WT/CTE/W/160/Rev.7  
TN/TE/S/5/Rev.5  
 
4 September 2015  
(15-4606)  Page: 1/174  
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 SECRETARIAT1 
Revision 
1.  This Matrix provides background information on trade-related measures pursuant to selected 
Multilateral Environmental Agreements (MEAs). This revision, prepared in consultation with the MEA Secretariats, presents updated informatio n (e.g. membership, decisions and other major 
development) on MEAs.
2  
2.  The WTO Secretariat will continue to update this  Matrix in light of further developments. In this 
revision, the Minamata Convention on Mercury (Date of Signature, 10 October 2013) has been added to the list of MEAs examined in the Matr ix. The Matrix now includes information on the 
following 17 MEAs, including Conventions and Protocols: 
 Convention on International Trade in Endanger ed Species of Wild Fauna and Flora (CITES); 
 Convention on the Conservation of Anta rctic Marine Living Resources (CCAMLR); 
 International Convention for the Conservation of Atlantic Tunas (ICCAT); 
 United Nations Fish Stocks Agreement (UNFSA); 
 International Tropical Timber Agreement (ITTA); 
 International Plant Protection Convention (IPPC); 
 Convention on Biological Diversity (CBD);  
 Nagoya Protocol on Access to Genetic Resources and the Fair and Equitable Sharing of 
Benefits Arising from their Utilization to the Convention on Biological Diversity; 
 Cartagena Protocol on Biosafety to the Convention on Biological Diversity; 
 Nagoya – Kuala Lumpur Supplementary Protocol on Liability and Redress to the Cartagena 
Protocol on Biosafety; 
 Montreal Protocol and the Vienna Convention on Substances that Deplete the Ozone Layer; 
 United Nations Framework Convention on Climate Change (UNFCCC); 
 Kyoto Protocol to the United Nations Framework Convention on Climate Change; 
 Basel Convention on the Control of Transboundary Movements of Hazardous Wastes and 
their Disposal; 
 Rotterdam Convention on the Prior Informed Consent Procedure for Certain Hazardous 
Chemicals and Pesticides in International Trade; 
 Stockholm Convention on Persistent Organic Pollutants; 
 Minamata Convention on Mercury. 
3.  Information for each of these MEAs has been provided in 6 Sub-Sections  and an Annex . 
4.  Sub-section 1  provides the following information for each MEA: 
                                               
1 This document has been prepared under the Secret ariat's own responsibility and is without prejudice 
to the positions of Members or to thei r rights and obligations under the WTO. 
2 Previous versions of this Matrix are contained in documents WT/CTE/W/160 of 19 September 2000, 
WT/CTE/W/160/Rev.1 of 14 June 2001, Rev.2 of 25 April 2003, Rev.3 of 16 February 2005, Rev.4 of 14 March 2007, Rev.5 of 15 June 2011 and Rev.6 of 4 October 2013. WT/CTE/W/160/Rev.7 • TN/TE/S/5/Rev.5 
 
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  a. Web site; 
b. Objective of the MEA; 
c. Date of Signature/Adoption; 
d. Entry into force (Date/Provision); 
e. Number of Parties to the MEA; 
f. Number of WTO Members party to the MEA; 
g. Openness of Membership; 
h. Decision-Making Bodies; and 
i. Provisions relating to Amendments and Protocols. 
5.  Sub-section 2  contains information on the trade-related measures of each MEA, including any 
requirements or restrictions on imported or exported products or trade in transit. Information under this section is divided, where applicable, into two further sub-sections: 
a. Provisions of the MEA, and 
b. Decisions of the Decision-Making Bodies. 
 
6.  Sub-section 3  provides information on supportive measures, such as technology transfer, and 
financial or technical assistance under the provisions of the MEA.  
7.  Sub-section 4  explains the mechanism set out in the MEA for the non-compliance of a party.  
8.  Sub-section 5  lists the dispute settlement mechanisms in the MEA.  
9.  Sub-section 6  sets out the provisions relating to non-parties of the MEA. 
10.  The  Annex to this  document provides a comparative table of WTO and MEA membership. 
  
 WT/CTE/W/160/Rev.7 • TN/TE/S/5/Rev.5 
 
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  Table of Contents 
 
§1   CONVENTION ON INTERNATIONAL TRADE IN ENDANGERED SPECIES OF 
WILD FAUNA AND FLORA (CITES) .................................................................................... 7  
1.1   Brief Description of the MEA ........................................................................................ 7  
1.2   Trade-related Measures .............................................................................................. 9  
1.3   Supportive measures ................................................................................................ 22 
1.4   Non-complia nce mechanism ....................................................................................... 24 
1.5   Dispute Settlement Mechanism ................................................................................... 28 
1.6   Provisions for non-pa rties .......................................................................................... 28 
2   CONVENTION ON THE CONSERVATI ON OF ANTARCTIC MARINE LIVING 
RESOURCES ( CCAMLR) ................................................................................................... 29  
2.1   Brief Description of the MEA ....................................................................................... 29 
2.2   Trade-related Measures ............................................................................................. 31 
2.3   Supportive measures ................................................................................................ 32 
2.4   Non-complia nce mechanism ....................................................................................... 32 
2.5   Dispute Settlement Mechanism ................................................................................... 35 
2.6   Provisions for non-pa rties .......................................................................................... 36 
3   INTERNATIONAL CONVENTION FO R THE CONSERVATION OF ATLANTIC 
TUNAS (ICC AT) .............................................................................................................. 38  
3.1   Brief Description of the MEA ....................................................................................... 38 
3.2   Trade-related Measures ............................................................................................. 39 
3.3   Supportive measures ................................................................................................ 45 
3.4   Non-complia nce mechanism ....................................................................................... 45 
3.5   Dispute Settlement Mechanism ................................................................................... 45 
3.6   Provisions for non-pa rties .......................................................................................... 46 
4   THE UNITED NATIONS FISH STOCKS AGREEMENT (UNFSA) ...................................... 46  
4.1   Brief Description of the MEA ....................................................................................... 46 
4.2   Trade-related Measures ............................................................................................. 49 
4.3   Supportive measures ................................................................................................ 50 
4.4   Non-complia nce mechanism ....................................................................................... 51 
4.5   Dispute Settlement Mechanism ................................................................................... 52 
4.6   Provisions for non-pa rties .......................................................................................... 53 
5   INTERNATIONAL TROPICAL TIMBER AGREEMENT (ITTA).......................................... 54  
5.1   Brief Description of the MEA ....................................................................................... 54 
5.2   Trade-related Measures ............................................................................................. 56 
5.3   Supportive measures ................................................................................................ 57 
5.4   Non-complia nce mechanism ....................................................................................... 58 
5.5   Dispute Settlement Mechanism ................................................................................... 58 
5.6   Provisions for non-pa rties .......................................................................................... 58 
6   INTERNATIONAL PLANT PROTECTION CONVENTION (IPPC) ..................................... 58  WT/CTE/W/160/Rev.7 • TN/TE/S/5/Rev.5 
 
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  6.1   Brief Description of the MEA ....................................................................................... 58 
6.2   Trade-related Measures ............................................................................................. 61 
6.3   Supportive measures ................................................................................................ 64 
6.4   Non-complia nce mechanism ....................................................................................... 64 
6.5   Dispute Settlement Mechanism ................................................................................... 64 
6.6   Provisions for non-pa rties .......................................................................................... 65 
7   CONVENTION ON BIOLOG ICAL DIVERSIT Y (CBD) ..................................................... 65  
7.1   Brief Description of the MEA ....................................................................................... 65 
7.2   Trade-related Measures ............................................................................................. 67 
7.3   Supportive measures ................................................................................................ 87 
7.4   Non-complia nce mechanism ....................................................................................... 87 
7.5   Dispute Settlement Mechanism ................................................................................... 87 
7.6   Provisions for non-pa rties .......................................................................................... 88 
8   NAGOYA PROTOCOL ON ACCESS TO GENETIC RESOURCES AND THE FAIR AND 
EQUITABLE SHARING OF BENEFITS AR ISING FROM THEIR UTILIZATION TO 
THE CONVENTION ON BIOL OGICAL DIVE RSITY ............................................................. 88  
8.1   Brief Description of the MEA ....................................................................................... 88 
8.2   Trade-related Measures ............................................................................................. 89 
8.3   Supportive measures ................................................................................................ 91 
8.4   Non-complia nce mechanism ....................................................................................... 93 
8.5   Dispute Settlement Mechanism ................................................................................... 94 
8.6   Provisions for non-pa rties .......................................................................................... 94 
9   CARTAGENA PROTOCOL ON BIOSAFETY TO THE CONVENTION ON 
BIOLOGICAL DI VERSITY ................................................................................................ 94  
9.1   Brief Description of the MEA ....................................................................................... 94 
9.2   Trade-related Measures ............................................................................................. 95 
9.3   Supportive measures .............................................................................................. 107  
9.4   Non-complia nce mechan ism ..................................................................................... 109  
9.5   Dispute Settlement Mechanism ................................................................................. 110  
9.6   Provisions for non-pa rties ........................................................................................ 110  
10   NAGOYA – KUALA LUMPUR SUPPLEMENTARY PROTOCOL ON LIABILITY AND 
REDRESS TO THE CARTAGENA PR OTOCOL ON BI OSAFETY ........................................... 111  
10.1   Brief Description of the MEA ................................................................................... 111  
10.2   Trade-rela ted Measures ......................................................................................... 111  
10.3   Supportive measures ............................................................................................. 113  
10.4   Non-complia nce mechan ism ................................................................................... 113  
10.5   Dispute Settl ement Mech anism ............................................................................... 114  
10.6   Provisions for non-pa rties ...................................................................................... 114  
11   MONTREAL PROTOCOL AND TH E VIENNA CONVENTION FOR THE 
PROTECTION OF TH E OZONE LAYER ............................................................................. 114  
11.1   Brief Description of the MEA ................................................................................... 114  
11.2   Trade-Rela ted measures ........................................................................................ 118  WT/CTE/W/160/Rev.7 • TN/TE/S/5/Rev.5 
 
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  11.3   Supportive Measures ............................................................................................. 122  
11.4   Non-Complia nce Mechan ism ................................................................................... 123  
11.5   Dispute Settl ement Mech anism ............................................................................... 123  
11.6   Provisions for Non-Pa rties ...................................................................................... 124  
12   UNITED NATIONS FRAMEWORK CONVENTION ON CLIMATE CHANGE 
(UNFCCC) ..................................................................................................................... 124 
12.1   Brief Description of the MEA ................................................................................... 124  
12.2   Trade-rela ted Measures ......................................................................................... 126  
12.3   Supportive measures ............................................................................................. 127  
12.4   Non-complia nce mechan ism ................................................................................... 128  
12.5   Dispute Settl ement Mech anism ............................................................................... 129  
12.6   Provisions for non-pa rties ...................................................................................... 129  
13   KYOTO PROTOCOL TO THE UNITED NATIONS FRAMEWORK CONVENTION ON 
CLIMATE CH ANGE ........................................................................................................ 129  
13.1   Brief Description of the MEA ................................................................................... 129  
13.2   Trade-rela ted Measures ......................................................................................... 131  
13.3   Supportive measures ............................................................................................. 132  
13.4   Non-complia nce mechan ism ................................................................................... 133  
13.5   Dispute Settl ement Mech anism ............................................................................... 133  
13.6   Provisions for non-pa rties ...................................................................................... 133  
14   BASEL CONVENTION ON THE CO NTROL OF TRANSBOUNDARY MOVEMENTS 
OF HAZARDOUS WASTES AN D THEIR DISP OSAL .......................................................... 134  
14.1   Brief Description of the MEA ................................................................................... 134  
14.2   Trade-rela ted Measures ......................................................................................... 138  
14.3   Supportive measures ............................................................................................. 144  
14.4   Non-complia nce mechan ism ................................................................................... 145  
14.5   Dispute Settl ement Mech anism ............................................................................... 146  
14.6   Provisions for non-pa rties ...................................................................................... 146  
15   ROTTERDAM CONVENTION ON  THE PRIOR INFORMED CONSENT 
PROCEDURE FOR CERTAIN HAZARDOUS CHEMICALS AND PESTICIDES IN INTERNATIONAL TRADE ............................................................................................... 147
 
15.1   Brief Description of the MEA ................................................................................... 147  
15.2   Trade-rela ted Measures ......................................................................................... 148  
15.3   Supportive measures ............................................................................................. 153  
15.4   Non-complia nce mechan ism ................................................................................... 154  
15.5   Dispute Settl ement Mech anism ............................................................................... 154  
15.6   Provisions for non-pa rties ...................................................................................... 155  
16   STOCKHOLM CONVENTION ON PE RSISTENT ORGANIC POLLUTANTS .................... 155  
16.1   Brief Description of the MEA ................................................................................... 155  
16.2   Trade-rela ted Measures ......................................................................................... 156  
16.3   Supportive Measures ............................................................................................. 158  
16.4   Non-complia nce mechan ism ................................................................................... 159  WT/CTE/W/160/Rev.7 • TN/TE/S/5/Rev.5 
 
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  16.5   Dispute Settl ement Mech anism ............................................................................... 159  
16.6   Provisions for non-pa rties ...................................................................................... 160  
17   MINAMATA CONVEN TION ON ME RCURY ................................................................ 160  
17.1   Brief Description of the MEA ................................................................................... 160  
17.2   Trade-rela ted Measures ......................................................................................... 162  
17.3   Supportive measures ............................................................................................. 163  
17.4   Non-complia nce mechan ism ................................................................................... 164  
17.5   Dispute Settl ement Mech anism ............................................................................... 165  
17.6   Provisions for non-pa rties ...................................................................................... 165  
ANNEX .........................................................................................................................  166 
 
 
  
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- 7 - 1  CONVENTION ON INTERNATIONAL TRADE IN ENDANGERED SPECIES OF WILD FAUNA AND FLORA (CITES) 
1.1  Brief Description of the MEA 
Web site http://www.cites.org/ 
Objective  CITES is an international treaty to regulate international trade in wildlife (animals, plants and their parts and derivatives) for conservation and 
sustainable use purposes. The Convention primarily covers specie s that are in the international markets which are not yet threa tened 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 protec tion of fauna and flora. It also requires  that any living specimen be so prepared and shipped as to minimize 
the risk of injury, damage to health or cruel treatment (e.g. in  accordance with the Live Animals Regulations and Perishable Ca rgo Regulations of the 
International Air Transport 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: 29 November 2013 
Parties Convention (1973): 181 Parties (as of 31 July 2015)  
Bonn Amendment (1979): 147 Parties (as of 31 July 2015)  Gaborone Amendment (1983): 100 Parties (as of 31 July 2015)  
WTO Members Convention (1973):  155 Parties to CITES are also WTO Members. 
Bonn Amendment (1979): 127 Parties to this Amendment are also WTO Members. Gaborone Amendment (1983): 94 Parties to this Amendment are also WTO Members. (see Annex) 
Openness of 
Membership Article XXI – Accession  
"The present Convention shall be open inde finitely for accession. Instruments of accession shall be deposited with the Deposita ry Government". 
  The Gaborone Amendment, which entered into force on 29 November 2013, opens the membership to regional economic integration org anizations. 
Paragraphs 2 and 5 of Article XXI read : "This Convention shall be open for accession by region al economic integration organizations constituted by 
sovereign States which have competence in respect of the negoti ation, conclusion and implementa tion of international agreements  in matters transferred 
to them by their Member States and covered by this Convention ... In the fields of their competence, regional economic integrat ion organizations shall 
exercise their right to vote with a number of votes equal to th e number of their Member States which are Parties to the Convent ion. Such organizations 
shall not exercise their right to vote if their Me mber 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 restoration and conser vation 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". 
  
  WT/CTE/W/160/Rev.7 • TN/TE/S/5/Rev.5  
 
- 8 - 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 II – Fundamental principles 
 Paragraphs 1, 2 and 3 of this Article define Appendices I, II and III to the Convention, respectively (see Provisions of the Co nvention below).  
Article XV – Amendments to Appendices I and II  
"1. The following provisions shall apply in relation to amen dments to Appendices I and II at meetings of the [CoP]: 
(a) Any Party may propose an amendment to Appendix I or II for co nsideration at the next meeting. The text of the proposed amen dment shall 
be communicated to the Secretariat at least 150 days before th e meeting. The Secretariat shall consult the other Parties and in terested 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 Pa rties present and voting. For these purposes "Parties present and  voting" 
means Parties present and casting an affirmative or negative vote . Parties abstaining from voting shall not be counted among th e two-thirds required 
for adopting an amendment.  
(c) Amendments adopted at a meeting shall enter into force 90 days  after that meeting for all Part ies except those which make a  reservation in 
accordance with paragraph 3 of this Article.  
2. The following provisions shall apply in relation to amendm ents 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 ... 
(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 fo rce 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-paragrap h (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 amen dment. Until such reservation i s 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 wi thin 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  
  WT/CTE/W/160/Rev.7 • TN/TE/S/5/Rev.5  
 
- 9 - 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 da ys after the date of such communication ..." 
Article XVII – Amendment of the Convention 
"1. An extraordinary meeting of the [CoP] shall be convened by the Secretariat on the written request of at least one-third of the Parties to consider 
and adopt amendments to the present Convention. Such amendments shall be adopted by a two-thirds majority of Parties present an d voting. For these 
purposes "Parties present and voting" mean s Parties present and casting an affirmative or negative vote. Parties abstaining fro m 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 Part y 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 o nly 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 Conventio n 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   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 EU to become a CITES party. 
 In accordance with Article XVII, paragraph 3, the Gaborone am endment entered into force 60 days  after 54 of the 80 States that  were party to CITES 
on 30 April 1983 had deposited their instruments of acceptance, i. e. on 29 November 2013. At that time it entered into force on ly for those States that 
had accepted the amendment. The amended text of the Convention will apply automatically to any St ate that becomes a Party after  the 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, it  will enter into force 
60 days after they  do accept it. 
1.2  Trade-related Measures 
CITES provides for trade measures at  different decision-making levels: 
a. Trade measures that are legally binding (text of the Convention); 
b. Trade measures decided by the Conference of the Parties (CoP); 
c. Trade measures decided by the Standing Committee (SC) on behalf of the CoP; 
d. Trade measures recommended by the Animals Committee/Plants Committee; 
e. Trade measures recommended by the Secretariat to the CoP and SC; and 
f. Stricter domestic trade measures adopted by the Parties.  
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- 10 - 1.2.1  Provisions of the Convention 
Article II 
Fundamental Principles  CITES places certain controls on international trade in specimen s of selected species. These require the import, export, re-exp ort and 
introduction from the sea of specimens of species covered by th e Convention be authorized through 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 o f 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 identifi es as being subject to regulati on within its jurisdiction for  the purpose of 
preventing or restricting exploitation, and as needing the co-operation of other Parties in the control of trade.  
4. The Parties shall not allow trade in specimens of species incl uded 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, paragr aph 1 of the Convention). CITES generally prohibits international commercial trade in  specimens of wild 
origin of these species. However, non-comm ercial trade may be allowed (e.g. for scient ific research) and commercial trade may b e allowed under 
exceptional circumstances, e.g. captive breeding, artificial prop agation, etc. In these cases, non-commercial trade may be auth orized by the 
granting of both an export permit (or re -export certificate) and an import permit (See Article III of the Convention). Specimen s of Appendix-I listed 
species bred in captivity or artificially propagated for commerci al purposes shall be deemed to be specimens of species include d in Appendix II (see 
Article VII, paragraph 4) and the trade pr ovisions contained in Article IV apply. 
 Trade in Appendix I species of wild origin must meet three criteria: 
1. Trade must not be primarily commercial in nature. Resolution Conf. 5.10 (Rev. CoP15) defines "c ommercial" as an activity who se "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 
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 by the Scien tific Authority of 
the State of export. Guidance on the making of non-detriment find ings is contained in Resolution  Conf. 16.7. In addition, docum ent 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 CoP11 Inf. 11.3 which contains a checklis t for making non-detriment findings for Appendix II species. T he checklist was 
published and distributed by  IUCN at CoP-12 (see also capacity building materi al prepared by the CITES Secretariat, which is ac cessible through the 
CITES Virtual College at http://www.ci tes.org).  
3. There must be a legal acquisition finding, that is, the Management Authority of the State of export must be satisfied that t he specimens 
were not obtained in contravention of the laws of that State for the protection of fauna and flora. 
Article IV 
Regulation of Trade in 
Specimens of Species 
Included in Appendix II  Appendix II includes species that are not necessarily now threaten ed with extinction but that may become so unless trade is sub ject to strict 
regulation. It also includes so-called "look-alike species". Inte rnational trade in specimens of Appendix-II species may be aut horized by the 
granting of an export permit or re-export certificate; no import permit is required by the Convention (some countries adopt str icter domestic 
measures under Article XIV, for example, which require an import permit). Permits or certificates should only be granted if the  relevant authorities 
are satisfied that certain conditions are me t, and above all, that trade is legal (i.e . trade is in accordance with the provisi ons of CITES and the 
specimen is not obtained in contravention of the laws of the State of origin) and will not be detrimental to the survival of th e species in the wild.  
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- 11 - Article V 
Regulation of Trade in 
Specimens of Species 
Included in 
Appendix III  Appendix III comprises a list of 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). Internationa l 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) further elaborates on the requirements of permits and certificates. Annex 2 to the Resoluti on contains a 
standard CITES form.  
Article VII 
Exemptions and Other 
Special Provisions 
Relating to Trade  Lists the Exemptions and Other Special Provisions Relating to Trade (e.g. transit/transhipment, pre-Convention, personal or hou sehold effects, 
captive breeding or artificial propagation, scientific exchange  and travelling exhibitions). This Article provides all the exce ptions to the regulation 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 appropriate 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 possessio n 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 paragraph 4 of this Article means an institution designated by a Management Authority to l ook after the 
welfare of living specimens, particularly those that have been confiscated. 6. Each Party shall maintain records of trade in specimens of species included in Appendices I, II and III which shall cover: 
(a) the names and addresses of exporters and importers; and  
(b) the number and type of permits and certificates granted; the States with which such trade occurred; the numbers or quantiti es and types 
of specimens, names of species as included  in Appendices I, II and III and, where applicable, the size and sex of the specimens  in question.  
7. Each Party shall prepare periodic reports on its implementation of the present Convention and shall transmit to the Secretar iat: 
(a) an annual report containing a summary of the information specified in sub-paragrap h (b) of paragraph 6 of this Article; and   
(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 sh all be available to the public where this is not inconsistent w ith the law of the 
Party concerned".  
Article IX  
Management and "1. Each Party shall designate for the purposes of the present Convention: 
(a) one or more Management Authorities competent to grant permits or certificates on be half of that Party; and   
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- 12 - Scientific Authorities (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 re lating to other aspects of trade, taking, possession or tran sport of specimens 
which is in force or subsequently may ente r into force for any Party including any meas ure pertaining to the Customs, public he alth, veterinary 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 codifica tion and development of the law of the sea by the United Natio ns Conference 
on the Law of the Sea convened pursuant to Resolution 2750 C (XXV) of the General Assembly of the United Nations nor the presen t or future 
claims and legal views of any State concerning the law of the se a and the nature and extent of coastal and flag State jurisdict ion". 
 Allows for Parties to take stri cter domestic measures. Appendix  II does not require an import permit, but major importing count ries 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 instan ces, they also apply those conditions t o species listed in 
Appendix III. 
1.2.2  Resolutions and Decisions of  the Conference of the Parties 
Relevant Resolutions and Decisions of the CoP include: 
Resolution Conf. 6.7 
Interpretation of 
Article XIV, paragraph 1 
of the Convention "...   (a) each Party intending to take st ricter domestic measur es pursuant to Article XIV, para graph 1, of the Convention rega rding trade in 
specimens of non-indigenous species included in the Appendices ma ke every reasonable effort to no tify the range States of the s pecies 
concerned at as early a stage as possible prior to the adoption of such measures, and consult with those range States that expr ess 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 Resoluti on consult, if 
requested, on the appropriateness of such measures with range States of the species concerned".  There is also Resolution Conf. 8.4 (Rev.CoP.15) on National laws for the implementation of the Convention.  
  WT/CTE/W/160/Rev.7 • TN/TE/S/5/Rev.5  
 
- 13 - Resolution Conf. 9.9 
Confiscation of 
Speciments Exported or 
Re-exported in violation 
of the Convention  "...   (a) when specimens are exported or re-exporte d in violation of the Convention, importing Parties: 
i) consider that the seizure and confiscati on of such specimens are generally preferab le to the definitive refusal of the impor t of the 
specimens; and ii) notify as soon as possible the Management 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 countr y 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 retu rn 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 esta blish a quota for a species included in Appendix I, or to amend  an existing quota, 
should submit to the Secretariat its proposal, with supporting information including details of the scientific basis for the pr oposed quota, at 
least 150 days before a meeting of the Conference of the Parties; and (b) whenever the Conference of the Parties has set an export quota for a particular sp ecies included in Appendix I, this action  by the Parties 
satisfies the requirements of Article III re garding the findings by the appropriate Sc ientific Authorities that the export will  not be detrimental 
to the survival of the species and that the purposes of the import will not be detrimental to the survival of the species, prov ided 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 trop hies), in accordance with 
paragraph 3(a) of Article III, the Scientific Authority of the St ate of import approve permits if  it is satisfied that the skin s being considered are 
from one of the following States, which may not export more of th e said skins taken from any one ca lendar year (1 January to 31  December) 
than the number shown under ‘Quota’ opposite the name of the State: ..." 
 There is also Resolution Conf. 10.15 (Rev. CoP16) on the Establishing Quotas for Markhor Hunting Trophies. 
Resolution Conf. 10.21 
(Rev. CoP16)  
Transport of live 
specimens The [CoP] to CITES: 
Recommends that: 
(a) suitable measures be taken by the Parties to promote the full  and effective use by Management Authorities of the IATA Live Animals 
Regulations (for animals), the IATA Perishable Cargo Regulations (for plants) and the CITES guidelines for the non-air transpor t of live wild 
animals and plants for the preparation and tr ansport of live specimens and that they be  brought to the attention of exporters, importers, 
transport companies, carriers, freight forwarders, inspection au thorities 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 co mment on and amplify the IATA Live Animals Regulations (for an imals) and the 
IATA Perishable Cargo Regulations (for plants ), so as to promote their effectiveness; 
(c) the regular communication of the CITES Secretariat and the St anding Committee with IATA’s Li ve Animals and Perishables Boar d and with 
the board of directors of the Animals Transportation Association (AATA) be continued and that a relationship with the Internati onal Animal 
Health Organisation (OIE) and the International Plan ts Protection Convention  (IPPC) be developed; 
(d) for as long as the CITES Secretariat and the Standing Commit tee agree, the IATA Live Animals Regulations (for animals), the  IATA 
Perishable Cargo Regulations (for plants) and the CITES guidelines for the non-air transport of live wild animals and plants in  their most 
recent edition be deemed to meet CITES transport requirements;…  
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- 14 - 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 consum ing countries and those through which musk deer specimens pass i n transit, 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 effect ive techniques for collecting musk 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 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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- 15 - 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 establ ish, where consistent with national law, a registration syste m for caviar 
processing plants, including aquaculture op erations, and repackaging plants in its territory and provide to the Secretariat the  list of these 
facilities and their official registration codes. The list should be updated when changes occur and communicated to the CITES S ecretariat 
without delay. A copy of the list should be provided to the Se cretariat by 30 November each year. The Secretariat should distri bute 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 recommendations  should differentiate between short-term and long-term actions,  and may 
include, for example: 
i) the establishment of administrative procedures, cautious export  quotas or temporary restrictions on 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 concern. They should also specif y interim 
measures where appropriate for the regulation of trade. Such recommendations should differentiate between short-term and long-t erm 
actions, and may incl ude, for example:  
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- 16 - i) 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 findings;  ... Annex: Sustainable use of biodiversity: Addis Ababa Principles and Guidelines:  
Practical Principle 3: International, national policies, laws and regulations that distort markets which contribute to habitat degradation or otherwise 
generate perverse incentives 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 pa rtnership, to develop and implem ent measures, including legislati ve and 
enforcement measures and re gional and sub-regional initiatives, to halt or reduce and ultimately eliminate illegal trade in gre at apes;  
(b) work closely with ICCWC partners to suppo rt the implementation of this Resolution 
(c) assist range States in the implementation of national and re gional conservation plans, where these include measures aimed a t 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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- 17 - Resolution Conf. 13. 10 
(Rev. CoP14) 
Trade in Alien Invasive 
Species "... The [CoP] to the Convention recommends that the parties: 
(a) consider the problems of invasive species 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 conservation  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 en vironment not under the jurisdicti on of any State 
by a vessel registered in one State and is transported into that same State, the provisions of Article III, paragraph 5, or Art icle IV, paragraphs 
6 and 7, respectively, should be  applied; with that State being the State of introduction;  
(b) whenever any specimen of a species included in Appendix I or II is taken in the marine environment not under the jurisdicti on of any State 
by a vessel registered in one State and is transported into a different State, the pr ovisions 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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- 18 - are impacted by climatic factors, such as a drought, there could still  be pressure to fill the quota. 
6. The fundamental principle to follow is that decision-making regarding the level of sustainable exports must be 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 wildli fe trade policies, through rais ing the necessary funds and prov iding necessary 
technical cooperation, compile information provided voluntarily by the Parties regarding their wildlife trade policy reviews an d make this 
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.  
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- 19 - Invites Parties to explore the use of registered marks of ce rtification and origin consistent with CITES provisions; and 
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 incentives 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 t rade would be 
detrimental to the survival of a species: 
i) a non-detriment finding for an Appendix-I or -II species is th e result of a science-based assessment that verifies whether a  
proposed export is detrimental to th e survival of that species or not;3 
ii) Scientific Authorities should consider whether the species would be maintained throughout its range at a level consistent 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 specie s (intrinsic and extrinsic factors that increase the risk of e xtinction of 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 th an that for a specimen of wil d origin 
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 management, including monito ring, 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  
 
of compliance; 
 G. population monitoring; and  H. conservation status; and 
                                               
3 In considering whether an export may be detrimental, the sustainability of the overall harvest will usually be a necessary con sideration.  
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- 20 - x) the sources of information that may be considered when making a non-detriment finding include but are not limited to: 
 A. relevant scientific literature concerning 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 
 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 website
4. 
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 certificate for a pre-Conv ention Appendix-I, -II or -III personally-owned musical instru ment 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 fre quent 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. 
1.2.3  Quota systems within CITES  
Export quotas in the context of CITES are simply the maximum number of specimens that may be exported from the country concerne d within a 12-month 
period [cf. Resolution Conf. 14.7 (Rev. CoP15)]. Export quotas are derived from four sources (see Notification to the Parties N o. 2008/053 of 22 August 2008): 
(a) voluntary national export quotas, (b) export quotas recommen ded by the CoP, Standing Committee, the Animals Committee or th e Plants Committee, 
(c) export quotas for raw elephant ivory in compliance with Reso lution Conf. 10.10 (Rev. CoP16) and d) catch and export quotas for Acipenseriformes 
established in accordance with Resolution Conf. 12.7 (Rev. CoP16). Quotas, and to a lesser extent other forms of instruments on  management of harvests and 
exports, have been used in CITES to regulate the quantity of specimens of CITES-listed species entering international trade. Th ese quotas have been 
established through a range of different procedures. CITES export quotas should be, and in many instances are, the result of: 
- Effective national conservation management programmes designed to  prevent unsustainable harvesting of wild populations; and  
- a determination by CITES Scientific Authorities in compliance 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. 
                                               
4 See: http://www.cites.org/eng/prog/ndf/index.php .  
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- 21 - CITES quotas have served as a significant conservation measure to curtail unsustainable trade in Appendix-II species (and there fore the likely transfer of such 
species to Appendix I), but also to help countries regulate trade and maintain market access in situations where international trade provides positive incentives 
for conservation. 
1.2.3.1  Voluntary nati onal export quotas 
Many Parties routinely establish annual export quotas on a voluntary basis for one or more Appendix-II and/or –III species as a  means of regulating exports in 
those 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)]. 
1.2.3.2  Quotas established by th e CoP or the Standing Committee  
At previous meetings, the CoP to CITES has established quotas for hunting trophies and other specimens of several species, incl uding 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 (un less the CoP had decided 
that a quota will only apply for a specific period). Proposals to amend quotas specified in the Appendices need to be submitted  in accordance with Resolution 
Conf. 9.24 (Rev. CoP16) and according to the provisions of Article XV.  
E x p o r t  q u o t a s  h a v e  i n  m a n y  i n s t a n c e s  b e e n  r e c o m m e n d e d  t h r o u g h  o r  a s  a  r e s u l t  o f  t h e  R e v i e w  o f  S i g n i f i c a n t  T r a d e  p u r s u a n t  t o  R e s olution 
Conf. 12.8 (Rev. CoP13) or its predecessors. In such cases, the Animals and Plants Committees, through their review of trade in  species selected because of 
concern over the sustainability of exports, made recommendations  to Parties to conduct status assessments, apply management pro cedures or establish 
cautions export quotas. In cases of non-implementation, the Stan ding Committee shall decide on appropriate action and make reco mmendations to the State 
concerned or to all Parties. Such recommendations can include the establishment of quotas or the suspension of imports with reg ard to specimens of listed 
species (e.g. Notification to the Parties No.2014/039 of 12 August 2014).   
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- 22 - 1.2.3.3  Quotas submitted or established in accordance with Resolution Conf. 10.10 (Rev. CoP16)  and Resolution Conf. 12.7 (Rev.  CoP16) 
Export quotas are also established with regard to trade in sp ecific species, i.e. elephant specimens (Resolution Conf. 10.10 Re v. CoP14) and sturgeons and 
paddlefish (Resolution Conf. 12.7 Rev. CoP16). These quotas are esta blished by the member States in accordance with the said Re solutions. 
1.3  Supportive measures 
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 
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 information submitted by Parties on measures adopted before the 17th meeting of the Conference of the 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 assist ance 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 other relevant 
government officials responsible for the formulation and adoption of CITES-related legislation; 
 (c) cooperate, in the provision of legislative assistance, with the legal programmes of United Nations bodies and intergovernm ental organizations, such as the Food 
and Agriculture Organization of the United Nations, UNEP, the Worl d Bank and regional development banks, as well as regional or ganizations such as the Africa, 
Caribbean and Pacific Secretariat, the Amazo n Cooperation Treaty Organization, the Asso ciation of South East Asian Nations, the  League of Arab States, the 
Organization of American States and the Pacific Regional Environment Programme; 
 (d) report at the 65th, 66th and 67th meetings 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 any countries that require attention as  a priority under the National Legislation Proj ect; and  
 (f) report at CoP17 on progress made with regard to the implem entation of Resolution Conf. 8.4 (Rev. CoP15) and Decisions 16.3 3-16.38. 
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  
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- 23 - 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 Supp ort Teams (WISTs) consisting of 
enforcement staff or relevant expe rts. 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 assi st it, and guide and facilitate appropriate follow-up actions in the immediate afterm ath of such an 
incident. The Secretariat shall report on pr ogress in this regard at th e 65th or 66th meeting of the Standing Committee, as app ropriate; 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 an d 66th meetings of the Standing  Committee, as appropriate. 
Decisions 16.78 – 16.83 – Monitoring of illegal trade in ivory and other elephant specimens 
Directed to the Standing Committee 16.82 The Standing Committee shall review the report and recommen dations of the Secretariat concerning the implementation of De cisions 16.78 – 16.81 and Decision 16.83 at 
its 65th and 66th meetings and determine wh ether any further actions are necessary. 
 More information on National Ivory Ac tion Plans (NIAPs) is available at https://cites.org/eng/niaps . 
 
