WORLD TRADE  
ORGANIZATION  WT/CTE/W/160/Rev.3 
TN/TE/S/5/Rev.1 
16 February 2005 
 
 (05-0635) 
Committee on Trade and Environment Committee on Trade and Environment Special Session  
 
  
MATRIX ON TRADE MEASURES PURSUANT TO SELECTED 
MULTILATERAL ENVIRONMENTAL AGREEMENTS 
 
Note by the Secretariat  
 
Revision  
   
This document has been pre pared under the Secretariat's 
own responsibility and without prejudice to the positions of 
Members and to their rights and obligations under the WTO.  
 
 
 
1. To provide background information on Multilate ral Environmental Agreements (MEAs), the 
Secretariat had prepared a note containing a matrix on trade-related measures pursuant to selected MEAs.  The note prepared initially in 2000 was upda ted in 2001 and 2003.  The present update of the 
Matrix provides information on the 14 MEAs that  were covered in the two previous versions.
1  The 
Secretariat has prepared this Matrix in consulta tion with the Secretariats of the relevant MEAs.2   
2. The Matrix is divided into six Sections and two Annexes. 
3. Section I  briefly describes each MEA, providing information on the following: 
(1) Web site; 
(2) objective of the MEA; 
(3) date of Signature/Adoption; 
(4) entry into force (Date/Provision); 
(5) number of parties to the MEA; 
(6) number of WTO Members party to the MEA; 
(7) openness of Membership; 
(8) decision-Making Bodies;  and 
(9) provisions relating to Amendments and Protocols. 
                                                           
1 WT/CTE/W/160/Rev.1 of 14 June 2001 and Rev.2 of 25 April 2003. 
2 The Secretariats of the respective MEAs were asked to confirm and complete the information 
contained in the Matrix.  However, the WTO Secretariat ta kes full responsibility for any errors or omissions that 
this document may contain. WT/CTE/W/160/Rev.3 
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 4. Section II  contains information on the trade-related measures of each MEA, notably on 
requirements or restrictions on imported or expor ted products.  Informati on under this section is 
divided, where applicable, into two sub-sections: 
(1) Provisions of the MEA, and 
(2) Decisions of the Decision-Making Bodies. 
5. Section III  provides information on supportive measures, such as technology transfer, and 
financial or technical assistance under the provisions of the MEA.   
6. Section IV  explains the mechanism set out in the ME A for the non-compliance of a party.   
7. Section V  lists the dispute settlement mechanisms in the MEA and indicates whether there 
have been any disputes to date.   
8. Section VI  sets out the provisions relating to non-parties to the MEA. 
9. Annex 1  provides a comparative table of WTO and MEA membership. 
10. In the tables, relevant provisions of the MEAs are listed, and additional information 
and/or explanation are indicated by an arrow ( Æ).   
11. The Secretariat will continue to update this Matrix in the light of further developments.  WT/CTE/W/160/Rev.3 
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 TABLE OF CONTENTS  
 
