and addresses of ex porters and importers;  and  
(b) the number and type of permits and certificates granted;  the States with which such trade occurred;  the numbers or quanti ties and types 
of specimens, names of species as included  in Appendices I, II and III and, where applicable, the size and sex of the specimens  in question.  
7. Each Party shall prepare periodic reports on its implementation of the present Convention and shall transmit to the Secretar iat:   
(a) an annual report containing a summary of the information specified in sub-paragrap h (b) of paragraph 6 of this Article;  an d  
(b) a biennial report on legislative, regu latory and administrative measures taken to  enforce the provisions of the present Con vention.  
8. The information referred to in paragraph 7 of this Article shall be available to the public where this is not inconsistent w ith the law of the Party 
concerned".  
Article IX  
Management and 
Scientific Authorities "1. Each Party shall designate for the purposes of the present Convention:   
(a) one or more Management Authorities competent to grant pe rmits or certificates on beha lf of that Party;  and  
(b) one or more Scientific Authorities.  
2. A State depositing an instrume nt of ratification, acceptance, approval or acce ssion shall at that time inform the Depositary  Government of the 
name and address of the Management Authority authorized to communicate with othe r 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 trad e, taking, possession or transp ort of specimens of species incl uded in 
Appendices I, II and III, or the complete prohibition thereof;  or  (b) domestic measures restricting or prohib iting trade, taking, possession or transpor t of species not included in Appendix I, II or III.  
2. The provisions of the present Convention shall in no way affect the provisions of any domestic measures or the obligations o f Parties deriving 
from any treaty, convention, or international agreement relating to other aspects of trade, taking, possession or transport of specimens which is in 
force or subsequently may enter into force for any Party including any measure pe rtaining to the Customs, public health, veteri nary or plant 
quarantine fields. 3. The provisions of the present Convention shall in no way affe ct the provisions of, or the obligations deriving from, any tre aty, convention or 
international agreement concluded or which may be concluded betwee n States creating a union or re gional trade agreement establi shing or 
maintaining a common external Customs contro l and removing Customs contro l between the parties thereto insofar as they relate t o trade among 
the States members of that union or agreement. 4. A State party to the present Convention, which is also a party to any other treaty , convention or international agreement wh ich is in force at 
the time of the coming into force of the present Convention and under the provisions of which protection is afforded to marine species included in 
Appendix II, shall be relieved of the obli gations imposed on it under th e provisions of the present Convention with respect to trade in specimens of 
species included in Appendix II that are taken by ships registered  in that State and in accordance with the provisions of such other treaty, 
convention or international agreement. 5. Notwithstanding the provisions of Articles III, IV and V, any export of a specimen taken in accordance with paragraph 4 of t his Article shall 
only require a certificate from a Management Authority of the State of introduction to the effect that the specimen was taken i n accordance with 
the provisions of the other treaty, conventi on or international agreement in question. 
6. Nothing in the present Convention shall prejudice the codification an d development of the law of the sea by the United Natio ns Conference on 
the Law of the Sea convened pursuant to Resolution 2750 C (XXV) of  the General Assembly of the United Nations nor the present o r future claims 
and legal views of any State concerning the law of the sea and th e nature and extent of coastal and flag State jurisdiction". 
 Allows for Parties to take stricter domest ic measures.  Appendix II does not requir e an import permit, but major importing coun tries have 
instituted a system of import permits for trade in certain species issued on the basis of extra conditions and non-CITES relate d criteria such as 
tariffs, health, veterinary, phytosanitary and animal welfare provisions.  In some inst ances, they also apply those conditions to species listed in 
Appendix III. 
  
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- 52 - Resolutions and Decisions of the Conference of the Parties 
17.  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 notify the range States of the species con cerned at as early a 
stage as possible prior to the adoption of such measures, and consult with those range States that express a wish to confer on the matter;  and 
b) each Party that has taken such stricter domestic measures fo r non-indigenous species prior to the adoption of this Resolutio n consult, if 
requested, on the appropriateness of such measures with range States of the species concerned".  There is also Resolution Conf.8.4 (Rev.CoP.15) on Na tional laws for the implemen tation of the Convention. 
Resolution Conf. 9.9 
Confiscation of 
Speciments Exported or 
Re-exported in violation 
of the Convention  "...a) when specimens are exported or re-exported in violation of the Conven tion, importing Parties: 
i) consider that the seizure and confiscation of such specimens are generally preferable to the definitive refusal of the impor t of the 
specimens; and ii) notify as soon as possible the Manageme nt Authority of the State from which the specimens were consigned of the violation a nd of any 
enforcement actions taken concerning the specimens; and 
b) when the import of specimens that have been exported or re-exported in violation of  the Convention is refused by the country  to which the 
specimens are consigned, the exporting or re-exporting Party take  the measures necessary to ensure that such specimens are not re-entered into 
illegal trade, including monitoring their return to  the country and providing for their confiscation." 
Resolution Conf. 9.21 
(Rev. CoP 13) 
Interpretation and 
Application of Quotas 
for Species included in 
Appendix I "... a) a Party wishing the Conference of the Parties to establish a quota for a species included in Appendix I, or to amend an  existing quota, should 
submit to the Secretariat its proposal, with supporting informat ion including details of the scientific basis for the proposed quota, at least 150 days 
before a meeting of the Conference of the Parties; and b) whenever the Conference of the Parties has set an export quot a for a particular species included  in Appendix I, this action by the Parties satisfies 
the requirements of Article III regarding the findings by the a ppropriate Scientific Authorities that the export will not be de trimental to the survival 
of the species and that the purposes of the import will not be detrimental to the survival of the species, provided that: 
i) the quota is not exceeded; and ii) no new scientific or management data have emerged to indica te 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 permits to import whole skins or nearly whole skins of leopard (including hunting trophies),  in accordance with 
paragraph 3 (a) of Article III, th e Scientific Authority of the State of import approve permits if it is satisfied that the ski ns being considered are 
from one of the following States, which may no t export more of the said skins taken from  any one calendar year (1 January to 31  December) than 
the number shown under ‘Quota’ oppo site the name of the State:…" 
 There is also Resolution Conf. 10.15 (Rev. CoP16) on the Establishing Quotas for Markhor Hunting Trophies. 
Resolution Conf. 10.21 
(Rev. CoP16)  
Transport of live 
specimens The [CoP] to CITES: 
Recommends that: a) suitable measures be taken by the Parties to promote the full and effective use by Management Authorities of the IATA Live Animals 
Regulations  (for animals), the IATA Perishable Cargo Regulations  (for plants) and the CITES guidelines for the non-air transport of live wild 
animals and plants  for the preparation and transport of live specimens and that they be brought to the attention of exporters, importers, 
transport companies, carriers, freight forw arders, inspection authorities and international organizations and conferences compe tent to regulate 
conditions of carriage by air, la nd and sea or inland waterways; 
b) Parties invite the above organizations and institutions to comment on and amplify the IATA Live Animals Regulations  (for animals) and the 
IATA Perishable Cargo Regulations  (for plants), so as to promote their effectiveness; 
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 (AAT A) be continued and that a relationship with the International  Animal Health 
Organisation (OIE) and the International Plants  Protection Convention  (IPPC) be developed; 
d) for as long as the CITES Secretariat an d the Standing Committee agree, the IATA Live Animals Regulations  (for animals), the IATA Perishable  
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- 53 - 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;… 
Resolution Conf. 12.3 
(Rev. CoP16)  
Permits and certificates The [CoP] to CITES: 
Establishes the following sections in the present Resolution: I. Regarding standardization of CITES permits and certificates 
II. Regarding export permits and re-export certificates 
III. Regarding import permits IV. Regarding 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 cert ificates for coral specimens 
XI. Regarding permits and certificates for ti mber species included in Appendices II and III with the annotation ‘Logs, sawn woo d and veneer 
sheets’ 
XII. Regarding the use of simplified proc edures to issue permits and certificates 
XIII. Regarding retrospective issu e of permits and certificates 
XIV. Regarding acceptance and clearanc e of documents and security measures 
XV. Regarding documents for sample collections covered by ATA carnets 
Annex 1 Information that should be incl uded in CITES permit s and certificates 
Annex 2 Standard CITES form; in structions and explanations 
Annex 3 Model travelling-exhibition certificate; 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 releva nt language about marking is now contained in annotations 1, 2, 3, 4, and 5 to 
the listing of vicuña in Appendix II. 
Resolution Conf. 11.7 
Conservation of and 
Trade in Musk Deer "…Urges all Parties, particularly musk deer  range and consuming countries and those thro ugh which musk deer specimens pass in t ransit, to take 
immediate action in order to reduce demonstrably the il legal trade in musk deriving  from wild musk deer by: 
(a) introducing innovative enforcement methods in range and consum er States and, as a matter of priority, strengthening enforce ment efforts 
in key border regions; (b) pursuing the development of a clear la belling system for products containing mu sk, and the development and dissemination of  forensic 
methods to detect natural musk in medicinal and other products; (c) encouraging all range States and consumer States that are not party to CITES to accede to it at the earliest possible date in order to 
improve international trade control of raw musk and products containing musk; (d) working with musk consumers to develop alternatives for raw musk in order to redu ce demand for natural musk, while encourag ing the 
development of safe and effectiv e techniques for collecting mu sk from live musk deer;  and 
(e) developing bilateral and regional agreem ents for improving musk deer conservation  and management, strengthening legislation  and 
strengthening enforc ement efforts;…" 
Trade in Appendix-II 
and –III Species CoP recommends that if any Party deems that  an Appendix-II or –III spec ies is being traded in a manner detrimental to the survi val of that species, 
it:  Resolution Conf. 11.18 has been deleted and the relevant language included in Resolution Conf. 11.3 (Rev. CoP16) on Compliance and 
enforcement.  
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- 54 - Resolution Conf. 12.7 
(Rev. CoP16) 
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 trad e in sturgeon and paddlefish specimens by improving the provisions in and enforcemen t of existing 
laws regulating fisheries and export, in close collaboration with the CITES Secretar iat, ICPO-Interpol and the World Customs Or ganization; … 
Recommends with regard to regulating  trade in sturgeon products, that: 
 (a) each importing, exporting and re-exporting Party should establish, where consistent with national law, a registration syst em for caviar 
processing plants, including aquaculture operations,  and repack aging plants in its territory and provide to the Secretariat th e 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 provided to the Secretariat by 30 November each ye ar.  The Secretariat should dist ribute this 
information via a Notification to the Parties and include it in its register on the CITES website; (b) importing countries be particularly vigi lant in controlling all aspects of the trade in specimens of sturgeon and paddlefis h species, including 
the unloading of sturgeon specimens, transit,  re-packaging, re-labelling and re-exports; 
(c) Parties monitor the storage, processing and re-packaging of  specimens of sturgeon and paddlefish species in Customs free zo nes 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, scienti fic and control 
mechanisms needed to implement the provisions of the Conv ention with respect to sturgeon and paddlefish species; 
(e) Parties consider the harmonization of their national legislat ion related to personal exemptions for caviar, to allow for th e personal effects 
exemption under Article VII, paragraph 3, of the Convention and co nsider limiting this exemption to no more than 250 grams of c aviar 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 o f the quota year 
at the latest. Parties should not import caviar harvested or proces sed 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. Fo r that purpose, 
re-export certificates should not be  valid beyond the 18-month period; 
(h) Parties supply UNEP-WCMC copies of all export permits and re-export certificates issued to authorize trade in caviar, no lo nger than one 
month after they have been i ssued, 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 sh ipments of 
caviar unless they comply with these provisions and 
(l) caviar from different Acipenseriformes sp ecies not be mixed into a primary container, except in the case of pressed caviar.  
Resolution Conf. 12.8 
(Rev. CoP13) 
Review of Significant 
Trade in Specimens of 
Appendix-II species "... Directs the Animals and Plants Committees, in cooperation wi th the Secretariat and experts, and in consultation with range  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 Convention in accordance with the following p rocedure: ... 
When the Animals and Plants Committees are not satisfied that Ar ticle IV, paragraphs 2 a), 3 or 6 are being correctly implement ed: 
(m) the Animals Committee or Plants Committee shall, in consulta tion with the Secretariat, form ulate recommendations for the re maining 
species.  These recommendations shall be directed to the range States concerned; (n) for species of urgent concern, these recommendations should propose specific actions to addr ess problems related to the imp lementation 
of Article IV, paragraph 2 (a), 3 or 6 (a).  Such recommendati ons 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 exports of the species c oncerned; 
... 
(o) for species of possible concern, these re commendations should specify the information required to enable the Animals or Pla nts Committee 
to determine whether the species should be categorized as either of  urgent concern or of least conc ern.  They should also speci fy interim 
measures where appropriate for the regulation  of trade.  Such recommendations should differentiate between short-term and long- term 
actions, and may includ e, for example: ...  
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- 55 - ii) the establishment of cautious export quotas fo r 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 State has 
implemented the recommendations made by the Animals or Plants Comm ittee in accordance with paragraphs n) or o), it should recom mend to 
the Standing Committee appropriate action, which may include, as a last resort, a suspension of trade in the affected species w ith that State.  
On the basis of the report of the Secretariat, the Standing Comm ittee shall decide on appropriat e action and make recommendatio ns to the 
State concerned, or to all Parties ...". 
Resolution Conf. 13.2 
(Rev.CoP 14) 
Sustainable Use of 
Biodiversity:  Addis 
Ababa Principles and 
Guidelines "... Urges the Parties to: 
(a) make use of the Principles and Guidelin es for the Sustainable Use of Biodiversity, also taking into account scientific, tra de and enforcement 
considerations determined by national circumstances, as well as the recommendations of the Animals and Plants Committees,  when  adopting 
non-detriment-making processes and making CITES non-detriment find ings; ... Annex:  Sustainable use of biodiversity:  Addis Aba ba 
Principles and Guidelines: ... 
Practical Principle 3:  International, national policies, laws and regulations that distort markets which contribute to habitat  degradation or otherwise 
generate perverse incentives th at 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 legislat ion to protect great apes, which includes:  
i) a prohibition of all international trade for primarily commercial purposes, including sale, display, purchase, offer to purc hase and 
acquisition for commercial purposes of wild-caught specimens of great apes;  and  ii) deterrent penalties aimed at eliminating illegal trad e 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 deve lop and implement measures, including legislative 
and enforcement measures and regional and sub-regional initiatives, to halt or reduce and ultimately eliminate illegal trade in  
great apes;  
(b) work closely with 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 Co mmittee to work closely with GRASP, and to explore and implemen t other 
measures through which the Convention can contribute to the conser vation of great apes and to the promotion of public awareness  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 expo rt quota of five hunting trophies of adul t male 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, paragrap h 3 (a), of the 
Convention, and Resolution Conf. 9.21 (Rev. CoP13), paragraph b), the Scientific Author ity of the State of import approve permi ts if it is 
satisfied that the trophies being considered are from a range Stat e to which an export quota has been granted as part of a nati onal black 
rhinoceros conservation and management plan  or programme and will be traded in accord ance with the provisions of the present Re solution;  
(b) in reviewing applications for permits to  import black rhinoceros hunting trophies , in accordance with Article III, paragrap h 3 (c), of the 
Convention, the Management Authority of the State of import be sa tisfied that such trophies are not to be used for primarily co mmercial 
purposes if:  
i) the trophies were acquired by the owners in the country of ex port and are being imported as pe rsonal 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 Re solution 
Conf. 9.21 (Rev. CoP13)".  
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- 56 - Resolution Conf. 13. 10 
(Rev. CoP14) 
Trade in Alien Invasive 
Species "...The [CoP] to the Convention recommends that the parties: 
(a) consider the problems of invasive species when developing na tional legislation and regulations that deal with the trade in live animals or 
plants; (b) consult with the Management Authority of a proposed country of import, when possible and when applicable, when considering exports of 
potentially invasive species, to determine whether there are domestic measures regulating such imports..."; and 
(c) consider the opportunities for synergy between CITES and the Convention on Biolog ical Diversity (CBD) and explore appropria te 
cooperation and collaboration between the tw o Conventions on the issue of introduction s of alien species that are potentially i nvasive."  
Resolution Conf. 14.4 
Cooperation between 
CITES and ITTO 
regarding trade in 
tropical timber The [CoP] to CITES: 
Welcomes the work of ITTO in promoting transparent markets, tr ade in tropical timber from sust ainably managed tropical forests and, in that 
context, promoting fo rest law enforcement; 
Encourages Parties to support and facilitate the work of ITTO and CITES to build increased capa city and improve implementation of CITES timber 
listings;  
Urges Parties to support and contribute to work, guided by the CITES Plants Committee, to deve lop appropriate listing proposals  based on the best 
available science to ensure the conservati on of timber species and help ensure that trade does not threaten their survival ; 
Directs the CITES Secretariat to cooperate closely with the Secret ariat of ITTO on matters related to tropical timber species t hreatened by 
international trade and sustainable management of tropical timber producing forests; and 
Encourages all Parties, CITES, ITTO and ot her relevant intergovernmental organizations to promote improved forest law enforceme nt. 
Resolution Conf. 14.6 
(Rev. CoP16)  
Introduction from the 
sea The [CoP] to CITES: 
Agrees that ‘the marine environment not under the jurisdiction of any State’ means those marine areas beyond the areas subject to the sovereignty 
or sovereign rights of a State consistent with international law,  as reflected in the United Nati ons Convention on the Law of t he 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 jurisdictio n of any State 
by a vessel registered in one State and is transported into that same State, the prov isions of Article III, paragraph 5, or Art icle IV, paragraphs 6 
and 7, respectively, should be applied; with that State bein g 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 jurisdictio n of any State 
by a vessel registered in one State and is transported into a different State, the provisions of Article III, paragraphs 2 and 3, or Article IV, 
paragraphs 2, 3 and 4, respectively, should be applied, with 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 manageme nt of nationally esta blished export quotas  that are annexed to this Resolution. 
Some of these Guidelines  read as follows: 
“2. In the context of CITES, an annual export  quota is a limit on the number or quantity of specimens of a particular species t hat may be 
exported from the country concerned within a 12-month period. An an nual export quota is not a target and there is no need for a  quota to be fully 
used. It is recognized that there are some cases in which it is  likely that the export of spec imens 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 Sc ientific Authority ef fectively meets the 
requirement of CITES to make a non-detriment finding for species included in Appendix I or II and, for species in Appendix II, to ensure that the 
species is maintained throughout its range at a level consistent with its role in the ecosystems in which it occurs. 4. A well-implemented export quota system ca n be an advantage for any Party to CITES th at authorizes exports. It eliminates the  need for a 
non-detriment finding for each individual shipment of CITES spec imens, provides a basis for monitoring the trade and may facili tate the issuance of 
export permits. In the case of species whose populations span in ternational borders, the establishment of export quotas can be coordinated at a 
regional level, which is of particular relevance in the case of migratory species. 
5. It must be recognized, however, that there are also other ma nagement tools that may be better suited to the biological, admi nistrative or 
other management context. In some cases, the use of quotas coul d have an undesirable effect, part icularly if they are not adjus ted as necessary to 
take into account changing biological, legal or administrative needs. For example, where a quota has been set for a particular year but the species  
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- 57 - is impacted by climatic factors, such as a drough t, there could still be pr essure to fill the quota. 
6. The fundamental principle to follow is that decision-making regarding the level of sustainable exports must be scientificall y based, and 
harvests managed in the most a ppropriate manner. This requires that implementation, including administrative, legislative and e nforcement 
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 coun tries 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, soci al and economic issues  and relevant policy instruments, in orde r to facilitate a 
better understanding of the effects of wildlife trade policies on the international wildlife trade; 
(d) Requests Parties that undertake wildlife trade policy review s on a voluntary basis to share relevant details of their revie ws and lessons 
learned with other Parties; 
(e) Instructs the Secretariat to facilitate the review of wild life trade policies, through raising the necessary funds and prov iding necessary technical 
cooperation, compile information provided voluntarily by the Parties regarding their wildlife trade policy reviews and make thi s information available 
to other Parties..."  
Resolution Conf. 16.3 
CITES  
Strategic Vision: 2008-
2020  
 The [CoP] to CITES: 
“Adopts the CITES Strategic Vision: 2008-2020”  Contains the CITES vision statement:” Conserve biodiversity and contribute to its sustainable use by ensuring that no species o f wild fauna or flora 
becomes or remains subject to unsustainable exploitation through international trade, thereby contributing to the significant r eduction 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 IMPLE MENTATION AND ENFORCEMENT OF THE CONVENTION 
GOAL 2 -  SECURE THE NECESSARY FINANCIAL RESOURCES AND MEAN S 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 ENSURING 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 or der to support 
CITES-related conservation and sustainable development projects , without diminishing funding fo r currently prioritized activiti es. 
Objective 3.2 Awareness of the role and purpose of CITES is increased globally. Objective 3.3 Cooperation with relevant international environmental, 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 Aichi Bi odiversity 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 Secretariat cooperate with other re levant international organizati ons and agreements dealing with  natural 
resources, as appropriate, in order to achieve a coherent and collaborative a pproach to species which can be endangered by 
unsustainable trade, including those which are commercially exploited. 
Resolution Conf. 16.6 
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 the  implementation of 
CITES listings, Regarding enabling policies Invites Parties to initiate or strengthen collaborative partnerships among local, regional, national and international developm ent and conservation 
agencies to enhance: a) financial support for wildlife cons ervation and rural communities; and 
b) the complementarity of their work and CITES implementation; 
Invites Parties to explore the use of registered marks of ce rtification and origin consistent with CITES provisions; and  
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- 58 - invites international financial institutions and cooperation agencies to assist Parties in the development of supportive polici es and institutions at the 
regional, national and local levels to address impacts of the implementation of listings on rural communities; Regarding the potential shift from in situ to ex situ production Recognizes that: 
a) ex situ production may lead to lo ss of revenues for rural communities; 
b) positive incent ives to promote in situ production systems may encourage benefits for these communities; and 
c) cooperation between exporting an d importing countries may include: 
 i) working with in situ and ex situ producers and trade associations; and  ii) conservation and development projects; 
Resolution Conf. 16.7 
Non-detriment findings The [CoP] to the Convention:  
Recommends that: a) Scientific Authorities take into account the following concepts and non-binding guiding principles in considering whether tr ade 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 the su rvival of that species or not;
5 
ii) Scientific Authorities should consider whether the species would be maintained throughout its range at a level consistent w ith its role in the 
ecosystems in which it occurs; 
iii) in making a non-detriment finding, Scientific Authorities should consider the volume of legal and illegal trade (known, in ferred, projected, 
estimated) relative to the vulnerability of the species (intrinsic  and extrinsic factors that increase the risk of extinction o f the species); 
iv) the data requirements for a determination that trade is not detrimental to the survival of the species should be proportion ate to the 
vulnerability of the species concerned; 
v) the making of an effective non-detriment finding relies upon  a correct identification of the species concerned and verificat ion 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 u sed 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 ori gin for 
example; 
vii) the methodology used should be flexible enough to allow for consideration of the specific and individual characteristics o f different taxa; 
viii) the implementation of adaptive manage ment, including monitoring, is an important consideration in the making of a non-det riment finding; 
ix) the non-detriment finding is based on resource assessment methodologies which may include, but are not limited to, consider ation 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. threats;  E. historical and current species-specific levels and patterns  of harvest and mortality (e.g. age, sex) from all sources combi ned; 
 F. management measures currently in place and proposed, includin g adaptive management strategies  and consideration of levels o f 
compliance; 
 G. population monitoring; and  H. conservation status; and x) the sources of information that may be considered when making a non-detriment finding include but are not limited to: 
 A. relevant scientific literature concerning species bi ology, life history, distribu tion and population trends; 
 B. details of any ecological risk assessments conducted;  C. scientific surveys conducted at harvest locations an d at sites protected from harv est and other impacts; and 
 D. relevant knowledge and expertise of local and indigenous communities; 
 E. consultations with relevant local, regional and international experts; and 
                                               
5 In considering whether an export may be detrimental, the sustainability of the overall harvest will usually be a necessary con sideration.  
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- 59 -  F. national and international trade inform ation 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 mark ets 
or through the Internet for example; and 
b) Scientific Authorities consider, as a reference for making non-detriment findings, the information included in the Annex to document 
AC26/PC20 Doc. 8.4 and any subsequent up dates available on the CITES website6; 
Resolution Conf. 16.8 
Frequent cross-border 
non-commercial 
movements of musical 
instruments The [CoP] to the Convention: 
Recommends that for non-commercial cross-bo rder movement of musical instruments derive d from CITES species, other than Appendix -I 
specimens acquired after the species was included in the Appendices: a) Parties issue a musical instrument cert ificate for a pre-Convention Appendix-I, - II or -III personally-owned musical instrum ent or for a 
personally-owned musical instrument containing specimens of A ppendix-II or -III species acquired  after the effective listing da te (“personal 
effects”), to facilitate the frequent non-commercial cross-border  movement of musical instruments for purposes including, but n ot limited to, 
personal use, performance, display or competition; 
Resolution Conf. 16.10 
Implementation of the 
Convention for 
agarwood-producing 
taxa The [CoP] to the Convention: 
Regarding management and trade control Encourages range States to establish a re gistration system for the artificial pr opagation of agarwood -producing trees; 
Recommends exporting States to es tablish a registration system of exporters who export pure or mixed oil of agarwood. Samples o f the labels used 
and lists of relevant exporters should be communicated to the Se cretariat by exporting States, and then be provided to all Part ies through a 
Notification; 
 
Quota systems within CITES  
18.  Export quotas in the context of CITES are simply the maximu m number of specimens that may be exported from the country con cerned within a 12-month 
period [cf. Resolution Conf. 14.7 (Rev. CoP15)]. Export quotas  are derived from four sources (see Notification No. 2008/053 of 22 August 2008):  (a) voluntary 
national export quotas, (b) export quotas recommended by the Co P, Standing Committee, the Animals Committee or the Plants Commi ttee, (c) export quotas 
for raw elephant ivory in compliance with Resolution Conf. 10.10 (Rev. CoP16) and d) catch and export quotas for Acipenseriform es established in accordance 
with Resolution Conf. 12.7 (Rev. CoP16).  Quotas, and to a lesser extent other forms of instruments on management of harvests a nd exports, have been used 
in CITES to regulate the quantity of specimens of CITES-listed species entering international trade.  These quotas have been es tablished 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 wi th Article III, paragraph 2 a), [for Appendix-I species] and Ar ticle IV, 
paragraph 2 a), [for Appendix-II species] of the Convention, that the number of specimens that may be exported as part of a quo ta will not be 
detrimental to the survival of that species. 
19.  CITES quotas have served as a significant conservation me asure 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 internati onal trade provides positive 
incentives for conservation. 
                                               
6 See: http://www.cites.org/eng/prog/ndf/index.php.  
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- 60 - - Voluntary national export quotas 
20.  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 species (see the CITES website).  The main purposes of such export quotas appear to be: 
- To establish a limit on yearly exports at levels that are sustaina ble, or within the annual production capacity of ranching or captive breeding 
operations; 
- to announce the intended level of exports to both producers at national level and importers for the purpose of facilitating tra de; 
- to establish a basis for allocating amounts to be exported per year to individual exporters. 
In June 2007, the CoP adopted Resolution Conf. 14.7 on the Guidel ines for Management of Nationally Established Export Quotas, s pecifying a number of 
general principles regarding the establishment and management of such annual export quotas. This Resolution was later revised b y the CoP in March 2010 
[Resolution Conf. 14.7 (Rev.CoP15)]. 
- Quotas established by the CoP or the Standing Committee  21.  At previous meetings, the CoP to CITES has established quotas for hunting trophies and other specimens of several species,  including Appendix-I species, 
either through the adoption of resolutions (e.g. Resolution Co nf. 10.14 (Rev. CoP16) concerning leopard, Resolution Conf.10.15 (Rev. CoP14) concerning 
markhor, and Resolution Conf. 13.5 (Rev. CoP14) concerning black rhinoceros) or through the amendment of the Appendices to incl ude annotations to the 
listing of species that refer to quotas for those species or some populations of those species (e.g. the annotation for Crocodylus niloticus  that establishes a 
quota for the crocodile population of the United Republic of Tanz ania or the annotation  that establishes a zero quota for some  specimens of Geochelone 
sulcata ).  Such quotas can only be amended if the CoP adopts by a two- thirds majority a proposal to amend a listing or a resolution (u nless the CoP had 
decided that a quota will only apply for a specific period).  Pr oposals to amend quotas specified in the Appendices need to be submitted in accordance with 
Resolution Conf. 9.24 (Rev. CoP16) and acco rding 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 Re solution Conf. 12.8 (Rev. 
CoP13) or its predecessors.  In such cases, the Animals and Pl ants Committees, through their review of trade in species selecte d because of concern over the 
sustainability of exports, made recommendations to Parties to co nduct status assessments, apply management procedures or establ ish cautions 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 recommendations can include the establishment of qu otas or the suspension of imports with regard to specimens of  listed species (e.g. 
Notification No.2013/013 of 2 May 2013).  
- Quotas submitted or established in acco rdance with Resolution Conf. 10.10 (Rev. Co P16) and Resolution Conf. 12.7 (Rev. CoP16)  
22.  Export quotas are also established with regard to trade in  specific species, i.e. elephant specimens (Resolution Conf. 10. 10 Rev. CoP14) and sturgeons and 
paddlefish (Resolution Conf. 12.7 Rev. CoP16).  These quotas are es tablished by the member States in accordance with the said R esolutions.  
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- 61 - 2.4  CCAMLR 
23.  The Convention does not contain trade measures, but trade-re lated measures have been adopted, for instance, in the followi ng Conservation Measures 
that are binding for the Contracting Parties: 
10-02 (2008) 
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 vess els in the Convention Area except pursuant to a licence that the Contracting Party 
has issued setting forth the specific areas, species and time pe riods for which such fishing is authorised and all other specif ic 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 fishing in the Convention Area unless licensed or permitted to d o so.  The licence 
should be carried on board and must include conditions of timely  notification of port entry and exit and movement between sub-a reas or divisions, 
reporting of catch data and operation of an  automated satellite-linked vessel monitoring system (VMS).  Any infringement of the se conditions 
discovered upon port arrival, de parture or upon inspection in the Convention Area  on high seas (see below IV.  Non-Compliance M echanism) or, 
where appropriate, in an EEZ, are to be investigated and dealt with in accordance with  national legislation. 
10-05 (2009) 
Catch Documentation 
Scheme for 
Dissostichus  spp. 
Species toothfish "…2. Each Contracting Party shall take steps to identify the origin of Dissostichus  spp. imported into or exported from its territories and to 
determine whether Dissostichus  spp. harvested in the Convention Area that is imported into or exported from its territories was caught in a manner 
consistent with CCAMLR conservation measures. 3. Each Contracting Party shall require that each master or auth orised representative of its flag vessels authorised to engage in harvesting of 
Dissostichus eleginoides  and/or Dissostichus ma wsoni complete a Dissostichus  catch document (DCD) for the catch landed or transhipped on each 
occasion that it lands or tranships Dissostichus  spp. 
4. Each Contracting Party shall require that each landing of Dissostichus  spp. at its ports and each transhipment of Dissostichus  spp. to its 
vessels be accompanied by a completed DCD.... 
5. Each Contracting Party shall, in accordance with their laws and regulations, require that th eir flag vessels which intend to  harvest Dissostichus  
spp., including on the high seas outside the Convention Area, are provided with specific authorisation to do so.  Each Contract ing Party shall 
provide Dissostichus  catch document forms to each of it s flag vessels auth orised to harvest Dissostichus  spp. and only to those vessels. 
6. A non-Contracting Party seeking to cooperate with CCAMLR by participating in this scheme may issue DCD forms, in accordance with the 
procedures specified in paragraph 7 and Annex 10-05/C, to any of its flag  vessels that intend to harvest Dissostichus  spp. … 
10. Each Contracting Party shall require that each shipment of Dissostichus  spp. imported into or exported from its territory be accompanied by 
the export-validated DCD(s) and, where appropriate, va lidated re-export document(s) that account for all the Dissostichus  spp. contained in the 
shipment. …".  This Conservation Measure was adopted in November 1999 and came  into force on 7 May 2000.  This measure establishes a Catch 
Documentation Scheme which tracks the landings and trade flows of toothfish ( Dissostichus  spp.) caught in the Convention Area and where 
possible, adjacent waters.  Further trade-related measures are contained in Conservation Me asures 10-06 (2006) and 10-07 (2006) (see below:  IV. Non-Compl iance 
Mechanisms and VI. Provisions for Non-Parties). 
 
2.5  Montreal Protocol   
Provisions of the Protocol 
Article 2 
Control Measures "…5. Any Party may, for one or more contro l periods, transfer to another Party any po rtion of its calculated level of productio n set out in Articles 2A 
to 2F, and Article 2H, provided that the total combined calculat ed levels of production of the Parties concerned for any group of controlled 
substances do not exceed the production limits set out in those Ar t i c l e s  f o r  t h a t  g r o u p .   S u c h  t r ansfer 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.   
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- 62 - 5 bis. Any Party not operating under paragraph 1 of Article 5 may,  for one or more control period s, transfer to another such Pa rty any portion of its 
calculated level of consumption set out in Article 2F, provided that the calculated level of consumption of controlled substanc es in Group I of 
Annex A of the Party transferring the portion of its calculated level of consumption did not exc eed 0.25 kilograms per capita i n 1989 and that the 
total combined calculated levels of consumption of the Parties concerned do not exceed the cons umption limits set out in Articl e 2F.  Such transfer 
of consumption shall be notified to the Se cretariat by each of the Parties concerned,  stating the terms of such transfer and th e period for which it is 
to apply.  6. Any Party not operating under Article 5, that has facilities for the production of Annex A or Annex B controlled substances under construction, 
or contracted for, prior to 16 September 19 87, and provided for in national legislat ion prior to 1 January 1987, may add the pr oduction from such 
facilities to its 1986 production of such substances for the purp oses of determining its calculated level of production for 198 6, provided that such 
facilities are completed by 31 December 1990 and that such production does not raise that Party’s annual calculated level of co nsumption of the 
controlled substances above 0.5 kilograms per capita. 7. Any transfer of production pursuant to paragraph 5 or any addi tion of production pursuant to paragraph 6 shall be notified t o the Secretariat, 
no later than the time of the transfer or addition. 8. (a) Any Parties which are Member States of a regional economic integration organization as defined in Article 1(6) of the Co nvention may 
agree that they shall jointly fulfil their obligations respecting  consumption under this Article and Articles 2A to 2I provided  that their total 
combined calculated level of consumption does not exceed th e levels required by this Article and Articles 2A to 2I. 
(b) The Parties to any such agreement shall inform the Secretariat of the terms of the agreement before the date of the reducti on in 
consumption with which the agreement is concerned.  (c) Such agreement will become operative only if all Member States of the regional economic integration organization and the or ganization 
concerned are Parties to the Protocol and have 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 potent ials 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 consumpt ion of the controlled substances should be undertaken and, if so, what 
the scope, amount and timing of any such adjustments and reductions should be; 
(b) Proposals for such adjustments shall be communicated to the Parties by the Secretariat at least six months before the MOP a t which they 
are proposed for adoption; 
(c) In taking such decisions, the Parties shall make every effort  to reach agreement by consensus.  If all efforts at consensus  have been 
exhausted, and no agreement reached, such decisions shall, as a last resort, be adopted by a two-thirds majority vote of the Pa rties present 
and voting representing a majority of the Parties operating under Paragraph 1 of Arti cle 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.  Un less otherwise 
provided in the decisions, they shall enter into force on the ex piry of six months from the date  of the circulation of the comm unication by the 
Depositary. 
10. Based on the assessments made pursuant to Article 6 of this Protocol and in accordance with  the procedure set out in Articl e 9 of the 
Convention, the Parties may decide: 
(a) whether any substances, and if so which, should be added to or remove d from any annex to this Protocol, and 
(b) the mechanism, scope and timing of the control measures that should apply to those substances;   
11. Notwithstanding the provisions contained in this Article and Ar ticles 2A to 2I Parties may ta ke more stringent measures tha n those required by 
this Article and Articles 2A to 2I". 
Articles 2A-2I  Articles 2A to 2I provide specific guidance on control measur es for CFCs, Halons, other fully halogenated CFCs, Carbon tetrach loride, Methyl 
chloroform, hydrochlorofluorocarbons , hydrobromofluorocarbons, methyl bromide, and bromochloromethane.  
Article 4 
Control of trade with 
non-Parties  "1. As of 1 January 1990, each party shall ban the import of the controlled substances in Annex A from any State not party to t his Protocol. … 
2. As of 1 January 1993, each Party shall ban the export of any controlled substances in Annex A to any State not party to this  Protocol. … 
3. By 1 January 1992, the Parties shall, following the procedures in Article 10 of the Convention, elaborate in an annex a list  of products 
containing controlled substances in Annex A.  Parties that have not objected to the annex in accordance with those procedures s hall ban, within one  
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- 63 - year of the annex having become effect ive, the import of those products from any State not party to this Protocol. … 
4. By 1 January 1994, the Parties shall determine the feasibility of banning or restricting, from States not party to this Prot ocol, the import of 
products produced with, but not containing, controlled substances in Annex A.  If determined feasible, the Parties shall, follo wing 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 ac cordance with those 
procedures shall ban, within one year of the annex having become  effective, the import of those products from any State not par ty to this Protocol. 
… 5. Each Party undertakes to the fullest practicable extent to di scourage the export to any State not party to this Protocol of technology for 
producing and for utilizing controlled su bstances in Annexes A, B, C and E. 
6. Each Party shall refrain from providing new subsidies, aid, cr edits, guarantees or insurance programmes for the export to St ates not party to 
this Protocol of products, equipm ent, plants or technology that would facilitate the production of contro lled substances in Ann exes A, B, C and E. 
7. Paragraphs 5 and 6 shall not apply to pr oducts, equipment, plants or technology that improve the containment, recovery, recy cling or 
destruction of controlled substances, promote the development of alternative substances, or otherwise contribute to the reducti on 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 may  be permitted from, 
or to, any State not party to this Protocol, if that State is determined, by a [MOP], to be in full compliance with Article 2, Articles 2A to 2I and this 
Article, and have submitted data to th at effect as specified in Article 7. 
9. For the purposes of this Article, the term "State not party to this Protocol" shall include, with respect to a particular co ntrolled substance, a 
State or regional economic integr ation organization that has not agreed to be bound  by the control measures in effect for that substance. 
10. By 1 January 1996, the Parties shall consider whether to amend this Protocol in order to extend the measures in this Articl e to trade in 
controlled substances in Group I of Annex C and in Annex E with States not party to the Protocol". 
 Article 4 provides for measures that are directed against non-pa rties.  Trade measures under Article 4 are as follows: 
(a) Control of trade in ODS with non-parties:   
(i) Annex A substances (mainly CFCs and ha lons):  import from non-parties banned fro m 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 fo r non-
parties to the London Amendment; (iii) Annex C – Group II  (HBFCs):  import and export banned from June 1995 for non-parties to the Copenhagen Amendment (1992).   
(iv) Annex C – Group I (HCFCs):  import and export banned for non-parties to the Beijing Amendment (1999) from 1 January 2004.  
Trade also banned in HCFCs with countries that have not yet ratified the Copenhagen Amendment (1992), which introduced the HCFC  
phase out. Trade ban does not apply to all developing countries that are operating un der Article 5, paragraph 1 when trading in  HCFCs 
among themselves until 1 January 2013. (v) Annex C – Group III (Bromochloromethane ):  Import and export banned for non-part ies to the Beijing Am endment (1999) after 
February 2003. (vi) Annex E substances (Methyl bromide):  import and export banned from November 20 00 for non-parties to the Montreal Amendmen t 
(1997).  
(b) Control of trade in products containing ODS with non-parties:   Import of products (listed in Annex D) containing Annex A su bstances 
banned from May 1992;   (c) Exports of ODS-technologies:  Parties are discouraged "to the fullest practicable extent", expo rt of technology for produci ng ODS;  
however, there are exceptions for HCFCs and fo r equipment or technology to recycle ODS. 
Article 4A 
Control of trade with 
Parties "1. Where, after the phase-out date applicab le to it for a controlled substance, a Pa rty is unable, despite having taken all pr acticable steps to 
comply with its obligation under the Protocol , to cease production of that substance fo r domestic consumptio n, other than for u ses agreed by the 
Parties to be essential, it shall ban the export of used, recycl ed and reclaimed quantities of th at substance, other than for t he purpose of 
destruction. 2. Paragraph 1 of this Article shall apply without prejudice to the operation of Articl e 11 of the Convention and the non-compl iance procedure 
developed under Article 8 of the Protocol".   
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- 64 - Article 4B 
Licensing "1. Each Party shall, by 1 January 2000 or within three months of the date of entry into force of this Article for it, whicheve r is the later, establish 
and implement a system for licensing the import and export of ne w, used, recycled and reclaimed controlled substances in Annexe s A, B, C and E. 
2. Notwithstanding paragraph 1 of this Article, any Party operat ing 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 co ntrolled 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 esta blishment 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 th eir licensing systems and 
shall forward this information to the Implementation Committee for consideration 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 Mont real Protocol, 
and  3 Parties that are Parties to the Montreal Protocol but ha ve not yet ratified the Montreal Amendment had already establish ed licensing systems 
for ODS.  Decision XXII/14  of the Twenty Second Meeting of the Parties urged all th e 5 remaining Parties to the Montreal Amendment and the 3 
remaining Parties to the Montreal Protocol that had not yet introd uced import and export licensing systems to do so as a matter  of urgency. 
 
Decisions of the Meetings of the Parties 
24.  Examples of decisions adopted at the Meetings of the Parties (MOP) include the following: 
MOP V  
Bangkok, 1993  It was decided at MOP V that it was not feasible to ban or rest rict 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 bromide from any State not Party to 
the Montreal Amendment.  
- Parties are to discourage the export to  non-parties of technology for producin g or for utilising methyl bromide.  
- Each Party shall refrain from providing any assistance for the expo rt 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 fully proved cases of illegal trade in ODS and the Secretariat 
is requested to collect any information on illegal trade receiv ed from the Parties and to disseminate it to all Parties.  
- Decision XIV/36  on the report on licensing system takes note of the status report for parties that have established licensing systems and 
encourages those Parties that have not yet done so to establish import and export licensing systems of ODS. 
 MOP XIV also adopted Decision XIV/11 on the relationship between the Montreal Protocol and the WTO:  
"1. To request the Ozone Secretariat to report to the Parties to the Montreal Protocol on any meetings it attends at the WTO an d 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 P arties;   
3. To further request that the Oz one Secretariat, in coordination with the Multilateral Fund Secretariat, when called upon to p rovide general 
advice to the WTO on trade provisions of the Montreal Protocol and activities of the Multilateral Fund, consult with the Partie s of the Montreal 
Protocol and the Executive Committee before providing this advice.  If the Ozone Secretariat is asked for interpretations of th e Protocol’s trade 
provisions, the Secretariat should refer the matter  to the Parties before providing that advice".  
MOP XV 
Nairobi, 2003 Decision XV/20  o n  t h e  r e p o r t  o n  l i c e n s i n g  s y s t e m  t a k e s  n o t e  o f  t h e  s t a t u s  report for parties that have es tablished licensing systems and 
encourages those Parties that have not yet done so to establis h import and export licensing sy stems of ozone-depleting substanc es.   
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- 65 - MOP XVI 
Prague, 2004  MOP XIV adopted five trade-related decisions: 
- Decision XVI/7  on trade in products and commodities treated with methyl br omide 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 commod ities from 
Parties that have ratified the Mo ntreal Protocol provisions rega rding methyl bromide and are otherwise in compliance with their  Montreal 
Protocol obligations just because the commod ities or products have been treated with methyl bromide, or because the commodities  have 
been produced or grown on soil treated with methyl bromide.  
- Decision XVI/11  on the coordination among UN bodies on quarantine and pre-shipment uses inter alia  encourages the importing Parties to 
consider accepting the wood  packaging treated with alternative methods to methyl  b r o m i d e ,  i n  a c c o r d a n c e  w i t h  s t a n d a r d  1 5  o f  t h e  
International Standards for Phytosanitary Measures of the IPPC.  
- Decision XVI/32  on the establishment of licensing systems under Article 4B of the Montreal Protocol inter alia  encourages the Parties to 
establish import and export  licensing systems for ODS.  
- Decision XVI/33  on illegal trade in ODS noted the need for coordination of efforts by parties at national and international level to suppress 
illegal trade in ODS and requested draft terms for a study on the feasibility of developing a system of tracking trade in ODS.  
Pursuant to this Decision, a workshop of experts was convened in 2005 to develop specific ideas and a conceptual framework of c ooperation 
to address illegal trade in ODS.   
- Decision XVI/34  on the cooperation between the secretariat of the Montreal  protocol and other related conventions and international 
organizations requested the secretariat to enhance its cooperation with, inter alia , the WTO, as well as report on and monitor developments in 
the WTO.  
MOP XVII 
Dakar, 2005  MOP XVII adopted several trade-related decisions: 
- Decision XVII/16 on preventing illegal trade in controlled ODS approved the terms of reference for a st udy on the feasibility of developing an 
international system of monitoring the tran sboundary movement of controlled ODS betw een parties (This feasibility study was pub lished in 
September 2006, and is available at http://ozone.unep.org/Meeting_Documents/mop/18mop/ODS-Tracking-September-2006.pdf).  In addition, the Decision urged all Parties, including regional integration organizations, to implement fully their obligations un der Article 4B of the 
Montreal Protocol, in particular the licensing systems for the co ntrol of imports, exports, and re-exports (exports of previous ly imported 
substances).  The Decision also proposed to consider additional control measures with regard to the use of controlled ODS in pa rticular 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 Pa rties to the Montreal Protocol but have not yet ratified the Montreal Amendment ha d already 
established licensing systems for ODS.  The Decision encouraged all the remaining Parties to the Montreal Amendment that had no t yet 
introduced import and export licensing syst ems 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 to compliance in a timely manner, the MOP will  consider 
measures, which can include ensuring that the supply of methyl bromide be "ceased so that exporting Parties are not contributin g to a 
continuing situation of non-compliance." 
- Decision XVII/26 on non-compliance  noted that Azerbaijan has failed to enforce its newl y introduced ban on the import of CFCs due to its 
lack of expertise in the tracking of this substance, and requested exporting Parties to  assist Azerbaijan to comply with its co mmitment.   
 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); Decision VII/29 (Chile)  
- Non-compliance with the phase-out co mmitment for CFCs: Decision XVII/32 (Federated States of Micronesia)  
- Non-compliance with the phase-out commitment for methyl bromide: Decision XVII/33 (Fiji); Decision XVII/34 (Honduras); Decision  XVII/37 
(Libyan Arab Jamahiriya); Decision VII/29 (Chile) 
- Non-compliance with the phase-out commitment for halons: Decision XVII/36 (Kyrgyzstan); Decision XVII/37 (Libyan Arab Jamahiriy a); 
Decision XVII/38  (Sierra Leone).  
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- 66 - MOP XVIII 
New Delhi, 2006 
 - Decision XVIII/18  on preventing the illegal trade in ozone-depleting substances  through systems for monitoring  their transboundary movement 
between Parties.  In addition, the Decision urged all "to implement fully their obligations under Article 4B of the Montreal Pr otocol, as well as to 
take into account recommendations contained in existing decisions of the Parties, notably decisions IX/8, XIV/7, XVII/12 and XV II/16". 
MOP XXIV2 
Geneva, Switzerland - Decision XXIV/2  on application to some parties of paragr aph 8 of Article 4 of the Montreal Protocol with respect to the Beijing Amendment to 
the Montreal Protocol. The decision allowed  some parties who ha d not yet ratified the Beijing Amendment to the Montreal Protoc ol to continue 
trading in ozone-depelting substances for one year after they were, inter alia, found to be in compliance with the Montreal Pro tocol and had 
undertaken to ratify the Amendment as soon as possible and notify the Secretariat accordingly. Other states were given a simila r opportunity to 
contiue trading in ozone-depleting substances  provided they reported certain informatio n to theSecretariat within a speficied d eadline.   
 