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 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 admini stered by UNEP. At CITES CoP16 (Bangkok, 2013), CITES Parties cons idered 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 (GEF) funding and agreed to further work under Decision 16.2. The Biodiversity Strategy Focal Area of GEF-6 includes a  section on preventing the extinction of known 
threatened species, with specific reference to the issue of po aching and illegal trade of endangered species (e.g. African elep hants and rhinoceroses).  Following discussions 
between members of the Biodiversity Liaison Group and the GEF Se cretariat, as well as discussions within and recommendations ma de by the CBD Working Group on Review of 
Implementation, CBD CoP12 in 2014 adopted Decision XII/30 inviting the governing bodies of the various biodiversity-related con ventions to provide elements of advice, as 
appropriate, concerning the funding of nati onal priorities, within their respective ma ndates, that may be referred to the GEF t hrough the CoP to the CBD. 
 There are two general types of CITES projec ts: (1) "Administrative projects" include, inter alia : those related to the funding of particip ants to CITES CoPs or other meetings; 
 
technical assistance (e.g. support in the development of CITES-related legislation); training; and the provision of information  (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 developi ng countries through special pr ogrammes. These programmes aim to  raise the capacity of the Parties to 
implement the Convention. CITES' training activities are coordina ted by the Knowledge Management and Outreach Services (KMOS) t eam in the Secretariat. Capacity-building 
activities include: workshops, seminars, training packages, dissemination of inform ation through the Internet, CITES Virtual Co llege and InforMEA portal, technical assistance, etc. 
 
The Scientific Services team (SST) provides assistance to the CITES Parties to enhance the scientific basis for decision-making  in CITES. SST is responsible for workshops on 
non-detriment findings and quota management, as well as the crea tion of identification manuals. Compliance and enforcement are also important focal activities of the CITES  
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- 24 - Secretariat. The Regulatory Services team monitors national repo rts, responds to permit queries,  provides legal and policy advi ce for the development of national legislation, 
assists with the review of national wildlife trade policies, suppo rts the adoption of measures to  promote and achieve complianc e, provides technical assistance to enforcement 
officers in relation to allegations of illegal trade, organizes enforcement seminars and works wi th KMOS to preparate relevant training packages. The Governing Bodies and 
Meeting Services team assists the Parties with Convention-related  documentation and provides logi stic support in the organizati on of CITES meetings. KMOS manages the CITES 
website, media relations,and resource mobilization and provides information/communications technology, e-permitting, on-line ca pacity 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 Secr etariat 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 Conv ention. 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 progra mmes. Some of this financial support has also come from users of wildlife. Species 
covered in surveys with a sustainable use dimension include sh arks/rays (with FAO), parrots, py thons, crocodilians, lizards, co rals, trees (with ITTO), plants 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 and 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 and  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, falcons, great apes, hawksbill turtles, saiga antelopes, snakes, s harks and stingrays, to rtoises 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. 
1.4  Non-compliance mechanism 
1.4.1  Provisions of the Convention 
Article XIII – International Measures  
"1. When the Secretariat in the light of information received is satisfied that any species included in Appendix I or II is 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. Wher e the Party considers that an inquiry is desirable, such inqui ry 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 Conven tion (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 inst ructs or delegates its authority to the Standing Committee, e.g.  pursuant to Resolution Conf. 8.4 (Rev. CoP15), to  
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- 25 - consider "appropriate measures", which may include restrictions on  the trade in specimens of CITES-listed species. In various i nstances, 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 Party  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 Convention in the context of the Review of Significant Trade. Havi ng identified a problem of serious non-compliance, 
it would be inappropriate for Parties not to respond. Recommenda tions for a suspension of trade may be regarded as a precaution ary 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 measur es 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. 
1.4.2  Resolutions and Decisions of  the Conference of the Parties  
Resolution Conf. 8.4 (Rev. CoP15) 
"Instructs the Standing Committee to determine which Parties 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 fl ora and identify it as a matter of high priority for their na tional law enforcement agencies; 
ii) if appropriate, consider formulating national and regional action plans, incorporating time tables, targets and provisions f or funding, designed to enhance 
enforcement of CITES, achieve compli ance with its provisions, and suppor t wildlife-law enforcement agencies; 
 iii) provide officials who have wildlife-law enforcement responsibilities 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 mechan isms 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 protecti on against illegal traffic for the species included in the Append ices; 
 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 ci rcumstances and facts likely to be relevant to illegal traffic and also of control measures, wi th the aim of eradicating such traffic; 
(b) Parties should advocate sanctions for infringement s that are appropriate 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 and 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 authority, irrespective of its hierarchical 
level, other than the Management Authority officially designated as competent by the exporting or re-exporting Party and duly n otified to the Secretariat; 
(e) if an importing country has reason to believe that specimens of an Appendix-II or -III species are traded in contravention of the laws of any country involved in the 
transaction, it: 
 i) immediately inform the country whose laws were thought to ha ve been violated and, to the extent possible, provide that coun try with copies of all documentation 
relating to the transaction; and  
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- 26 - 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 th e flag of the United Nations that they are not 
exempted from the provisions of the Convention; 
Regarding application of Article XIII , recommends  that: 
(a) when, in application of Article XIII of the Convention and Resolution Conf. 14.3 on CITES compliance procedures , the Secretariat requests information on a potential 
compliance matter, Parties reply within one month or, if this is impossible, acknowledge within the month and indicate a date, even an approximate one, by which they 
consider it will be possible to provide the information requested; (b) when, within six months, the information requested has not been provided, Parties provide the Secretariat with justificatio n of the reasons for which they have not been 
able to respond; (c) if major compliance matters concerning particular Parties are brought to the atte ntion of the Secretariat, the Secretariat work with the Parties concerned to try to solve 
the matter and offer advice or te chnical assistance as required; 
(d) if it does not appear a solution can be readily achieved, the Secretariat bring the matter to the attention of the Standing  Committee, which may pursue the matter in 
direct contact with the Party concerned with a view to helping to find a solution; and (e) the Secretariat keep the Parties informed as fully as possib le, through Notifications to the Parties, of such compliance ma tters and of actions taken to solve them, and 
include such matters in its reports for meetings of the Standing Committee and the Conference of the Parties; 
Resolution Conf. 11.17 (Rev. 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 was due constitutes a major 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 reasonable extens ion of time to the 31 October deadline for the submission of annual or biennial reports 
provided the Party submits to the Secretariat a written request, containing adequate justification, before that deadline; Instructs the Standing Committee to determine, on the basis of reports presented by the Secretariat, which Parties have failed,  for three consecutive years and without 
having provided adequate justif ication, to provide the annual re ports required under Article VIII, paragraph 7 (a), of the Conv ention within the deadline (or any extended 
deadline) provided in the present Resolution; 
Recommends that Parties not authorize trade in specimens of CITE S-listed species with any Party that the Standing Committee has  determined has failed, for three 
consecutive years and without having provid ed adequate justification, to provide th e 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 recommen dations 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 that State. On the basis of the report of the Secretariat,  the Standing Commit tee shall decide on 
appropriate action and make recommendations to  the State 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 with  the State concerned should be withdrawn only when that State  demonstrates to the satisfaction of the 
Standing Committee, through the Secretariat, complianc e 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; ...".  
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- 27 -  For a list of outstanding Standing Committ ee 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 an d 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-b uilding support to the Party co ncerned; 
 (b) request special reportin g from the Party concerned; 
 (c) issue a written caution, requesting  a response and offering assistance; 
 (d) recommend specific capacity-building acti ons to be undertaken by the Party concerned; 
 (e) provide in-country assistance, technical assessment and a ve rification mission, upon the in vitation of the Party concerned ; 
 (f) send a public notification of a compliance matter through the Secretariat to all Parties advising that compliance matters have been brought to the attention of a Party 
and that, up to that time, there has been no satisfactory response or action;  (g) issue a warning to the Party concerned that it is in non-co mpliance, e.g. in relation to na tional reporting and/or the Nat ional Legislation Project; and 
 (h) request a compliance action plan to be submitted to the Standing Committee by the Party concerned identifying appropriate steps, a timetable for when those steps 
should be completed and means to assess satisfactory completion. 
30. In certain cases, the Standing Committee decides to recommend the suspension of commercial or all trade in specimens of 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 Parties
5. 
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 isla nd 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 sustaina ble 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 inter-sessionally by the Secretariat. 
A recommendation to suspend trade is withdrawn as soon as the co mpliance matter has been resolved or sufficient progress has be en made. The Secretariat notifies Parties of 
any such withdrawal as soon as possible.  For a list of countries currently subject to a recommendation to suspend trade, see the relevant reference list on the CITES w ebsite.   
                                               
5 These currently include: 
 – Resolution Conf. 11.17 (Rev. CoP14) (National re ports)[now Resolution Conf. 11.17 (Rev. CoP16)]; 
 – Decision 14.29 (National laws for implementation of th e Convention) [now Resolution Conf. 8.4 (Rev. CoP15)]; 
 – Resolution Conf. 12.8 (Rev. CoP13) (Review of Sign ificant trade in specimens of Appendix-II species); 
 – Convention Article XIII and Re solution Conf. 11.3 (Rev. CoP14) (Compliance and enforcement) [now Resolution Conf. 11.3 (Rev.  CoP16)]; and 
 – Resolution Conf 11.1 (Rev. CoP14) (Establishment of  committees) [now Resolution Conf. 11.1 (Rev. CoP16)].   
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- 28 - 1.5  Dispute Settlement Mechanism 
Article XVIII – Resolution of Disputes  
"1. Any dispute which may arise between two or  more Parties with respect to the interpretation or application of the provisions  of the present Convention shall be subject to 
negotiation between the Parties involved in the dispute. 2. If the dispute can not be resolved in accordance with paragrap h 1 of this Article, the Parties may, by mutual consent, submi t the dispute to arbitration, in particular that of 
the Permanent Court of Arbitration at The Hague, and the Parties submitting the dispute shall be bound by the arbitral decision ." 
1.6  Provisions for non-parties 
Article X – Trade with States not Party to the Convention 
"Where export or re-export is to, or import is from, a State not a Party to 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 St ates 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 incl uding 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) a nd 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, cert ification to the effect that they will be transported in a manner  that will minimize the risk of injury, 
damage to health or cruel treatment; 
(b) Parties accept documentation from States not party to the Convention only if details of the competent authorities and scien tific 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 States not party to the Convention , including specimens in transit between 
such States; (d) particular attention be given to the inspection of specimens in transit exported or re-expor ted from, and/or destined for S tates not party to the Convention and to the 
inspection of documentation for such specimens; (e) Parties authorize import from and export or re-export to States not party to the Convention of specimens of wild origin of Appendix-I species only in special cases where 
it benefits the conservation of the species or 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 Conven tion 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 Appen dix-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";  
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- 29 -  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, Cook Islands,  Democratic People’s Republic of Korea,  Haiti; Kiribati, Marshall Islands, Federa ted States of Micronesia, Tajikistan and Tonga.  
 China is a Party to CITES. Hong Kong, China and Macao, Chin a, however, have their own CITES Management Authorities.  
 Key non-parties currently in the proc ess of adhering to the Convention in clude: Tajikistan and Turkmenistan. 
2  CONVENTION ON THE CONSERVATION OF ANTARCTIC MARINE LIVING RESOURCES (CCAMLR) 
2.1  Brief Description of the MEA 
The CCAMLR is part of the Antarctic Treaty System, a set of arra ngements made for the purpose of coordinating relations among s tates with respect to 
Antarctica. The Antarctic Treaty came into force on 23 June 1961 and remains in force indefinitely. Fifty-two countries have ac ceded to the Antarctic Treaty. 
Consultative (voting) status is open to all countries who have demonstrated their commitment to the Antarctic by conducting sig nificant research. Twenty-eight 
nations have Consultative status under the Antarctic Treaty. The Antarctic Treaty parties meet every year. They have adopted ov er 200 recommendations and 
negotiated five separate international agreements. These, togeth er with the original Treaty, provide the rules which govern act ivities in Antarctica. Collectively, 
they are known as the Antarctic Treaty System (A TS). 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); 
 Protocol on Environmental Protection to the Antarctic Treaty (1991); 
 Agreement for the Conservation of Albatross and Petrels (2001). 
 The Preamble to CCAMLR recognises "the prime responsibility of the Antarctic Treaty Consultative Parties for the protection and  preservation of the Antarctic 
environment and, in particular, their responsibilities under Arti cle IX, paragraph 1(f) of the Antarctic Treaty in respect of t he preservation and conservation of 
living resources in Antarctica". 
website http://www.ccamlr.org/  
Objective  The Convention is based on an ecosystem approach to the conserva tion of marine living resource s in the waters surrounding Antar ctica. It incorporates 
standards designed to ensure the conservation of not only indivi dual populations and species, but also the maintenance of the A ntarctic marine ecosystem 
as a whole. Conservation principles established by the Convention  embody an ecosystem approach to living marine resource conser vation and set 
CCAMLR's marine resources management regime apart from other international fisheries organisations. 
  The Convention seeks to conserve marine living resources in the Co nvention Area, (south of 60°S la titude and in some parts, bel ow the zone of the 
Antarctic Polar Convergence), and includes a ll species of finfish, molluscs, crustaceans and other marine organisms as well as marine birds. In addition the 
Conventions provides for the rational use of  marine resources. Although the management  of seals and whales is under the jurisdi ction of the Convention 
for the Conservation of Antarctic Seals (CCAS) and the Internat ional Whaling Commission (IWC), CCAMLR manages fishing activitie s in a way that takes 
into account, the impacts fishing may have on these species which form an integral part of the Antarctic marine ecosystem. 
Date of Signature 20 May 1980 
Entry into force 7 April 1982 
Parties 36 Parties – 25 Members and 11 Acceding States (as of 31 July 2015).   
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- 30 - WTO Members 35 Parties to CCAMLR are also WTO Members (see Annex). 
Openness of 
Membership Article XXIX 
"1. This Convention shall be open for accession by any State interested in research or harvesting activities in relation to the  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, 
competences with regard to the matters covered by this Conventi on. The accession of such regional economic integration organisa tions shall be the 
subject of consultations among Members of the Commission". 
Decision-Making 
Bodies  CCAMLR’s main decision-making body is the Commission. The Commission has two standing  committees: The Standing Committee on Ad ministration 
and Finance (SCAF) and the Standing Commit tee on Implementation and Compliance (SCIC). All decisions on matters of substance ar e taken by 
consensus. The institutional features of the Convention comprise, in addition to the Commission, a Scientific Committee for the  Conservation of Antarctic 
Marine Living Resources (SC-CAMLR) and a pe rmanent Secretariat, based in Hobart, Aust ralia. The Scientific Committee has three permanent working 
groups, the Working Group on Ecosystem Monitoring and Management (WG-EMM), the Working Group on Fi sh 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 conservation measures on the basi s of the best scientific evidence available, subject to the pr ovisions of paragraph 5 
of this Article; (g) implement the system of observation and inspection established under Article XXIV of this Convention; (h) carry out such other activities as are 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 Comm ission 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  
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- 31 - 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; 
(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 followin g the meeting, any 
Member of the Commission shall have the right to declare that it is no longer able to accept the conservation measure, in which  case the Member 
shall no longer be bound by such a measure". 
Article XII "1. Decisions of the Commission on matters of substance shall be taken by consensus. The question of whether a matter is one of  substance shall be 
treated as a matter of substance. 2. Decisions on matters other than those referred to in 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 and promote co-operation in the fie ld of scientific research in 
order to extend knowledge of the marine living resources of the Antarctic marine ecosystem. 
2. The Scientific Committee shall conduct such activities as the Commission may 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 other 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 accord ance with paragraph 3 above shall be deemed  to have withdrawn from this Convention".  
2.2  Trade-related Measures 
The Convention does not contain trade measures, but trade-related measures have been adopted, for instance, in the following Co nservation Measures that are 
binding for the Contracting Parties:  
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- 32 - 10-02 (2013) 
Licensing and 
Inspection Obligations 
of Contracting Parties 
with regard to their 
Flag Vessels Operating 
in the Convention Area "1. Each Contracting Party shall prohibit fishing by its flag vessels in the Convention Area except pursuant to a licence that the Contracting Party 
has issued setting forth the specific areas, species and time 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 it s 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 thes e conditions 
discovered upon port arrival, departure or upon inspection in the Convention Area on high seas (see sub-section below on Non-Co mpliance 
Mechanism) or, where appropriate, in an EEZ , are to be investigated and dealt with in  accordance with national legislation. 
10-05 (2014) 
Catch Documentation 
Scheme for 
Dissostichus  spp. 
Species toothfish "… Each Contracting Party and non-Contracting Party cooperating wi th CCAMLR by participating in the CDS shall take steps to ide ntify the origin 
of Dissostichus  spp. landed in, imported into, or exported or re-exported from its territories and determine whether Dissostichus  spp. harvested in 
the Convention Area that is landed in, im ported into, or exported or re-exported from its territories was caught in a manner co nsistent with 
CCAMLR conservation measures …." 
  This Conservation Measure was adopted in November 1999 and came into force on 7 May 2000. It has been periodically reviewed an d refined 
since. This measure establishes CCAMLR’s Catch Documentation Scheme for Dissostichus spp. (CDS) which tracks all landing, export and re-export 
of toothfish ( Dissostichus  spp.) landed and or/traded by  CCAMLR Contracting Parties. 
 Further trade-related measures are contained in Conservation Measures 10-06 (2008) and 10-07 (2009) (see sub-sections below on  Non-
Compliance Mechanisms and Provisions for Non-Parties). 
2.3  Supportive measures 
No provisions 
2.4  Non-compliance mechanism 
2.4.1  Promotion of Compliance 
Article XXI 
"1. Each Contracting Party shall take 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 information on measures taken pursuant to paragraph 1 above, includi ng the imposition of sanctions for any 
violation". 
Conservation Measure 10-03 (2014) – Port In spections of Vessels Carrying Toothfish 
"... 1. Contracting Parties shall undertake inspection of all fishing vessels carrying Dissostichus spp. which enter their ports. The insp ection 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 (DCD) required by Conservation 
Measure 10-05, and that the catc h agrees with the information recorded on th e document.  
2. Contracting Parties shall inspect at least 50% of fishing vessels that enter their ports carrying species other than Dissostichus  spp. that were harvested in the Convention 
Area and that have not been previously land ed or transhipped at a port. The purpose of  the inspection will be to determine whet her harvesting activities in the Convention Area 
were carried out in accordance with CCAMLR conservation measures …" 
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 Contracting Parties whose ve ssels have engaged in fishing a ctivities in the Convention Area in a manner which 
has diminished the effectiveness of CCAMLR conservation measures in force, and shall establish a list of such vessels (Contract ing Party Illegal Unregulated, and Unreported  
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- 33 - 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 th e 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 List 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 relati on to authorised areas, sp ecies and time periods; or 
(ii) not recorded or not declared its catc hes 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-Contracting Party Illegal Unregulated, and Unreported Vessel List), established unde r Conservation 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 Contractin g Parties, in the terms of the statement made by the Chairman on 19 May 1980; 
or 
(viii) engaged in fishing activities contrary to any other CCAMLR conservation measures in a manner that undermines the 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 info rmation showing that the vessels listed ha ve not engaged in th e activities which l ed 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 su bmitted 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 an d evidence circulated under paragraph 10 ... 
14. SCIC shall recommend that the Commission should remove a vessel from the CP- IUU Vessel List if the Contracting Party 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 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. … 
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 vesse l or vessels have been included in the draft lCP-IUU 
Vessel List drawn up by the Executive Secretariat, pursuant to paragraph 6. 
23. The Chair of the Commission shall reques t the Contracting Parties iden tified pursuant to paragraph 1 to take all necessary measures to avoid diminishing the effectiveness 
of the CCAMLR conservation measures resultin g from their vessels’ activities, and to ad vise the Commission of actions taken in that regard. 
24. The Commission shall review, at subsequent CCAMLR annual meetings, 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 deci de 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 appropri ate multilaterally agreed trade- related measures, consistent w ith their obligations as members of the [WTO],  
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- 34 - that may be necessary to prevent, deter and eliminate the IUU fi shing activities identified by the Commission.  Multilateral tr ade-related measures may be used to support 
cooperative efforts to ensure that trade in Dissostichus  spp. and its products does not in any way encourage IUU fishing or otherwise diminish the effectiveness of CCAMLR’s 
conservation measures which are consistent with the United Nations Convention on the Law of the Sea 1982". 
Conservation Measure 10-10 (2014) 
"1. Draft CCAMLR Compliance Reports 
(i) The Secretariat shall compile a Draft CCAMLR Compliance Report using the template in Annex 10 -10/A for each Contracting Par ty for whom there is a relevant 
compliance issue. The Draft CCAMLR Compliance Report will cover the period 1 August–31 July of the following year. In compiling  Draft CCAMLR Compliance Reports, the 
Secretariat shall take into account appropriate compliance da ta holdings, as well as data from other relevant sources. 
(ii) The Secretariat shall circulate to each Contracting Party it s respective Draft CCAMLR Complian ce Report no later than 75 d ays before the annual Commission meeting. 
(iii) In considering its Draft CCAMLR Compliance Report, each Contracting Party shall provide in the ‘Additional Information’ c olumn in Annex 10-10/A, detailed information 
relevant to the compliance issues raised in its report, so that  the Standing Committee  on Implementation and Compliance (SCIC) may fully evaluate each compliance issue. This 
may include, but is not limited to, any relevant documentary or photographic evidence demonstrating implementation of relevant conservation measures and/or specific actions 
taken to address any non-compliance.  
(iv) Each Contracting Party shall return it s Draft CCAMLR Compliance Repo rt incorporating any addition al information to the Sec retariat no later than 45daysbefore the 
annual Commission meeting. Where no response is received from a Contracting Party under paragraph 1(iii), the Secretariat shall  note nil response in the relevant Draft CCAMLR 
Compliance Report. 
2. Summary CCAMLR Compliance Report 
(i) The Secretariat shall prepare a Summary CCAMLR Compliance Report  based on the Draft CCAMLR Comp liance Reports. This report shall include, inter alia, a summary 
of Contracting Parties’ implementation of conservation measures. The Draft CCAMLR Comp liance Reports shall be annexed to the Su mmary CCAMLR Compliance Report. 
(ii) The Summary CCAMLR Compliance Report shall be made availabl e on the secure CCAMLR website for consideration no later than 42 days before the annual 
Commission meeting. As soon as practica ble after posting the Summary CCAMLR Complianc e Report, the Secretariat shall notify Con tracting Parties of its availability. 
3. Provisional CCAMLR Compliance Report 
(i) At its annual meeting, SCIC shall consider the Summary CCAML R Compliance Report, taking into account any additional informa tion received, including in accordance 
with paragraph 1(iii). 
(ii) In considering the Summary CCAMLR Compliance Report, SCIC ma y request any Contracting Partie s who have rele vant informatio n to provide further additional 
details, so that SCIC may fully evaluate each compliance issue.  This information may include, but is not limited to, any releva nt documentary or photographic evidence. 
(iii) On the basis of the information cons idered in paragraph 3(i), SCIC shall adop t an annual Provisional CCAMLR Compliance Re port by consensus, in which it shall record 
its findings of non-compliance. The Provisio nal CCAMLR Compliance Report shall include an assessment of compliance status, in a ccordance with Annex 10-10/B, ‘Compliance 
Status Categories’. The Provisional CCAMLR Compliance Report shall also include reco mmendations to the Co mmission regarding: 
(a) any remedial action taken, or proposed  to be taken, by the Contracting Party; 
(b) where appropriate, proposals to amend existing conservation measures; 
(c) priority obligations to be monitored and reviewed; and 
(d) other responsive action which may be cons idered by the Commission, as appropriate. 
4. CCAMLR Compliance Report 
(i) At its annual meeting, the Commission shall consider the Provisional CCAMLR Compliance Report. 
(ii) The annual CCAMLR Compliance Report will outline the Commission’s response to the recommendations of SCIC in the Provision al CCAMLR Compliance Report. 
5. Review of Conservation Measure 10-10 
(i) At its annual meeting, SCIC will consider the effectiveness of this conservation measure in evaluating and addressing non-c ompliance, and will report to the 
Commission on its findings and recommendation s for improving this conservation measure." 
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.  
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- 35 - 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." 
2.4.2  System of Inspection 
Article XXIV "1. In order to promote the objective and ensure observance of the provisions of this Conventi on, 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 ensure the effective implementation of the system of observation an d inspection, taking account of the existing 
international practice. This system shall include, inter alia , procedures for boarding and inspec tion by observers and inspectors designated by the Members of the 
Commission and procedures for fl ag state prosecution 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  orde r to ve ri fy c om pli an ce  wit h  meas u res  adopt ed u n de r this Convention, observation and inspection shall be carried out on board vessels engaged in scientific 
research or harvesting of marine living resources in the area to  which this Convention applies, through observers and 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 shall remain subject to the jurisdiction of the Contracting Party of which they are nat ionals. They shall report to the Member of the 
Commission by which they have been designated which in turn shall repo rt to the Commission" 
 The CCAMLR System of Inspection has been in operation since 1989. Inspections of fishing and fisheries research vessels of CCA MLR Flag States are being carried out regularly 
by CCAMLR Inspectors de signated by Members. 
 In December 2000, the Commission established the Standing Committ ee 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.  
2.5  Dispute Settlement Mechanism 
Article XXV 
"1. If any dispute arises between two or more of the Contracting Parties concerning the interpretation or application of this C onvention, those Contracting Parties shall consult 
among themselves with a view to having the dispute resolved by negotiation, inquiry, mediation, conciliation, arbitration, judi cial 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 arbitration shall not absolve Parties to the dispute f rom the responsibility of continuing to seek to resolve 
it by any of the various peaceful me ans referred to in paragraph 1 above. 
3. In cases where the dispute is referred to  arbitration, the arbitral tribunal shall be constituted as provided in the Annex t o this Convention". 
  
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- 36 - 2.6  Provisions for non-parties 
Article X 
"1. The Commission shall draw the attention of any State which is not a Party to this Convention to any activity undertaken by 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 vess els are engaged in IUU fishing activities in the Convention Area that 
threaten to undermine the effectiveness of CCAMLR conservation measures, and shall establish a list of such vessels (NCP-IUU Ve ssel 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 undermining 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 paragr aphs 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, land ing or transhipment in accordance with Conservation Measure 10-03; or 
(iii) transhipped or participated in joint fishing operations with, supported or resupplied other vessels identified by CCAMLR as carrying out IUU fish ing 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 ma nner 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 including beneficial owners hip 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 Li st, the Commission shall request non- Contra cting Parties 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  
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- 37 - further access to the CDS, and to  inform the Commission of the me asures taken in this respect. 
22. Contracting Parties shall take all necessary measures, to the extent possible in accordance 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 their 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 in  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 Govern ment 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 suitably documented is collected and submitted to the Executive Secretary, to be forwa rded to Contracting Parties and 
non-Contracting Parties, entities or fishing entities cooperating with the Commission by particip ating in the CDS, with the aim  of detecting, controlling 
 
and preventing the importation or exportation of, and other trad e-related activities relating to, catches from vessels on the N CP-IUU Vessel List intended to circumvent this 
conservation measure. … 30. The Commission shall decide appropriate measures to be taken in respect to Dissostichus spp. so as to address these issues with those identified non-Contracting Parties. 
In this respect, Contracting Parties may cooperate to adopt appropriate multilaterally agreed trade-related measures, consisten t with 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.  Multilateral trade-relate d measures may be used 
to support cooperative effort s 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;  
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- 38 - (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 
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."  
3  INTERNATIONAL CONVENTION FOR THE CO NSERVATION OF ATLA NTIC TUNAS (ICCAT) 
3.1  Brief Description of the MEA 
Web site http://www.iccat.int/  
Objective ICCAT is responsible for the conservation of tunas and tuna-like species in the Atlantic Ocean an d adjacent seas. Its mandate a lso includes the study of 
fish species caught incidentally to tuna fishing as well as highly migratory, oceanic and pelagic sharks.  
Date of Signature Convention: 14 May 1966 
Paris Protocol (on Articles XIV, XV and 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 50 (as of 31 July 2015)  
WTO Members 43 Contracting Parties to ICCAT are also WTO Members (see Annex). 
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 adhere to it at any time". 
 In addition, the Paris Protocol  states in Article XIV, paragraph 4:  "This Convention shall be open for signature or adherence by 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, Enti ties 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.   
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- 39 - 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." 
Article VIII 
"1. (a) The Commission may, on the basis of scientific evidence, ma ke recommendations designed to maintain the populations of t una and tuna-like 
fishes that may be taken in the Convention area at levels wh ich will permit the maximum sustainable catch. These recommendation s shall be applicable to 
the Contracting Parties under the conditions laid down in paragraphs 2 and 3 of this Article … 
2. Each recommendation made under paragraph 1 of this Article shall become effective for all Contracting Parties six months 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 withdraw that objectio n, 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  effective 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 Conv ention. The Director-General of the FAO shall tr ansmit a certified 
copy of the text of any proposed amendment to all the Contract ing Parties. Any amendment not involving new obligations shall ta ke effect for all 
Contracting Parties on the thirti eth day after its acceptance by three-fourths of the Contractin g Parties. Any amendment involv ing 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 Co ntracting Party upon acceptance by it. Any amendm ent considered by one or more Contracting Part ies to involve new 
obligations shall be deemed to involve new obligations and shall take effect accordingly. A government which becomes a Contract ing 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".  
3.2  Trade-related Measures 
The ICCAT is not a regulatory body, however, regulatory Recommen dations and Resolutions related to the conservation of tuna and  tuna-like species in the 
Atlantic Ocean and adjacent seas, adopted by the Commission, are to be implemented domestically by Contracting Parties and Coop erating non-Contracting 
Parties, Entities or Fishing Entities. Recommendations are the on ly binding instruments. They are subject to a six-month period  during which Contracting 
Parties can file an objection (see Article VIII:3). The Recommend ations then enter into force after the six-month objection per iod. Resolutions are a second 
instrument of the Commission, but are not subject to an objectio n period. The number of Resolutions and Recommendations that th e Commission adopts each 
year has been increasing. They include the following:  
  WT/CTE/W/160/Rev.7 • TN/TE/S/5/Rev.5  
 
- 40 - 3.2.1  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 transshipment. Importing CPCs should oblig ate 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". 
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 fu rther work together to elimin ate 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 suppo rt or engage in IUU fishing. 
4. Contracting Parties, Cooperat ing non-Contracting Parties, Entities 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". 
3.2.2  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 du ring any two consecutive management periods, the Commission wil l recommend 
appropriate measures, which may include, but are not limited to, reduction in the catch limit equal to a minimum of 125% of the  excess harvest, 
and, if necessary, trade restrictive measures . Any trade measures under this paragraph w ill be import restri ctions on the subje ct species and  
  WT/CTE/W/160/Rev.7 • TN/TE/S/5/Rev.5  
 
- 41 - consistent with each Party's international obligations. The trade measures will be of such duration and under such conditions a s 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, Contra cting Parties 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 de scribed in Annex 2. Bigeye tuna caught by purse seiners and po le and line (bait) 
vessels and destined principally for the canneries in the Conventi on area are not subject to this statistical document requirem ent. The Commission 
and the Contracting Parties importing bigeye tuna shall contact all the exporting countrie s to inform them of this program in a dvance 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 accom panied by 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).  
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 Partie s, Entities or Fishing Entities shall assist St. Vincent and the 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, Unreported and Unregulated Fishing (Entered into force on 
19 June 2004) "... Consistent with their rights and ob ligations under international law, Contract ing Parties and Cooperating non-Contracting Parties, 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 agains t Equatorial Guinea (Entered into force on 13 June 2005) 
"... 1. Contracting Partie s and Cooperating non-Contracting Parties, Entities or Fishing Entities shall lift he import prohibit ions on Atlantic bigeye 
tuna and Atlantic bluefin tuna and their prod ucts that were imposed on Equatorial Guin ea pursuant to the 1999 and 2000 Recommen dations. 
2. Notwithstanding the provisions of Arti cle VIII, paragraph 2, of the Convention, the Contracting 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 ad apt to the ICCAT requirements concerning the submission of sta tistical data."  
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 bluefi n tuna from farms 
not registered in the ICCAT record of farmin g facilities authorised to operate as well as those that do not respect the samplin g requirements 
foreseen in paragraph 2b and/or do not participate in th e sampling programme referred to in paragraph 2 b) ... ."   
  WT/CTE/W/160/Rev.7 • TN/TE/S/5/Rev.5  
 
- 42 - Recommendation 06-13 
Concerning Trade 
Measures 
 Recommendation by ICCAT Concerning Trade Measures (entered into force on 13 June 2007) 
"... 6.   The Compliance Committee or the PWG should evaluate the response  of the CPCs or NCPs, together with any new information, and 
propose to the Commission to decide upon one of the following ac tions: a) the revocation of the identification; b) the continua tion 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 qu otas or catch limits should be implemented to the extent possi ble before 
consideration is given to the application of  trade restrictive measures. 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-discrimi natory trade restrictive measures, consiste nt with their international obligations. The Commission 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 th ey have taken for the implementation of the non-discriminatory trade  restrictive 
measures adopted in accordance with paragraph 7.  9. In order for the Commission to recommend the lifting of tr ade restrictive measures, the Compliance Committee or the PWG shal l review 
each year all trade restrictive measures adop ted 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 management measures, the C ommission 
may immediately decide on action including, as appropriate, the im position of trade-restrictive me asures in accordance with par agraph 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 su bject to a trade-restrictive measure pursu ant to 
paragraph 7 and, with respect to NCPs, are considered as non-Cooperating non-Contracting Parties to ICCAT."  
  WT/CTE/W/160/Rev.7 • TN/TE/S/5/Rev.5  
 