GLOSSARY OF TERMS .............................................................................................................. ....................... 6  
I. BRIEF DESCRIPTION OF THE MEAS.............................................................................................. 8  
A. INTERNATIONAL PLANT PROTECTION CONVENTION .......................................................................... 8  
B. INTERNATIONAL CONVENTION FOR THE CONSERVATION OF ATLANTIC TUNAS .............................. 11  
C. CONVENTION ON INTERNATIONAL TRADE IN ENDANGERED SPECIES OF WILD FAUNA AND 
FLORA ............................................................................................................................... ............... 12  
D. CONVENTION ON THE CONSERVATION OF ANTARCTIC MARINE LIVING RESOURCES ...................... 14  
E. MONTREAL PROTOCOL ON SUBSTANCES THAT DEPLETE THE OZONE LAYER .................................. 18  
F. BASEL CONVENTION ON THE CONTROL OF TRANSBOUNDARY MOVEMENTS OF 
HAZARDOUS WASTES AND THEIR DISPOSAL .................................................................................... 22  
G. CONVENTION ON BIOLOGICAL DIVERSITY ....................................................................................... 25  
H. CARTAGENA PROTOCOL ON BIOSAFETY .......................................................................................... 27  
I. UNITED NATIONS FRAMEWORK CONVENTION ON CLIMATE CHANGE ............................................. 29  
J. KYOTO PROTOCOL ........................................................................................................................... 31  
K. INTERNATIONAL TROPICAL TIMBER AGREEMENT ........................................................................... 32  
L. UN FISH STOCKS AGREEMENT ........................................................................................................ 36  
M. ROTTERDAM CONVENTION ON THE PRIOR INFORMED CONSENT PROCEDURE FOR CERTAIN 
HAZARDOUS CHEMICALS AND PESTICIDES IN INTERNATIONAL TRADE ........................................... 38  
N. STOCKHOLM CONVENTION ON PERSISTENT ORGANIC POLLUTANTS ................................................ 39  
II. TRADE-RELATED MEASURES ....................................................................................................... 41  
A. INTERNATIONAL PLANT PROTECTION CONVENTION ........................................................................ 41  
B. INTERNATIONAL CONVENTION FOR THE CONSERVATION OF ATLANTIC TUNAS .............................. 44  
1. Resolutions .................................................................................................................... ............ 44  
2. Recommendations................................................................................................................ ...... 46  
C. CONVENTION ON INTERNATIONAL TRADE IN ENDANGERED SPECIES OF WILD FAUNA AND 
FLORA ............................................................................................................................... ............... 50  
1. Provisions of the Convention................................................................................................... .. 50 
2. Resolutions and Decisions of the Conference of the Parties ..................................................... 53  
3. Information on quota sy stems within CITES ............................................................................. 56  
4. Voluntary national export quotas.............................................................................................. 5 6 
D. CONVENTION ON THE CONSERVATION OF ANTARCTIC MARINE LIVING RESOURCES ...................... 57  
E. MONTREAL PROTOCOL ON SUBSTANCES THAT DEPLETE THE OZONE LAYER .................................. 58  
1. Provisions of the Protocol ..................................................................................................... .... 58 
2. Decisions of the Meetings  of the Parties ................................................................................... 61  
F. BASEL CONVENTION ON THE CONTROL OF TRANSBOUNDARY MOVEMENTS OF 
HAZARDOUS WASTES AND THEIR DISPOSAL .................................................................................... 62  
1. Provisions of the Convention................................................................................................... .. 62 
2. Decisions of the Conf erence of Pa rties ..................................................................................... 66  
G. CONVENTION ON BIOLOGICAL DIVERSITY ....................................................................................... 67  
1. Provisions of the Convention................................................................................................... .. 67 
2. Decisions of the Confer ence of the Parties................................................................................ 69  
H. CARTAGENA PROTOCOL ON BIOSAFETY .......................................................................................... 80  
1. Provisions of the Convention................................................................................................... .. 80 
2. Decisions of the Confer ence of the Parties................................................................................ 84  
I. UNITED NATIONS FRAMEWORK CONVENTION ON CLIMATE CHANGE ............................................. 87  
J. KYOTO PROTOCOL ........................................................................................................................... 87  
K. INTERNATIONAL TROPICAL TIMBER AGREEMENT ........................................................................... 89  
1. Provisions of the Agreement.................................................................................................... .. 89 
2. Decisions and R ecommendations .............................................................................................. 89  
L. UN FISH STOCKS AGREEMENT ......................................................................................................... 90  
M. ROTTERDAM CONVENTION ON THE PRIOR INFORMED CONSENT PROCEDURE FOR CERTAIN 
HAZARDOUS CHEMICALS AND PESTICIDES IN INTERNATIONAL TRADE ........................................... 91  
1. Provisions of the Convention................................................................................................... .. 91 WT/CTE/W/160/Rev.3 
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 2. Decisions ...................................................................................................................... ............. 95  
N. STOCKHOLM CONVENTION ON PERSISTENT ORGANIC POLLUTANTS ................................................ 95  
III. SUPPORTIVE MEASURES ............................................................................................................ .... 97 
1. IPPC ........................................................................................................................... ............................. 97  
2. ICCAT.......................................................................................................................... ........................... 97  
3. CITES.......................................................................................................................... ............................ 97  
4. CCAMLR......................................................................................................................... ....................... 98  
5. Montreal Protocol.............................................................................................................. ...................... 98  
6. Basel Conv ention ............................................................................................................... ..................... 98  
7. CBD ............................................................................................................................ ............................ 99  
8. Cartagena Protocol ............................................................................................................. ..................... 99  
9. UNFCCC......................................................................................................................... ...................... 101  
10. Kyoto Protocol ................................................................................................................. ..................... 101  
11. ITTA........................................................................................................................... ........................... 101  
12. UN Fish Stocks  Agreement....................................................................................................... ............ 102  
13. Rotterdam Co nvention ........................................................................................................... ............... 102  
14. Stockholm C onvention........................................................................................................... ............... 103  
IV. NON-COMPLIANCE MECHANISM .............................................................................................. 104  
1. IPPC ........................................................................................................................... ........................... 104  
2. ICCAT.......................................................................................................................... ......................... 104  
3. CITES.......................................................................................................................... .......................... 104  
4. CCAMLR......................................................................................................................... ..................... 107  
5. Montreal Protocol.............................................................................................................. .................... 109  
6. Basel Conv ention ............................................................................................................... ................... 109  
7. CBD ............................................................................................................................ .......................... 109  
8. Cartagena Protocol ............................................................................................................. ................... 109  
9. UNFCCC......................................................................................................................... ...................... 110  
10. Kyoto Protocol ................................................................................................................. ..................... 110  
11. ITTA........................................................................................................................... ........................... 110  
12. UN Fish Stocks  Agreement....................................................................................................... ............ 111  
13. Rotterdam Co nvention ........................................................................................................... ............... 112  
14. Stockholm C onvention........................................................................................................... ............... 112  
V. DISPUTES ....................................................................................................................... .................... 113  
1. IPPC ........................................................................................................................... ........................... 113  
2. ICCAT.......................................................................................................................... ......................... 113  
3. CITES.......................................................................................................................... .......................... 114  
4. CCAMLR......................................................................................................................... ..................... 114  
5. Montreal Protocol.............................................................................................................. .................... 114  
6. Basel Conv ention ............................................................................................................... ................... 114  
7. CBD ............................................................................................................................ .......................... 115  
8. Cartagena Protocol ............................................................................................................. ................... 116  
9. UNFCCC......................................................................................................................... ...................... 116  
10. Kyoto Protocol ................................................................................................................. ..................... 116  
11. ITTA........................................................................................................................... ........................... 116  
12. UN Fish Stocks  Agreement....................................................................................................... ............ 116  
13. Rotterdam Co nvention ........................................................................................................... ............... 118  
14. Stockholm C onvention........................................................................................................... ............... 118  
VI. PROVISIONS FOR NON-PARTIES ................................................................................................ 120  
1. IPPC ........................................................................................................................... ........................... 120  
2. ICCAT.......................................................................................................................... ......................... 120  
3. CITES.......................................................................................................................... .......................... 121  
4. CCAMLR......................................................................................................................... ..................... 122  
5. Montreal Protocol.............................................................................................................. .................... 123  
6. Basel Conv ention ............................................................................................................... ................... 123  
7. CBD ............................................................................................................................ .......................... 123  
8. Cartagena Protocol ............................................................................................................. ................... 123  
9. UNFCCC......................................................................................................................... ...................... 124   WT/CTE/W/160/Rev.3 
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 10. Kyoto Protocol ................................................................................................................. ..................... 124  
11. ITTA........................................................................................................................... ........................... 124  
12. UN Fish Stocks  Agreement....................................................................................................... ............ 124  
13. Rotterdam Co nvention ........................................................................................................... ............... 125  
14. Stockholm C onvention........................................................................................................... ............... 125  
ANNEX 1 – MEMBERSHIP IN WTO AN D MEAS – COMPARATIVE TABLE ..................................... 127  
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GLOSSARY OF TERMS 
 