2.6  Basel Convention 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 Conven tion: 
(a) Wastes that belong to any category contained in Annex I, unless they do not possess any of the characteristics contained in  Annex 
III; and (b)  Wastes that are not covered under paragraph (a) but are defi ned as, or are considered to be, hazardous wastes by the domes tic 
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" for the 
purposes of this Convention. …" 
Article 3 
National Definitions of 
Hazardous Wastes "1. Each Party shall, within six months of becoming a Party to this Convention, inform the Secretariat of the Convention of the  wastes, other than 
those listed in Annexes I and II,  considered or defined as hazardous under its na tional legislation and of any requirements con cerning 
transboundary movement procedures  applicable to such wastes. 
2. Each Party shall subsequently inform the Secretariat of any significant changes to the inform ation it has provided pursuant to paragraph 1. 
3. The Secretariat shall forthwith inform all Parties of the in formation it has received purs uant to paragraphs 1 and 2. 
4. Parties shall be responsible for making the information transmitted to  them by the Secretariat under paragraph 3 available t o their exporters". 
Article 4 
General Obligations "1. (a) Parties exercising their right to pr ohibit the import of hazardous wastes or other wastes for disposal shall inform the  other Parties of their 
decision pursuant to Article 13. 
(b) Parties shall prohibit or shall not perm it the export of hazardous wastes and othe r wastes to the Parties which have prohib ited the import 
of such wastes, when notified pu rsuant to subparagraph (a) above. 
(c) Parties shall pr ohibit 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 th e appropriate measures to: 
   (a)  Ensure that the generation of h azardous wastes and other wastes within it is  reduced to a minimum, taking into account social, 
technological and economic aspects; 
 (b)  Ensure the availability of adequate  disposal facilities, for the environmentally sound management of hazardous wastes and  other 
wastes, that shall be located, to the extent possible, within it, whatever the place of their disposal;… 
…(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, an d is conducted in a manner which will protect human health and  the 
environment against the adverse effects which may result from such movement; 
(e) Not allow the export of  hazardous wastes or other wastes to a State or group of States belo nging to an economic and/or poli tical 
integration organization that are Parties, particularly developing countries, which have prohibited by their legislation all im ports, or if it has 
reason to believe that the wastes in question will not be managed in an environmentally sound manner, according to criteria to be decided on 
by the Parties at th eir first meeting. 
(f) Require that information about a proposed transboundary moveme nt of hazardous wastes and othe r wastes be provided to the St ates 
concerned, according to Annex V (A), to state clearly the effect s of the proposed movement on human health and the environment;  
(g) Prevent the import of hazardous wastes and other wastes if it has reason to believe that the wastes in question will not be  managed in an  
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- 67 - environmentally sound manner; 
(h) Co-operate in activities with other Parties and interested organizations, directly and through the Secretariat, including t he dissemination 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 hazard ous wastes or other wastes to be  exported to a non-Party or to  be imported from a non-Party. 
6. The Parties agree not to allow the export of hazardous wastes or other wastes for disposal within the area south of 60° Sout h latitude, 
whether or not such wastes are subject to transboundary movement. 7. Furthermore, each Party shall: 
(a) Prohibit all persons under its national jurisdiction from transporting  or disposing of hazardous wastes or other wastes unl ess such persons 
are authorized or allowed to perform such types of operations; (b) Require that hazardous wastes and other wastes that are to be the subject of a transboundary movement be packaged, labelled , and 
transported in conformity with generally a ccepted and recognized international rules an d standards in the field of packaging, l abelling, 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 docume nt from the point at which a transboundar y 
movement commences to the point of disposal. 
8. Each Party shall require that hazardous wastes or other wast es, to be exported, are managed in an environmentally sound mann er in the 
State of import or elsewhere.  Technical guidelines for the envi ronmentally sound management of wastes subject to this Conventi on shall be 
decided by the Parties at  their first meeting. 
9. Parties shall take the appropriate measur es to ensure that the transboundary moveme nt of hazardous wastes and other wastes o nly be 
allowed if: 
(a) The State of export does not have the technical capacity and the necessary facilities, capacity or suitable disposal sites in order to dispose 
of the wastes in question in an environmentally sound and efficient manner;  or 
(b) The wastes in question are required as  a raw material 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 Partie s, provided those cr iteria do not 
differ from the objectives of this Convention. 
10. The obligation under this Conv ention of States in which hazar dous wastes and other wastes are generated to require that tho se wastes are 
managed in an environmentally sound manner may not under any circ umstances be transferred to the States of import or transit. 
11. Nothing in this Convention shall prevent a Party from imposing  additional requirements that are consistent with the provisi ons of this 
Convention, and are in accordance with the rules of international law, in order better to protect human health and the environm ent. 
12. Nothing in this Convention shall affect in any way the sovereignty of States over their territorial sea established in acco rdance with 
international law, and the sovereign rights and the jurisdiction which States have in their exclusive economic zones and their continental shelves in 
accordance with international law, and the exercise by ships and aircraft of all States of navi gational rights and freedoms as provided for in 
international law and as reflected in relevant international instruments …".  
Article 5 
Designation of 
Competent Authorities 
and Focal Point "To facilitate the implementation of this Convention, the Parties shall: 
1. Designate or establish one or more competent authorities and one focal point.  One competent authority shall be designated t o 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 "c ontrol system", according to which the transboundary movements  of hazardous 
wastes shall take place.  "1. The State of export shall notify, or shall require the genera tor or exporter to notify, in writing, through the channel of the competent authority 
of the State of export, the competent authority of the States co ncerned of any proposed transboundary movement of hazardous was tes or other 
wastes.  Such notification shall contain the declarations and in formation specified in Annex V A, written in a language accepta ble 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 compe tent authorities of 
the States concerned which are Parties.  
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- 68 - 3. The State of export shall not allow the generator or exporter  to commence the transboundary movement until it has received w ritten 
confirmation that: 
(a) The notifier has received the written consent of the State of import;  and (b) The notifier has received from the State of import 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 subse quently respond to 
the notifier in writing, within 60 days, consenting to the movement with or without conditions, denying permission for the move ment, or requesting 
additional information.  The State of expo rt shall not allow the transbou ndary movement to commence until it has received the w ritten consent of 
the State of transit.  However, if at any time a Party decides not to require pr ior written consent, either generally or under specific conditions, for 
transit transboundary movements of hazardous wastes or other wastes , or modifies its requirements in this respect, it shall for thwith inform the 
other Parties of its decision pursuant to Article 13.  In this la tter case, if no response is re ceived by the State of export w ithin 60 days of the receipt 
of a given notification by the State of transit, the State of ex port may allow the export to proceed through the State of trans it. 
5. In the case of a transboundary movement of wastes where the wastes are legally defined as or considered to be hazardous wast es only: 
(a) By the State of export, the requirements  of paragraph 9 of this Article that apply to the importer or disposer and the Stat e of import shall 
apply mutatis mutandis  to the exporter and State of export, respectively; 
(b) By the State of import, or by the States of import and tran sit which are Parties, the requirements of paragraphs 1, 3, 4 an d 6 of this 
Article that apply to the exporter and State of export shall apply mutatis mutandis  to the importer or disposer and State of import, 
respectively;  or (c) By any State of transit which is a Party, the pr ovisions of paragraph 4 shall apply to such State. 
6. The State of export may, subject to the written consent of th e States concerned, allow the generator or the exporter to use a general 
notification where hazardous wastes or othe r wastes having the same ph ysical and chemical characte ristics are shipped regularly  to the same 
disposer via the same customs office of exit of the State of ex port via the same customs office of entry of the State of import , and, in the case of 
transit, via the same customs office of entry and exit of the State or States of transit. 
7. The States concerned may make their written consent to the us e of the general notification referred to in paragraph 6 subjec t to the supply of 
certain information, such as the exact quan tities or periodical lists of hazardous wastes or other wast es to be shipped. 
8. The general notification and written cons ent referred to in paragraphs 6 and 7 may cover multiple shipments of hazardous was tes or other 
wastes during a maximum period of 12 months. 
9. The Parties shall require that each person who takes charge of  a transboundary movement of h azardous wastes or other wastes sign the 
movement document either upon delivery or receipt of the wastes in question.  They shall also require that the disposer inform both the exporter 
and the competent authority of the State of export of receipt by the disposer of the wastes in question and, in due course, of the completion of 
disposal as specified in the notification.  If no such information is received within the State of export, the competent author ity of the State of export 
or the exporter shall so notify the State of import. 10. The notification and response required by this Article shall be transmitted to the competent authority of the Parties conce rned or to such 
governmental authority as may be appropriate in the case of non-Parties. 
11. Any transboundary movement of hazardous wastes or othe r wastes shall be covered by insura nce, bond or other guarantee as ma y 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 wast es to which the consent of the States concerned has been given,  subject to 
the provisions of this Convention, cannot be completed in accordance with the terms of the contract, the State of export shall ensure that the 
wastes in question are taken back into the State of export, by the exporter, if alternative arra ngements cannot be made for the ir disposal in an 
environmentally sound manner, within 90 days from the time that the importing State informed the State of export and the Secret ariat, or such 
other period of time as the States concerned agree.  To this end, the State of export and any Party of transit shall not oppose , hinder or prevent 
the return of those wastes to the State of export." 
 There is a duty to re-import if waste cannot be  disposed of in an environmentally sound manner.  
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- 69 - Article 9 
Illegal Traffic "1. For the purpose of this Convention, any transbound ary movement of hazardous wastes or other wastes: 
(a) without notification pursuant to the provisions of this Convention to al l States concerned;  or 
(b) without the consent pursuant to the provisions of this Convention of a State concerned;  or (c) with consent obtained from States concerned thro ugh falsification, misrepresentation or fraud;  or 
(d) that does not conform in a material way with the documents;  or 
(e) that results in deliberate di sposal (e.g. dumping) of hazardous wastes or ot her 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 conduc t on the part of 
the exporter or generator, the St ate of export shall ensure that the wastes in question are: 
(a) taken back by the exporter or the gene rator or, if necessary, by itself into the State of export, or, if impracticable, 
(b) are otherwise disposed of in accordance with the provis ions of this Convention,  
within 30 days from the time the State of ex port has been informed about the illegal tr affic or such other period of time as St ates concerned may 
agree.  To this end the Parties concerned shall not oppose, hinder or prevent the retu rn of those wastes to the State of export . 
3. In the case of a transboundary movement of hazardous wastes or other wastes deemed to be illegal traffic as the result of co nduct on the part 
of the importer or disposer, the State of import shall ensure that the wastes in question are disposed of in an environmentally  sound manner by the 
importer or disposer or, if necessary, by itself within 30 days from the time the illegal traffic has come to the attention of the State of import or 
such other period of time as the States concerned may agree.  To this end, the Parties concerne d shall co-operate, as necessary , in the disposal of 
the wastes in an environmentally sound manner. 4. In cases where the responsibility for the illegal traffic cannot  be assigned either to the exporter or generator or to the i mporter or disposer, 
the Parties concerned or other Parties, as appropriate, shall en sure, through co-operation, that the wastes in question are dis posed 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 na tional/domestic legislation to prevent and punish illegal traffic.  The Parties sha ll co-operate with a 
view to achieving the objects of this Article". 
Article 10 
International 
cooperation 1. The Parties shall co-operate with each other in order to improve an d achieve environmentally sound management of hazardous w astes and 
other wastes. 2. To this end, the Parties shall: 
(a)  Upon request, make available information, whether on a bila teral or multilateral basis, with a view to promoting the envir onmentally 
sound management of hazardous wastes and other wastes, including harmonization of te chnical standards and practices for the ade quate 
management of hazardous wastes and other wastes; (b)  Co-operate in monitoring the effects of the management  of hazardous wastes on huma n health and the environment; 
(c)  Co-operate, subject to their national laws, regulations and policies, in the deve lopment and implementa tion of new environ mentally 
sound low-waste technologies and the improvement of existing techno logies with a view to eliminat ing, as far as practicable, th e generation of 
hazardous wastes and other wastes and achiev ing more effective and effici ent methods of ensuring thei r management in an environ mentally 
sound manner, including the study of the economic, social and envi ronmental effects of the adoption  of such new or improved tec hnologies; 
(d)  Co-operate actively, subject to their national laws, regulations and policies, in the transfer of technology and managemen t systems 
related to the environmentally sound management of hazardous wast es and other wastes.  They sha ll also co-operate in developing  the 
technical capacity among Parties, especially those which may need and request technical assistance in this field; … 
  
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- 70 - Decisions of the Conference of Parties 
25.  The following are examples of trade-related decisions adopted at meetings of the COP of the Basel Convention: 
COP-2 
Geneva, 1994  At COP-2, parties agreed to a ban on the export of hazardous wastes from OECD to non-OECD count ries intended for final disposa l, recovery, 
and recycling (Decision II/12).  Because the decision was not incorporated in the text of the Convention itself, the question a s to whether it was 
legally binding or not arose.  
COP-3 
Geneva, 1995  At COP-3, it was proposed that the Ban be formally incorporat ed in the Basel Convention as an amendment (Decision III/1).  If and when the 
ban comes into force (The Ban Amendment has 69 Parties as of October 2010), the amendment would insert in the Convention a new Article 4A(2) 
which would:  prohibit all transboundary mo vements of hazardous wastes destined for final disposal  from Parties listed in Annex VII (consisting of members 
of OECD, EC and Liechtenstein) to states not listed in Annex VII, and 
 prohibit all transboundary moveme nts of hazardous wastes under Ar t 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 wish ing to join Annex VII.  These countries are Monaco, Slovenia a nd Israel.  
However, it was decided to wait and see ho w 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 COP-5.  
 Annexes VIII and IX of the Convention, adop ted at COP-4, clarify what is and what is not considered to be hazardous waste.  No n-hazardous 
material is listed in Annex IX (list B) wastes.  Many of the re cyclable materials such as copper, zinc (and their products) and  other precious metals 
are in Annex IX and are not considered hazardous unless they have been contaminated.  Further clarification is needed for some wastes, such as 
lead acid and zinc ashes (as these would be  considered hazardous waste under Basel).  
COP-5 
Basel, 1999  At COP-5, the Basel Declaration on Enviro nmentally Sound Management was adopted.  This Declaration outlines the activities to be 
undertaken to achieve the objectives of the practical implementa tion of environmentally sound ma nagement:  prev ention, minimiza tion, recycling, 
recovery and disposal of wastes subject to the Convention.   
COP-6 
Geneva, 2002  At COP-6, Decision VI/30 was adopted by the COP on the Cooperation with the WTO: 
"… 1. Requests the secretariat of the 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 re quest 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 [WT O] 
Secretariat and its committee secretariats; (c) Monitor developments in the [WTO CTE] meeting in  Special Session and report  to the Parties thereon; 
2. Further requests the secretariat of the Basel Convention, when called upon to provide general information to [WTO] on trade provisions of the 
Basel Convention, to consult with the Parties to the Basel Convention before providing that information.  If the Secretariat of  the Basel 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 COP-7 adopted a ministerial statement on partnerships for meeting the global waste challenge which sets out strategies for  mobilizing 
additional resources to address hazardous wa stes.  The statement calls for strengthenin g partnerships with industries and other  international 
organizations and agreements, in particular the Rotterdam Convention on Trade in Hazardous Ch emicals and Pesticides and the Sto ckholm 
Convention on Persistent Organic Pollutants.  It also encourages  governments to consider settin g their own individual or region al targets for 
minimizing wastes.  Decisions VII/2 on Ha zardous Waste Minimization, V II/3 Basel Convention Partnership Programme and VII/4 Mob ile 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 coop eration, in accordance with decisions VI/29 and VI/30, on critical area s for the effective impl ementation of the Basel 
Convention, its protocol and amendments with relevant organizations, includin g the following: ... (j) the WTO; …" 
COP-8 
Nairobi, 2006  COP-8 adopted the Nairobi Ministerial declaration on the environmentally sound management of electronic and electrical waste w hich sets out 
strategies to address e-wastes, and includes the promotion of ex change of information and transf er of best avai lable technologi es for the  
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- 71 - environmentally sound management of e-waste from developed countr ies to developing countries and countries with economies in tr ansition. The 
declaration also addresses the combating and prevention of illegal traffic in e-waste, and encourages national, regional and gl obal comprehensive 
actions for the environmentally sound management of e-waste, and end-of-life equipment, through shared responsibilities and com mitments from 
all concerned stakeholders. A decision on the environmentally sound  management of e-waste was also adopted, which mandates the Open-ended 
Working Group to develop a work plan on th e environmentally sound management of e-waste, focussing on the needs of developing c ountries and 
countries with economies in transition. The decision, inter alia , urges Parties to collaborate in the prevention and combating of illegal traffic through 
information exchange; tracking and early warning systems; capacity-building, particularly strengthening institutional mechanism s; legal 
frameworks; and control activities. It also requests Parties to ensure that donated electronic and electrical equipment that is  the subject of 
transboundary movement is not end-of-life equipment. Reports on pr ogress in the implementation of the decision will be made to COP-9. 
 COP 8 adopted a decision requesting the Se cretariat to further strengthen cooperatio n and coordination with other internationa l and regional 
organizations and multilateral environmental agreements in areas of relevance to the Basel Convention, including the WTO. Moreo ver, the same 
decision requested the Secretariat to seek observer status with the Committee on Trade and Environment of the WTO and to advise  the Parties to 
the Convention when the request has been  submitted to, and granted by, the WTO. 
 With respect to the interpretation of article 17, paragraph 5, of the Convention, which provides for the entry into force of a mendments to the 
Convention, COP 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 agreed interpretation, of article 17, para graph 5, in accordance with in ternational law for consideration by COP-9. It is noted 
that the entry into force of the amendment contained in decision III/1, adopted by COP-3, may be affected by the interpretation  of article 17, 
paragraph 5.  With respect to the transboundary movement of used and end-of -life mobile phones, COP-8 provis ionally adopted a guidance docum ent on the 
environmentally sound management of used and end-of-life mobile phones as a voluntary document, and invited Parties to use and test the 
guidance document, and five guidelines prod uced under the Mobile Phone Partnership Initiative which had worked during the bienn ium 2005-2006. 
The guidance document addresses, inter alia, the transboundary movement of used and end-of-life mobile phones.  
COP-9 
Bali, 
2008  At COP-9, the Bali Declaration on Waste Management for Human Health and Livelihood was adop ted. This Declaration calls: 
" Parties and by relevant public and privat e organizations, including international an d regional organizatio ns 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) Improve cooperation between national authorities in the waste,  chemicals and health sectors and, in collaboration with othe r relevant 
authorities and stakeholders, in the development and implementation of effective and sound waste management systems; (e) Increase capacity-building and promote an d, where possible, enhance, public and pr ivate investment for the transfer and use  of 
appropriate technology for th e safe and environmentally sound management of waste". 
  The COP-9 agreed that the Secretariat should take note of the re quest of revising the draft techni cal guidelines so as to furth er address aspects 
such as incineration on land and the co-processing of h azardous wastes in the context of the Basel Convention.  
 The COP-9 adopted a decision (IX/26) inviting the Parties to take into consideration the "possible way forward on the Ban Amen dment" set out in 
the President's Statement, in order to explore means by which th e Amendment's objectives might be achieved, while waiting for i ts entry into 
force.  
ExCOP-1 
Bali,  
2010 The simultaneous extraord inary meetings of the Conferences of the Parties7 to the Basel, Rotterdam and Stockholm conventions resulted in the 
adoption of an omnibus decision (BC Ex-1/1)8, on the following thematic areas:  
(a) Joint activities; (b) Joint managerial functions; 
(c) Joint services;  
(d) Synchronization of budget cycles;  (e) Joint audits;  (f) Review arrangements. 
                                               
7 http://excops.unep.ch/  
8 http://www.basel.int/synergies/documents/Attachment%2018.pdf   
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- 72 - The implementation of the omnibus decisions will be reviewed by the respective Confer ences of the Parties in 2011. COP-10 is sc heduled 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 “Pre vention, minimization and recov ery of wastes”. In 
particular, decision BC- 10/15 on international cooperation and c ooperation requested the Secretar iat to further strengthen coo peration and 
coordination with other international and regional organizations and multilateral environmental ag reements in areas of relevanc e to the Basel 
Convention, including the WTO. Moreover, the same decision reques ted the Secretariat to follow-up on its observer status reques t with the 
Committee on Trade and Environment of the WTO and advise Parties in that respect. 
ExCOP-2 / COP-11 / 
High Level Segment, 
Geneva, 2013     ExCOP-2:  The Conferences of the Parties to  the Basel, Rotterdam and Stockholm Conventions, at their second simultaneous extrao rdinary 
meetings, reviewed the impact of the arrangements put in place by Parties in the 2011 "omnibus decisions", to strengthen synerg ies among these 
three treaties. The Parties endorsed the new organization of a sing le Secretariat, and adopted prog rammes of work and budgets f or 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 ad opted a framework for the environmentally sound management (ESM) of 
hazardous wastes and other wastes , and agreed, over the next two years, to deve lop technical guidelines on transboundary moveme nts of 
electronic and electrical wastes (e-waste). The Parties also adopted a decision (BC-11/8), setting out terms of reference for t he newly established 
Environmental Network for Optimizing Regulatory Compliance on Illegal Traffic (ENFORCE), which 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 deepen  cooperation 
and collaboration as part of a broader effort to raise the prof ile of chemicals and waste issues , to promote green growth and t o alleviate poverty. 
  High Level Segment: The ordinary and extrao rdinary meetings of the conferences of the parties to the Basel, Rotterdam and Stock holm 
conventions included a high-level segment, which culminated to the adoption of the “ Geneva Statement on the Sound Management of 
Chemicals and Wastes ”, as submitted by the co-facilitators of the informal consultations on a ministerial declaration. The Geneva Statement 
welcomed the UNEP-led consultative process on financing options for chemicals and wastes that has considered the need for heigh tened efforts to 
increase the priority granted to the sound management of chemical s and wastes. It also welcomed the completion of the negotiati on of a global 
legally binding instrument on mercury, called for wider cooperation  and expressed their interest and si gnalled readiness to cooperate and 
coordinate with the Minamata Convention  on Mercury. In that respect, the Conference of  the Plenipotentiaries of the Minamata Convention, 
which is to meet in October 2013, was invited to consider  cooperation and coordination with the BRS Conventions.  
 
2.7  CBD 
Provisions of the Convention  
26.  The text of the Convention does not explicitly refer to trade measures, nor does the Convention generally prescribe specif ic measures.  The provisions of 
the Convention, with a few exceptions, set goals and establish gene ral principles.  The specific measures required to achieve t hese goals and operationalize 
these principles are largely the prerogative of the Parties.  Howe ver, the Convention contains a number of provisions that are generally understood to require 
measures by Parties which may have consequences for trade.  In addition, some of its provisions have inter-linkages with some i nternational trade agreements. 
Article 6 
General Measures for 
Conservation and 
Sustainable Use  "Each Contracting Party shall, in accordance with its particular conditions and capabilities:   
(a) Develop national strategies, plans or pr ogrammes for the conservation and sustaina ble use of biological diversity or adapt for this purpose 
existing strategies, plans or pr ogrammes 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 biolog ical diversity into relevan t sectoral or cross-
sectoral plans, progra mmes and policies". 
Article 7(c) 
Identification and 
Monitoring "Each Contracting Party shall, as far as possible and as approp riate, in particular for the pu rposes of Articles 8 to 10: … 
(c) Identify processes and categories of activities which have or  are likely to have significant adverse impacts on the conserv ation and 
sustainable use of biological diversity, and monitor their effects through sampli ng and other techniques".  
  WT/CTE/W/160/Rev.6 • TN/TE/S/5/Rev.4  
 
- 73 - 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 an d practices of indigenous and local 
communities embodying traditional lifestyles relevant for the cons ervation and sustainable use of  biological diversity and prom ote their wider 
application with the approval and involvemen t of the holders of such knowledge, inno vations and practices and encourage the equ itable 
sharing of the benefits arising from the utilization of such knowledge, innovations and practices; … 
(l) Where a significant adverse effect on bi ological diversity has been determined pursuant to Ar ticle 7, regulate or manage th e relevant 
processes and categories of activities;…". 
Article 10 
Sustainable Use of 
Components of 
Biological Diversity "Each Contracting Party shall, as far as possible and as  appropriate: ... 
(b) Adopt measures relating to the use of biological resources to avoid or minimize adverse im pacts on biological diversity; 
(c) Protect and encourage customary use of biological resources in  accordance with traditional cu ltural practices that are comp atible with 
conservation or sustainable use requirements; …". 
Article 11 
Incentive Measures "Each Contracting Party shall, as far as po ssible and as appropriate, ad opt economically and socially  sound measures that act a s incentives for the 
conservation and sustainable use of co mponents of biological diversity". 
Article 14 
Impact Assessment and 
Minimizing Adverse 
Impacts "1. Each Contracting Party, as far as possible and as appropriate, shall: 
(a) Introduce appropriate procedures requiring environmental impact  assessment of its proposed projects that are likely to have  significant 
adverse effects on biological dive rsity with a view to avoiding or minimizing such effects and,  where appropriate, allow for pu blic participation 
in such procedures; (b) Introduce appropriate arrangements to ensure that the enviro nmental consequences of its programmes and policies that are li kely to have 
significant adverse impacts on biological diversity are duly taken into account; (c) Promote, on the basis of reciprocity, notification, exchange  of information and consultation  on activities under their juri sdiction or control 
which are likely to significantly affect adversely the biological  diversity of other States or areas beyond the limits of natio nal jurisdiction, by 
encouraging the conclusion of bilateral, regional  or multilateral arrang ements, as appropriate; 
(d) In the case of imminent or grave danger  or damage, originating under its jurisdicti on or control, to biological diversity w ithin the area 
under jurisdiction of other States or in areas beyond the limits  of national jurisdiction, notify immediately the potentially a ffected States of 
such danger or damage, as well as initiate action to prevent or minimize such  danger or damage;  and 
(e) Promote national arrangements for emergency responses to acti vities or events, whether caused naturally or otherwise, which  present a 
grave and imminent danger to biological di versity and encourage international cooperation to supplement such national efforts a nd, where 
appropriate and agreed by the States or regional economic inte gration organizations concerned, to establish joint contingency p lans. 
2. The [COP] shall examine, on the basis of studies to be carried out, the issue of liability and redress, including restoratio n and compensation, for 
damage to biological diversity,  except where such liability is a purely internal matter".  
  WT/CTE/W/160/Rev.6 • TN/TE/S/5/Rev.4  
 
- 74 - Article 15 
Access to Genetic 
Resources "1. Recognizing the sovereign rights of Stat es over their natural resources, the authority to determine access to genetic resou rces rests with the 
national governments and is subj ect to national legislation. 
2. Each Contracting Party shall endeavour to create conditions to facilitate access to genetic resources for environmentally so und uses by other 
Contracting Parties and not to impose  restrictions that run counter to the objectives of this Convention. 
3. For the purpose of this Convention, the genetic resources bein g provided by a Contracting Party, as referred to in this Arti cle and Articles 16 and 
19, are only those that are provided by Contracting Parties that are countries of origin of such  resources or by the Parties th at have acquired the 
genetic resources in accordance with this Convention. 4. Access, where granted, shall be on  mutually agreed terms and subject to the provisions of this Article. 
5. Access to genetic resources shall be subject to prior informed  consent of the Contracting Part y providing such resources, un less otherwise 
determined by that Party. 6. Each Contracting Party shall endeavour to  develop and carry out scientific research based on genetic resources provided by o ther Contracting 
Parties with the full participation of, and where possible in, such Contracting Parties. 7. Each Contracting Party shall take legisl ative, administrative or polic y measures, as appropriate, and in accordance with Art icles 16 and 19 and, 
where necessary, through the financial mechanism established by Ar ticles 20 and 21 with the aim of  sharing in a fair and equita ble way the results 
of research and development and the benefits arising from the commercial and other utilization of genetic resources with the Co ntracting Party 
providing such resources.  Such sharing shall be upon mutually agreed terms". 
Article 16 
Access to and Transfer 
of Technology "1. Each Contracting Party, recognizing that  technology includes biotechnology, and that  both access to and transfer of technol ogy among 
Contracting Parties are essential elements for the attainment of the objectives of this Convention, undertakes subject to the p rovisions of this 
Article to provide and/or facilitate access for and transfer to other Contracting Parties of technologies that are relevant to the conservation and 
sustainable use of biological diversity or make use of genetic resources and do not cause significant damage to the environment . 
2. Access to and transfer of technology referred to in paragrap h 1 above to developing countries shall be provided and/or facil itated under fair and 
most favourable terms, including on concessional and preferenti al terms where mutually agreed, and, where necessary, in accorda nce with the 
financial mechanism established by Articles 20 and 21.  In the case of technology subject to patents and other intellectual pro perty 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 sh all be consistent with para graphs 3, 4 and 5 below. 
3. Each Contracting Party shall take legislative, administrative  or policy measures, as appropriate, with the aim that Contract ing Parties, in 
particular those that are developing countr ies, which provide genetic resources are pr ovided access to and transfer of technolo gy which makes use 
of those resources, on mutually agreed terms, including technolo gy protected by patents and othe r intellectual property rights,  where necessary, 
through the provisions of Articles 20 and 21 and in accordance wi th international law and consiste nt with paragraphs 4 and 5 be low. 
4. Each Contracting Party shall take legislative, administrative  or policy measures, as appropri ate, with the aim that the priv ate sector facilitates 
access to, joint development and transfer of technology referred to  in paragraph 1 above for the benefit of both governmental i nstitutions and the 
private sector of developing countries and in this regard shall abide by the obligati ons included in paragraphs 1, 2 and 3 abov e. 
5. The Contracting Parties, recognizing that  patents and other intellectu al property rights may have an influence on the implem entation of this 
Convention, shall cooperate in this regard subject to national legislation and international law in order to ensure that such r ights are supportive of 
and do not run counter to its objectives".  
  WT/CTE/W/160/Rev.6 • TN/TE/S/5/Rev.4  
 
- 75 - Article 19  
Handling of 
Biotechnology and 
Distribution of its 
Benefits "1. Each Contracting Party shall take legisl ative, administrative or po licy measures, as appropriate, to provide for the effect ive participation in 
biotechnological research activities by th ose Contracting Parties, especially developing countries, which provide the genetic r esources for such 
research, and where feasible in  such Contracting Parties. 
2. ach Contracting Party shall take all practicable measures to promote and advance priority access on a fair and equitable bas is by Contracting 
Parties, especially developing countries, to the results and be nefits arising from biotechnologies  based upon genetic resources  provided by those 
Contracting Parties.  Su ch access shall be on mutually agreed terms. 
3. The Parties shall consider the need for and modalities of a protocol setting out appropriate procedures, including, in parti cular, advance informed 
agreement, in the field of the safe transfer, handling and use of any living modified organism resulting from biotechnology tha t may have adverse 
effect on the conservati on 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 orga nisms referred to in 
paragraph 3 above, provide any available in formation about the use and safety regulati ons required by that Contracting Party in  handling such 
organisms, as well as any available information on the potential adverse impact of the specific organisms concerned to the Cont racting Party into 
which those organisms are to be introduced". 
Article 22 
Relationship with Other 
International 
Conventions "1. The provisions of this Convention shall not affect the righ ts and obligations of any Contra cting Party deriving from any ex isting international 
agreement, except where the exercise of those rights and obligatio ns would cause a serious damage or threat to biological diver sity.  
2. Contracting Parties shall implement this Convention with respect to the marine environment consistently with the rights and obligations of States 
under the law of the sea". 
 
Decisions of the Conference of the Parties9 
27.  A number of topics addressed by the Conference of the Partie s relate to international trade and the work of the World Trad e Organization.  The COP 
emphasized the interrelationship between the Convention and the provisions of the WTO Agreement on Trade-related Aspects of Int ellectual Property Rights 
(TRIPS Agreement), and the need to further explore this interrela tionship. Specifically, COP recognized the role of intellectua l property rights in encouraging 
access to genetic resources and the sharing of benefits from the us e of those resources, in contributing to the protection of t raditional knowledge, and in 
technology transfer under the Convention. 
Access to genetic resources and the fair and equitable sh aring of the benefits arising out of their utilization 
Decision V/26  
Access to Genetic 
Resources "B. The relationship between intellectual property rights and th e relevant provisions of the Agreement on Trade-related Aspects  of Intellectual 
Property Rights and the [CBD] 
The [COP]...2. Invites the [WTO] to acknowledge relevant provisions of the Convention and to take into account the fact that th e provisions of the 
[TRIPS] Agreement and the [CBD] are interrelated an d to further explore this  interrelationship;   
3. Requests the Executive Secretary to tran smit the present decision to the secretariats of the [WTO] and the [WIPO], for use b y appropriate bodies 
of these organizations, and to endeavour to undertake further cooperation and consultation with these organizations;   
4. Renews its request to the Executive Secretary of the Convention  to apply for observer status on the [TRIPS Council], and req uests 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, sec tion A.  The following 
sections of the guidelines may be of particular relevance:  
"A. Bonn Guidelines on Access to Genetic Resour ces and Fair and Equitable Sharing of the Benefits Arising out of their Utilization  
I. General Provisions  
1. These Guidelines may serve as inputs when developing and drafting legislative, administrative or policy measures on access a nd benefit-sharing 
with particular reference to provisions und er Articles 8(j), 10 (c), 15, 16 and 19;  and contracts and other arrangements under  mutually agreed 
                                               
9 All decisions of the Conference of the Parties to the Conventi on are available online under http://www.cbd.int/decisions/.   
  WT/CTE/W/160/Rev.6 • TN/TE/S/5/Rev.4  
 
- 76 - 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 user s and providers of genetic resources on a voluntary basis;… 
9. All genetic resources and associated traditional knowledge, innovations and practices covered by the [CBD] and benefits aris ing from the 
commercial and other utilization of such resources should be cove red by the guidelines, with the exclusion of human genetic res ources. …  
12. The Guidelines are intended to assist Parties in developing  an overall access and benefit- sharing strategy, which may be pa rt of their national 
biodiversity strategy and action plan, and in identifying the steps involved in the process of obtaining access to genetic reso urces and sharing 
benefits. 
II. Roles and Responsibilities in Access and Benefit-sharing pursuant to Article 15 of the [CBD] 
13. Each Party should designate one national focal point for a ccess and benefit-sharing and make such information available thr ough the clearing-
house mechanism.  The national focal point should inform applican ts for access to genetic resour ces on procedures for acquiring  prior informed 
consent and mutually agreed terms, including benefit-sharing, an d on competent national authorit ies, relevant indigenous and lo cal communities and 
relevant stakeholders, through the clearing-house mechanism. … 
16. Recognizing that Parties and stakeholders may be both users and providers, the following balanced list of roles and respons ibilities provides key 
elements to be acted upon: … 
(b) In the implementation of mutua lly 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 thei r jurisdiction should take appr opriate legal, administrative,  or policy measures, 
as appropriate, to support compliance with  prior informed consent of the Contracting Party providing such resources and mutuall y agreed terms 
on which access was granted.  These countries could consider, inter alia , the following measures:  
(i) Mechanisms to provide information to potential users on  their obligations regarding access to genetic resources;  
(ii) Measures to encourage the disclosure of the country of origin of the genetic resources and of the origin of traditional kn owledge, 
innovations and practices of indigenous and local communities in applications for intellectual property rights;  
(iii) Measures aimed at preventing the use of genetic resources obtained without the prior informed consent of the Contracting Party 
providing such resources;  
(iv) Cooperation between Contracting Part ies to address alleged infringements of access and benefit-sh aring agreements;  
(v) Voluntary certification schemes for institutions abiding by rules on access and benefit-sharing;  
(vi) Measures discouraging unfair trade practices;  
(vii) Other measures that encourage users to comply  with provisions under subparagraph 16 (b) above. … 
IV. Steps in the Access and Benefit-sharing process 
24. As provided for in Article 15 of the [CBD], which recognizes the sovereign rights of States over their natural resources, e ach Contracting Party to 
the Convention shall endeavour to create conditions to facilita te access to genetic resources for environmentally sound uses by  other Contracting 
Parties and fair and equitable sharing of be nefits arising from such uses.  In accordan ce with Article 15, paragraph 5, of the [CBD], access to genetic 
resources shall be subject to prior inform ed consent of the contracting Party provid ing such resources, unless otherwise determ ined by that Party.  
25. Against this background, the Guidelines are intended to assist Parties in the establishment of a system of prior informed c onsent, in accordance 
with Article 15, paragraph 5, of the Convention … . 
D. Mutually agreed terms 
… 
1. Basic requirements for mutually agreed terms 
43. The following elements should be considered as guiding parame ters in contractual agreements.  These elements could also be considered as 
basic requirements for mu tually agreed terms:… 
(c)  Provision for the use of intellectual property rights include joint research, obligation to implement rights on inventions  obtained and to provide 
licences by common consent; 
(d)  The possibility of joint ownership of intellectual pr operty rights according to the degree of contribution." 
 
Other sections of decision VI/24 are also  of relevance to the work of the WTO:  
  WT/CTE/W/160/Rev.6 • TN/TE/S/5/Rev.4  
 
- 77 - Under Decision VI/24, section C on the Role of intellectual property rights in the implementation of access and benefit-sharing  
arrangements  
The [COP]  
1. Invites Parties and Governments to encourage the disclosure of  the country of origin of genetic resources in applications fo r intellectual property 
rights, where the subject matter of the application concerns or makes use of genetic resources in its development, as a possibl e contribution to 
tracking compliance with prior informed co nsent and the mutually agreed terms on which access to those resources was granted;  
2. Also invites Parties and Governments to encourage the disclosure of the origin of relevant traditional knowledge, innovation s and practices of 
indigenous and local communities relevant for the conservation and sustainable use of biological diversity in applications for intellectual property 
rights, where the subject matter of the application concerns or makes use of such knowledge in its development;  
3. Requests the Executive Secretary, with the help of other international and intergovernmental organizations such as the [WIPO ] and through the 
Ad Hoc Open-ended Inter-Sessional Working Group on Article 8(j) and Related Provisions of the Co nvention, where appropriate, to  undertake further 
information gathering and analysis with regard to:  
(a) Impact of intellectual property re gimes 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, innovati ons and practices, 
and their relationship with intellectual property rights;  
(c) Consistency and applicability of requirements for disclosure of country of origin and prior informed consent in the context  of international 
legal obligations;  
(d) Efficacy of country of origin and prior informed consent disclosures in assisting the examination of intellectual property rights applications 
and the re-examination of intellec tual property rights granted;  
(e) Efficacy of country of origin and pr ior informed consent disclosures in monito ring compliance with access provisions;  
(f) Feasibility of an internationally recognized certificate of origin system as evidence of prior informed consent and mutuall y agreed terms;  
and  
(g) Role of oral evidence of prior art in the examination, granting and maintena nce of intellectual property rights; ... 
8. Invites other relevant international organizations (such as the [FAO, the UNCTAD, the WIPO, the WTO, and the UNCHR]), as wel l as regional 
organizations, Parties and Governments to co ntribute to the further stud y and analysis of the issues specified in paragraphs 3 and 4; ... ." 
Under decision VI/24, section D on Other issu es relating to access and benefit-sharing 
The [COP],  
The relationship between the [TRIPS Agreement of the WTO and the CBD] 
Noting that the provisions of the [TRIPS Agreement of the WTO and the CBD] are interrelated,  
Noting also that the relationship between the [TRIPS Agreement an d the CBD] is being examined by  the [TRIPS Council], in confor mity with Article 
19 of the Doha [WTO] Ministerial Declaration, adopted in November 2001,  
Noting further that the Convention Secretariat has still not been  granted observer status on th e [TRIPS Council], notwithstandi ng 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 obse rver status on the [TRIPS Council], and to report back to the 
Conference of Parties on his efforts;  
2. Requests the Executive Secretary to follow discussions and developments in the [CTE of the WTO and the TRIPS Council] regard ing the 
relationship between the [TRIPS Agreement] and the Convention;  
Cooperation with other relevant intergovernmental organizations  
3. Acknowledges relevant work being carrie d out by other intergovernmental organisations, such as the [WIPO, the WTO, the Union  for the 
Protection of New Varieties of Plants, the UNCTAD, and the FAO], on issues related to access to genetic resources and benefit-s haring;  
4. Requests the Executive Secretary to further collaborate with the above relevant organisations to ensure mutual supportivenes s and avoid 
duplication of work; …".  
  WT/CTE/W/160/Rev.6 • TN/TE/S/5/Rev.4  
 
- 78 - Decision VII/19 
Access and Benefit-
sharing as Related to 
Genetic Resources  
(Article 15)  E. Measures, including consideration of their feasibility, practi cality and costs, to support co mpliance with prior informed co nsent of 
the Contracting Party providing genetic reso urces and mutually agreed terms on which access was granted in Contracting Parties 
with users of such resources under their jurisdiction ... 
Noting further  the ongoing activities and proc esses in relevant international forums such as the [WIPO, the TRIPS Council of the WTO], and th e 
Commission on Plant Genetic Resources for Food and Agriculture of the [FAO] acting as the Interim Committee for the Internation al Treaty on Plant 
and Genetic Resources for Food and Agricult ure, regarding measures to support compli ance with prior informed consent, ... 
2. Invites  Parties and Governments to continue taking appropriate and prac tical measures to support compli ance with prior informed consen t of the 
Contracting Parties providing such resources, including countries of origin, in accordance with Article 2 and Article 15, parag raph 3, of the 
Convention, and of the indigenous and local communities providing associated traditional knowledge, and with mutually agreed te rms on which 
access was granted.  Such measures may include: ... 
(b) Incentive measures, as referred to in paragraph 51 of the Bonn  Guidelines, to encourage users to comply with national legis lation, including 
prior informed consent and mutually agreed terms, such as publicly sponsored research grants and voluntary certification scheme s; ... 
(d) Aspects related to the import  and export of genetic resource s, including regulations when fe asible and as appropriate; ... 
4. Invites  Parties to establish national mechanisms to ensure compliance, when required by domestic law, with the obtaining of prior info rmed 
consent of indigenous and local 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 Ge netic Resources 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 following key areas: ... 
(m) Development of awareness with respect to conventions, norms an d policies relating to intellectual property rights and trade  and their 
interrelationship with genetic resources and traditional knowledge; ...". 
Decision VIII/4 
Access and benefit-
sharing  "... D. Measures, including consideration of their feasibility, practicality and costs, to support compliance with prior informed co nsent 
of the contracting Party providin g genetic resources and mutually agreed terms on  which access was granted in contracting Parti es 
with users of such resource s under their jurisdiction 
The [COP]...  Noting discussions regarding disclosure of origin/source/legal provenance in intellectual property rights applications in the [WIPO] a nd 
in the Doha Work Programme 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 [W TO]." 
Decision X/1 
Access to Genetic 
Resources and the fair 
and equitable Sharing 
of the Benefits Arising 
out of their Utilization  "1. Decides to adopt the Nagoya Protocol on Access to Genetic Resources and the Fair and Equitable Sharing of Benefits Arising from their 
Utilization to the Convention on Biological Diversity (the Pr otocol) as set out in the annex I to the present decision;" 
 
 See further information provided on the Protocol 
 
Article 8 (j) and related provisions 
Decision V/16 
Article 8(j) and 
related provisions "The [COP]… 14. Recognizes the potential importance of sui generis  and other appropriate systems for the protection of traditional knowledge of 
indigenous and local communities and the equitable sharing of benefits arising from its use to meet the provisions of the [CBD] , taking into account 
the ongoing work on Article 8(j)  and related provisions, and transmits its findin gs to the [WTO] and the [WIPO], as suggested i n paragraph 6 (b) of 
recommendation 3 of the Inter-Sessional Meeting on the Oper ations of the Convention (UNEP/CBD/COP/5/4, annex); …"  
  WT/CTE/W/160/Rev.6 • TN/TE/S/5/Rev.4  
 
- 79 - Decision VI/10 
Article 8(j) and 
related provisions  "The [COP]… 35. Also requests the Executive Secretary to contin ue to compile information provided by Parties and Governments re lating 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 Ex ecutive Secretary information refe rred to in paragraph 35 above  provided 
through their respective notification systems; … 
39. Encourages Parties and Governments, where they have not alread y done so, to take measures to establish or improve operation al links 
between their national governmental intellec tual-property bodies, national  focal points of the [CBD], and indigenous and local communities and their 
organizations in order to better coordinate  and institute measures to protect their traditional knowledge, innovations and prac tices relevant to the 
conservation and sustainable use of biological diversity, particularly with regard to traditional-knowledge documentation initi atives and community-
based registries of tr aditional knowledge; … 
46. Invites Parties and Governments to encourage the disclosure of the origin of relevant traditional knowledge, innovations an d practices of 
indigenous and local communities relevant to the conservation an d sustainable use of biological diversity in applications for i ntellectual property 
rights, where the subject matter of the application concerns or makes use of such knowledge in its development;  
47. Urges Parties and Governments to examine,  a s  a p p r o p r i a t e ,  r e l e v a n t  p r o v i s i o n s  o f  t h e  [ C B D ]  w i t h  r e s p e c t  t o  p r i o r  i n f o r m e d  c onsent 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 exami nation of novelty 
and inventive step in patent applications; …". 
Decision VII/16 
Article 8(j) and 
Related Provisions "The [COP]...  
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 propri etary and non-proprietary aspects, may be necessary for the 
protection of traditional knowledge, innova tions and practices relevant for the conservation and sustainable use of biological diversity, ... 
Emphasizing that any sui generis  system for the protection of traditional 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 and  local communities,  
... Recognizing the need for continued collabo ration with other relevant organizations working on issues related to the protect ion of traditional 
knowledge, innovations and practi ces, such as the [WIPO, the Permanent Forum on Indigenous Issues (PFII), the WHO and the FAO, the UNESCO, 
the UNCTAD and the WTO] to ensure mutual supp ortiveness and avoid duplic ation of efforts, ... 
7. Invites Parties and Governments to consider appropriate meas ures, with the full and effective participation of indigenous an d local 
communities, to implement at local, national, sub-regional, regional and international levels sui generis  systems and other new innovative 
mechanisms that ensure the protection of traditional knowledge,  innovations and practices taking into consideration customary l aw and traditional 
practices; ...". 
Decision VIII/5 
Article 8(j) and 
related provisions  "...E. Development of elements of sui generis systems for the prot ection of the knowledge, innova tions and practices of indigen ous 
and local communities 
The [COP]... 7. Acknowledges the ongoing discussions in  the [WTO] to examine, inter alia , the relationship between the [TRIPS Agreement] and  
the [CBD] and the protection of traditional knowledge..." 
 