- 43 - 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 w here 
the vessel is flagged or where the trap is established, and 
– trade of farmed bluefin tuna products orig inating from bluefin tuna harvested in the I CCAT Convention area by a vessel which 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 bluefin tuna harvested in the ICCAT Conv ention area by vessels flagged  
to one Member State or by a trap established in one Member State. 
3. Each consignment of bluefin tuna domestically traded, imported into or exported or re-exported from its territories shall be  accompanied by 
a validated BCD, except in cases where paragraph 13(c) applies an d, as applicable, an ICCAT tran sfer declaration or a validated  Bluefin Tuna 
Re-export Certificate (BFTRC). Any such landing, transfer, deliver y, harvest, domestic trade, im port, export or re-export of bl uefin 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 cons ignment with no BCD, it shall notify the findings to the export ing CPC and, where 
known, the flag CPC. 25. Pending the examinations or verifications under paragraph 22 to confirm compli ance of the bluefin tuna consignment with the  requirements 
in the present Recommendation and any other relevant Recommendations, the CPCs shall not grant its release for domestic trade, import 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, export or re-export of the bluefin tuna conce rned shall be 
prohibited. 27. The Commission shall request the non-Contracting Parties that ar e 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 13-17 
Supplementing the 
Recommendation for an 
Electronic Bluefin Tuna 
Catch Document (eBCD) 
System Recommendation by ICCAT Suppleme nting the Recommendation for an  Electronic Bluefin Tuna Ca tch Document (eBCD) System  
"2. All CPCs concerned shall, as soon as possible for full eBCD system implementation referenced in paragraph 1, submit to the Secretariat the 
data necessary to ensure the regi stration of their users in the eBCD system. Access to and use of the system cannot be ensured for those who fail 
to provide the necessary data as define d by the ICCAT Secretariat and endorsed  by the eBCD Technical Working Group.  
6. The substantive provisions of Re commendation 11-20 will be applied mutatis mutandis  to the electronic BCDs…." 
  At the 2014 annual meeting, the ICCAT Commission agreed that  the system should be full y implemented by March 2016. 
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 consumptio n 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.7 • TN/TE/S/5/Rev.5  
 
- 44 - 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 develo ping coastal CPCs for local consumption ar e exempted from the measures established in  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 1 July 2012, for improving their data collection for shar ks on a species specific 
level for review by the SCRS and Commission.  Developing coastal CPCs ex empted from the prohibition pu rsuant to this paragraph s hall not increase 
their catches of silky sharks. Such CPCs shall take necessary measures to ensure that silky sharks will not enter international  trade and shall notify 
the Commission of such measures." 
Recommendation 11-18 
on the List of Vessels 
Presumed to have 
Carried Out Illegal, 
Unreported and 
Unregulated Fishing 
Activities in the ICCAT 
Convention Area  
 Recommendation by ICCAT further amending recommendation 09-10 establishing a list of vessels presumed to have carried out 
illegal, unreported and unregulated fishing activities in the ICCAT convention area (entered into force: 7 June 2012) "9. CPCs shall take all necessary measures , under their applicable legislation:  
− So that the fishing vessels, support vessels, refueling vessels, the mother-ships and the cargo vessels flying their flag do 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 transaction and transhipment of tuna and  tuna-like 
species caught by vessels included in the IUU list;  − T o  c o l l e c t  a n d  e x c h a n g e  w i t h  o t h e r  C P C s  any appropriate information 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, Entities or Fishing Entities (CPCs) shall lift the import proh ibitions on Atlantic 
bigeye tuna and its products that we re imposed on Bolivia and Georgia…" 
Recommendation 14-05  
concerning the Western 
Atlantic Bluefin Tuna 
Rebuilding Program 
 Recommendation by ICCAT amending the reco mmendation by ICCAT concerning the west ern Atlantic Bluefin Tuna rebuilding 
program  "…7.   (c) Notwithstanding paragraph 7(b), if a CP C has an overharvest of its total quota du ring any two consecutive management perio ds, 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 14-04 
to Establish a Multi-
Annual Recovery Plan 
for Bluefin Tuna in the 
Eastern Atlantic and 
Mediterranean Recommendation by ICCAT amending the reco mmendation 13-07 by ICCAT to establish a multi-annual recovery plan for Bluefin 
tuna in the eastern Atlantic and Mediterranean (expected to enter into force August 2015) 
"94. 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 cage s for farming, re-exports an d transhipments of eastern A tlantic 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  
  WT/CTE/W/160/Rev.7 • TN/TE/S/5/Rev.5  
 
- 45 -  Programme [Rec. 11-20] on a Bluefin Tuna Catch Documentation Programme." 
− to prohibit domestic trade, imports, la ndings, placing in cage s for farming, processing, export s, re-exports and the transhipm ent 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 10 are exhausted; 
− to prohibit domestic trade, imports, landings, processing, expo rts from farms that do not comply with Recommendation Rec. 06-0 7." 
3.3  Supportive measures 
 Contracting Parties have access to scientific research, statistica l database and other information. They can also obtain techni cal 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 Contract ing Party contributions. Spec ial 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 countr ies at ICCAT meetings. 
3.4  Non-compliance mechanism 
Article IX 
"1. The Contracting Parties agree to take all action necessary to  ensure the enforcement of this Convention.  Each Contracting 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. 
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 201 3 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 A pplicable In Case Of Non Fulfilment Of 
Reporting Obligations [Rec. 11-15]  
3.5  Dispute Settlement Mechanism 
 No provisions  
  WT/CTE/W/160/Rev.7 • TN/TE/S/5/Rev.5  
 
- 46 - 3.6  Provisions for non-parties 
 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 
c o m p e t e n c e  t o  e i t h e r  b e c o m e  C o n t r a c t i n g  P a r t i e s  t o  t h e  C o n v e n t i o n  o r  t o  a t t a i n  s t a t u s  a s  a  " C o o p e r a t i n g  P a r t y ,  E n t i t y ,  o r  F i s h i ng Entity" (Resolution 97-17 - Becoming a 
Cooperating Party, Entity or Fishing Entity).  Such status requires the fi rm commitment to provide th e same data that Contractin g Parties are required to submit and to respect the 
Commission’s management recommendations. Such status is granted for one-year periods and is subj ect to annual review. In 1999, Chinese Taipei and Mexico were granted 
Cooperating Status. In 2001, the Philippines was also granted Cooperating Status. Cooper ating Status was granted to Guyana in 2 003 and to the Netherlands Antilles in 2004. In 
2002, Mexico became a member of ICCAT. In 2004, the Philippines be came 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 enjo yed by the following: Bolivia, Chinese Taipei, Guyana and Sur iname.  
Recommendation 03-20 on Criteria for Attaining the Status of Cooperating Non-Contracting Party, Entity or Fishing Entity (Enter ed into Force on 19 June  2004) 
"... 1.  Each year, the Executive Secretary of ICCAT shall cont act all non-Contracting Parties, Entities, or Fishing Entities k nown to be 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 vessel s, 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 th is 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 St atus and for recommending 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 no t to introduce into the Convention area th e excessive fishing capacity of other regio ns or IUU fishing activities in granting Cooperating 
Status to the applicant.  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 ...". 
4  THE UNITED NATIONS FISH STOCKS AGREEMENT (UNFSA) 
4.1  Brief Description of the MEA 
The full name of the United Nations Fish Stocks Agreement (UNFSA)  is the Agreement for the Implementation of the Provisions of the United Nations 
Convention on the Law of the Sea (UNCLOS) of 10 December 1982 re lating to the Conservation and Management of Straddling Fish St ocks and Highly 
Migratory Fish Stocks (UN Fish Stocks Agreement). Article 4 of th e UN Fish Stocks Agreement on the relationship between the Agr eement and UNCLOS provides 
that "[n]othing in this Agreement shall prejudice the rights, ju risdiction and duties of States  under the Convention. This Agre ement shall be interpreted and 
applied in the context of and in a manner consistent with the Convention".  
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- 47 -  
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 through 
effective implementation of the relevant provisions of the Convention, in particular by requiring coastal States and States fis hing on the high seas to 
cooperate for these purposes, either directly or through appropri ate subregional or regional fish eries management organizations  (RFMOs) or 
arrangements (RFMAs). 
Date of Adoption 4 August 1995 
Entry into force 11 December 2001 
Parties 82 (as of 31 July 2015)   
WTO Members 70 Parties to UNFSA are also WTO Members (see Annex ). 
Openness of 
Membership Article 37 – Signature 
"This Agreement shall be open for signature by all States and the other entities refe rred to in article 1, paragraph 2(b) …". 
Article 38 – Ratification "This Agreement is subject to ratification by States and the other entities referred to in article 1, paragraph 2(b) …". 
Article 39 – Accession  "This Agreement shall remain  open for accession by States 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 United Nations Convention on the Law of the Sea – Signature "1. This Convention shall be open for signature by: 
(a) all States; (b) Namibia, represented by the United Nations Council for Namibia; (c) all self-governing associated States which have chosen that status in an act of self-determination supervised and approved by the 
United Nations in accordance with General Assembly resolution 1514 (XV) and which have competence over the matters governed by this 
Convention, including the competence to enter into treaties in respect of those matters; (d) all self-governing associated States which, in accordance 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 United Nations, but have not attained full independence 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; (f) international organizations, in  accordance with Annex IX".  
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- 48 - 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 appropriate recommendation to the UNGA on the scope and content of the a nnual report of 
the Secretary-General relating to the Agreement; and preparing fo r the review conference to be convened by the Secretary-Genera l pursuant to 
Article 36 of the Agreement. The Informal Consultations of States Parties were  held at the UN Headquarters in New York annuall y between  2002 and 
2010 as well as in 2014 and 2015.   
 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 United Nations shall convene a conference with a view 
to assessing the effectiveness of this Agreement in securing th e conservation and management of  straddling fish stocks and high ly 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  a n d  m a n a g e m e n t  o f  s t r a d d l i n g  f i s h  s t o c k s  and highly 
migratory fish stocks; 2) mechanisms 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 Cons ultations 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. The UNGA, in its resolution 69/109 of 9 December 2014,  requeste d the Secretary-General to resume the Review Conference in the first part of 2016. 
Amendments and 
Protocols Article 45 – Amendment 
"1. A State Party may, by written communication addressed to the Secretary-General of the United Nations, propose amendments to  this Agreement 
and request the convening of a conference to  consider such proposed amendments. The Secretary-General shall circulate such comm unication to all 
States Parties. If, within six months from the date of the circulation of the communication, not less than one half of the Stat es 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 United Nations Conference on Straddling Fish Stocks and High ly Migratory Fish Stocks, unless otherwise decided by the confe rence. The conference 
should make every effort to reach agreement on any amendments by way of consensus and there should be no voting on them until a ll efforts at 
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  
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- 49 - 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, fo r each State Party ratifying or acceding to an amendment 
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". 
 Article 48 – Annexes " …  2 .  T h e  A n n e x e s  m a y  b e  r e v i s e d  f r o m  t i m e  t o  t i m e  b y  S t a t e s  P a rties. Such revisions shall be based on scientific and technical  considerations. 
Notwithstanding the provisions of article 45, if a revision to an Annex is adopted by consensus at a meeting of States Parties,  it shall be incorporated in 
this Agreement and shall take effe ct from the date of its adoption or from such ot her date as may be specified in the revision.  If a revision to an Annex is 
not adopted by consensus at such a meeting, the amendment procedures set out in article 45 shall apply". 
4.2  Trade-related Measures 
 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 activiti es 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 acti vities of such vessels 
which undermine the effectiveness of subregional or regional conservation an d 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  
Port State "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 manage ment measures. When taking such measures a port State shall not discriminate in form  or in fact 
against the vessels of any State. 
2. A port State may, inter alia , inspect documents, fishing gear and catch on board fishing vessels, when such vessels are 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  "... 2.  States Parties shall take measures consistent with this Agreement and international law to deter the activities of ves sels flying the flag of 
non-parties which undermine the effective implementation of this Agreement".  
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- 50 - 4.3  Supportive measures 
 Part VII on "Requirements of Developing States" (Articles 24-26) provides for assistance in favour of developing States in the  implementation of the Agreement, in recognition 
of their special requirements in relation to conservation and ma nagement of straddling fish stoc ks and highly migratory fish st ocks and development of fisheries for such stocks.  
Such assistance also applies in respect to the conservation and management of straddling fish st ocks and highly migratory 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 managem ent of straddling fish stoc ks 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 
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 stocks 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 ac cess 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 Resoluti on 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 develo ping States Parties, in particular the least-developed among them and Small Island developing States Parties 
to the Agreement, in the meetings and activities of relevant regional and subregional fisheries management organizations and ar rangements. Such assistance may include 
such costs as travel costs and, if appropriate, daily subsiste nce allowances for delegations participating in relevant regional  and subregional fisheries management 
organisations or arrangements, including technical experts. 
(b) Assisting with travel costs, and if ap propriate daily subsistence allowances, associated with the participation of developi ng States Parties, in particular the least-
developed among them and small island developing States Parties to the Agreement, in relevant meetings concerning high seas fis heries of relevant global organizations, 
such as the United Nations Development Programme, the Food and Agriculture Organization and other specialised agencies, the Glo bal Environment Facility, the Commission 
on Sustainable Development and other approp riate international and regional organizatio ns and bodies. Applications for this pur pose shall include details of how the meeting  
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- 51 - in question relates to implementation of the Agreement. 
(c) Supporting ongoing and future negotiatio ns to establish new regional or subregio nal fisheries management organizations and arrangements in areas where such bodies 
are not currently in place, to renegotiate founding agreements for such organizations and arrangements and to strengthen existi ng subregional and regional fisheries 
management organizations and arrangements in accordance with the Agreement. A condition for such support is that reference to i mplementing the Agreement is made in 
founding documents and/or work programmes of the regional or subregional fisheries mana gement organizations or arrangements and  in the national fisheries policies 
and/or management plan s of States Parties. 
(d) Building capacity for activities in key areas such as effect ive exercise of flag State resp onsibilities, monitoring, contro l and surveillance, data collection and scientific 
research relevant to straddling and highly migratory fish stocks on a national and/or regional level.  
(e) Facilitating exchange of info rmation and experience on the implementation of the Agreement. 
(f) Assisting developing States Parties to the Agreement, in particular the least-developed among them and small island develop ing States, with human resources 
development, technical training, and technical assistance in rela tion to conservation and manage ment of straddling and highly m igratory fish stocks and development of 
fisheries for such stocks, consistent with the duty to ensu re the proper conservation and management of such stocks. 
(g) Assisting in meeting the costs involved in proceedings for th e settlement of disputes between States Parties to the Agreeme nt concerning the interpretation or 
application of the Agreement in accordance with Part VIII of the Agreement or pr oceedings concerning the interpretation or appl ication of a subregional, regional or global 
fishery agreement relating to stra ddling fish stocks or highly mi gratory fish stocks to which they are parties, including any d ispute concerning the conservation and 
management of such stocks and complementary to any assistance provided under the ITLOS Trust F und established by General Assemb ly resolution 55/7 or the Trust Fund 
for the International Court of Justice established by General Assembly resolution A/47/444 or the financial assistance fund est ablished by the Permanent Court of 
Arbitration." 
4.4  Non-compliance mechanism 
 Article 17 of Part IV on "Non-members and Non-particip ants" provides that a State which is not a me mber of a RFMO or a participant in an R FMA, and which does not 
otherwise agree to apply the conservation an d management measures established by such organization or arrangement, is not disch arged from the obligation to cooperate, in 
accordance with the Convention and the Agreement, in the conservation and management of the relevant straddling fish stocks and  highly migratory fish st ocks. It provides that 
such a State shall not authorize a vessel flyi ng its flag to engage in fishing operatio ns for the straddling fish stocks or hig hly migratory fish stocks which are subject to the 
conservation and management measures establishe d 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 vessel s flying its flag to fish on the high seas only where it is able to exercise effe ctively its responsibilities in respect of such vessels 
under the Convention and the Agreement. To this end, a flag Stat e is obligated to take measures  vis-à-vis fishing vessels flyin g its flag that can ensure such control, including the 
establishment of a national record of fishing vessels authorized to fish on the high seas; prohibition of high seas fishing wit hout the necessary authori zation;  requirement of 
permits for high seas fishing; prohibition of unauthorized fishin g in areas under the national jurisdiction of other States; re quirements for marking of fishing vessels and fishing 
gear in accordance with FAO Standard Specifications for the Mark ing and Identification of Fishing Vessels; obligation of report ing relevant fisheries data; implementation of 
observer programmes and national inspection schemes; implementati on of vessel monitoring systems; regulation of transshipment; and an obligation for the flag State to ensure 
compatibility of the national monitoring, control and surveillance system with existing subregional, regional or global systems . 
  Part VI on "Compliance and 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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- 52 - 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 proceedin gs shall be carried out expeditiously. Sanc tions applicable in respect of violation s shall be adequate in severity to be effective in 
securing compliance and to discourage violations wherever they occur and shall deprive offenders of the benefits accruing from their 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 or RFMA.  
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 may be taken by a port  State, whenever fishing vessels are voluntarily in its ports o r at its offshore termin als. 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. 
4.5  Dispute Settlement Mechanism 
 Part VIII on Peaceful Settlement of Disput es (Articles 27-32) contains provisions fo r the peaceful settleme nt 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 agre e on efficient and ex peditious decision-mak ing procedures within subregional and regional 
fisheries management organizations and arra ngements and shall strengthen existing decision-making procedures as necessary". 
Article 29 – Disputes of a technical nature 
"Where a dispute concerns a matter of a technical nature, the St ates concerned may refer the dispute to an ad hoc expert panel established by them. The panel shall confer with 
the States concerned and shall endeavour to resolve the dispute expeditiously without recourse to  binding procedures for the se ttlement 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, wh ether or not they are also Part ies to UNCLOS. The procedures a lso apply mutatis mutandis  to any dispute 
between State Parties to the Agreement concerning the interpretati on or application of a subregional, regional or global fisher ies agreement relating to st raddling fish stocks or 
highly migratory fish stocks to which they are parties, includin g any dispute concerning the conservation and management of suc h stocks, whether or not they are also Parties to 
the Convention.  
Article 31 – Provisional measures 
"1. Pending the settlement of a dispute in accordance with this Part, the parties to the dispute shall make every effort to ent er into provisional arrangements of a practical 
nature.  
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- 53 - 2. Without prejudice to article 290 of the Convention, the cour t or tribunal to which the dispute has been submitted under this  Part may prescribe any provisional measures 
which it considers appropriate under the circ umstances to preserve the respective rights of the parties to the dispute or to pr event damage to the stocks in question, as well as in 
the circumstances referred to in article 7, paragraph 5, and article 16, paragraph 2. 
3. A State Party to this Agreement which is not a Party to the Convention may declare that, notwithstanding article 290, paragr aph 5, of the Convention, the International 
Tribunal for the Law of the Sea sh all not be entitled to prescribe, modify or re voke provisional measures without the agreement  of such State". 
 The relevant provisions of UNCLOS 
 Part XV of UNCLOS requires that State Parties to the Convention  settle any dispute between them concerning the interpretation o r application of the Convention by all 
peaceful means referred to in the UN Charter.  
 Where no settlement has been reached by recourse to procedures entailing non-binding decisions under Part XV, Section 1, the di spute shall be submitted at the request 
of any party, to the compulsory procedures entailing bi nding 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 t herein.   
 The jurisdiction of ITLOS comprises all disputes and all applicatio ns submitted to it in accordan ce with UNCLOS and all matters  specifically provided for in any other 
agreement, which confers jurisdiction to the Tribunal.  
 Part XV, Section 3 on limitations and exceptions to the applicability of Section 2 stipulates in Article 297, paragraph 3 that disputes relating to the sovereign rights of the 
coastal State relating to the living resources in the EEZ, or the exercise of such rights in that zone, are excluded from the c ompulsory procedures entailing binding 
decisions provided for in Part XV, Section 2. 
 In relation to the above disputes subject to limitations and exce ptions under Article 297, paragraph 3, where no settlement has  been reached by recourse to Part XV, 
Section 1, such disputes shall be submitte d to the compulsory conciliation procedure established under Annex V, Section 2 of UN CLOS at the request of any party to the 
dispute. Under such a procedure, only the submission to the proc eedings is compulsory since the report of the commission of con ciliation, including its conclusions or 
recommendations, remains non-binding upon the Parties to the dispute. 
4.6  Provisions for non-parties 
Article 33 – Non-parties to this Agreement 
"1. States Parties shall encourage non-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". 
Article 36 – Review conference "1. Four years after the date of entry into force of this Agre ement, the Secretary-General of the United Nations shall convene a conference with a view to assessing the 
effectiveness of this Agreement in securing the conservation and management of straddling fish stocks and highly  migratory fish  stocks. The Secretary-General shall invite to the 
conference all States Parties and those States and entities which are entitled to become parties to this Agreement as well as t hose intergovernmental and non-governmental 
organizations entitled to participate as observers". 
  
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- 54 - 5  INTERNATIONAL TROPICAL TIMBER AGREEMENT (ITTA)6 
5.1  Brief Description of the MEA 
Web site http://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 44 – 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." 
ITTA Members 71 Members of which 33 producing and 38 consuming, in cluding the European Union (as of 31 July 2015).  
WTO Members 70 Members to ITTA are also WTO Members (see Annex).  
                                               
6 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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- 55 - 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 expresse s its consent to be bound by this Agreemen t (definitive 
signature); or  (b) After signing this Agreement, ratify, accept or approve it by the deposit of an instrument to that effect 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." 
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 empowered to act and vote on behalf of the representative during the latter's absence o r in special 
circumstances".  
Article 7 – Powers and functions of the Council  
"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 ar ticle 12, adopt such rules and regulations as  are necessary to carry out the provision s of this Agreement 
and as are consistent therewith, including its own rules of pr ocedure and the financial rules and staff regulations of the Orga nization. Such financial 
rules and regulations shall, inter alia, govern the receipt and expenditure of funds under the accounts established in article 18. The Council may, in 
its rules of procedure, provide for a procedure whereby it may, without meeting, decide specific questions; 
(b) Take such decisions as are necessary to ensure the effectiv e and efficient functioning and operation of the Organization; a nd 
(c) Keep such records as are requ ired for the performance 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 the Council under the provisions of this Agreement and shall refr ain from 
implementing measures which would have the effe ct of limiting or runn ing 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 Reforestatio n and Forest Management; and 
(d) Committee on Finance and Administration. 
2. The Council may, by special vote in accordance with article 12, establish or dissolve committees and subsidiary bodies as ap propriate.  
3. The Council shall determine the function ing and scope of work of the committees and other subsidiary bodies. The Committees and other 
subsidiary bodies shall be re sponsible to and work under the authority of the Council."  
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- 56 - Amendments  Article 40 – 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 da ys after the depositary has received noti fications 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". 
5.2  Trade-related Measures 
5.2.1  Provisions of the Agreement 
There are no provisions for trade measures in the ITTA, 2006. Ho wever, following the entry into force of the ITTA, 2006, the ma ndate 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 mark ets, including long-term trends in consu mption and 
production, factors affecting market access , consumer preferences and prices, and conditions leading 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 ma naged and legally harvested 
sources and which are legally traded,  including promoting co nsumer awareness; 
(l) Strengthening the capacity of members for the collection, pr ocessing and dissemination of st atistics on their trade in timb er and 
information on the sustainable manage ment 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 tropical timber;  (o) Encouraging information sharin g for a better understanding of voluntary mechanisms such as, inter alia, certification, to promote 
sustainable management of tropical  forests, and assisting members wi th their efforts in this area.   
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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".  
5.2.2  Decisions and Recommendations 
Examples of the decisions and recommendations adopte d 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 been  incorporated in 
the operative objectives of ITTA, 1994 (Article 1(d)). At its Twen ty-ninth Session, the ITTC reaffirmed its commitment to movin g as rapidly as 
possible towards achieving exports of tropical timber and timber  products from sustainably managed sources pursuant to the ITTO  Objective 2000 
(Decision 2 (XXIX) adopted on 4 November 2000). 
Decision 9(XXVI)  In June 1999, the ITTC adopted a decision relating to market access for tropical timber and requested members to inform the Cou ncil on 
progress made with regard to meas ures undertaken to eliminate possible obstacles to market access for tropical timber as a poss ible means to 
facilitate sustainabl e 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 consideratio n 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). 
5.3  Supportive measures 
 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 funde d 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 fo rests. 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.  
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- 58 - 5.4  Non-compliance mechanism 
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 re quested to state the reasons for its inability to make payment. If at the expiry of seven month s 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, exclud e that member from this Agreement. The Co uncil shall immediately so notify the deposi tary. Six months after the date of the Council's 
decision, that member shall cease to be a party to this Agreement". 
5.5  Dispute Settlement Mechanism 
Article 31 – Complaints and disputes  "Any complaint that a member has failed to fulfil its obligatio ns under this Agreement and any dispute concerning the interpret ation or application of this Agreement shall be 
referred to the Council for decision. De cisions of the Council on these ma tters shall be final and binding". 
5.6  Provisions for non-parties 
Article 16- Admission of Observers 
The Council may invite any member or observer State of the United  Nations which is not party to this Agreement, or any 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  INTERNATIONAL PLANT PROTECTION CONVENTION (IPPC) 
6.1  Brief Description of the MEA 
The first version of the IPPC was adopted in November 1951 and entered into force in April 1952 (IPPC 1951). It was revised in 1979 (IPPC 1979), and the 
revised text came into force in April 1991. The text of the Conv ention was further amended in 1997 (the New Revised Text of the  IPPC), and the text as 
amended came into force with respect to all contracting parties, regardless of the date on which they became parties, on 2 Octo ber 2005. 
The IPPC was formally recognized by the Liaison Group of Biodiversity-related Conventions (BLG) on 16 August 2014.  
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- 59 - Web site https://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 trad e, its focus is international c ooperation for plant protection.  Many forms of cooperation 
fall within the scope of the Convention. Its application to plants is not limited to the protection of cultivated plants or dir ect damage from pests. The scope 
of the Convention extends to the protection of cultivated and na tural flora, as well as plant pr oducts, and includes direct 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 discriminat ion 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. 
 The four IPPC Strategic objectives are: 
(a) protect sustainable agriculture an d enhance global food security thro ugh the prevention of pest spread; 
(b) protect the environment, forests and biodiversity from plant pests; 
(c) facilitate economic and trade development through the promot ion of harmonized scientifically based phytosanitary measures; and 
(d) develop phytosanitary capacity for members to accomplish a, b and c. 
Date of Adoption November 1997 
Entry into force 2 October 2005 
Parties 182 (as of 31 July 2015)  
WTO Members 154 Contracting Parties to IPPC are also WTO Members (see Annex). 
Openness of 
Membership Article XVII – Ratification and adherence 
"1. This Convention shall be open for signature by all states until 1 May 1952 and shall be ratified at the earliest possible 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 effe cted by the deposit of an instrument of adherence with the Director-General of FAO , who shall notify all 
contracting parties. 3. When a member organization of FAO beco mes 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 contracti ng 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 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 
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. 4. The contracting parties shall make every effort to reach agreement on all matters by  consensus. If all efforts to reach cons ensus have been 
exhausted and no agreement is reached, the decision shall, as a last resort, be taken by a two-thirds majority of the contracti ng parties present and  
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5. 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 established with the adoption of the 1997 Amendments. With the entr y into force of the 
1997 Amendments in 2005, the Commission on Phytosanitary Measures (CPM) superseded the ICPM. The first meeting of the CPM was h eld in Rome on 
3-7 April 2006.  To facilitate the work of the CPM there are five Subsidiary bo dies under the CPM: 
- Bureau: seven elected members (one from each FAO region) who oversee the Standards Committee. - Standards Committee (SC): 25 elected members representing the seven FAO regions whose primary function is to oversee the deve lopment of 
International Standards for Phytosanitary Measures (ISPMs). - Subsidiary Body for Dispute Se ttlement (SBDS): seven elected members (one from each FAO region) who oversee the IPPC dispute settlement 
system. - Capacity Development Committee (CDC): seve n nominated by the Bureau members (one from each FAO region) who oversee the IPPC c apacity 
development programme. - National Reporting Obligations Advisory Body (NROAG): seven nomi nated by the Bureau members (one from each FAO region) plus a  CPM Bureau 
member the Chairpersons of the SC, CDC and SBDS who provide advi ce and guidance to the National  Reporting Obligations (NRO) pro gramme.  
Amendments and 
Protocols Article XVI – Supplementary agreements 
"1. The contracting parties may, for the purp ose of meeting special 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 plan t 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 di sguised restrictions, particularly on inte rnational 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 Co mmission and shall come into force as fro m the thirtieth day 
after acceptance by two-thirds of the contracting parties. For th e purpose of this Article, an instrument deposited by a member  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  obligations shall be 
deposited with the Director-General of FAO,  who shall inform all contracting parties of  the receipt of acceptance and the entry  into force of amendments. 
6. Proposals for amendments to the model phytosanitary certificates set out in the Annex to this Convention shall be sent to th e Secretary and shall 
be considered for approval by the Commissi on. Approved amendments to the model phytosanitary certificates set out in the Annex to this Convention shall 
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." 
  As of 31 May 2015, there are no supplementary agreements under the IPPC and no amendments have been made to the New Revised T ext of the IPPC 
(1997).  
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- 61 - 6.2  Trade-related Measures 
Article IV 
General provisions 
relating to the 
organizational 
arrangements for 
national plant 
protection "[...] 
2. The responsibilities of an official national plant protection organization shall include the following: 
(a) the issuance of certificates relating to the phytosanitary regulations of the importing contracting party for consignments of plants, plant 
products and other regulated articles; 
[...] 
(g) to ensure through appropriate procedures that the phytosanitary security of consignments after certification regarding comp osition, 
substitution and reinfestation is maintained prior to export; [...]" 
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 issuance  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 relev ant 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 requi rements 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.  
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  
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- 62 - points shall be so selected as not to unnecessarily impede inte rnational trade. The contracting party shall publish a list of s uch points of entry and 
communicate it to the Secretary,  any regional plant protection organization of which the contracting party is a member, all con tracting parties 
which the contracting party believes to be directly affected, and other contracting parties upon requ est. Such restrictions on points of entry shall 
not be made unless the plants, plant products or other regulated articles concerned are required to be accompanied by phytosani tary 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 exporti ng 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 develo pment of appropriate phytosanitary measures. This informa tion 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. Any such action shall be evaluated as soon as possible to ensure t hat its continuance is 
justified. The action taken shall be immedi ately reported to contracting parties concer ned, the Secretary, and any regional pla nt protection 
organization of which the contracting party is a member".  Phytosanitary measures, based on Internat ional Standards for Phytosanitary Measures (ISPMs), are establis hed and implemented b y contracting 
parties i.e. there are no global or regional  phytosanitary measures  that are obligatory. 
Article VIII 
International 
Cooperation "1. The contracting parties shall cooperate with one another to the fullest practicable extent in achieving the aims of this Co nvention, and shall in 
particular: 
(a) cooperate in the exchange of information on plant pests, part icularly the reporting of the o ccurrence, outbreak or spread o f pests that may be 
of immediate or potential danger, in accordance with su ch procedures as may be es tablished by the Commission; 
(b) participate, in so far as is practicable, in any special ca mpaigns for combatting pests that may seriously threaten crop pr oduction and need 
international action to meet the emergencies; and (c) cooperate, to the extent practicable, in providing technica l and biological information nece ssary for pest risk analysis. 
2. Each contracting party shall designate a contact point for the exchange of informat ion connected with the implementation of this Convention."  
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- 63 - 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 standard s may be deposited with the Com mission for 
consideration as candidates for international standards 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 (2015):  Glossary of phytosanitary terms, including on e Appendix and two supplements a ssociated with this standard 
ISPM # 06 (1997):  Guidelines for surveillance ISPM # 07 (2011):  Export certification system ISPM # 08 (1998):  Determination of pest status in an area ISPM # 09 (1998):  Guidelines for pest eradication programmes ISPM # 10 (1999):  Requirements for the establishment of pest  free places of production and pest free production sites 
ISPM # 11 (2013):  Pest risk analysis for quarantine pests incl uding analysis of environmental risks and living modified organi sms 
ISPM # 12 (2011):  Guidelines for phytosanitary certificates with Appendix 1 added in 2014 ISPM # 13 (2001):  Guidelines for the notificati on of non-compliance and emergency action 
ISPM # 14 (2002):  The use of integrated measures in a systems approach for pest risk management ISPM # 15 (2009):  Regulation of wood packaging material in  international trade, with Annex 1 and 2 revised in 2013 
ISPM # 16 (2002):  Regulated non-quaran tine pests: concept and application 
ISPM # 17 (2002):  Pest reporting ISPM # 18 (2003):  Guidelines for the use of irradiation as a phytosanitary measure ISPM # 19 (2003):  Guidelines on lists of regulated pests ISPM # 20 (2004):  Guidelines for a phytosanitary import regulatory system ISPM # 21 (2004):  Pest risk analysis for regulated non quarantine pests ISPM # 22 (2005):  Requirements for the establishment of areas 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 (2015):  Establishment of pest free areas for fruit flies (Tephritidae) ISPM # 27 (2006):  Diagnostic protocols for regulated pests – there are 7 Appendices or diagnostic protocols associated with th is ISPM 
ISPM # 28 (2009):  Phytosanitary treatments for regulated pests – there are 19 Appendices or phytosanitary treatments associate d with this ISPM 
ISPM # 29 (2007):  Recognition of pest free areas and areas of low pest prevalence ISPM # 30 (2008):  Establishment of areas of low pest prevalence for fruit flies (Tephritidae) ISPM # 31 (2008):  Methodologies for sampling of consignments ISPM # 32 (2009):  Categorization of 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  The most current list of ISPMs and associated  appendices or supplemen ts can be found at:  
https://www.ippc.int/en/ core-activities/stan dards-setting/ispms/   
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- 64 - 6.3  Supportive measures 
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/en/publications/11/  
 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. 
 In the past the IPPC maintained an Informal 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.  More recently the IPPC formed a Capacity Development Committ ee (CDC), comprised of technical representatives from all seven FA O 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 an d meets at least twice per annum. 
6.4  Non-compliance mechanism 
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 pa rties shall, as soon as possible , inform the exporting contractin g party concerned or, where approp riate, 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 ISPM # 13 (2001), Guidelines for the Noti fication of Non-Compliance and Emergency 
Actions, which only relates to the non-compliance in relation to phytosanitary for importation (ISPM #12: Phytosanitary Certifi cates). 
 The CPM does not consider a compliance mechanism appropriate for the IPPC, but has established an Implementation Review and Su pport System (IRSS) th at 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/en/irss/ ). 
6.5  Dispute Settlement Mechanism 
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 anothe r contracting party is in 
conflict with the obligations of the latter under Articles V an d VII of this Convention, especi ally regarding the basis of proh ibiting or restricting the imports of plants, plant 
products or other regulated articles comi ng from its territories, the contracting pa rties concerned shall consult among themsel ves as soon as possible with a view to resolving the 
dispute.  2. If the dispute cannot be resolved by the means referred to in paragraph 1, the contracting party or parties concerned may re quest the FAO Director-General to appoint a 
committee of experts to consider the question in dispute, in a ccordance with rules and procedures  that may be established by th e Commission.  
3. This Committee shall include representatives designated by ea ch contracting party concerned. The Committee shall consider th e question in dispute, taking into account all 
documents and other forms of evidence submitted by the contractin g parties concerned.  The Commit tee 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 accord ing to rules and procedures es tablished by the Commission, and it shall be 
transmitted by the Director-General to the contracting parties conc erned. The report may also be submitted, upon its request, t o the competent body of the international 
organization responsible for resolving trade disputes.  4. The contracting parties agree that the recommendations of such a committee, while not binding in character, will become the basis for renewed consideration by the 
contracting parties concerned of the matter  out of which the disagreement arose.  
5. The contracting parties concerned shall share the expenses of the experts.   
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- 65 - 6. The provisions of this Article shall be complementary to and not in derogation of the dispute settlement procedures provided  for in other in ternational agreements dealing 
with trade matters".  The Interim Commission established the Subs idiary Body on Dispute Settlement (SBDS) in 2001. The first meeting was held in Apr il 2003. The SBDS is composed of seven 
experts, one from each of the seven FAO geog raphic regions. The role of the SBDS is to assist the IPPC Secretariat in helping c ontracting parties select a suitable dispute 
settlement system. The SBDS developed a Dispute Settlement Manual to facilitate the implementation of the Convention's dispute settlement rules and procedures. 
 CPM (2014) agreed that increased emphasis should be placed on dispute avoidance as this was the most utilized and successful co mponent of the IPPC Dispute Avoidance and 
Settlement System. Additional information on  the IPPC Dispute Avoidance and Settlement System is available on the IPPC website at: https://www.ippc.int/en/core-
activities/dispute-settlement/  
6.6  Provisions for non-parties 
Article XVIII – Non-contracting parties 
"The contracting parties shall encourage any state or member organization of FAO, not a party to this Convention, to accept 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". 
7  CONVENTION ON BIOLOGICAL DIVERSITY (CBD) 
7.1  Brief Description of the MEA 
Web site http://www.cbd.int. 
Objective  The objectives of the CBD, to be pursued in accordance with its relevant provisions, are the conservation of biological diversi ty, the sustainable use of 
its components, and the fair and equitable sharing of the benefits arising out of the utilization of genetic resources, includi ng by appropriate access to 
genetic resources and by appropriate transfer of relevant technologies, taking into account all rights over those resources and  to technolo gies, and by 
appropriate funding (Article 1 of the Convention). 
Date of Signature 5 June 1992 
Entry into force 29 December 1993 
Parties 196 (as of 31 July 2015).  
WTO Members 157 Parties to CBD are also WTO Members (see  Annex). 
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 ratifica tion, acceptance or approval by States and by regional economi c integration 
organizations … 2. Any organization referred to in paragraph 1 above which become s a Contracting Party to this Convention or any protocol witho ut any of its 
member States being a Contractin g Party shall be bound by all the obligations und er the Convention or the protocol, as the case  may be. In the case of 
such organizations, one or more of whose member States is a Co ntracting Party to this Convention or relevant protocol, the orga nization and its 
member States shall decide on their respective responsibilities  for the performance of their ob ligations under the Convention o r protocol, as the case 
may be. In such cases, the organization and the member States sh all not be entitled to exercise right under the Convention or r elevant protocol 
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 implementati on of this Convention, and,  for this purpose, shall:  
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- 66 - (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 su bmitted 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; 
(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, by De cision XII/26, a Subsidiary  Body on Implementation. 
Article 25 –  Subsidiary Body on Scientific, Technical and Technological Advice "1. A subsidiary body for the pr ovision 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 pa rticipation 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 Part y. Amendments to any protocol  may be proposed by any P arty to that 
protocol.  2. Amendments to this Convention  shall be adopted at a meeting of  the [CoP]. Amendments to any protocol shall be adopted at a [ MoP] to the 
Protocol in question. The text of any propos ed amendment to this Convention or to an y protocol, except as may otherwise be prov ided 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 amendmen ts to the signatories to this Convention for information.  
3. The Parties shall make every effort to re ach 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 notified to the Depositary in writing. Amendments adopted in acc ordance 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 amendmen ts shall enter into force for an y other Party on the ninetieth d ay after that Party 
deposits its instru ment of ratification, acceptance or approval of the amendments.   
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- 67 - 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. 
 (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 Janua ry 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 Part ies to the protocol concerned. Any Contracting Party that has no t 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. 
7.2  Trade-related Measures 
7.2.1  Provisions of the Convention  
The text of the Convention does not explicitly refer to trade measures, nor does the Convention generally prescribe specific me asures. The provisions of the 
Convention, with a few exceptions, set goals and establish genera l principles. The specific measures required to achieve these goals and operationalize these 
principles are largely the prerogative of the Parties. However, the Convention contains a number of provisions that are general ly understood to require 
measures by Parties which may have consequences for trade. In addition, some of its provisions have inter-linkages with some in ternational 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". 
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;…".  
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- 68 - Article 10 
Sustainable Use of 
Components of 
Biological Diversity "Each Contracting Party shall, as fa r 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 su ch 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 restorat ion and compensation, for 
damage to biological diversity,  except where such liability is a purely internal matter".  
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- 69 - Article 15 
Access to Genetic 
Resources "1. Recognizing the sovereign rights of States over their natural resources, the authority to determine access to genetic resources  rests with the 
national governments and is subj ect to national legislation. 
2.   Each Contracting Party shall endeavour to create conditions to facilitate access to genetic resources for environmentally sound 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 Part y, 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 Partie s that have acquired 
the genetic resources in accordance with this Convention. 4. Access, where granted, shall be on mutually agreed terms and subject to the provisions of this Article. 5. Access to genetic resources shall be subject to prior inform ed consent of the Contracting Party providing such resources, un less otherwise 
determined by that Party. 
6. Each Contracting Party shall endeavour to develop and carry ou t scientific research based on genetic resources provided by o ther 
Contracting Parties with the full participation of, and where possible in, such Contracting Parties. 
7. Each Contracting Party shall take legislative, administrative or policy measures, as appropriat e, and in accordance with Art icles 16 and 19 
and, where necessary, through the financial mechanism established by Articles 20 and 21 with the aim of sharing in a fair and e quitable way the 
results of research and development and th e benefits arising from the commercial and other utilization of genetic resources wit h the Contracting 
Party providing such resources. Such sharing shall be upon mutually agreed terms". 
Article 16 
Access to and Transfer 
of Technology "1. Each Contracting 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 refe rred to in paragraph 1 above to developing  countries shall be provided and/or facil itated under fair 
and most favourable terms, including on concessional and preferen tial terms where mutually agreed, and, where necessary, in acc ordance with the 
financial mechanism established by Articles 20 and 21. In the case  of technology subject to patents and other intellectual prop erty rights, such 
access and transfer shall be provided on terms which recognize and are consistent with the adequate and effective protection of  intellectual 
property rights. The application of this paragraph sha ll be consistent with para graphs 3, 4 and 5 below. 
3. Each Contracting Party shall take legislative, administrative or policy measures, as appropri ate, 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 go vernmental institutions 
and the private sector of developing countr ies and in this regard shall abide by the obligations included in paragraphs 1, 2 an d 3 above. 
5. The Contracting Parties,  recognizing that patents and other intellectual pr operty 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".  
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- 70 - Article 19  
Handling of 
Biotechnology and 
Distribution of its 
Benefits "1. Each Contracting Party shall take legislative, administrative  or policy measures, as approp riate, 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. Each Contracting Party shall take all pr acticable measures to promote and advance pr iority access on a fair and equitable ba sis by 
Contracting Parties, especially developing countries, to the re sults and benefits arising from bi otechnologies based upon genet ic resources provided 
by those Contracting Parties. Such access  shall be on mutually agreed terms. 
3. The Parties shall consider the need for and modalities of a protocol setting out appropriate procedures, including, in parti cular, advance 
informed agreement, in the field of the safe transfer, handling  and use of any living modified organism resulting from biotechn ology that may have 
adverse effect on the conservation and su stainable 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 shal l not affect the rights and obligations of  any Contracting Party deriving from any ex isting international 
agreement, except where the exercise of those rights and obligatio ns would cause a serious damage or threat to biological diver sity.  
2. Contracting Parties shall impl ement this Convention with respect to the marine environment consistently with the rights and obligations of 
States under the law of the sea". 
7.2.2  Decisions of the Co nference of the Parties7 
A number of topics addressed by the Conference of the Parties rela te to international trade and the work of the World Trade Org anization.  
7.2.2.1  Access to genetic resources and the fair and equita ble sharing 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 t he provisions of the 
[TRIPS] Agreement and the [CBD] are interrelated and to further explore th is interrelationship;  
3.   Requests the Executive Secretary to transmit the present de cision to the secretariats of the [WTO] and the [WIPO], for use  by appropriate 
bodies of these organizations, an d to endeavour to undertake further cooperatio n 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 and benefit-
sharing with particular reference to provisions under Articles 8(j), 10 (c), 15, 16 and 19; and contracts and other arrangement s under mutually 
agreed terms for access and benefit-sharing. … 
7. The present guidelines are voluntary and were prepared with a view to ensuring their: 
(a) Voluntary nature: they are intended to guide both 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 
                                               