 
AIA Advanced Informed Agreement 
ATS Antarctic Treaty System 
BCH Biosafety Clearing-House CBD  Convention on Biological Diversity  
CCAMLR  Convention on the Conservation of Antarctic Marine Living Resources  
CCAS Convention for the Conservation of Antarctic Seals 
CDM  Clean Development Mechanism  
CFCs  Chlorofluorocarbons  
CITES  Convention on the International Trade in Endangered Species of Wild Fauna and Flora  
COP  Conference of the Parties  
CPCs Contracting Parties and Cooperating non-C ontracting Parties, Entities or Fishing Entities 
EEZ Exclusive Economic Zone  
FAO Food and Agriculture Organization of the United Nations 
GEF  Global Environment Facility  
HBFCs Hydrobromofluorocarbons 
HCFCs Hydrochlorofluorocarbons 
ICCAT  International Commission for the Conservation of Atlantic Tunas  
ICJ International Court of Justice 
ICPO International Criminal Police Organization 
ICTSD International Centre for Trade and Sustainable Development IFC International Finance Corporation 
IPPC International Plant Protection Convention 
ITLOS International Tribunal of the Law of the Sea ITTA/ITTO/ITTC  International Tropical Timber Agreement/Organi zation/Council  
IUCN The World Conservation Union 
IUU Illegal, Unregulated and Unreported 
IWC International Whaling Commission 
LDCs Least Developed Countries LMOs  Living Modified Organisms  
MCP  Multilateral Consultative Process  
MEAs  Multilateral environmental agreements  
MOP Meeting of the Parties 
MP Montreal Protocol on Substances  that Deplete the Ozone Layer  
NBF National Biosafety Frameworks NCPs Non-Contracting Parties, Entities or Fishing Entities  WT/CTE/W/160/Rev.3 
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 ODS  Ozone-Depleting Substances  
OECD Organization for Economic Co-operation and Development 
PFII Permanent Forum on Indigenous Issues PIC Prior Informed Consent Procedure  
POPs  Persistent organic pollutants  
RFMO Regional Fisheries Management Organizations SPS Sanitary and Phytosanitary Measures 
TBT Technical Barriers to Trade 
TRIPS Agreement on Trade-Related Aspe cts of Intellectual Property Rights 
UN United Nations 
UNCLOS United Nations Convention on the Law of the Sea UNCTAD United Nations Conference on Trade and Development 
UNEP United Nations Environment Programme 
UNEP-ETB UNEP Economics and Trade Programme UNESCO United Nations Educational, Scientific and Cultural Organization 
UNFCCC  United Nations Framework Convention on Climate Change  
UNGA General Assembly of the United Nations 
WHO World Health Organization 
WIPO World Intellectual Property Organization 
 