Technology transfer and scientif ic and technological cooperation 
Decision IX/14 
Technology transfer  
and cooperation "The [COP]... 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 organiza tions, to undertake further research on the role of intellect ual 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 p rovided by the Agreement 
on Trade-related Aspects of Intellectual Property Rights (TRIPS)..."  
  
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- 80 - Incentive measures 
28.  The Convention’s provision on incentive measures (Article  11), its associated programmes of work, and the voluntary guidan ce developed thereunder, has 
linkages to trade and the work the WTO, in particular through it s focus on positive incentive measures for the conservation and  sustainable use of biodiversity, 
including market development and market promotion, as well as on the removal or mitigation of incentives with harmful effects f or biodiversity ("perverse 
incentives"). 
Decision VI/15 
Incentive measures  
Annex I 
Proposals for the 
Design and 
Implementation of 
Incentive Measures  "The [COP]… 2. Endorses the proposals for the design and implementation of incentive measures and the recommendations for furth er 
cooperation on incentive measures, contained respectively in anne xes I and II to the present deci sion, as far as they are consi stent with Parties' 
national policies and legislation as well as their international obligations; … 
Annex I:   Proposals for the design and implementation of incentive measures  
1. In general terms, incentive measures should be designed to address the conservation and sust ainable use of biological divers ity, 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 measures for the con servation 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 selectin g appropriate and complementary measures sh ould take into account the specific circ umstances of 
the country involved; 
(b) It is important to consider the context in which the incentive measure is being introduced to assist final decision-making on a particular 
measure or measures; 
(c) A key consideration in the design of an incentive measure is the recognition that a single measure will often not suffice t o address the 
complexities involved in decisions on biodiversity conservation or sustainable use, and that a mix of measures may be needed; 
(d) Equity considerations, such as poverty alleviation, should be  given a prominent role in the design and selection of appropr iate incentive 
measures; 
(e) The implementation of incentive measures should 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 ar e an important factor in the design and implementation of incentive measures in the  conservation of 
biological diversity and the pr omotion of sustainable use; 
(h) Positive incentives can influence decision-making by recogn izing and rewarding activities that are carried out for conserva tion and 
sustainable use purposes; 
(i) The removal of perverse incentives eases pressure on the envi ronment.  The identification of both internal and external per verse incentives 
and other threats to biodiversity conservation and to the promotion of sustainable use, is essential to the selection and desig n of incentive 
measures.  The removal of perverse incentives may improv e economic efficiency and reduce fiscal expenditures; 
(j) Disincentives continue to be an import ant tool for ensuring the conservation and sustainable use of biological diversity an d can be used in 
combination with positive incentives …".  
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- 81 - Decision VII/2 
The Biological 
Diversity of Dry and 
Sub-humid Lands 
Annex 
 "The [COP]... 2. Adopts the proposal prepared by the Executive Secretary for the further refineme nt of the programme of work an d suggesting 
collaborating partners as indicated in the annex to the present decision; ... 
Annex:  Synthesis table of expected outcomes and timeframes, po tential actors, and indicators of progress in the implementation  of the programme 
of work on biological diversity of dry and sub-humid lands 
Activity Expected outcomes Time-
frame Key actors Status Progress 
indicators Date 
… Activity 9.   Support for sustainable livelihoods … 
(d) Market 
development - Products derived from 
sustainable use increasingly 
marketed  
Parties, WTO Proposed Initial case-studies 
reported on 2006 
-   Conducive market 
relationships developed  Parties, WTO Proposed   
Decision VII/11 
Ecosystem Approach 
 "The [COP]... 3. Welcomes the implementation guidelines and anno tations to rationale as outlined in annex I to the present deci sion and calls on 
parties and other Governments to implement the ecosystem approach, keeping in mind that in applying the ecosystem approach, all  principles need 
to be considered, with appropriate weight gi ven to each, in accordance with local cond itions, and keeping in mind also that the  implementation of the 
ecosystem approach and all principles need to be considered as voluntary instruments and should be adapted to local conditions and implemented in 
accordance with nation al legislation; ... 
Annex I:  Refinement and elaboration of th e ecosystem approach, based on assessment of experience of parties in implementation ... 
Principle 4:  Recognizing potential gains from management, there is usually a need to understand and manage the ecosystem in an economic 
context. Any such ecosystem-management programme should:  
(a) Reduce those market distortions that adversely affect biol ogical diversity;  
(b) Align incentives to promote biodiversi ty conservation and sustainable use;  
(c) Internalize costs and benefits in the given ecosystem to the extent feasible. 
Rationale:  
The greatest threat to biological diversity lies in its replacement by alternative systems of land use.  This often arises thro ugh market distortions, 
which undervalue natural systems and populations and provide perver se incentives and subsidies to favour the conversion of land  to less diverse 
systems.  Often those who benefit from conservation do not pay th e costs associated with conservation and, similarly, those who  generate 
environmental costs (e.g. pollution) escape responsibility.  Alig nment of incentives allows those who control the resource to b enefit and ensures that 
those who generate environmental costs will pay. ..." 
Decision VII/12 
Sustainable use 
(Article 10) "The [COP]...1. Adopts the Addis Ababa Principles and Guidelines for the Sustainable Use of Biodiversity, as contained in annex  II to the present 
decision;  
2. Invites Parties, other Governments and relevant organizations to initiate a process for the implementation of the Addis Abab a Principles and 
Guidelines, in accordance with Article 10 of the Convention which provides that Contracting Parties undertake specified actions  as far as possible, and 
as appropriate, at the national and local levels, and in line with Article 6 of the [C BD], taking into account obligations unde r other international 
agreements and conventions and existing fram eworks for sustainable use of components of biodiversity, including the concept of sustainable forest 
management, e.g., by developing p ilot projects, with a view to:  
(a) Integrating and mainstreaming the Addis Ababa Principles and Guidelines into a range of measures including policies, progra mmes, national 
legislation and other regulations, sectoral and cross-sectoral plans and programmes addressing consumptive and non-consumptive use of  
components of biological diversity, includ ing 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 in dividual Parties;  and  
(b) Gathering and disseminating through the clearing-house mechanism and other means relevant information on experiences and le ssons 
learned for the further improvement of the guidelines;  
 The full text of the Addis Ababa Principles  and Guidelines for the Sustainable use of Biodiversity is contained in Annex II of Decision VII/12 and is 
available at http://www.biodiv.org/decisions/default.aspx?m=COP-07&id=7749&lg=0. 
 Some of the relevant principles include:  
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- 82 - Practical principle 3:  International or national policies, laws and regulations that distort markets which contribute to habitat degradation or other-
wise generate perverse in centives that undermine conservation and sustainable use of biodiversity, should be identified and rem oved or mitigated.  
Rationale:  Some policies or practices induce unsustainable beha viours that reduce biodiversity, often as unanticipated side ef fects as they were 
initially designed to attain other objectives.  For example, some  policies that encourage domestic overproduction often generat e perverse incentives 
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 fisher ies, is a further 
instance of the recognition of the n eed to remove perverse incentives.  
Operational guidelines 
 Identify economic mechanisms, including incentive systems and subsidies at international or national levels that are having a n egative impact on 
the potential sustainability of uses of biological diversity;  
 Remove those systems leading to market distortions that resu lt in unsustainable uses of biodiversity components; ... 
Practical principle 13:  The costs of management and conservation of biological diversity should be intern alized 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 management will 
decline and the amount and value of the natural resources may also decline.  It is necessary to ensure that some of the benefit s from use flow to the 
local natural resource management authorities so that essential management to sustain the resources is maintained.  Such benefi ts may be direct, 
such as entrance fees from visitors to a national park paid di rectly to, and retained by, the park management authority or indi rect, such as stumpage 
tax revenue from timber harvesting paid by loggers that flows through a national treasury  to a local forest service.  In some c ases, licence fees for 
fishing rights are paid directly to the manageme nt authority, or to the national treasury.  
Operational guidelines 
 Ensure that national policies do not provide su bsidies that mask true costs of management;  
Provide economic incentives for managers who have already internalized environmental costs, e.g., certification to access new m arkets, waiver or 
deferral of taxes in lieu of enviro nmental investment, promotion of "green-labelling" for marketing. ..." 
Decision VII/28 
Protected areas 
(Articles 8 (a) to (e)) "The [COP] 1. Confirms  that efforts to establish and maintain systems of protected areas and areas where 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 achieving, in 
implementing the ecosystem approach, the three objectives of the Convention and thus contributing to achieving the 2010 target contained in the 
Strategic Plan of the Convention and in the Plan of Implementation  of the World Summit on Sustainable Development, and to achie ve sustainable 
development and the attainment of the Millennium Development Goals; ...  
18. Adopts the programme of work on protec ted areas annexed to the present decision with the objective of the establishment and  maintenance by 
2010 for terrestrial and by 2012 for marine areas of comprehensive, effectively managed, and ecologically representative nation al 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 resources, particularly 
from existing protected areas and from areas of ecolog ical importance for biodiversity conservation; ... 
Goal 3.1 - To provide an enabling policy, institutional and socio-economic environment for protected areas  
Target:  By 2008 review and revise policies as appropriate, including use of social and economic valuation and incentives, to provide a supportive 
enabling environment for more effective establishment and management of protected areas and protected areas systems.  
Suggested activities of the Parties ... 
3.1.2 Conduct national-level assessments of the contributions of  protected areas, considering as appropriate environmental serv ices, to the country's 
economy and culture, and to the achievement of the Millennium Development Goals at the national level;  and integrate the use o f economic 
valuation and natural resource accounting tools into national pl anning processes in order to identify the hidden and non-hidden  economic benefits 
provided by protected areas and wh o appropriates these benefits.  
3.1.3 Harmonize sectoral policies and laws to ensure that they support the conservation and effective management of the protect ed area system. ... 
3.1.5 Identify and remove perverse incentiv es and inconsistencies in sectoral policies that increase pressure on protected area s, or take action to 
mitigate their perverse effects.  Wh enever feasible, redirect these to po sitive incentives for conservation.  
3.1.6 Identify and establish positive ince ntives that support the integrity and main tenance of protected areas and the involvem ent of indigenous and  
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- 83 - local communities and stakeholders in conservation.  
3.1.7 Adopt legal frameworks to national, re gional and sub-national protected areas sy stems of countries where appropriate... 
3.1.9 Identify and foster economic opportunities and markets at local, national and international levels for goods and services  produced by protected 
areas and/or reliant on the ecosystem services that protected ar eas provide, consistent with pr otected area objectives and prom ote the equitable 
sharing of the benefits. ..." 
Decision VIII/25 
Incentive measures: 
application of tools 
for valuation of 
biodiversity and 
biodiversity resources 
and functions "The [COP]… 1. Takes note of the options for the application of tools for valuation of biodiversity and biodiversity resources and functions 
annexed to the present decision;  
2. Invites  Parties and other Governments to take, in accordance with their national policies and legislation, their capacity, and taking into account 
other international instruments, these options into consideration as possible inputs for analysis when considering, on a volunt ary basis, the 
application of methods for assessing the changes of the value of biodiversity resources and functions, and associated ecosystem  services, that result 
from their decision-making, incl uding through pilot projects" 
Decision VIII/26 
Incentive measures: 
Preparation for the 
in-depth review of the 
programme of work 
on incentive 
measures Section on positive incentive measures, preamble: 
Recognizing  that positive incentive measures, can influence decision-making by recognizing and rewarding acti vities that are carried out f or the 
conservation and sustainable use of biological diversity, and ar e important in achieving the objectives of the Convention and t he 2010 biodiversity 
target, when such positive incentive measures are targeted, flex ible, transparent, appropriately monitored and adapted to local  conditions,  
Noting that policy guidance on incentive mechanisms developed under the Convention is voluntary and shou ld be applied in accordance wi th national 
law, taking into account other international instruments. 
Decision X/44 
Incentive measures "12. Invites  Parties and other Governments to  foster, as appropriate, implementation of sust ainable consumption and pr oduction patterns for  the 
conservation and sustainable use of biodiver sity, both in the public and the private sector, including thro ugh business and bio diversity initiatives, 
procurement policies that are in line with the objectives of the Convention, and development of methods to promote science-base d information on 
biodiversity in consumer and producer decisions, consistent and in harmony with the Convention and other relevant international  obligations; " 
Decision X/2 
Updating and 
Revision of the 
Strategic Plan for the 
post-2010 Period 
Annex Section IV (Strategic Goals and the 2020 headline targets) 
"Target 3 : By 2020, at the latest, incentives, including subsidies, harmful to  biodiversity are eliminated, phased out or reformed in orde r to minimize 
or avoid negative impacts, and positive in centives for the conservation and sustainable use of biodiversity are developed and a pplied, consistent and 
in harmony with the Convention and other relevant international obligations, taking into account national socio-economic condit ions." 
 
Invasive alien species 
29.  COP recognized the need to strengthen institutional coordination at international, regional and national levels on invasiv e alien species as a trade-related 
issue, and therefore invited the World Trade Organization to give consideration to the risks from invasive alien species. Furth er to invitations expressed by COP, 
work is currently being undertaken with the SPS Committee as well as other partners on the lack of international standards cove ring invasive alien species, in 
particular animals, that are not pests of plants under the Inte rnational Plant Protection Convention, nor diseases that are lis ted by the World Organization for 
Animal Health. 
Decision VI/23 
Alien Species that 
Threaten Ecosystems, 
Habitats or Species* 
Annex: Guiding "The [COP]... 4. Having considered these options, adopts the Guiding Principles annexed to the present decision;  
5. Urges Parties, other Governments an d relevant organizations to promote an d implement the Guiding Principles; ... 
15. Urges Parties, Governments, multilateral organizations and other relevant bodies to consider the potential effects of globa l change on the risk 
of invasive alien species to biodiversity, and related ecosystem goods and services  and, in particular: ... 
b. Invites the [WTO], through its [CTE], to take this matter into account when considering the impacts of trade and trade liber alization; ... 
Guiding principle 1:  Precautionary approach   
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- 84 - Principles for the 
Prevention, 
Introduction and 
Mitigation of Impacts 
of Alien Species that 
Threaten Ecosystems, 
Habitats or Species Given the unpredictability of the pathways an d impacts on biological diversity of invasive alien species, efforts to identify a nd prevent unintentional 
introductions as well as decisions concerning intentional introd uctions should be based on the precautionary approach, in parti cular with reference to 
risk analysis, in accordan ce with the guiding princi ples below.  The precautionary approach  is that set forth in principle 15 o f the 1992 Rio 
Declaration on Environment and Development and in the preamble of the [CBD].  
The precautionary approach should also be applied when considering eradication, containment and 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 re ason 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 measur es for alien species that are or could become invasive to ensur e that:  
a. Intentional introductions of alien species are subject to appropriate authorization (principle 10);  
b. Unintentional or unauthorized introductions of alien species are minimized.  
2. States should consider putting in place appropriate measures to control introductions of invasive alien species within the S tate according to 
national legislation and policies where they exist.  
3. These measures should be based on a risk analysis of the th reats posed by alien species and their potential pathways of entr y.  Existing 
appropriate governmental ag encies or authorities should be strengthened and broadened as necessary, and staff should be properl y trained to 
implement these measures.  Early detection systems and regional and international coordination are essential to prevention …".10 
Decision VII/13 
Alien Species that 
Threaten Ecosystems, 
Habitats or Species 
(Article 8 (h))  "The [COP]...  
5. Noting the existing international, regional and national frameworks but recognizing the need to strengthen institutional coo rdination at 
international, regional and national levels on invasive alien species as a trade-related issue:  
(a) Invites the [WTO] and its relevant bodies to give considerat ion to the risks from invasive alien species, in their delibera tions;  
(b) Requests the Executive Secretary to colla borate, whenever feasible and appropriate, with the Secretariat of the [WTO] in it s training, 
capacity-building and information activities, with a view to raising awareness of the issues related to invasive alien species,  and promoting 
enhanced cooperation on this issue;  
(c) Requests the Executive Secretary to renew his application for observer status in the [SPS Committee of the WTO] with a view  to enhancing 
the exchange of information on deliberation s and recent development in the respective bodies of relevance to alien invasive spe cies;  
(d) Invites Parties and other Governments to take into consideration, as appropriate, the risks associated with the introductio n, use and spread 
of invasive alien species during the development, expansion and environmental review of international, bilateral and regional a rrangements 
such as trade arrangements, where appropriate; ... 
6. Invites relevant Parties to the [CBD] an d other Governments, as well  as national, regional and international organizations t o: ... 
(f) Consider the introduction of positive incentive measures for the prevention, mitigation, eradication or control of invasive  alien species and 
the use of native species taking into consideration effectiveness in control and impact on the other native species in land and  water 
management and other programmes; ... 
7. Notes  that specific gaps in the international regulatory frameworks at global, regional and national levels persist, notably in rela tion to species 
that are invasive, but do not qualify as plant pests under the regulations of the [IPPC] and other international agreements or animal diseases under 
the regulations of the Office international des epizooties and ot her international agreements with regard to the following pote ntial pathways: ..." 
                                               
10 One representative entered a fo rmal objection during the proces s 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 form al objection in place. A few representatives expressed reservati ons regarding the procedure leading to the adoption of 
this decision (see UNEP/CBD/COP/6/20, paras. 294-324).  
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- 85 - Decision VIII/27 
Alien species that 
threaten ecosystems, 
habitats or species 
(Article 8/h)): Further 
consideration of gaps 
and inconsistencies in 
the international 
regulatory framework  "The [COP]... 14. Requests the Executive Secretary to consult with relevant international bodies and instruments, such as [the IPPC, the OIE, 
FAO , and the WTO], taking into account the observations of the report of the Ad Hoc Technical Expert Group (UNEP/CBD/SBSTTA/11 /INF/4), 
regarding whether and how to address the lack of international standards covering invasive alien species, in particular animals , that are not pests of 
plants under the [IPPC], and to report on the results of these consultations for consideration by the Subsidiary Body on Scient ific, Technical and 
Technological Advice and by the [COP] at its ninth meeting." 
Decision IX/4 
In-depth review of 
ongoing work on alien 
species that threaten 
ecosystems, habitats 
or species  "The COP…4. Invites  the Committee on Sanitary and Phytosanit ary Measures of the World Trade Organizati on to note the lack of international 
standards covering invasive alien species, in particular animal s, that are not pests of plants under the International Plant Pr otection Convention, nor 
diseases that are listed by the World Organi zation for Animal Health, and to consider ways and means so that that the provision s in the Sanitary and 
Phytosanitary Agreement of the World Trade Or ganization covering animal and plant heal th can be implemented to address risks fr om invasive alien 
species associated with international trade; … 
6. Encourages  Parties and other Governments to raise the above issues formally through their nation al delegations to the World Organization for 
Animal Health, the Food and Agriculture Organization of the United Nations and the World Trade Organization; … 
11. Requests  the Executive Secretary to continue to co llaborate with the secretariats of the International Plant Protection Convention, the  World 
Organization for Animal Health, the Convention on International Trade in Endangered Species (CITES) and the World Trade Organiz ation, as well as 
other international organizations, such as International Civil Aviation Organization and the International Maritime Organizatio n, with a view to filling 
gaps and promoting coherence in the regulato ry framework, reducing duplication, promot ing other actions to address invasive ali en species at the 
national level and facilitating support to Parties including through capacity-building,  and to prepare a report for the tenth m eeting of the Conference 
of the Parties;  
12. Requests  the Executive Secretary to consult with th e secretariats of relevant organizations, as mentioned in paragraph 11, to explore t he 
extent to which existing international instruments recogn ize and address threats from invasive alien genotypes…." 
X/38 
Invasive Alien Species  "The [COP]… 3. Requests  the Executive Secretary:… 
(c)  To explore further ways and means to improve the capacity of  Parties to address invasive alien species introduced as pets,  aquarium and 
terrarium species, as live bait and live food, including through consultation with  secretariats of relevant biodiversity-relate d conventions and relevant 
international organizations such as the World Organisation for Animal Health (OIE), the Codex Alimentarius Commission, the Inte rnational Plant 
Protection Convention (IPPC) an d the Convention on International Trade in Endang ered Species of Wild Fauna and Flora (CITES);… 
10. Welcomes the participation of the secretariats of the International Plant Protection Convention, the World Organisation for Animal Healt h (OIE), 
the World Trade Organization, the International Maritime Organization, the FAO and the Convention on International Trade in End angered Species, 
a s  w e l l  a s  I U C N  a n d  G I S P  i n  t h e  i n t e r - a g ency liaison group on invasive alien species, and encourages these organizations, as we ll 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 Pr otection Convention, the World Or ganisation for Animal Health 
(OIE), the World Trade Organization and the Committee on Fisheries of the Food and Agriculture Organization of the United Natio ns (FAO) to the 
invitations to these bodies in, respectively, paragraphs 2, 3, 4 and 5 decision IX/4 A, settin g out how they may address partic ular gaps and 
inconsistencies in the international regulatory framework on invasive alien species;… 
XI/28 
Invasive Alien Species "The [COP] 
4. Encourages Parties and other Governments: (i) to ensure at national level, effective collaboration among national authoritie s and focal points 
that deal with the Convention on Biological Diversity, the International Plant Protection Convention, the World Organisation fo r Animal Health (OIE), 
the Codex Alimentarius Commission, the World Trade Organization Agreement on the Application of Sanitary and Phytosanitary Meas ures, the 
Convention on International Trade in Endangered Species of Wild Fauna and Flora, and the Food an d Agriculture Organization of t he United Nations, 
(ii) to address threats from invasive alien species, and, (iii) as  appropriate, to make full use of existing standards in addre ssing 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 Phytosan itary Measures of the World Trade Organization, members of the I nternational 
Plant Protection Convention and relevant re gional plant protection organizations operating within the framework of that Convent ion, the World  
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- 86 - Organisation for Animal Health (OIE) and th e Codex Alimentarius Commissi on, to further address, incl uding by developing and imp roving 
international standards, 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 hum an health, taking note 
that the risks associated with the introduction of alien species may include impacts on ecosystem functioning and biodiversity at the ecosystem, 
species and gene levels. The Convention on Biological Diversity could offer to collabora te with the Committee on Sanitary and P hytosanitary 
Measures on this matter;  
10. Welcomes the publication by the International Plant Protection Convention of 'Aquatic Plants Their Uses and Risks', which p rovides information 
on the protection of plants, including bryophyte and algal species, in marine and aquatic environments; 
11. Welcomes with appreciation the Guidelines for Assessing the Risk of Non-native Animals Beco ming Invasive, published by the World 
Organisation for Animal Health (OIE), and encourages Parties and other Governments to make use of these guidelines in addressin g the risks of 
invasive alien animal species; 
12. Recognizes the important contribution ma de by the World Organisation  for Animal Health (OIE) and encourages the Organisatio n to pursue its 
efforts to consider the impact of invasive alien species on ecos ystems and animal health, and to provide advice and guidance on  the assessment of 
the risk of invasion of alien species on ecosystems; 
13. Further requests the Executiv e Secretary to continue to pursue the tasks se t out in paragraphs 11, 12 and 13 of decision IX /4 A and paragraph 
13 of decision X/38, especially regarding progress in its relationship with standa rd-setting bodies recognized by the World Tra de Organization (the 
International Plant Protection Convention, the World Organisation for Animal Health (OIE), and Co dex Alimentarius Commission), and other relevant 
organizations; 
14. Recognizing the relevance, importance and applicability of existing international standards, guidelines and recommendations  to addressing the 
risks associated with the introduction of alien species, and to managing pathways to prevent their introduction and spread, in order to achieve Aichi 
Biodiversity Target 9 of the Strategic Plan for Biodiversity 2 011-2020, requests the Executive Secretary, in line with paragrap h 3 (c) of decision X/38 
and in collaboration with the relevant international organizations that set international standards, guidelines and recommendat ions, to develop, 
subject to the availability of financial resources, a practical,  non-prescriptive toolkit for Pa rties on applying existing inte rnational standards, 
guidelines and recommendations, and to disseminate it, inter alia , through the clearing-house mech anism of the Convention, no l ater than the 
twelfth meeting of the Conference of the Parties. The toolkit should include: 
(a) Practical, non-prescriptive advice on how the components of the international regulatory framework can be used by Parties i n addressing 
threats from invasive alien species; 
(b) Information on the application of Articl es 9.2 and 10 of the Agreement on the Application of Sanitary and Phytosanitary Mea sures of the World 
Trade Organization related to invasive alien species;  
(c) Tools and information on relevant risk analysis;  
(d) Information on how Parties have develope d, integrated and strengthened national strategies on invasive alien species within  their national 
policies; 
(e) Lessons learned from countries’ experience in risk assessment and the management of alien species by all stakeholders, incl uding border 
control officials, traders and consumers, to  regulate whether or not a particular spec ies may be imported, kept, bred, or trade d; and information on 
the relative strengths and limitations of listing systems;  
(f) Examples of voluntary measures to  deal with specif ic circumstances; 
(g) Information on capacity development for the identification of potentially invasive alien species and assessment of relevant  pathways; 
(h) Information on how national authorities and industry can develop close collaboration to ensure compliance with national reg ulations on the 
import of alien species; and 
(i) Information on how regional cooperation could harmonize policy  on the introduction of alien species as pets, as aquarium an d terrarium 
species, and as live bait and live food; 
15. Invites the Committee on Sanitary and Phytosanitary Measures of the World Trade Organization to consider the application ma de by the 
Convention on Biological Diversity for observer status in the Committee 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 s pecies, in light of 
the increasing importance of the ecosystem level when establishing adequate standards;  
16.  Takes note of Articles 9.2 and 10 of the Agreement on  the Application of Sanitary and Phytosanitary Measures;"  
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- 87 - Cooperation and observer status 
30.  The COP affirmed the need to promoting increased mutual su pportiveness of trade and environment agreements in achieving su stainable development, 
requested the Executive Secretary to apply for observer status in relevant bodies of the WTO, or to renew his requests accordin gly, and to continue, and 
further strengthen, liaison and cooperation with the World Trade Organization. 
Decision IV/15 
The Relationship of the 
Convention on Biological 
Diversity with the 
Commission on 
Sustainable Development 
and Biodiversity-Related 
Conventions, other 
International 
Agreements, Institutions 
and Processes of 
Relevance 
(as modified by 
Decision VII/33) "The [COP]…  
8. Also notes that some Parties to the [CBD], particularly many  developing countries, are not members of the [WTO], and are the refore limited in 
their abilities to present their concerns re garding biological diversity at the [WTO]; 
9. Stresses the need to ensure consistency in implementing the [CBD] and the [WTO] agreements, including the [TRIPS] Agreement,  with a view 
to promoting increased mutual su pportiveness and integration of bi ological diversity concerns and the protection of intellectua l property rights, and 
invites the [WTO] to consider how to achieve these objectives in  the light of Article 16, paragraph 5, of the Convention, takin g into account the 
planned review of Article 27, paragraph 3 (b), of the [TRIPS Agreement] in 1999; 
10. Emphasizes that further work is required to help develop a common appreciation of the relationship between intellectual pro perty rights and 
the relevant provisions of the [TRIPS Agreement] and the [CBD], in particular on issues relating to technology transfer and con servation and 
sustainable use of biological diversity and the fair and equitable sharing of benefits arising out of the use of genetic resour ces, including the 
protection of knowledge, innovations a nd practices of indigenous and local communities embodying traditional lifestyles relevant for the 
conservation and sustainable use of biological diversity …".  
Decision VI/20 
Cooperation with other 
Organizations, Initiatives 
and Conventions 
 Cooperation with the WTO  
"The [COP]...25. Reaffirms the need to promoting increased mutual  supportiveness of trade and environment agreements in achievi ng 
sustainable development, as stressed in decision IV/15 of the fo urth meeting of the [COP], and reiterated in the Cartagena Prot ocol on Biosafety 
and the Doha Ministerial Declaration of the [WTO] adopted on 14 November 2001;  
26. Notes the Doha Ministerial Declaration, which welcomes a cont inued cooperation by the [WTO] with [UNEP] and other intergove rnmental 
environmental organizations, and encourages efforts to promote cooperation between the [WTO] and relevant international environ mental and 
developmental organizations;  
27. Recognizes the importance of cooperation with the [WTO] with regard to matters that are relevant to the Cartagena Protocol on Biosafety and 
in preparing for the implementation of the Protocol, emphasizes the need to ensure mutual supportiveness with the relevant agre ements under the 
[WTO], in particular with the [SPS Agreement] and the [TBT Agreement], with a view to achieving sustainable development;  
28. Welcomes the practice established betw een the Executive Secretary and the [WTO] to exchange information regarding developme nts under 
the Intergovernmental Committee for the Cartagena Protocol on Biosafety;  
29. Requests the Executive Secretary to apply to the WTO for an ob server status and to represent the [CBD] in the meetings of t he [SPS 
Committee] and the [TBT Committee];  
30. Further requests the Executive Secretary to renew the applicat ion to the [WTO] for observer status in the [TRIPS Council]".  
Decision VII/26 
Cooperation with Other 
Conventions and Inter-
national Organizations 
and Initiatives "The [COP]...1. Urges  further enhanced cooperation between the [CBD] and all rele vant international conventions, organizations and bodies, 
strengthening and building on existing cooperative arrangements to enhance synergies and reduce inefficiencies in a manner cons istent with their 
respective mandates, governance a rrangements and agreed programs, within existing resources; ... 
4. Requests the Executive Secretary to renew his applications for observer status in relevant bodies of the [WTO], in particula r, in the [TRIPS 
Council]; ...".  
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- 88 - Decision VIII/16 
Cooperation with other 
conventions and 
international 
organizations and 
initiatives  "The [COP]... 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 Conve ntion...". 
Decision IX/27 
Cooperation among 
multilateral 
environmental 
agreements and other 
organizations "The [COP]...10.  Requests  the Executive Secretary to renew the Convention’s pending ap plications 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 [COP]…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 Orga nization;…" 
Decision XI/28 
Invasive Alien Species "The [COP] 
15. Invites the Committee on Sanitary and Phytosanitary Measures of the World Trade Organization to consider the application ma de by the 
Convention on Biological Diversity for observer status in the Committee 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 s pecies, in light of 
the increasing importance of the ecosystem level when establishing adequate standards;" 
 
Other 
Decision VII/3 
Agricultural Biological 
Diversity "The [COP]... 6. Takes note also of the notes by the Executive Secretary on the impacts of trad e liberalization on agricultural  biodiversity 
(UNEP/CBD/COP/7/INF/14 and 15) prepared pursuant to paragraph 17 of decision VI/5, and requests further gathering and incorpora tion of data 
on this matter from all countries; ... ." 
Decision VII/14 
Biological Diversity and 
Tourism  "The [COP] 1. Adopts the Guidelines on Biodiversity and Touris m Development annexed to the present decision; ... 
9. In light of the collaboration between the [CBD, the UNEP and the UNESCO, invites the World Tourism Organization, the UNCTAD,  the UNDP, 
the World Bank, the WTO], regional development banks and other relevant  international 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, indig enous and local 
communities and other stakeholders to manage tourism activities in an ecological, economic and socially sustainable manner.  Th ey can be flexibly 
applied to suit different circumstances and domestic institutional and legal settings. ... 
32. Legislation and control measures cons idered could include measures for: ... 
(n) Monitoring, control of and provision of information on activi ties related to collection and trade of biological and related  cultural resources within 
tourism sites. ..." 
  