7 All decisions of the Conference of the Partie s to the Convention are available online under http://www.cbd.int/decisions/  .   
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- 71 - 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 part 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 access and benefit-sharing and ma ke such information available t hrough the clearing-
house mechanism. The national focal point should inform applican ts for access to genetic resources on procedures for acquiring prior informed 
consent and mutually agreed terms, including benefit-sharing, 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 an d stakeholders may be both users and providers, the following balanced list of roles and respo nsibilities provides key 
elements to be acted upon: ... 
(b) In the implementation of mutu ally 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 recogniz es the sovereign rights of States over their natural resources,  each Contracting Party 
to the Convention shall endeavour to create conditions to faci litate access to genetic resource s for environmentally sound uses  by other Contracting 
Parties and fair and equitable sharing of be nefits arising from such uses. In accordance  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 consent, in 
accordance with Article 15, pa ragraph 5, of the Convention. 
D. Mutually agreed terms 
… 
Basic requirements for mutually agreed terms 
43.  The following elements should be considered as guiding para meters 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 incl ude 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: 
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 ge netic resources in applications for intellectual  
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- 72 - property rights, where the subject matter of  the application concerns or makes use of genetic resources in its development, as a possible 
contribution to tracking compliance with prior informed consent and the mutually agreed terms on which access to those resource s 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 Workin g Group on Article 8(j) and Related Provis ions of the Convention, where appropriate , to undertake 
further information gathering an d 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 maintenance 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 i ssues 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 observer stat us 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 deve lopments 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 carried out by other intergovernmental organisations,  such as the [WIPO, the WTO, the Union  for the 
Protection of New Varieties of Plants, the UNCTAD, and the FAO], on issues related to access to genetic resources 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; …".  
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- 73 - 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 resour ces, including countries of origin, in ac cordance with Article 2 and Article 15, p aragraph 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 Genetic 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/s ource/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 Nagoya Protocol (Section 8) 
7.2.2.2  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); …"  
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- 74 - Decision VI/10 
Article 8(j) and 
related provisions  "The [CoP]... 35. Also requests the Executive Secretary to cont inue to compile information prov ided by Parties and Governments relating to existing 
national legislation and other measures for the protection of traditional knowledge, innovations and practices;  
36.  Invites the [WTO] and the [WIPO] to make available to the Executive Secretary information re ferred to in paragraph 35 abov e provided 
through their respective notification systems; ... 
39.  Encourages Parties and Governments, where they have not alre ady done so, to take measures to establish or improve operatio nal 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, partic ularly with regard to traditional-knowledge documentation initi atives and 
community-based registries of traditional knowledge; ... 
46.  Invites Parties and Governments to encourage the disclosure of the origin of relevant traditional knowledge, innovations a nd 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 examin e, as appropriate, relevant provisions of  the [CBD] with respect to prior informed consent 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 th e [WIPO], to take into account traditional knowledge in the exam ination of novelty 
and inventive step in pa tent 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 measur es, 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 generi s systems for the protection of the knowle dge, innovations 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 ..."  
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- 75 - 7.2.2.3  Technology transfer and scie ntific 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) ..."  
7.2.2.4  Incentive measures 
Decision VI/15 
Incentive measures  
Annex I 
Proposals for the 
Design and 
Implementation of 
Incentive Measures  "The [CoP] ... 2. Endorses the proposals fo r the design and implementation of incentive measures and the recommendations for fu rther 
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 sh ould be designed to address the conservati on and sustainable 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 perv erse 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 ince ntives may improve 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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- 76 - 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, pote ntial 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 dec ision 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 throu gh 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 the costs associated with conservation and, similarly, those who generate 
environmental costs (e.g. pollution) escape responsibility. Alignm ent of incentives allows those who control the resource to be nefit 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 Guidelin es for the Sustainable Use of Biodiversity, as contained in ann ex 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 individual 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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- 77 - Practical principle 3: International or national policies, laws and regulations that  distort markets which contribute to habitat degradation or 
other-wise generate perverse incentives that undermine conservati on and sustainable use of biodiversity, should be identified a nd removed or 
mitigated.  
Rationale: Some policies or practices induce unsustainable behavi ours that reduce biodiversity, often as unanticipated side eff ects as they were 
initially designed to attain other objectives. For example, some  policies that encourage domest ic overproduction often generate  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 diversit y should be internalized within the area of management and 
reflected in the distri bution of the benefits from the use. ...  
Rationale: The management and conservation of natural resources incurs costs. If these costs are not adequately covered then ma nagement 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 benefit s 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 protected areas annexed to the presen t decision with the objective of the establishment and maintenan ce 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 collec tively, to take further steps in curbing the illegal exploitation and trade of resou rces, 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 ser vices, to the country's 
economy and culture, and to the achievement of the Millennium Development Goals at the national level; and integrate the use of  economic valuation 
and natural resource accounting tools into national planning pr ocesses in order to identify th e hidden and non-hidden economic benefits provided by 
protected areas and who appr opriates these benefits.  
3.1.3   Harmonize sectoral policies and laws to ensure that th ey support the conservation and effective management of the prote cted area system. ... 
3.1.5  Identify and remove perverse incentives and inconsistencie s in sectoral policies that increase pressure on protected are as, or take action to  
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- 78 - mitigate their perverse effects.  Wh enever feasible, redirect these to po sitive incentives for conservation.  
3.1.6  Identify and establish positive incentives that support the integrity and maintenance of protected areas and the involve ment of indigenous and 
local communities and stakeholders in conservation.  
3.1.7  Adopt legal frameworks to national, regional and sub-national pr otected areas systems of countries where appropriate ...  
3.1.9  Identify and foster economic opportunities and markets at local, national and international levels for goods and service s 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 bi odiversity 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 sustainabl e consumption and production 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."  
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- 79 - Decision XI/30 
Incentive measures "Noting the considerable analytical work that has already been undertaken on harmful incentives by international organizations and initiatives such as 
the United Nations Environment Programme, the Organisation for Ec onomic Cooperation and Developm ent, the International Union fo r Conservation 
of Nature, and the World Trade Organization: 
(a) Invites Parties and other Governments to develop and apply t ools to identify incentives that are harmful for biodiversity, as well as methods 
to monitor progress towards Aichi Biodiversity Target 3, using the relevant indicator of the st rategy for resource mobilization  (decision X/3, 
paragraph 7, indicator 13); 
(b) Emphasizes that conducting studies for the identification of incentives, including subsidies, harmful for biodiversity need  not delay 
immediate policy action in cases where candidates for elimination,  phase out or reform are already known, taking into account n ational socio-
economic conditions; 
(c) Encourages Parties and invites other Governments to take approp riate action in these cases, in the form of elimination or i nitiation of phase 
out or reform, taking into account national socio-economic conditions, including by seizing opportunities arising within the re view cycles of 
existing sectoral policies, both at national and regional levels; 
(d) Invites Parties, other Governments and relevant international organizations to submit to the Executive Secretary informatio n on obstacles 
encountered in implementing options identified for eliminating, phasing out or reforming incentiv es that are harmful for biodiv ersity;” 
... "10. Notes the support of international organizations and initiatives, including, among others, the Global Mechanism of the  United Nations 
Convention to Combat Desertification, the United Nations Conference on Trade and Development, the United Nations Development Pr ogramme, 
the United Nations Environment Programme, the World Bank and its Global Partnership for Wealth Accounting and the Valuation of Ecosystem 
Services, the World Trade Organization, the Organisation for Econ omic Co-operation and Development, and the International Union  for 
Conservation of Nature, to efforts at the global, regional and na tional levels in identifying and eliminating, phasing out or r eforming incentives 
that are harmful to biodiversity, in promoting positive incentives for the conservation and sustainable use of biodiversity, co nsistent and in 
harmony with the Convention and other relevant international obligations, and in assessing and mainstreaming the values of biod iversity and 
associated ecosystem services, and invites these and other relevant organizations and initiatives to continue and further inten sify this work, 
including continued support for capaci ty-building at the national level;"  
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- 80 - Decision XII/3 
Resource mobilization  Modalities and milestones for Aichi Biodiversity Target 3 
... "21. Adopts the milestones, as contained in annex I to the present de cision, as a flexible framework for the full implementation of Aichi Biodiversity 
Target 3, in a manner that is consistent and in harmony with the Convention and other relevant international obligations, takin g into account national 
socioeconomic conditions; 
22. Invites Parties to report progress in achieving these milestones, as well as any additional milestones and timelines establ ished at the national 
level, through their national reports or, as  appropriate, through the online reportin g framework on implementing the Strategic Plan for Biodiversity 
2011-2020 and the Aichi Biodiversity Targets;" ... 
 
"Annex I 
Milestones for the full implementation of Aichi Biodiversity Target 3 
Milestones and asso ciated timelines: 
1. By 2015 : Development and inclusion of a national target reflecting Aichi Biodiversity Target 3 in revised national biodiversity strate gies and 
the inclusion of pertinent action items in re vised national biodiversity action plans.  
Action items may include:  
(a) Undertaking national analytical studies that identify candidates for elimination, phase-out or reform of incentives, includ ing subsidies, 
harmful for biodiversity, and that identify  opportunities to enhance the effectivenes s of existing financial instruments for bi odiversity and to 
promote the design and implementation of positive incentive measures; 
(b) Based, as appropriate, on the analytic al studies above, developing policy plans that (i) identify those harmful incentives that are candidates 
for removal, phase-out, or reform ; (ii) provide for a prioritized list of measures  leading to their eventual removal, phase-out , or reform; 
(iii) provide for a prioritized list of measures leading to the introduction, or strengthening, of positive incentives for the conservation and 
sustainable use of biodiversity; (iv) provide for asso ciated timelines and milestones for implementation; 
(c) In cases where incentives, including subsidies, are already kn own to have harmful effects and are already identified as can didates for 
elimination, phase-out or reform, foreseeing  immediate policy action in form of thei r elimination or initiation of their phase- out or their reform; 
2. By 2016  (CoP 13): In cases where harmful incentives that are candidat es for elimination, phase-out or reform are already known, 
immediate policy or legislative action is being developed, in the form of their elimination or initiation of their phase-out or  their reform;  
3. By 2016  (CoP 13): Finalization of national analytic al studies that identify harmful incentives  that are candidates for elimination, ph ase-out or 
reform of incentives, including subsidies, harmful for biodiversi ty, and that identify opportunit ies to promote the design and implementation of 
positive incentive measures;  
4. By 2018  (CoP 14): Finalization of policy plans, in line with revised na tional biodiversity strategies an d action plans, that (i) ident ify those 
harmful incentives that are candidates for elimination, phase-out,  or reform; (ii) provide for a prioritized list of measures l eading to their eventual 
elimination, phase-out, or reform; (iii) provide for a prioritized list of measures leading to the introduction, or strengtheni ng, of positive incentives for 
the conservation and sustainable use of biodiversity; (iv) provide for associated timelines and milestones;  
5. The table below summarizes these milestones and the associated timelines. It reflects the possibility that a country may alread y know some 
candidates for immediate policy action (as pe r 1 (c) above) but may also wish to engage  in the preparation of analytical studie s (as per para. 1 (a) 
above) in order to obtain a more comprehensive picture.  
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- 81 -  Timeline Milestone 
2015 National target reflecting Aichi Biodiversity Target 3 and asso ciated action items included in revised national biodiversity 
strategy and acti on plan (NBSAP) 
2016 Policy or legislative action is being developed on incentives, including subsidies, already known to have harmful effects and 
already identified as candidates for elimination, phase-out or reform, in form of their elimination or initiation of their phas e-
out or their reform 
2016 Finalization of national analytical studies that identify candid ates for elimination, phase-out or reform of incentives, includ ing 
subsidies, harmful for biodiversity, and th at identify opportunities to promote the design and implementa tion of positive 
incentive measures 
2018 Finalization of policy plans that (i) identify those harmful incentives that are candidates for elimination, phase-out, or refo rm; 
(ii) provide for a prioritized list of measures leading to their eventual elimination, phase-out, or reform; (iii) provide for a 
prioritized list of measures le ading to the introduction, or st rengthening, of positive incent ives for the conservation and 
sustainable use of biodiversity; (iv) provid e for associated timelines and milestones 
 
Decision XII/6 
Cooperation with 
other conventions, 
international 
organizations and 
initiatives “18. Calls upon the BioTrade Initiative of United Nations Conference on Trade and Development to continue to strengthen its tec hnical support to 
Governments, companies and other stakeholders to enable them to incorporate biotrade, as well as sustainable harvesting practic es within national 
biodiversity strategies and action plans, as  appropriate, highlighting th e importance of biotrade as an engine for sustainable use of biodiversity and 
its conservation through the involvement of the private sector;” 
7.2.2.5  Invasive alien species 
CoP recognized the need to strengthen institutional coordination at international, regional and national levels on invasive ali en species as a trade-related 
issue, and therefore invited the World Trade 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  covering invasive alien 
species, in particular animals, that are not pests of plants under the International Plant Protection Convention, nor diseases that are listed by the World 
Organization for Animal Health. 
Decision VI/23 
Alien Species that 
Threaten Ecosystems, 
Habitats or Species* 
Annex: Guiding 
Principles for the 
Prevention, 
Introduction and 
Mitigation of Impacts 
of Alien Species that 
Threaten Ecosystems, 
Habitats or Species "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 libe ralization; ... 
Guiding principle 1: Precautionary approach  
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 accordance with the guid ing principles below. The precautionary appr oach is that set forth in principle 15 of  the 1992 Rio Declaration 
on Environment and Development and in the preamble of the [CBD].  
The precautionary approach should also be applied when considering eradication, containment and control measures in relation to  alien species that 
have become established. Lack of scientific certainty about the va rious implications of an invasion should not be used as a rea son 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);   
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- 82 - (b) Unintentional or unauthorized introduc tions 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 …".8 
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: … 
(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: ..." 
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 Phytosanitary Measures of the World Trade Organization 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 
                                               
8 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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- 83 - 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 …." 
Decision 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-re lated conventions 
and relevant international organizations such as the World Organisation for Animal Health (OIE), the Codex Alimentarius Commiss ion, the 
International Plant Protection Convention (IPPC) and the Convention  on International Trade in Endangered 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 Endangered 
Species, as well as IUCN and GISP in the inter-agency liaison group on invasive alien species, and encourages these organizatio ns, as well as the 
International Civil Aviation Organization, to continue their collaboration with the Executive Secretary in line with decision I X/4 A (paragraph 11); 
11. Welcomes the responses from the secretariats of the International Plant Protection Convention, the World Organisation for Animal Health 
(OIE), the World Trade Organization and the Committee on Fisheries of the Food and Agriculture Organization of the United 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; …". 
Decision XI/28 
Invasive Alien Species "The [CoP] … 
4. Encourages Parties and other Governments: (i) to ensure at national level, effective collab oration 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 Trad e Organization, members of the 
International Plant Protection Convention and relevant regional plant protection organizations operating within the framework o f that Convention, 
the World Organisation for Animal Health (OIE) and the Codex Alim entarius Commission, to further address, including by developi ng and improving 
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, pu blished 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 He alth (OIE) and encourages the Organisatio n to pursue 
its efforts to consider the impact of invasive alien species on ecosystems and animal health, and to provide advice and guidanc e on the assessment 
of the risk of invasion of alien species on ecosystems; 
13. Further requests the Executive Secretary to continue to pursue the tasks set out in paragraphs 11, 12 and 13 of decision IX /4 A and 
paragraph 13 of decision X/38, es pecially regarding progress in its relationship wi th standard-setting bodies recognized by the  World Trade 
Organization (the International Plant Protection Convention, the World Organisation for Animal He alth (OIE), and Codex Alimenta rius Commission), 
and other relevant  organizations; 
14. Recognizing the relevance, importance an d applicability of existing international standards, guidelines  and recommendations  to addressing  
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- 84 - 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 Biodiversi ty 2011-2020, requests the Executive Secretary, in line with pa ragraph 3 (c) of decision 
X/38 and in collaboration with the relevant international organizations that set international standards, guidelines and recomm endations, 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 frame work can be used by Parties i n addressing 
threats from invasive alien species; 
(b) Information on the applicatio n of Articles 9.2 and 10 of the Agreement on th e 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 developed, integrated and st rengthened 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 species 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 specific 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 deve lop 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;" 
Decision XII/16 
Invasive alien species: 
management of risks 
associated with 
introduction of alien 
species as pets, 
aquarium and 
terrarium species, and 
as live bait and live 
food, and related 
issues “Recalling its encouragement to Parties, in Decision IX/4, to ma ke use of the risk assessment guidance and other procedures and  standards 
developed by the International Plant Protecti on Convention, the World Organisation for Animal Health and ot her relevant organiz ations, 
Also recalling the request to the Executive Secretary, in Decision  XI/28, to continue to pursue the tasks set out in paragraphs  11, 12 and 13 of 
decision IX/4 A and paragraph 13 of Decision X/38, especially regarding progress in its relationship with standard-setting bodi es recognized by the 
World Trade Organization (the International Plant Protection Convention, the World Organisation for Animal Health and the Codex  Alimentarius 
Commission), and other relevant organizations, 
1. Adopts the voluntary guidance on devisi ng and implementing measures to address the risks associated with the introduction of  alien species as 
pets, aquarium and terrarium specie s, and as live bait and live food, as contained in the annex to this decision, noting that m easures taken under 
this guidance are to be consistent with applicable national and international obligations;” 
... 
Annex  
 
GUIDANCE ON DEVISING AND IMPLEMENTING MEASURES TO ADDRESS THE RISKS ASSOCIATED WITH THE INTRODUCTION OF ALIEN SPECIES AS 
PETS, AQUARIUM AND TERRARIUM SPECIES, AND AS LIVE BAIT AND LIVE FOOD 
... 
Consistency with other international obligations  
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- 85 -  
24. Measures under this guidance should be undertaken in a manner that is consistent with applicable international obligations,  for example, the 
Agreement on the Application of Sanitary an d Phytosanitary Measures of the World Trad e Organization, and the standard-setting o rganizations 
recognized by this agreem ent, as well as the Convention on International Trade in Endangered Species of Wild Fauna and Flora.” 
Decision XII/17 
Invasive alien species: 
review of work and 
considerations for 
future work “9. Requests the Executive Secretary, subj ect to the availability of resources: 
(d) To explore with relevant partners, incl uding the standard-setting bo dies recognized by the Worl d Trade Organization (the In ternational 
Plant Protection Convention, the World Organisation for Animal He alth (OIE), and the Codex Alimen tarius Commission) and other m embers of 
the inter-agency liaison group on invasive alien species, method s of alerting suppliers and potential buyers to the risk posed by invasive alien 
species sold via e-commerce,[..] and report on progress to the Su bsidiary Body on Scientific, Technical and Technological Advic e prior to the 
thirteenth meeting of the Conference of the Parties;” 
7.2.2.6  Cooperation and observer status 
The COP affirmed the need to promoting increased mutual supportiv eness of trade and environment ag reements in achieving sustain able 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 regarding biological diversity at the [WTO]; 
9. Stresses the need to ensure consistency in implementing th e [CBD] and the [WTO] agreements, including the [TRIPS] Agreement,  with a 
view to promoting increased mutual supportiv eness and integration of biological divers ity concerns and the protection of intell ectual property rights, 
and invites the [WTO] to consider how to achieve these objectives  in the light of Article 16, pa ragraph 5, of the Convention, t aking 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 mutu al supportiveness of trade and environment agreements in achie ving 
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 continued 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 agreements under 
the [WTO], in particular with the [SPS Agreement] and the [TBT Agreement], with a view to achieving sustainable development; … 
29. Requests the Executive Secretary to apply to the WTO for an ob server status and to represent the [CBD] in the meetings of t he  
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- 86 - [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 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;" 
7.2.2.7  Other 
Decision VII/3 
Agricultural Biological 
Diversity "The [CoP] ... 6. Takes note also of the notes by the Executiv e Secretary on the impacts of tr ade liberalization on agricultura l 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 an d Tourism Development annexed to the present decision; ... 
9. In light of the collaboration between the [CBD, the UNEP and the UNESCO, invites the World Tourism Organization, the UNCTAD,  the UNDP, 
the World Bank, the WTO], regional development banks and other relevant  international 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. The y 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 activities related to collection and trade of biological and related  cultural resources 
within tourism sites. ..."  
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- 87 - 7.3  Supportive measures 
Article 17 – Exchange of Information 
"... 2.  Such exchange of information shall include exchange of results of technical, scientific and socio-economic research, a s 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  technical and scientific cooperation. 
4. The Contracting Parties shall, in accordance with national legislation and polici es, encourage and develop methods of cooper ation for the development and use of 
technologies, including indigenous and tradit ional technologies, in pursuance of the ob jectives of this Convention. For this pu rpose, 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 Global Environment Facility (GEF). For the sixth replenishment, donors pledged US$1 .296 billion towards the biodiversity focal area 
for GEF-6, making it the largest individual focal area within the GEF. 
7.4  Non-compliance mechanism 
Article 26 – Reports "Each Contracting Party shall, at intervals to  be determined by the CoP, present to th e 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".  Five rounds of national reports have been organized so far: in 1998, 2001, 2004, 2009 and 2014.  
 The CBD does not have a compliance procedure.  Formal asse ssment of Parties or non-parties compliance has not occurred. 
7.5  Dispute Settlement Mechanism 
Article 27 – Settlement of Disputes 
"1. In the event of a dispute between Contracting Parties concerning the interpretation or application of this Convention, the parties concerned shall seek solution by 
negotiation.  2. If the parties concerned cannot reach ag reement by negotiation, they may jointly se ek the good offices of, or request mediat ion by, a third party.  
3. When ratifying, accepting, ap proving 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 reso lved in accordance with paragraph 1 or pa ragraph 2 above, it accepts one or both o f the following 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 parties  to the dispute. In the event of a conflict between two 
Parties, the arbitral provisions provide fo r the standard three-member panel, as described under the Montreal Protocol and the Basel Convention. If more Parties are involved, 
Parties "in the same interest" are 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 conciliation. Conciliation does not lead to a bind ing decision, unless the Parties agree otherwise, but the propos als for resolution of the dispute must be considered in 
good faith. The procedures for the five-member conciliation commission are set out in Part 2 of Annex II.  
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- 88 - 7.6  Provisions for non-parties 
 There are no articles that deal  directly with the rights of non-parties. Accord ing to rules of procedur e 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." 
8  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  
8.1  Brief Description of the MEA 
Web site http://www.cbd.int/abs  
Objective The objective of this Protocol is the fair and equitable sharing of the benefits arising from the utilization of genetic 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 Adoption 29 October 2010  
Entry into force 12 October 2014 
Parties 59 (as of 31 July 2015) 
WTO Members 51 Parties to the Nagoya Protocol are also WTO Members (see Annex). 
Openness of 
Membership States or regional economic integration organization s that are Parties to the Convention (Article 33).  
Decision-Making 
Bodies Article 26. Conference of the Parties Serving as the Meeting of the Parties to this Protocol  
"1. The Conference of the Parties shall serve as the meeting of the Parties to this Protocol.  
2. Parties to the Convention that are not Parties to this Protocol may participate as observers in the proceedings of any meeti ng of the Conference of 
the Parties serving as the meeting of the Parties to this Protoc ol. When the Conference of the Parties serves as the meeting of  the Parties to this Protocol, 
decisions under this Protocol shall be taken only by those that are Parties to it.  3. When the Conference of the Parties serves as the meeting of the Parties to this Protocol, any member of the Bureau of the Co nference of the 
Parties representing a Party to the Convention but, at that time, not a Party to this Protocol, shall be substituted by a membe r to be elected by and from 
among the Parties to this Protocol. 4. The Conference of the Part ies serving as the meeting of the Parties to this Protocol sha ll keep under regular review 
the implementation of this Protocol and shall make, within its mandate, the decisions necessary to promote its effective implem entation. It shall perform 
the functions assigned to it by this 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 Confer ence of the Parties and financial rules of the Convention shall be applied, mutatis mutandis , under this 
Protocol, except as may be othe rwise decided by consensu s by the Conference of the Parties serving as the meeting of the Partie s 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  
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- 89 - held concurrently with the first meeting of the Conference of the Parties that is scheduled after the date of the entry into fo rce of this Protocol. 
Subsequent ordinary meetings of the Conferen ce of the Parties serving as the meeting of the Parties to this Protocol shall be h eld concurrently with 
ordinary meetings of the Conference of the Parties, unless othe rwise decided by the Conference of the Parties serving as the me eting of the Parties to 
this Protocol.  
7. Extraordinary meetings of the Conference of the Parties serving as the meeting of the Parties to this Protocol shall be held  at such other times as 
may be deemed necessary by the Conference of the Parties serving as the meeting of the Parties to  this Protocol, or at the writ ten 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 Internat ional Atomic Energy Agency, as well as any State member thereof  or observers 
thereto not party to the Convention, may be represented as observ ers at meetings of the Conference of the Parties serving as th e meeting of the Parties 
to this Protocol. Anybody or agency, whether national or international, governmental or non-governmental, that is qualified in matters covered by this 
Protocol and that has informed the Secretariat of its wish to be  represented at a meeting of the Conference of the Parties serv ing as a meeting of the 
Parties to this Protocol as an observer, may be so admitted, unless at least one third of the Parties present object. Except as  otherwise provided in this 
Article, the admission and participation of observers shall be su bject to the rules of procedure,  as referred to in paragraph 5  above." 
Article 27. Subsidiary Bodies  
"1. Any subsidiary body established by or under the Convention may serve this Protocol , including upon a decision of the Confer ence of the Parties 
serving as the meeting of the Parties to this Protocol. Any such decision shall specify the tasks to be undertaken. 2. Parties to the Convention that are not Parties to this Protoc ol may participate as observers in the proceedings of any meeti ng of any such 
subsidiary bodies. When a subsidiary body of  the Convention serves as a subsidiary bo dy to this Protocol, decisions under this Protocol shall be taken 
only by Parties to this 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 this Protocol, shall be substitut ed by a member to be elected 
by and from among the Parties to this Protocol."   At CoP-12, in Decision XII/26, the Parties to the CBD established a Subsidiary Body on Implementation (SBI), which replaces th e previous Ad Hoc 
Open-ended Working Group on Review of Implementation of the Co nvention. The SBI will undertake a number of functions to assist the COP in keeping 
under review the implementation of the Convention.    In Decision NP-1/11, the Parties to the Nagoya Protocol decided to de signate the SBI to also serv e the Nagoya Protocol. The de cision notes that when 
the SBI exercises its functions with regard to matters concerning the Nagoya Protocol, decisions will be taken only by Parties to the Nagoya Protocol as 
provided in paragraph 2 of Article 27 of the Protocol. 
8.2  Trade-related Measures 
The text of the Protocol does not explicitly refer to trade meas ures. However, the Protocol contains a number of provisions whi ch may have consequences for 
trade. In addition, some of its provisions have inter-linkages with some international trade agreements.  
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- 90 - Article 4 Relationship 
with other international 
agreements 
  "1. The provisions of this Protocol shall not affect the rights and obligations of any Party deriving from any existing 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 
covered by and for the purpose of  the specialised instrument." 
Article 5 Fair and 
equitable benefit-sharing "1. In accordance with Ar ticle 15, paragraphs 3 and 7 of the Convention, bene fits arising 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 [...] 3. To implement paragraph 1, each Party shall take legislativ e, administrative or policy measures, as appropriate. […]"  
Article 6 Access to 
genetic resources "1. In the exercise of sovereign rights over natural resources,  and subject to domestic access and benefit-sharing legislation or regulatory 
requirements, access to genetic resources for their utilization sh all be subject to the prior info rmed consent of the Party pro viding such resources 
that is the country of origin of such resources or a Party that  has acquired the genetic resources in accordance with the Conve ntion, unless 
otherwise determined by that Party. [...] 3. Pursuant to paragraph 1 above, each Party requiring prior in formed consent shall take the necessary legislative, administrat ive or policy 
measures, as appropriate, to: [...] 
(b) Provide for fair and non-arbitrary rules an d procedures on accessing genetic resources; 
[...] (g) Establish clear rules and procedures for requiring and establishing mu tually agreed terms. Such terms shall be set out in w riting and may 
include, inter alia: [...] 
(ii) Terms on benefit-sharing, including in relation to intellectual property rights; [...]" 
Article 17 
Monitoring the Utilization 
of Genetic Resources "1. To support compliance, each Party shall take measures, as a ppropriate, 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 internationally 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 should ha ve 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. 
  