  
 I. BRIEF DESCRIPTION OF THE MEAS 
A. INTERNATIONAL PLANT PROTECTION CONVENTION  
12. The International Plant Protection Convention (IPPC) was adopted in  November 1951 and entered into force in April 1952 (IPPC 19 51).  It was revised in 1979 (IPPC 1979).  
The revised text came into force in April 19 91 and is the text currently in force with  respect to all contracting parties.  It was further amended in 1997 (the 1997 Amendments);  these 
amendments have not yet entered into force.  However, when adopting the 1997 Amendments, the Co nference of the Food and Agricul ture Organization of the United Nations (FAO) 
also agreed on the implementation of some of the amendments, on an interim basis.  Therefore, provisions of both IPPC 1979 and the 1997 Amendments will be referred to hereafter.   
 IPPC  1979 1997  AMENDMENTS  
Web site Æ www.ippc.int 
Objective Æ The IPPC is an international treaty for plant protection.  Its purpose is to "secur[e] common an d effective action to prevent t he spread and introduction of 
pests of plants and plant products, and to promote appropriate measures for their control" (see 1997 Amendments, Article I).  
Æ Although the IPPC has strong implications for international trad e, its focus is international cooperation for plant protection.   Many forms of cooperation 
fall within the scope of the Convention.  Its application to pl ants is not limited to the protection of cultivated plants or di rect damage from pests.  The scope 
of the Convention extends to the protection of cultivated and natu ral flora, as well as plant products, and includes direct and  indirect damage by pests. 
Æ The Preamble recognizes that phytosanitary measures should be technically justified, transparent and should not be applied in s uch a way as to constitute 
either a means of arbitrary or unjustified discrimination or a disguised restriction, particularly on international trade;  it also takes note of the Agreements 
concluded as a result of the Uruguay Round of Multilateral Trade Negotiations, including the SPS Agreement. 
Date of Adoption November 1979 November 1997 
Entry into force 4 April 1991 Not in force (Entry into for ce requires acceptance by  two-thirds of the 
contracting parties);  see Article XIII:4 of IPPC 1979 below) 
 (1) Entry into Force:  General 
 Article XIV – Entry into force 
"As soon as this Convention has been ratified by three signatory states it 
shall come into force between them.  It  shall come into force for each state 
ratifying or adhering thereafter from the date of deposit of its instrument 
of ratification or adherence". Article XXII – Entry into force 
"As soon as this Convention has been ra tified by three signatory states it shall 
come into force among them.  It shall come into force for each state or 
member organization of FAO ratifying or adhering thereafter from the date of 
deposit of its instrument of ratification or adherence". 
 (2) Entry into Force of Amendments 
 Article XIII:4 – Amendment 
"4. Any such proposed amendment of this Convention shall require the 
approval of the Conference of FAO and shall come into force as from the 
thirtieth day after acceptance by two-th irds of the contracting parties.  
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 thir tieth day after such acceptance". Article XXI:4 – Amendment 
"4. Any such proposed amendment of this Convention shall require the 
approval of the Commission and shall come into force as from the thirtieth day after acceptance by two-thirds of the contracting parties.  For the purpose 
of this Article, an instrument deposited by a member organization of FAO 
shall not be counted as additional to those deposited by member states of such an organization". WT/CTE/W/160/Rev.3 
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Parties 132 So far, 68 States have  accepted the 1997 Amendments. 
WTO Members 108 Parties to IPPC are also WTO Member s. 55 States that have accepted the 1 997 Amendments are also WTO Members. 
Openness of 
Membership IPPC 1979:  Article XII – Ratification and adherence 
"1. This Convention shall be open for signature by all states 
until 1 May 1952 and shall be ratified at the earliest possible date.  The 
instruments of ratification shall be de posited with the Director-General of 
FAO, who shall give notice of the date  of deposit to each  of the signatory 
states. 
2. As soon as this Convention has come into force in  accordance with 
Article XIV, it shall be open for adherence by non-signatory states.  
Adherence shall be effected by the deposit of an instrument of adherence 
with the Director-Gener al of FAO, who shall notify all signatory and 
adhering states". Article XVII – Ratification and adherence 
1. Ibid. IPPC 1979. 
"2. As soon as this Convention has come into force in accordance with 
Article XXII it shall be open for adherence by non-signatory states and 
member organizations of FAO.  Adherence shall be effected by the deposit of an instrument of adherence with the Director-General of  FAO, who shall 
notify all contracting parties. 
3. When a member organization of FAO becomes a contracting party to this 
Convention, the member organization sha ll, in accordance with the provisions 
of Article II paragraph 7 of the FAO Constitution, as appropriate, notify at the time of its adherence such modifications or clarifications to its declaration of 
competence submitted under Article II paragraph 5 of the FAO Constitution as 
may be necessary in light of its acceptance of this Convention.  Any 
contracting party to this Convention may, at any time, request a member 
organization of FAO that is a contracting party to this Convention to provide 
information as to which, as between the member organization and its member states, is responsible for the implementa tion of any particular matter covered 
by this Convention.  The member organization shall provide this information 
within a reasonable time". 
Decision-Making 
Bodies 
 
 
 
 
 
 
 
 
 
 
 