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- 89 - 2.8  Cartagena Protocol  
Provisions of the Protocol  
Preamble "... Recognizing  that trade and environment agreements should be mutually supportive with a view to achi eving sustainable development, 
Emphasizing  that this Protocol shall not be interpreted as implying a change in the rights and obligations of a Party under any existing i nternational 
agreements, Understanding  that the above recital is not intended to subordinate this Protocol to other international agreements". 
Article 2 
General Provisions "...4. Nothing in this Protocol shall be interpreted as restricting the right of a Party to take action that is more protective  of the conservation and 
sustainable use of biological diversity than that called for in th is Protocol, provided that such action is consistent with the  objective and the 
provisions of this Protocol and is in accordance with  that Party's othe r obligations under international law". 
Article 4 
Scope "This Protocol shall apply to the transbound ary movement, transit, handling and use of all [LMOs] that may have adverse effects  on the 
conservation and sustainable use of biological diversit y, 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] thro ugh its territory and 
make available to the Biosafety Clearing-House, any decision of that Party, subject to Article 2, paragraph 3, regarding the tr ansit through its 
territory of a specific LMO], the provisions of this Protocol with respect to the advance informed agreement procedure shall no t 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 de cisions on import 
and to set standards for contained use within its jurisdiction, the provisions of this Protocol with respect to the advance inf ormed agreement 
procedure shall not apply to the transboundary movement of [LMOs]  destined for contained use under taken in accordance with the standards of the 
Party of import." 
Article 7  
Application of the 
Advance Informed 
Agreement Procedure  "1. Subject to Articles 5 and 6, the advance informed agreement procedure in Articles 8 to 10 and 12 shall apply prior to the f irst intentional 
transboundary movement of [LMOs] for intentional introd uction 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 di rect use as fo od 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 p rocessing. 
4. The advance informed agreement procedure shall not apply to th e intentional transboundary movement of [LMOs] identified in a  decision of 
the [COP] serving as the [MOP] to this Protocol as being not likely to have adverse effects on the conservation and sustainable  use of biological 
diversity, taking also into account risks to human health".  Lays out the Advanced Informed Agreement (AIA) procedure which shall apply for the first intentio nal transboundary movement of a LMO for 
intentional introduction into the environment of the Party of import.  The AIA procedure is outlined in Articles 8 to 10 and 12 .  The procedure in 
Article 11 shall apply prior to the first transboundary movement of  LMOs intended for direct use as food or feed, or for proces sing.  The AIA 
procedure shall not apply to LMOs in transit or fo r contained use". 
Article 8 
Notification "1. The Party of export shall notify, or require the exporter to ensure notification to, in writing,  the competent national au thority of the Party of 
import prior to the intentional transboundary movement of a [LMO] that falls within the scope of Article 7, paragraph 1.  The n otification shall 
contain, at a minimum, the information specified in Annex I. 2. The Party of export shall ensure that there is a legal requirement fo r the accuracy of informatio n provided by the exporter ...". 
Article 9 
Acknowledgement of 
Receipt of Notification "1. The Party of import shall acknowledge re ceipt of the notification, in writing, to the notifier within ninety days of its re ceipt.  
2. The acknowledgement shall state: 
(a) The date of receipt of the notification;  (b) Whether the notification, prim a facie, contains the informatio n referred to in Article 8;  
(c) Whether to proceed according to the dome stic regulatory framework of the Party of import or according to the procedure spec ified in 
Article 10.  
3. The domestic regulatory framework re ferred to in paragraph 2 (c) above, shal l be consistent with this Protocol. 
4. A failure by the Party of import to acknowledge receipt of a notification shall not imply its consent to an intentional tran sboundary movement".  
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- 90 - 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 referre d to in Article 9, inform the no tifier, in writing, whether the intentional 
transboundary movement may proceed: 
(a) Only after the Party of import has given its written consent;  or 
(b) After no less than ninety days without a subsequent written consent.  
3. Within two hundred and seventy days of the date of receipt of notification, the Party of import shall communicate, in writin g, to the notifier 
and to the Biosafety Clearing-House the deci sion referred to in paragraph 2 (a) above: 
(a) Approving the import, with or without conditions, including ho w the decision will apply to subsequent imports of the same [ LMO];  
(b) Prohibiting the import;  (c) Requesting addi tional relevant information in accordance with its dome stic regulatory framework or Annex I;  in calculating  the time within 
which the Party of import is to respond, the number of days it has to wait for additional relevant information shall not be tak en into account;  
or (d) Informing the notifier that the period specified in th is paragraph is extended by a defined period of time.  
4. Except in a case in which consent is unconditional, a decisi on under paragraph 3 above, shall set out the reasons on which i t is based. 
5. A failure by the Party of import to co mmunicate its decision within two hundred and seventy days of the date of receipt of t he notification shall 
not imply its consent to an intentional transboundary movement. 6. Lack of scientific certainty due to insufficient relevant sc ientific information and knowledge regarding the extent of the p otential adverse 
effects of a [LMO] on the conservation and sustainable use of biol ogical diversity in the Party of import, taking also into acc ount risks to human 
health, shall not prevent that Party from taking a decision, as a ppropriate, with regard to the import of the [LMO] in question  as referred to in 
paragraph 3 above, in order to avoid or mi nimize such potentia l adverse effects…". 
 At the First COP serving as the MOP to this Protocol (COP-MOP 1) in 2004, COP-MOP 1 adopted procedures and mechanisms to facili tate 
decision-making by Parties of im port (Decision BS-I/2).  The gu idelines 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 sh ould be demand-driven by impor ting Parties;  
and the roster of experts and the BCH are referred to as main mechanisms to provid e support to facilitate decision making. 
Article 11 
Procedure for Living 
Modified Organisms 
Intended for Direct Use 
as Food or Feed, or for 
Processing "1. A Party that makes a final decision rega rding domestic use, including placing on th e 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 Parti es through the [BCH].  
This information shall contain, at a minimum, the information specified in Annex II.  The Party shall provide a copy of the inf ormation, in writing, to 
the national focal point of each Party that  informs the Secretariat in advance that it  does not have access to the [BCH].  This  provision shall not 
apply to decisions regarding field trials.   2. The Party making a decision under paragraph 1 above, shall en sure that there is a legal requirement for the accuracy of info rmation provided 
by the applicant.   3. Any Party may request additional information from the authority identifi ed 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 do mestic regulatory 
framework that is consistent with  the objective of this Protocol. 
5. Each Party shall make available to the [BCH] copies of any na tional laws, regulations and guid elines applicable to the impor t of [LMOs] 
intended for direct use as food or feed, or for processing, if available. 6. A developing country Party or a Party with an economy in transition may, in the absence of the domestic regulatory framework  referred to in 
paragraph 4 above, and in exercise of its domestic jurisdiction, declare through the [BCH] that its decision prior to the first  import of a [LMO] 
intended for direct use as food or feed, or for processing, on which information has been provided under paragraph 1 above, wil l be taken according 
to the following: 
(a) A risk assessment undertaken in accordance with Annex III;  and (b) A decision made within a predictable timefra me, 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 sc ientific information and knowledge regarding the extent of the p otential adverse 
effects of a [LMO] on the conservation and sustainable use of biol ogical diversity in the Party of import, taking also into acc ount risks to human  
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- 91 - health, shall not prevent that Party from taking a decision, as appropriate, with regard to the import of that [LMO] intended f or direct use as food 
or feed, or for processing, in order to avoid or minimize such potent ial adverse effects.  
9. A Party may indicate its needs for financial and technical assistance and capacity-building with respect to [LMOs] intended for direct use as 
food or feed, or for processing.  Parties shall cooperate to  meet these needs in accordan ce with Articles 22 and 28". 
Article 12 
Review of Decisions "1. A Party of import may, at any time, in light of new scient ific 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 intentio nal transboundary 
movement.  In such case, the Party shall, within thirty days, in form any notifier that has previo usly 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 Arti cle10 where the Party 
of export or the notifier considers that: 
(a) A change in circumstances has occurred that may influence the outcome of the risk assessment upon which the decision was ba sed;  or 
(b) Additional relevant scientific or technical information has become available.  
3. The Party of import shall respond in wr iting to such a request within ninety days and set out the reasons for its decision. 
4. The Party of import may, at its discretion, re quire 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 the Party of 
import;  and (b) Imports of [LMOs] to it to be exempted fr om the advance informed agreement procedure.  
Notifications under subparagraph (a) above, may apply to  subsequent similar movements to the same Party. 
2. The information relating to an intentional transboundary moveme nt that is to be provided in the notifications referred to in  paragraph 1 (a) 
above, shall be the information specified in Annex I". 
Article 14  
Bilateral, Regional and 
Multilateral Agreements 
and Arrangements "1. Parties may enter into bilateral, regional and multilateral agreements and arrangements rega rding intentional transboundary  movements of 
[LMOs], consistent with the objective of this Protocol and provided that such agreements and arrangements do not result in a lo wer level of 
protection than that provided for by the Protocol. 2. The Parties shall inform each other, th rough the [BCH], of any such bilateral, re gional and multilateral agreements and arra ngements that 
they have entered into before or after the date of entry into force of this Protocol. 
3. The provisions of this Protocol shall not affect intentional transboundary movements that take place pursuant to such agreem ents and 
arrangements as between the parties to those agreements or arrangements. 4. Any Party may determine that its domestic regulations shall apply with respect to specific imports to it and shall notify th e [BCH] of its 
decision". 
Article 15 
Risk Assessment  "1. Risk assessments undertaken pursuant to this Protocol shall be carried out in a scientifically sound manner, in accordance with Annex III and 
taking into account recognized risk assessment techniques.  Such risk assessments shall be based, at a minimum, on information provided in 
accordance with Article 8 and other available scientific evidence in order to identify and evaluate the possible adverse effect s of [LMOs] on the 
conservation and sustainable use of biological diversit y, taking also into account risks to human health. 
2. The Party of import shall ensure that risk assessments are carried out for decisions taken under Article10.  It may require the exporter to 
carry out the risk assessment. 3. The cost of risk assessment shall be borne by the notifier if the Party of import so requires".  
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- 92 - Article 16 
Risk Management  "1. The Parties shall, taking into account Article 8(g) of the Convention, establish and maintain appropriate mechanisms, measu res and strategies 
to regulate, manage and control risks identified in the risk asse ssment provisions of this Protocol associated with the use, ha ndling and 
transboundary movement of [LMOs]. 2. Measures based on risk assessment sha ll be imposed to the extent necessary to pr event adverse effects of the [LMO] on the co nservation and 
sustainable use of biological diversity, taking also into account  risks to human health, within the territory of the Party of i mport. 
3. Each Party shall take appropriate measures to prevent uninten tional transboundary movements of [LMOs], including such measur es as 
requiring a risk assessment to be carried out prior to the first release of a [LMO]. 
4. Without prejudice to paragraph 2 above, each Party shall endeav our to ensure that any [LMO], whether imported or locally dev eloped, has 
undergone an appropriate period of observatio n that is commensurate with its life-cycle or generation time before it is put to its intended use. 
5. Parties shall cooperate with a view to:  
(a) Identifying [LMOs] or specific traits of [LMOs] that may ha ve adverse effects on the conservation and sustainable use of bi ological 
diversity, taking also into account risks to human health;  and (b) Taking appropriate measures regarding the tr eatment of such [LMOs] or specific traits". 
Article 18 
Handling, Transport, 
Packaging And 
Identification  "1. In order to avoid adverse effects on th e conservation and sustainable use of biolog ical diversity, taking also into account  risks to human 
health, each Party shall take necessary measures to require that  [LMOs] that are subject to intentional transboundary movement within the scope 
of this Protocol are handled, packaged and transported under cond itions of safety, taking into consideration relevant internati onal 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" [LMO s] and are not 
intended for intentional introduction into the environment, as well as a contact point for furt her information.  The [COP] serv ing as the [MOP] 
to this Protocol shall take a decision on the detailed requirements for this purpose, including specification of their identity  and any unique 
identification, no later than two years after th e date of entry into force of this Protocol; 
(b) [LMOs] that are destined for contained use clearly identifies  them as [LMOs];  and specifie s any requirements for the safe handling, 
storage, transport and use, the contact poin t for further information, including the na me and address of the individual and ins titution to whom 
the [LMOs] are consigned;  and (c) [LMOs] that are intended for intentional introduction into the environment of the Party of import and any other [LMOs] with in the scope of 
the Protocol, clearly identifies them as [LMOs];  specifies the identity and relevant traits and/or characteristics, any requir ements for the safe 
handling, storage, transport and use, the contact point for furthe r information and, as appropriat e, the name and address of th e importer and 
exporter;  and contains a declaration that the movement is in conformity with the requirements of this Protocol applicable to t he exporter. 
3. The [COP] serving as the [MOP] to this Protocol shall consider  the need for and modalities of developing standards with rega rd to 
identification, handling, packaging and tr ansport practices, in consultation with  other relevant international bodies". 
Article 25 
Illegal Transboundary 
Movements 
 "1. Each Party shall adopt approp riate domestic measures aimed at preventing an d, if appropriate, penalizing transboundary move ments of 
[LMOs] carried out in contravention of its domestic measures to implement this Protocol.  Such movements shall be deemed illega l 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 expense, of the 
[LMO] in question by repatriation or destruction, as appropriate. 
3. Each Party shall make available to the [BCH] information concerning cases of illegal transboundary movements pertaining to i t". 
Article 26 
Socio-Economic 
Considerations "1. The Parties, in reaching a decision on import under this Pr otocol or under its domestic meas ures implementing the Protocol,  may take into 
account, consistent with their international obligations, socio-economic considerations arising from the impact of [LMOs] on th e conservation and 
sustainable use of biological diversity, especially with regard to the value of biological diversity to indigenous and local co mmunities. 
2. The Parties are encouraged to cooperate on research and info rmation exchange on any socio-economic impacts of [LMOs], especi ally 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 Procedure ). 
 Annex II sets out the information required for LMOs intended for direct use as food or feed, or for proces sing under Article 1 1.   
 Annex III gives greater details on the risk asse ssments carried out pursuant to the Protocol.  
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- 93 -  
Decisions of the COP-MOP 
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 appl y, as appropriate, the OECD Un ique Identifiers for Transgenic Plants to living 
modified plants under the Protocol, without prejudice to th e possible development and applicability of other systems; 
 2. Requests the Executive Secretary to develop or maintain, in the [BCH], a register of unique identification codes to ensure harmonisation of 
such codes by all users; 
 3. Encourages the OECD and ot her organizations involved in the development of unique identification systems for [LMOs] to init iate or enhance 
their activities towards the development of a harmonized system of unique identifiers for genetically modified micro-organisms and animals. ..." 
Paragraph 2 (a) of Article 18: 
Decision BS-I/6 
"1. Requests Parties to the Protocol and urges other Governments to take measures to require the use of a commercial invoice or  other 
document required or utilized by existing documentation systems, as documentation that should accompany [LMOs] that are intende d for direct 
use as food or feed, or for processing, fo r the purpose of identification by incorpor ating the information requirements of the first sentence of 
paragraph 2 (a) of Article 18, and the requir ements established under paragraph 4 below,  pending a decision on detailed require ments for this 
purpose by the COP serving as the MOP to the Protocol, wh ich 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 use as food or feed, or for processing clea rly identifies that the shipment may contain [LMOs] intended for  direct use as food or 
feed, or for processing, and states th at they are not intended for intentional introduction into the environment; 
 3. Further requests Parties to the Protocol and urges other Governments to take measures ensuring that the documentation accom panying 
[LMOs] that are intended for direct use as  food or feed, or for processing, provides  the details of a contact point for further  information:  the 
exporter, the importer, or any appropriate authority, wh en designated by a Govern ment as the contact point; 
 4. Further urges Parties to the Protocol and other Governments to requ ire that the documentation referred to in paragraph 1 ab ove includes:  
(i) the common, scientific and, where available, commerci al names, and  
(ii) the transformation event code of the [LMOs] or, where available, as a key to a ccessing information in the Biosafety Cleari ng-House, its 
unique identifier code;  
 5. Encourages Parties to the Protocol an d 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 tr ansboundary movements known to intentionall y contain 
[LMOs] that are intended for direct use as food or feed, or fo r processing, that the shipment co ntains [LMOs] that are intended  for direct use as 
food or feed, or for processing, the identity of the [L MO], and any unique identification, where possible; ..." 
Decision BS-III/10 
"The [COP] 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 documentat ion systems, or documentation as required by domestic regulatory and/or administrati ve frameworks, 
as documentation that should accompany [LMOs] that are intend ed 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 dire ct use as food or feed, or fo r processing, provides the detail s of a contact point for further  information: the 
exporter, the importer, and/or any appropriate authority, wh en designated by a Government as the contact point;  
 4. Requests  Parties to the Protocol and urges other Governments to take meas ures ensuring that documentation accompanying [LMOs] intended 
for direct use as food or feed, or for processing, in commercial  production and authorized in a ccordance with domestic regulato ry 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 me ans such as identity preservation systems, that the shipment c ontains  
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- 94 - [LMOs] that are intended for direct use as food or feed, or for processing;  
(b) In cases where the identity of the [LMO s] is not known through means such as identity preservation systems, that the shipme nt may 
contain one or more [LMOs] that are intended for direct use as food or feed, or for processing;  
(c) That the [LMOs] are not intended for intentional introduction into the environment;  
(d) The common, scientific and, where available, commercial names of the [LMOs];  
(e) The transformation event code of the [L MOs] or, where available, as a key to accessing information in the [BCH], its unique  identifier code;  
(f) The Internet address of the [BCH] for further information;  
and notes that in accordance with Article 24 of the Protocol, transboundar y movements of [LMOs] between Parties and non-Parties shall be 
consistent with the objective of the Protocol, and further notes that the specific requirements set out in this paragraph do not apply to such 
movements. In addition, in accordance with  paragraph 2 of Article 24, Parties shall en courage non-Parties to adhere to the Prot ocol...". 
Decision BS-IV/9 
"The [COP] serving as the [MOP] to the Cartagena Protocol on Biosafety…  
 1.Notes the important work that is being done by relevant internationa l organizations such as the Code x Alimentarius Commission and the  
International Organization for Standardization and e ncourages Parties to participate in and share information with these and other relevant 
international standard-setting bodies, and utilize, as appropriate, criteria or methods for sampling and detection of living mo dified organisms 
published by them; 
 2. Requests  Parties and encourages  other Governments and relevant international organizatio ns to ensure that information related to rules and 
standards on the sampling of living modified  organisms and detection techniques, including experience with such techniques are made available 
via the Biosafety Clearing-House;  
 3. Requests  Parties, and encourages  other Governments, relevant international organizations as well as the Global Environment Facility, to 
cooperate with and support developing country  Parties, in particular the least developed and small island developing States amo ng them, and 
Parties with economies in transition, in th eir efforts to build their capacities in th e area of sampling and detection of livin g modified organisms, 
including the setting up of laboratory facilities and training of local regulatory and scientific personnel; 
 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 prov ide access for those agencies that may need such materials for the purpose o f 
detection of living mo dified organisms."  
Decision BS-V/8 
"The [COP] serving as the [MOP] to the Cartagena Protocol on Biosafety…  
 1. Requests  Parties and urges  other Governments to continue to take measures to ensu re that the information required by paragraph 2 (a) of 
Article 18 and paragraph 4 of decision BS-III/10 to identify livin g modified organisms intended for direct use as food or feed,  or for processing, is 
incorporated into existing documentation accompanying the living modified organisms, as specified in paragraph 1 of decision BS -III/10;  
 2. Urges  Parties to expedite the implementation of their biosafety regulatory frameworks and make available to the Biosafety Clearing-H ouse 
any laws, regulations and guidelines for the implementation of th e Protocol, and any changes to th eir regulatory requirements r elated to the 
identification and documentation of living modified organisms in tended for direct use as food or feed, or for processing;  
 3. Requests  Parties and urges  other Governments to take measures that facilitate furthe r implementation of decision BS-III/10, in particular its 
paragraph 4; 
 4. Requests  Parties and encourages  other Governments and relevant organizations to cooperate with and support developing country Parties 
and Parties with economies in transition to build capacity to im plement the identification requirements of paragraph 2 (a) of A rticle 18 and related 
decisions;  
 5. Encourages  Parties to develop domestic systems or use existing ones, as appropriate, to prevent imported  living modified organisms intend ed 
for direct use as food or feed, or for processing, from being used  for other purposes such as in troduction into the environment ;  
 6. Decides , taking into account the limited experience gained to date in the implementation of paragraph 4 of decision BS-III/10, to post pone 
the decision-taking referred to in paragraph 7 of decision BS-III/10 until its seventh meeting. This decision-taking should als o include 
consideration of the need for a stand-alone document, as  referred to in paragraph 2 of decision BS-III/10;  
 7. Requests  Parties and invites  other Governments and relevant organizations to submit to the Executive Secretary, no later than six months 
prior to the seventh meeting of the Parties to the Protocol, further information on experience gained with the implementation o f paragraph 4 of  
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- 95 - decision BS-III/10 as well as the present decision, including any information on obstacles that are encountered in the implemen tation of these 
decisions as well as specific capacity-building needs to implement these decisions, and requests  the Executive Secretary to compile the information 
and prepare a synthesis report for consideration by the Partie s at their seventh meeting." 
 
Paragraphs 2 (b) and 2 (c) of Article 18: 
Decision BS-I/6 
"1. Requests Parties to the Protocol and ur ges other Governments to take measures to ensure the use of a commercial invoice or other 
documents required or utilized by existing documentation systems, with consideration given to the formats outlined in the examp le templates 
annexed hereto, as documentation that should  accompany [LMOs] for contained use and [LMOs] for intentional introduction into th e environment 
of the Party of import, incorporating the information required und er paragraphs 2 (b) and 2 (c) of Article 18 of the Protocol, as appropriate, with a 
view to fulfil the identification requirements of these paragraphs; 
 2. Requests Parties to the Protocol and invites other Governments to submit to the Executive Secretary, not later than six mon ths prior to the 
third meeting of the [COP] 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 re port presenting 
options for stand-alone documentation for co nsideration by the third meeting of the [COP] serving as the [MOP] to the Protocol;   
 3. Requests Parties to the Protocol and urges other Governments to take measures en suring that documentation accompanying [LMO s] contains 
the following information and declaration:  
(a) [LMOs] for contained use (Article 18, paragraph 2 (b)): 
(i) Clear identification as "[LMOs]" including common and scient ific names of the organisms and as "destined for contained use" ; 
(ii) The name and address of the consignee, and exporter or im porter, as appropriate, includin g contact details necessary to re ach them as 
fast as possible in case of emergency; 
(iii) Any requirements for the safe handling , storage, transport and use of the [LMOs]  under applicable existing international instruments, 
such as the United Nations Recommendations on the Transport of Dangerous Goods, the International Plant Protection Convention a nd the 
Organisation Internationale des Epizooties, domestic regulatory frameworks or under an y agreements entered into by the importer  and 
exporter.  In the event that there is no requiremen t, indicate that there is no specific requirement; 
(iv) Where appropriate, further information should include the co mmercial names of the [LMOs], if available, new or modified tr aits and 
characteristics such as event(s) of transformation, risk class, specification of use, as well as any unique identification, whe re available, as a 
key to accessing info rmation in the [BCH]; 
(b) [LMOs] for intentional introduction into the environment of the Party of import and any other [LMOs] within the scope of th e Protocol 
(Article 18, paragraph 2 (c)): 
(i) Clear identification as "[LMOs]" and a brief description of the organisms, includ ing common and scientific name, relevant t raits and 
genetic modification, including transgenic traits and characterist ics such as event(s) of transformation or, where available an d applicable, a 
reference to a system of unique identification; 
(ii) Any requirements for the safe handling , storage, transport and use of the [LMOs] as provided under applicable existing int ernational 
requirements, domestic regulatory frameworks, or under any agreement entered into by the importer and exporter.  In the event t hat 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 fu rther information, including an individual or organization in possession of relevan t information in 
case of emergency;  
(v) A declaration that the movement of the [LMOs] is in conformi ty with the requirements of the Cartagena Protocol on Biosafety  applicable 
to the exporter; 
(vi) Where appropriate, further information should include the commercial name, risk class, and import approval for the first t ransboundary 
movement of [LMOs]; .." 
Decision BS-II/10 
"The [COP] serving as the [MOP] to the Cartagena Protocol on Biosafety...  
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- 96 -  2. Urges  Parties to the Protocol and invite other Governments to take necessary measures, taking into account their specific capabiliti es, 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 import, 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 use  and for 
intentional introduction into the environment, as part of the re quirement 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...". 
Decision BS-IV/8 
"The [COP] serving as the [MOP] to the Cartagena Protocol on Biosafety... 
 1. Requests  Parties and encourages other Governments and relevant international organizations to continue to implement the requirements 
under paragraphs 2(b) and 2(c) of  Article 18 and associated decisions by the Conference of the Parties serving as the meeting o f the Parties to the 
Protocol; 
 2. Decides  to review this matter at its si xth meeting in light of the review of experience based on the analysis of the second national r eports. 
Paragraph 3 of Article 18 
Decision BS-IV/10 
"The [COP] serving as the [MOP] to the Cartagena Protocol on Biosafety...  
 1. Decides to continue to gain experience in the implementati on of the Protocol’s provisions regarding handling, transport, pa ckaging and 
identification, and requests  the Executive Secretary to continue to collaborate with relevant international organizations in this regard; 
 2. Requests  Parties and encourages  other Governments and international organizations to ensure that information re lated to standards on the 
identification, handling, packaging and tran sport of living modified organisms is av ailable through the Biosafety Clearing-Hous e; 
 3. Encourages  Parties to participate in ongoing work on  standards on handling, transport, packagin g and identification of living modified 
organisms taking place in other relevant international organizations and, decides  that if a gap in such standards has been identified, to consider 
the need for and modalities of de veloping the necessary standards, in particular by referring such gaps to other relevant inter national 
organizations; 
 4. Requests  the Executive Secretary to organize an online conference to: (i ) identify the relevant standards with regard to handling, tran sport, 
packaging and identification of living modifi ed organisms; (ii) identify where gaps ex ist; and (iii) suggest possible modalitie s to fill the gaps; and to 
prepare a summary of the outcome of the conference, reflecting the full range of views expressed,  for the consideration of the Conference of the 
Parties serving as the meeting of the Part ies to Protocol at its fifth meeting;  
 5. Invites  Parties, other Governments and relevant international organizations to provide the Executive Secretary with guiding questions for this 
online conference and requests  the Executive Secretary to finalise the list of questions in  consultation with the Bureau of the Conference of the 
Parties serving as the meeting of the Parties to the Protocol."  
Decision BS-V/9 
"The [COP] serving as the [MOP] to the Cartagena Protocol on Biosafety... 
1. Requests the Executive Secretary to: 
(a) Continue following developments in standards related to the handling, transport, packaging and identification of living mod ified organisms 
and to report to the Parties at their sixth meeting on any such  developments. The report should include information on developm ents in standard-
setting on the sampling and detectio n of living modified organisms;  
(b) Disseminate the results of the Online Fo rum on Standards for Shipment s of Living Modified Organisms, including information about potential 
gaps in international standards,  to relevant organizations; 
(c) Organize regional workshops for: (i) heads of laboratories involved in the detection of living modified organisms to exchan ge information and 
experience on the implementation of relevant standards and method s; and (ii) customs officers re quiring capacity in the samplin g and detection of 
living modified organisms further to paragraph 10 of deci sion BS-III/10 and paragrap h 3 of decision BS-IV/9; 
(d) Commission a study to analyse information on existing standa rds, methods and guidance relevant to the handling, transport, packaging and 
identification of living modified organisms and to make the stud y available for consideration by the sixth meeting of the Confe rence of the Parties 
serving as the meeting of the Pa rties to the Protocol. This study should address in particular: 
(i) Possible gaps in existing st andards, guidance and methods;  
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- 97 - (ii) Ways to facilitate cooperat ion with relevant organisations; 
(iii) Guidance on the use of existing international regulations and standards; 
(iv) The possible need for the elaboration of standards for handling, transport, pack aging and identification of living modifie d organisms; 
 2. Invites standard-setting bodies to form an electronic communications group with the Secretariat of the Convention on Biolog ical Diversity to 
exchange information on activities relevant to the handling, tr ansport, packaging and identifica tion of living modified organis ms being undertaken 
in each forum; 
3. Invites the International Plant Protection Convention to collaborate with the Secretariat of the Convention on Biological Di versity in the 
development of an explanatory document on the terminology of the Protocol in relation to the glossary of phytosanitary terms ad opted by the 
Commission on Phytos anitary Measures;  
4. Requests Parties and encourages  other Governments and relevant organizations, as appr opriate, to make available to the Biosafety Clearing-
House information on: 
(a) Standards relevant to the handling, transport, packag ing and identification of living modified organisms; 
(b) Existing guidance on the use of relevant international standards; 
(c) Methods for the detection and identification of living modified organisms; 
 5. Invites Parties to nominate national and international reference laboratories with the view to establishing, through the Bi osafety-Clearing 
House, an electronic network of laboratories to facilitate the identification of living modified organisms as well as the shari ng of information and 
experiences." 
Decision BS-VI/8 
"The [COP] serving as the [MOP] to the Cartagena Protocol on Biosafety... 
1.  Urges Parties to expedite the implementation of their biosafety regulatory frameworks and make available to the Biosafety Clearing-Ho use any 
laws, regulations and guidelines for the implementation of the Protocol and any changes to their regulatory requirements relate d to the 
identification and documentation of living modified organisms destined for contained use or living modified organisms for inten tional introduction 
into the environment; 
2. Requests Parties and encourages other Governments to continue to implement the requiremen ts of paragraphs 2(b) and 2(c) of Article 18 of the 
Protocol and related decisions through the use of a commercial in voice or other documents required or utilized by existing docu mentation systems, 
or documentation required by domestic regu latory and/or administrative frameworks; 
3. Requests the Executive Secretary to include a specific question in the re port form for the third national  reports inquiring whether Part ies require 
identification information to be provided in existing type s of documentation or in a st and-alone document or both; 
4. Invites Parties, other Governments, and relevant international organizations to cooperate with and support developing country Parties a nd 
Parties with economies in transition to build capacity to impl ement the detection and identification requirements of paragraphs  2(b) and 2(c) of 
Article 18 of the Protocol and related decisions, incl uding by facilitating the transfer of technology; 
5. Encourages the Organisation for Economic Co-operation and Development to renew efforts to develo p unique identification systems for living  
modified microorganisms and animals, further to  paragraph 3 of section C of decision BS-I/6; 
6. Encourages Parties and invites other Governments to support, in meet ings of the Committee on Sanitary and Phytosanitary Measures of the 
World Trade Organization, the request of the Secretariat of  the Convention on Biological Diversity for observer 
status in the Committee; 
7. Requests the Executive Secretary to: 
(a) Continue collaborating with the Food an d Agriculture Organization of the United Na tions on the International Portal on Food  Safety, Animal and 
Plant Health; 
(b) Further examine the potential gaps and inconsistencies identi fied in the study commissioned under paragraph 1 (d) of decisi on BS-V/9 
(UNEP/CBD/BS/ 
COP-MOP/6/INF/24) and provide recommendati ons, as appropriate, to the seventh me eting of the Parties to the Protocol."   
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- 98 - Cooperation with Other 
Organizations, 
Conventions and 
Initiatives  
 Decision BS-II/6 
"The [COP] serving as the [MOP] to the Cartagena Protocol on Biosafety... 
Requests  the Executive Secretary: 
(a) To pursue efforts to obtain observer status for the Secretariat of the [CBD] with the [WTO's] Committees on Sanitary and Ph ytosanitary 
Measures and on Technical Barriers to Trade; 
(b) To continue the involvement of the Secretariat of the [CBD] in  discussions in the [WTO's CTE] on issues releva nt to the Pro tocol 
(c) To reinforce cooperation with the Codex Alimentarius Commission, the Office International des Epizooties and the Internatio nal Plant Protection 
Convention on issues of  mutual relevance; … 
(f) To establish cooperation with the World Customs Organization, the International Organization for Standardization (ISO), the  United Nations 
Transport of Dangerous Goods Sub-Committee,  the International Air Transport Association and other relevant customs and transpor t organizations 
where biosafety issues are considered, with a view to developing  a harmonized approach for the packaging and transport of livin g modified 
organisms in preparation for the consideratio n 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 standard s with regard to identification, handling, packaging and transpor t practices, in 
accordance with the medium -term programme of work." 
Decision BS-III/6 
"The [COP-MOP]…  
2. Commends  the Executive Secretary on his recent efforts to strengthen cooperation with other organizations and initiatives, in particula r as 
regards the cooperation with the World Trade Organization and requests the Executive Secretary to intensify efforts to gain the World Trade 
Organization observer status in the Sanitary and Phytosanit ary (SPS) and the Technical Barriers to Trade (TBT) Committees; 
3. Also requests  the Executive Secretary to: 
(a) Continue pursuing, reinforcing and intensifying, as the case may be, cooperative arrangements with all the organizations re ferred to in decision 
BS-II/6; 
Decision BS-IV/6 
"The [COP] serving as the [MOP] to the Cartagena Protocol on Biosafety... 
 3. Commends the Executive Secretary on his sustained efforts to  strengthen cooperation with ot her organizations, in particular  with the World 
Trade Organization, and requests the Executive Secretary to furthe r intensify efforts to gain obse rver status in the World Trad e Organization 
committees on Sanitary and Phyt osanitary measures (SPS) and Tech nical Barriers to Trade (TBT)…" 
Decision BS-V/6 
"The [COP] serving as the [MOP] to the Cartagena Protocol on Biosafety... 
1. Commends  the Executive Secretary on his sustained efforts to strengthen cooperation with other organizations, in particular with the Wo rld 
Trade Organization, and requests  the Executive Secretary to further in tensify efforts to gain observer status in the World Trade Organization 
committees on Sanitary and Phytosanitary Measures and Te chnical Barriers to Trade; 
2. Requests  the Executive Secretary, subject to the availability of funds, to:   
(a) Pursue memoranda of understanding with the International Or ganization for Standardization and the International Seed Testin g Association 
to further cooperation with these organizations in the context of Article 18; 
(b)  Continue participating in the relevant meetings of the international standard-setting organizations referred to in decisio n BS-II/6; 
(c) Cooperate with other organizations, conventions and initiatives that are developing work on information-sharing mechanisms with the aim 
of: (i) identifying possible linkages; and (i i) avoiding, as appropriate, the developm ent of incompatible or duplicate data-set s and guaranteeing the 
reliability of the information provided; 
(d)  Maintain cooperation with organizations involv ed in packaging and transport rules and standards." 
Decision BS-VI/6 
"The [COP] serving as the [MOP] to the Cartagena Protocol on Biosafety...  
Requests the Executive Secretary, subject to  the availability of funds, to:  
(a) Further pursue cooperation with other organizations, conventions and initiatives with a view to meeting the strategic objec tive in focal area 5 of 
the Strategic Plan, on outreach and cooperation; 
(b) Continue efforts to gain observer stat us in those committees of the World Trade Or ganization that are relevant to biosafety ."  
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- 99 - Options for 
Implementation of 
Article 8 Decision BS-II/8 
" The [COP] serving as the[MOP] to th e Cartagena Protocol on Biosafety... 
1. Decides  to keep the item on notification referred to in decision BS-I/12 under review with a view to elaborating and developing, if 
appropriate, at its fourth meeting, modalities of implementation with respect to notification requirements under Article 8 of t he Protocol, taking 
into account the information on national implementation and expe riences on this matter gathered  through interim national report s and the [BCH]; 
2. Recommends to Parties to the Protocol to consider elements and options relevant to Article 8 of the Protocol, as well as the following 
elements, pending development of modalities  referred to in paragraph 1 above:  
(a) Applying necessary measures to en force the notification requirements; 
(b) Requiring the exporter to use the language as dete rmined 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 territory,  including 
requiring communication in writing to the competent national authority of the Party of transit if so required by the regulation s of that Party of 
transit." 
Decision BS-IV/18 
" Recalling  its decision to keep the item on notification under review with  a view to elaborating and develo ping, if appropriate, at its f ourth 
meeting, modalities of implementation of the requirements under Article 8 of the Protocol, taking into account national impleme ntation and 
experiences that may be communicated th rough national reports and the Biosafety Clearing-House (BS-II/8, paragraph 1), 
Recognizing  that the information made available by Pa rties through their interim and first nation al reports, and the Biosafety Clearing-Ho use, 
demonstrates the existence of no or limited experiences in impl ementing the notification requirements under Article 8 of the Pr otocol...". 
Decision VI/10 
"The [COP] serving as the[MOP] to the Cartagena Protocol on Biosafety... 
1. Requests  Parties to address any gaps that may exist in their domestic implementation of the notification requirements under Article 8 o f the 
Protocol, including 
in the context of their general obligation to take the necessary and a ppropriate legal, administrati ve and other measures to im plement their 
obligations under the Protocol, in accordance with paragraph 1 of Article 2 of the Protocol; 
2. Decides  that possible further review of this item should only take place if there is a docu mented need, indicated by Parties through n ational 
reports or other 
submissions, including to the Biosafety Clea ring-House, that demonstrate challenges in  implementing obligations under Article 8 , taking also into 
account experiences of acknowledging receipt of  notification in the context of Article 9; 
3. Invites  Parties, other Governments and relevant organizations to consider  using the LMO quick-link tool by their relevant national aut horities 
where reference is made to a living modified organism; 
4. Encourages  Parties, other Governments and relevant organizations to share, through the Biosafety Clearing-House, experiences and best 
practices on the implementation of notification requirements under Articl e 8 of the Protocol." 
Socio-economic 
Considerations (Article 
26, paragraph 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-econ omic impacts of living modified organisms as observed through  the 
submissions received and synthesized by the Secretariat in accordance with the request made under decision BS-II/12; 
Invites  Parties, other Governments and relevant organizations to continue  to share their research, research method and experience in t aking into 
account socio-economic impacts of living modified organisms, th rough the Biosafety Clearing-House, where it could be retrievabl e using the search 
term "socio-economic..." 
Decision BS-V/3: Capacity building 
IV. Cooperation on identification of capaci ty-building needs for research and informat ion exchange on socio-economic considerat ions 
21. Takes note  of the recommendations of the sixth Coor dination Meeting for Governments and Organi zations Implementing or Funding Biosafety 
Capacity-Building Activities regarding possibilities for cooperation in identifying needs for capacity-building among Parties f or research and 
information exchange on socio-economic impacts of living modified organisms (UNEP/CBD/BS/COP-MOP/5/INF/4); 
22. Invites Parties and other Governments to submit to  the Biosafety Clearing-House their capaci ty-building needs and priorities regarding socio-
economic considerations;  
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- 100 - 23. Urges  Parties, other Governments and relevant organizations to submit to the Executive Secretary relevant information on socio-econo mic 
considerations, including guidance material and case studies on, inter alia , institutional arrangements and best practices; 
24. Requests the Executive Secretary to convene regional online conferences to : (i) facilitate the exchange of views, information and experi ences 
on socio-economic consideratio ns on a regional basis; and (ii) identify possible issues for further consideration; 
25. Requests also  the Executive Secretary to convene, prior to the sixth meeting of the Conference of the Parties serving as the meeting of the 
Parties to the Protocol, subject to the necessary financial resour ces being made available, a regi onally-balanced workshop on c apacity-building for 
research and information exchange on socio-economic impacts of living modified organisms, with the following main objectives: 
(a) Analysis of the capacity-building activities , needs and priorities regarding socio-economic considerations submitted to the Bio safety Clearing-
House by Parties and other Go vernments, and identification of options fo r cooperation in addressing those needs; 
(b) Exchange and analysis of information on th e use of socio-economic considerations in the context of Article 26 of the Protocol; 
26. Requests the Liaison Group on Capacity-Building for Biosafety to give advice to the Executive Secretary on the organisation of the works hop 
referred to in paragraph 25 above; 
27. Requests the Executive Secretary to synthesize the outcomes of the online conferences and workshop referred  to in paragraphs 24 and 25 
above and submit a report to the sixth meeting of the Parties for consideration of further steps;  
28. Invites Parties, in collaboration with re gional bodies and relevant organi zations, to organize regional workshops to facilitate sharing  of 
information and experiences regarding socio-economic considerations; 
29. Welcomes  the report of the survey on the application of and experience in the use of socio-economic considerations in decision-making o n 
living modified organisms conducted by the United Nations Environment Programme and the Secretariat (UNEP/CBD/BS/COP-MOP/5/INF/ 10); 
30. Invites  the United Nations Environment Programme and other organizations to conduct additional case studies to document experiences an d 
lessons learned in different regions. 
Decision BS-VI/13 
" The [COP] serving as the[MOP] to the Cartagena Protocol on Biosafety... 
1. Encourages Parties, other Gove rnments and relevant organizations to continue to: 
(a) Conduct research on the socio-economic impact of living modified organisms with a view to filling knowledge gaps and identi fying specific 
socio-economic issues, including those with positive impacts; 
(b) Share and exchange, through the Biosafety Clearing-House, info rmation on their research, research methods and experiences i n taking the 
socio-economic impact of living modified organisms into account; 
(c) Engage local institutions of higher education with a view to building domestic capacity in socio-economic analysis of the i mpact of living 
modified organisms on the conservation and sustainable use of biological diversity; 
2. Requests the Executive Secretary, in order to develo p a global overview, keeping in mind nation al and regional spec ificities and policie s along 
with other commitments, to  compile, take stock of and review information on  socio-economic considerations arising from the impa ct of living 
modified organisms on the conservation and sustainable use of biol ogical diversity, especially with regard to the value of biol ogical diversity to 
indigenous and local communities, on the basis of: 
(a) Existing institutional frameworks, legislation and policies with provisions on socio-economic considerations; 
(b) Capacity-building activities  related to biosafety and socio-economic considerations; 
(c) Existing expertise and experience; 
(d) Other policy initiatives concerning social and economic impact assessments; 
3. Requests the Executive Secretary to convene online discussion groups and regional  online real-time conferences to facilitate and synthes ize the 
exchange of views, 
information and experiences on so cio-economic considerations among Parties, othe r Governments, re levant organizations and indig enous and local 
communities in the context of paragraph 1 of Article 26; 
4. Decides to establish an ad hoc technical expert group, subject to the availability of funds, to: 
(a) Draw upon the outcomes of paragraphs 2 and 3 above in order to develop conceptual clarity in the context of paragraph 1 of Article 26; 
(b) Carry out its work according to the terms of reference annexed hereto; and 
(c) Submit its report for consideration by the seventh meeting of the Conference of the Parties serving as the meeting of the P arties to the 
Cartagena Protocol on Biosafety with a view  to enabling the meeting to deliberate an d decide upon appropriate further steps tow ards fulfilling  
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- 101 - operational objective 1.7 of the Strategic Plan for the Cartagen a Protocol on Biosafety for the Period 2011-2020 and its outcom es, in a manner 
that provides flexibility to take into account the situations in different countries; 
5. Encourages Parties, other Governments and relevant organizations to make funds available to the Executive Secretary to organize a meeting of 
the ad hoc technical expert group." 
Liability and Redress 
under the Cartagena 
Protocol on Biosafety Decision BS-V/11  
" The [COP] serving as the[MOP] to th e Cartagena Protocol on Biosafety... 
1. Decides  to adopt the Nagoya – Kuala Lumpur Supplementary Protocol on Li ability and Redress to the Cartagena Protocol on Biosafety, as 
contained in the annex to the present decision (herei nafter referred to as "the  Supplementary Protocol"); 
2. Requests  the Secretary-General of the United Nations to be the Depositary  of the Supplementary Protocol and to open it for signature at  the 
United Nations Headquarters in New York from 7 March 2011 to 6 March 2012; 
3. Encourages Parties to the Cartagena Protocol on Biosafety to implemen t the Supplementary Protocol pending its entry into force; 
4. Calls upon  the Parties to the Cartagena Protocol on Biosafety to sign th e Supplementary Protocol on 7 Ma rch 2011 or at the earliest 
opportunity thereafter and to deposit instru ments of ratification, acceptance or approv al or instruments of accession, as appro priate, 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 situatio n 
may be addressed by additional and supplementary compensation measures; 
8. Decides that the measures referred to in paragraph 7 above may include a rrangements to be addressed by the Conference of the Parties 
serving as the meetin g of the Parties;…" 
Risk Assessment and 
Risk Management  Decision BS-III/11 
"The [COP-MOP]... 
15. Requests  the Executive Secretary to collaborate with relevant organizatio ns such as the Food and Agriculture Organization of the United  
Nations, to promote networking and interlin kages 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 Po rtal on Food Safety, Animal & Plant Health;  
Decision BS-IV/11 
" The [COP] serving as the[MOP] to th e 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 referen ced 
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-V/12 
" The [COP] serving as the[MOP] to th e Cartagena Protocol on Biosafety... 
4. Decides to extend the current open-ended online forum and the Ad Hoc Technical Expert Group on Risk Assessment and Risk Management in 
accordance with the terms of  reference annexed hereto; 
6. Further notes  that the first version of the Guidance requires further scientific reviewing and testing to establish its overall utility and 
applicability to living modified orga nisms of different taxa introduced  into different environments, and requests  the Executive Secretary to, prior to 
the first meeting of the Ad Hoc Technical Expert Group on Risk Assessment and Risk Management, (i) translate the first version of the Guidance 
into all United Nations languages with a view to enabling a larg e number of experts to take part in the reviewing process; (ii)  coordinate with 
Parties and other Govern ments, through their technical and scientific experts,  and relevant organizations, a review process of the first version of 
the Guidance; (iii) make the comments of the review pr ocess available through the Biosafety-Clearing House; 
8. Further requests  the Executive Secretary to: (i) update the common format for submission of records to the Biosafety Information Resources 
Centre in order to link its records on risk  assessment to specific sections of the Gu idance; and (ii) explor e possible ways to link background 
materials available in the "Scientific Bibliographic Database  on Biosafety" to specific sections of the Guidance; 
10. Urges  Parties and invites  other Governments to submit to the Biosafety Clearing -House decisions and risk assessments where potential 
adverse effects have been identified, as we ll as any other relevant information that may assist Parties in the identification o f living modified  
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- 102 - organisms or specific traits that may have adverse effects on th e conservation and sustainable use of biological diversity, tak ing also into account 
risks to human health, including information, if possible, when a decision is not taken due to the potential of a living modifi ed organism to cause 
adverse effects when introduced into specific environments; 
12. Requests  Parties and invites  other Governments and relevant organizations to submit to the Executive Secretary (i) information on risk 
assessments, carried out on a case-by-case basis with regards to  the receiving environment of the living modified organism, tha t might assist 
Parties in the identification of living modified organisms that are not likely to have adverse effects on the conservation and sustainable use of 
biological diversity, taking also into account risks to human health, and (ii) the criteria that were considered for the identi fication of such living 
modified organisms; 
13. Requests the Executive Secretary to compile the information received and prepare a synthesis report for consideration by the Parties at their 
sixth meeting…" 
Decision BS-VI/12 
"The [COP] serving as the[MOP] to the Cartagena Protocol on Biosafety... 
Further guidance on specific aspects of risk assessment 
1. Takes note of the conclusions and recommendations of the open-ended online forum and the Ad Ho c Technical Expert Group (AHTEG) on Risk 
Assessment and 
Risk Management and commends the progress made on the resulting Guidance on Risk Assessment of Living Modified Organisms, clearly 
understanding that: 
(a) The Guidance is not prescriptive and does not impose any obligations on Parties; 
(b) The Guidance will be tested nationally and regionally for further improvement in ac tual cases of risk assessment and in the  context of the 
Cartagena Protocol 
on Biosafety; 
2. Encourages Parties, other Governme nts and relevant organizations, as appropriate, to translate the Guidance into national languages and to  
make such translated 
versions available through the Biosafety Clearing-House for wide dissemination, in order to faci litate the testing of the Guida nce at national, 
regional and subregional levels; 
3. Also encourages Parties, other Governments and relevant organizations, through their risk assess ors and other experts who are actively 
involved in risk assessment, to test the Guidance in actual ca ses of risk assessment and share their experiences through the Bi osafety Clearing-
House and the open-ended online forum; 
4. Invites Parties, other Governments and relevant orga nizations to provide financial and technical assistance to developing country Parti es and 
Parties with economies in transition to un dertake, as appropriate, th e testing activities referred to in paragraph 3 above; 
5. Requests the Executive Secretary to: 
(a) Develop appropriate tools to structur e and focus the testing of the Guidance; 
(b) Gather and analyse, in a transparent ma nner, feedback provided as a result of te sting on the practicality, usefulness and u tility of the 
Guidance, (i) with respect to 
consistency with the Cartagena Protocol on Biosafety; and (ii) taking into account past and present experiences with living mod ified organisms; 
and 
(c) Provide a report on possible improvemen ts to the Guidance for consideration by th e Conference of the Parties serving as the  meeting of the 
Parties to the Protocol 
at its seventh meeting; 
6. Establishes the following mechanism for regularly updating the list of background documents to the Guidance in a transparent manner: 
(a) On an annual basis, the Executive Secretary will invite Pa rties, non-Parties, relevant or ganizations and all Biosafety Clea ring-House users, to 
propose relevant background materials that can be  linked to specific sections of the Guidance; 
(b) In the absence of any AHTEG on risk as sessment and risk management, a regionally balanced group of fifteen experts in risk assessment 
(three experts per region) will be nominated by  the Parties and selected by the Bureau of the Conference of the Parties serving  as the meeting of 
the Parties to the Protocol to work online to examine the releva nce of the proposed background documents. The members of the Gr oup will work 
on an ongoing basis, renewable every four years;  
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- 103 - (c) The Group will nominate a chair from among its members to le ad deliberations transparently in  approving, updating, rearrang ing or rejecting 
the proposed background materials in a justified manner; 
(d) Documents on the list will be re-validated by the Group ever y five years or as appropriate.  Documents not re -validated afte r this time period 
will, initially, be flagged for one year as “possibly outdated” and will subsequently be deleted from the li st of background ma terials after an 
additional year; 
(e) The Group will submit a report  of its activities to each meeting of the Conference of the Parties serving as the meeting of  the Parties to the 
Protocol; 
7. Decides to extend the open-ended online forum, bring to a close the current AHTEG and establish a new AHTEG, that will serve until the seventh 
meeting of the 
Parties, in accordance with the terms of reference annexed hereto; 
8. Requests the Executive Secretary to: 
(a) With a view to achieving a balance of current and new members, select  experts for the new AHTEG, in consultation with the B ureau of the 
Conference of the Parties serving as the meeting of the Parties to  the Protocol, in accordance wi th paragraph 18 of the consoli dated modus 
operandi of the Subsidiary Body on Scientific, Technical and Technological Advice of the Convention on Biological Diversity (decision VI II/10, annex 
III); 
(b) Invite other Governments an d relevant international organizations to pa rticipate in the open-ended online forum; 
(c) Ensure that the participation of expert s nominated by other Governments and relevant organizations to the open-ended online  forum and 
AHTEG is in accordance 
with rules 6 and 7 of the rules of procedur e for meetings of the Conference of the Pa rties serving as the meeting of the Partie s to the Protocol; 
(d) Ensure that all online di scussions of the open-ended on line forum are moderated to enhance their efficiency; and 
(e) Undertake temporary measures for updating the list of background documents in the time it takes to establish the membership  of the new 
AHTEG;….." 
Decision BS- V/10 
Rights and/or 
obligations of Parties of 
transit of living 
modified organisms " The [COP] serving as the[MOP] to th e Cartagena Protocol on Biosafety... 
1. Encourages  Parties to continue addressing issues related to the transit of living modified organisms th rough their territories using thei r 
domestic administrative  and legal systems; 
2. Decides to consider this item at its eighth meeting. 
BS-V/15.  
Assessment and review 
(Article 35)  " The [COP] serving as the[MOP] to th e Cartagena Protocol on Biosafety... 
 