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- 91 - (b) Encouraging users and provider s of genetic resources to include provisions in  mutually agreed terms to share information on  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 consent and that mutually agreed terms have been established, as required by the domestic acc ess and 
benefit-sharing legislation or regula tory requirements of the Party pr oviding 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; (d) The person or entity to whom prior informed consent was granted; 
(e) Subject-matter or genetic resources covered by the certificate; (f) Confirmation that mutually agreed terms were established; (g) Confirmation that prior info rmed consent was obtained; and 
(h) Commercial and/or non-commercial use." 
 
8.3  Supportive measures 
Article 14 : The Access And Benefit-Sharing Clearing-House And Information-Sharing "1. An Access and Benefit-sharing Clearing-House is hereby esta blished as part of the clearing -house mechanism under Article 18 , paragraph 3, of the Convention. It shall 
serve as a means for sharing of information related to access and benefit-sharing. In particular, it shall provide access to 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 th e 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." 
  The ABS Clearing-House (ABS-CH) was launched on 12 Oc tober 2014 with the entry into force of the Protocol ( http://absch.cbd.int ). At CoP-MoP 1, the Parties adopted 
modalities for the operation of the ABS-CH (Decision NP-1/2), which outline the administration of the ABS-CH by the CBD Secreta riat and the role of Parties and non-Parties with 
respect to the exchange of information through the ABS-CH, including the functions of ABS-CH publishing authorities. The decisi on also establishes an informal advisory 
committee for the ABS-CH to provide techni cal guidance to the Executive Secretary. 
  
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- 92 - Article 22: Capacity 
"1. The Parties shall cooperate in the capacity-building, capaci ty development and strengthening of human resources and institu tional capacities to effectively implement this 
Protocol in developing country Parties, in particular the least developed countries and small island developing States among th em, and Parties with economies in transition, 
including through existing global, regional, subregional and nation al institutions and organizations. In this context, Parties should facilitate the involvement of indigenous and local 
communities and relevant stakeholders, including non- governmental organization s and the private sector. 
2. The need of developing country Parties, in particular the least developed countries and small island developing States among  them, and Parties with economies in 
transition for financial resources in accord ance with the relevant provisions of the Convention shall be taken fully into accou nt for capacity-building and development to implement 
this Protocol. 3. As a basis for appropriate measures in re lation to the implementation of this Protocol, developing country Parties, in parti cular the least developed countries and small 
island developing States among them, and Parties with economies in  transition should identify their national capacity needs and  priorities through national capacity 
self-assessments. In doing so, such Parties should support the capacity needs and priorities of indigenous and local communitie s and relevant stakeholders, as identified by them, 
emphasizing the capacity need s and priorities of women. 
4. In support of the implementa tion of this Protocol, capacity-building and de velopment may address, inter alia, the following key areas: 
(a) Capacity to implement, and to comply  with the obligations of, this Protocol; 
(b) Capacity to negotiate mutually agreed terms; 
(c) Capacity to develop, implement and enfo rce domestic legislative, ad ministrative or policy measures on access and benefit-sh aring; and 
(d) Capacity of countries to develop their endogenous research capabilities to add value to their own genetic resources. 
5. Measures in accordance with paragrap hs 1 to 4 above may include, inter alia: 
(a) Legal and institutional development; (b) Promotion of equity and fairness in negotiations, su ch as training to negotiat e mutually agreed terms; 
(c) The monitoring and enforcement of compliance; (d) Employment of best available communication tools and Inte rnet-based systems for access and benefit-sharing activities; 
(e) Development and use of valuation methods; (f) Bioprospecting, associated research and taxonomic studies; (g) Technology transfer, and infrastructure and technical ca pacity to make such techno logy transfer sustainable; 
(h) Enhancement of the contribution of acce ss and benefit-sharing activities to the co nservation of biological diversity and th e sustainable use of its components; 
(i) Special measures to increase the capa city of relevant stakeholders in relati on to access and benefit-sharing; and 
(j) Special measures to increase the capacity of indigenous and local communities with emphasis on enhancing the capacity of wo men within those communities in relation 
to access to genetic resources and/or traditiona l knowledge associated with genetic resources. 
6. Information on capacity-building and development initiatives at national, regional and international levels, undertaken in a ccordance with paragraphs 1 to 5 above, should 
be provided to the Access and Benefit-shar ing Clearing-House with a view  to promoting synergy and coordination on capacity-buil ding and development for access and 
benefit-sharing."   In 2014, at CoP-MoP 1, the Parties adopted a strategic framework for capacity-building and development to support the effectiv e implementation of the Nagoya Protocol 
(Decision NP-1/8). The decision also establishes an informal ad visory committee to provide advi ce to the Executive Secretary on  matters related to the assessment of the 
effectiveness of the strategic framework.  
Article 23: Technology Transfer, Collaboration and Cooperation 
"In accordance with Articles 15, 16, 18 and 19 of the Convention , the Parties shall collaborate and cooperate in technical and scientific research and development programmes, 
including biotechnological research activiti es, as a means to achieve the objective of this Protocol. The Parties undertake to promote and encourage access to technology by, and 
transfer of technology to, developing country Parties, in particular the least developed countries and small island developing States among them, and Parties with economies in 
transition, in order to enable the development and strengthening of a sound and viable technological and scientific base for th e attainment of the objectiv es of the Convention and 
this Protocol. Where possible and appropriate such collaborative activities shall take place in and with a Party or the Parties  providing genetic resources that is the country or are 
the countries of origin of such resources or  a Party or Parties that have acquired th e genetic resources in accordance with the  Convention." 
  
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- 93 - Article 25: Financial Mechanism and Resources 
"1. In considering financial resources for the implementation of this Protocol, the Parties shall take into account the provisi ons of Article 20 of the Convention. 
2. The financial mechanism of the Convention shall be the financial mechanism for this Protocol. 3. Regarding the capacity-building and deve lopment referred to in Article 22 of this Protocol, the Conference of the Parties se rving as the meeting of the Parties to this 
Protocol, in providing guidance with respect to the financial mechanism referred to in paragraph 2 above, for consideration by the Conference of the Parties, shall take into 
account the need of developing country Parties, in particular the least developed countries and small island developing States among them, and of Part ies with economies in 
transition, for financial resources, as well as the capacity needs and priorities of indigenous and local communities, includin g women within these communities. 
4. In the context of paragraph 1 above, the Parties shall also ta ke into account the needs of the developing country Parties, i n particular the least developed countries and 
small island developing States among them, and of the Parties with economies in transition, in their efforts to identify and im plement their capacity-b uilding and development 
requirements for the purposes of th e implementation of this Protocol. 
5. The guidance to the financial mechanism of the Convention in relevant decisions of the Conference of the Parties, including those agreed before the adoption of this 
Protocol, shall apply, mutatis mutandis, to the provisions of this Article. 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 other 
resources for the implementation of the prov isions of this Protocol through bilatera l, regional and mult ilateral channels." 
  Following the recommendation from the first meeting of the CoP-MoP, the CoP, in its Decision XII/30, provided guidance to the G EF with regard to the Nagoya Protocol. The 
decision also addressed eligibility for funding from the GEF for Parties to the Nagoya Protocol as well as developing countries  and countries with economies in transition that 
provide a clear political commitment towards becoming Parties to the Protocol.  
8.4  Non-compliance mechanism 
Article 29: Monitoring and Reporting 
"Each Party shall monitor the implementation of its obligations und er this Protocol, and shall, at  intervals and in the format to be determined by the Conference of the Parties 
serving as the meeting of the Parties to this Protocol, report to the Conference of the Parties serving as the meeting of the P arties to this Protocol on measures that it has taken 
to implement this Protocol."   CoP-MoP 1 approved a format for the interi m national report on implementation of the Protocol (Decision NP-1/3) and requested Parties to submit an in terim national report 
12 months prior to CoP-MoP 3.  
 Article 30: Procedures and Mechanisms to Promote Compliance with this Protocol 
"The Conference of the Parties serving as the meeting of the Parties to this Protocol shall, at its first meeting, consider and  approve cooperative proc edures 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."   COP-MOP 1 adopted procedures an d mechanisms on compliance and also established a Compliance Co mmittee (Decision NP-1/4). The C ompliance Committee is composed of 
15 members nominated by Parties and elected by the CoP-MoP on the basis of three members from each of the five regional groups of the United Nations. In addition, two 
representatives of indigenous and local communities (ILC) are el ected to serve as observers. These members and ILC observers wi ll serve in their individual capacity. The 
Committee is to meet at least once per intersessional period. 
 The Committee can receive submissions from any Party with respect to itself, any Party with respect to another Party, and the CoP-MoP. The Committee may also examine a 
situation where a Party fails to submit its national report under Article 29 of the Protocol or where information indicates tha t a Party is faced with difficulties complying with its 
obligations under the Protocol as well as systemic issues of general non-compliance. Both the Committee and the CoP-MoP may tak e measures to promote compliance and 
address cases of non-compliance.   
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- 94 - 8.5  Dispute Settlement Mechanism 
 According to Article 27(5) of the CBD, the dispute settlement provisions of the CBD in Article 27 apply to the Protocol. 
8.6  Provisions for non-parties 
Article 24: 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. 
9  CARTAGENA PROTOCOL ON BIOSAFETY TO THE CONVENTION ON BIOLOGICAL DIVERSITY  
9.1  Brief Description of the MEA 
Web site http://bch.cbd.int/protocol/  
Objective  To ensure an adequate level of protection in the field of safe  transfer, handling and use of Li ving Modified Organisms (LMOs) that may have adverse 
effects on the conservation and sustainable use of biological diversity, also taking into account risks to human health. 
Date of Adoption 29 January 2000 
Entry into force 11 September 2003 
Parties 170 (as of 31 July 2015)  
WTO Members    142 Parties to the Cartagena Protocol on Biosafety are also WTO Members (see Annex). 
Openness of 
Membership Article 36 – Signature 
"This Protocol shall be open for signature … by States  and regional economic 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 take n only by those that are 
Parties to it. 3. When the [CoP] serves as the [MoP] to this Protocol, any member of the bureau of the [CoP] representing a Party to the 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 implementation 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 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 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 submitted 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 
deemed necessary for the implementation of this Protocol; and  
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- 95 - (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 Co nvention shall be applied, mutatis mutandis , under this 
Protocol, except as may be otherwise decided by consensus by the [CoP] serv ing as the [MoP] to this Protocol." 
 
Article 30 – Subsidiary Bodies 
"1. Any subsidiary body es tablished by or under the Convention may, upon a de cision 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 Convention serv es as a subsidiary body to this Protocol, decisions under the P rotocol shall be taken 
only by the Parties to the Protocol. 3. When a subsidiary body of the Convention exercises its functi ons 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 substitute d by a member to be elected 
by and from among the Parties to the Protocol".  CoP-MoP 3 considered the issue of subsidiary bodies and adopte d Decision BS-III/13, by which Co P-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 designat ion or establishment of a 
permanent subsidiary body, or use of subsidia ry bodies or mechanisms that may be crea ted 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 8th CoP, concerning the review of the impacts and effectiveness of existing processes under the Convention; an d  
(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 Protoc ol 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. 
9.2  Trade-related Measures 
9.2.1  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 protectiv e 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."  
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- 96 - 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 n ot 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 re quire the exporter to ensure notification to, in writing, the competent national aut hority 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 no tification 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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- 97 - 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, wi thin the period of time referred to in Article 9, inform the notifier, in writing, whether the intentional 
transboundary movement may proceed: 
(a) Only after the Party of import has given its written consent; or 
(b) After no less than ninety days without a subsequent written consent.  
3. Within two hundred and seventy days of the date of receipt of  notification, the Party of import shall communicate, in writin g, to the notifier 
and to the Biosafety Clearing-House the 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 additional relevant information in accordance with its domestic  regulatory framework or Annex I; in calculating the time within 
which the Party of import is to respond, the number of days it has to wait for additional relevant information shall not be tak en into account;  
or (d) Informing the notifier that the period specified in th is paragraph is extended by a defined period of time.  
4. Except in a case in which consent is unconditional, a 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 communicate 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 scientific 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…". 
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, in form the Parties 
through the [BCH]. This information shall contain, at a minimum,  the information specified in Annex II. The Party shall provide  a copy of the 
information, in writing, to the national focal point of each Party that informs the Secretariat in advance that it does not hav e access to the [BCH]. 
This provision shall not apply to de cisions regarding field trials.   
2. The Party making a decision under paragr aph 1 above, shall ensure that there is a legal requirement for the accuracy of info rmation 
provided by the applicant.   3. Any Party may request additional information from the authority 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 impl y its consent or refusal to the  import of a 
[LMO] intended for direct use as food or feed, or fo r processing, unless otherwise specified by the Party. 
8. Lack of scientific certainty due to insufficient relevant scientific information and knowledge regarding the extent of the p otential adverse 
effects of a [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 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 financ ial 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 accordance with Articles 22 and 28".  
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- 98 - Article 12 
Review of Decisions "1. A Party of import may, at any time, in light of new scienti fic information on potential adve rse 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 inte ntional transboundary 
movement. In such case, the Party shall, within thirty days, inform any notifier that has previously notified movements of the [LMO] referred to in 
such decision, as well as the [BCH], and shall set out the reasons for its decision. 
2. A Party of export or a notifier may requ est the Party of import to re view 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, region al and multilateral agreements and arrang ements regarding intentional transboundary  movements of 
[LMOs], consistent with the objective of this Protocol and provided that such agreements and arrangements do not result in a lo wer level of 
protection than that provided for by the Protocol. 2. The Parties shall inform each other, through the [BCH], of an y such bilateral, regional 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. Su ch risk assessments shall be based, at a minimum, on informati on 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 und er Article10. It may require t he 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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- 99 - 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 th e risk assessment provisions of this Protocol associated with the use, handling and 
transboundary movement of [LMOs]. 2. Measures based on risk assessment shall be imposed to the ex tent necessary to prevent advers e effects of the [LMO] on the co nservation 
and sustainable use of biological diversity, taking also into account risks to human health, wi thin the territory of the Party of import. 
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 the conservation and sust ainable use of biological 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] servi ng 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 specifies any requirements for the safe h andling, 
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 id entity and relevant traits and/ or characteristics, any require ments 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 th e 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 appropriate domest ic measures aimed at preventing and, 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 measures 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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- 100 - 9.2.2  Decisions of the COP-MOP 
Options for 
Implementation of 
Article 8 Decision BS-II/8 
"The [CoP] serving as the[MOP] to the Cartagena Protocol on Biosafety ... 
1. Decides  t o  k e e p  t h e  i t e m  o n  n o t i f i c a t i o n  r e f e r r e d  t o  i n  d e c i s i o n  B S - I / 1 2  u n d e r  r e v i e w  w i t h  a  v i e w  t o  e l a b o r a t i n g  a n d  d e v e l o p i n g ,  i f  
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." 
Notification 
Requirement (Article 8)  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 implementation a nd experiences that 
may be communicated through 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 Procedure 
(Article 10)  At the First CoP serving as the MoP to this Protocol (CoP-MoP 1)  in 2004, CoP-MoP 1 adopted procedures and mechanisms to facili tate decision-
making by Parties of import (Decision BS-I /2). The guidelines and procedures state, inter alia , that Parties shall cooperate to ensure that importing 
Parties have access to the Biosafety Clearing-House (BCH), proced ures and mechanisms should be demand-driven by importing Parti es; and the 
roster of experts and the BCH are referre d to as main mechanisms to provide support to facilitate decision making.  
Handling, Transport, 
Packaging and 
Identification of Living 
Modified Organisms 
(Article 18) 
 Unique identification system(s)  ... 
Decision BS-I/6 
"1. Invites Parties and other government to take measures to appl y, as appropriate, the OECD Unique 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 th e [BCH], a register of unique identification codes to ensure h armonisation of 
such codes by all users; 
3. Encourages the OECD and other organizations involved in the development of unique identification systems for [LMOs] to initi ate or 
enhance their activities towards the development of a harmonized system of unique identifiers for genetically modified micro-or ganisms and 
animals. ..." 
Paragraph 2 (a) of Article 18: 
Decision BS-I/6 
"1. Requests Parties to the Protocol and ur ges 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, which could include the use of a stand-alone document; 
2. Requests Parties to the Protocol and urges other Governments to take measures ensuring that documentation accompanying [LMOs ] that 
are intended for direct use as food or feed, or for processing clearly identifies that the shipment may contain [LMOs] intended  for direct use as 
food or feed, or for processing, and stat es that they are not intended for intentional introduction into the environment; 
3. Further requests Parties to the Protocol  and urges other Governments to take measures ensuring that the documentation accomp anying 
[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  
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- 101 - 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 an d other Governments to require that the documentation re ferred to in paragraph 1 abo ve 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 and other Governments to re quire exporters of [LMOs] that are intended for direct use as food or feed, 
or for processing under their jurisdiction to declare, in documentation accompanying transboundary movements known to intention ally 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 ensu re the use of a commercial invoice or other 
document required or utilized by existing documentation systems, or documentation as required by domestic regulatory and/or adm inistrative 
frameworks, as documentation that should accompany [LMOs] that ar e intended for direct use as food  or feed, or for processing . ..;  
3. Further requests Parties to the Protocol and urges other Governments to take  measures ensuring that the documentation accompanying 
[LMOs] that are intended for 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  measures ensuring that documentation accompanying [LMOs] 
intended for direct use as food or feed, or for processing, in commercial production and authorized in accordance with domestic  regulatory 
frameworks, is in compliance with  the requirements of the country of import, and clearly states:  
(a) In cases where the identity of the [LMOs]  is known through means such as identity preservation systems, that the shipment c ontains 
[LMOs] that are intended for direct use as food or feed, or for processing;  
(b) In cases where the identity of the [LMOs] is not known throug h 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 international organizations such as the Codex Alimentarius Commission and th e 
International Organization for Standardization and encourages Parties to participate in and share information with these and ot her 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 rele vant international organizations to ensure that information related to rules 
and standards on the sampling of  living modified organisms and detection techniques, including experience with such techniques 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,  
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- 102 - 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 ensure 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 regu latory 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 furt her implementation of decisi on BS-III/10, in particular 
its paragraph 4; 
4. Requests  Parties and encourages  other Governments and relevant organizations to co operate with and support developing country Parties 
and Parties with economies in transition to  build capacity to implement 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 import ed living modified organisms 
intended for direct use as food or feed, or for processing, from  being used for other purposes su ch as introduction into the en vironment;  
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 expe rience gained with the implementation o f paragraph 4 of 
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 urges 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 mont hs 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 Secretar y to compile the information rece ived and to prepare a synthesi s report 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 ensuring that documentation accompanying [LMOs ] 
contains the following information and declaration:  
(a) [LMOs] for contained use (Article 18, paragraph 2 (b)): 
(i) Clear identification as "[LMOs]" including common and 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  
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- 103 - 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 and the Organisation Internationale des Epizooties, domestic regulatory frameworks or under any agreements entered 
into by the importer and exporter. In the event that there is no  requirement, indicate that there is no specific requirement; 
(iv) Where appropriate, further information should include the co mmercial names of the [LMOs], if available, new or modified tr aits 
and characteristics such as event(s) of transformation, risk cl ass, specification of use, as well as any unique identification,  where 
available, as a key to access ing information in the [BCH]; 
(b) [LMOs] for intentional introduction into the environment of the Party of import and any other [LMOs] within the scope of th e Protocol 
(Article 18, paragraph 2 (c)): 
(i) Clear identification as "[LMOs]" and a brief description of the organisms, including common and scientific name, relevant t raits 
and genetic modification, includin g transgenic traits and characte ristics such as event(s) of transformation or, where availabl e and 
applicable, a reference to a syst em of unique identification; 
(ii) Any requirements for the safe handling , storage, transport and use of the [LMOs]  as provided under applicable existing 
international requirements, domestic regulatory frameworks, or und er any agreement entered into by the importer and exporter. I n 
the event that there is no requirement, indi cate 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 po ssession 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 
transboundary movement of [LMOs]; .." 
 
Decision BS-II/10 
"The [CoP] serving as the [MOP] to the Cartagena Protocol on Biosafety ... 
2. Urges  Parties to the Protocol and invite other Governments to take necessary measures, taki ng 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;  
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- 104 - 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, packag ing 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 standard s 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 an d 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 dete ction of living modified organisms;  
(b) Disseminate the results of the Online Fo rum on Standards for Shipment s of Living Modified Organi sms, including information about 
potential gaps in international standards, to relevant organizations; 
(c) Organize regional workshops for: (i) he ads of laboratories involved in the detection of living modified organisms to exchan ge information 
and experience on the implementation of relevant standards and methods; and (ii) customs officers requiring capacity in the sam pling and 
detection of living modified or ganisms further to paragraph 10 of decision BS -III/10 and paragraph 3 of decision BS-IV/9; 
(d) Commission a study to analyse information on existing standards, methods and guidance relevant to the handling, transport, packaging 
and identification of living modified orga nisms and to make the study available for consideration by the sixth meeting of the C onference of 
the Parties serving as the meeting of the Parties to the Protocol. This study should address in particular: 
(i) Possible gaps in existing st andards, guidance and methods; 
(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 hand ling, transport, packaging and id entification of living modifie d 
organisms; 
2. Invites  standard-setting bodies to form an electronic communications group with the Secretariat of the Convention on Biological Divers ity 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 Diversity 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 or ganizations, as approp riate, to make available to the Biosafety 
Clearing-House information on: 
(a) Standards relevant to the handling, transport, packag ing and identification of li ving modified organisms; 
(b) Existing guidance on the use of relevant international standards; 
(c) Methods for the detection and identifi cation of living modified organisms; 
5. Invites  Parties to nominate national and international reference laboratories with the view to establishing, through the Biosafety-Cle aring 
House, an electronic network of laboratories to facilitate the identification of living modified organisms as well as the shari ng of information and  
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- 105 - experiences." 
Socio-economic 
Considerations  
(Article 26, para 2) Decision BS- IV/16 
"Recalling  Article 26 of the Protocol, in particular paragraph 2, Recognizing  the divergent views and the complexity of the issue of socio-economic 
impacts of living modified organisms as observed through the su bmissions received and synthesized by the Secretariat in accorda nce with the 
request made under decision BS-II/12; Invites  Parties, other Governments and relevant organizations to continue to share their research, research 
method and experience in taking into account socio-economic impa cts of living modified organism s, through the Biosafety Clearin g-House, where it 
could be retrievable using the search term "socio-economic ..."
Assessment and review 
(Article 35) Decision BS-V/15  
"The [COP] serving as the [MoP] to the 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 im plementation of the Protocol gathered through the second nation al 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 an d other relevant proc esses and organization s; 
2.   Requests  the Executive Secretary to collect and comp ile information on the implementation of th e 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 Pro tocol; 
3.   Decides also : 
(a) To establish a regionally balanced ad hoc technical expert group, subject to the availability of funds, to: (i) review the analysis of 
information referred to in paragraph 2 above; and (ii) submit it s recommendations to the sixth meeting of the Conference of the  Parties 
serving as the meeting of the Pa rties for its consideration; and 
(b) That the third assessment and review of the Protocol be conducted 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 ... ." 
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 issu es of mutual relevance; ... 
(f) To establish cooperation with the Worl d Customs Organization, the International Or ganization for Standardization (ISO), the  United 
Nations Transport of Dangerous Goods Sub-Co mmittee, the International Air Transport Association and other relevant customs and transport 
organizations where biosafety issues are considered, with a view to developing a harmonized appr oach for the packaging and tran sport of 
living modified organisms in preparation for the consideration at  the third meeting of the Conference of the Parties serving as  the meeting of 
the Parties to the Protocol of the need for and modalities of developing standards with regard to identification, handling, pac kaging and 
transport 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 c ooperation 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;  
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- 106 - 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 other organizations, in particular with the Wo rld 
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 Phytosanitary measures (SPS) and Te chnical Barriers to Trade (TBT) ..." 
 
Risk Assessment and 
Risk Management  Decision BS-III/11 
"The [CoP-MoP]... 
15.  Requests  the Executive Secretary to collaborate with relevant organizations such as the Food and Agriculture Organization of the 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 por tals 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 the Cartagena Protocol on Biosafety ... 
"3. Decides  to establish through the Biosafety Clearing-H ouse an open-ended online forum on specif ic 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 the Cartagena Protocol on Biosafety ... 
4. Decides to extend the current open-ended online fo rum 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 Guidance; and (ii) explore possibl e ways to link 
background materials available in  the "Scientific Bibliographic Database on Bios afety" 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 
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 co nsideration by the Parties at  
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- 107 - their sixth meeting…" 
Liability and Redress 
under the Cartagena 
Protocol on Biosafety Decision BS-V/11  
"The [CoP] serving as the [MoP] to the Cartagena Protocol on Biosafety ... 
1. Decides  to adopt the Nagoya – Kuala Lumpur Supplementary Protocol on 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 March 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 th e 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 meeting of the Parties; …" 
Rights and/or 
obligations of Parties of 
transit of living 
modified organisms Decision BS-V/10 
"The [CoP] serving as the [MOP] to the Cartagena Protocol on Biosafety ... 
1. Encourages  Parties to continue addressing issues related to the transit of living modified organisms through their territories using thei r 
domestic administrative  and legal systems; 
2. Decides to consider this item at its eighth meeting." 
 
Strategic plan for the 
Cartagena Protocol on 
Biosafety for the period 
2011-2020 Decision BS-V/16  
"The [CoP] serving as the [MOP] to the 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 programmes rele vant to the implementation of the Protocol , including 
their National Biodiversity Strategies and Action 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 a ssessment and review scheduled to  be conducted at the eighth m eeting of the 
Conference of the Parties serving as the meeting of the Parties to the Protocol; 
(b) Using appropriate evaluation criteria that need to be propos ed 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.
9.3  Supportive measures 
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, environm ental 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.   
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- 108 - 2. The [BCH] shall serve as a me ans through which information is made available fo r the purposes of paragraph 1 above. It shall  provide access to information made available 
by the Parties relevant to the implementation of the Protocol. It shall also provide access, where possible, to other internati onal biosafety informatio n 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 release 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 report s on its activities, shall be considered and 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. 
Article 22 – Capacity-Building 
"1. The Parties shall cooperate in the development and/or streng thening 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 implementing paragraph 1 above, in relati on to cooperation, the needs of developing country Parties, in particular the least developed and small island 
developing States among them, for financial resources and access to and transfer of 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 differen t situation, capabilities and requirements of each Party, 
include scientific and technical training in the proper and safe management of biotechnology, and in the use of risk assessment  and risk management for biosafety, and the 
enhancement of technological and institutional capacities in biosafety. The needs of Parties with economies in transition shall  also be taken fully into account for such 
capacity-building in biosafety". 
 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 developing countries and 
countries with economies in transition Part ies to the Protocol in risk assessment and risk management, 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), fo r experts to be included in the roster to assist countries in making their nominations to the roster and in 
re-assessing the nominations already made. The CoP-MoP also requested the Liaison Grou p to explore the possibility of establish ing 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 for the Effective Implem entation 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 th e Convention shall, through the institutional structure entruste d 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 country 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 ta ke into account the needs of the developing country Parties, i n particular the least developed and the small  
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- 109 - island developing States among them, and of the Parties with ec onomies in transition, in their efforts to identi fy and implemen t their capacity - building requirements for the 
purposes of the implementa tion of this Protocol. 
6. The developed country Parties may also provide, and the develo ping 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 frameworks (NBFs). The project was lau nched in June 2001, and has assisted 123 countries. 
Under the initial strategy, the GEF also prov ided support to 12 demonstration projects for capacity building in implementation of NBFs. 
 In November 2003, the GEF approved an add-on  project to the UNEP-GEF project on the 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. 
9.4  Non-compliance mechanism  
Article 27 – Liability and Redress 
"The Conference of the Parties serving as the meeting of the Parties to this Protocol shall, at its first meeting, adopt a proc ess with respect to the a ppropriate elaboration of 
international rules and procedures in the field of liability and redress for damage resulting fro m transboundary movements of l iving modified organisms, analysing and taking due 
account of the ongoing processes in international law on these matters, and shall endeavour to complete this process within fou r years." 
 At its fifth meeting, CoP-MoP:  
Adopted the Nagoya – Kuala Lumpur Supplementary Protocol  on Liability and Redress to provide international rule s and procedure on liability and redress for damage to 
biodiversity resulting from LMOs. It reques ted the UN Secretary-General to open the new Protocol for signature from 7 March 201 1 to 6 March 2012 and called upon parties to the 
Biosafety Protocol to sign and ratify  it at the earliest opportunity.  
In Decision BS-V/11, the CoP-MoP also: 
 Decided  that additional and supplementary compensa tion measures may be taken in instances wh ere the costs of response measures provide d for in the Supplementary 
Protocol have not been covered and that  those measures may include arrangements to be addressed by the CoP-MoP.  
 Urged Parties to cooperate in the development and/or strengthening of human resources and institutional capacities. 
 Parties to cooperate in the development and/or strengthening of human resources and institutional capacities relating to the im plementation of the Supplementary 
Protocol and invited Parties to take this into account in formulating bilateral, regional and multilateral assistance to develo ping country Parties. It  also decided to take 
this into account in the next review of the capacity-building Action Plan. 
Article 33 – Monitoring and Reporting 
"Each Party shall monitor the implementation of its obligations und er 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  Protocol). 
 In Decision BS-III/14, CoP-MoP 3 adopted 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 re porting 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 requested Parties to fulfil their reporting obligations un der 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-compliance. These procedures and mechanisms shall include provision s to offer advice or assistance, where  
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- 110 - appropriate. They shall be separate from, and without prejudice to, the dispute settlement procedures and mechanisms establishe d by Article 27 of the Convention". 
 CoP-MoP 1 adopted procedures and mechanisms  on compliance under the Protocol (Decision BS-I/7), including a Compliance Committ ee to meet twice a year with 15 members 
nominated by Parties and elected by the CoP serving as the MoP to the Protocol. These members will serve in their individual ca pacity. 
 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. Th e CoP-MoP may, upon the recommendations of the Compliance Committe e, decide upon one  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 Co P-MoP 2 (Decision 
BS-II/1). 
The second meeting of the Compliance Committee was held in February 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 take 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." 
 