 1997 Amendments:   
ARTICLE X – Standards 
"1. The contracting parties agree to cooperate in the developmen t of international standards in accordance with the procedures adopted by the Commission. 
2. International standards shall be adopted by the Commission. 3. Regional standards should be consistent with the principles of this Convention;  such standards may be deposited with the Co mmission for consideration 
as candidates for international standards for phytosanitary measures if more broadly applicable. 
4. Contracting parties should take into account, as appropriat e, international standards when undertaking activities related to  this Convention". 
Article XI – Commission on Phytosanitary Measures 
"1. Contracting parties agree to establish the Commission on Phytosanitary Measures within  the framework of the FAO. 
2. The functions of the Commission shall be to promote the full implementation of the objectives of the Convention and, in part icular, to: 
a) review the state of plant protection in the world and the need for action to contro l the international spread of pests and t heir introduction into 
endangered areas; b) establish and keep under review the necessary institutional ar rangements and procedures for the development and adoption of international standards, 
and to adopt international standards; 
c) establish rules and procedures for the resoluti on of disputes in accordance with Article XIII; 
d) establish such subsidiary bodies of the Commission as ma y be necessary for the proper implementation of its functions;  
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 e) adopt guidelines regarding the recognition of regional plant protection organizations; 
f) establish cooperation with other relevant internationa l organizations on matters covered by this Convention; 
g) adopt such recommendations for the implemen tation of the Convention as necessary;  and 
h) perform such other functions as may be necessary to the fulfilment of the objectives of this Convention. 
3. Membership in the Commission shall be open to all contracting parties.… 
5. The contracting parties shall make every effort to reach agreement on all matters by  consensus.  If all efforts to reach con sensus have been exhausted and 
no agreement is reached, the deci sion shall, as a last resort, be taken by a tw o-thirds majority of the contracting parties pre sent and voting. 
6. A member organization of FAO that is a contracting party and the member states of that member organization that are contract ing parties shall exercise 
their membership rights and fulfil their membership obligations in accordance, mutatis mutandis , with the Constitution and General Rules of FAO …".  
Æ At the adoption of the 1997 Amendments, th e FAO Conference agreed to the establishment of an Interim Commission on Phytosanitar y Measures, under 
Article VI of the FAO Constitution, with the Terms of Reference as below: 
1. The functions of the Commission shall be to promote the full im plementation of the objectives of the IPPC and, in particular , to: 
a) review the state of plant protection in the world and the need for action to contro l the international spread of pests and t heir introduction into 
endangered areas; b) establish and keep under review the necessary institutional ar rangements and procedures for the development and adoption of international standards, 
and to adopt international standards for phytosanitary measures; 
c) establish rules and procedures for the resolution of disputes in accordance with the Convention; d) establish such subsidiary bodies of the Commission as ma y be necessary for the proper implementation of its functions; 
e) adopt guidelines regarding the recognition of regional plant protection organizations; 
f) establish cooperation with other relevant internationa l organizations on matters covered by the Convention; 
g) adopt such recommendations for the implemen tation of the Convention as necessary;  and 
h) perform such other functions as may be necessary to the fulfilment of the objectives of the Convention. 
2. Membership in the Commission shall be open to all Members of  FAO and to such non-member States as are contracting parties to  the IPPC.  
Amendments and 
Protocols Article III – Supplementary agreements 
"1. Supplementary agreements applicab le to specific regions, to specific 
pests, to specific plants and pl ant products, to specific methods of 
international transportation of plants and plant products, or otherwise supplementing the provisions of this Convention, may be proposed by the 
FAO on the recommendation of a contracting party or on its own initiative, 
to meet special problems of plant protection which need particular attention or action. 
2. Any such supplementary agreemen ts shall come into force for each 
contracting party after acceptance in acco rdance with the pr ovisions of the 
FAO Constitution and General Rules of the Organization".  Article XVI – Supplementary agreements 
"1. The contracting parties may, for the purpose of meeting special problems 
of plant protection which need particular attention or action, enter into 
supplementary agreements.  Such agreements may be applicable to specific 
regions, to specific pests, to specific plants and plant products, to specific 
methods of international transportation of plants and plant products, or 
otherwise supplement the provisions of this Convention.  2. Any such supplementary agreemen ts shall come in to force for each 
contracting party concerned after acceptance in accordance with the 
provisions of the supplementa ry agreements concerned.  
3. Supplementary agreements shall promote the intent of this Convention and 
shall conform to the principles and provis ions of this Convention, as well as to 
the principles of transparency, non-discrimination and the avoidance of 
disguised restrictions, particularly on international trade".  
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Page 11B. INTERNATIONAL CONVENTION FOR THE CONSERVATION OF ATLANTIC TUNAS  
Web site www.iccat.es and www.iccat.org 
Objective Æ ICCAT is responsible for the conservation of tunas and tuna-like species in the Atla ntic Ocean and adjacent seas.  Its mandate  also includes the study of 
fish species caught incidentally to tuna fishing.  
Date of Signature Convention:  14 May 1966 
Paris Protocol (on Articles XIV, XV and XVI):  10 July 1984 
Madrid Protocol (to Article X:2):  5 June 1992 
Entry into force Convention:  21 March 1969 
Paris Protocol (on Articles XIV, XV and XVI):  14 December 1997 
Madrid Protocol (to Article X:2):  Not in force (Awaiting confirmation of ratification from FAO).   
Parties 39 Parties 
WTO Members 32 Parties to ICCAT are also WTO Members. 
Openness of 
Membership Article XIV.1 
"This Convention shall be open for signature by any Government which is a Member of the United Nations or of any Specialized Ag ency of the 
United Nations.  Any such Government which does not sign this Convention may adhere to it at any time". 
Æ In addition, the Paris Protocol  states in Article XIV, paragraph 4:  "This Convention shall be open for signature or adherence by any inter-governmental 
economic integration organization constituted by States that have transferred to it competence over the matters governed by thi s Convention, including the 
competence to enter into treaties in respect of those matters." 
Decision-Making 
Bodies Æ The Convention established the International Commission for the Conservation of Atlantic Tuna s (hereafter the "Commission"). 
Æ The Commission can, on the basis of scientific evidence and other 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 orga nization´s scientific branch, the Standing Committee on Research and Statistics (SCRS) . 
Æ Normally, Recommendations and Resolutions are 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 Cooperating non-Contracting Parties, Ent ities or Fishing Entities, 
Contracting Parties have a six-month grace period in which to present objections (Article VIII:3). 
Article III:1 
"1. The Contracting Parties hereby agree to establish and mainta in a Commission to be known as the International Commission for  the Conservation of 
Atlantic Tunas, hereinafter referred to as "the Commission," wh ich shall carry out the objectives set forth in this Convention" . 
Article VI 
"To carry out the objectives of this Convention the Commission ma y establish Panels on the basis of species, group of species, or of geographic areas.  Each 
Panel in such case: 
(a) shall be responsible for keeping under review the species, group of species, or geographic area under its purview, and for collecting scientific and 
other information relating thereto; 
(b) may propose to the Commission, upon the basis of scientific investigations, recommendations for joint action by the Contrac ting Parties;  
 WT/CTE/W/160/Rev.3 
TN/TE/S/5/Rev.1 Page 12 (c) may recommend to the Commission studies and investigations n ecessary for obtaining information relating to its species, gro up of species, or 
geographic area, as well as the co-ordination of progra mmes of investigation by the Contracting Parties."  
Article VIII 
"1. (a) The Commission may, on the basis of scientific evidence, make recommendations designed to maintain the populations of t una and tuna-like fishes 
that may be taken in the Convention area at levels which will permit the maximum sustainable catch.  These recommendations shal l be applicable to the 
Contracting Parties under the conditions laid do wn in paragraphs 2 and 3 of this Article. … 
2. Each recommendation made under paragraph 1 of this Article sh all become effective for all Contracting Parties six months aft er the date of the 
notification from the Commission transmitting the recommendation to  the Contracting Parties, except as provided in paragraph 3 of this Article. ... 
4. Any Contracting Party objecting to a recommendation may at any time withdraw that objection, and the recommendation shall be come effective with 
respect to such Contracting Party immediately if the recommendation is already in effect, or at su ch time as it may become effe ctive under the terms of this 
Article. 
5. The Commission shall notify each Contracti ng Party immediately upon receipt of each ob jection 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 Convention.  The Director-General of the FAO shall t ransmit a certified 
copy of the text of any proposed amendment to all the Contrac ting Parties.  Any amendment not involving new obligations shall t ake effect for all 
Contracting Parties on the thirtieth day af ter its acceptance by three-four ths of the Contracting Par ties.  Any am endment invol ving new obligations shall 
take effect for each Contracting Party accep ting the amendment on the ninetieth day af ter its acceptance by three-fourths of th e Contracting Parties and 
thereafter for each remaining Contracting Part y upon acceptance by it.  Any amendment considered by on e or more Contracting Par ties to involve new 
obligations shall be deemed to involve new obligations and shall take effect accordingly.  A government which becomes a Contrac ting Party after an 
amendment to this Convention has been opened for acceptance pursuant  to the provisions of this Ar ticle shall be bound by the Co nvention as amended when 
the said amendment comes into force".  
 