1. Decides :  
(a) That the scope of the second assessment and review of the e ffectiveness of the Protocol focus primarily on evaluating the s tatus of 
implementation of core elements of the Pr otocol as identified in the annex below; 
(b)  That the evaluation should be based on information on the implementation of the Protocol gathered through the second natio nal reports, 
the Biosafety Clearing-House, information that might be made available through the Compliance Committee in relation to its func tions to review 
general issues of compliance, the capacity -building coordination mechanism and othe r relevant processes and organizations; 
2. Requests  the Executive Secretary to collect and compile information on the implementation of the Protocol and to commission the analysi s of 
such compilation of information with a view to facilitating the second assessment and review of the effectiveness of the Protoc ol; 
3. Decides also : 
(a) To establish a regionally balanced ad hoc technical expert gr oup, subject to the availability of funds, to: (i) review the analysis of information 
referred to in paragraph 2 above; and (ii) submit its recommendations to the sixth meeting of the Conference of the Parties ser ving as the meeting 
of the Parties for its consideration; and 
(b) That the third assessment and review of the Protocol be cond ucted in conjunction with the mid-term review of the implementa tion of the 
Strategic Plan at the eighth me eting of the Parties, using, among other things, information collected through the third nationa l reports; 
4. Urges  Parties and invites  other Governments and relevant international organizations to contribute, as appropriate, to the data collection 
processes by completing and submitting, in a timely manner, national reports, or by responding to a questionnaire and providing  complete 
information on the implementation of the Protocol…."  
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- 104 - Decision BS-VI/15 
"The [COP] serving as the[MOP] to the Cartagena Protocol on Biosafety... 
1. Notes the information provided in the second national reports and the an alysis undertaken on the status of implementation of core ele ments of 
the Protocol (UNEP/CBD/BS/COP-MOP/6/17/Add.1); 
2. Decides that the data and information contained in the analysis shall form the baseline for measuring progress in implementing the Prot ocol, in 
particular the subsequent evaluation of the effectiveness of the Protocol and the mid-term evaluation of the implementation of the Strategic Plan; 
3. Requests the Executive Secretary to: 
(a) Undertake a dedicated survey to gather information corresponding to indicators in the Strategic Plan that could not be obta ined from the 
second national reports 
or through other existing mechanisms;  
(b) Review the information gathered through the survey referred to in subparagraph (a) above and make the results available to the Parties before 
their seventh 
meeting; 
4. Further request s the Executive Secretary to: 
(a) Commission a consultant, subject to the availability of funds, to develop a 
sound methodological approach for the third assessment and review  of the effectiveness of the Pr otocol, focusing primarily on t he effectiveness of 
its institutional processes, annexes, procedures and mechanisms; 
(b) Provide Parties with the opportunity to submit views on th e methodological approach developed under subparagraph (a) above;  
(c) Review the methodological approach referred to in subparagra ph 4(a) above, in the light of views received under subparagrap h (b) above, and 
submit a proposal for consideration by the se venth meeting of the Parties to the Protocol; 
5. Decides that, in the process of preparing for the th ird assessment and review of  the Protocol, the experiences of the Parties in comply ing with 
the Protocol, including submission of national reports, shall be taken into account, along with the input of, inter alia , the Compliance  Committee; 
6. Requests the Compliance Committee, in the light of the conclusions and reco mmendations of the Ad Hoc Technical Expert Group on the Secon d 
Assessment and 
Review of the Cartagena Protocol on Biosafety, to evaluate the st atus of implementation of the Protocol as a contribution to th e third evaluation of 
effectiveness in meeting the objectives of the Protoc ol, in accordance with Article 35 of the Protocol." 
BS-V/16. 
Strategic plan for the 
Cartagena Protocol on 
Biosafety for the period 
2011-2020 " The [COP] serving as the[MOP] to th e Cartagena Protocol on Biosafety...  
1. Adopts  the Strategic Plan of the Cartagena Protocol on Biosafety for the period 2011-2020 (annex I to the present decision) and its m ulti-
year programme of work of the Conference of the Parties servin g as the meeting of the Parties to the Protocol (annex II to the present decision); 
2. Urges  Parties and invites  other Governments an d relevant international organi zations, as appropriate, to: 
(a) Review and align, as appropriate, thei r national action plans and pr ogrammes relevant to the implementation of the Protocol , including their 
National Biodiversity Strategies and Acti on Plans, with the Strategic Plan; and 
(b) Allocate adequate human and financial resources necessar y to expedite the implementation of the Strategic Plan; 
3. Urges  Parties to submit their national reports on the implementation of the Cartagena Protocol on Bi osafety in a comprehensive and t imely 
manner using the second national reporting format in order for the second  assessment and review on the effectiveness of the Pro tocol to, among 
other things, establish a baseline for ev aluating progress in the implementation of the Protocol and the Strategic Plan; 
4. Decides  to conduct a mid-term evaluation of the Strategic Plan: 
(a)  Five years after its adoption in conjunction with the third assessment and review scheduled to be conducted at the eighth meeting of the 
Conference of the Parties serving as the meeting of the Parties to the Protocol; 
(b) Using appropriate evaluation criteria th at need to be proposed by the Executive Secretary at the seventh meeting of the Con ference of the 
Parties serving as the meeting of the Parties to the Protocol.  
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- 105 - BS-VI/16 
Unintentional 
transboundary 
movements of living 
modified organisms 
(Article 17) "The [COP] serving as the[MOP] to the Cartagena Protocol on Biosafety... 
1. Encourages  Parties to use, as guidance, or apply, as  appropriate, the following in their effort s to implement the measures specified in A rticle 17 
of the Protocol and, in particular, to determine and take appr opriate response measures, including emergency measures, in the e vent of an 
occurrence that leads or may lead to unintentional transboundary movement of a living modified organism that is likely to cause  significant 
adverse effects on the conservation and sustainable use of biolog ical diversity, taking also in to account risks to human health : 
(a) Decisions that have been or may be taken in the context of  identifying living modified organisms under Article 18 of the Pr otocol, in particular 
those relating to the detection of living modified organisms; 
(b) The Guidance on Risk Assessment of Living Modified Organism s developed by the Ad Hoc Technical Expert Group on Risk Assessm ent and Risk 
Management with input from the Op en-Ended Online Expert Forum; 
2. Urges  Parties and invites other Govern ments and relevant organizations which have not yet done so to: 
(a) Make available to the Biosafety Clearing-House the relevant details of their point of contact for the purposes of receiving  notifications under 
Article 17 of the 
Protocol; 
(b) Establish and maintain appropriate measures to prevent unintentional transboundary movements of living modified organisms; and 
(c) Establish a mechanism for emergency measures in case of uni ntentional transboundary movements of living modified organisms that are likely 
to have significant adverse effects on the conservation and sustai nable use of biological diversity, taking also into account r isks to human health; 
3. Invites  Parties and other Governments to cooperate in building the capacity, transferring the technology and exchanging information ne cessary 
to detect and respond to occurrences resulting in a release that  could lead to unintentional tr ansboundary movement of a living  modified organism 
that is likely to have significant adverse effects on the conser vation and sustainable use of biological diversity, taking also  into account risks to 
human health; 
4. Requests  Parties and invites other Govern ments and relevant organizations to provide views and information to the Executive Secretary, six 
months prior to the 
seventh meeting of the Conference of the Parties serving as the meeting of the Parties to the Protocol, on any challenges and e xperiences relating 
to the implementation of Article 17 of the Protocol and on the scope and elements of possible guidance or tools that may facili tate appropriate 
responses by Parties to unintentional transbo undary movements of living modified organisms; 
5. Requests  the Executive Secretary to prepare a synt hesis of the views referred to in paragrap h 4 above for consideration by the seventh meeting 
of the Conference of the Parties serving as the meeting of the Parties to the Protocol." 
 
2.9  Nagoya Protocol  
31.  The text of the Protocol does not explicitly refer to trade measures. However, the Protocol contains a number of provision s which may have consequences 
for trade. In addition, some of its provisions have inter-linkages with some international trade agreements. 
Article 3 bis 
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 interna tional agreement, 
except where the exercise of those rights and obligations would ca use 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 implementing other relevant international agreements,  including other 
specialised access and benefit-sharing agreem ents, provided that they are supportive of and do not run counter to the objective s of the Convention 
and this Protocol. 
3. This Protocol shall be implemented in a mutually supportive manner with other international instruments relevant to this Pro tocol. Due regard 
should be paid to useful and relevant ongoing work or practices under such international instruments and relevant international  organizations, 
provided that they are supportive of an d 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 specialised 
international access and benefit-sharing instrument applies that is consistent with, and does not run counter to the objectives  of the Convention 
and this Protocol, this Protocol does not apply for the Party or Parties to the specialised instrument in respect of the specif ic genetic resource  
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- 106 - covered by and for the purpose of  the specialised instrument." 
Article 4 
Fair and equitable 
benefit-sharing "1. In accordance with Article 15, paragrap hs 3 and 7 of the Convention, benefits ar ising from the utilization of genetic resou rces as well as 
subsequent applications and commercializatio n shall be shared in a fair and equitable way with the Party providing such resourc es that is the 
country of origin of such resources or a Party that has acquired the genetic resource s in accordance with the Convention.  Such  sharing shall be 
upon mutually agreed terms.(…) 2. To implement paragraph 1, each Party shall take legislat ive, administrative or policy  measures, as appropriate.(…)"  
Article 13 
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 uti lization 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 the  source 
of the genetic resource, to the establishment of mutually agreed terms, and/or to the utilization of genetic resources, as appropriate.  
(ii) Each Party shall, as appropriate and depend ing on the particular characteristics of a designated checkpoint, require users of g enetic 
resources to provide the information specified in the above paragr aph at a designated checkpoint. Each Party shall take appropr iate, 
effective and proportionate measures to address situations of non-compliance. 
(iii) Such information, including from internationa lly recognized certificates of compliance  where they are available, will, without 
prejudice to the protection of confidential information, be provided to relevant national authorities, to the Party providing p rior 
informed consent and to the Access and Benefit-sharing Clearing-House, as appropriate.  
(iv) Check points must be effective and shou ld have functions relevant to implementation of this sub-paragraph (a). They should  be 
relevant to the utilization of genetic resources, or to the collection of relevant information at, inter alia , any stage of research, 
development, innovation, pre-commercialization or commercialization. 
(b)  Encouraging users and providers of gene tic resources to include provisions in mutu ally agreed terms to share information o n the 
implementation of such terms, includ ing through reporting requirements; and 
 (c) Encouraging the use of cost-effective communication tools and systems.  
2. A permit or its equivalent issued in accordance with Articl e 5, paragraph 2 (d) and made av ailable to the Access and Benefit -sharing Clearing-
House, shall constitute an internationally recognized certificate of compliance.  3. An internationally recognized certificate of compliance shall serve as evidence that the genetic resource which it covers ha s been accessed  in 
accordance with prior informed co nsent and that mutually agreed terms have been established, as required by the domestic access  and benefit-
sharing legislation or regulatory  requirements of the Party prov iding prior informed consent.  
 4. The internationally recognized certificate of compliance shall contain the following minimum information when it is not con fidential: 
(a) Issuing authority; 
(b) Date of issuance; 
(c) The provider; 
(d) Unique identifier of the certificate; 
(e) The person or entity to whom prior informed consent was granted; 
(f) Subject-matter or genetic resources covered by the certificate; 
(g)  Confirmation that mutually ag reed terms were established; 
(h bis)     Confirmation that prior informed consent was obtained; and 
(h)  Commercial and/or non-commercial use." 
  
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- 107 - 2.10  Nagoya – Kuala Lumpur Supplementary Protocol  
32.  The text of the Protocol does not explicitly refer to trade measures. However, its scope and some of its provisions may ha ve some implications to trade in 
living modified organisms. 
Article 3 
Scope 
  "1.This Supplementary Protocol applies to damage resulting from living modified organisms which find their origin in a transbou ndary movement. 
The living modified organisms referred to are those: 
a. Intended for direct use as f ood 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 author ized use of the 
living modified organisms referred to in paragraph 1 above. 
3.This Supplementary Protocol also applies to damage resulting from unintentional tran sboundary movements as referred to in Art icle 17 of the 
Protocol as well as damage resulting fro m illegal transboundary movements as refe rred to in Article 25 of the Protocol. 
4.This Supplementary Protocol applies to da mage resulting from a transbou ndary movement of living modified organisms that start ed after the 
entry into force of this Supplementary Pr otocol for the Party into whose jurisdicti on the transboundary movement was made. 
5. This Supplementary Protocol applies to damage that occurred in areas within the limits of the national jurisdiction of Parti es. 
6. Parties may use criteria set out in their domestic law to addr ess damage that occurs within the limits of their national jur isdiction. 
7. Domestic law implementing this Supplementary Protocol shall also apply to damage resulting from transboundary movements of l iving modified 
organisms from non-Parties.” 
Article 5 
Response measures "1. Parties shall require the appropriate oper ator or operators, in the event of damage, subject to any requirements of the com petent authority, to: 
a. Immediately inform the competent authority; 
b. Evaluate the damage; and c. Take appropriate response measures. 2. The competent authority shall: a. Identify the operator which has caused the damage; b. Evaluate the damage; and c. Determine which response measures  should be taken by the operator. 
3. Where relevant information, including available scientific information or information available in the Biosafety Clearing-Ho use, indicates that 
there is a sufficient likelihood that damage will result if time ly response measures are not taken, the operator shall be requi red to take appropriate 
response measures so as to avoid such damage. 4. The competent authority may implement appropriate response meas ures, including, in particular, when the operator has failed to do so. 
5. The competent authority has the right to recover from the oper ator the costs and expenses of, and incidental to, the evaluat ion of the damage 
and the implementation of any such appropriate response measures . Parties may provide, in their domestic law, for other situati ons in which the 
operator may not be required to  bear the costs and expenses. 
6. Decisions of the competent authority requiring the operator to take response measures should be reasoned. Such decisions sho uld be notified to 
the operator. Domestic law shall provide for remedies, including th e opportunity for administrative or judicial review of such decisions. The 
competent authority shall, in accordance with  domestic law, also inform the operator of the available remedies. Recourse to suc h remedies shall 
not impede the competent authority from taking response measures in appropriate circumstances, unless otherwise provided by dom estic law. 
7. In implementing this Article and with a view to defining the specific response measures to be required or taken by the compe tent authority, 
Parties may, as appropriate, assess whethe r response measures are alre ady addressed by their domest ic law on civil liability. 
8. Response measures shall be implemen ted in accordance wi th domestic law."  
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- 108 - Article 10 
Financial security "1. Parties retain the right to provide, in their domestic law, fo r financial security. 
2. Parties shall exercise the right referred  to in paragraph 1 above in a manner consistent with their rights and obligations u nder international law, 
taking into account the final three pr eambular paragraphs of the Protocol. 
3. The first meeting of the Conference of the Parties serving as  the meeting of the Parties to the Protocol after the entry int o force of the 
Supplementary Protocol shall request the Secretariat to unde rtake a comprehensive study which shall address, inter alia: 
a. The modalities of financial security mechanisms; b. An assessment of the environm ental, economic and social impacts of such mechanisms, in particular on developing countries; a nd 
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, P arties shall provide 
for response measures in accordan ce with this Supplementary Prot ocol 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 defi ned 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 civil liability law as referred to in subparag raphs (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. Channelling of liability, where appropriate; d. Right to bring claims." 
Article 16 
Relationship with the 
Convention and the 
Protocol "1. This Supplementary Protocol shall supplement the Prot ocol and shall neither modi fy nor amend the Protocol. 
2. This Supplementary Protocol shall not af fect the rights and obligations of the Part ies 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 Protocol. 4. Without prejudice to paragraph 3 above, this Supplementary Protocol shall not affect the rights and obligations of a Party u nder international 
law.". 
 
2.11  UNFCCC 
33.  The UNFCCC does not have provisions th at directly restrict trade, but domestic actions of countries im plementing the UNFCC C could have trade 
implications.  
Article 3.5 
Principles "The Parties should cooperate to promote a supportive and open in ternational economic system that would lead to sustainable eco nomic growth 
and development in all Parties, particularly developing country Parties, thus enabling them better to address the problems of c limate change.  
Measures taken to combat climat e 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 Part ies have been reported to the UNFCCC. 
COP 16  reaffirmed the Article 3.5 Principle.  
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- 109 - Article 4 
Commitments "2. The developed country Parties and other Pa rties included in Annex I commit themselves  specifically as provided for in the f ollowing: 
(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 greenhous e gas sinks and reservoirs.  These polici es and measures 
will demonstrate that developed countries are taking the lead in modifying longer-term trends in anthropogenic emissions consis tent with the 
objective of the Convention, recognizing that the return by the end of the present decade to earlier levels of anthropogenic em issions of carbon 
dioxide and other greenhouse gases not controlled by the Montreal Protocol would contribute to such modification, and taking in to account the 
differences in these Parties' starting poin ts and approaches, economic structures and resource bases, the need to maintain stro ng and sustainable 
economic growth, available technologies and other individual circumstance s, as well as the need for equitable and appropriate c ontributions by each 
of these Parties to the global effort rega rding that objective.  These Parties may im plement such policies and measures jointly  with other Parties 
and may assist other Parties in co ntributing 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 me asures to mitigate climate  change. 
 
2.12  Kyoto Protocol 
Article 2  "1. Each Party included in Annex I, in achieving its quantifi ed emission limitation and reduction commitments under Article 3,  in order to promote 
sustainable development, shall:  
(a) Implement and/or further elaborate po licies and measures in accordance with its national circumstances, such as:  
(i) Enhancement of energy efficiency in re levant sectors of the national economy;  
(ii) Protection and enhancement of sinks an d reservoirs of greenhouse gases not controll ed by the Montreal Protocol, taking int o account its 
commitments under relevant international environmental agreements ; promotion of sustainable forest  management practices, affore station 
and reforestation;  
(iii) Promotion of sustainable forms of agriculture in light of climate change considerations;  
(iv) Research on, and promotion, developmen t and increased use of, new and renewable fo rms of energy, of carbon dioxide sequest ration 
technologies and of advanced and innovati ve environmentally sound technologies;  
(v) Progressive reduction or phasing out of market imperfections, fiscal incentives, ta x and duty exemptions and subsidies in a ll greenhouse 
gas emitting sectors that run counter to the objective of the Convention and applicatio n of market instruments;  
(vi) Encouragement of appropriat e reforms in relevant sectors ai med at promoting policies and meas ures which limit or reduce em issions 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 se ctor;  
(viii) Limitation and/or reduction of methane emissions through re covery and use in waste management, as well as in the product ion, 
transport and distribution of energy.  
(b) Cooperate with other such Parties to enhance the individual and combined effectiveness of their policies and measures adopt ed under this 
Article, pursuant to Article 4, paragraph 2( e)(i), of the Convention.  To this end, these Parties shall take steps to share the ir experience and 
exchange information on such policies and measures, including developing ways of impr oving their comparability, transparency an d 
effectiveness.  The [CMP] to this Protocol shall, at its first se ssion or as soon as practicable thereafter, consider ways to f acilitate such 
cooperation, taking into acco unt all relevant information. 
2. The Parties included in Annex I shall pursue limitation or reduction of emissions of greenho use gases not controlled by the Montreal Protocol 
from aviation and marine bunker fuels, working through the International Civil Aviation Organization and the International Mari time Organization, 
respectively. 3. The Parties included in Annex I shall strive to implement policies and measures under this Article in such a way as to minim ize adverse 
effects, including the adverse effects of climate change, effect s on international trade, and so cial, environmental and economi c impacts on other 
Parties, especially developing country Parties and in particular those identified in Article 4, paragraphs 8 and 9, of the Conv ention, taking into 
account Article 3 of the Convention.  The [CMP] to this Protocol  may take further action, as a ppropriate, to promote the implem entation of the 
provisions of this paragraph. 
4. The [CMP] to this Protocol, if it decides that it would be be neficial to coordinate any of th e policies and measures in para graph 1(a) above,  
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- 110 - taking into account different national circumstances and potentia l effects, shall consider ways and means to elaborate the coor dination 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 Ky oto 
Protocol (Annex I Parties) countries to  help meet a Party's commitments). 
 Article 12:  Clean Development Mechanism (The CDM allows Annex I Parties to invest in projects in developing countries to achie ve 
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 Principl es, nature and scope of the mechanisms pursuant to Articles 6, 12 and 17 of 
the Kyoto Protocol.  Guidelines for the implementation of Articl e 6 of the Kyoto Protocol are contained in the annex to decision 9/CMP.1 of the CMP 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 contai ned in the annex to decision 31 /CMP.1 of the 
CMPof Kyoto Protocol.  Modalities, rules and guidelines for emissions trading under Ar ticle 17 of the Kyoto Protocol are contained in the annex to de cision 11/CMP.1  of 
the CMPof the Kyoto Protocol. 
 
2.13  ITTA 
Provisions of the Agreement 34.  There are no provisions for trade measures in the ITTA, 2006.  However, following the entry into force of the ITTA, 2006, the mandate of the International 
Tropical Timber Organization (ITTO) on trade has been updated and refined.  This is reflected in eight trade-related objectives  of the agreement which are 
outlined in Article 1.  
Article 1 
Objectives The objectives of the International Tropical Timber Agreement, 2006  (hereinafter referred to as "this Agreement") are to promote the expansion 
and diversification of international trade in tropical timber from sustainably managed and legally harvested  forests and to promote  the sustainable 
management of tropical timber producing forests by: (b) Providing a forum for consultation to promot e non-discriminatory timber trade practices; 
(d) Enhancing the capacity of members to implement strategies fo r 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 consu mption and 
production, factors affecting market access, consumer preference s and prices, and conditions lead ing to prices which reflect th e costs of sustainable 
forest management; (h)  Improving market intelligence and encouraging information sharing on the international timber market with a view to ensuri ng greater 
transparency and better information on markets and market trends, including the gathering, compilation and dissemination of tra de related data, 
including data related to species being traded; (k) Improving marketing and distribution of tropical timber and timber product  exports from sustainably managed and legally harvested sources 
and which are legally traded,  including promoting consumer awareness;    
(l) Strengthening the capacity of members for the collection, proc essing and dissemination of stat istics on their trade in timb er and information 
on the sustainable management of their tropical forests; 
(n) Strengthening the capacity of members to improve forest law enfo rcement and governance,  and address illegal logging and related trade in  
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- 111 - tropical timber;  
(o) Encouraging information sharing for a better understanding of voluntary mechanisms such as, inter alia, certification, to promote sustainable 
management of tropical forest s, and assisting members with their efforts in this area;  
 
 
Article 36   
Non-discrimination "Nothing in this Agreement authorizes the use of measures to restrict or ban international trade in, and in particular as they concern imports of and 
utilization of, timber and timber products".  
 
Decisions and Recommendations 
35.  Examples of the decisions and recommendations ad opted by the ITTO Council (ITTC) include the following: 
Decision 3(X)  In June 1991, the ITTC committed itself by Decision 3(X) to the "ITTO Year 2000 Objective", which was the goal of having all t ropical timber 
entering international trade coming from sustainably managed sour ces by 2000.  Since then, the Council has approved policy stud ies and project 
financing for a number of activities to help member countries move toward this Objective.  The ITTO Year 2000 Objective has bee n incorporated in 
the operative objectives of ITTA, 1994 (Article 1(d)).  At its Twenty-ninth Session, the ITTC reaffirmed its commitment to movi ng as rapidly as 
possible towards achieving exports of tropical timber and timber  products from sustainably managed sources pursuant to the ITTO  Objective 2000 
(Decision 2 (XXIX) adopted on 4 November 2000). 
Decision 9(XXVI) In June 1999, the ITTC adopted a decision relating to market ac cess for tropical timber and requested members to inform the Cou ncil on progress 
made with regard to measures undertaken to eliminate possible obstacles to market access for tropical timber as a possible mean s to facilitate 
sustainable forest management. 
Decision 10 (XXXIV)  In May 2003, the ITTC decided to undertake a study on the costs and benefits of certification in selected ITTO member countrie s, to develop 
procedures for phased approaches to certif ication and to convene an international work shop to promote phased approaches to cert ification.  
Decision 12 (XXXIV)  In May 2003, the ITTC also decided to undertake a study which would: 
 Identify product standards, quality or gr ading requirements, building codes, and tech nical regulations that may affect the trad e of tropical 
timber and timber products; 
 assess the possible impacts of product stan dards, quality or grading re quirements, building  codes, and technical regulations, o n trade in 
tropical timber, inter alia, with respect to panel products;  
 assess the capacity of tropical timber-producing countries to meet existing an d evolving product standa rds and technical regula tions for 
timber products in importing countries and,  where gaps exist, identify and propose wa ys to address them an d provide relevant as sistance 
to tropical timber producing countries; 
 propose recommendations for consideration by member countries and Council;  and 
 in the context of the Doha Development Agenda, report on tariffs , negotiations and the negotiatin g process as related to tropic al timber 
products at the Thirty-Sixth Session of the Council. 
Decision 2 (XXXVII)  In December 2004, the ITTC adopted a decision on enhanced  cooperation between ITTO and CITES for ramin and mahogany.  
The ITTO Strategic  
Action Plan 2013-2018  In November 2012, the ITTC adopted the ITTO Strategic Action Pl an 2013-2018, its fourth action plan (Decision 3 (XLVIII), 10 N ovember 2012). 
 
  
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- 112 - 2.14  United Nations Fish Stocks Agreement 
 
2.15  Rotterdam Convention  
Provisions of the Convention 
Preamble "The Parties to this Convention, 
Aware of the harmful impact on human health and the environmen t from certain hazardous chemicals and pesticides in internationa l trade,  
(…) "…Recognizing that trade and environmental po licies should be mutually supportive with a view to achieving sustainable developm ent, 
Emphasizing that nothing in this Convention shall be interpreted as implying in any way a change in the rights and obligations of a Party under any 
existing international agreement applying to chemicals in international trade or to environmental protection, Understanding that the above recital is not intended to create a hierarchy between this Convention and other international agre ements, 
Determined to protect human health, including the health of consumers and workers, and the environment against potentially harm ful impacts from 
certain hazardous chemicals and pest icides in international trade…". 
Articles 5, 6, 7 and 9 
  Set out the procedures for i) inclusion of relevant to list ch emicals in Annex III to be that are subject to the Prior Informe d Consent, and ii) 
removal of chemicals from Annex III.. 
Article 5 
Procedures for Banned 
or Severely Restricted "1. Each Party that has adopted a final regulatory action shall notify the Secretariat in writing of such action.  Such notific ation 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 effe ct, and shall contain 
the information required by Annex I, where available. Article 17 
Non-members of 
Organizations and Non-
participants in 
Arrangements "...4. States which are members of [RFMOs] or participants in [RFMAs] shall exchange information with respect to the activities  of fishing vessels 
flying the flags of States whic h are neither members of the organization nor participants in the arrangement and which are enga ged in fishing 
operations for the relevant stocks.  They shall take measures consistent with this Agreement and international law to deter act ivities of such 
vessels which undermine the effectiveness of subregional or regional conservation and management measures". 
Article 20 
International 
cooperation in 
enforcement "…7. States Parties which are members of a subregional or regional  fisheries management organizati on or participants in a subre gional or regional 
fisheries management arrangement may take action in accordance with international law, including through recourse to subregiona l or regional 
procedures established for this purpose, to deter vessels which have engaged in activities which undermine the effectiveness of  or otherwise violate 
the conservation and management measures established by that or ganization or arrangement from fish ing on the high seas in the s ubregion or 
region until such time as appropriate action is taken by the flag State". 
Article 23 
Measures taken by a  
 "1. A port State has the right and the duty to take measures, in accordance with international law, to promote the effectivenes s of subregional, 
regional and global conservation and manageme nt measures.  When taking such measures a port State shall not discriminate in for m or in fact 
against the vessels of any State. 2. A port State may, inter alia , inspect documents, fishing gear and catch on board fishing vessels, when such vessels are voluntarily in its ports 
or at its offshore terminals. 3. States may adopt regulations empowering the relevant national authorities to prohibit landings and transshipments where it h as been 
established that the catch has been taken in a manner which undermines the effectiveness of subregional, regional or global con servation and 
management measures on the high seas. 4. Nothing in this article affects the exercise by States of th eir sovereignty over ports in th eir territory in accordance with  international law". 
Article 33 
Non-parties to the 
Agreement Port State "...2. States Parties shall take measures consistent with this Agreement and international law to deter the activities of vesse ls flying the flag of non-
parties which undermine the effective implementation of this Agreement".  
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- 113 - Chemicals 2. Each Party shall, at the date of entry into force of this Convention for it, notify the Secretariat in writing of its final regulatory actions in effect 
at that time, except that each Party that has submitted notifications of final regulatory actions under the Amended London Guid elines or the 
International Code of Conduct need not resubmit those notifications. 3. The Secretariat shall, as soon as possible, and in any event no later than six months after receipt of a notification under paragraphs 1 and 2, 
verify whether the notification contains the information required by Annex I.  If the notification contains the information req uired, the Secretariat 
shall forthwith forward to all Pa rties a summary of the information received.  If  the notification does not contain the informa tion required, it shall 
inform the notifying Party accordingly. 4. The Secretariat shall every six months communicate to the Part ies a synopsis of the information received pursuant to paragra phs 1 and 2, 
including information regarding those notifications which do not contain all the information required by Annex I. 5. When the Secretariat has received at least one notification from each of two Prior Informed Consent regions regarding a part icular chemical 
that it has verified meet the requirements of Annex I, it shall forward them to the Chemical Review Committee.  The composition  of the Prior 
Informed Consent regions shall be defined in a decision to be adopted by consensus at th e first meeting of the [COP]. 
6. The Chemical Review Committee shall review the information prov ided in such notifications and, in accordance with the criter ia set out in 
Annex II, recommend to the [COP] whether the chemical in question should be made subject to the Prior Informed Consent procedur e 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 formulat ion under conditions of use in its territory, may propose to the Secretariat the listing of the sev erely hazardous 
pesticide formulation in Annex III.  In de veloping a proposal, the Party may draw up on technical expertise from any relevant so urce.  The proposal 
shall contain the information requ ired by part 1 of Annex IV. 
2. The Secretariat shall, as soon as poss ible, and in any event no later than six mo nths after receipt of a proposal under para graph 1, verify 
whether the proposal contains the informatio n required by part 1 of Annex IV.  If th e proposal contains th e information require d, the Secretariat 
shall forthwith forward to all Parties a summary of the informatio n 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 ou t in part 2 of Annex IV regarding the proposal forwarded unde r paragraph 2. 
4. When the requirements of paragraphs 2 and 3 above have been fulfilled with regard to a particular severely hazardous pestici de formulation, 
the Secretariat shall forward the proposal and the rela ted 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 of Annex IV, re commend to the [COP] whether the severely hazardous pesticide for mulation in 
question should be made subject to the Prior Informed Co nsent procedure and, accordingl y, be listed in Annex III". 
Article 7 
Listing of Chemicals in 
Annex III "1. For each chemical that the Chemical Re view Committee has decided to recommend fo r listing in Annex III, it shall prepare a draft decision 
guidance document.  The decision guidance document should, at a minimum, be based on the inform ation 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 cate gory for which the final regulat ory action applies. 
2. The recommendation referred to in paragr aph 1 together with the draft decision guid ance document shall be forwarded to the [ COP].  The 
[COP] shall decide whether the chemical should be made subject to  the Prior Informed Consent procedure and, accordingly, list t he chemical in 
Annex III and approve the draft decision guidance document. 
3. When a decision to list a chemical in Annex III has been take n and the related decision guidance document has been approved by the [COP], 
the Secretariat shall forthwith communic ate this information to all Parties". 
Article 8 
Chemicals in the Volun-
tary Prior Informed 
Consent Procedure "For any chemical, other than a chemical li sted in Annex III, that has been included in the voluntary Prior Informed Consent pr ocedure before the 
date of the first meeting of the [COP], the [COP] shall decide at  that meeting to list the chem ical in Annex III, provided that  it is satisfied that all 
the requirements for listing in th at Annex have be en fulfilled". 
 In Decision RC-1/3, COP 1, at its first meeting,   decided to include 14 chemicals in Annex III.  
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- 114 - Article 9 
Removal of Chemicals 
from Annex III "1. If a Party submits to the Secretariat in formation that was not availa ble at the time 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 t he case may be, Annex 
IV, the Secretariat shall forward the information to the Chemical Review Committee. 2. The Chemical Review Committee shall review the information it receives under paragraph 1.  For each chemical that the Chemic al Review 
Committee decides, in accordance with the relevant criteria in  Annex II or, as the case may be, Annex IV, to recommend for remo val from 
Annex III, it shall prepare a revised draft decision guidance document. 
3. A recommendation referred to in paragrap h 2 shall be forwarded to the [COP] and be accompanied by a revi sed draft decision g uidance 
document.  The [COP] shall decide whether the chemical should be removed from Annex III and whether to approve the revised draf t decision 
guidance document. 4. When a decision to remove a chemical from Annex III has been taken and the revised decision guidance document has been appro ved by the 
[COP], the Secretariat shall forthwith comm unicate 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 Oligations relating to the import and/or export of i) chemicals listed in Annex III, and ii) chemicals that are banned or sever ely restricted by a Party 
but not listed in Annex III. 
Article 10 
Obligations in Relation 
to Imports of Chemicals 
Listed in Annex III  "1. Each Party shall implement appropriate legislative or administ rative measures to ensure timely decisions with respect to th e import of 
chemicals listed in Annex III. 2. Each Party shall transmit to the Secretariat, as soon as po ssible, and in any event no later than nine months after the date  of dispatch of the 
decision guidance document referred to in pa ragraph 3 of Article 7, a response concerning the future import of the chemical con cerned.  If a Party 
modifies this response, it shall forthwith subm it the revised response to the Secretariat. 
3. The Secretariat shall, at the expiration of the time period in paragraph 2, forthwith address to a Party that has not provid ed such a response, 
a written request to do so.  Should the Party be unable to prov ide a response, the Secretariat sh all, where appropriate, help i t to provide a 
response within the time period specified in th e last sentence of paragraph 2 of Article 11. 
4. A response under paragraph 2 shall consist of either: 
(a) A final decision, pursuant to legi slative or administrative measures: 
(i) To consent to import; (ii) Not to consent to import;  or (iii) To consent to import only subject to specified conditions;  or 
(b) An interim response, which may include: 
(i) An interim decision consenting to import with or without specified conditions,  or not consenting to import during the inte rim period; 
(ii) A statement that a final decisi on is under active consideration; 
(iii) A request to the Secretariat, or to the Party that no tified the final regulatory ac tion, 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 shal l relate to the category or categories specified for the chemic al in Annex III. 
6. A final decision should be accompanied by a description of any legislative or administrative measures upon which it is based . 
7. Each Party shall, no later than the date of entry into forc e of this Convention for it, transmit to the Secretariat response s with respect to each 
chemical listed in Annex III.  A Party that has provided such responses under the Amended London Guidelines or the Internationa l Code of Conduct 
need not resubmit those responses. 8. Each Party shall make its responses under this Article availa ble to those concerned within its jurisdiction, in accordance w ith its legislative or 
administrative measures. 9. A Party that, pursuant to paragraphs 2 and 4 above and paragr aph 2 of Article 11, takes a decision not to consent to import of a chemical or 
to consent to its import only under specified conditions shall, if it has not already done so, simultaneously prohibit or make subject to the same 
conditions: 
(a) Import of the chemical from any source;  and (b) Domestic production of th e chemical for domestic use. 
10. Every six months the Secretariat shall inform all Parties of the responses it has received.  Such information shall include  a description of the 
legislative or administrative measures on which the decisions have  been based, where available.  The Secretariat shall, in addi tion, inform the  
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- 115 - 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 legislat ive or administrative measures to communicate the responses forwarded by the Secretariat in a ccordance 
with paragraph 10 of Article 10 to those concerned within its jurisdiction; (b) Take appropriate legislative or administrative measures to en sure that exporters within its jurisdiction comply with decisi ons in each 
response no later than six months  after the date on which the Secretariat first informs the Parties of such response in accorda nce with 
paragraph 10 of Article 10; (c) Advise and assist impo rting Parties, upon requ est and as appropriate: 
(i) To obtain further information to help th em to take action in accordance with pa ragraph 4 of Article 10 and paragraph 2 (c) below;  and 
(ii) To strengthen their capacities and capabilities to manage chemicals safely during their life-cycle. 
2. Each Party shall ensure that a chemical listed in Annex III is not exported from its territory  to any importing Party that, in exceptional 
circumstances, has failed to transmit a response or has transmit ted an interim response that do es not contain an interim decisi on, unless: 
(a) It is a chemical that, at the time of import, is registered as a chemical in  the importing Party;  or 
(b) It is a chemical for which evidence exists that it has prev iously been used in, or imported into, the importing Party and i n relation to which 
no regulatory action to prohibit  its use has been taken;  or 
(c) Explicit consent to the import has been  sought and received by the exporter thro ugh a designated national authority of the importing 
Party.  The importing Party shall respond to  such a request within sixty days and shal l promptly notify the Secretariat of its decision. 
The obligations of exporting Parties under this paragraph shall ap ply with effect from the expiration of a period of six months  from the date on 
which the Secretariat first informs the Parties, in accordance wi th paragraph 10 of Article 10, that a Party has failed to tran smit a response or has 
transmitted an interim response that does not contai n an interim decision, and shall apply for one year". 
Article 12 
Export Notification "1. Where a chemical that is banned or severely restricted by  a Party is exported from its territory, that Party shall provide an export notification 
to the importing Party.  The export notification shall include the information set out in Annex V. 
2. The export notification shall be provided for that chemical prior to the first export follow ing adoption of the correspondin g final regulatory 
action.  Thereafter, the export notification shall be provided be fore the first export in any ca lendar year.  The requirement t o notify before export 
may be waived by the designated nation al authority of the importing Party. 
3. An exporting Party shall provide an upda ted export notification after it has adopte d a final regulatory action that results in a major change 
concerning the ban or severe restriction of that chemical. 4. The importing Party shall acknowledge receipt of the first export notification received after the adoption of the final regu latory action.  If the 
exporting Party does not receive the acknowledgement within thirty  days of the dispatch of the export notification, it shall su bmit a second 
notification.  The exporting Party shall make  reasonable efforts to ensure that the im porting Party receives the second notific ation. 
5. The obligations of a Party set ou t in paragraph 1 shall cease when: 
(a) The chemical has been listed in Annex III; (b) The importing Party has provided a response for the chemical to the Secretariat in accordance with paragraph 2 of Article 1 0;  and 
(c) The Secretariat has distributed the response to the Pa rties 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 assi gn specific Harmonized System customs codes to the individual  chemicals or 
groups of chemicals listed in Annex III, as appropriate.  Each Party shall require that, whenever a code has been assigned to s uch a chemical, the 
shipping document for that chemic al bears the code when exported. 
2. Without prejudice to any requirements of the importing Party, each Party shall require that both chemicals listed in Annex I II and chemicals 
banned or severely restricted in its territory are, when exported, subject to labelling requirements that ensure adequate avail ability of information 
with regard to risks and/or hazards to human health or the envi ronment, taking into account re levant international standards. 
3. Without prejudice to any requirements of the importing Party,  each Party may require that chemicals subject to environmental  or health 
labelling requirements in its territory are, when exported, subj ect to labelling requirements that ensure adequate availability  of information with 
regard to risks and/or hazards to human health or the enviro nment, taking into account relevant inte rnational standards. 
4. With respect to the chemicals referred to  in paragraph 2 that are to be used for occupational purposes, each exporting Party  shall require that 
a safety data sheet that follows an internationally recognized format, setting out the most up-to-date information available, i s sent to each  
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- 116 - importer. 
5. The information on the label and on the safety data sheet shou ld, as far as practicable, be gi ven in one or more of the offi cial 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 streng then its national infrastructures and inst itutions for the 
effective implementation of this Convention. These measures may in clude, as required, the adoption or amendment of national leg islative or 
administrative measures and may also include: (…) 2. Each Party shall ensure, to the ex tent practicable, that the public ha s appropriate access to information (…) 
3. The Parties agree to cooperate, directly or, where appropri ate, through competent international organizations, in the implem entation of this 
Convention 4. Nothing in this Convention shall be inte rpreted as restricting the right of the Part ies to take action that is more stringen tly protective of human 
health and the environment than that called for in this Convention, provided that such action is consistent with the provisions  of this Convention 
and is in accordance with international law". 
 
Main COP Decisions on the linkage between the Secr etariat of the Rotterdam Convention and the WTO 
Decision RC-1/15 
Cooperation with the 
WTO 
(2004) "The Conference of the Parties... 
1. Welcomes  the enhanced cooperation between the secretariat of the Convention and the World Trade Organization;   
2. Requests the secretariat: 
(a) To seek observer status in the CTE in  Special Session of the WTO and inform Parties when the request has been submitted and  when it 
has been granted; (b) To report to the COP 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 bo dy of the 
WTO;   (c) To ensure that at all times it does not provide an  interpretation of the provisions of the Convention; 
(d) To monitor developments in the CTE in Special Session and report on such developments to the COP; (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 Conventi on participated as an ad hoc observer in the Special Session on  14 October 2005, 
21-22 February 2006, and on 6-7 July 2006.     At COP 3, the Secretariat of the Convention highlighted some of the progress made on the implementation of Decision RC-1/15.  
Decision RC-4/10 
Cooperation with the 
WTO 
(2008) "The [COP] (...)  Requests the secretariat, while continuing to follo w up the request for observer status in the World Trade Organi zation’s Committee 
on Trade and Environment in Special Session, to seek observer st atus in the Organization’s Committee on Trade and Environment, as that 
Committee is the standing body of the Worl d Trade Organization mandated to discuss tr ade and environment issues in regular sess ions, 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 Rotter dam Convention, taking note of the progress made in the implementation of decision R C-1/15 on 
cooperation between the Secretariat and the World Trade Organization:  
"1. Requests  the Secretariat to communicate with the World Trade Organizati on with a view to achieving continued participation by the 
Secretariat in the meetings of the Committee on Trade and Environment in Special Session of the Organization on a meeting-by-me eting basis;  
2. Also requests the Secretariat to continue to follow up on its applicat ion for observer status with the Committee on Trade and 
Environment of the World Trade Organization and to report on the status of that application to the Conference of the Parties at  its sixth meeting; 
3. Invites parties to coordinate at the national level in order to promote mutual supportiveness between trade and environment policies, 
and to support the request for ob server status, as appropriate".  
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- 117 - ExCOPs-2/COP-6/High 
Level Segment 
(2013)   ExCOP-2: The Conferences of the Parties to the Basel, Rotterdam and Stoc kholm Conventions, at their second simultaneous extraor dinary 
meetings, reviewed the impact of the arrangements put in place by Parties in the 2011 "omnibus decisions", to strengthen synerg ies among these 
three treaties.The Parties endorsed the new organization of a si ngle Secretariat, and adopted programmes of work and budgets fo r 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 particular RC-1/15), took note of the further 
progress in implementing them, and required to continue to enha nce cooperation with the WTO, to monitor the work of the WTO, in  particular the 
CTESS and CTE, and to follow- up on its a pplication for observer status. Also, some Pa rties expressed and called upon more trad e and 
environment-related activities between the WTO and the Secretariat.   High Level Segment: The ordinary and extrao rdinary meetings of the conferences of the parties to the Basel, Rotterdam and Stock holm 
conventions included a high-level segment, which culminated to the adoption of the “ Geneva Statement on the Sound Management of 
Chemicals and Wastes ”, as submitted by the co-facilitators of the informal consultations on a ministerial declaration. The Geneva Statement 
welcomed the UNEP-led consultative process on financing options for chemicals and wastes that has considered the need for heigh tened efforts to 
increase the priority granted to the sound management of chemical s and wastes. It also welcomed the completion of the negotiati on of a global 
legally binding instrument on mercury, called for wider cooperation  and expressed their interest and si gnalled readiness to cooperate and 
coordinate with the Minamata Convention  on Mercury. In that respect, the Conference of  the Plenipotentiaries of the Minamata Convention, 
which is to meet in October 2013, was invited to consider  cooperation and coordination with the BRS Conventions. 
 
2.16  Stockholm Convention  
Preamble "The Parties to this Convention,  
(…)  … Recognizing that this Convention and other international agreements in the field of trade and the environment are mutually su pportive…". 
Article 3 
Measures to Reduce or 
Eliminate Releases from 
Intentional Production 
and Use "1. Each Party shall: 
(a) Prohibit and/or take the legal and administrative measures necessary to eliminate: 
(i) Its production and use of the chemicals listed in Annex A subject to the provisions of that Annex;  and (ii) Its import and export of the chemic als listed in Annex A in accordance with  the provisions of paragraph 2;  and 
(b) Restrict its production and use of th e chemicals listed in Annex B in accordance with the provisions of that Annex". 
2. Each Party shall take  measures to ensure: 
(a) That a chemical listed in Annex A or Annex B is imported only: 
(i) For the purpose of environmentally sound disposal as set forth in paragraph 1 (d) of Article 6;  or 
(ii) For a use or purpose which is permitte d for that Party under Annex A or Annex B; 
(b) That a chemical listed in Annex A for which any production or use specific exemption is in effect or a chemical listed in A nnex B for which 
any production or use specific exemption or acceptable purpose is in effect, taking into account any relevant provisions in exi sting 
international prior informed consent instruments, is exported only: 
(i) For the purpose of environmentally sound disposal  as set forth in paragraph 1 (d) of Article 6; 
(ii) To a Party which is permitted to use th at 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 certific ation shall specify 
the intended use of the chemical and include a statement that, with respect to that chemical, the importing State is committed to: 
a. Protect human health and the environment by taking the necessary measures to minimize or prevent releases; b. Comply with the pr ovisions of paragraph 1 of Article 6;  and 
c. Comply, where appropriate, with the provis ions of paragraph 2 of Part II of Annex B. 
The certification shall also include any appropriate supporting documentation, such as legislation, regulatory instruments, or administrative 
or policy guidelines.  The exporting Party shall transmit the certification to the Secretariat within sixty days of receipt. 
(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  
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- 118 - from it except for the purpose of environmentally sound di sposal as set forth in paragraph 1 (d) of Article 6; 
(d) For the purposes of this paragraph, the term "State not Party to this Convention" shall include, with respect to a particul ar chemical, a 
State or regional economic integr ation organization that has not agreed to be bound  by the Convention with respect to that chem ical. 
3. Each Party that has one or more regulatory and assessment schemes for new pesticides or new industrial chemicals shall take measures to 
regulate with the aim of preventing the production and use of ne w pesticides or new industrial chemicals which, taking into con sideration the 
criteria in paragraph 1 of Annex D, exhibit the characteristics of persis tent organic pollutants. 
4. Each Party that has one or more regula tory and assessment schemes for pesticides or industrial chemicals shall, where approp riate, take into 
consideration within these schemes the criteria in paragraph 1 of  Annex D when conducting assessments of pesticides or industri al chemicals 
currently in use. 5. Except as otherwise provided in this Co nvention, paragraphs 1 and 2 shall not apply to  quantities of a chemical to be used f or laboratory-scale 
research or as a reference standard. 
6. Any Party that has a specific exemption in accordance with Annex A or a specific exemption or an acceptable purpose in accor dance with 
Annex B shall take appropriate measures to ensure that any produc tion or use under such exemptio n or purpose is carried out in a manner that 
prevents or minimizes human exposure and release into the environm ent.  For exempted uses or acceptable purposes that involve i ntentional 
release into the environment under conditions of normal use, su ch release shall be to the minimum extent necessary, taking into  account any 
applicable standards and guidelines". 
Article 4 
Register of Specific 
Exemptions  "1. A Register is hereby established for the purpose of identifying the Partie s that have specific exemptions listed in Annex A  or Annex B.  It shall 
not identify Parties that make use of the provisions in Annex A or Annex B that may be exercised by all Parties.  The Register 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 exempt ions reproduced from Annex A and Annex B; 
(b) A list of the Parties that have a specific exemption listed under Annex A or Annex B;  and 
(c) A list of the expiry dates for ea ch registered specific exemption. 
3. Any State may, on becoming a Party, by means of a notification  in writing to the Secretariat, register for one or more types  of specific 
exemptions listed in Annex A or Annex B. 4. Unless an earlier date is indicated in the Register by a Party, or an extension is granted pursuant to paragraph 7, all regi strations of specific 
exemptions shall expire five years after the date of entry into force of this Conventi on with respect to a particular chemical.  
5. At its first meeting, the [COP] shall decide upon  its review process for the entries in the Register. 
6. Prior to a review of an entry in the Register, the Party conc erned shall submit a report to the Secretariat justifying its c ontinuing need for 
registration of that exemption.  The report shall be circulated by the Secretariat to all Parties.  The review of a registratio n shall be carried out on 
the basis of all available information.  Th ereupon, the [COP] may make such recommendations to the Party concerned as it deems appropriate.  
7. The [COP] may, upon request from the Part y concerned, decide to extend the expiry date of a specific exemption for a period of up to five 
years.  In making its decision, the [COP] shall take due accoun t of the special circumstances of the developing country Parties  and Parties with 
economies in transition. 8. A Party may, at any time, wi thdraw an entry from the Register for a specific exemption upon written notification to the Secr etariat.  The 
withdrawal shall take effect on the date specified in the notification.  9. When there are no longer any Parties registered for a particul ar type of specific exemption, no new registrations may be mad e with respect to 
it".  Establishes a register of specific exem ptions for Parties for production or us e of POPs listed in Annexes A or B. 
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 pr oduction, and ii) from 
stockpiles and wastes. 
Article 7 
Implementation plans "1. Each Party shall: 
(a) Develop and endeavour to implement a plan for the implementation of its obligations under this Convention; (b) Transmit its implementation plan to the Conference of the Pa rties within two years of the date  on which this Convention ent ers into force for it; 
and  
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- 119 - (c) Review and update, as appropri ate, its implementation plan on a periodic basi s and in a manner to be specified by a decisio n of the Conference 
of the Parties. 2. The Parties shall, where appropriate, cooper ate directly or through global, regional and 
subregional organizations, and consult their national stakeholders, including women’s gr oups and groups involved in the health of children, in order 
to facilitate the development, implementation and updating of their implementation plans. 
3. The Parties shall endeavour to utilize and, where necessary, establish the means to integrate national implementation plans for persistent 
organic pollutants in their sustainable de velopment strategies where appropriate".  
Article 8 
Listing of chemicals in 
Annexes A, B and C  Sets out the procedures for list ing POPs in Annexes A, B and C. 
 