The Compliance Committee su bmitted to CoP-MoP 5 its report on the work of its fifth, sixth and seventh meetings together with i ts recommendations. CoP-MoP 5 adopted all the 
recommendations of the Committee through it s Decision BS-V/1 and other decisions wh ere the recommendations were relevant.  
9.5  Dispute Settlement Mechanism 
 According to Article 27(5) of the CBD and 32 of the Protocol, the dispute settlement provisions of the CBD in Article 27 apply  to the Protocol  
9.6  Provisions for non-parties 
Article 24 – Non-Parties 
"1. Transboundary movements of [LMOs] between Parties and non-Part ies shall be consistent 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 guidance on the transbo undary movement of LMOs between Parties and non-Parties. Accordi ng to this, in exporting LMOs to 
non-Parties, Parties should ensure prior notification and risk a ssessment 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, c ooperate with Parties to achieve the Proto col'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.   
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- 111 - 10  NAGOYA – KUALA LUMPUR SUPPLEMENTARY PROTOCOL ON LIABILITY AND REDRESS TO THE CARTAGENA PROTOCOL ON BIOSAFETY 
10.1   Brief Description of the MEA 
Web site https://www. cbd.int/  
http://bch.cbd.int/protocol/supplementary/  
Objective The objective of this Supplementary Protocol is to contribute 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 Adoption 15 October 2010 
Entry into force --- NOT YET IN FORCE. This Supplementary Protocol shall enter into force on the ninetieth day after the date of deposit of the fortieth instrument of 
ratification, acceptance, approval  o r  a c c e s s i o n  b y  S t a t e s  o r  r e gional economic integration organizations that are Parties to th e Protocol (Article 17, 
paragraph 1). 
Signatories 32 (as of 31 July 2015)  
WTO Members 31 Signatories to Nagoya - Kuala Lumpur Supplementary Protocol are also WTO Members (see Annex). 
Openness of 
Membership Parties to the Cartagena Protocol on Biosafety may become  a Party to the Supplementar y Protocol  (Article 18) 
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 Co nference 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 ke ep under regular review the impl ementation 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 th is Supplementary Protocol and,  mutatis mutandis , the functions assigned to it by para graphs 4 (a) and (f) of Article 29 of 
the Protocol." 
Article 16. Relationship with the Convention and the Protocol 
"... 3. Except as otherwise provided in this Supplementary Protocol, the provisions of th e Convention and the Protocol shall apply, mutatis mutandis , to this 
Supplementary Protocol." 
Relationship with 
the CBD and the 
Cartagena 
Protocol Article 16. Relationship with the Convention and the Protocol 
"1. This Supplementary Protocol shall supplement the Pr otocol and shall neither modify nor amend the Protocol. 
2. This Supplementary Protocol shall not affect the rights and obligations of the Parties to this Supplementary Protocol under the Convention and the 
Protocol. 3. Except as otherwise provided in this Supplementary Protocol, the provisions of the Convention and the Protocol shall apply, mutatis mutandis , to 
this Supplementary Protocol. 4. Without prejudice to paragraph 3 above, this Supplementary Pr otocol shall not affect the rights and obligations of a Party u nder international law." 
10.2  Trade-related Measures 
The text of the Protocol does not explicitly refer to trade measures. However, its scope and some of its provisions may have so me implications to trade in living 
modified organisms. 
Article 2 
Use of terms " "Operator" means any person in direct or indirect control of the living modified or ganism which could, as appropriate and as determined by 
domestic law, include, inter alia, the permit holder, person who placed the living modified organism on the market, developer, producer, notifier, 
exporter, importer, carrier or supplier;"  
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- 112 - Article 3 
Scope  "1. This Supplementary Protocol applies to damage resulting from living modified organisms which find their origin in a transbo undary 
movement. The living modified organisms referred to are those: 
(a) Intended for direct use as food or feed, or for processing; 
(b) Destined for contained use; 
(c) Intended for intentional introduction into the environment.  
2.  With respect to intentional transboundary movements, this Supplementary Protocol applies to damage resulting from any autho rized 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 a pplies to damage resulting from a transboundary mo vement of living modified organisms that star ted after 
the entry into force of this Supplementary Protocol for the Part y into whose jurisdiction the transboundary movement was made. 
5. his Supplementary Protocol applies to da mage that occurred in areas wi thin the limits of the national jurisdiction of Partie s. 
6. Parties may use criteria set out in their domestic law to address 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 measures, including, in particular, when the operator has failed to do so. 
5. The competent authority has the right to  recover from the operator the costs and ex penses of, and incide ntal to, the evaluat ion of the 
damage and the implementation of any such appropriate response measures. Parties may pr ovide, in their domestic law, for other situations in 
which the operator may not be required to bear the costs and expenses. 6. Decisions of the competent authority requiring the operator to take response measures should be reasoned. Such decisions sho uld be 
notified to the operator. Domestic law shall provide for remedies , including the opportunity for ad ministrative or judicial rev iew of such decisions. 
The competent authority shall, in accordance with domestic law, also inform the operator of th e available remedies. Recourse to  such remedies 
shall not impede the competent authority from taking response me asures in appropriate circumstances, unless otherwise provided by domestic 
law. 7. In implementing this Article and with a view to defining the specific response measures to be required or taken by the 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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- 113 - Article 10 
Financial security "1. Parties retain the right to provide, in their domestic law, for financial security. 
2. Parties shall exercise the right referred to in paragraph 1 above in a manner consis tent with their rights and obligations u nder international 
law, taking into account the final three preambular paragraphs of the Protocol. 
3. The first meeting of the Conference of the Parties serving as  the meeting of the Parties to the Protocol after the entry 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 environmental, economic and social impact s of such mechanisms, in particular on developing countries; and 
(c) An identification of the appropriate entities to provide financial security." 
Article 12 
Implementation and 
relation to civil liability "1.  shall provide, in their domestic law, for rules and procedures that address damage. To implement this obligation, Parties shall provide for 
response measures in accordance with this Su pplementary Protocol and may, as appropriate: 
(a) Apply their existing domestic law, including, where applicable, general rules and procedures on civil liability; (b) Apply or develop civil liability rules and procedures specifically for this purpose; or (c) Apply or develop a combination of both. 
2. Parties shall, with the aim of providing adequate rules and procedures in their domestic law on civil liability for material  or personal damage 
associated with the damage as 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 subpar agraphs (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 Pr otocol and shall neither modify nor amend the Protocol. 
2. This Supplementary Protocol shall not affect the rights and obligations of th e Parties to this Supplementary Protocol under the Convention 
and the Protocol. 3. Except as otherwise provided in this Supplementary Protocol, the provisions of the Convention and the Protocol shall apply, mutatis 
mutandis, to this Supplementary Protocol. 4. Without prejudice to paragraph 3 above, this Supplementary Pr otocol shall not affect the rights and obligations of a Party u nder 
international law." 
10.3  Supportive measures 
In accordance to Article 16, paragraph 3, "[e]xcept as otherwise provided in this Supplementary Protocol, the provisions of the  [CBD] and the [Cartagena] Protocol shall apply, 
mutatis mutandis , to this Supplementary Protocol." 
10.4  Non-compliance mechanism 
In accordance to Article 16, paragraph 3, "[e]xcept as otherwise provided in this Supplementary Protocol, the provisions of the  [CBD] and the [Cartagena] Protocol shall apply, 
mutatis mutandis , to this Supplementary Protocol."   
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- 114 - 10.5  Dispute Settlement Mechanism 
No express provisions. However, 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 shall apply, mutatis mutandis , to this Supplementary Protocol."  
10.6  Provisions for non-parties 
Article 3: Scope  
"... 
7. Domestic law implementing this Supplementary Protocol shall also apply to damage resulting from transboundary movements of l iving modified organisms from non-
Parties."   
11  MONTREAL PROTOCOL AND THE VIENNA CONVENTION FOR THE PROTECTION OF THE OZONE LAYER 
11.1  Brief Description of the MEA 
The Vienna Convention for the Protection of  the Ozone Layer is a framework convention. It did not itself establish controls on ozone-depleting substances but 
rather, it established the procedural rules for future protocols to be developed under the framework of the Convention. The Mon treal Protocol on Substances 
that Deplete the Ozone Layer was adopted in 1987 and has been am ended four times: London Amendment (1990), Copenhagen Amendment  (1992), Montreal 
Amendment (1997) and Beijing Amendment (1999). Its control provisio ns were strengthened through five adjustments to the Protoco l 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 
Entry into force 22 September 1988 1 January 1989 10 August 1992 14 June 1994 10 November 1999 25 February 2002 
Parties9 197 197 197 197 197 197 
WTO Members10 158 158 158 158 158 158 
 
                                               
9 As of 31 July 2015.  
10 See Annex for list of Parties that are also WTO Members.   
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- 115 -  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 fo rce on 1 January 1989, provided that 
at least eleven instruments of ratification, acceptance, approval of the Protocol or accession thereto have be en deposited by States or regional 
economic integration organizations repres enting at least two-thirds of 1986 
estimated global consumption of th e controlled substances, and the 
provisions of paragraph 1 of Article 17 of the Convention have been fulfilled. 
In the event that these conditions have not been fulfilled by that date, the Protocol shall enter into force on the ninetieth day following the date on which the conditions have been fulfilled. … 3. After the entry into force of this Protocol, any State or regional economic integration organization shall become a Party to it on the ninetieth 
day following the date of deposit of  its instrument of ratification, 
acceptance, approval or 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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- 116 -  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 pr otocol concurrently ...". 
Article 14 – Accession "1. This Convention and any protocol  shall be open for accession by 
States and by regional ec onomic 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 meet ings 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 fo r implementing th is Protocol; and 
(j) consider and undertake any additi onal action that may be required  
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- 117 -  Vienna Convention for the Protection of the Ozone Layer Montreal Protocol on Substances that Deplete the Ozone Layer, 
either adjusted and/or amended in London -1990, Copenhagen -
1992, Vienna- 1995, Montreal -1997, 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 me eting adopt protocols pursuant to Article 2. 
2. The text of any proposed protoc o l  s h a l l  b e  c o m m u n i c a t e d  t o  t h e  
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 acceptan ce 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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- 118 -  Vienna Convention for the Protection of the Ozone Layer Montreal Protocol on Substances that Deplete the Ozone Layer, 
either adjusted and/or amended in London -1990, Copenhagen -
1992, Vienna- 1995, Montreal -1997, 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.  
11.2  Trade-Related measures 
11.2.1  Montreal Protocol: Pr ovisions 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 combin ed calculated levels of production of the Parties concerned fo r any group of 
controlled substances do not exceed the production limits set ou t in those Articles for that grou p. Such transfer of production  shall be notified to the 
Secretariat by each of the Parties concerned, stating the terms of such transfer and the period for which it is to apply.  
5 bis. Any Party not operating under paragraph 1 of Article 5 may,  for one or more control 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 co nsumption 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 consumption 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 1987, and provided for in national legislation prior to 1 January 1987, may add the 
production from such facilities to its 1986 production of such su bstances for the purposes of determining its calculated level of production for 1986, 
provided that such facilities are completed by 31 December 1990 an d that such production does not raise that Party’s annual cal culated level of 
consumption of the controlled substances above 0.5 kilograms per capita. 7. Any transfer of production pursuant to paragraph 5 or any addition of production pu rsuant 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 organiza tion as defined in Ar ticle 1(6) of the Co nvention may 
agree that they shall jointly fulfil their obligations respecting consumption under this Article and Articles 2A to 2I provided  that their total combined 
calculated level of consumption does not exceed the leve ls 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;  
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- 119 - (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. Unl ess 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 take 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 sh all ban, within one 
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, follow ing the procedures in 
Article 10 of the Convention, elaborate in an annex a list of such products. Parties that have not objected to the annex in acc ordance with those 
procedures shall ban, within one year of the annex having become  effective, the import of those products from any State not par ty to this Protocol. 
… 5. Each Party undertakes to the fullest practicable extent to discourage 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 th at improve the contai nment, 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 halons): import from non-parties banned from January 1990, export banned from January 
1993; (ii) Annex B substances (carbon tetrachloride, methyl chloroform and other CFCs): import and export banned from August 1993 for  non-
parties to the London Amendment; (iii) Annex C – Group II (HBFCs): import and export banned fro m June 1995 for non-parties to the Copenhagen Amendment (1992).   
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- 120 - (iv) Annex C – Group I (HCFCs): import and export banned for no n-parties to the Beijing Amendm ent (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-partie s to the Beijing Amendment (1999) after 
February 2003. (vi) Annex E substances (Methyl bromide): im port and export banned from November 2000  for non-parties to the Montreal Amendment  
(1997).  
(b) Control of trade in products containing ODS with non-parties:  Import of products (listed in Annex D) containing Annex A sub stances 
banned from May 1992; (c) Exports of ODS-technologies: Parties are discouraged "to the fullest practicable extent", expo rt of technology for producin g ODS; however, 
there are exceptions for HCFCs and for eq uipment or technology to recycle ODS. 
Article 4A 
Control of trade with 
Parties "1. Where, after the phase-out date applicab le to it for a controlled substance, a Party is unable, despite having taken all pr acticable steps to 
comply with its obligation under the Protocol , to cease production of that substance 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 Article 11 of the Convention and the non-compl iance procedure 
developed under Article 8 of the Protocol".  
Article 4B 
Licensing "1. Each Party shall, by 1 January 2000 or within three months of  the date of entry into force of this Article for it, whicheve r is the later, 
establish and implement a system for licensing the import and export of new, used, recycled and reclaimed controlled substances  in Annexes 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 expo rt of controlled substances in  Annexes C and E, may delay tak ing those actions 
until 1 January 2005 and 1 January 2002, respectively. 3. Each Party shall, within three months of the date of introd ucing 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 Commit tee for consideration and appropri ate recommendations to the Par ties". 
  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 Montr eal 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 the 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. 
11.2.2  Montreal Protocol: Decision s of the Meetings of the Parties 
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 bromid e (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 produc ing or for utilising methyl bromide.  
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- 121 - - Each Party shall refrain from providing any assistance for the expo rt to non-parties of any equipm ent 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 informat ion and intensify joint efforts to improve means of identifying ODS and preventing i llegal trade in 
ODS. The decision also invites Parties to report to the Ozone Secretariat fully proved cases of illegal trade in ODS and the Se cretariat is 
requested to collect any information on illegal trade receiv ed from the Parties and to diss eminate it to all Parties. 
- Decision XIV/36  on the report on licensing system takes note of the status report for parties that have es tablished 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 the  Protocol’s trade 
provisions, the Secretariat should refer the matter  to the Parties before providing that advice".  
MoP XV 
Nairobi, 2003 Decision XV/20  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.  
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/mo p/18mop/ODS-Tracking-September-2006-1.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 par ticular 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  
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- 122 - 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 al l the remaining Parties to the Montreal Amendment that had not  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). 
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 Pro tocol, as well as to take 
into account recommendations contained in existing decisions of the Parties, notably decisions IX/8, XIV/7, XVII/12 and XVII/16 ". 
MoP XXIV 
Geneva, 2012 - Decision XXIV/2  on application to some parties of 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 had not yet ratified the Beijing Amendment to the Montreal Protoco l 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 informat ion to the Secretariat within a speficied deadline.   
11.3  Supportive Measures 
Montreal Protocol 
  Article 10 (as modified by the London Amendment) established a Multilateral Fund for incremental costs of ph asing out ODS by developing countries. As of May 2015, the 
Fund has disbursed US$3.185 billion through more than 7,350 projec ts and activities in 145 developing countries for the impleme ntation of projects including industrial 
conversion, technical assistance, training and capacity building. The Fund has th e obligation to meet all the agreed incrementa l costs of developing countries for implementing the 
control measures (ie. changing from ODS technologies to more oz one-friendly technologies and phasing out their consumption of O DS in accordance with the Protocol. The 
budget has been replenished in 1993, 1996, 1999  2002, 2005, 2008, 2011, 2014 and the allocations so far have been as follows ( Period Amount in US$ in Millions):  $240 
(1991- 1993); $455 (1994 - 1996);  $466 (1997 to 1999);  $440 (2000 to 2002);  $474 (2003-2005); $400.4 (2006-2008), $ US $400 (2009-2011), US $400 (2012-2014) and 
US $437 (2015-2017).   for more information on the Fund, see http://www.multilateralfund.org/  
 The Global Environmental Facility (GEF) also provides funds to co untries with economies in transition. There are a number of GE F-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 crit eria apply for the funding of ozone projec ts under the GEF as under the Multilateral Fund. 
 for more informatio n on the GEF, see https://www.thegef.org/gef/  
 Technology Transfer under Article 10A occurs under fair and most favourable conditions.  
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- 123 - 11.4  Non-Compliance Mechanism 
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 ar e to receive, consider and report on any 
submission made by one or more Parties and any information or ob servations forwarded by the Secr etariat 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 cas e, decide upon and call for steps to bring about full 
compliance with the Protocol, including measures to assist a Party's compliance and to furthe r the Protocol's objectives. 
 The Multilateral Fund, discussed above, supports developing  countries to implement the Protocol's control measures. 
11.5  Dispute Settlement Mechanism 
 Article 11 of the Vienna Convention for the Protection of the Ozone Layer applies to the Montreal Protocol and its amendments with regard to dispute settlement.  
Vienna Convention: Article 11 – Settlement of disputes 
"1. In the event of a dispute between 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 ag reement by negotiation, they may jointly se ek the good offices of, or request mediat ion by, a third party. 
3. When ratifying, accepting, ap proving 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 reso lved in accordance with paragraph 1 or pa ragraph 2 above, it accepts one or both o f the following 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 abov e, accepted the same or any procedure, the dispute shall be subm itted to conciliation in accordance with 
paragraph 5 below unless the parties otherwise agree. 5. A conciliation commission shall be created upon the request of one of the parties to the dispute. The commission shall be co mposed of an equal number of members 
appointed by each party concerned and a chairman chosen jointly by the members appointed by each  party. The commission shall re nder 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".  
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- 124 - 11.6  Provisions for Non-Parties 
Montreal Protocol  
  See Article 4 (in Section on Trade-related measures above). 
 According to Article 4:8, trade rest rictions do not apply if a non-party is in compliance with the Protocol. 
12  UNITED NATIONS FRAMEWORK CONVENTION ON CLIMATE CHANGE (UNFCCC) 
12.1  Brief Description of the MEA 
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 196 (as of 31 July 2015) 
WTO Members 158 Parties to UNFCCC are also WTO Members (see Annex). 
Openness of 
Membership Article 20 – Signature 
"This Convention shall be open for signature by States Members of the United Nations or of any of its specialized agencies or 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;   
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- 125 - (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 Sc ientific and Technological Advice 
"1. A subsidiary body for scientific and technological advice is hereby established to provide the [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 experti se. 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 government 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, paragrap h 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". 
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 adopted at an ordinary session of the [CoP]. The text of any proposed amendment to the  Convention 
shall be communicated to the Parties by the secretariat at least six months before the meeting at which it is proposed for adop tion. The secretariat shall 
also communicate proposed amendments to the signatories to  the Convention and, for info rmation, to the Depositary. 
3. The Parties shall make every effort to reach agreement on any proposed amendment to the Convention by consensus. If all effo rts at consensus have 
been exhausted, and no agreement reached, the amendment shall as a last resort be adopted by a three-fourths majority vote of t he Parties present and 
voting at the meeting. The adopted amendment shall be communica ted by the secretariat to the Depositary, who shall circulate it  to all Parties for their 
acceptance.  
4. Instruments of acceptance in respect of an amendment shall be  deposited with the Depositary. An amendment adopted in accorda nce with 
paragraph 3 above shall enter into force for those Parties having accepted it on the ninetieth day after the date of receipt by  the 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.  
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- 126 - 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 withdr awal 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 amen dment 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 session, 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 section on Kyoto Protocol. 
 Decision 1/CP 17 launched a process to "develop a protocol, an other legal instrument or an ag reed outcome with legal force und er 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.  
12.2  Trade-related Measures 
The UNFCCC does not have provisions that directly restrict trad e, but domestic actions of count ries implementing the UNFCCC cou ld 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 Principles. 
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 nation al policies and take corresp onding measures on the mitigation of climate change, by  limiting its 
anthropogenic emissions of greenhouse gases and protecting and enhancin g its greenhouse gas sinks and reservoirs. These policie s and 
measures will demonstrate that developed countries are taking the lead in modifying longer-term tr ends in anthro pogenic emissio ns 
consistent with the objective of the Convention, recognizing that the return by the end of the present decade to earlier levels  of anthropogenic 
emissions of carbon dioxide and other greenhouse gases not controll ed by the Montreal Protocol wo uld contribute to such modific ation, and 
taking into account the differences in these Parties' starting po ints and approaches, economic structures and resource bases, t he need to 
maintain strong and sustainable economic gr owth, available technologies and other indivi dual circumstances, as well as the need  for equitable 
and appropriate contributions by each of these Parties to the gl obal effort regarding that obje ctive. These Parties may impleme nt such policies 
and measures jointly with other Parties and may assist other Parties in contributing to the achievement of the objective of the  Convention 
and, in particular, that of this subparagraph".  
 Sets up the requirement for developed country  Parties to adopt national policies and corresponding me asures to mitigate climate  change.  
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- 127 - 12.3  Supportive measures 
Article 4 – Commitments 
"... 3.  The developed country Parties and other developed Partie s included in Annex II shall provide new and additional financ ial resources to meet the agreed full costs incurred 
by developing country Parties in complying with their obligations  under Article 12, paragraph 1. They shall also provide such f inancial resources, including for the transfer of 
technology, needed by the developing country Parties to meet th e agreed full incremental costs of implementing measures that ar e covered by paragraph 1 of  this Article and that 
are agreed between a developing country Party and the international entity or en tities referred to in Ar ticle 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 incl uded in Annex II shall also assi st the developing country Part ies that are particularly vulnerable to the 
adverse effects of climate change  in meeting costs of adaptati on to those adverse effects. 
5. The developed country Parties and other developed Parties included in Annex II shal l take all practicabl e 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 Partie s shall support the development an d enhancement of endogenous c apacities and technologies of developing 
country Parties. Other Parties and organization s in a position to do so may also assist  in facilitating the transfer of such te chnologies … 
7. The extent to which developing country Parties will effectively implement their commitments under the Convention will depend  on the effective implementation by 
developed country Parties of their commitment s under the Convention related to financia l resources and transfer of technology a nd will take fully into account that economic and 
social development and poverty eradicatio n are the first and overridi ng priorities of the deve loping 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 Conventi on, 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 Gr oup (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 CoP 16, the CoP affirmed that  capacity-building is essential to enable developing country Parties 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 es tablish the Cancun Adaptation Framework  and an 
Adaptation Committee  to promote the implementation of enhanced action on adaptation in a coherent manner under the Convention.  
Article 9 – Subsidiary Body for 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 USD 2 billion was  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 the Least De veloped Countries Fund  (LDCF). The SCCF will finance projects 
relating to adaptation; technology transfer and capacity buildi ng; energy, transport, industry, agriculture, forestry and waste  management; and economic diversification. The 
LDCF will support a work programme to assist LDCs to carry out, inter alia , the preparation and implementation of 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 re view of the capacity buildi ng 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 prog ress in a range of priority areas identified in the frameworks. However, the CoP noted that sign ificant gaps still needed to be filled and access 
to financial resources to be a ddressed. The CoP reiterated the relevance of th e frameworks contained in decisions 2/CP.7 and 3/ CP.7 and identified key factors to be taken into  
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- 128 - account by the GEF (as an operating entity of the financial mech anism) when supporting capacity building activities in developi ng countries, as defined in the Strategic Approach 
to Enhance Capacity Bu ilding (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 review that sho uld 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 partic ipating countries in the selection of the key sectors for climate change mitigation and adaptation measures (o n 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 awareness and facilitating 
informed consensus among go vernment agencies on the policy actions required to  mobilize finance and inve stment in mitigation an d adaptation measures. Eleven countries have 
availed of technical assistance from the secretariat to cond uct financial needs assessments as part of this project. 
 At CoP 16, the CoP took note of the collective commitment by developed countries to provide ne w and additional resources, incl uding forestry and investments through 
international institutions, approaching USD 30 billion for the pe riod 2010-2012, with a balanced allocation between adaptation and mitigation; funding fo r adaptation will be 
prioritized for the most vulnerable developing countries, such as the least developed countries, small island developing 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 operating entity of the financial mechanism of the Convention under Article 11 to suppor t projects, programmes, 
policies and other activities in  developing country Parties. The Fund, supported by an independent secret ariat, shall be govern ed by a board of 24 members comprising an equal 
number of members from developing and developed country Parties. The World Bank ha s been invited to serve as the interim truste e 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 wi th respect to the financial mechanism of the Convention in ter ms of improving coherence and 
coordination in the delivery of climate chan ge financing, rationalization of the financ ial mechanism, mobilization of financial  resources and measurement, reporting and 
verification of support provided to develo ping country Parties; Parties agreed to further define th e roles and functions of thi s Standing Committee (Decision 1/CP.16). By 
Decision 2/CP.17 (paragraphs 120-125), Parties further defined the ro les and functions of the Standing Committee, as well as it s composition and working modalities. Parties 
agreed the Committee will report and make recommendations to the CoP, for its consider ation, at each ordinary session of the CO P on all aspects of its work. 
 Technology development and transfer   CoP 16 established a Technology  Mechanism, consisting of a Technology Executive Committee  (TEC) and a Climate Technology Centre and Network  (CTCN). The TEC is the 
Technology Mechanism’s policy arm and it addresses policy issues  related to climate technology development and transfer. It ana
lyzes key climate technology policy issues and 
provides recommendations which support countr ies to enhance climate efforts. The CTCN is the implementation arm of the mechanis m and it supports countr y efforts to enhance 
the implementation of climate technology projects and programmes. It has three core services: (1) providing technical assistanc e to developing countries; (2) creating access to 
knowledge on climate technologies; and (3) fostering collaboratio n among climate technology stak eholders. CoP 18 elected UNEP, as the leader of the consortium of partner 
organizations, as the host of the Climate Technology Centre. CoP 18 also agreed on the constitution of the Advisory Board to th e CTCN, thereby making the Technology 
Mechanism fully operational. The modalities and procedures of th e CTCN and its Advisory Board were adopted at COP 19. CoP 20 no ted that through the work of the TEC and the 
CTCN in 2014 the Technology Mechanism is progressing in an effe ctive manner towards fulfilling its mandate as provided for in t he Cancun Agreements and the Durban 
Outcomes. 
12.4  Non-compliance mechanism 
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 th e 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  
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- 129 - UNFCCC. To date, the Pa rties have not established such a Committee or adopte d a multilateral consultati ve process. The proposed  MCC is to provide advice to Parties and to 
prevent disputes. The nature of the MCC is to be facilitative, non-judicial, transparent and co-operative. The outcome of the M CC may include recommendations and any 
measures that the MCC deems suitable for the effective implementation of the Convention. 
 