C. CONVENTION ON INTERNATIONAL TRADE IN ENDANGERED SPECIES OF WILD FAUNA AND FLORA  
Web site www.cites.org 
Objective Æ The CITES is an international treaty to regulate international trade in wildlife for conservation purposes.  The Convention is mainly about non-
endangered species that are in the interna tional markets and that could become endangered without trade regulation.  It provide s a framework for the sound 
management of wildlife trade based on the best biological information available and analyses how different types of trade regul ations can affect specific 
populations.  
Æ CITES trade-related measures seek to ensure that trade is non-d etrimental to wildlife species.  It also works to prevent harmfu l practices such as 
improper transport of wildlife specimens. 
Date of Signature 3 March 1973 
Entry into force 1 July 1975 
Parties Convention (1973):  167 Parties 
Bonn Amendment (1979):  131 Parties  
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Page 13Gaborone Amendment (1983):  74 Parties 
WTO Members Convention (1973):  136 Parties to  CITES are also WTO Members. 
Bonn Amendment (1979):  106 Parties to CITES are also WTO Members. 
Gaborone Amendment (1983):  68 Parties to CITES are also WTO Members. 
Openness of 
Membership Article XXI – Accession  
"The present Convention shall be open inde finitely for accession.  Instruments of acce ssion shall be deposited with the Deposit ary Government". 
Æ See Gaborone Amendment with regard to regional economic integration organization (See Section on Amendments below) 
Decision-Making 
Bodies Article XI:3 – Conference of the Parties  
"3. At meetings, whether regular or extraordinary, the Parties shall review the implementation of the present Convention and ma y:   
(a) make such provision as may be necessary to enable the Secr etariat to carry out its duties, and adopt financial provisions;   
(b) consider and adopt amendments to Appendices  I and II in accordance with Article XV;   
(c) review the progress made towards the restoration and conservation of the species included in Appendices I, II and III;   
(d) receive and consider any reports presented by the Secretariat or by any Party;  and  
(e) where appropriate, make recommendations for impr oving the effectiveness of  the present Convention". 
Resolution Conf. 11.1 (Rev. CoP13)  – 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 COP; 
b) there shall be an Animals Committee, a Plants Committee and a Nomenclature Committee, which shall report to the COP at its m eetings and, if so 
requested, to the Standing Committ ee 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 specifi c problems.  These 
working groups shall have a defined life span which shall not ex ceed the period until the next meeting of the COP, at which tim e it may be renewed if 
necessary.  They shall report to the COP and, if  so requested, to the Standing Committee; …" 
Amendments and 
Protocols Article XVII – Amendment of the Convention  
"1. An extraordinary meeting of the COP shall be convened by th e Secretariat on the written request of at least one-third of th e Parties to consider and adopt 
amendments to the present Convention.  Such amendments shall be  adopted by a two-thirds major ity of Parties present and voting.   For these purposes 
"Parties present and voting" means Parties pr esent and casting an affirmative or negative vote.  Parties abstaining from voting  shall not be counted among 
the two-thirds required for adopting an amendment. 
2. The text of any proposed amendment shall be communicated by th e 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 da ys after two-thirds of the Parties have depo sited an instrument of 
acceptance of the amendment with the Depositary Government.  Thereafter, the ame ndment shall enter into force for any other Par ty 60 days after that Party 
deposits its instrument of acceptance of the amendment".  
Æ Resolution Conf. 4.27 on the Interpretation of  Article XVII, paragraph 3, of the Convention provides that "the m eaning of Article XVII, 
paragraph 3, of the Convention be interprete d in its narrow sense so as to mean that  the acceptance of two- thirds of the Partie s at the time of the adoption of 
an amendment is required for the comi ng into force of such amendment".  
  