3  SUPPORTIVE MEASURES 
3.1  IPPC 
Article XX – Technical Assistance   
"The contracting parties agree to promote th e provision of technical assistance to contracting parties, especially those that a re developing contracting parties, either bilaterally or 
through the appropriate international organizations, with the objective of facilitating the implementation of this Convention".  
 The Commission on Phytosanitary Measures (CPM) has adopted an IPPC capacity building strategic plan that can be found at:  
https://www.ippc.int/index.php?id=1110702&tx_publication_pi1[showUid]=2180149 
 The Phytosanitary Capacity Evaluation (PCE ) tool is a national self evaluation tool  developed for countries that allows countr ies to undertake a Gaps Analysis, develop a 
national IPPC strategic plan and then determ ine national capacity development priorities. 
 The CPM does not consider a compliance mechanism appropriate for the IPPC, but has established an Implementation Review and Su pport System (IRSS) that will undertake a 
gaps analysis of ISPM implementation and th en develop strategies to improved implementation when challenges are identified (see  
https://www.ippc.int/index.php?id=207746&L=0). 
 The IPPC has recently maintained an Inform al Working Group (IWG) on Technical Assistance as well as an Expert Working Group on  Phytosanitary Capacity Development, 
which held meetings in 2010, 2011, and 2012.  The IPPC has 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 a seco nd in May 2013. 
3.2  ICCAT 
 Contracting Parties have access to scientific research, statistica l database and other information.  They can also obtain techn ical assistance in establishing their statistical 
systems, and in receiving training from the Commission.    Funding of many of the Commission’s activi ties is through the regular budget, provided  by Contracting Party contributions.  Spe cial funding arrangements have been 
established, with funds from th e public and private sectors. 
 In 2011, the Commission established a Meeting Participation Fund to finance the attendence of delegates from developing at ICC AT meetings 
3.3  CITES 
CoP Decisions 16.33-16.38 – National laws  for implementation of the Convention  
Directed to Parties 
16.33 By the 66th meeting of the Standing Committee (SC66), Partie s whose legislation is in Category 2 or 3 under the National Legislation Project and wh ich have been party to 
the Convention for more than five years as of March 2013 should submit to the Secretariat, in one of the working languages of t he Convention, appropriate measures that have 
been adopted for effective implementation of the Convention. 16.34 For any Party affected by Decision 16.33 that has been party to the Convention for less than 20 years, should exceptional  circumstances prevent them from adopting 
appropriate measures for effective implementation of the Conventi on, that Party should advise the Secretariat in writing of tho se exceptional circumstances by SC66.  
16.35 Parties whose legislation is in Category 1 under the National Legislation Project are encouraged to provide technical or financial assistance to one or more Parties whose  
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- 120 - legislation is in Category 2 or 3 under the National Legislation Project. 
Directed to the Standing Committee 16.36 The Standing Committee shall review at its 65th, 66th and 67t h meetings the progress of Part ies in adopting appropriate m easures for effective im plementation of the 
Convention. 
16.37 At its 66th meeting, the Standing Committee shall recommend a suspension of commercial trade in specimens of CITES-listed  species with those Parties affected by 
Decision 16.33 that have failed to adopt a ppropriate measures for the effective implementation of the Convention. This recommen dation shall take effect 60 days after the 
conclusion of SC66. Should exceptional circumstances prevent any Party affected by Decision 16.33 that has been party to the Co nvention for less than  20 years from enacting 
legislation by SC66, the Standing Committee shall review the si tuation and determine appropriate measures for addressing it. An y Party affected by Decision 16.33 that has been 
party to the Convention for 20 years or more and has failed to adopt appropriate measures or agree an appropriate legislative t imetable with the Secretariat by SC66 will be 
subject to recommendations to suspend trade. The Standing Committ ee will not make recommendations  to suspend trade where a Part y has submitted its final draft or an 
appropriate legislative timetable to the Secretariat by the SC66 deadline and it is pendin g action from the Secretariat.  
Directed to the Secretariat 16.38 The Secretariat shall:  a) compile and analyse the info rmation submitted by Parties on measures adopted before the 17th meeting of the Conference of t he Parties (CoP17) to fulfil the 
requirements laid down in the text of the Convention and Resolution Conf. 8.4 (Rev. CoP15); 
 b) 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 CITES authorities, legal drafters , policymakers, the judiciary, parliamentarians and othe r relevant government 
officials responsible for the formulation an d adoption of CITES- related legislation; 
 c) cooperate, in the provision of legislative assistance, with the legal programmes of United Nations bodies and intergovernme ntal organizations, su ch as the Food and 
Agriculture Organization of the United Nations, UNEP, the World Ba nk and regional development banks, as well as regional organi zations such as the Africa, Caribbean and 
Pacific Secretariat, the Amazon Cooperation Treaty Organization, the Association of Sout h East Asian Nations, the League of Ara b States, the Organiza tion of American 
States and the Pacific Region al Environment Programme; 
 d) report at the 65th, 66th and 67th meetin gs of the Standing Committee on Parties’ progress in adopting appropriate measures for effective implementation of the 
Convention and, if necessary, re commend the adoption of appropriate compliance measures, including recommendations to suspend t rade;  
 e) identify for the Standing Committee an y countries that require attention as a priority under the National Legislation Proje ct; and  
 f) report at CoP17 on progress made with regard to the implementation of Reso lution Conf. 8.4 (Rev. Co P15) and Decisions 16.33 -16.38. 
Decisions 16.39 – 16.40 – Enforcement Matters 
Directed to the Standing Committee  
16.39 At its 65th meeting, the Standing Committee shall initiate a process to assess implementation and enforcement of the Conv ention as it relates to the trade in species listed 
in Appendix I. The Committee shall report its findings at th e 17th meeting of the Conference of the Parties to CITES.  
Directed to the Secretariat  16.40 Subject to available resources, the Secretariat shall:   a) in cooperation with partners in the International Consortium on Combating Wildlife Crime, establish Wildlife Incident Suppo rt Teams (WISTs) consisting of 
enforcement staff or relevant experts. WISTs shall be dispatched at the request of a country that has been affected by signific ant poaching of CITES specimens, or that has made 
a large-scale seizure of such specimens, to assist it, and guid e and facilitate appropriate follow-up actions in the immediate aftermath of such an incident. The Secretariat shall 
report on progress in this regard at  the 65th or 66th meeting of the Standi ng Committee, as appropriate; and 
 b) seek invitations from Parties that have carried out signific ant seizures of CITES specimens, for the Secretariat, or releva nt experts, to conduct assessments of the 
circumstances of such seizures and the follow-up actions that were taken, so that lessons may be learned and disseminated. The Secretariat shall report its findings in this regard 
at the 65th and 66th meetings of the St anding Committee, as appropriate. 
Decisions 14.28 (Rev. CoP15 – 14.29 (Rev. CoP16) – Cooperation between Parties and promotion of multilateral measures Decisions 16.17 – 16.25 – CITES and livelihoods Decisions 16.26 – 16.27 – National wildlife trade policy reviews Decisions 16.54 – Electronic permitting Decisions 15.57 – 16.62 – E-commerce of specimens of CITES-listed species Decisions 16.56 – 16.57 – Use of Taxonomic Serial Numbers Decision 16.55 – Decision-making mechanism for a process of trade in ivory  
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- 121 - Decisions 16.63 – 16.66 – Implementation of the Conventi on relating to captive-br ed and ranched specimens 
Decision 16.52 – Introduction from the sea: capacity bu ilding and special requirements of developing States 
Decisions 16.30 – 16.32 – Needs assessment for strengthening the implementation of CITES Decision 12.91 (Rev. CoP16) – Capacity-building programme for scie nce-based establishment and implementation of voluntary natio nal export quotas for 
Appendix-II species 
  CITES is funded by Party contributions to a Trust Fund administ ered by UNEP.  At CITES CoP16 (Bangkok, 2013), CITES Parties con sidered document CoP16 Doc. 8.5 on access 
to other sources of funding and agreed on further work under De cisions 16.3 – 16.8. The Parties also considered document CoP16 Doc. 8.4 on access to Global Environment 
Facility funding and agreed to fu rther work under Decision 16.2. 
 There are two general types of CITES projec ts: (1) "Administrative projects" include, inter alia :  those related to the funding of partic ipants to CITES CoPs or other meetings; 
 
technical assistance (e.g. support in the development of CITES-related legislation);  training;  and the provision of informati on (published and electronic);  (2) "Species" projects 
are those that fund scientific research related to a particular animal or plant species (e.g. st atus survey, management and con servation of the African grey parrot in one or more 
countries).  The CITES Secretariat provides technical assistance to developing  countries through special programmes.  These programmes aim t o raise the capacity of the Parties to 
implement the Convention.  CITES' training activities are coordinated by the Knowledge Management and Outreach Services (KMOS) team in the Secretariat. Capacity-building 
activities include:  workshops, seminars, training packages, di ssemination of information through the Internet, CITES Virtual C ollege and InforMEA port al, technical assistance, 
etc.  The Scientific Support Services team team provides assist ance to the CITES Parties to enhance the scientific basis for de cision-making in CITES.  SCU is responsible for 
workshops on non-detriment findings and quota management, as well  as the creation of identification manuals.  Compliance and en forcement are also import ant focal activities of 
the CITES Secretariat. The Regulatory Services team monitors nati onal reports, responds to permit  queries, provides legal and p olicy advice for the development of national 
legislation, assists with the review of national wildlife trad e policies, supports the adoption of measures to promote and achi eve compliance, provides technical assistance to 
enforcement officers in relation to allegations of illegal trade,  organizes enforcement seminars and works with KMOS to  prepar ate relevant training packages. The Governing 
Bodies and Meeting Services team assists the Parties with Conven tion-related documentation and pr ovides logistic support in the  organization of CITES meetings. KMOS manages 
the CITES website, media relations,and reso urce mobilization and provides informatio n/communications technology, e-permitting, on-line capacity building and communications 
support to Parties.  Many Parties have asked the Secretariat for advice or assistance in the development of legislation to implement CITES.  The Sec retariat has responded in a variety of ways, 
including drafting legislative guidance material (e.g. draft model law, legislative checklist, instructions for legislative dra fters, etc.) undertaking country missions or organizing 
regional workshops, and providing written ad vice and/or comments on draft legislation. Parties to CITES have precisely defined an approach, the National Legislation Project, for 
reviewing and evaluating domestic measures to implement the Conven tion. Three categories and four criteria are used to assess a  Party’s national legislation.  The project has 
been operating since 1992. Legislative assistance under the Convention could be further developed to address the interaction be tween environmental and trade legislation, as well 
as the necessary institutional co-operation between Mi nistries of Environment and Ministries of Trade. 
 Certain external contributions received by the Secretariat are us ed on species-related surveys, a number of which have been aim ed at gathering information on a specific 
population’s conservation status with a view to devising sustai nable management programmes.  Some of this financial support has  also come from users of wildlife.  Species 
covered in surveys with a sustainable use dimension include cats , parrots, pythons, crocodilians, lizards, corals, tree species and orchids.  
 Specific programmes include: 
1. There is a Legal Affairs and Trade Policy team in Regulatory Services which assists the Parties , inter alia , in the development of "trade an d environment" policies and to 
prepare "trade and environment" analyses for presentation and disc ussion at meetings of the CoP and for consideration by fora s uch as the WTO. 
2. MIKE (Monitoring of the Illegal Killing of Elephants Programm e).  The objectives of this programme are to: measure levels an d trends in the illegal hunting of elephants; 
determine changes in these trends over time; and determine the fa ctors causing or associated with such changes, and to try and assess in particular to what extent observed 
trends are a result of any decisions taken by the CoP to CITES.   3. ETIS (Elephant Trade Informat ion System). This comprehensive information system tracks illegal trade in ivory and other elep hant products.   
4. Species programmes on trade in Asian big cats, elephants, fa lcons, great apes, hawksbill turtles, saiga antelopes, snakes, s harks and stingrays, tortoises and freshwater 
turtles, Malagasy ebonies and rosewoods, agarwood -producing taxa and neotropical tree species. 
5. EC-funded projects to strengthen the CI TES implementation capacity of developing countries to ensure sustainable wildlife ma nagement and non-detrimental trade. 
3.4  CCAMLR 
No provisions  
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- 122 - 3.5  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 April 2006, 
the Fund has disbursed US$1.984 billion through more than 5,250 pr ojects and activities in 139 developing countries for the pur pose of institutional strengthening, training, 
project preparation, and implementation of investment projects.  The Fund has the oblig ation to meet all the agreed incremental  costs of developing countries for implementing 
the control measures (ie. changing from ODS technologies to mo re ozone-friendly technologies and phasing out their consumption of ODS in accordance with the Protocol.  The 
budget has been replenished in 1993, 1996, 1999  2002, and 2005, and th e allocations so far have been as follows (Period Amount  in US$ in Millions):  $240 (1991- 1993); $455 
(1994 - 1996);  $466 (1997 to 1999);  $440 (2000 to 2002);  $474 (2003-2005); $400.4 (2006-2008).  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 G EF-eligible countries that are Parties to the 
Protocol, where the production or consumptio n 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 as under the Multilateral  Fund.  The GEF has allocated US$160 million for 
17 CEIT countries (countries with economies in transition) in the phase-out of Annex A and B substances, and spent an additiona l $60 million to assist these countries with the 
phase-out of HCFCs and Methyl Bromide. 
 Technology Transfer under Article 10A occurs under fair and most favourable conditions. 
3.6  Basel Convention 
 UNEP administers two trust funds for the Basel Convention: 
1. A Trust Fund to meet the operational costs of the Convention  (mainly costs of meetings of the Parties and for the Secretaria t) where contributions by Parties are based on 
the UN scale of assessment and; 2. A Technical Cooperation Trust Fund to assist developing countr ies and other countries in need of assistance to implement the  Convention.  Funds received are from 
voluntary contributions  and may be earmarke d 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 Coor dinating Centres (BCRCs), the Secretariat, Parties and other stakeholders. The Secretariat 
also plays a facilitative role between donors, recipients and im plementing agencies.  With the adoption of the Basel Declaratio n on Environmentally Sound Management in 1999, 
efforts increased to assist Partie s to minimize generation of hazar dous and other wastes and to ma nage these wastes  in an envir onmentally sound manner.  The COP, at its sixth 
meeting in December 2002, adopted a Strategic Plan for the implem entation of the Basel Conventi on to 2010, building on and usin g the framework of the 1999 Ministerial Basel 
Declaration on Environmentally Sound Management.  Under the St rategic Plan the Parties approved US$1,200,000 for 21 projects be ing carried out by the BCRCs and the Parties. 
 
During COP-10, Parties will consider the adoption of a Strate gic Framework 2012-2021.for the implementation of the Basel Conven tion. 
 At COP-5, the Parties decided to enlarge the scope of the Technical Cooperation Trust Fund, on an interim basis, to assist tho se Parties which are developing countries or 
countries with economies in transition in cases of emergency and compensation for damage resu lting from incidents arising from the transboundary movements of hazardous 
wastes or other wastes and their disposal. At COP6, the Parties adopted guidelines for the interi m emergency mechanism. Contrib utions have been received for the interim 
emergency mechanism. The first and so far only request for assist ance under this mechansim was received from, and granted to, C ôte d’Ivoire in 2006 in connection with the 
incident of toxic waste dumping in Abidjan which took place in August 2006.  At COP7, Parties adopted a Ministerial Statement on Partnership for meeting the Global Waste Challenge that provides fundament al policy direction to Parties and the other 
stakeholders, focusing on implementing life-cycle approach, integr ated waste management and region al approaches for priority wa ste streams such as POPs 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 th e priority waste streams 
identified by COP-7, for funding through th e Basel Convention Technical Cooperation Tr ust Fund. The implementation of these act ivities will, therefore, be dependent on funding 
through the Technical Cooperation Trust Fund or from external sources of funding.  COP-8 also called upon Parties, use and suppo rt the Basel Conven tion regional and 
coordinating centres in the implementation of activities aimed at supporting implementation of the Convention. A decision on re source mobilization also called for increased 
efforts to identify sources of funding to support implementation of the Convention, including through the Global Environmental Facility and other multilateral sources of funding. 
 
Several decisions adopted by COP-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 COP-9, the Parties de cided 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 th e following releva nt decisions:  
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- 123 - o BC-10/22 on "Implementation of decision V/32 on the enlargement of the scope of the Trus t Fund to Assist Developing and Other C ountries in Need of Technical Assistance 
in the Implementation of the Basel Convention"; 
o BC-10/23 on "Capacity-building for the implementation of the Basel Convention"; 
o BC-10/24 on "Implementation of the decisions of the Conference of the Parties on resource mobilization and sustainable financin g"; 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 subsidia ry bodies and the Convention Secretariat. 
 At COP-11/ExCOPs-2, the Parties have among others agreed to strengthen capacity building and technical assistance activities b y investing the savings realized over the past 
biennium into an enhanced technical assistance programme that better meets the needs of developing countries and countries with  economies in transition.  It also considered 
the facilitating of the financial resources for chemicals and wastes. 
3.7  CBD 
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 referr ed to in Article 16, paragraph 1.  It shall also, 
where feasible, include repatriation of information".  
Article 18 – Technical and Scientific Cooperation 
"...3. The [COP], at its first meeting, shall determine how to establish a clearing-house mechanism to promote and facilitate t echnical and scientific cooperation. 
4. The Contracting Parties shall,  in accordance with national legislation and policies, encourag e and develop methods of cooper ation for the development and use of 
technologies, including indigenous and tradit ional technologies, in pursuance of the obje ctives of this Convention.  For this p urpose, the Contracting Parties shall also promote 
cooperation in the training of pe rsonnel and exchange of experts". 
 The financial mechanism for the CBD is the GEF.  Since 1991, th e GEF has provided about US$ 3.1 billion in grants and leverage d about US$ 9 billion in co-financing in support 
of 1000 biodiversity projects in 155 countries.  
3.8  Cartagena Protocol 
Article 20 – Information Sharing and the Biosafety Clearing-House (BCH) 
"1. A [BCH] is hereby esta blished as part of the clearing-h ouse mechanism under Article 18, pa ragraph 3, of the Convention, in order to: 
(a) Facilitate the exchange of scientific, technical, environmen tal and legal information on, and experience with, [LMOs];  and  
(b) Assist Parties to implement the Protocol, taking into accoun t the special needs of developing country Parties, in particula r the least developed and small island developing 
States among them, and countries with economies in transition as well as countries that are centres of origin and centres of ge netic diversity.  
2. The [BCH] shall serve as a means through which information is made available for the purposes of paragraph 1 above.  It shal l 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 internat ional biosafety information exchange mechanisms. 
3. Without prejudice to the protection of confidential informat ion, each Party shall make available to the [BCH] any informatio n required to be made available to the [BCH] 
under this Protocol, and: 
(a) Any existing laws, regulations and guidelines for implementation of the Protocol, as well as information required by the Pa rties for the advance informed agreement 
procedure;   
(b) Any bilateral, regional and multilateral agreements and arrangements;  
(c) Summaries of its risk assessments or environmental reviews of  [LMOs] generated by its regulatory process, and carried out i n accordance with Article 15, including, 
where appropriate, relevant info rmation regarding products thereof, namely, proc essed materials that are of [LMO] origin, conta ining detectable novel combinations of 
replicable genetic material obtained th rough the use of modern biotechnology;  
(d) Its final decisions regarding the im portation or releas e of [LMOs];  and 
(e) Reports submitted by it purs uant to Article 33, including those on implementa tion of the advance informed agreement procedu re.  
4. The modalities of the operation of the [BCH], including reports on its activities, shall be considered an d decided upon by t he COP 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 BC H (Decision BS-I/3), which outlin e the role of the BCH, its ch aracteristics, its administ ration, the role of BCH 
focal points, modalities for technical overseeing and advice, th e obligations of partner organiza tions, reporting arrangements,  and modalities for periodic review by the COP-MOP.  
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- 124 - Article 22 – Capacity-Building 
"1. The Parties shall cooperate in the development and/or strengthening of human resources and institutional capacities in bios afety, including biotechnology to the extent that 
it is required for biosafety, for the purp ose 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 Partie s with economies in transition, including through existing global, regional, subregi onal and national instit utions and organizations 
and, as appropriate, through facili tating private sector involvement. 
2. For the purposes of implementi ng paragraph 1 above, in relation to cooperatio n, the needs of developing country Parties, in particular the least developed and small island 
developing States among them, for financial resources and access to and transfer of te chnology and know-how in accordance with the relevant provisions of the Convention, shall 
be taken fully into account for capacity-building in biosafety.  Cooperation in capacity-building shall, subject to the differe nt situation, capabilities and requirements of each Party, 
include scientific and technical training in the proper and safe management of biotechnology, and in the use of risk assessment  and risk management for biosafety, and the 
enhancement of technological and institutional capacities in biosafety.  The needs of Parties with economies in transition shal l also be taken fully into account for such capacity-
building in biosafety". 
 In 2004, COP-MOP 1 adopted interim guidelines for the roster of experts on biosafety (Decision BS-I/4) to provide assistance, u pon request, to deve loping countries and 
countries with economies in transition Parties to the Protocol in  risk assessment and risk mana gement, and in capacity building .  It also adopted interim guidelines for the pilot 
phase of the voluntary fund fo r 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 Protocol, draft criteria and minimum 
requirements (including minimum qualifications or experience), for experts to be included in the roster to assist countries in making their nominations to the roster and in re-
assessing the nominations already made.  The COP-MOP also reques ted the Liaison Group to explore the possibility of establishin g a quality control mechanism.  
 In Decision BS-I/5 on capacity building , COP-MOP 1 also adopted an action plan fo r building capacities for the effective imple mentation of the Protocol, a coordination 
mechanism and indicators fo r 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 fo r the Effective Imple mentation of the Protocol, and invited the GEF, 
developed country Parties and Governments, as  well as relevant organizations to increase their financial and technical support 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. Regarding the capacity-building referred to in Article 22 of this Protocol, the [COP] serving as the [MOP] to this Protocol,  in providing guidance with respect to the financial 
mechanism referred to in paragraph 2 above, for consideration by the [COP], shall take into account the need for financial reso urces by developing countr y Parties, in particular 
the least developed and the small isla nd 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 impleme nt their capacity - buildi ng requirements for the 
purposes of the implementa tion of this Protocol. 
6. The developed country Parties may also pr ovide, and the developing country Parties and the Parties with economies in transit ion avail themselves of financial and 
technological resources for the implementation of the provisions of this Protocol through bilateral, regional and multilateral channels.". 
 Following the recommendation from the first meeting of the COP-MOP, the COP, in its 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 fo r assisting countries to prepare for the entry into force of t he Cartagena Protocol on Biosafety, together with 
a global UNEP-GEF project to assist all eligible countries to develop national biosafety framewo rks (NBFs).  The project was la unched 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 imp lementation of NBFs. 
 In November 2003, the GEF approved an add-on  project to the UNEP-GEF project on the De velopment of NBFs entitled Building Capac tiy 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  requirements in order to 
expedite access, by developing country Parties and the Parties with economies in transition, to the financial resources needed to assist the implementation of the Protocol. 
3.9  Nagoya Protocol  
ARTICLE 11: THE ACCESS AND BENEFIT-SHARING CLEARING-HOUSE AND INFORMATION-SHARING 
1. An Access and Benefit-sharing Clearing-House is hereby esta blished as part of the clearing -house mechanism under Article 18,  paragraph 3, of the Convention. It shall  
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- 125 - serve as a means for sharing of information related to access and benefit-sharing. In particular, it shall provide access to in formation made available by each Party relevant to the 
implementation of this Protocol. 2. Without prejudice to the protection of confidential informat ion, each Party shall make available to the Access and Benefit-s haring 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 t he 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) Permits or their equivalent issued at the time of access as evidence of the decision to grant prior informed consent and of  the establishment of mutually agreed terms. 
3. Additional information, if availa ble and as appropri ate, may include: 
(a) Relevant competent authorities of indigenous and local communities, and information as so decided; (b) Model contractual clauses; (c) Methods and tools developed to monitor genetic resources; and (d) Codes of conduct and best practices. 4. The modalities of the operation of the Access and Benefit-sha ring Clearing-House, including reports on its activities, shall  be considered and decided upon by the Conference 
of the Parties serving as the meeting of th e Parties to this Protocol at its first me eting, and kept under review thereafter. 
3.10  Nagoya – Kuala Lumpur Supplementary Protocol 
In accordance to Article 16, paragraph 3, "[e]xcept as otherwise provided in this Supplementary Protocol, the provisions of the  [CBD] and the [Cartagena ] Protocol shal apply, 
mutatis mutandis , to this Supplementary Protocol." 
3.11  UNFCCC 
Article 4 – Commitments 
"… 3. The developed country Parties and other developed Parties included in Annex II shall provide new and additional financial resou rces 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 fin ancial resources, including for the transfer of 
technology, needed by the developing country Parties to meet th e agreed full incremental costs of implementing measures that ar e covered by paragraph 1 of  this Article and that 
are agreed between a developing country Party and the internationa l entity or entities referred to in Article 11, in accordance  with that Article.  The implementation of these 
commitments shall take into account the need for adequacy and predictability in the flow of funds and the importance of appropr iate burden sharing among the developed 
country Parties. 4. The developed country Parties and other developed Parties included in Annex II shall also assist the developing country Part ies 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 de veloped Parties  included in Annex II shall take all practicable steps to promote,  facilitate and finance,  as appropriate, the 
transfer of, or access to, enviro nmentally sound technologies and know-how to ot her Parties, particularly developing country Pa rties, to enable them to implement the provisions 
of the Convention.  In this process, the developed country Part ies shall support the development and enhancement of endogenous capacities and technolo gies of developing 
country Parties.  Other Parties and organizati ons in a position to do so may also assist  in facilitating the transfer of such t echnologies … 
7. The extent to which developing country Parties will effectiv ely implement their commitments under the Convention will depend  on the effective implementation by developed 
country Parties of their commitments under the Convention related to financial resources and transfer of technology and will ta ke fully into account that economic and social 
development and poverty eradication are the first and ove rriding priorities of the de veloping country Parties. 
8. In the implementation of the commitments in this Article, the Parties shall give full consideration to what actions are nece ssary under the Convention, including actions 
related to funding, insurance and the transfer of technology, to meet the specific needs and conc erns of developing country Par ties arising from the adve rse effects of climate 
change and/or the impact of the impl ementation of response measures…". 
  A Consultative Group of Experts on National Communications from Parties not included in Annex I to the Convention or "Non-Ann ex 1 Parties" (CGE) helps developing 
countries prepare national reports on climate change issues.  A Least Developed Country Expert Group (LEG) advises such nations  on establishing programmes for adapting to 
climate change and an Expert Group on Tec hnology Transfer (EGTT) enhances technology  transfer activities under the Convention. 
  At COP16 , the COP affirmed that  capacity-building is essential to enable developing country Part ies to participate fully in, and to implement effectively, thei r commitments 
under the Convention; and that the goal is to enhance the capacity  of developing country Parties in all areas.  It decided to e stablish the Cancun Adaptation Framework  and  
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- 126 - an Adaptation Committee  to promote the implementation of enha nced action on adaptation in a cohe rent manner under the Convention.    
 Article 9 – Subsidiary Body for Sc ientific and Technological Advice 
This subsidiary body is charged with prov iding advice on "ways and means of supportin g endogenous capacity building in developi ng countries.",  
Article 11 – Financial Mechanism 
 Establishes a financial mechanism (the GEF) to provide financial resources, including for the transfer of technology.  The COP  entrusted the operation of the financial 
mechanism to the GEF.  GEF covers the difference  (or "increment") between the costs of a project unde rtaken with global environmental objectives in m ind, and the costs of an alternative project that 
the country would have implemented in the absence of global environmental concerns.  Since 1991, approximately US$ 2 billion wa s provided in grants from the GEF Trust Fund 
to climate chan ge activities. 
  Further financial resources are provided for in the Special Climate Change Fund (SCCF) and th e Least Developed Countries Fund  (LDCF).  The SCCF will finance projects 
relating to adaptation; technology transfer and capacity buildi ng;  energy, transport, industry , agriculture, forestry and wast e management;  and economic diversification.  The 
LDCF will support a work programme to assist LDCs to carry out, inter alia , the preparation and implementation of na tional adaptation programmes of action. 
 At COP 7 (Marrakech, November/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 decision 9/CP.9, the COP decided to comp lete a first comprehensive review of the ca pacity building framework for developing countries by its tenth session, and to conduct 
further comprehensive reviews every five years thereafter. The re sults of the first comprehensive review of the capacity buildi ng frameworks, given in  decisions 2/CP.10 and 
3/CP.10,  acknowledged some progress in a range of priority ar eas identified in the frameworks. However, the COP noted that sig nificant gaps still needed to be filled and 
access to financial resources to be addres sed. The COP 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 CO P decided on a time frame and process for a second comprehensive review of the implementation of  the capacity building framework in 
developing countries. In decision 8/CP.15, the COP postponed to its sixteenth session (Cancun, November-December 2010) the revi ew that should have initially been initiated 
at SBI 28 (June 2008) with a view to completing it at COP 15 (Copenhagen, November-December 2009th).  At SBI 28 (June 2008), the Secretariat was mandated, to provide, up on request, information on the assessment of financing needs  of non-Annex I Parties with regard to the 
implementation of mitigation and adaptation measures (FCCC/SB I/2008/8). The National Economic, Environment and Development Stud y (NEEDS) for Climate Change Project 
was launched in order to support the participating countries in the selection of the key sectors for climate change mitigation and adaptation measures (on the basis of priorities 
identified in the national communications and in national development plans), the assessment of the financing required and rece ived to implement mitigation and adaptation 
measures in the key sectors selected and identifying appropriate financial and regulatory instruments to support these measures , and in raising awaren ess and facilitating 
informed consensus among government  agencies on the policy actions required to mo bilize finance and invest ment in mitigation an d adaptation measures. Eleven countries 
have availed of technical assistance from the secretariat to conduct financial needs assessments as part of this project. 
 At COP 16 , the COP took note of the collective commitment by developed countries to provide new and additional resources, including fore stry and investments through 
international institutions, approaching USD 30 billion for the period 2010.2012, with a balanced allocation between adaptation and mitigation; funding for adaptation will be 
prioritized for the most vulnerable developing countries, such as the least developed countries, small island developing States
 and Africa.  It recognized  that developed country 
Parties commit, in the context of meaningful mitigation actions an d transparency on implementation , to a goal of mobilizing joi ntly 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 op erating entity of the financial mechanism of  the Convention under Article 11 to suppor t projects, programmes, 
policies and other activities in developing country Parties.  Th e Fund, supported by an independ ent secretariat, shall be gover ned by a board of 24 members comprising an equal 
number of members from developing and developed country Parties.  The World Bank has been invited to serve as the interim trust ee of the Green Climate Fund.  A Transitional 
Committee will design the Green Climate Fund.  A Standing Committee  under the COP will assist the COP in exercising its functions with respect to the financial mechanism of 
the Convention in terms of improving coherence and coordination in the delivery of climate change financing, rationalization of  the financial mechanism, mobilization of financial 
resources and measurement, report ing and verification of support provided to developing coun try Parties; Parties agree to furth er define the roles and fu nctions of this Standing 
Committee. (Decision 1/CP.16)  Technology development and transfer   COP 16 confirmed  the importance of promoting and enhancing national and internatio nal cooperative action on the development and transfer of envi ronmentally sound 
technologies to developing country Parties to support action on mitigation and adaptation now, up to and beyond 2012, in order to achieve the ultimate objective of the  
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- 127 - Convention.  It recognized that an early and rapid reduction in emissions and the urgent need to adapt to the adverse impacts o f climate change require large-scale diffusion and 
transfer of, or access to, environmen tally sound technologies, and stressed  the need for effective mechanisms, enhanced means, appropriate enabling environments and the 
removal of obstacles to the scaling up of the development and transfer of technology to developing country Parties.  In this re gard, a Technology Mechanism was established 
and will consist of a Technology Executive Committee  and a Climate Technology Centre and Network . 
3.12  Kyoto Protocol 
Article 11 
"... 2. In the context of the implementation of Article 4, para graph 1, of the Convention, in ac cordance 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 d eveloped country Parties and other developed 
Parties included in Annex II to the Convention shall:  
(a) Provide new and additional financial resources to meet the ag reed full costs incurred by developing country Parties in adva ncing the implementation of existing 
commitments under Article 4, paragraph 1(a), of the Conventi on that are covered in Article 10, subparagraph (a); and  
(b) Also provide such financial resources, including for the transfer of technology, ne eded by the developing country Parties t o meet the agreed full incremental costs of 
advancing the implementation of existing co mmitments under Article 4, paragraph 1, of the Convention that are covered by Articl e 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 wi th that Article.  
The implementation of these existing commitments shall take into account the need for adequacy an d predictability in the flow o f 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 m echanism 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 de veloped Parties in Annex II to the Conventi on may also provide, and developing cou ntry Parties avail themselves of, financial 
resources for the implementation of Ar ticle 10, through bilateral, regional  and other multilateral channels." 
3.13  ITTA 
 Article 20 provides for the establishment of the Special Account  comprising of the Pre-Project Sub-Account and the Project Sub-Account.  The sources of finance for the 
Special Account may come from the Common Fund for Commodities, regional and international financial institutions and voluntary contributions.  The resources of the Special 
Account shall be used only for approved ITTO pre-projects and projects.  Since it became operational in 1987, the ITTO has fund ed over 1000 projects, pre-projects and activities 
for a total cost of over US$ 400 million. 
 Article 21  of the ITTA, 2006 provides for the establishment of the Bali Partnership Fund  for the sustainable management of tropical  timber-producing fore sts.  The fund is 
exclusively reserved for producing members to achieve the object ive of Art 1 (d) of the ITTA, 2006 and is additional to the Spe cial Account.   
3.14  United Nations Fish Stocks Agreement 
 Part VII on "Requirements of Developing States" (Articles 24-26)  provides for special assistance in favour of developing State s in the implementation of the Agreement, in 
recognition of their special requirements in relation to conserva tion and management of straddlin g fish stocks and highly migra tory fish stocks and deve lopment of fisheries for 
such stocks.  Such assistance also applies in respect to the cons ervation and management of straddling fish stocks and highly m igratory fish stocks in areas under national 
jurisdiction of developing coastal States (Part I, Article 3.3).  
Article 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 manage ment of straddling fish st ocks and highly migratory 
fish stocks and development of fisheries for such stocks. To this  end, States shall, either directly or through the United Nati ons Development Programme, the Food and 
Agriculture Organization of the United Nations and other specia lized agencies, the Global Environment Facility, the Commission on Sustainable Development and other appropriate 
international and regional organizations and bodi es, provide assistance to developing States." 
Article 25 – Forms of cooperation with developing States 
"1. States shall cooperate, either directly or thro ugh subregional, regional or global organizations: 
(a) to enhance the ability of developing States, in particular the least-developed among them and small island developing State s, to conserve and manage straddling fish 
stocks and highly migratory fish stocks and to  develop their own fish eries for such stocks; 
(b) to assist developing States, in particular the least-developed among them and small island developing States, to enable the m to participate in high seas fisheries for  
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- 128 - such stocks, including facilitating access to such fisheries subject to articles 5 and 11;  and 
(c) to facilitate the participation of developing States in su bregional and regional fisheries management organizations and arr angements 
2. Cooperation with developing States for the purposes set out in this article shall include the provision of financial assista nce, assistance relating to human resources 
development, technical assistance, transfer  of technology, including through joint ve nture arrangements, and advisory and consu ltative services. 
3. Such assistance shall, inter alia , be directed specifically towards: 
(a) improved conservation and management of  straddling fish stocks  and highly migratory fish stoc ks through collection, reporti ng, 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 training 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 de veloping States in the implementation of this Agreement, incl uding assisting developing States to meet the costs 
involved in any proceedings for the settlement of disputes to  which they may be parties. 
2. States and international organizations sh ould assist developing States in establis hing new subregional or regional fisheries  management organizations or arrangements, or in 
strengthening existing organizations or arra ngements, for the conservation and management  of straddling fish  stocks and highly migratory fish stocks".  
 An Assistance Fund under Part VII was established by Resolution  58/14 at the 58th Session of the UNGA in 2003 to assist develo ping States Parties in the implementation of 
the Agreement. The FAO administers the Fund in collaboration with  the Division for Ocean Affairs and the Law of the Sea, Office  of Legal Affairs of the United Nations, and invites 
States, intergovernmental organizations, international financial institutions, national institutions, NGOs as well as natural a nd juridical persons, to make voluntary financial 
contributions to the Fund.  Paragraph 14 of the Terms of Referenc e of the Fund provides that financial assistance from the Fund  can be sought for the following purposes: 
a) Facilitating the participation of representatives from developing States Parties, in particular the least-developed among th em and Small Island developing States Parties to the 
Agreement, in the meetings and activities of relevant regional and subregional fisheries management organizations and arrangeme nts. Such assistance may include such costs as 
travel costs and, if appropriat e, daily subsistence allowances for delegations participating in relevant regional and subregion al fisheries management organisations or 
arrangements, including technical experts. b) Assisting with travel costs, and if a ppropriate daily subsistence allowances, associ ated with the participation of developin g States Parties, in particular the least-developed 
among them and small island developing States Parties to the Agreement, in relevant meetings concerning high seas fisheries of relevant global organizati ons, such as the United 
Nations Development Programme, the Food and Agriculture Organization and other specialised agencies, the Global Environment Fac ility, the Commission on Sustainable 
Development and other appropriate internatio nal and regional organization s and bodies. Applications for this purpose shall incl ude details of how the meeting in question relates 
to implementation of the Agreement. c) Supporting ongoing and future negotiations to establish new re gional or subregional fisheries management organizations and a rrangements in areas where such bodies are not 
currently in place, to renegotiate founding agreements for such organizations and arrangements and to strengthen existing subre gional and regional fisheries management 
organizations and arrangements in accordance  with the Agreement.  A cond ition for such support is th at reference to  implementin g the Agreement is made in founding documents 
and/or work programmes of the regional or subregional fisheries management organizations or arrangements and in the national fi sheries policies and/or management plans of 
States Parties. d) Building capacity for activities in key areas such as effect ive exercise of flag State resp onsibilities, monitoring, control  and surveillance, data collection and scientific research 
relevant to straddling and highly migratory fish stocks on a nati onal 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 pa rticular the least-deve loped among them and small island developi ng States, with human resources development, 
technical training, and technical assistance in relation to cons ervation and management of stra ddling and highly migratory fish  stocks and development of fisheries for such 
stocks, consistent with the duty to ensure the pr oper 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 Agreemen t concerning the interpretation or application of 
the Agreement in accordance with Part VIII of the Agreement or proceedings concerning the interpretation or application of a su bregional, 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 of such stocks and 
complementary to any assistance provided under the ITLOS Trust Fund established by General Assembly resolution 55/7 or the Trus t 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 Arbi tration.  
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- 129 - 3.15  Rotterdam Convention 
Article 11 – Obligations in relation to exports of chemicals listed in Annex III 
 "1. Each exporting Party shall   (…)           (c) Advise and assist importing Part ies, upon request and as  appropriate: 
   (i) To obtain further information to he lp them to take action in accordance with paragraph 4 of Article 10 and paragraph 2 ( c) below;  and 
   (ii) To strengthen their capacities and capabilities  to manage chemicals safely during their life-cycle...." 
Article 16 – Technical assistance "The Parties shall, taking into account in particular the needs of developing countries and countries with economies in transit ion, cooperate in promotin g technical assistance for 
the development of the infrastructure and the capacity necessary to manage chemicals to enable implementation of this Conventio n.  Parties with more advanced programmes for 
regulating chemicals should provide technical assistance, includ ing training, to other Parties in  developing their infrastructu re and capacity to manage chemicals throughout their 
life-cycle".  Since 1998, the Secretariat has conducted a series of subregional workshops.  Initially these workshops focused on awareness ra ising;  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 Ro tterdam Convention. These trained regional experts in turn partic ipate in the Convention workshops as facilitators 
and presenters, and also work with designat ed national authorities in individual countries within their region to address speci fic problems in the implementation of the 
Convention.  The Secretariat has also develo ped a guide and case studies on the development of national laws to implement the C onvention, plans for the implementation of 
chemicals-related MEAs, and a resource kit to provide comprehensiv e information on the Convention to stakeholders as well as ot her tools and guidance documents that are 
available to Parties through workshops - whic h have focused on more specific issues an d programmes, such as synergies, customs,  indsutrial chemicals, et c. - and also published 
on the Rotterdam Convention’s website.   
 In the final decision, at its third meeting in October 2006 (UNE P/FAO/RC/COP.3/CRP.10), the COP requested Parties to contribut e to the voluntary trust fund in support of 
technical assistance and adopted the 2007-2008 programme of work fo r 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 T rust Fund in support of technical assistance 
activities" and the Secretariat to support th e activities as contained in the programm e for the regional and national delivery of technical assistance for 2009-2011 (Decision RC-
4/9) "as available resources .allow and in accordance with Decision RC-4/12 on Financing and Budget for the Triennium 2009-2011 ". 
 In June 2011, at COP-5, Parties adopted decision RC-5/10 a technical assistance workplan for the biennium 2012 −2013, decision RC-5/11 on the progress made in the 
implementation of decision RC-3/5 on possible options for lasting and sustainable financial mechanisms, as well as decision RC- 5/14 for the financing and budget for the biennium 
2012–2013.  At COP-6/ExCOPs-2, the Parties have among others agreed to strengthen capacity building and technical assistance activities by  investing the savings realized over the past 
biennium into an enhanced technical assistance programme that better meets the needs of developing countries and countries with  economies in transition.  It also considered 
the facilitating of the financial resources for chemicals and wastes.  
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- 130 - 3.16  Stockholm Convention 
Article 12 – Technical assistance 
"1. The Parties recognize that rendering of timely and appropriat e technical assistance in response to requests from developing  country Parties and Parties with economies in 
transition is essential to the successful implementation of this Convention. 2. The Parties shall cooperate to provide timely and appropriate technical assistance to developing country Parties and Parties  with economies in transition, to assist them, 
taking into account their particular needs, to develop and strengthen their capacity to implement their obligations under this Convention. 
3. In this regard, technical assistance to be provided by deve loped country Parties, and other Parties in accordance with their  capabilities, shall includ e, as appropriate and as 
mutually agreed, technical assistance for capacity-building relating to implementation of the obligations under this Convention .  Further guidance in this regard shall be provided 
by the [COP]. 4. The Parties shall establish, as appropriate, arrangements fo r the purpose of providing techni cal assistance and promoting th e transfer of technology to developing country 
Parties and Parties with economies in transition relating to the implementation of this Convention.  These arrangements shall i nclude regional and subregional centres for 
capacity-building and transfer of technology  to assist developing country Parties and Parties with economies in transition to f ulfil their obligations under this Convention.  Further 
guidance in this regard shal l be provided by the [COP]. 
5. The Parties shall, in the context of this Article, take full account of the specific needs and special situation of least de veloped countries and small island developing states in 
their actions with regard to technical assistance". 
Article 13 – Financial resources and mechanisms 
 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 ec onomies in transition to meet the agreed full incremental cos ts of implementing measures which fulfil their 
obligations under the Convention.   
 Establishes a mechanism for the provision of adequate and sustainable financial reso urces to developing country Parties and Pa rties with economies in transition on a grant or 
concessional basis to assist in their implementation of the Convention.   
 Calls upon the first meeting of the COP to develop appropriate guidance to be provided  to the mechanism.  At its second meetin g, and on a regular basi s, the COP shall review 
the effectiveness of the mechanism. 
Article 14 – Interim financial arrangements 
 Entrusts the GEF, on an interim basis, to be the principal entity operating the financial mechanism referred to in Article 13.  
 