Reporting 
An overview of the reporting requirements and the related review/analyses processes is  available on the UNFCCC website. These r equirements are different for Annex I Parties 
<http://unfccc.int/national_reports/reporting _and_review_for_annex_i_parties/items/5689.php > and non-Annex I Parties < http://unfccc.int/national_reports/non-
annex_i_natcom/items/2716.php >.  
12.5  Dispute Settlement Mechanism 
Article 14 – Settlement of Disputes 
"1. In the event of a dispute between any two or more Parties co ncerning the interpretation or application of the Convention, t he Parties concerned shall seek a settlement of 
the dispute through negotiation or any other peaceful means of their own choice. 2. When ratifying, accepting, approving or  acceding to the Convention, or at any ti me thereafter, a Party which is not a region al economic integration organization may 
declare in a written instrument submitted to the Depositary that, in respect of any dispute concerning the interpretation or ap plication of the Convention, it recognizes as 
compulsory ipso facto and without special agreement, in relation to any Party accepting the same obligation: 
(a) Submission of the dispute to the [ICJ], and/or (b) Arbitration in accordance with procedures  to be adopted by the [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 pr ocedures referred to in 
subparagraph (b) above. [...] 5. Subject to the operation of paragraph 2 above, if after twelve  months following notification by one Party to another that a dispute exists between them, the Parties 
concerned have not been able to settle their dispute through th e means mentioned in paragraph 1 above, the dispute shall be sub mitted, at the request of any of the parties to 
the dispute, to conciliation. 6. A conciliation commission shall be created upon the request of one of the parties to the dispute. The commission shall be co mposed of an equal number of members 
appointed by each party concerned and a chairman chosen jointly by the members appointed by each  party. The commission shall re nder 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 pr ovides otherwise".  
12.6  Provisions for non-parties 
No provisions 
13  KYOTO PROTOCOL TO THE UNITED NATIONS FRAMEWORK CONVENTION ON CLIMATE CHANGE  
13.1  Brief Description of the MEA 
Web site http://unfccc.int/  
Objective  The Kyoto Protocol supplements and strengthens the United Nations Framework Convention on Climate Change (UNFCCC). 
Date of Signature 11 December 1997 
Entry into force 16 February 2005 
Parties 192 (as of 31 July 2015)    
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- 130 - WTO Members 156 Parties to Kyoto Protocol are also WTO Members (see Annex). 
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 serv e 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 develo pment and periodic refinement of comparab le methodologies for the effective implemen tation of this 
Protocol, to be agreed on by the [CMP] to this Protocol;  (f) Make recommendations on any matters necess ary for the implementation of this Protocol; 
(g) Seek to mobilize additional financial resour ces in accordance with Article 11, paragraph 2; 
(h) Establish such subsidia ry bodies as are deemed necessary for the 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.  
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 before 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 effor ts at consensus 
have been exhausted, and no agreement reached, the amendment shal l as a last resort be adopted by a three-fourths majority vote  of the Parties 
present and voting at the meeting. The adopted amendment shall be communicated by the secretariat to the Depositary, who shall circulate it to all 
Parties for their acceptance.    
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- 131 - 4. Instruments of acceptance in respect of an amendment shall be  deposited with the Depositary. An amendment adopted in accorda nce with 
paragraph 3 above shall enter into force for those Parties having accepted it on the ninetieth day after the date of receipt by  the 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 re ach 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 anne x or amendment to an annex shall as a last resort be adopted b y a three-fourths 
majority vote of the Parties present and voting at the meeting. The adopted annex or amendment to an annex shall be communicate d by the secretariat 
to the Depositary, who shall circulate it  to all Parties fo r their acceptance. 
5. An annex, or amendment to an annex other than Annex A or B, that has been adopted in accordan ce 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 Protoco l to provide for a 
second commitment period from 2013 to 2020. In order for the Amendment to enter into force, 144 Parties to the Kyoto Protocol n eed to deposit their 
instruments of ratification. As of 31 July 2015, 32 Parties have deposited their instruments. 
13.2  Trade-related Measures 
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 agreem ents; promotion of sustainable forest management practices, 
afforestation and reforestation;  (iii) Promotion of sustainable forms of agriculture in light of climate change considerations;  (iv) Research on, and promotion, development and increased us e of, new and renewable forms of energy, of carbon dioxide 
sequestration technologies and of advanced and innovative environmentally sound technologies;  
(v) Progressive reduction or phasing out of market imperfections, fiscal incentives, tax and duty exemptions and subsidies in a ll  
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- 132 - greenhouse gas emitting sectors that run counter to the objectiv e of the Convention and application 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 controlle d 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 meth ane emissions through recovery and use in waste management, as well as in the product ion, 
transport and distribution of energy.  
(b) Cooperate with other such Parties to enhance the individual and combined effectiveness of their policies and measures adopt ed under this 
Article, pursuant to Article 4, paragraph 2( e)(i), of the 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 sh all, at its first session or as soon as practicable thereafter, consider ways to fa cilitate such 
cooperation, taking into acco unt all relevant information. 
2. The Parties included in Annex I shall pursue limitation or re duction of emissions of greenhouse gases not controlled by the Montreal Protocol 
from aviation and marine bunker fuels, working through the International Civil Aviation Organization and the International Mari time Organization, 
respectively. 3. The Parties included in Annex I shall strive to implement policies and measures under this Article in such a way as to minim ize adverse 
effects, including the adverse effects of climate change, 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 appr opriate, to promote the impleme ntation of the 
provisions of this paragraph. 4. The [CMP] to this Protocol, if it decides that it would be beneficial to coordinate any of the policies and measures in para graph 1(a) above, 
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 Kyot o 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 achiev e 
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 contained in the annex to decision 31 /CMP.1 of the CMP 
of Kyoto Protocol.  Modalities, rules and guidelines  for emissions trading under Article 17 of the Ky oto Protocol are contained in the annex to de cision 11/CMP.1 of 
the CMP of the Kyoto Protocol. 
13.3  Supportive measures 
Article 11 "... 2.  In the context of the implementation of Article 4, para graph 1, of the Convention, in ac cordance with the provisions o f 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  
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- 133 - 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 Pa rties and other developed Pa rties in Annex II to the Convention 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." 
13.4  Non-compliance mechanism 
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 consultat ive process that may be applied 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 bet ween 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)). 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/kyoto_protocol/compliance/items/2875.php . 
13.5  Dispute Settlement Mechanism 
Article 19 
"The provisions of Article 14 of the Conventi on on settlement of disputes shall apply mutatis mutandis  to this Protocol". 
13.6  Provisions for non-parties 
No provisions  
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- 134 - 14  BASEL CONVENTION ON THE CONTROL OF TRANSBOUNDARY MOVEMENTS OF HAZARDOUS WASTES AND THEIR DISPOSAL 
14.1  Brief Description of the MEA 
 Basel Convention on the Control of Transboundary Movements  
of Hazardous Wastes and their Disposal Basel Protocol on Liability and Compensation for Damage 
Resulting from Transboundary Movements of Hazardous Wastes 
and their Disposal 
Web site http://www.basel.int/  
http://synergies.pops.int/  
Objective  The objective of the Basel Convention is to protect human health and the 
environment against the adverse effects which may result from the generation 
and management of hazar dous and other wastes. 
 The specific objectives of the Basel Convention are: 
 to minimize the generation of  hazardous and other wastes; 
 to promote the environmentally so und management of hazardous and 
other wastes; and  
 to reduce transboundary movement s of hazardous and other wastes. 
 The Convention provides for the attainment of these objectives through 
control of the transboundary moveme nts of hazardous and other wastes, 
monitoring and prevention of illegal traffic, requirements with regards to the environmentally sound management of hazardous and other wastes, promotion 
of cooperation between Parties, and development of technical guidelines for the management of hazardous and other wastes.  The objective of the Protocol is to provide for a comprehensive 
regime for liability as well as adequate and prompt compensation for damage resulting from the transboundary movement of hazardous wastes 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 ratificati on, acceptance, formal co nfirmation, approval or 
accession. 
Parties 183 (as of 31 July 2015).  11 (as of 31 July 2015).  
WTO Members 149 Parties to Basel Convention are also WTO Members (see Annex) . 8 Parties to Basel Protocol are also WTO Members (see Annex).  
Openness of 
Membership Article 21  – Signature  
"This Convention shall be open for signature by States ... and by political and/or economic integration organizations ...". Article 22 – Ratification, Acceptance, Formal Confirmation or Approval  "1. This Convention shall be subject to ratification, acceptance or approval by States ... and to formal confirmati on or approval by political and/or 
economic integration organizations. Instruments 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 whos e member States is a Party to the 
Convention, the organization and its member States shall decide on their 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 Approval  "1. The Protocol shall be subject to ratification, acceptance or approval by States and to formal co nfirmation or approval by regional 
economic integration organization s. Instruments of ratification, 
acceptance, formal confirmation, or a pproval shall be deposited with the 
Depositary. 2. Any organization referred to in paragraph 1 of this Article which 
becomes a Contracting Party without any of its member States being a 
Contracting Party shall be bound by all the obligations under the  
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- 135 -  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 
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 organizations from the day after the date on which the Convention is closed for signature …". Protocol. In the case of such orga nizations, one or more of whose 
member States is a Contracting Part y, the organization and its member 
States shall decide on their resp ective 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 rights under the Protoc ol concurrently ...". 
Article 28 – Accession  
1. The Protocol shall be open fo r accession by any States and by 
any regional economic integratio n organization Party to the Basel 
Convention which has not signed the Protocol. The instruments of accession shall be deposited with the Depositary ...".
Decision-Making 
Bodies Article 15 – Conference of the Parties  
"... 5. The Conference of the Parties (CoP) shall keep under continuous review and evaluation the effective implementation of this Convention, and, in addition, shall: 
(a) Promote the harmonization of appropriate policies, strategies and measures for minimizing harm to hu man health and the environment by 
hazardous wastes and other wastes; (b) Consider and adopt, as required, amendments to this Convention and 
its annexes, taking into consideration, inter alia , available scientific, 
technical, economic and environmental information; (c) Consider and undertake any additional action th at 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 subsidiary bodies  as are deemed necessary for the 
implementation of this Convention ...  
7. The CoP shall undertake three years after the entry into force of this Convention, and at least every six years thereafter, an evaluation of its effectiveness and, if deemed necessary, to consider the adoption of a complete 
or partial ban of transboundary move ments of hazardous wastes and other 
wastes in light of the latest scientific, environmental, technical and economic information".  
 The CoP is the governing body of the Convention and is composed of the 
representatives of the Parties.  The Expanded Bureau is a 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 Article 24 – Meeting of the Parties 
"4. The functions of the Meeting of the Parties (MoP) shall be: 
(a) To review the implementation of and compliance with the Protocol; (b) To provide for reporting and establish guidelines and procedures for such repo rting where necessary; 
(c) To consider and adopt, wh ere 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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- 136 -  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 
mandate is to assist the CoP in the implementation of the Convention and 
consider and advise the CoP on issues relating to policy, technical, scientific, legal, institutional, administrative, financial, budgetary and other aspects of the implementation of the Convention.  The Committee for Administrating  the Mechanism for Promoting 
Implementation and Compliance (als o referred to as "the Compliance 
Committee") is a subsidiary body to th e CoP and its mandate is to administer 
the said mechanism established to assist Parties to comply with their obligations under the Convention and to facilitate, promote, monitor and aim to secure the implementation of, and compliance with, the obligations under the Convention.  
Amendments and 
Protocols Article 12 – Consultations on Liability 
"The Parties shall co-operate with a view to adopting, as soon as practicable, a 
protocol setting out appropriate rules and procedures in the field of liability and 
compensation for damage 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 the Parties by the Secretariat at least six months before the meeting at which it is proposed for adoption.  The Secretariat shall also communicate proposed amendments to the Signatories to this Convention for 
information. 
3. The Parties shall make every effort  to reach agreement on any proposed 
amendment to this Convention by consen sus. If all efforts at consensus have 
been exhausted, and no agreement reached, the amendment shall as a last resort be adopted by a three-fourths majority of the Parties present and voting at the meeting, and shall be submitted by the Depositary to all Parties for ratification, approval, formal confirmation or acceptance. 4. The procedure mentioned in paragraph 3 above shall apply to amendments to any protocol, except that a two-thirds majority of the Parties to that protocol present and voting at the meeting shall suffice for their adoption. 5.   ... Amendments adopted in accordance with paragraphs 3 or 4 above shall enter into force between Parties having accepted them on the ninetieth 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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- 137 -  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 
day after the receipt by the Depositary of their instrument of ratification, 
approval, formal confirmation or accept ance by at least three-fourths of the 
Parties who accepted them or by at least two-thirds of the Parties to the protocol concerned who accepted them, except as may otherwise be provided 
in such protocol. The amendments shall enter into force for any other Party on 
the ninetieth day after that Party deposits its instrument of ratification, approval, formal confirmation or  acceptance of the amendments. 
6. For the purpose of this Article, "Parties present and voting" means Parties present and casting an a ffirmative or negative vote".  
 The Ban Amendment was adopted on 22 September 1995. 82 Parties (81 
States and one regional economic in tegration org.) 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, Liechtenstei n") to all other countrie s, 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 an d establish the rela tionship 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 causing them to exhibit an Annex III characteristic. 
 Amendment to Annex VIII and IX: at its sixth meeting, the COP adopted 
an amendment to Annex VIII and IX in order to harmonize the annexes with other 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.  
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- 138 - 14.2  Trade-related Measures 
14.2.1  Provisions of the Convention 
Article 1 
Scope of the Convention "1. The following wastes that are subject to  transboundary movement shall be "hazardous  wastes" for the purposes of this Conven tion: 
(a) Wastes that belong to any category co ntained in Annex I, unless they do not possess any of the characteristics contained in  Annex III; and 
(b) Wastes that are not covered under paragr aph (a) but are defined as, or  are considered to be, hazar dous wastes by the domest ic 
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, cons idered or defined as hazardous under its na tional legislation an d of any requirement s concerning 
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 ri ght to prohibit the import of hazardous wastes or other wastes for disp osal 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 hazardous wastes and other wastes within it is redu ced to a minimum, taking into account soci al, 
technological and economic aspects; 
(b) Ensure the availability of adequate di sposal facilities, for the environmentally so und management of hazardous wastes and o ther 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 wast es and other wastes is reduced to the minimum consistent with th e 
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 
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.  
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- 139 - 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 enviro nmentally sound management of wastes subject to this Conventio n shall be decided 
by the Parties at th eir 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 Convention 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 sove reignty of States over their territorial sea established in acco rdance with 
international law, and the sovereign rights and the jurisdiction which States have in their exclusive economic zones and their continental 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 to  receive the 
notification in case of a State of transit …".  
Article 6 
Transboundary 
Movement between 
Parties  Article 6 provides for the prior informed consent procedure or "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 concerned of any proposed  transboundary movement of haz ardous wastes 
or other wastes. Such notification shall contain the declarations and information specified in Annex V A, written in a language  acceptable to the 
State of import. Only one no tification 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 additi onal information. A copy of the final response of the State of import shall be sent to the co mpetent authorities 
of the States concerned which are Parties. 3. The State of export shall not allow the generator or exporter to commence the transboundary movement until it has received 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 subseq uently 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  
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- 140 - additional information. The State of export  shall not allow the transbo undary movement to commence until it has received the wr itten consent of 
the State of transit.  However, if at any time a Party decides not to require 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 latt er case, if no response is rece ived by the State of export wi thin 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 use of the general notification referred to in paragraph 6 subjec t to the supply 
of certain information, such as the exact quantities or periodic al lists of hazardous wastes or  other wastes to be shipped. 
8. The general notification and written consent referred to in paragraphs 6 and 7 may cover mult iple 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 b oth 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 informatio n is received within the State of export, the competent authori ty 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 other wastes shall be covered by  insurance, 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 en d, 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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- 141 - 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 all States concerned; or 
(b) without the consent pursuant to the provisions of this Convention of a State concerned; or (c) with consent obtained from States concerned 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 State 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 concerned shall co-operate, as necessary,  in the disposal of 
the wastes in an environmentally sound manner. 4. In cases where the responsibility for the illegal traffic cannot be assigned either to the expo rter 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 national/domestic legi slation to prevent and punish illegal traffic. The Parties shal l co-operate with a 
view to achieving the objects of this Article". 
Article 10 
International 
cooperation 1. The Parties shall co-operate with each other in order to improve and achieve enviro nmentally 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 shall 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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- 142 - 14.2.2  Decisions of the Conference of Parties 
The following are examples of trade-related decisions ad opted at meetings of the CoP of the Basel Convention: 
CoP-2 
Geneva, 1994  At CoP-2, parties agreed to a ban on the export of hazardous wastes from OECD to non-OECD countries intended for final disposa l, recovery, and 
recycling (Decision II/12). Because the decision was not incorporat ed in the text of the Convention itself, the question as to whether it was legally 
binding or not arose.  
CoP -3 
Geneva, 1995  At CoP-3, it was proposed that the Ban be  formally incorporated in th e Basel Convention as an am endment (Decision III/1). If a nd when the ban 
comes into force (The Ban Amendment has 82 Parties as of 31 July 2015), the amendment would insert in the Convention a new Arti cle 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 wishing to join Annex V II. These countries are Monaco, Slovenia an d 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. Non -hazardous 
material is listed in Annex IX (list B) wastes. Many of the recyclable materials such as copper, zinc (and their products) and other precious metals 
are in Annex IX and are not considered haza rdous unless they have been contaminated. Fu rther clarification is needed for some w astes, 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 ou tlines the activities to be 
undertaken to achieve the objectives of the practical implementa tion of environmentally sound management: prevention, minimizat ion, 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 th e trade provisions of the Convention, it will refer such reques ts to the [CoP]."  
CoP -7 
Geneva, 2004  The CoP-7 adopted a ministerial statement on  partnerships for meeting the global wast e challenge which sets out strategies for  mobilizing 
additional resources to address hazardous wastes. The statement calls for strengthening partnershi ps 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 .  I t  a l s o  e n c o u r a g e s  g o v e r n m e n t s  t o  c o n s i d e r  s e t t i n g  t h e i r  o w n  i n d i v i d u a l  o r  r e g i o n a l targets for 
minimizing wastes. Decisions VII/2 on Hazardous Waste Minimizati on, VII/3 Basel Convention Partnership Programme and VII/4 Mobi le 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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- 143 - 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 reques ting the Secretariat to further strengthen cooperation and coordi nation 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 Wast e Management for Human Health and Livelih ood was adopted. 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 cooperation 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 ta ke 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.  
Ex CoP -1 
Bali, 2010 The simultaneous extraordinary meetings  of the Conferences of the Parties11 to the Basel, Rotterdam and Stockholm conventions resulted in the 
adoption of an omnibus decision (BC Ex-1/1)12, 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. 
                                               
11 http://excops.unep.ch/   
12 http://archive.basel.int/syner gies/documents/Attachment%2018.pdf   
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- 144 - 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 oordination requested the Secret ariat to further strengthen co operation 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. 
Ex CoP -2 / CoP-11 / 
High Level Segment, 
Geneva, 2013     ExCoP-2: The Conferences of the Parties to the Basel, Rotterdam and Stockholm Conventions, at their second simultaneous 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 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 signalled readiness to coo perate and 
coordinate with the Minamata Convention  on Mercury .  
CoP -12 
Geneva, 2015 
 The Conference of the Parties to the Basel Convention, at its twelfth meeting, adopted 25 decisions, in particular on: e-waste technical guidelines, 
of seven POPs wastes technical guidelines, and of updated technical guidelines on me rcury wastes, the follow-up to the Indonesi an-Swiss country-
led initiative, national reportin g, Partnership for Action on Co mputing Equipment, among others. 
14.3  Supportive measures 
 UNEP administers two trust funds for the Basel Convention: 
1. A Trust Fund to meet the operational costs of the Convention  (mainly costs of meetings of the Parties and for the Secretaria t) where contributions by Parties are based on 
the UN scale of assessment and; 2. A Technical Cooperation Trust Fund to as sist developing countries and other countries in need of assistance to implement the  Convention. Funds received are from voluntary 
contributions  and may be earmarked by donors for spec ific 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 dono rs, recipients and implementing agencies. With the adoption of the Basel Declaration  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 Stra tegic Plan the Parties approved US$1,200,000 for 21 projects bei ng 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  
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- 145 - 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 CoP-7, Parties adopted a Ministerial St atement on Partnership for meeting the Global Waste Challenge that provides fundamen tal 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 the 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 sour ces of funding. CoP-8 also called upon Parties, use and suppo rt the Basel Convention re gional and coordinating 
centres in the implementation of activities aimed at supporting implementation of the Convention. A decision on resource mobili zation also called for incr eased efforts to identify 
sources of funding to support implementation of the Convention, including through the Global Environmental Facility and other m ultilateral sources of funding.  Several decisions 
adopted by CoP-8 highlighted the importance  of cooperation and coordination between the Basel Convention, the Stockholm Convent ion and the Rotterdam Convention, in the 
conduct of relevant activities.  At CoP-9, the Parties decided to enlarge the Technical Cooperatio n 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: 
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 buil ding and technical assi stance 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 re sources for chemicals and wastes. 
 At CoP-12, in the context of enhancing synergies between the Ba sel, Rotterdam and Stockholm Conventions, the Parties examined and adopted an integrated programme for 
technical assistance and capacity building for the next biennium. 
14.4  Non-compliance mechanism 
 At CoP-6, Parties adopted a decision on the compliance mechanism which sets out a Mechanism for Promoting Implementation and C ompliance. The Mechanism is a 
non-confrontational, flexible and non-binding tool that aims at preventing and solving problems.  It will be  administered by a Committee composed of 15 members reflecting an 
equitable geographic representation of the five UN regional gr oups. Submissions to the Committee may be made by: a Party regard ing itself; one Party regarding another Party;  
or the Secretariat. Submissions regarding co mpliance are forwarded to the Party in qu estion, who may respond or provide comment s. The Committee may provide advice to the 
Party to facilitate compliance, such as: advice on regulatory regimes; assistance, including financial and technical support; e laboration of voluntary compliance action plans;  
and/or follow-up arrangements. Th e Committee may also review general issues of compliance and implementation of the Convention,  and may recommend that the COP take 
additional measures regarding specific cases.  At CoP-7, Parties approved the Committee’s first work progra mme, 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, fo r 2009-2011, which instructed to the Committee to address existin g shortcomings and limitations in relation to 
the lack of specific submissions to the Committee, with a view to developing recommendations for the consideration of CoP-10 th e Conference of the Parties at its tenth meeting  
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- 146 - on appropriate actions to addres s those shortcomings and limitations. The Committee was also instructed to undertake several ac tivities with the goal of improving national 
reporting as well as the implementation of and compliance with specific obligations under articles 3 (national definition of ha zardous wastes) 4, (g eneral obligations), 
5 (designation of Competent Authorities an d Focal Point) and 6 (transboundary movement s between Parties). Since CoP-9, the Comm ittee has elaborated a directory of 
institutions providing training on preventing and combating illegal traffic and a Guidance Manual on improving national reporti ng. 
 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. 
 At CoP-12, Parties approved the Committee’s work programme for 2016-2017.  
14.5  Dispute Settlement Mechanism 
Article 20 – Settlement of Disputes  
"1. In case of a dispute between Parties as to the interpretation  or application of, or complianc e with, this Convention or any  protocol thereto, they shall seek a settlement of 
the dispute through negotiation or any other peaceful means of their own choice. 2. If the Parties concerned cannot settle their dispute through the means mentioned in the preced ing paragraph, the dispute, if  the Parties to the dispute agree, shall be 
submitted to the [ICJ] or to arbitration under the conditions set out in Annex VI on Arbitration. However, failure to reach com mon agreement on submission of the dispute to the 
ICJ or to arbitration shall not absolve the Parties from the responsibility of continuing to seek to resolve it by the means re ferred to in paragraph 1. 
3 .  W h e n  r a t i f y i n g ,  a c c e p t i n g ,  a p p r o v i n g ,  f o r m a l l y  c o n f i r m i n g  o r  a c c e d i n g  t o  t h i s  C o n v e n t i o n ,  o r  a t  a n y  t i m e  t h e r e a f t e r ,  a  S t a t e  or political and/or economic integration 
organization may declare that it recognizes as compulsory ipso facto and without special agreemen t, in relation to any Party ac cepting 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 appr opriate measures to establish the facts of the dispute and shall  render a decision within a specified time limit. The 
award of the arbitral tribunal shall be accompanied by a statemen t of reasons and be final and binding on the Parties to the di spute.  
14.6  Provisions for non-parties 
Article 4 – General Obligations 
"... 5. A Party shall not permit hazardous wastes or  other wastes to be exported to a no n-Party or to be imported from a non-Pa rty". 
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 wa stes as required by this Convention. Thes e agreements or arrang ements shall stipulat e 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, multila teral or regional agreements or  arrangements referred to in pa ragraph 1 and those which they have entered into 
prior to the entry into force of this Convention for them, for the purpose of controlling transboundary movements of hazardous wastes and other wastes wh ich take place entirely 
among the Parties to such agreements. The provisions of this Co nvention shall not affect transboundary movements which take pla ce 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.  
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- 147 - 15  ROTTERDAM CONVENTION ON THE PRIOR INFORMED CONSENT PROCEDURE FOR CERTAIN HAZARDOUS CHEMICALS AND PESTICIDES IN 
INTERNATIONAL TRADE 
15.1  Brief Description of the MEA 
Website http://www.pic.int/  
http://synergies.pops.int/  
Objective Article 1 – Objective 
"The objective of the Rotterdam Convention is to promote shared responsibility and cooperative 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 (as of 31 July 2015).  
WTO Members 136 Parties to the Rotterdam Convention are also WTO Members (see Annex). 
Openness of 
Membership Article 24 – Signature 
"This Convention shall be open for signature ... by all States and regional economic integratio n organizations [from 11-12 Sept ember 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 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 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] sha ll 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 re quirements of paragraph 6 below, such subsidiary  bodies, as it consider s 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 Comm ittee shall be appointed by the [CoP]. Memb ership of the Committee shall consist of a limited 
number of government-designated experts in chemicals management. The members of the Committee shal l be appointed on the basis o f equitable 
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 recommendations by consensus. If  all efforts at consen sus 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".  
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- 148 - 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 amen dment shall be commun icated to the 
Parties by the Secretariat at least six months before the meetin g at which it is proposed for adoption. The Secretariat shall a lso 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 eff orts 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 approval of an amendment shall be notified to the Depositary in writing. An amendment adopted in  accordance with 
paragraph 3 shall enter into force for the 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, sixth and seventh meetings, the CoP further amended Annex III to add new chemicals subject to the prior informed consent 
procedure 
15.2  Trade-related Measures 
15.2.1  Provisions of the Convention 
Preamble "The Parties to this Convention, 
Aware of the harmful impact on human health and the 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 developme nt, 
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 chemical s and pesticides in international trade ...". 
Articles 5, 6, 7 and 9 
  Set out the procedures for i) inclusion of relevant chemicals to  list in Annex III that are subject to the Prior Informed Cons ent, and ii) removal of 
chemicals from Annex III. 
Article 5 
Procedures for Banned 
or Severely Restricted 
Chemicals "1. Each Party that has adopted a final regulatory action shall notify the Secretariat in writing of such action. Such notifica tion shall be made as 
soon as possible, and in any event no later than ninety days after the date on which the final regulatory action has taken effe ct, and shall contain 
the information required by Annex I, where available. 2. Each Party shall, at the date of entry into force of this Convention for it, notify the Secretariat in writing of its final regulatory actions in 
effect at that time, except that each Party that has submitte d notifications of final regulatory actions under the Amended Lond on Guidelines or the 
International Code of Conduct need not resubmit those notifications. 3. The Secretariat shall, as soon as possi ble, and in any event no later than six mo nths 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 requ ired, the Secretariat 
shall forthwith forward to all Parties a summary of the informat ion received. If the notification  does not contain the informat ion required, it shall 
inform the notifying Party accordingly. 4. The Secretariat shall every six months co mmunicate to the Parties a synopsis of the information received pursuant to paragra phs 1 and 2, 
including information regarding those notifications which do not contain all the information required by Annex I.  
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- 149 - 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 deve loping a proposal, the Party may draw upon  technical expertise from any relevant sou rce. 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 the proposal contains the information required , the Secretariat 
shall forthwith forward to all Parties a summary of the informat ion 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 partic ular 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 prov ided in the proposal and the ad ditional 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 Review Committee has decided to recommend for listing in Annex III, it shall prepare a draft decision 
guidance document.  The decision guidance document should, at a minimum, be based on the 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 paragraph 1 together with th e draft decision guidance docume nt 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 that  Annex have been fulfilled". 
 
Article 9 
Removal of Chemicals 
from Annex III "1. If a Party submits to the Secretariat information that was not available at the time of the decision to list a chemical in 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 info rmation to the Chemical Review Committee. 
2. The Chemical Review Committee shall review the information it receives under paragraph 1. For each chemical that the Chemica l Review 
Committee decides, in accordance with the relevant criteria in  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 revised draft decision g uidance 
document. The [CoP] shall decide whether the chemical should be  removed from Annex III and whether to approve the revised draft  decision 
guidance document. 4. When a decision to remove a chemical from Annex III has been taken and the revised decision guidance document has been appro ved by 
the [CoP], the Secretariat shall forthwith communicate this information to all Parties". 
 Sets out the procedure for removing a chemical from the list contained in Annex III. 
Articles 10, 11, 12, 13 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.  
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- 150 - 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 Secretar iat, as soon as possible, and in any even t no later than nine months after the date  of dispatch of the 
decision guidance docu ment referred to in paragraph 3 of Article 7, a respon se concerning the future im port 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 provid e a response, the Secretariat shall, where appropriate, help it  to provide a response 
within the time period specified in the la st 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 force 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 su ch responses under the Amended London Guidelines or the Internat ional 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 addit ion, inform the 
Parties of any cases of failure to transmit a response". 
Article 11 
Obligations in Relation 
to Exports of Chemicals 
Listed in Annex III "1. Each exporting Party shall: 
(a) Implement appropriate 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  
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- 151 - no regulatory action to prohib it 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 shall promptly notify the Secretariat of its d ecision. 
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 se verely restricted by a Part y 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 provid ed for that chemical prior to the first ex port following adoption of the correspondin g final regulatory 
action. Thereafter, the export notification shall be provided before the first export in any calendar year. The requirement to notify 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 adopted a final regulatory action that results in a major change 
concerning the ban or severe restriction of that chemical. 4. The importing Party shall acknowledge receipt of the first export notification received after the adoption of the final regu latory action. If the 
exporting Party does not receive the acknowledgement within thirty  days of the dispatch of the export notification, it shall su bmit a second 
notification.  The exporting Party shall make  reasonable efforts to ensure that the 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 assign specific Harmonized System customs codes to the individual  chemicals 
or groups of chemicals listed in Annex III,  as appropriate. Each Party shall require that, whenever a code has been assigned to  such a chemical, the 
shipping document for that 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 purpos es, each exporting Party  shall require 
that a safety data sheet that follows an internationally recogn ized format, setting out the most up-to-date information availab le, is sent to each 
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 strength en its national infrastructures and instit utions 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 interpreted as restricting the right of the Parties 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 prov isions of this 
Convention and is in accordan ce with international law".  
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- 152 - 15.2.2  Main COP Decisions on the linkage between the Secretariat of the Rotterdam Convention and the WTO 
Decision RC-1/15 
Cooperation with the 
WTO 
(2004) "The Conference of the Parties ... 
1. Welcomes  the enhanced cooperation between the secretariat of  the Convention and the World Trade Organization;  
2. Requests the secretariat: 
(a) To seek observer status in the CTE in  Special Session of the WTO and inform Parties when the request has been submitted and  when it 
has been granted; (b) To report to the 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 follow up the request fo r observer status in the World Trade Organization’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". 
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 pr ogrammes of work and budgets f or 
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 th e co-facilitators of the informal consultations on  a ministerial declaration. The Geneva Stateme nt welcomed the 
UNEP-led consultative process on financing options for chemicals and wastes that has considered the need for heightened efforts  to increase the 
priority granted to the sound management of  chemicals and wastes. It also welcomed the completion of the negotiation of a globa l legally binding 
instrument on mercury, ca lled for wider cooperation and expres sed their interest and signalled readiness to cooperate and coord inate with the 
Minamata Convention on Mercury. In that respect, the Conference  of the Plenipotentiaries of the Minamata Convention, was invite d to consider 
cooperation and coordination with the BRS Conventions.  
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- 153 - COP-7 
(2015) In the context of enhancing synergies between the Basel, Rotterda m and Stockholm Conventions, Part ies took note of the integrat ed report, 
common to the three Conventions, presented by the Secretariat on its international cooperation and coordination activities, in which the specific 
cooperation with the WTO was included and addressed. On this oc casion, Parties emphasized the importance of enhancing cooperati on and 
coordination with other international bodies , in particular within the chemicals and wa stes cluster, for th e fulfilment of the objectives of the 
Conventions. Therefore, Parties requested th e Secretariat to continue such cooperative and coordinated activities with other in ternational bodies, 
including with the WTO, in areas of relevance to them such as th ose listed in the aforementioned report; report on them will oc cur again at the next 
meeting of the Conferences of the Parties.  
15.3  Supportive measures 
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 rai sing; however, since 2004, the focus has been 
on providing training in the practical implementation of the Ro tterdam Convention. In addition, the Secretariat has organized t rainer workshops designed to familiarize selected 
regional experts with the detailed workings  of the Rotterdam Convention. These trained regional experts in turn participate in the Convention workshops as facilitators and 
presenters, and also work with de signated national authorities in individual countries within their region to address specific problems in the implementation of the Convention. The 
Secretariat has also developed a guide and case studies on the de velopment of national laws to implement the Convention, plans for the implementation of chemicals-related 
MEAs, and a resource kit to provide comprehensive information on the Convention to stakeholders as well as other tools and guid ance documents that are available to Parties 
through workshops - which have focused on mo re specific issues and programmes, such as synergies, customs, industrial chemicals , etc. - and also published on the Rotterdam 
Convention’s website.  In the final decision, at its third meeting in October 2006 (U NEP/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 the activities as contained in the programme for the regional and national delivery of technical assistance for 2009-2011 (Decision 
RC-4/9) "as available resources al low and in accordance with Decision RC-4/12 on  Financing and Budget for the Triennium 2009-20 11". 
 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 re sources for chemicals and wastes. 
At CoP-7, in the context of enhancing synergies between the Base l, Rotterdam and Stockholm Conventions, the Parties examined an d adopted an integrated programme for 
technical assistance and capacity building for the next biennium.  
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- 154 - 15.4  Non-compliance mechanism 
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 required under Article 17 since its first meeting in 2004. At its thi rd 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.
13 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 convened 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 the subsequent meetings of the CoP held in 2011, 2013 and 20 15, 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 2017.  
15.5  Dispute Settlement Mechanism 
Article 20 – Settlement of disputes 
"1. Parties shall settle any dispute between them concerning the interpretation or application of  this Convention through negot iation or other peaceful means of their own 
choice. 2. When ratifying, accepting, ap proving 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 dispute concerning the interpretation or applicat ion of the Convention, it recognizes one or both of 
the following means of dispute settlement as compulsory in relation to any Party accepting the same obligation: 
(a) Arbitration in accordance with proc edures 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 th e procedure referred to in 
paragraph 2 (a). 4. A declaration made pursuant to paragrap h 2 shall remain in force until it expires in accordance with its terms or until thre e months after written notice of its revocation has 
been deposited with the Depositary. 5. The expiry of a declaration, a notice of revocation or a new declaration shal l not in any way 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 concilia tion commission at the re quest of any party to the 
dispute. The conciliation commission shall render a report with re commendations.  Additional procedures relating to the concili ation commission shall be included in an annex 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 settle ment of disputes: 
 In cases of Arbitration under Article 20 para graphs 1-5, an Arbitration Tribunal shall be established, consisting of three memb ers, which renders a decision within five months 
                                               