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TN/TE/S/5/Rev.1 Page 14  Article XV – Amendments  to Appendices I and II § 
"1. The following provisions shall apply in relation to amendments to Appendices I and II at meetings of the COP:   
(a) Any Party may propose an amendment to Appendix I or II for consideration at the next meeting.  The text of the proposed ame ndment shall be 
communicated to the Secretar iat at least 150 days before the meeting.  The Secretariat shall consult the other Parties and inte rested bodies on the 
amendment in accordance with the provisions of sub-paragraphs (b) and (c ) of paragraph 2 of this Article and shall communicate the response to all 
Parties not later than 30 days before the meeting.  (b) Amendments shall be adopted by a two-thirds majority of Pa rties present and voting.  For th ese purposes "Parties present an d voting" means Parties 
present and casting an affirmative or negative vote.  Parties abstaining from voting shall not be counted among the two-thirds required for adopting an 
amendment.  (c) Amendments adopted at a meeting shall enter into force 90 days after that meeting for all Parties except those which make a  reservation in accordance 
with paragraph 3 of this Article.  
2. The following provisions shall apply in relation to amendments to Appendices I and II between meetings of the COP:   
(a) Any Party may propose an amendment to Appendix I or II for consideration between meetings by the postal procedures set fort h in this paragraph. … 
(l) If the proposed amendment is adopted it shall enter into force 90 days after the date of the notification by the Secretaria t of its acceptance for all Parties 
except those which make a reservation in accordance with paragraph 3 of this Article.  
3. During the period of 90 days provided for by sub-paragraph (c) of paragraph 1 or sub-paragraph (l) of paragraph 2 of this Ar ticle any Party may by 
notification in writing to the Depositary Government make a rese rvation with respect to the amendment.  Until such reservation is withdrawn the Party shall 
be treated as a State not a Party to the present Conven tion with respect to trade in the species concerned".  
Amendments 
adopted Bonn amendment – 22 June 1979 
Æ On 22 June 1979, the COP to CITES adopted an amendment to Article XI, paragraph 3 a), consisting of inserting the words ", and adopt financial 
provisions" at the end of the provision. 
Æ In accordance with Article XVII, paragraph 3, the Bonn amendment entered into force 60 days after 34 of the 50 States that were  parties to CITES 
on 22 June 1979 deposited their instruments of acceptance, i.e. on 13 April 1987.  At that time it entered into force only for those States that had accepted 
the amendment (no matter on what date they became party to the Convention) .  However, the amended text of the Convention now ap plies automatically to 
any State that becomes a Part y after the date of entry in to force of the amendment. 
Gaborone amendment– 30 April 1983 
Æ On 30 April 1983, the COP to CITES adopted  in Gaborone, Botswana, an amendment to Article XXI of the Co nvention to permit acces sion by regional 
economic integration organizations and especially to allow the EC to become a CITES party. 
Æ In accordance with Article XVII, paragraph 3, the Gaborone amendmen t shall enter into force 60 days  after 54 of the 80 States t hat were party to CITES 
on 30 April 1983 have deposited their instru ments of acceptance.  However, at that ti me it will enter into force only for those  States that have accepted the 
amendment.  The amended text of the Convention will apply automatically to any State that becomes a Party after the date of ent ry into force of the 
amendment.   
 
D. CONVENTION ON THE CONSERVATION OF ANTARCTIC MARINE LIVING RESOURCES  
13. The Convention on the Conservation of Antarctic Marine Living Resources (CCAMLR) is part of the Antarctic Treaty System, a set of arrangements made for the purpose of 
coordinating relations among states with respect to Antarctica.  The Antarctic Treaty came into force on 23 June 1961.  The tre aty remains in force indefinitely.  The success of the 
treaty has been the growth in membership.  Forty-five countries, comprising 80% of the world's population, have acceded to it.  Consultative (voting) status is open to all countries  
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Page 15who have demonstrated their commitment to the Antarctic by conducting significant research.  Twenty-seven nations have Consulta tive status.  The Treaty parties meet every year.  
They have adopted over 200 recommendations and negotiated five separate international agreements.  These, together with the ori ginal Treaty, provide the rules which govern 
activities in Antarctica.  Collectively, they are known as the Anta rctic Treaty System (ATS).  The five international Agreement s 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 Antarc tic Marine Living Resources (1980)  
• Convention on the Regulation of Antarc tic Mineral Resource Activities (1988)  
• Protocol on Environmental Protection to the Antarctic Treaty (1991).  
14. The Preamble to the CCAMLR Convention recognises "the prime respon sibility of the Antarctic Treaty Consultative Parties for the  protection and preservation of the Antarctic 
environment and, in particular, their responsibilities under Artic le IX, paragraph 1(f) of the Antarctic Treaty in respect of t he preservation and conservation of living resources in 
Antarctica". 
Web site www.ccamlr.org 
Objective Æ The Convention is based on an ecosystem-wide approach to the co nservation of marine living resources in the waters surrounding Antarctica.  It 
incorporates standards designed to ensure the conservation of not only individual populations and species, but also the mainten ance of the breadth of the 
Antarctic marine ecosystem as a whole.  Conservation principles established by the Convention embody an "ecosystem approach" to  living resources 
conservation and set CCAMLR's marine resources management regime apart from other international fisheries organisations. 
Æ The Commission, established in accordance w ith CCAMLR Convention, is re sponsible for the conservation of marine living resource s in the Convention 
Area (waters south of about 40°S), which in clude all species of fish, molluscs, crust aceans and other marine  organisms as well as marine birds.  Rational use 
of resources is considered a part of their conservation.  Although management of seals and whales is under the jurisdiction of the Convention for the 
Conservation of Antarctic Seals (CCAS) and the International Wha ling Commission (IWC), CCAMLR takes into account, in elaboratin g its conservation 
strategy, the status of these animals as an inte gral part of the Antarctic marine ecosystem. 
Date of Signature 20 May 1980 
Entry into force 7 April 1982 
Parties 32 Parties 
Æ States that have ratified the Convention, but are not Commission members:   Bulgaria, Canada, Finlan d, Greece, Mauritius, Peru, Vanuatu and 
The Netherlands. 
WTO Members 29 Parties to CCAMLR are also WTO Members. 
Openness of 
Membership Article XXIX 
"1. This Convention shall be open for accessi on 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 accessi on by regional economic integration organisa tions 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 organi sation have transferred, in w hole or in part,  
 WT/CTE/W/160/Rev.3 
TN/TE/S/5/Rev.1 Page 16 competences with regard to the matters cove red by this Convention.  The accession of such regional economic  integration organis ations shall be the subject 
of consultations among Members of the Commission". 
Æ The main decision-making body is the Commission for the Conservation of Antarctic Marine Living Resources (CCAMLR).  The Commis sion has two 
standing committees:  The Standing Committee on Administration and Finance (SCAF) and the Standing Committee on Implementation and Compliance 
(SCIC).  All decisions on matters of substance are taken by co nsensus.  The institutional features of the Convention comprise, in addition to the 
Commission, a Scientific Committee for the Conservation of Antarcti c Marine Living Resources (SC-CAMLR) and a permanent Secreta riat, based in 
Hobart, Australia.  The Scientific Committee has two permanent wo rking groups, the Working Group on Ecosystem Monitoring and Ma nagement (WG-
EMM) and the Working Group on Fish Stock A ssessment (WG-FSA).  The Ad Hoc Working Gro up on Incidental Mortality Associated with  Fisheries 
(WG-IMAF) carries its activities as part of WG-FSA.  
(1) Commission for the Conservation of Antarctic Marine Living Resources Decision-Making 
Bodies 
 