4  NON-COMPLIANCE MECHANISM 
4.1  IPPC 
Article VII:2(f) – Requirements in relation to imports 
"2. In order to minimize interference with international trade, each co ntracting party, in exercisi ng its authority under parag raph 1 of this Article, undertakes to act in conformity 
with the following: … 
f) Importing contracting parties shall, as soon as possible, inform the export ing contracting party concerned or, where appropr iate, the re-exporting contracting party 
concerned, of significant instances of non-compliance with phyt osanitary certification.  The ex porting contracting party or, wh ere appropriate, the re-exporting contracting 
party concerned, should investigate and, on  request, report the result of its invest igation to the importing contracting party concerned". 
 Guidance for non-compliance of phytosanitary certification only  is elaborated in the Internat ional Standard for Phytosanitary Measures No. 13 (2001), Guidelines for the 
Notification of Non-Complian ce and Emergency Actions. 
4.2  ICCAT 
Article IX 
"1. The Contracting Parties agree to take all action necessary to  ensure the enforcement of this Convention.  Each Contracting Party shall transmit to the Commission, biennially 
or at such other times as may be requir ed by the Commission, a statement of the action taken by it for these purposes.  
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- 131 - 2. The Contracting Parties agree: 
(a) to furnish, on the request of the Commission, any available statistical, biological and other scientific information the Co mmission may need for the purposes of this 
Convention; (b) when their official agencies are unable  to obtain and furnish the said information, to allow the Commission, through the Co ntracting Parties, to obtain it on a voluntary 
basis direct from companies and individual fishermen. 
3. The Contracting Parties undertake to colla borate with each other with a view to the adoption of suitable effective measures to ensure the application of the provisions of this 
Convention and in particular to set up a system of international enforcement to be applied to the Convention area except the te rritorial sea and other waters, if any, in which a 
state is entitled under international law to  exercise jurisdiction over fisheries". 
 The mandate and terms of reference for a Co nservation and Management Measures Complia nce Committee were adopted in Decision 95 -15, and revised through 
Recommendation 11-24. 
 Some non-compliance procedures have been enforced, such as redu cing catch quotas by the amount of excess catch over the quota and or by 125 per cent of the excess.  
Also, trade measures can be, and have been, applied to 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 Recommendation By Iccat On Penalties Applicable In Case Of Non Fulfilment Of 
Reporting Obligations [Rec. 11-15]  
4.3  CITES 
(1) Provisions of the Convention  
Article XIII – International Measures  
"1. When the Secretariat in the light of information received is satisfied that any species included in Appendix I or II is bei ng affected adversely by trade in specimens of that 
species or that the provisions of the present Convention are not being effectively implemented, it shall communicate such infor mation to the authorized Management Authority of 
the Party or Parties concerned.  2. When any Party receives a communication as indicated in paragraph 1 of this Article, it shall, as soon as possible, inform t he Secretariat of any relevant facts insofar as its 
laws permit and, where appropriate, propose remedial action.  Wh ere the Party considers that an inquiry is desirable, such inqu iry may be carried out by one or more persons 
expressly authorized by the Party. 3. The information provided by the Party or resulting from any inquiry as specified in paragraph 2 of this Article shall be rev iewed by the next CoP which may make whatever 
recommendations it de ems appropriate".  
The CoP regularly reviews the implementation of the Convention, and makes "whatever recommendation s it deems appropriate" in re lation to allegations of unsustainable trade 
or ineffective implementation of the Conventi on (Article XIII).  Evaluation  of compliance within the Convention is based on the  Secretariat’s reports to the COP and CITES 
subsidiary bodies (e.g. annual reports, th e Review of Significant Trade, national legislation and alleged illegal trade and oth er implementation problems). 
 The Standing Committee carries out such interim activities on be half of the CoP as may be necessary and provides guidance and advice on matters brought to it by the 
Secretariat in the exercise of its function.  The  CoP often in structs 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 Committ ee that it adopt certain compliance measures, which may include  a recommended suspension of trade in the 
affected species with a partic ular Party. (See also the Guide to CITES compliance procedures  contained in Resolution Conf. 14.3).  
 As CITES uses trade measures for its impl ementation, one recommendation for improving the effectiveness of the Convention is a  temporary suspension of trade recommended 
by either the CoP or the Standing Committee.  In practical terms,  this provides a period of time during which the relevant Part y can move from non-compliance to compliance by, 
inter alia , submitting missing annual reports, enacting adequate legislatio n, combating and reducing illegal trade or responding to speci fic recommendations of the Standing 
Committee concerning the implementation of Article IV of the Conv ention in the context of the Review of Significant Trade.  Hav ing identified a problem of serious non-
compliance, it would be inappropriate for Pa rties not to respond.  Recommendations for a suspension of trade may be regarded 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 em phasis on promoting and facilita ting Parties' compliance through 
consultations and advice or assistance.  Furthermore, such measures are generally used in cases involving significant levels of  trade and where no domestic measures exist to 
enforce the Convention.  Finally, such recommendations are wi thdrawn immediately upon a Pa rty’s return to compliance.  
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- 132 - (2) Resolutions and Decisions of the Conference of the Parties  
Resolution Conf. 8.4 (Rev. CoP15) 
"Instructs the Standing Committee to determine which Parties ha ve not adopted appropriate measur es for effective implementation  of the Convention and to consider appropriate 
compliance measures, which may include recommendations to su spend trade, in accordance with Resolution Conf. 14.3"; 
Resolution Conf. 11.3 (Rev. CoP16)– 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 st rictly verify the documents originating from such countries wit h the respective Management Authorities; 
Recommends  that: 
a) all Parties:              i) recognize the seriousness of illegal trade in  wild fauna and flora and identify it as a matter of high priority  for their national law enforcement agencies; 
    ii) if appropriate, consider formulating national and regi onal action plans, incorporatin g timetables, targets and provisio ns for funding, designed to enhance enforcement 
of CITES, achieve compliance with its provisions , and support wildlife-law enforcement agencies; 
 iii) provide officials who have wildlife-l aw enforcement responsibiliti es with equivalent training , status and authority to th ose 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 regulati on of trade in animal and plant species listed 
in Appendix II, and of all provisions ensuring protection agai nst illegal traffic for the species included in the Appendices; 
 vi) in case of violation of the above-me ntioned provisions, immediately take appropri ate measures pursuant to Article VIII, pa ragraph 1, of the Convention in order to 
penalize such violation and to take appropriate remedial action; and 
   vii) inform each other of all circumst ances and facts likely to be relevant to il legal traffic and also of control measures,  with the aim of eradicating such traffic; 
b) Parties should advocate sanction s for infringements that are appropri ate to their nature and gravity; 
c) Parties that are not yet signatories to, or have not yet ratified, the UN Convention against Transnational Organized Crime a nd the UN Convention against Corruption consider 
doing so; d) importing Parties in particular not acce pt under any circumstances or pretext, expo rt or re-export documents issued by any a uthority, irrespective of it s hierarchical level, other 
than the Management Authority officially de signated as competent by the exporting or re-exporting Party and duly notified to th e Secretariat; 
e) if an importing country has reason to believe that specimens of an Appendix-II or  -III species are traded in contravention o f the laws of any country involved in the 
transaction, it:  i) immediately inform the country whose laws were thought to have been violated and, to the extent possible, provide that coun try with copies of all documentation 
relating to the transaction; and 
 ii) where possible, apply stricter domestic measures to that tr ansaction as provided for in Ar ticle XIV of the Convention; and  
f) Parties remind their diplomatic missio ns, their delegates on mission 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 Ar ticle 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 whic h 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 w ork with the Parties concerned to try to solve the 
matter and offer advice or tech nical assistance as required; 
d) if it does not appear a solution can be readily achieved, th e Secretariat bring the matter to the attention of the Standing Committee, which may pursue the matter in direct 
contact with the Party concerned with a view to helping to find a solution; and 
e) the Secretariat keep the Parties informed as fully as possib le, through Notifications to the Parties, of such compliance mat
ters and of actions taken to solve them, and 
include such matters in its reports for meetings of the Standing Committee and the Conference of the Parties;  
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- 133 -  
Resolution Conf. 11.17 (Rev. CoP16) – National  reports Recommends that, when compiling their annual reports in accordance  with Article VIII, paragraph 7,  of the Convention and this R esolution, Parties pay particular attention to the 
reporting of trade in specimens of species subject to annual expo rt quotas. For these species, the report should indicate the l evel of the quota and the amount actually exported. 
In cases where trade is authorized in the reporting year in sp ecimens obtained under a quota fo r 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 wa s due constitutes a m ajor problem with the implementation of the 
Convention, which the Secretariat shall refer to the Standing Comm ittee 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 re asonable extension of time to the 31 October deadline for t he 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 to determine, on the basis of reports presented by the Secretar iat, which Parties have failed,  for three consecutive years and without having 
provided adequate justification, to provid e 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 auth orize 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 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; 
Resolution Conf. 12.8 (Rev. CoP13)– Review of sign ificant trade in specimen s 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 Committee, determine whether the recommend ations referred to above have been 
implemented and report to the St anding Committe e accordingly; 
r)  where the recommendations have been met, the Secretariat shall, following consultation with the Chairman of the Standing Co mmittee, 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 State has implemented the recommendations 
made by the Animals or Plants Co mmittee in accordance with paragraphs n) or o), it should recommend to the Standing Committee a ppropriate action, which may include, as a 
last resort, a suspension of trade in the affected species with th at State.  On the basis of the report of the Secretariat, the  Standing Committe e 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 Standing Committee; 
u)  a recommendation to suspend trade in the affected species wi th the State concerned should be withdrawn only when that State  demonstrates to the satisfaction of the 
Standing Committee, through the Secretariat, compliance with Article IV, paragraph 2 (a), 3 or 6 (a);  and 
v)  the Standing Committee, in consultation with the Secretariat and the Chairman of the Animals or Plants Committee, shall rev iew recommendations to suspend trade that 
have been in place for longer than two years and, if a ppropriate, take measures to address the situation; ...". 
 For a list of outstanding Standing Committe e recommendations made in accordance with this Resolution to suspend imports of CIT ES-listed species from certain countries, see 
Notification No. 2013/013 of 2 May 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 pr omoting, facilitating and achie ving compliance with obligations under the 
Convention and, in particular, assisting Parties in meeting their obligations re garding such compliance. 
 Specifically, the Guide describes existing procedures in order to facilitate consistent and effective handling of compliance m atters relating to obligations under the 
Convention, taking into account relevant Resolutions and De cisions, in both specific and general compliance matters… 
29. If a compliance matter has not been resolved, the Standing Co mmittee decides 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 con cerned; 
 b) request special reportin g from the Party concerned; 
 c) issue a written caution, requesting  a response and o ffering assistance; 
 d) recommend specific capacity -building actions to be undert aken by the Party concerned; 
 e) provide in-country assistance, technical assessment and a ve rification mission, upon the in vitation of the Party concerned;   
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- 134 -  f) send a public notification of a compliance matter through the Secretariat to all Parties advising that compliance matters h ave been brought to the attention of a 
Party and that, up to that time, there has been no satisfactory response or action; 
 g) issue a warning to the Party concerned th at it is in non-compliance, e.g. in rela tion to national repo rting and/or the Nati onal Legislation Project; and 
 h) request a compliance action plan to be  submitted to the Standing Committee by th e Party concerned identifying appropriate s teps, a timetable for when those steps 
should be completed and means to assess satisfactory completion. 
30. In certain cases, the Standing Committee decides to recommend the suspension of commercial or all trade in specimens of 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 persistent and the Party is showing no intention to 
achieve compliance or a State not a Party is  not issuing the documentation referred to in Article X of the Convention. Such a r ecommendation is always specifically and explicitly 
based on the Convention and on any applicable Resolu tions and Decisions of the Conference of the Parties11. 
31. The list of measures above is not necessarily an exhaustive list of me asures 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 islan d developing States and Parties 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 
 d) the possible impact on  conservation and sustainable use with a view to avoiding negative results…. 
34. Existing recommendations to suspend trade are generally review ed at each Standing Committee meeting. They are also monitore d intersessionally by the Secretariat. A 
recommendation to suspend trade is withdrawn as soon as the co mpliance matter has been resolved or sufficient progress has been  made. The Secretariat notifies Parties of any 
such withdrawal as soon as possible.  For a list of countries currently subject to a recommendation to suspend trade, see the relevant reference list on the CITES w ebsite.   
4.4  CCAMLR 
(1) Promotion of Compliance  
Article XXI 
"1. Each Contracting Party shall take approp riate measures within its competence to en sure compliance with the provisions of th is Convention and with conservation measures 
adopted by the Commission to which the Party is bound in accordance wi th Article IX of this Convention. 
2. Each Contracting Party shall transmit to the Commission inform ation on measures taken pursuant to paragraph 1 above, includi ng the imposition of sanctions for any 
violation". Conservation Measure 10-03 (2009) – Port In spections of Vessels Carrying Toothfish 
"... 1. Contracting Parties shall undertake inspection of all fishing vessels carrying Dissostichus spp. which enter th eir 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 a ccordance with CCAMLR conservation measures, and 
that if it intends to land or tranship Dissostichus spp. the catch to be unloaded or transhipped is accompanied by  a Dissostichus catch document (D CD) required by Conservation 
Measure 10-05, and that the catc h agrees with the information recorded on th e document.  … 
3. In the event that there is evidence that the vessel has fish ed in contravention of CCAMLR conservation measures, the catch s hall not be landed or transhipped.  The 
Contracting Party will inform the Flag State of the vessel of its inspection findings and will cooperate with the Flag State in  taking such appropriate ac tion as is required to 
investigate the alleged infringement, and, if necessary, apply appropriate sanctions in accordance with national legislation…".  
Conservation Measure 10-06 (2008) – Scheme to Promote Compliance by Contracting Party Vessels with CCAMLR Conservation Measures  
"… 1. At each annual meeting, the Commission will identify those Cont racting Parties whose vessels have  engaged in fi shing activities  in the Convention Area in a manner which 
                                               
11 These currently include: 
 – Resolution Conf. 11.17 (Rev. CoP14) (National reports); 
 – Decision 14.29 (National laws for implementation of the Convention); 
 – Resolution Conf. 12.8 (Rev. CoP13) (Review of Sign ificant trade in specimens of Appendix-II species); 
 – Convention Article XIII and Resolution Conf. 11.3 (Rev. CoP14) (Compliance and enforcement); and  – Resolution Conf 11.1 (Rev. CoP14) (Establishment of committees).   
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- 135 - has diminished the effectiveness of CCAMLR conservation measures in force, and shall establish a list of such vessels (Contract ing 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 Contract ing Parties are considered as having carried out fishing activiti es that have diminished the effectiveness of the 
conservation measures adop ted by the Commission if: 
(i) the Parties do not ensure compliance by their vessels with the conservation measures adopted by the 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 Part y’s vessel to be included in the CP-IUU Vessel Li st there must be evidence, gathered in accor dance 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 Measur e 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 reporting system applic able 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 cons ervation measures; or 
(v) transhipped or participated in joint fishing operations with , supported or re-supplied other vessels identified by CCAMLR a s carrying out IUU fishing activities (i.e. vessels on 
the CP-IUU Vessel List or the NCP-IUU Vessel List (Non-Contracti ng Party Illegal Unregulated, an d Unreported Vessel List), esta blished under Conservati on Measure 10-07); or 
(vi) failed to provide, when required under Cons ervation 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 all Contracting Parties, in the terms of the statement made by the Chairman on 19 May 1980; 
or (viii) engaged in fishing activities contra ry to any other CCAMLR conservation measures in a manner that undermines the attainm ent of the objectives of the Convention 
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 Executiv e Secretary before 1 September, including 
verifiable  VMS data and other supporting 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 evid ence circulated under paragraph 10.  The Proposed 
CP-IUU Vessel List shall be submitte d 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 CC AMLR annual meeting, following consideration 
of that List and information and evid ence 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 prove s 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 CP- IUU Vessel List; or  
(ii) it has taken effective action in resp onse to the activities in question, includ ing prosecution and imposition of sanctions  of adequate severity;  or 
(iii) the vessel has changed ownership, incl uding beneficial ownership if known to be distinct from the registered ownership, a nd that the new owner can establish the previous 
owner no longer has any legal, financial, or real interests in the vessel, or exerci ses 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 gr anting of the right to the vessel to fly its flag will not res ult in IUU fishing. … 
22. Without prejudice to their rights to take proper action consistent with international law, Contracting Parties should not t ake 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 vessel or  vessels have been included in the draft lCP-IUU Vessel 
List drawn up by the Executive Secr etariat, pursuant to paragraph 6. 
23. The Chair of the Commission shall request the Contracting Part ies identified pursuant to paragraph 1 to take all necessary measures to avoid diminish ing the effectiveness of 
the CCAMLR conservation measures resulting from their vessels’ activities, and to advise the Commission of actions taken in tha t regard. 
24. The Commission shall review, at subsequent CCAMLR annual meetin gs, as appropriate, action taken by those Contracting Partie s to which requests have been made 
pursuant to paragraph 23, and identify those whic h have not rectified their fishing activities.  
25. The Commission shall decide appropriate measures to be taken in respect to Dissostichus  spp. so as to address these issues with those identified Contracting Parties.  In this 
respect, Contracting Parties may cooperate to adopt appropriate mu ltilaterally agreed trade-related measures, consistent with t heir obligations as members of the  [WTO], that  
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- 136 - may be necessary to preven t, deter and eliminate the IUU fishing activities identified by the Commission.  Multilateral trade-r elated measures may be used to support cooperative 
efforts to ensure that trade in Dissostichus  spp. and its products does not in any wa y encourage IUU fishing or otherwise dimini sh the effectiveness of CCAMLR’s conservati on 
measures which are consistent with the United Nations Convention on the Law of the Sea 1982". 
Resolution 19/XXI – Flags of Non-Compliance 
"The Commission...urges all Contra cting Parties and non-Contracting Pa rties 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 engageme nt on board FONC (Flags of N on-Compliance) vessels in the CCAMLR Convention 
Area if this is consistent with their national law. 2. Ensure the full cooperation of  their relevant national agenci es and industries in implementing the measures adopted by CCAML R. 
3. Develop ways to ensure that the expo rt 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) System of Inspection  
Article XXIV 
"1. In order to promote the objective and en sure observance of the provisions of this  Convention, the Contracting Parties agree  that a system of observation and inspection 
shall be established. 2. The system of observation and inspection shall be elaborated  by the Commission on the basi s of the following principles: 
(a) Contracting Parties shall co-operate with each other to ensu re the effective implementation of the system of observation an d inspection, taking account of the existing 
international practice.  This system shall include, inter alia , procedures for boarding and inspection by observer s and inspectors designated by the Members of the 
Commission and procedures for flag state pr osecution and sanctions on the basis of evidence resulting from such boarding and in spections.  A report of such prosecutions 
and sanctions imposed shall be included in the inform ation referred to in Article XXI of this Convention; 
(b) in order to verify compliance with me asures adopted under this Convention, observ ation and inspection shall be carried out on board vessels engaged in scientific 
research or harvesting of marine living re sources in the area to which this Convention applies, through observers and inspector s designated by the Members of the 
Commission and operating under terms and condit ions to be established by the Commission; 
(c) designated observers and inspectors shal l remain subject to the jurisdiction of the Contracting Party of which they are nat ionals.  They shall report to the Member of the 
Commission by which they have been designated wh ich in turn shall report  to the Commission".... 
 The CCAMLR System of Inspection has been in operation since 1989.   Inspections of fishing and fisheries research vessels of CC AMLR Flag States are being carried out 
regularly by CCAMLR Inspectors designated by Members. 
 In December 2000, the Commission established the Standing Commit tee on Observation and Inspection (SCOI) to consider and prepa re advice to the Commission on all 
matters related to inspections undertaken and steps taken by Memb ers to enforce compliance with Conservation Measures.  In 2002 , the Subcommittee was renamed the 
Standing Committee on Implemen tation and Compliance (SCIC). 
 In 2004, the Commission agreed on a set of principles required  to develop and implement a comparative methodology for assessin g compliance with CCAMLR conservation 
measures. The work on the compliance evaluation  procedure has been continued in 2005 and 2006.  
4.5  Montreal Protocol 
Article 4A  –  Control of Trade with Parties  
"1. Where, after the phase-out date applicab le to it for a controlled substance, a Pa rty is unable, despite having taken all pr acticable steps to comply with its obligation under 
the Protocol, to cease production of that su bstance for domestic consumption, other than  for uses agreed by the Parties to be e ssential, it shall ban the export of used, recycled 
and reclaimed quantities of th at 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-co mpliance with the provisions of this Protocol and 
for treatment of Parties foun d to be in non-compliance". 
 In 1992 MOP IV adopted non-compliance procedure and established an Implementation Committee.  The functions of the Committee a re to receive, consider and report on any 
submission made by one or more Parties and any information or observations forwarded by the Se cretariat in connection with the preparation of a report referred to in Article 12 
of the Protocol.  After receiving a report by the Committee, the MOP may, taking into consideration the circumstances of the ca se, decide upon and call for steps to bring about  
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- 137 - full compliance with the Protocol, including measures to assist  a Party's compliance and to furt her the Protocol's objectives.   
 The Multilateral Fund, discussed above, supports developing  countries to implement the Protocol's control measures. 
4.6  Basel Convention 
 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 prev enting and solving problems.  It will be administered by a Comm ittee composed of 15 members reflecting an 
equitable geographic representation of the five UN regional groups.  Submissions to the Committee may be made by:  a Party rega rding itself;  one Party regarding another 
Party;  or the Secretariat.  Submissions regarding compliance are forwarded to the Party in question, who may respond or provid e comments.  The Committee may provide 
advice to the Party to facilitate compliance, such as:  advice on regulatory regimes;  assistance, including financial and tech nical support;  elaboration of voluntary compliance 
action plans;  and/or follow-up arrangemen ts.  The Committee may also review general issues of compliance and implementation of  the Convention, and may recommend that 
the COP take additional measur es regarding specific cases. 
 At COP-7, Parties approved the Committee’s first work programm e, for 2005-2006, which instructed to the Committee to, in the e xercise of its general review power, identify 
and analyse difficultes relating to report ing obligations under the Convention, the de signation of focal points and competent a uthorities, 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 prep aration of a national 
legislation checklist, aimed at assisting Parties to ensure that they have appropriate implementing legislation in place.   The results of the implementation of the work programme for 2005-2006 were reported to COP-8. COP-8 approved the work program me for the Compliance Committee for 
2007-2008 which, under the general review power, involved (a) furthe r 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 Co nvention, and (v) work on the issue of illegal traffic. 
 At COP-9, Parties approved the Committee’s work programme, for 2009-2011, which instructed to the Committee to address existin g shortcomings and limi tations in relation 
to the lack of specific submissions to the Committee, with a view to developing recommendations for the consideration of COP-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 se veral activities with the goal of improving 
national reporting  as well as the implementation of and compliance with specific obligations under articles 3 (national defini tion of hazardous wastes) 4,  (general obligations), 5 
(designation of Competent Authorities and Focal Point) and 6 (t ransboundary movements between Pa rties). Since COP-9, the Commit tee has elaborated a dire ctory of institutions 
providing training on preventing and co mbating illegal traffic and a Guidance Ma nual on improving national reporting. 
 At COP-10, Parties approved the Committee’s work programme for 2012-2013. 
 At COP-11, Basel Convention's Parties approved the Committee's work programme for 2014-2015. 
The next meeting of the Committee is scheduled for 5-6 December 2013.  
4.7  CBD 
Article 26 – Reports 
"Each Contracting Party shall, at intervals to be determined by the COP, present to the COP, reports on measures which it has t aken for the implementation of the provisions of 
this Convention and their effectiveness in meeting the objectives of this Convention".  Four rounds of national reports have been organized so far:   in 1998, 2001, 2004 and 2009. In decision X/10, the Conference of  the Parties requested Parties to submit their 
fifth national report by 31 March 2014.  
 The CBD does not have a compliance procedure.  Formal asse ssment of Parties or non-parties compliance has not occurred.  
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- 138 - 4.8  Cartagena Protocol  
Article 33 – Monitoring and Reporting 
"Each Party shall monitor the implementation of its obligations under this Protocol, and shall, at intervals to be determined b y the [COP] serving as the [MOP] to this Protocol, 
report to the [COP] serving as the [MOP] to this Protocol on measures that it has taken to implement the Protocol". 
 COP-MOP 1 approved a format for the interi m national report on implementation of th e Protocol (Decision BS-I/9) and agreed on the frequency and timing of such reports 
(reports to be submitted 12 months prior to the meeting of the COP serving as the MOP to the Protocol at which they will be con sidered, with a general frequency of every four 
years but in the initial four-year period an  interim report is to be submitted two years after the entry into force of the Prot ocol). 
 In Decision BS-III/14, COP-MOP 3 adtoped the national reporting format, and requeste d Parties to submit their first regular na tional report, covering the period between entry 
into force of the Protocol for each Party and the repo rting date, 12 months prior to  its fourth meeting.   
 COP-MOP 5 adopted, through its decision BS-V/14, a format for second national reporting and re quested Parties to fulfil their reporting obligations under Article 33 and in 
accordance relevant decisions. 
Article 34 – Compliance 
"The [COP] serving as the [MOP] to this Protocol shall, at its first meeting, consider and approve cooperative procedures and i nstitutional mechanisms to promote compliance with 
the provisions of this Protocol and to address cases of non-co mpliance.  These procedures and mechanisms shall include provisio ns to offer advice or assistance, where 
appropriate.  They shall be separate from,  and without prejudice to, the dispute settlement procedures and mechanisms establish ed by Article 27 of the Convention". 
 COP-MOP 1 adopted procedures an d mechanisms on compliance under the Protocol (Decision BS-I/7), including a Compliance Committ ee to meet twice a year 
with 15 members nominated by Parties and elec ted by the COP serving as the MOP to the Protocol.  These members will serve in th eir individual capacity. 
 The Committee receives, through the Secretariat, submissions rela ting to compliance from: any Party with respect to itself; an d any Party, which is affected or likely to be 
affected, with respect to another Party.  The COP-MOP may, upon  the recommendations of the Compliance Committee, decide upon on e or more of the following measures:  
(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 CO P-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 COP-MOP 2 (Decision 
BS-II/1). 
The second meeting of the Compliance Committee was held in Febr uary 2006. COP-MOP 3 considered the recommendations made by the Compliance Commit tee, and adopted 
decision BS-III/1, which among ot hers, called upon "Parties that still have no appropriate legal and administrative measures in  place at the national level to take the necessary 
measures and specifically to give appropri ate attention to the development of nation al biosafety framework s" and urged those "P arties that have duly completed the development 
of their national biosafety frameworks to ta ke measures necessary, including the allocation of appropriate resources, to make t hese frameworks operational and effective."  The 
decision also invited "Parties and other Governments with well-d eveloped and functional biosafety frameworks or systems to coop erate and share their practical experiences with 
those Parties that have a demand in this regard." 
4.9  Nagoya Protocol 
Article 25: Monitoring and Reporting 
Each Party shall monitor the implementation of its obligations under this Protocol, and shall, at intervals and in the format t o 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 P arties to this Protocol on measures that it has taken 
to implement this Protocol.  
Article 24: Procedures and Mechanisms to Promote Compliance with this Protocol 
The Conference of the Parties serving as the meeting of the Partie s to this Protocol shall, at its first meeting, consider and approve cooperative procedures and institutional 
mechanisms to promote compliance with the provisions of this Protocol and to addre ss 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 pr ocedures and mechanisms under Article 27 of the 
Convention.   
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- 139 - 4.10  Nagoya – Kuala Lumpur Supplementary Protocol 
In accordance to Article 16, para graph 3, "[e]xcept as otherwise provided in this  Supplementary Protocol, the provisions of the  [CBD] and the [Cartagena] Protocol shal apply, 
mutatis mutandis , to this Supplementary Protocol."  
4.11  UNFCCC 
Article 13 – Resolution of Questions Regarding Implementation 
"The [COP] shall, at its first session, consider the establishment of a multilateral consultative process, available to Parties  on their request, for the resolution of questions 
regarding the implementation of the Convention". 
 Pursuant to Article 13, COP 4 considered the establishment of a Multilateral Consultative Committee (MCC) for the resolution o f questions regarding the implementation of the 
UNFCCC.  To date, the Parties have not esta blished such a Committee or adopted a multilateral consul tative process.  The propos ed MCC is to provide advice to Parties and to 
prevent disputes.  The nature of the MCC is to be facilitative, non-judicial, transparent and co-operative. The outcome of the MCC may include recommendations and any 
measures that the MCC deems suitable for the effective implementation of the Convention. Reporting  At COP 16, the COP decided to enhance repo rting in the national communications of Parties included in Annex I  to the Convention on mitigation targets and on the provision 
of financial, technological and capacity-building support to deve loping country Parties.  Developed countries are required to s ubmit annual GHG inventories and inventory reports 
and biennial reports on their pr ogress in achieving emission reductions, including information on mitigation actions to achieve  their quantified economy-wide emissions targets 
and emission reductions achieved, projected emissions and on the provision of financial, technology and capacity-building suppo rt to developing country Parties.  Developed 
countries are required to submit supplementary information on th e achievement of quantified economy-wide emission reductions.  COP 16 decided to enha nce the guidelines for 
the reporting as well as the guidelines for the re view of information in national communications. 
COP 16 also decided  to enhance reporting in national communications, including invent ories, from Parties not included in Annex I to the Convention (non-Annex I Parties ) on 
mitigation actions and their effects, and su pport received; with additional flexibility to be gi ven to the least developed coun try Parties and small island developing states.  The 
content and frequency of national communications from non-Annex I Parties will not be more onerous than that for Annex I Partie s.  Non-Annex I Parties are required to submit 
their national communications to the COP, in accordance with Ar ticle 12.1 of the Convention every four years or in accordance w ith any further decisions on frequency by the COP 
taking into account a differentiated timetable and the prompt prov ision of financial resources to cover the agreed full costs i ncurred by non-Annex I Parties in preparing their 
national communications.  Developing countries, consistent with  their capabilities and the leve l of support provided for report ing, are required also to submit biennial update 
reports, containing updates of national GHG inventories includin g a national inventory report an d information on mitigation act ions, needs and support received.  There will be a 
process for international consulta tions and analysis of the biennial reports in th e Subsidiary Body on Implementation, in a man ner that is non-intrusive, non-punitive and 
respectful of national sovereignty;   the international consultations and analysis aim to increase transparency of mitigation a ctions and their effects.  
4.12  Kyoto Protocol 
Article 16 
"The [CMP] to this Protocol shall, as soon  as practicable, consider the application to  this Protocol of, and modify as appropri ate, the multilateral consulta tive process referred to in 
Article 13 of the Convention, in the light of any relevant decisions that may be taken by the [COP].  Any multilateral consulta tive process that may be appl ied to this Protocol shall 
operate without prejudice to the procedures and mechan isms established in accordance with Article 18".  
Article 18  
"The [CMP] to this Protocol shall, at its first session, approv e appropriate and effective proced ures and mechanisms to determi ne and to address cases of non-compliance with the 
provisions of this Protocol, including through the development of an indicative list of consequences, taking into account the c ause, type, degree and frequ ency of non-compliance.  
Any procedures and mechanisms under this Article entailing bindin g consequences shall be adopted by means of an amendment to th is Protocol". 
 A strong compliance system has been developed to facilitate, promote and enforce compliance with the commitments under the Kyo to Protocol:  The Compliance Committee 
consists of an enforcement bran ch and a facilitative branch. 
The enforcement branch is responsible for de termining whether an Annex I Party is not in compliance with its emissions targets,  the methodological and reporting requirements 
for greenhouse gas inventories, and the eligibility requirements under the flexibility mechanisms.  In case of disagreements be tween a Party and an expert review team, the 
enforcement branch shall determin e whether to apply adjustments to greenhouse gas inventories or to correct 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)).  
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- 140 - The mandate of the facilitative branch is to provide advice and facilitation to Parties in implem enting the Protocol and to pro mote 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 mi tigating climate change in a way that minimizes 
their adverse impacts on developing countries and the use by Anne x I Parties of the mechanisms as "supplemental" to domestic ac tion.  Furthermore, the facilitative branch may 
provide "early warning" of potential non-compliance with emissions targets, methodological and reporting commitments relating t o greenhouse gas inventories, and commitments 
on reporting supplementary informatio n in a Party’s annual inventory. 
[For further information on the Compliance Co mmittee, including on questi ons of implementation that have been referred to it, p lease see the compliance home page on the 
UNFCCC website at: http://unfccc.int/kyo to_protocol/compliance/items/2875.php]. 
4.13  ITTA 
Article 19 – Administrative Account 
"...7. If a member has not paid its full contribution to the admi nistrative budget within four months after such contribution b ecomes due in accordance with paragraph 6 of this 
article, the Executive Director shall request that member to make  payment as quickly as possible.  If that member has still not  paid its contribution within two months after such 
request, that member shall be requested to state the reasons for its inability to make payment.  If at the expiry of seven mont hs 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 contributi on, unless the Council, by special vote, decides otherwise.  
If, on the contrary, a member has paid its full contribution to the administrative budge t within four months after such contrib ution becomes due in accordance with paragraph 6 of 
this article, the member's contribution sh all receive a discount as may be establishe d 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 ob ligations under this Agreement an d decides further that such brea ch significantly impairs the operation of this 
Agreement, it may, by special vote, exclude that member from th is Agreement.  The Council shall immediately so notify the depos itary.  Six months after the date of the Council's 
decision, that member shall cease to be a party to this Agreement". 
4.14  United Nations Fish Stocks Agreement 
 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 R FMA is not discharged from the 
obligation to cooperate, in accordance with the Convention and the Agreement, in the conservation and management of the relevan t 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 th e straddling fish stocks or hi ghly migratory fish stocks 
which are subject to the conservation and management measur es established by such an organization or arrangement. 
 Article 18  o f  P a r t  V  o n  " D u t i e s  o f  t h e  F l a g  S t a t e "  r e q u i r e s  t h e  f l a g  S t a t e  t o  e n s u r e  t h a t  v e s s e l s  f l y i n g  i t s  f l a g  c o m p l y  w i t h  s u b r e g i o n a l  and regional conservation and 
management measures.  It shall authorize vessels flying its flag to  fish on the high seas only where it is able to exercise eff ective control over such vessels.  To this end, a flag 
State is obligated to take measures vis-à-vis fishing vessels flying its flag that can ensure such control, including the estab lishment of a national record of fishing vessels 
authorized to fish on the high seas;  prohibition of high seas fishing without the necessary authorization;  requirement of per mits 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 FAO St andard Specifications for 
the Marking and Identification of Fishing Vessels;  obligation of  reporting relevant fisheries da ta; implementation of observer  programmes and national inspection schemes;  
implementation of vessel monitoring systems;  regulation of transshipment;  and an obligation for the flag State to ensure comp atibility of the national monitoring, control and 
surveillance system with existing subr egional, regional or global systems. 
  Part VI on "Compliance and Enfo rcement" (Articles 19-23) contai ns several provisions on compliance and enforcement, which invo lve compliance and enforcement by the flag 
State, the port State, as well  as a subregional and regional cooperative enforcement scheme that may involve non-flag State enf orcement. 
Article 19 – Compliance and en forcement by the flag State 
"1. A State shall ensure compliance by vessels flying its flag with subregional and regional conservation and management measur es for straddling fish  stocks and highly 
migratory fish stocks.  To this end, that State shall: 
(a) enforce such measures irrespec tive of where violations occur; 
(b) investigate immediately and fully any alleged violation of subregional or regional conservation and management measures, wh ich may include the physical inspection of 
the vessels concerned, and report promptly to the State alleging  the violation and the relevant subregional or regional organiz ation or arrangement on the progress and 
outcome of the investigation; (c) require any vessel flying it s flag to give information to the investigating authority regarding vessel position, catches, f ishing gear, fishing operatio ns and related activities  
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- 141 - in the area of an alleged violation; 
(d) if satisfied that sufficient evidence is available in respect of an alleged violation, refer the case to its authorities wi th a view to instituting pr oceedings without delay in 
accordance with its laws and, where appropriate, detain the vessel concerned;  and (e) ensure that, where it has been established, in accordance with its laws, a vessel has been involved in the commission of a serious violation of such measures, the vessel 
does not engage in fishing operations on th e high seas until such time as all outstanding sanctions imposed by the flag State i n respect of the violation have been complied 
with. 
2. All investigations and judicial proceedings shall be carried out expeditiously.  Sanctions applicable in respect of violatio ns 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 authorizations to serve as 
masters or officers on such vessels ...". 
Article 20 –  International cooperation in enforcement 
 Provides that States shall cooperate, either directly or thro ugh subregional or regional fisheries management organizations or  arrangements, to ensure compliance with and 
enforcement of subregional and regional conservation and manageme nt measures for straddling fish stocks and highly migratory fi sh stocks.  
Article 21 –  Subregional and regional cooperation in enforcement 
 Provides a subregional and regional cooperative scheme in enforc ement that may involve boarding and inspection by non-flag Sta te inspectors within the framework of an 
RFMO/A  
Article 22 – Basic procedures for boarding  and inspection pursuant to article 21 
 Provides for the basic procedures to be fo llowed by duly authorized inspectors from an  inspecting State in case of boarding an d inspection.   
Article 23 – Measures taken by a port State 
 Provides for enforcement measures, which ma y be taken by a port State, whenever fishing vessels are voluntarily in its ports o r at its offshore terminals.  Such measures may 
include inspection of documents, fishing ge ar and catch on board fishing vessels, and prohibition of landings and transhipments  if national regulations exist to this effect. 
4.15  Rotterdam Convention 
Article 17 – Non-compliance 
"The COP shall, as soon as pr acticable, develop and approve procedures and in stitutional mechanisms for determining non-complia nce with the provisions of this Convention and 
for treatment of Parties foun d to be in non-compliance". 
 The COP has been discussing the non-compliance mechanisms requir ed under Article 17 since its first meeting in 2004.  At its th ird meeting in October 2006, the Parties 
established a working group to further disc uss the mechanisms and procedures for non-compliance but no consensus was reached on  the text.12  The Parties agreed to use the 
draft text that resulted from the working group as the basi s for further work at the fo urth meeting of the COP.  
 At the fourth meeting of the COP in October 2008, the Parties conv ened to further consider  for adoption the procedures and ins titutional mechanisms on non-compliance 
required under Article 17 based on the draft text (Decision RC-4/7): 
"The COP (…) 1. Decides  to consider further at its next ordinary meeting for adoption the procedures and institutional mechanisms on non-compliance re quired under article 17 of 
the Convention; 2. Decides also that the draft text contained in the annex to the present decision shall be the basis for its further work on the procedur es and institutional mechanisms 
at its fifth meeting [in June 2011]." 
 At both the fifth and sixth meetings of the COP, in 2011 and 2013, 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 2015.  
                                               
12 The issues that are particularly contentious include: membersh ip, open versus closed meetings, the decision-making process, tr iggers for the non-compliance procedure, 
and possible measures to address non-compliance.    
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- 142 - 4.16  Stockholm Convention 
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 [COP] shall, as soon as practicable,  develop and approve procedures and institut ional mechanisms for determining non-compl iance 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 COP decided to convene an open-ended ad hoc working group on non-compliance (OEWG NC) to con sider procedures and institutional 
mechanisms on non-compliance under Article 17 of the Convention.  The working group recommended the establishment of a complian ce committee which is responsible for 
reviewing submissions made by one or more Parties and/or the Secretariat. 
  At its second meeting in 2006, the COP agreed to convene a second  meeting of the OEWG NC prior to its third meeting in order t o further consider the procedures and 
mechanisms on non-compliance. 
 At the third meeting of the COP, the Parties convened to negoti ate 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 fourth meeting of the COP, the Parties adopted Decision  SC-4/33 on further examination of the procedures and institutio nal mechanisms on non-compliance at the fifth 
meeting of the COP in April 2011.  At both the fifth and sixth meetings of the COP, in 2011 and 2013, efforts to adopt non-compliance procedures and mechanism, d id not succeed and this matter will therefore 
be considered again at the next Conference of the Parties in 2015. 
 
5  DISPUTE SETTLEMENT MECHANISM 
MEA Relevant Provision Any dispute? 
5.1  IPPC 
 Article XIII  – Settlement of disputes 
"1. If there is any dispute regarding the interpretation or appl ication of this Convention, or if a contracting party considers  that any 
action by another contracting party is in conflict with the obli gations of the latter under Articles V and VII of this Conventi on, 
especially regarding the basis of  prohibiting or restricting the imports of plants, plant products  or other regulated articles coming from 
its territories, the contracting parties concerned shall consult amon g th e ms el ves  as  s oon  as  pos sibl e  wi th  a view t o re s ol vin g the 
dispute.  2. If the dispute cannot be resolved 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 rule s and 
procedures that may be esta blished by the Commission.  
3. This Committee shall include representatives designated by ea ch contracting party concerned.  The Committee shall consider t he 
question in dispute, taking into account all documents and othe r forms of evidence submitted by the contracting parties concern ed. 
 
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 Co mmission, and it sha ll be 
transmitted by the Director-General to the contracting parties conc erned.  The report may also be  submitted, upon its request, to the 
competent body of the international organizati on 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 basis for renewed consideration by the contracting parties conc erned of the matter out of which the disagreement arose.  
5. The contracting parties concerned shall share the expenses of the experts.  6. The provisions of this Article shall be complementary to and not in derogation of the disput e settlement procedures provided  for 
in other international agreements  dealing with trade matters". No formal 
disputes, but 
many resolved in 
informal 
discussions.   
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- 143 - MEA Relevant Provision Any dispute? 
 The Interim Commission established the Subsidiary Body on Dispute Settlement (SBDS) in 2001.  The first meeting was held in 
April 2003.  The SBDS is composed of seven experts, one from each of the seven FAO geographic regions.  The role of the SBDS is  to 
assist the IPPC Secretariat in helping contracting parties select a suitable dispute settlement system. The SBDS developed a Di spute 
Settlement Manual in 2006 to facilitate the implementation of the Convention's dispute settlement rules and procedures. 
 The IPPC Dispute Settlement System Manual is available on the IPPC website at: 
https://www.ippc.int/index.php?id=1110798&tx_publication_pi1[ showUid]=144307&frompage=13412&type=publication&subtype=&L
=0#item 
5.2  ICCAT  No provisions No 
5.3  CITES Article XVIII – Resolution of Disputes  
"1. Any dispute which may arise between two or more Parties with respect to the interpretation or application of the provisions  of 
the present Convention shall be subject to negotiat ion between the Parties involved in the dispute. 
2. If the dispute can not be resolved in accordance with paragrap h 1 of this Article, the Parties may, by mutual consent, submi t the 
dispute to arbitration, in partic ular that of the Permanent Court of Arbitration at The Hague, and the Parties submitting the d ispute 
shall be bound by the arbitral decision". No 
5.4  CCAMLR Article XXV 
"1. If any dispute arises between two or more of the Contractin g Parties concerning the interpretation or application of this 
Convention, those Contracting Parties shall co nsult 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 th e consent in each case of all Parties to the dispute, be referre d for 
settlement to the ICJ or to arbitration;  but failure to reach agreement on reference to the International Court or to arbitrat ion shall 
not absolve Parties to the dispute from the re sponsibility of continuing to seek to reso lve it by any of the various peaceful m eans 
referred to in paragraph 1 above. 3. In cases where the dispute is referred to arbitration, the ar bitral tribunal shall be constituted as provided in the Annex t o this 
Convention". No 
5.5  Montreal 
Protocol  Article 11 of the Vienna Convention for the Protection of the Ozone Layer applies to the Montreal Protocol and its amendments with 
regard to disput e settlement.  
Vienna Convention:  Article 11 – Settlement of disputes "1. In the event of a dispute between Parties concerning the inte rpretation or application of th is Convention, the parties conc erned 
shall seek solution by negotiation. 2. If the parties concerned cannot reach agreement by negotiation,  they may jointly seek the good offices of, or request mediat ion 
by, a third party. 3. When ratifying, accepting, a pproving 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 fo llowing means of dispute settlement as compulsory: 
(a) Arbitration in accordance with procedures to be adopted by the [C OP] at its first ordinary meeting; 
(b) Submission of the dispute to the [ICJ].  
4. If the parties have not, in accordance with paragraph 3 ab ove, accepted the same or any procedure, the dispute shall be 
submitted to conciliation in accordance with para graph 5 below unless the parties otherwise agree. 
5. A conciliation commission shall be created upon the request of  one of the parties to the dispute.  The commission shall be 
composed of an equal number of members appointed by each party concerned and a chairman chosen jointly by the members 
appointed by each party. The co mmission shall render a final and recommendatory award, which the parties shall consider in good  
faith. 6. The provisions of this Article shall apply with respect to any protocol except as provided in the protocol concerned". No  
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- 144 - MEA Relevant Provision Any dispute? 
5.6  Basel 
Convention 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 choi ce. 
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 Arb itration.  
However, failure to reach common agreement on submission of the dispute to the ICJ or to arbitration shall not absolve the Part ies 
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 organi z a t i o n  m a y  d e c l a r e  t h a t  i t  r e c o g n i z e s  a s  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 the procedures set out in Annex VI. 
Such declaration shall be notified in writing to the Secretariat which shall communicate it to the Parties". 
 In the event that arbitration is the chosen method (Annex VI),  the tribunal is to draw up its own rules of procedure and rende r its 
decision in accordance with international law and with the provisions of the Convention.  It may take all appropriate measures to 
establish the facts of the dispute and shall render a decision wi thin a specified time limit.  The award of the arbitral tribun al shall be 
accompanied by a statement of reasons and be fi nal and binding on the Parties to the dispute.  No 
5.7  CBD Article 27 – Settlement of Disputes 
"1. In the event of a dispute between Contracting Parties concerni ng the interpretation or application of this Convention, the parties 
concerned shall seek solution by negotiation.  2. If the parties concerned cannot reach agreement by negotiation,  they may jointly seek the good offices of, or request mediat ion 
by, a third party.  3. When ratifying, accepting, a pproving 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 fo llowing means of dispute settlement as compulsory:  
(a) Arbitration in accordance with the procedure laid down in Part 1 of Annex II;   (b) Submission of the dispute to the [ICJ]. 
4. If the parties to the dispute have not, in accordance with pa ragaph 3 above, accepted the same or any procedure, the dispute  
shall be submitted to conciliation in accordance with Part 2 of Annex II unless the parties otherwise agree.  5. The provisions of this Article shall apply with respect to an y protocol except as otherwise provided in the protocol concern ed". 
 