13 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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- 155 - of being fully constituted. The decision is binding between the Parties to the dispute and Parties intervening under Article 10 , insofar as it relates to  matters in respect of 
which that Party intervened. The award shall be without appeal unless the Parties to the dispute have agreed in advance to an a ppellate procedure. 
 In cases of conciliation under Article 20 paragraph 6, a conciliat ion commission shall be establis hed composed of five members.  It shall take its decision by majority vote of 
its members and shall render a report for the reso lution within 12 months of being established. 
15.6  Provisions for non-parties 
Article 10 – Obligations in relation to imports of chemicals listed in Annex III 
"... 9. A Party that, pursuant to paragraphs 2 and 4 above and paragraph 2 of Article 11, takes a decision not to consent to im port 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 ...". 
16  STOCKHOLM CONVENTION ON PERSISTENT ORGANIC POLLUTANTS 
16.1  Brief Description of the MEA 
Web site http://www.pops.int/  
http://synergies.pops.int/  
Objective  "Mindful of the precautionary approach as set forth in Principle 15 of the Rio Declaration on Environment and Development, the objective of this 
Convention is to protect human health and the 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 (as of 31 July 2015).  
WTO Members 150 Parties to the Stockholm Convention are also WTO Members (see Annex). 
Openness of 
Membership Article 24 – Signature 
"This Convention shall be open for signatur e ... by all States and regi onal economic integration organizations [from 23-24 May 2001 until 
22 May 2002] ". 
Article 25 – Ratification, acceptance, approval or accession 
"1. This Convention shall be subject to ratification, acceptance or approval by States and by regional economic integration 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 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 exer cise rights under the Convention  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  
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- 156 - (c) Regularly review all information made available to the Partie s 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 function s assigned to that Committee by this Convention. In this regard: 
(a) The members of the Persistent Organic Pollutants Review Comm ittee shall be appointed by the [CoP]. Membership of the Commit tee shall 
consist of government-designated experts in chemical assessment or management. The members of the Committee shall be appointed on the 
basis of equitable geographical distribution; (b) The [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 recommenda tions by consensus. If all efforts at consensus have been exha usted, and no 
consensus reached, such recommendation shall as a last resort be  adopted by a two-thirds majority vote of the members present a nd voting. 
7. The [CoP] shall, at its third meeting, evaluate the continue d need for the procedure containe d 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 amen dment shall be commun icated to the 
Parties by the Secretariat at least six months before the meetin g at which it is proposed for adoption. The Secretariat shall a lso communicate proposed 
amendments to the signatories to this Conventi on and, for information, 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 eff orts at 
consensus have been exhausted, and no agreement reached, the amen dment shall as a last resort be adopted by a three-fourths maj ority 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 in  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 other  Party on the ninetieth 
day after the date on which that Party deposits its instrument  of ratification, acceptance or  approval of the amendment". 
  At its first meeting , in Decision SC-1/2 of 24 September 2004, the CoP adopted An nex G on arbitration and conciliation procedures for the 
settlement of disputes.  At is fourth, fifth, sixth and seve nth meetings, the CoP furt her amended Annexes A, B and C to add new PoPs. 
16.2  Trade-related Measures 
Preamble "The Parties to this Convention,  
(...)  … Recognizing that this Convention and other international agreements in the field of trade and the environment are mutually su pportive...". 
Article 3 
Measures to Reduce or 
Eliminate Releases from 
Intentional Production "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 chem icals listed in Annex A in accordance wi th the provisions of paragraph 2; and  
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- 157 - and Use (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 certifica tion shall 
specify the intended use of the chemical and include a statement that, with respect to that chemical, the importing State is co mmitted 
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 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 
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 A nnex A or a specific exemption or an acceptable purpose in accor dance with 
Annex B shall take appropriate measures to ensure that any 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 in tentional 
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 th e purpose of identifying the Parties that have specific exemptions listed in Annex A  or Annex B. It shall 
not identify Parties that make use of the provisions in Annex A or Annex B that may be exercised by all Parties. The Register s hall be maintained by 
the Secretariat and shall be available to the public.  2. The Register shall include:  
(a) A list of the types of specific 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 Part y, 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.   
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- 158 - 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 registration shall be carried out on the 
basis of all available information. Thereupon, the [COP] may make  such recommendations to the Party concerned as it deems appro priate.  
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 account of the special circumstances of the developing country Parties and Parties with 
economies in transition. 8. A Party may, at any time, withdraw an entry from the Register for a specific exemption upon written notification to the Secr etariat. The 
withdrawal shall take effect on the date specified in the notification.  9. When there are no longer any Parties registered for a particul ar type of specific exemption, no new registrations may be mad e with respect 
to it".  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 Parties within two years of the date on which this Convention ent ers into force 
for it; and (c) Review and update, as appropriate, its im plementation plan on a periodic basis 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. 
16.3  Supportive Measures 
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 ca pacity-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 in clude 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  
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- 159 - 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 Pa rties shall provide new an d 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 meeting , and on a regular basis, 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.  
16.4  Non-compliance mechanism 
Article 15 – Reporting 
 Sets out a reporting mechanism on the implementation of the Convention. 
Article 16 – Effectiveness evaluation 
 Requests the COP to evaluate the effectiveness of the Convention.  
Article 17 – Non-compliance 
"The [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 th e establishment of a complianc e 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 negotiate further and to consider for adoption, at its fourth meeting , the procedures and institutional mechanisms on 
non-compliance required under article 17 of the Convention and on the basis of its Decision SC-3/20.   At the 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 therefore had 
to be considered again by the Conference of the Parties in 2015. At its seventh meeting held in May 2015, the CoP eventually adop ted mechanisms and procedures on compliance with the Stockholm Convention. 
16.5  Dispute Settlement Mechanism 
Article 18 – Settlement of disputes 
"1. Parties shall settle any dispute between them concerning the interpretation or application of  this Convention through 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 dispute concerning the interpretation or applicat ion of the Convention, it recognizes one or both of 
the following means of dispute settlement as compulsory in relation to any Party accepting the same obligation: 
(a) Arbitration in accordance with proc edures to be adopted by the [CoP] in  an annex as soon as practicable;  
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- 160 - (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 referred to in 
paragraph 2 (a). 4. A declaration made pursuant to paragraph 2 or paragraph 3 sha ll remain in force until it expires in accordance with its term s or until three months after written notice of 
its revocation has been depo sited with the depositary. 
5. The expiry of a declaration, a notice of revocation or a ne w declaration shall not in any way 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 c onciliation commission at the request of any party 
to the dispute. The conciliation commission shall render a report  with recommendations. Additional procedures relating to the c onciliation commission shall be included in an 
annex to be adopted by the [CoP] no later than at its second meeting". 
16.6  Provisions for non-parties 
Article 3 – Measures to reduce or eliminate releases from intentio nal production and use 
"... 2.  Each Party shall ta ke measures to ensure: (...) 
(b) That a chemical listed in Annex A for which any production or use specific exemption is in effect or a chemical listed in A nnex B for which any production or use specific 
exemption or acceptable purpose is in effect, taking into account any relevant 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 th at chemical under Annex A or Annex B; or  
(iii) To a State not Party to th is Convention which has provided an annual certif ication to the exporting Party. Such certifica tion shall specify the intended use of the 
chemical and include a statement that, with respect to  that chemical, the 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 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 ...". 
17  MINAMATA CONVENTION ON MERCURY 
17.1  Brief Description of the MEA 
Web site http://www.mercuryconvention.org/  
Objective Article 1    The objective of this Convention is to protect human health and the environment from anthropogenic emissions and releases of m ercury 
and mercury compounds. 
Date of Signature 10 October 2013 
Entry into force 
(provision) NOT YET IN FORCE. 
Article 31: Entry into force 
"1.  This Convention shall enter into force on the ninetieth day after the date of deposit of the fiftieth instrument of ratificatio n, acceptance, approval 
or accession. 
2.  For each State or regional economic integration organization that  ratifies, accepts or approves this Convention or accedes ther eto after the 
deposit of the fiftieth instrume nt of ratification, acceptance, approval or acce ssion, the Convention shall enter into force on  the ninetieth day after the 
date of deposit by such State or regional  economic integration organization of its instrument of ratifica tion, acceptance, appr oval or accession.  
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- 161 - 3.  For the purposes of paragraphs 1 and 2, any instrument deposited by a regional economic integration organization shall not be counted as 
additional to those deposited by memb er States of that organization." 
Parties/Signatories 12 Parties/128 Signatories (as of 31 July 2015).
WTO Members 11 Parties to Minamata Convention are also WTO Members (see Annex). 
Openness of 
Membership Article 29: Signature 
"This Convention shall be opened for si gnature [...] by all States and regional economic integration organizations..." 
Article 30: Ratification, acceptance, approval or accession 
"1. This Convention shall be subject to ratification, acceptance or approval by States and by region al economic integration organiz ations. 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 Part y to this Convention without any of its member States being a  Party shall be 
bound by all the obligations under the Convention. In the case of such organizations, one or more of whose member States is a P arty to this Convention, 
the organization and its member States shal l decide on their respective responsibili ties 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 und er the Convention concurrently. 
3. In its instrument of ratification, acceptance, approval or acce ssion, a regional economic integration organization shall declar e the extent of its 
competence in respect of the matters govern ed by this Convention. Any such organizatio n shall also inform the Depositary, who s hall in turn inform the 
Parties, of any relevant modification  of the extent of its competence. 
4. Each State or regional economic integration organization is encouraged to transmit to  the Secretariat at th e time of its ratifi cation, acceptance, 
approval or accession of the Convention informat ion on its measures to implement the Convention. 
5. In its instrument of ratification, acceptance, approval or a ccession, any Party may declare th at, with regard to it, any ame ndment to an annex 
shall enter into force only upon the deposi t of its instrument of ratification, accept ance, approval or accession with respect thereto." 
Decision-Making 
Bodies 
 Article 23: Conference of the Parties 
"[...] 
5.  The Conference of the Parties shall keep under continuous review and evaluation the implementation of this Convention. It shall  perform the 
functions assigned to it by this Co nvention and, to that end, shall: 
(a) Establish such subsidiary bodies as it considers necessary for the implementa tion of this Convention; 
(b) Cooperate, where appropriate, with competent international organizations and intergovernmenta l and non-governmental bodies;   
(c) Regularly review all information made available to it and to the Secretariat [...];  
(d) Consider any recommendations submitted to it by  the Implementation and Compliance Committee;  
(e) Consider and undertake any additional ac tion that may be required for the achievement of the objectives of this Convention;  and 
(f) Review Annexes A and B pursua nt to Article 4 and Article 5."
Amendments and 
Protocols Article 26: Amendments to the Convention  
"1. Amendments to this Convention ma y be proposed by any Party.  
2 .  A m e n d m e n t s  t o  t h i s  C on ve n t i o n  s h al l  be  adopted at a meeting of the Conference of th e Parties. The text of any proposed amend ment shall be 
communicated to the Parties by the Secretariat at least six months before the meeting at which it is proposed for adoption. The  Secretariat shall also 
communicate the proposed amendment to the signatories to th is Convention and, for information, to the Depositary. 
3. The Parties shall make every effort to reac h agreement on any proposed amendment to th is Convention by consensus. If all effort s at consensus 
have been exhausted, and no agreement reached, the amendment shal l as a last resort be adopted by a three-fourths majority vote  of the Parties 
present and voting at the meeting. 
4. An adopted amendment shall be communicated by the Depositary  to all Parties for ratificati on, acceptance or approval. 
5. Ratification, acceptance or approval of an amendment shall be notified to the Depositary in writing. An amendment adopted in  accordance with 
paragraph 3 shall enter into force for the Pa rties having consented to be bound by it on the ninetieth day after the date of de posit of instruments of 
ratification, acceptance or approval by at least three-fourths of the Parties that were Parties at the time at which the amendm ent was adopted.  
  WT/CTE/W/160/Rev.7 • TN/TE/S/5/Rev.5  
 
- 162 - Thereafter, the amendment shall enter into force for any other Party on the ninetieth day after the date on which that Party de posits its instrument of 
ratification, acceptance or approval of the amendment." 
Article 27: Adoption and amendment of annexes  
"1.  Annexes to this Convention shall form an integral part thereof and, unless expressly provided otherwise, a reference to this C onvention 
constitutes at the same time a reference to any annexes thereto. 
2. Any additional annexes adopted after the entry into force of this Convention shall be restri cted to procedural, scientific, technical or administrative 
matters. 
... 5. If an additional annex or an amendment to an annex is relate d to an amendment to this Convention, the additional annex or am endment shall 
not enter into force until such time as the amendment to the Convention enters into force." 
17.2  Trade-related Measures 
Article 3 
Mercury supply sources 
and trade  "… 6. Each Party shall not allow the export of mercury except:  
(a) To a Party that has provided the exporting Party wi th its written consent, and only for the purpose of: 
(i) A use allowed to the importing Party under this Convention; or  
(ii) Environmentally sound interim storage as set out in Article 10; or 
(b) To a non-Party that has provided the exporting Party with its written consent, including certification demonstrating that: 
(i) The non-Party has measures in place to ensure the protection of human health and the environment and to ensure its complian ce with 
the provisions of Articles 10 and 11; and 
(ii) Such mercury will be used only for a use allowed to a Part y under this Convention or for environmentally sound interim sto rage as set 
out in Article 10. 
7. An exporting Party may rely on a general notification to the Se cretariat by the importing Party or non-Party as the written con sent required 
by paragraph 6. Such general no tification shall set out any terms and conditions  under which the importing Party or non-Party p rovides its consent. 
The notification may be revoked at any time by that Party or no n-Party. The Secretariat shall keep a public register of all suc h notifications. 
8. Each Party shall not allow the import of mercury from a non-Party to whom it will provide its written consent unless the non-Pa rty has 
provided certification that the mercury is not from sources identified as not allowed [...]. 
9. A Party that submits a general notificati on of consent under paragraph 7 may decide not to apply paragraph 8, provided that it maintains 
comprehensive restrictions on the export of mercury and has do mestic measures in place to ensure  that imported mercury is manag ed in an 
environmentally sound manner. The Party shall provide a notification  of such decision to the Secretariat, including information  describing its export 
restrictions and domestic regulatory measures, as well as information on the quantities and countries of origin of mercury impo rted from non-
Parties. The Secretariat shall maintain a public register of all such notifications. The Implementation and Compliance Committe e shall review and 
evaluate any such notifications and supporti ng information in accordance with Article 15 and may make recomm endations, as appro priate, to the 
Conference of the Parties. ... 13. The Conference of the Parties shall evaluate whether the trad e in specific mercury compounds compromises the objective of t his Convention 
and consider whether specific mercury compounds should, by their listing in an additional annex adopted in accordance with Arti cle 27, be made 
subject to paragraphs 6 and 8." 
Article 4 
Mercury-added products  " 1. Each Party shall not allow, by taking appr opriate measures, the manufacture, import or export of mercury-a dded products listed in Part I of 
Annex A after the phase-out date specified for those products, exce pt where an exclusion is specified in Annex A or the Party h as a registered 
exemption pursuant to Article 6.  
2. A Party may, as an alternative to paragraph 1, indicate at the time of ratification or upon entry into force of an amendment  to Annex A for 
it, that it will implement different measures or strategies to a ddress products listed in Part I of Annex A. A Party may only c hoose this alternative if  
  WT/CTE/W/160/Rev.7 • TN/TE/S/5/Rev.5  
 
- 163 - it can demonstrate that it has already redu ced to a de minimis level the manufacture, import, and export of the large majority of the products 
listed in Part I of Annex A and that it has implemented measures or strategies to reduce the use of mercury in additional produ cts not listed in Part 
I of Annex A [...] No later than five years after the date of entry into force of the Convention, the Conference of the Parties  shall, as part of the 
review process [...], review the prog ress and the effectiveness of the me asures taken under this paragraph. 
... 
5. Each Party shall take measures to prevent the incorporation into  assembled products of mercury- added products the manufacture, import 
and export of which are not allo wed for it under this Article. 
6. Each Party shall discourage the manufacture and the distribution  in commerce of mercury-added products not covered by any kn own use of 
mercury-added products prior to the date of entry into force of the Convention for it, unless an assessment of the risks and be nefits of the product 
demonstrates environmental or human health benefits. ..." 
Article 6 
Exemptions available to 
a Party upon request "1. Any State or regional economic integration organization may register for one or more exemptions from th e phase-out dates listed  in Annex A 
[...], by notifying the Secretariat in writing: 
(a) On becoming a Party to this Convention; or 
(b) In the case of any mercury-added product that is added by an amendment to Annex A [...] no later than the date upon which t he applicable 
amendment enters into force for the Party."  
Article 11  
Mercury wastes "... 3. Each Party shall take appropri ate measures so that  mercury waste is: 
 ...  
(c) For Parties to the Basel Convention, not transported across in ternational boundaries except for the purpose of environmenta lly sound 
disposal in conformity with this Article and with that Conventi on. In circumstances where the Basel Convention does not apply t o transport 
across international boundaries, a Party shall allow such transport only after taking into account relevant international rules , standards, and 
guidelines."  
17.3  Supportive measures 
Article 13: Financial resources and mechanism 
"1.  Each Party undertakes to provide, within its capabilities, resour ces in respect of those national activities that are intended to implement this Convention, in accordance 
with its national policies, priorities, pl ans and programmes. Such resources may incl ude domestic funding through relevant poli cies, development strategi es and national budgets, 
and bilateral and multilateral funding, as well as private sector involvement. 
2. The overall effectiveness of implementation of this Convention by  developing country Parties will  be related to the effective i mplementation of this Article. 
3. Multilateral, regional and bilateral sources of financial and technical assistance, as well as capacity-building and technology  transfer, are encouraged, on an urgent basis, to 
enhance and increase their activities on mercury in support of de veloping country Parties in the implementation of this Convent ion relating to financial resources, technical 
assistance and technology transfer. 
4. The Parties, in their actions with regard to funding, shall take full account of the specific needs and special circumstances o f Parties that are small island developing States 
or least developed countries. 
5. A Mechanism for the provision of adequate, predictable, and timely financial resources is hereby defined. The Mechanism is to s upport developing country Parties and 
Parties with economies in transition in implementing their obligations under this Convention.  
6. The Mechanism shall include: 
(a) The Global Environment Facility Trust Fund; and  
(b) A specific international Programme to support  capacity-building and technical assistance.  
7. The Global Environment Facility Trust Fund shall provide new, predictable, adequate and timely financial resources to meet cost s in support of implementation of this  
  WT/CTE/W/160/Rev.7 • TN/TE/S/5/Rev.5  
 
- 164 - Convention as agreed by the Conf erence of the Parties. For the purposes of this  Convention, the Global Environment Facility Tru st Fund shall be operated under the guidance of 
and be accountable to the Conference of the Parties. The Confer ence of the Parties shall provid e guidance on overall strategies , policies, progra mme priorities and eligibility for 
access to and utilization of financial resources. In addition, the Conference of the Parties shall provide guidance on an indic ative list of categories of activities that could receive 
support from the Global Environment Facility Trust Fund. The Global Environment Facility Trust Fund shall provide resources to meet the agreed incremental costs of global 
environmental benefits and the agreed full costs of some enabling activities. 
8. In providing resources for an activity, the Global Environment Facility Trust Fund should take into account the potential mercu ry reductions of a proposed activity relative 
to its costs. 
9. For the purposes of this Convention, the Programme referred to in paragraph 6 (b) will be operated under the guidance of and be  accountable to the Conference of the 
Parties. The Conference of the Parties shall, at its first meet ing, decide on the hosting institution for the Programme, which shall be an existing entity, and provide guidance to it, 
including on its duration. All Parties and other relevant stakeholders are invited to  provide financial re sources to the Progra mme, on a voluntary basis.  
10. The Conference of the Parties and the entities comprising the Me chanism shall agree upon, at the first meeting of the Conferenc e of the Parties, arrangements to give 
effect to the above paragraphs. 
11. The Conference of the Parties shall review, no later than at it s third meeting, and thereafter on a regular basis, the level of  funding, the guidance provided by the 
Conference of the Parties to the entities entrusted to operationalize the Mechanism established under this Article and their ef fectiveness, and their ability to address the changing 
needs of developing country Parties and Parties with economies in  transition. It shall, based on such review, take appropriate action to improve the effectiveness of the 
Mechanism. 
12. All Parties, within their capabilities, are invited to contribute to the Mechanism. The Mechanism shall encourage the provi sion of resources from other sources, including the 
private sector, and shall seek to leverage such resources for the activities it supports." 
Article 14: Capacity-building, technical assistance and technology transfer 
"1. Parties shall cooperate to provide, within their respective ca pabilities, ti mely and appropriate capa city-building and technica l assistance to developing country Parties, in 
particular Parties that are least developed countries or small island developing States, and Parties with economies in transiti on, to assist them in implementing their obligations 
under this Convention.  
2. Capacity-building and tech nical assistance pursuant to paragraph 1 and Arti cle 13 may be delivered th rough regional, subregiona l and national arrangements, including 
existing regional and subregional centres,  through other multilateral and bilateral means, and through partnerships, including partnerships involving the private sector. 
Cooperation and coordination with other multilateral environmental agreements in the field of chemicals and wastes should be so ught to increase the effectiveness of technical 
assistance and its delivery. 
3. Developed country Parties and other Parties within their capabi lities shall promote and facilita te, supported by the private se ctor and other releva nt stakeholders as 
appropriate, development, transfer and diffusion of, and access to, up-to-date environmentally sound alternative technologies t o developing country Parties, in particular the least 
developed countries and small island developing States, and Parties with economies in transition, to strengthen their capacity to effectively implement this Convention. 
4. The Conference of the Parties shall, by its second meeting and th ereafter on a regular basis, and taking into account submissio ns and reports from Parties including those 
as provided for in Article 21 and inform ation provided by other stakeholders: 
(a) Consider information on existing initiatives and pr ogress made in relation to alternative technologies; 
(b) Consider the needs of Parties, particularly develo ping country Parties, for al ternative technologies; and 
(c) Identify challenges experienced by Parties, particularly developing country  Parties, in technology transfer.  
5. The Conference of the Parties shall make recommendations on how capacity-building, technical assistance and technology trans fer could be further enhanced under 
this Article.  
17.4  Non-compliance mechanism 
Article 15: Implementation and Compliance Committee  
"1. A mechanism, including a Committee as a subsidiary body of the Co nference of the Parties, is he reby established to promote impl ementation of, and review compliance 
with, all provisions of this Convention. The mechanism, includin g the Committe e, shall be facilitative in nature and shall pay particular attention to the respective national 
capabilities and circumstances of Parties.  
2. The Committee shall promote implementation of, and review complian ce with, all provisions of this Convention. The Committee sha ll examine both individual and systemic  
  WT/CTE/W/160/Rev.7 • TN/TE/S/5/Rev.5  
 
- 165 - issues of implementation and compliance and make recommendations, as appropriat e, to the Conference of the Parties. 
3. The Committee shall consist of 15 members, nominated by Parties and elec ted by the Conference of the Parties, with due consider ation to equitable geographical 
representation based on the five regions of the United Nations; the first members shall be elected at the first meeting of the Conference of the Parties and thereafter in 
accordance with the rules of procedure appr oved by the Conference of the Parties purs uant to paragraph 5; the members of the Co mmittee shall have competence in a field 
relevant to this Convention and reflect an appropriate balance of expertise.  
4. The Committee may consider issues on the basis of: 
(a) Written submissions from any Party with respect to its own compliance; 
(b) National reports in acco rdance with Article 21; and 
(c) Requests from the Conference of the Parties. 
5. The Committee shall elaborate its rules of procedure, which shall be subject to approval by the second meeting of the Conferenc e of the Parties; the Conference of the 
Parties may adopt further terms of  reference for the Committee. 
6. The Committee shall make every effort to adopt its recommendati ons by consensus. If all efforts at consensus have been exhau sted and no consensus is reached, such 
recommendations shall as a last resort be adopted by a three-fourths majority vote of the members present and voting, based on a quorum of two-thirds of the members."  
17.5  Dispute Settlement Mechanism 
Article 25: Settlement of Disputes 
"1. Parties shall seek to settle any dispute between them concerning the interpretation or application of this Convention through n egotiation or other peaceful means of their 
own choice.  
2. When ratifying, accepting, approving or acceding to this Conven tion, or at any time thereafter, a Party [...] may declare in a written instrument submitted to the 
Depositary that, with regard to any dispute concerning the interp retation or application of this  Convention, it recognizes one or both of the following means of dispute settlement 
as compulsory in relation to any Party accepting the same obligation: 
(a) Arbitration in accordance with the pr ocedure set out in Part I of Annex E;  
(b) Submission of the dispute to the International Court of Justice. 
3. A Party that is a regional ec onomic integration organization may make a declaration with like effect in relation to arbitrat ion in accordance with paragraph 2. 
... 
6. If the parties to a dispute have not accepted the same means of dispute settlement pursuant to  paragraph 2 or 3, and if they  have not been able to settle their dispute 
through the means mentioned in paragraph 1 within twelve months following notification by one Party to another that a dispute e xists between them, the dispute shall be 
submitted to a conciliation commission at the request of any party to the dispute. The procedure set out in Part II of Annex E shall apply to conciliation under this Article."  
17.6  Provisions for non-parties 
See also the sub-section  on "Trade-related measures" above.  
In particular, Article 3: Mercury supply sources and trade  paragraphs 6(b), 7, 8 and 9 contain provisions concerning non-parties.   
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- 166 - ANNEX 
MEMBERSHIP IN WTO AND MEAS   
CITES 
CITES: Bonn Amendment 
CITES: Gaborone Amendment  
CCAMLR 
ICCAT 
UN Fish Stocks Agreement 
ITTA 
IPPC 
CBD 
CBD: Nagoya Protocol 
CBD: Cartegena Protocol 
CBD: Nagoya - KL Supp. 
Protocol (not yet in force)  
Vienna Convention 
Montreal Protocol (MP) 
MP - London Amendment 
MP - Copenhagen Amendment  
MP - Montreal Amendment 
MP - Beijing Amendment 
UNFCCC 
UNFCCC: Kyoto Protocol 
Basel Convention 
Basel Convention, Ban 
Amendment (not yet in force)  
Basel Convention, Protocol on  
Liability (not yet in force)  
Rotterdam Convention 
Stockholm Convention 
Minamata Convention on 
Mercury 
WTO 
Afghanistan x             x x   x   x x x x x x x x x     x x     
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 x           
Angola x x     x       x   x   x x x x x x x x         x   x 
Antigua and Barbuda x x x         x x   x   x x x x x x x x x     x x   x 
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       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 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  
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- 167 -   
CITES 
CITES: Bonn Amendment 
CITES: Gaborone Amendment  
CCAMLR 
ICCAT 
UN Fish Stocks Agreement 
ITTA 
IPPC 
CBD 
CBD: Nagoya Protocol 
CBD: Cartegena Protocol 
CBD: Nagoya - KL Supp. 
Protocol (not yet in force)  
Vienna Convention 
Montreal Protocol (MP) 
MP - London Amendment 
MP - Copenhagen Amendment  
MP - Montreal Amendment 
MP - Beijing Amendment 
UNFCCC 
UNFCCC: Kyoto Protocol 
Basel Convention 
Basel Convention, Ban 
Amendment (not yet in force)  
Basel Convention, Protocol on  
Liability (not yet in force)  
Rotterdam Convention 
Stockholm Convention 
Minamata Convention on 
Mercury 
WTO 
Bosnia and Herzegovina x x           x x   x   x x x x x x x x x     x x     
Botswana x x x         x x x x   x x x x x x x x x x x x x   x 
Brazil x x x x x x x x x   x   x x x x x x x x x     x x   x 
Brunei Darussalam x x x           x       x x x x x x x x x x         x 
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 x   x 
Burundi x x           x x x x   x x x x x x x x x     x x   x 
Cambodia x x         x x x x x x x x x x x x x x x     x x   x 
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 
Cabo 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   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   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   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 x   x 
Côte d'Ivoire x x     x   x x x x x   x x x x x x x x x x   x x   x 
Croatia x x x     x x x x   x   x x x x x x x x x     x x   x 
Cuba x x           x x   x   x x x x x x x x x     x x   x 
Curaçao         x                                             
Cyprus x x x     x x x x   x   x x x x x x x x x x   x x   x  
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- 168 -   
CITES 
CITES: Bonn Amendment 
CITES: Gaborone Amendment  
CCAMLR 
ICCAT 
UN Fish Stocks Agreement 
ITTA 
IPPC 
CBD 
CBD: Nagoya Protocol 
CBD: Cartegena Protocol 
CBD: Nagoya - KL Supp. 
Protocol (not yet in force)  
Vienna Convention 
Montreal Protocol (MP) 
MP - London Amendment 
MP - Copenhagen Amendment  
MP - Montreal Amendment 
MP - Beijing Amendment 
UNFCCC 
UNFCCC: Kyoto Protocol 
Basel Convention 
Basel Convention, Ban 
Amendment (not yet in force)  
Basel Convention, Protocol on  
Liability (not yet in force)  
Rotterdam Convention 
Stockholm Convention 
Minamata Convention on 
Mercury 
WTO 
Czech Republic x x x     x x x x   x x x x x x x x x x x x   x x   x 
Denmark x x x     x x x x x x x x x x x x x x x x x   x x   x 
Djibouti x x           x x   x   x x x x x x x x x     x x x x 
Dominica x x           x x   x   x x x x x x x x x     x x   x 
Dominican Republic x             x x x x   x x x x x x x x x     x x   x 
Ecuador x x x       x x x   x   x x x x x x x x x x   x x   x 
Egypt x x x   x     x x x x   x x x x x x x x x x     x   x 
El Salvador x x x   x     x x   x   x x x x x x x x x     x x   x 
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   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 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   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 x 
The Gambia x               x x x   x x x x x x x x x x   x x   x 
Georgia x x           x x   x   x x x x x x x x x     x x   x 
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 x   x  
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- 169 -   
CITES 
CITES: Bonn Amendment 
CITES: Gaborone Amendment  
CCAMLR 
ICCAT 
UN Fish Stocks Agreement 
ITTA 
IPPC 
CBD 
CBD: Nagoya Protocol 
CBD: Cartegena Protocol 
CBD: Nagoya - KL Supp. 
Protocol (not yet in force)  
Vienna Convention 
Montreal Protocol (MP) 
MP - London Amendment 
MP - Copenhagen Amendment  
MP - Montreal Amendment 
MP - Beijing Amendment 
UNFCCC 
UNFCCC: Kyoto Protocol 
Basel Convention 
Basel Convention, Ban 
Amendment (not yet in force)  
Basel Convention, Protocol on  
Liability (not yet in force)  
Rotterdam Convention 
Stockholm Convention 
Minamata Convention on 
Mercury 
WTO 
Guinea x       x x   x x x x   x x x x x x x x x     x x x x 
Guinea-Bissau x x           x x x x x x x x x x x x x x     x x   x 
Guyana x x x       x x x x x   x x x x x x x x x     x x x x 
Haiti               x x       x x x x x x x x             x 
Holy See (Vatican)                         x x x x x x                   
Honduras x   x   x   x x x x x   x x x x x x x x x     x x   x 
Hong Kong, China                                                     x 
Hungary x x x     x x x x x x x x x x x x x x x x x   x x   x 
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   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 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 x     
Kenya x x x     x   x x x x   x x x x x x x x x x   x x   x 
Kiribati           x     x   x   x x x x x x x x x       x     
Korea, Democratic People's 
Republic of               x x   x   x x x x x x x x x     x x     
Korea, Republic of x x x x x x x x x   x   x x x x x x x x x     x x   x  
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- 170 -   
CITES 
CITES: Bonn Amendment 
CITES: Gaborone Amendment  
CCAMLR 
ICCAT 
UN Fish Stocks Agreement 
ITTA 
IPPC 
CBD 
CBD: Nagoya Protocol 
CBD: Cartegena Protocol 
CBD: Nagoya - KL Supp. 
Protocol (not yet in force)  
Vienna Convention 
Montreal Protocol (MP) 
MP - London Amendment 
MP - Copenhagen Amendment  
MP - Montreal Amendment 
MP - Beijing Amendment 
UNFCCC 
UNFCCC: Kyoto Protocol 
Basel Convention 
Basel Convention, Ban 
Amendment (not yet in force)  
Basel Convention, Protocol on  
Liability (not yet in force)  
Rotterdam Convention 
Stockholm Convention 
Minamata Convention on 
Mercury 
WTO 
Kuwait, the State of x x           x x       x x x x x x x x x x   x x   x 
Kyrgyz Republic x x           x x   x   x x x x x x x x x     x x   x 
Lao People's Democratic 
Republic x x           x x x x   x x x x x x x x x     x x   x 
Latvia x x x     x x x x   x x x x x x x x x x x x   x x   x 
Lebanese Republic x x           x x   x   x x x x x x x x x     x x     
Lesotho x x           x x x x   x x x x x x x x x x   x x x x 
Liberia, Republic of x       x x x x x   x   x x x x x x x x x x x x x     
Libya x x     x     x x   x   x x x x x x x x x     x x     
Liechtenstein x x x           x       x x x x x x x x x x   x x   x 
Lithuania x x x     x x x x   x x x x x x x x x x x x   x x   x 
Luxembourg x x x     x x x x   x x x x x x x x x x x x   x x   x 
Macao, China                                                     x 
Madagascar x x x         x x x x   x x x x x x x x x     x x x x 
Malawi x   x         x x x x   x x x x x x x x x     x x   x 
Malaysia x           x x x   x   x x x x x x x x x x   x     x 
Maldives x x x     x   x x   x   x x x x x x x x x     x x   x 
Mali x x x       x x x   x   x x x x x x x x x     x x   x 
Malta x x x     x x x x   x   x x x x x x x x x x         x 
Marshall Islands           x     x x x   x x x x x x x x x     x x     
Mauritania x x     x     x x   x   x x x x x x x x x     x x   x 
Mauritius x x x x   x   x x x x   x x x x x x x x x x   x x   x 
Mexico x x x   x   x x x x x x x x x x x x x x x     x x   x 
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.7 • TN/TE/S/5/Rev.5  
 
- 171 -   
CITES 
CITES: Bonn Amendment 
CITES: Gaborone Amendment  
CCAMLR 
ICCAT 
UN Fish Stocks Agreement 
ITTA 
IPPC 
CBD 
CBD: Nagoya Protocol 
CBD: Cartegena Protocol 
CBD: Nagoya - KL Supp. 
Protocol (not yet in force)  
Vienna Convention 
Montreal Protocol (MP) 
MP - London Amendment 
MP - Copenhagen Amendment  
MP - Montreal Amendment 
MP - Beijing Amendment 
UNFCCC 
UNFCCC: Kyoto Protocol 
Basel Convention 
Basel Convention, Ban 
Amendment (not yet in force)  
Basel Convention, Protocol on  
Liability (not yet in force)  
Rotterdam Convention 
Stockholm Convention 
Minamata Convention on 
Mercury 
WTO 
Monaco x x x     x     x       x x x x x x x x x x     x x   
Mongolia x x           x x x x x x x x x x x x x x     x x   x 
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   x 
Myanmar x x         x x x x x   x x x x x x x x x       x   x 
Namibia x x   x x x   x x x x   x x x x x x x x x     x x   x 
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   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 x 
Niger x x x         x x x x   x x x x x x x x x     x x   x 
Nigeria x x     x x   x x   x   x x x x x x x x x x   x x   x 
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   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     
Palestine                 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       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 x   x 
Philippines 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.7 • TN/TE/S/5/Rev.5  
 
- 172 -   
CITES 
CITES: Bonn Amendment 
CITES: Gaborone Amendment  
CCAMLR 
ICCAT 
UN Fish Stocks Agreement 
ITTA 
IPPC 
CBD 
CBD: Nagoya Protocol 
CBD: Cartegena Protocol 
CBD: Nagoya - KL Supp. 
Protocol (not yet in force)  
Vienna Convention 
Montreal Protocol (MP) 
MP - London Amendment 
MP - Copenhagen Amendment  
MP - Montreal Amendment 
MP - Beijing Amendment 
UNFCCC 
UNFCCC: Kyoto Protocol 
Basel Convention 
Basel Convention, Ban 
Amendment (not yet in force)  
Basel Convention, Protocol on  
Liability (not yet in force)  
Rotterdam Convention 
Stockholm Convention 
Minamata Convention on 
Mercury 
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   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   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 x     
Saudi Arabia, Kingdom of x x           x x   x   x x x x x x x x x x x x x   x 
Senegal x x x   x x   x x   x   x x x x x x x x x     x x   x 
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     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   x 
Slovenia x x x     x x x x   x x x x x x x x x x x x   x x   x 
Solomon Islands x x x     x   x x   x   x x x x x x x x         x   x 
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 
South Sudan               x x       x x x x x x x                  
  WT/CTE/W/160/Rev.7 • TN/TE/S/5/Rev.5  
 
- 173 -   
CITES 
CITES: Bonn Amendment 
CITES: Gaborone Amendment  
CCAMLR 
ICCAT 
UN Fish Stocks Agreement 
ITTA 
IPPC 
CBD 
CBD: Nagoya Protocol 
CBD: Cartegena Protocol 
CBD: Nagoya - KL Supp. 
Protocol (not yet in force)  
Vienna Convention 
Montreal Protocol (MP) 
MP - London Amendment 
MP - Copenhagen Amendment  
MP - Montreal Amendment 
MP - Beijing Amendment 
UNFCCC 
UNFCCC: Kyoto Protocol 
Basel Convention 
Basel Convention, Ban 
Amendment (not yet in force)  
Basel Convention, Protocol on  
Liability (not yet in force)  
Rotterdam Convention 
Stockholm Convention 
Minamata Convention on 
Mercury 
WTO 
Spain x   x x   x x x x x x x x x x x x x x x x x   x x   x 
Sri Lanka x   x     x   x x   x   x x x x x x x x x x   x x   x 
Sudan x             x x x x   x x x x x x x x x     x x     
Suriname x x         x x x   x   x x x x x x x x x     x x   x 
Swaziland x x           x x   x   x x x x x x x x x     x x   x 
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 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 x   x 
Ukraine x x   x   x   x x   x   x x x x x x x x x     x x   x 
United Arab Emirates x x           x x x x x x x x x x x x x x     x x x x  
  WT/CTE/W/160/Rev.7 • TN/TE/S/5/Rev.5  
 
- 174 -   
CITES 
CITES: Bonn Amendment 
CITES: Gaborone Amendment  
CCAMLR 
ICCAT 
UN Fish Stocks Agreement 
ITTA 
IPPC 
CBD 
CBD: Nagoya Protocol 
CBD: Cartegena Protocol 
CBD: Nagoya - KL Supp. 
Protocol (not yet in force)  
Vienna Convention 
Montreal Protocol (MP) 
MP - London Amendment 
MP - Copenhagen Amendment  
MP - Montreal Amendment 
MP - Beijing Amendment 
UNFCCC 
UNFCCC: Kyoto Protocol 
Basel Convention 
Basel Convention, Ban 
Amendment (not yet in force)  
Basel Convention, Protocol on  
Liability (not yet in force)  
Rotterdam Convention 
Stockholm Convention 
Minamata Convention on 
Mercury 
WTO 
United Kingdom x x x x x x x x x   x x x x x x x x x x x x   x x   x 
United States of America x x   x x x x x         x x x x x x x             x x 
Uruguay x x x x x x   x x x x   x x x x x x x x x x   x x x x 
Uzbekistan x x x           x       x x x x x x x x x             
Vanuatu x x   x x     x x x     x x x x x x x x         x   x 
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     x x   x 
Yemen x x           x x   x   x x x x x x x x x   x x x   x 
Zambia x             x x   x   x x x x x x x x x x   x x   x 
Zimbabwe x x x         x x   x   x x x x x x x x x     x x   x 
TOTAL MEA Members 181 147 100 36 50 82 71 182 196 59 170 32 197 197 197 197 197 197 196 192 183 82 11 154 179 12 161 
TOTAL WTO Members of 
MEA 155 127 94 35 43 70 70 154 157 51 142 31 158 158 158 158 158 158 158 156 149 75 8 136 150 11 161 
 
 
 
__________