 The procedures for arbitration are set out in Part 1 of Annex II .  The award of the arbitral tribunal is binding on the partie s to the 
dispute.  In the event of a conflict between two Parties, the ar bitral provisions provide for th e standard three-member panel, as 
described under the Montreal Protocol and the Basel Convention.  If more Parties are involved, Parties "in the same interest" a re to 
nominate a "common" arbitrator.   If the dispute is not submitted to arbitration or the ICJ becaus e either the Parties have not chosen a procedure, or each has chosen 
a different procedure, the dispute must be submitted to concilia tion.  Conciliation does not lead  to a binding decision, unless  the 
Parties agree otherwise, but the proposals fo r resolution of the dispute must be considered in good faith.  The procedures for the five-
member conciliation commission are set out in Part 2 of Annex II. No 
5.8  Cartagena 
Protocol  According to Article 27(5) of the CBD and 32 of the Protocol, th e dispute settlement provisions of the CBD in Article 27 apply  to the 
Protocol  No 
5.9  Nagoya 
Protocol  No provisions  No  
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- 145 - MEA Relevant Provision Any dispute? 
5.10  Nagoya – 
Kuala Lumpur 
Supplementay 
Protocol  No express provisions. However, in accordance to Article 16, paragraph 3, "[e]xcept as otherwise provided in this Supplementary  
Protocol, the provisions of the [CBD] and the [Cartagena] Protocol shal apply, mutatis mutandis , to this Supplementary Protocol."  No 
5.11  UNFCCC Article 14 – Settlement of Disputes 
"1. In the event of a dispute between any two or more Parties co ncerning the interpretation or application of the Convention, t he 
Parties concerned shall seek a settlement of the dispute throug h negotiation or any other peaceful means of their own choice. 
2. When ratifying, accepting, ap proving or acceding to the Convention, or at any time thereafter, a Party which is not a region al 
economic integration organization may declare in a written instrument submitted to the Depositary that, in respect of any dispu te 
concerning the interpretation or application of the Convention, it recognizes as compulsory ipso facto and without special agre ement, 
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 [COP] as soon as practicable, in an annex on arbitration. 
 A Party which is a regional economic integration organization may make a declaration with like effect in relation to arbitratio n in 
accordance with the procedures referr ed to in subparagraph (b) above. … 
5. Subject to the operation of paragraph 2 above, if after twelve  months following notification by one Party to another that a 
dispute exists between them, the Parties concerned have not been  able to settle their dispute through the means mentioned in 
paragraph 1 above, the dispute shall be su bmitted, 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 
composed of an equal number of members appointed by each party concerned and a chairman chosen jointly by the members 
appointed by each party.  The commission shall render a recommendatory award, which the parties shall consider in good faith. 
7. Additional procedures relating to conci liation shall be adopted by the COP, as soon  as practicable, in an annex on conciliat ion. 
8. The provisions of this Article shall apply to any related legal instrument which the COP may adopt, unless the instrument provides otherwise".  No 
5.12  Kyoto 
Protocol Article 19 
"The provisions of Article 14 of the Conventi on on settlement of disputes shall apply mutatis mutandis  to this Protocol". No 
5.13  ITTA Article 31 – Complaints and disputes  
"Any complaint that a member has failed to fulfil its obligati ons under this Agreement and any dispute concerning the interpret ation or 
application of this Agreement shall be referred to the Council for decision.  Decisions of the Council on these matters shall b e final and 
binding". No 
5.14  United 
Nations Fish 
Stocks 
Agreement  Part VIII on Peaceful Settlement of Disp utes (Articles 27-32) contains provisions fo r the peaceful settlement of disputes aris ing out 
of the implementation of the Agreement.  
Article 27 – Obligation to settle disputes by peaceful means "States have the obligation to settle their disputes by negotiation, inquiry, mediation, conciliation, arbitration, judicial se ttlement, 
resort to regional agencies or arrangements, or other peaceful means of their own choice". 
Article 28 – Prevention of disputes "States shall cooperate in order to prevent disputes.  To this end, States shall agree on efficient and expeditious decision-ma king 
procedures within subregional and regional fisheries management  organizations and arrangements and shall strengthen existing 
decision-making proced ures as necessary". 
Article 29 – Disputes of a technical nature "Where a dispute concerns a matter of a technical nature, the St ates concerned may refer the dispute to an ad hoc expert panel 
established by them.  The panel shall confer with the States co ncerned and shall endeavour to resolve the dispute expeditiously  No  
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- 146 - MEA Relevant Provision Any dispute? 
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 a lso 
Parties to UNCLOS.  The procedures also apply mutatis mutandis  to any dispute between State Parties to the Agreement concerning 
the interpretation or application of a subregional, regional or global fisheries agreement relating to straddling fish stocks o r highly 
migratory fish stocks to which they are pa rties, including any dispute concerning the conservation and management of such stock s, 
whether or not they are also Parties to the Convention.  Article 31 – Provisional measures "1. Pending the settlement of a dispute in accordance with this Part, the parties to the dispute shall make every effort to ent er into 
provisional arrangements of a practical nature. 2. Without prejudice to article 290 of the Convention, the court or tribunal to which the dispute has been submitted under this  Part 
may prescribe any provisional measures which it considers approp riate 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 artic le 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, paragr aph 
5, of the Convention, the International Tribunal for the Law of th e Sea shall not be entitled to prescribe, modify or revoke pr ovisional 
measures without the agreement of such State".  The relevant provisions of UNCLOS 
 Part XV of UNCLOS requires that State Parties to the Convention settle any dispute between them concerning the 
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 procedur es entailing non-binding decisions under Part XV, Section 1, 
the dispute shall be submitted at the request of any party, to the compulsory procedures entailing binding decisions provided 
for in Section 2 of Part XV.   
 Article 287 lists the following courts or tribunals as means for the settlement of disputes under Section 2:  
- ITLOS (established in accordance with Annex VI of the Convention) including the Seabed Disputes Chamber; 
- the 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 applic ations submitted to it in ac cordance 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 re lating to the living resources in the EEZ, or the exercise of 
such rights in that zone, are excluded from the compulsory pr ocedures entailing binding decisions provided for in Part XV, 
Section 2.   
Where no settlement has been reached by recourse to Part XV, Se ction 1, such disputes shall be submitted to the compulsory 
conciliation procedure established under Annex V, Section 2 of UNCLOS.  Under such a procedure, only the submission to the 
proceedings is compulsory since the report of the commission of conciliation, includin g its conclusions or recommendations, rem ains 
non-binding upon the Parties to the dispute. 
5.15  Rotterdam 
Convention Article 20 – Settlement of disputes 
"1. Parties shall settle any dispute between them concerning the interpretation or application of this Convention through negot iation 
or other peaceful means of their own choice. No  
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2. When ratifying, accepting, approving or acceding to this Convention, or at any time thereafter, a Party that is not a region al 
economic integration organization may declare in a written instrument submitted to the Depositary that, with respect to any dis pute 
concerning the interpretation or application of the Convention, it  recognizes one or both of the following means of dispute set tlement 
as compulsory in relation to any Party accepting the same obligation: 
(a) Arbitration in accordance with proced ures to be adopted by the [COP] in an  annex as soon as practicable;  and 
(b) Submission of the dispute to the [ICJ]. 
3. A Party that is a regional economic integration organization may make a declaration with like effect in relation to arbitrat ion in 
accordance with the procedure re ferred to in paragraph 2 (a). 
4. A declaration made pursuant to paragraph 2 shall remain in force until it expires in accordance with its terms or until thre e 
months after written notice of its revocation has been deposited with the Depositary. 5. The expiry of a declaration, a notice of revocation or a ne w declaration shall not in any wa y affect proceedings pending bef ore 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 a ble 
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 re quest of any party to the dispute.  The conciliation commissio n shall 
render a report with recommendations.  Addi tional procedures relating to the conciliation commission shall be included in an an nex to 
be adopted by the [COP] no later than the second meeting of the Conference". 
 In Decision RC-1/11, COP 1 established rules for the settlement of disputes:  
 In cases of Arbitration under Article 20 paragraphs 1-5, an Ar bitration Tribunal shall be established, consisting of three 
members, which renders a decision within five months of being fully constituted.  The decision  is binding betw een the Parties 
to the dispute and Parties intervening under Article 10, insofa r as it relates to matters in respect of which that Party 
intervened.  The award shall be without appeal unless the Part ies to the dispute have agreed in advance to an appellate 
procedure. 
 In cases of conciliation under Article 20 paragraph 6, a conci liation commission shall be es tablished composed of five 
members.  It shall take its decision by majority vote of its members and shall render a report for the resolution within 12 
months of being established. 
5.16  Stockholm 
Convention Article 18 – Settlement of disputes 
"1. Parties shall settle any dispute between them concerning the interpretation or application of this Convention through negot iation 
or other peaceful means of their own choice. 2. When ratifying, accepting, approving or acceding to the Convention, or at any time thereafter, a Party that is not a regiona l 
economic integration organization may declare in a written instrument submitted to the depositary that, with respect to any dis pute 
concerning the interpretation or application of the Convention, it  recognizes one or both of the following means of dispute set tlement 
as compulsory in relation to any Party accepting the same obligation: 
(a) Arbitration in accordance with proc edures to be adopted by the [COP] in  an annex as soon as practicable; 
(b) Submission of the dispute to the [ICJ]. 
3. A Party that is a regional economic integration organization may make a declaration with like effect in relation to arbitrat ion in 
accordance with the procedure re ferred to in paragraph 2 (a). 
4. A declaration made pursuant to paragraph 2 or paragraph 3 sha ll remain in force until it expi res in accordance with its term s or 
until three months after written notice of its revocation has been deposited with the depositary. 5. The expiry of a declaration, a notice of revocation or a ne w declaration shall not in any wa y affect proceedings pending bef ore 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 a ble 
to settle their dispute within twelve months following notification by one party to another that a dispute exists between them,  the No  
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- 148 - MEA Relevant Provision Any dispute? 
dispute shall be submitted to a conciliation commission at the re quest of any party to the dispute.  The conciliation commissio n shall 
render a report with recommendations.  Addi tional procedures relating to the conciliation commission shall be included in an an nex to 
be adopted by the [COP] no late r than at its se cond meeting". 
 
6  PROVISIONS FOR NON-PARTIES 
6.1  IPPC 
Article XVIII – Non-contracting parties 
"The contracting parties shall encourage any state or member organization of FAO, not a party to this Convention, to accept thi s Convention, and shall encourage any non-
contracting party to apply phytosanitary meas ures consistent with the provisions of th is Convention and any international stand ards adopted hereunder". 
6.2  ICCAT 
 In 1997, the Commission adopted a Resolution urging non-contractin g parties, entities or fishing entities known to be fishing i n 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 Fishi ng 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 Ph ilippines was also granted Cooperating Stat us.  Cooperating Status was granted to G uyana in 2003 and to the Netherlands Antilles in 
2004.  In 2002, Mexico became a member of ICCAT.  In 2004, the Ph ilippines became a member of ICCAT.  This 1997 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:  Chinese Taipei, Colombia , Curaçao (formerly Netherlands Antilles), 
El Salvador and Suriname.  
Recommendation 03-20 on Criteria for Attaining the Status of Cooperating Non-Contracting Party, Entity or Fishing Entity (Enter ed into Force on June 19, 2004) 
"… 1. Each year, the Executive Secretary of ICCAT shall contact all non-Contracting Parties, Entities, or Fishing Entities known to b e fishing in the Convention area for species 
under ICCAT competence to urge them to beco me a Contracting Party to ICCAT or to atta in the status of a Cooperating non-Contrac ting Party, Entity or Fishing Entity. In doing 
so, the Executive Secretary shall provide a copy of all releva nt Recommendations and Resoluti ons adopted by the Commission. 
2. Any non-Contracting Party, Entity, or Fishing Entity that seek s to be accorded the status of a Cooperating non-Contracting P arty, Entity or Fishing Entity shall apply to the 
Executive Secretary. Requests must be received by the Executive Se cretary no later than ninety (90) days in advance of an ICCAT  annual meeting, to be considered at that 
meeting. 3. Non-Contracting Parties, Entities or Fishing Entities requesti ng the status of Cooperating no n-Contracting Party, Entity or Fishing Entity shall provide the following 
information in order to have this status considered by the Commission:  
a) where available, data on its historical fisheries in the Co nvention area, including 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 presence 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 thi s research. 
4. An applicant for Cooperating non-Contracting Part y, Entity or Fishing En tity Status shall also: 
a) confirm its commitment to respect the Commissi on’s conservation and management measures and; 
b) inform ICCAT of the measures it takes to ensure compliance by  its vessels with ICCAT conservation 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 reviewing 
requests for Cooperating Status and for reco mmending to the Commission whether or not an applicant should receive Cooperating S tatus.  In this review, the PWG shall also 
consider information regarding the applicant available from other Regional Fisheries Management Organizations (RFMOs) as well a s 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 regi ons or IUU fishing activities in granting Cooperating 
Status to the applicant.   
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- 149 - 6. Cooperating non-Contracting Part ies, Entities or Fishing Entity status shall be  annually reviewed and renewed unless revoked  by the Commission due to non-compliance with 
ICCAT conservation and management measures....". 
6.3  CITES 
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 th e present Convention, comparable documentation is sued by the competent authorities in that State 
which substantially conforms with the requirements of the presen t Convention for permits and cert ificates may be accepted in li eu 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 ju stification for omitting such certification; 
iv) in the case of export of specimens of a species included in Appendix I or II, certification to the effect that the competen t scientific institution has advised that the export 
will not be detrimental to the survival of the species (in case of  doubt a copy of such advice should be required) and that the  specimens were not obtained in contravention 
of the laws of the State of export; v) in the case of re-export, certification to the effect that the competent authority of the country of origin has issued an ex port 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, certif ication to the effect that they will be transported in a manner  that will minimize the risk of injury, damage to 
health or cruel treatment; 
b) Parties accept docu mentation from States not party to the Convention only if details of the competent authorities and scient ific institutions of such States are included in 
the most recent updated list of the Secretariat or after consultation with the Secretariat; c) the recommendations above also apply to specimens in transit destined for or coming from Stat es not party to the Convention,  including specimens in transit between 
such States; d) particular attention be given to the inspection of specimens in transit exported or re-expor ted from, and/or destined for St ates not party to the Convention and to the 
inspection of documentation for such specimens; e) Parties authorize import from and export or re-export to States not party to the Convention of specimens of wild origin of A ppendix-I species only in special cases where 
it benefits the conservation of the species or provides for the welfare of the specimens, and only after consultation with the 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 Convent ion in a manner detrimental to the survival of 
that species, it: 
i) consult directly with the competent authorities of the State concerned; and 
ii) if necessary, make use of the options pr ovided by Article X, to reject permits, or  Article XIV, paragraph 1 (a), to take st ricter measures as appropriate; 
g) Parties allow import from States not part y to the Convention of captive-bred and ar tificially propagated  specimens of Append ix-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 Convention;. 
Instructs the 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, together with the date on which the details  were received"; 
 The following non-parties have provided the information requeste d by Resolution Conf. 9.5 (Rev. CoP16) (i.e. proof that compar able documentation is  being issued by 
competent authorities):  Andorra; Angola; Cook Islands; Democratic People’s Republic of Korea;  Haiti; Iraq; Kiribati;;  Marsha ll Islands;  Federated States of Micronesia;  ; 
 
Tajikistan; and Tonga.  
 China is a Party to CITES.  Hong Kong, China and Macao, Ch ina, however, have their own CITES Management Authorities.  
 Key non-parties currently in the process of  adhering to the Convention include:  Angola;  Iraq, Tajikistan and Turkmenistan.  
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- 150 - 6.4  CCAMLR 
Article X 
"1. The Commission shall draw the attention of any State which is not a Party to this Convention to any activity undertaken by its nationals or vessels which, in the opinion of 
the Commission, affects the implementation of the objective of this Convention".... Conservation Measure 10-07 (2009) – Scheme to Promote Compliance by Non-Contracting Party Vessels with CCAMLR Conservation Meas ures 
"...1. The Contracting Parties re quest non-Contracting Parties to cooperate fully with the Commission with a view to ensuring t hat 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 Convention Area that threaten 
to undermine the effectiveness of CCAMLR conservation measures, an d 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 bee n denied port access, landing or transhipment in 
accordance with Conservation Measure 10-03 is presumed to be und ermining the effectiveness of CCAMLR conservation measures. In the case of any transhipment activities 
involving a sighted non-Contracting Party vessel inside or outs ide the Convention Area, the presumption of undermining the effe ctiveness of CCAMLR conservation measures 
applies to any other non-Contracting Party vessel which has engaged in su ch activities with that vessel. 
5. When a non-Contracting Party ve ssel referred to in paragraph 4 enters a port of  any Contracting Party, it shall be inspected  by authorised Contracting Party officials in 
accordance with Conservation Measure 10-03 and shall not be allo wed to land or tranship any fish species subject to CCAMLR cons ervation measures it might be holding on board 
unless the vessel establishes that the fish were caught in compli ance with all relevant CCAMLR conservation measures and requir ements under this Convention. 
6. A Contracting Party which sights a non-Contracting Party vessel engaging in fishing activities in the Convention Area or den ies a non-Contracting Party port access, landing 
or transhipment under paragraph 5 shall attempt to inform the vess el that it is presumed to be undermining the effectiveness of  CCAMLR conservation measures, and that this 
information will be distributed to the Executive Secretary, all Contracting Parties and the Flag State of the vessel. 
7. Information regarding such sightings or denial of port access, landings or transhipments, and the result of all inspections conducted in the ports of Contracting Parties, and 
any subsequent action shall be transmitted within one business day to the Commission in accordance with Article XXII of the Con vention. 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 vessel conce rned as soon as possible and to appropriate regional 
fisheries organisations. At this time, the Executive Secretary sh all, in consultation with the Chair of the Commission, request  the Flag State concerned that, where appropriate, 
measures be taken in accordance with its 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 St ate report back to CCAMLR on the results of  such enquiries and/or on the measures it  has taken in respect of the vessel.... 
9. In order for a non-Contracting Party’s ve ssel to be included in the NCP-IUU Vessel  List, there must be evidence, gathered in  accordance with paragraphs 3 and 8, that the 
vessel has: 
(i) been sighted engaging in fishing acti vities in the CCAMLR Convention Area; or 
(ii) been denied port access, landin g or transhipment in accordance wi th Conservation Measure 10-03; or 
(iii) transhipped or participated in joint fishing operations wi th, supported or resupplied othe r vessels identified by CCAMLR as carrying out IUU fishing activities (i.e. vessels 
on the NCP-IUU Vessel List or the CP-IUU Vessel List established under Conservation Measure 10-06); or (iv) failed to provide, when required under Cons ervation 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...; or 
(vi) engaged in fishing activities contrary to any other CCAMLR conservation measures in a manner that undermines the attainmen t of the objectives of the Convention 
according to Article XXII of the Convention.... 
18. SCIC shall recommend that the Commission should remove a ve ssel from the NCP-IUU Vessel List if the non-Contracting Party p roves 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 NCP -IUU Vessel List; or 
(ii) it has taken effective action in resp onse to the activities in question, includ ing prosecution and imposition of sanctions  of adequate severity; or 
(iii) the vessel has changed ownership includ ing 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 inte rests in the vessel, or exercises control over it and that the n ew owner has not participated in IUU fishing; or 
(iv) it has taken measures considered sufficient to ensure the gr anting of the right to the vessel to fly its flag will not res ult in IUU fishing.... 
21. On approval of the NCP-IUU Vessel List, the Commission shal l request non- Contracting Partie s whose vessels appear thereon to take all necessary measures to address 
these activities, including if necessary, the withdrawal of the re gistration or of the fishing licences of these vessels, the n ullification 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.  
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- 151 - 22. Contracting Parties shall take all necessary measures, to the extent possible in accordance wi th their applicable laws and regulations, in order that: 
(i) the issuance of a licence to vessels on the NCP-IUU Vessel Li st to fish in waters under their fisheries jurisdiction is pro hibited; 
(ii) fishing vessels, support vessels, refuel vessels, mother-shi ps and cargo vessels flying thei r flag do not in any way assis t vessels on the NCP-IUU Vessel List by 
participating in any transhipment or  joint fishing operations, supportin g or resupplying such vessels;  
(iii) vessels on the NCP-IUU Vessel List should be denied acce ss to ports unless for the purpose of enforcement action or for r easons of force majeure  or for rendering 
assistance to vessels, or persons on those vessels, in danger or  distress.  Vessels allowed entry to port are to be inspected i n accordance with relevant conservation 
measures;  (iv) where port access is granted to such vessels: 
(a) documentation and other information, including DCDs where rele vant are examined, with a view to verifying the area in which  the catch was taken; and where the 
origin cannot be adequately verified, the catch is detained or any landing or tran shipment of the catc h is refused; and  
(b) where possible  
i. in the event catch is found to be taken in contravent ion of CCAMLR conservation meas ures, 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, export s and re-exports of Dissostichus  spp. from vessels on the NCP-IUU Vessel List are prohibited;  
(viii) ‘Export 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 enco uraged to refrain from dealing with and from transhipping of f ish caught by vessels on the NCP-IUU Vessel 
List;    (x) any appropriate information which is suit ably documented is collected and submitted to the Executive Secretary, to be forwa rded to Contracting Parties and non-
Contracting Parties, entities or fishing en tities cooperating with the Commission by participating in the CDS, with the aim of detecting, controlling  
and preventing the importation or exportation of, and other trade-related activities relating to, catches from vessels on the N CP-IUU Vessel List intend ed 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 non-Contracting Parties. In 
this respect, Contract ing Parties may cooperate to adopt a ppropriate multilaterally  agreed trade-related measures, consistent w ith their obligations as members of the World 
Trade Organization, that may be necessary to prevent, deter and eliminate the IUU activities identified by the Commission. Mult ilateral trade-related me asures may be used to 
support cooperative efforts to ensure that trade in Dissostichus  spp. and its products does not in any way encourage IUU fishing or otherwise diminish the effectiveness of 
CCAMLR’s conservation measures which are consistent with th e United Nations Convention on the Law of the Sea 1982." 
Policy to Enhance Cooperation betwee n 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 ei ther 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 t he 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 obse rvers at meetings of the Commis sion in order to improve their  understanding of the work of the 
Commission and the effe cts of IUU fishing; 
(b) encourage non-Contracting Parties to accede to the Convention; (c) inform non-Contracting Part ies of the development and im plementation 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 CCAML R Catch Documentation Scheme and draw their attention to the c onsequences for them of not 
participating; 
(e) request non-Contracting Parties to prevent their flag vessels  from fishing in the Convention Area in a manner which undermi nes the effectiveness of measures adopted 
by CCAMLR to ensure conservation and sustainably managed fisheries; 
(f) if their flag vessels are involved in IUU fishing, request non-Contracting Parties to provide information to the CCAMLR Sec retariat on their vessel s’ activities, including 
catch and effort data; 
(g) seek the assistance of non-Contracting Parties in investigating the activities of their flag vessels suspected of being inv olved in IUU fishing, including inspecting such  
  WT/CTE/W/160/Rev.6 • TN/TE/S/5/Rev.4  
 
- 152 - vessels when they next reach port; 
(h) request non-Contracting Partie s to report to the CCAMLR Secretariat on landin gs and transhipments in their ports in accorda nce with the format specified in Attachment 
A; and 
(i) request non-Contracting Parties to deny landing or transhipme nts in their ports for fish harvested in CCAMLR waters not tak en in compliance with CCAMLR conservation 
measures and requirements under the Convention."  
6.5  Montreal Protocol  
 See Article 4 (in Section II above). 
 According to Article 4:8, trade rest rictions do not apply if a non-party is in compliance with the Protocol. 
6.6  Basel Convention 
Article 4 – General Obligations 
"...5. A Party shall not pe rmit hazardous wastes or other wastes to be exported to a non- Party or to be imported from a non-Par ty". 
Article 7 – Transboundary Move ment from a Party through States which are not Parties  
"Paragraph 1 of Article 6 of  the Convention shall apply mutatis mutandis  to transboundary movement of hazardous wastes or other wastes from a Party th rough a State or States 
which are not Parties". Article 11 – Bilateral, Multilateral and Regional Agreements "1. Notwithstanding the provisions of Article 4 paragraph 5, Parties may enter into bilateral, multilateral, or regional agreem ents or arrangements regarding transboundary 
movement of hazardous wastes or other wastes  with Parties or non-Parties provided that such agreements or arrangements do not d erogate from the environmentally sound 
management of hazardous wastes and other wastes as required by this Convention.  These agreements  or arrangements shall stipula te provisions which are not less 
environmentally sound than those provided fo r by this Convention in particular taking  into account the interests of developing countries. 
2. Parties shall notify the Secretariat of any bilateral, multilateral or regional ag reements or arrangements referred to in pa ragraph 1 and those which they have entered into 
prior to the entry into force of this Convention for them, for the purpose of controlling transboundary movements of hazardous wastes and other wastes wh ich take place entirely 
among the Parties to such agreements.  The provisions of this Convention shall not affect transboundary movements which take pl ace pursuant to such agreements provided that 
such agreements are compatible with the environmentally sound mana gement of hazardous wastes and other wastes as required by th is Convention".  
 Parties can consent to transboundary mo vements with non-parties provided the pr ovisions in the Convention are met. 
6.7  CBD 
 There are no articles that deal directly with the rights of non-parties.  According to rules of procedure of the COP, meetings  of the Convention are open to non-parties as 
observers.  A few non-parties have submitte d 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 submit ted a "Voluntary Report on Impl ementation of Expanded Programme  of Work on Forests." 
6.8  Cartagena Protocol 
Article 24 – Non-Parties 
"1. Transboundary movements of [LMOs] betwee n Parties and non-Parties shall be consiste nt with the objective of this Protocol.  The Parties may enter into bilateral, regional 
and multilateral agreements  and arrangements with no n-Parties regarding such transboundary movements. 
2. The Parties shall encourage non-Parties to  adhere to this Protocol and to contribu te appropriate information to the [BCH] on  [LMOs] released in, or moved into or out of, 
areas within their national jurisdictions". 
 In Decision BS-I/11 COP-MOP 1 adopted a guid ance on the transboundary movement of LMOs between Parties and non-Parties.  Accord ing to this, in exporting LMOs to non-
Parties, Parties should ensure prior notifi cation 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 confidenti al information received from non-Parties a nd monitor transboundary movements of LMOs 
between Parties and non-Parties.  Non-Parties are encouraged to ratify the Protocol, cooperate with Parties to achieve the Prot ocol's objective, adhere to the provisions of the 
Protocol on a voluntary basis, make availa ble to the Biosafety Clearing-House informat ion required under the Protocol and parti cipate in capacity-building activities.   
  WT/CTE/W/160/Rev.6 • TN/TE/S/5/Rev.4  
 
- 153 - 6.9  Nagoya Protocol  
Article 18ter: Non-Parties 
The Parties shall encourage non-Parties to ad here to this Protocol and to contribute appropriate information to the Access and Benefit-sharing Clearing-House. 
6.10  Nagoya – Kuala Lumpur Supplementary Protocol 
Article 3: Scope  
"… 7. Domestic law implementing this Supplementary Protocol shall also apply to damage resulting from transboundary movements of l iving modified organisms from non-Parties."   
6.11  UNFCCC 
No provisions 
6.12  Kyoto Protocol 
No provisions 
6.13  ITTA 
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 organiza tion 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 participation in the Council and to provide in put to the Council's decision-making process. These 
are the Trade Advisory Group and th e Civil Society Advisory Group. 
6.14  United Nations Fish Stocks Agreement 
Article 33 – Non-parties to this Agreement 
"1. States Parties shall encourage non-partie s to this Agreement to become parties th ereto and to adopt laws and regulations co nsistent with its provisions. 
2. States Parties shall take measures consistent with this Agreement and international law to deter the activities of vessels f lying the flag of non-parties which undermine the 
effective implementation  of this Agreement". 
6.15  Rotterdam Convention 
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 imp ort of a chemical or to consent to its import only 
under specified conditions shall, if it has not already done so, simultaneously prohibit or make  subject to the same conditions :  
(a) Import of the chemical from any source ...".  
  WT/CTE/W/160/Rev.6 • TN/TE/S/5/Rev.4  
 
- 154 - 6.16  Stockholm Convention 
Article 3 – Measures to reduce or eliminate releases from intentio nal production and use 
"(...)2. Each Party shall take me asures to ensure: (...) 
(b) That a chemical listed in Annex A for which any production or use specific exemption is in effect or a chemical listed in A nnex B for which any production or use specific 
exemption or acceptable purpose is in effect, taking into account any relevant provisions in existing international prior infor med consent instruments,  is exported only: 
(i) For the purpose of environmentally sound disposal  as set forth in paragraph 1 (d) of Article 6; 
(ii) To a Party which is permitted to use that  chemical under Annex A or Annex B;  or  
(iii) To a State not Party  to this Convention which has provided an annual certification to the exporting Party.  Such certification shall specify the in tended use of the 
chemical and include a statement that, with respect to  that chemical, the import ing State is committed to: 
a. Protect human health and the environment by taking th e necessary measures to minimize or prevent releases; 
b. Comply with the pr ovisions of paragraph 1 of Article 6;  and 
c. Comply, where appropriate, with the provisio ns of paragraph 2 of Part II of Annex B. 
The certification shall also include any appropriate supporting documentation, such as legislation, regulatory instruments, or administrative or policy guidelines.  The exporting 
Party shall transmit the certification to the Secretariat within sixty days of receipt (...)". 
 
_______________ 
  
  
  WT/CTE/W/160/Rev.6 • TN/TE/S/5/Rev.4  
 
- 155 - ANNEX 1 – MEMBERSHIP IN WTO AND MEAS – COMPARATIVE TABLE    
Basel Convention 
Basel Convention, Ban Amendment  
Basel Convention, Protocol on 
Liability (not yet in force) 
Rotterdam Convention 
Stockholm Convention 
CBD 
CBD: Nagoya Protocol (not yet in 
force)  
CBD: Cartegena Protocol 
CBD: Nagoya - KL Supp. Protocol 
(not yet in force)  
CITES 
CITES: Bonn Amendment 
CITES: Gaborone Amendment (not 
yet in force) 
CCAMLR 
ICCAT 
ITTA 
IPPC 
Vienna Convention 
Montreal Protocol (MP) 
MP - London Amendment 
MP - Copenhagen Amendment 
MP - Montreal Amendment 
MP - Beijing Amendment 
UNFCCC 
UNFCCC: Kyoto Protocol 
UN Fish Stocks Agreement 
WTO 
Afghanistan 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 
Algeria 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       
Angola         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 
Argentina 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 
Australia 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 
Azerbaijan 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   
Bahrain, Kingdom of 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 
Barbados 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     
Belgium x x   x x x   x   x x x x   x x x x x x x x x x x x 
Belize x     x x x   x   x x x   x   x x x x x x x x x x x 
Benin 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 
Bosnia and Herzegovina x     x x x   x   x x         x x x x x x x x x      
  WT/CTE/W/160/Rev.6 • TN/TE/S/5/Rev.4  
 
- 156 -   
Basel Convention 
Basel Convention, Ban Amendment 
Basel Convention, Protocol on 
Liability (not yet in force) 
Rotterdam Convention 
Stockholm Convention 
CBD 
CBD: Nagoya Protocol (not yet in 
force)  
CBD: Cartegena Protocol 
CBD: Nagoya - KL Supp. Protocol 
(not yet in force)  
CITES 
CITES: Bonn Amendment 
CITES: Gaborone Amendment (not 
yet in force) 
CCAMLR 
ICCAT 
ITTA 
IPPC 
Vienna Convention 
Montreal Protocol (MP) 
MP - London Amendment 
MP - Copenhagen Amendment 
MP - Montreal Amendment 
MP - Beijing Amendment 
UNFCCC 
UNFCCC: Kyoto Protocol 
UN Fish Stocks Agreement 
WTO 
Botswana 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 
Brunei Darussalam 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 
Burkina Faso 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 
Cambodia 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 
Canada x     x x x       x x x x x   x x x x x x x x   x x 
Cape Verde 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 
Chad 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 
China x x   x x x   x   x x x x x x x x x x x x x x x   x 
Colombia x   x x x x   x   x x x     x x x x x x x x x x   x 
Comoros 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 
Cook Islands 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 
Côte d'Ivoire 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 
Cuba x     x x x   x   x x         x x x x x x x x x   x 
Cyprus 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  
  WT/CTE/W/160/Rev.6 • TN/TE/S/5/Rev.4  
 
- 157 -   
Basel Convention 
Basel Convention, Ban Amendment 
Basel Convention, Protocol on 
Liability (not yet in force) 
Rotterdam Convention 
Stockholm Convention 
CBD 
CBD: Nagoya Protocol (not yet in 
force)  
CBD: Cartegena Protocol 
CBD: Nagoya - KL Supp. Protocol 
(not yet in force)  
CITES 
CITES: Bonn Amendment 
CITES: Gaborone Amendment (not 
yet in force) 
CCAMLR 
ICCAT 
ITTA 
IPPC 
Vienna Convention 
Montreal Protocol (MP) 
MP - London Amendment 
MP - Copenhagen Amendment 
MP - Montreal Amendment 
MP - Beijing Amendment 
UNFCCC 
UNFCCC: Kyoto Protocol 
UN Fish Stocks Agreement 
WTO 
Democratic Republic of the Congo 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 
Djibouti 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 
Dominican Republic 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 
Egypt 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 
Equatorial Guinea x     x   x       x x     x   x x x x x x x x x     
Eritrea x     x x x   x   x x x       x x x x x x x x x     
Estonia 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     
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 
Fiji         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 
France 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 
The Gambia 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 
Germany 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 
Greece 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 
Guatemala x     x x x   x   x   x   x x x x x x x x x x x   x  
  WT/CTE/W/160/Rev.6 • TN/TE/S/5/Rev.4  
 
- 158 -   
Basel Convention 
Basel Convention, Ban Amendment 
Basel Convention, Protocol on 
Liability (not yet in force) 
Rotterdam Convention 
Stockholm Convention 
CBD 
CBD: Nagoya Protocol (not yet in 
force)  
CBD: Cartegena Protocol 
CBD: Nagoya - KL Supp. Protocol 
(not yet in force)  
CITES 
CITES: Bonn Amendment 
CITES: Gaborone Amendment (not 
yet in force) 
CCAMLR 
ICCAT 
ITTA 
IPPC 
Vienna Convention 
Montreal Protocol (MP) 
MP - London Amendment 
MP - Copenhagen Amendment 
MP - Montreal Amendment 
MP - Beijing Amendment 
UNFCCC 
UNFCCC: Kyoto Protocol 
UN Fish Stocks Agreement 
WTO 
Guinea 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 
Guyana 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 
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 
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 
Iceland 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 
Indonesia 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   
Iraq 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 
Israel 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 
Jamaica 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 
Jordan 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     
Kenya 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   
Korea, Democratic People's 
Republic of 1     1 1 1   1               1 1 1 1 1 1 1 1 1     
Korea, Republic of 1     1 1 1   1   1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1  
  WT/CTE/W/160/Rev.6 • TN/TE/S/5/Rev.4  
 
- 159 -   
Basel Convention 
Basel Convention, Ban Amendment 
Basel Convention, Protocol on 
Liability (not yet in force) 
Rotterdam Convention 
Stockholm Convention 
CBD 
CBD: Nagoya Protocol (not yet in 
force)  
CBD: Cartegena Protocol 
CBD: Nagoya - KL Supp. Protocol 
(not yet in force)  
CITES 
CITES: Bonn Amendment 
CITES: Gaborone Amendment (not 
yet in force) 
CCAMLR 
ICCAT 
ITTA 
IPPC 
Vienna Convention 
Montreal Protocol (MP) 
MP - London Amendment 
MP - Copenhagen Amendment 
MP - Montreal Amendment 
MP - Beijing Amendment 
UNFCCC 
UNFCCC: Kyoto Protocol 
UN Fish Stocks Agreement 
WTO 
Kuwait, the State of 1 1   1 1 1       1 1         1 1 1 1 1 1 1 1 1   1 
Kyrgyz Republic 1     1 1 1   1   1 1         1 1 1 1 1 1 1 1 1   1 
Lao People's Democratic Republic 1     1 1 1 1 1   1 1         1 1 1 1 1 1 1 1 1   1 
Latvia 1 1   1 1 1   1 1 1 1 1     1 1 1 1 1 1 1 1 1 1 1 1 
Lebanese Republic 1     1 1 1   1   1           1 1 1 1 1 1 1 1 1     
Lesotho 1 1   1 1 1   1   1 1           1 1 1 1 1 1 1 1   1 
Liberia, Republic of 1 1 1 1 1 1   1   1         1 1 1 1 1 1 1 1 1 1     
Libya 1     1 1 1   1   1 1     1   1 1 1 1 1     1 1 1   
Liechtenstein 1 1   1 1 1       1 1 1         1 1 1 1 1 1 1 1   1 
Lithuania 1 1   1 1 1   1 1 1 1 1     1 1 1 1 1 1 1 1 1 1 1 1 
Luxembourg 1 1   1 1 1   1 1 1 1 1     1 1 1 1 1 1 1 1 1 1 1 1 
Macao, China                                                   1 
Madagascar 1     1 1 1   1   1 1 1       1 1 1 1 1 1 1 1 1   1 
Malawi 1     1 1 1   1   1   1       1 1 1 1 1 1 1 1 1   1 
Malaysia 1 1   1   1   1   1         1 1 1 1 1 1 1 1 1 1   1 
Maldives 1     1 1 1   1   1           1 1 1 1 1 1 1 1 1 1 1 
Mali 1     1 1 1   1   1 1 1     1 1 1 1 1 1 1 1 1 1   1 
Malta 1 1       1   1   1 1       1 1 1 1 1 1 1 1 1 1 1 1 
Marshall Islands 1     1 1 1   1                 1 1 1 1 1 1 1 1 1   
Mauritania 1     1 1 1   1   1 1     1   1 1 1 1 1 1   1 1   1 
Mauritius 1 1   1 1 1 1 1   1 1 1 1     1 1 1 1 1 1 1 1 1 1 1 
Mexico 1     1 1 1 1 1 1 1 1 1   1 1 1 1 1 1 1 1 1 1 1   1 
Micronesia 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  
  WT/CTE/W/160/Rev.6 • TN/TE/S/5/Rev.4  
 
- 160 -   
Basel Convention 
Basel Convention, Ban Amendment 
Basel Convention, Protocol on 
Liability (not yet in force) 
Rotterdam Convention 
Stockholm Convention 
CBD 
CBD: Nagoya Protocol (not yet in 
force)  
CBD: Cartegena Protocol 
CBD: Nagoya - KL Supp. Protocol 
(not yet in force)  
CITES 
CITES: Bonn Amendment 
CITES: Gaborone Amendment (not 
yet in force) 
CCAMLR 
ICCAT 
ITTA 
IPPC 
Vienna Convention 
Montreal Protocol (MP) 
MP - London Amendment 
MP - Copenhagen Amendment 
MP - Montreal Amendment 
MP - Beijing Amendment 
UNFCCC 
UNFCCC: Kyoto Protocol 
UN Fish Stocks Agreement 
WTO 
Monaco 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 
Montenegro x x   x x x   x   x x         x x x x x x x x x   x 
Morocco x x   x x x   x   x x x   x   x x x x x x x x x x x 
Mozambique x     x x x   x   x         x x x x x x x x x x x x 
Myanmar         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 
Nauru 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 
Netherlands 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 
Nicaragua 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 
Nigeria 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   
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 
Oman 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 
Palau x       x x   x   x x x       x x x x x x x x x x   
Panama x x   x x x x x   x x x x x x x x x x x x x x x x x 
Papua New Guinea 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 
Peru 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  
  WT/CTE/W/160/Rev.6 • TN/TE/S/5/Rev.4  
 
- 161 -   
Basel Convention 
Basel Convention, Ban Amendment 
Basel Convention, Protocol on 
Liability (not yet in force) 
Rotterdam Convention 
Stockholm Convention 
CBD 
CBD: Nagoya Protocol (not yet in 
force)  
CBD: Cartegena Protocol 
CBD: Nagoya - KL Supp. Protocol 
(not yet in force)  
CITES 
CITES: Bonn Amendment 
CITES: Gaborone Amendment (not 
yet in force) 
CCAMLR 
ICCAT 
ITTA 
IPPC 
Vienna Convention 
Montreal Protocol (MP) 
MP - London Amendment 
MP - Copenhagen Amendment 
MP - Montreal Amendment 
MP - Beijing Amendment 
UNFCCC 
UNFCCC: Kyoto Protocol 
UN Fish Stocks Agreement 
WTO 
Poland 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 
Qatar 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 
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 
Saint Kitts and Nevis 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 
Saint Vincent and the Grenadines 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 
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     
Saudi Arabia, Kingdom of 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 
Serbia  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   
Sierra Leone         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 
Slovak Republic 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 
Solomon Islands         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     
South Africa x     x x x x x   x x   x x   x x x x x x x x x x x 
Spain x x   x x x   x x x   x x   x x x x x x x x x x x x  
  WT/CTE/W/160/Rev.6 • TN/TE/S/5/Rev.4  
 
- 162 -   
Basel Convention 
Basel Convention, Ban Amendment 
Basel Convention, Protocol on 
Liability (not yet in force) 
Rotterdam Convention 
Stockholm Convention 
CBD 
CBD: Nagoya Protocol (not yet in 
force)  
CBD: Cartegena Protocol 
CBD: Nagoya - KL Supp. Protocol 
(not yet in force)  
CITES 
CITES: Bonn Amendment 
CITES: Gaborone Amendment (not 
yet in force) 
CCAMLR 
ICCAT 
ITTA 
IPPC 
Vienna Convention 
Montreal Protocol (MP) 
MP - London Amendment 
MP - Copenhagen Amendment 
MP - Montreal Amendment 
MP - Beijing Amendment 
UNFCCC 
UNFCCC: Kyoto Protocol 
UN Fish Stocks Agreement 
WTO 
Sri Lanka 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     
Suriname 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 
Sweden x x   x x x   x x x x x x   x x x x x x x x x x x x 
Switzerland x x   x x x   x   x x x     x x x x x x x x x x   x 
Syrian Arab Republic 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 
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 
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     
Togo 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 
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 
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     
Tuvalu         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 
Ukraine x     x x x   x   x x   x     x x x x x x x x x x x 
United Arab Emirates x     x x x       x x         x x x x x x x x x   x 
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  
  WT/CTE/W/160/Rev.6 • TN/TE/S/5/Rev.4  
 
- 163 -   
Basel Convention 
Basel Convention, Ban Amendment 
Basel Convention, Protocol on 
Liability (not yet in force) 
Rotterdam Convention 
Stockholm Convention 
CBD 
CBD: Nagoya Protocol (not yet in 
force)  
CBD: Cartegena Protocol 
CBD: Nagoya - KL Supp. Protocol 
(not yet in force)  
CITES 
CITES: Bonn Amendment 
CITES: Gaborone Amendment (not 
yet in force) 
CCAMLR 
ICCAT 
ITTA 
IPPC 
Vienna Convention 
Montreal Protocol (MP) 
MP - London Amendment 
MP - Copenhagen Amendment 
MP - Montreal Amendment 
MP - Beijing Amendment 
UNFCCC 
UNFCCC: Kyoto Protocol 
UN Fish Stocks Agreement 
WTO 
United States of America                   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 
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 
Venezuela, Bolivarian Republic of 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 
Yemen 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 
Zimbabwe 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         
TOTAL MEA Members 180 75 11 154 179 193 24 166 17 178 142 94 36 47 65 179 197 197 197 197 194 190 195 192 81 159 
TOTAL WTO Members of MEA 146 68 7 135 148 155 18 138 16 151 122 88 35 42 64 150 156 156 156 156 154 151 156 154 68 N/A 
 
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