Article VII:1 
"1. The Contracting Parties hereby establish and agree to main tain 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 basis of the best scien tific evidence available, subject to the pr ovisions of paragraph 5 of this 
Article; 
(g) implement the system of observation and inspection established under Article XXIV of this Convention; 
(h) carry out such other activities as are necessary to fulfil the objective of this Convention. 
2. The conservation measures referred to in paragraph 1(f) above include the following: 
(a) the designation of the quantity of any species which may be harvested in the area to which this Convention applies; 
(b) the designation of regions and sub-regions based on the distribution of populations of Antarctic marine living resources; (c) the designation of the quantity which may be harves ted 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 closing of areas, regions or sub-regions for purposes of scientific study or conservatio n, including special areas for 
protection and scientific study; (h) regulation of the effort employed and methods of harvesting, including fishing gear, with a view, inter alia , to avoiding undue concentration of 
harvesting in any region or sub-region; 
(i) the taking of such other conservation measures as the Commi ssion considers necessary for the fulfilment of the objective of  this Convention, including 
measures concerning the effects of harvesting and associated ac tivities on components of the mari ne ecosystem other than the ha rvested populations. 
3. The Commission shall publish and maintain a r ecord of all conservation measures in force. 
4. In exercising its functions under pa ragraph 1 above, the Commission shall take fu ll account of the recommendations and advic e of the Scientific 
Committee.  
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Page 175. The Commission shall take full account of any relevant measur es or regulations established or recommended by the Consultativ e Meetings pursuant to 
Article IX of the Antarctic Treaty or by existing fisheries co mmissions responsible for species which may enter the area to whi ch this Convention applies, in 
order that there shall be no inconsistency between the rights and obligations of a Contracting Party under such regulations or measures and conservation 
measures which may be adopted by the Commission.  
6. Conservation measures adopted by the Commission in accordance with this Convention shall be implemented by Members of the Co mmission in the 
following manner: 
(a) the Commission shall notify conservation m easures 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 followin g 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 that Memb er of the Commission; 
(d) in the event that any Member of the Commission invokes the procedure set forth in sub-paragraph (c) above, the Commission s hall meet at the request  
of any Member of the Commission to review the conservation measure.  At the time of such meeting and within thirty days followi ng the meeting, any 
Member of the Commission shall have the right  to declare that it is no lo nger able to accept the cons ervation measure, in which  case the Member shall no 
longer be bound by such a measure". 
Article XII:1-2 
"1. Decisions of the Commission on matters of substance shall be taken by consensus.  The question of whether a matter is one o f substance shall be treated 
as a matter of substance. 
2. Decisions on matters other than those referred to in paragraph 1 above shall be taken by a simple majority of the Members of  the Commission present and 
voting".  
(2) Scientific Committee for the Conservatio n of Antarctic Marine Living Resources   
Article XIV:1 
"1. The Contracting Parties hereby establish the Scientific Co mmittee for the Conservation of Antarctic Marine Living Resources  (hereinafter referred to as 
‘the Scientific Committee’) which shall be a consultative body to the Commission …".  
Article XV:1-2 
"1. The Scientific Committee shall provide a forum for consultation 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 fi eld of scientific research in 
order to extend knowledge of the marine living resources of the Antarctic marine ecosystem. 
2. The Scientific Committee shall conduct such activities as the Commission may direct 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 meeting to discuss a proposed amendment the Depositary shall call su ch a meeting. 
3. An amendment shall enter into  force when the Depositary has received instru ments of ratification, acceptance or approval the reof from all the Members 
of the Commission. 4. Such amendment shall thereafter enter in to force as to any other Contracting Part y when notice of ratif ication, acceptance o r approval by it has been 
received by the Depositary.  Any such Contra cting Party from which no such notice has been received within a period of one year  from the date of entry into 
force of the amendment in accordance with  paragraph 3 above shall be deemed to have withdrawn from this Convention".   
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TN/TE/S/5/Rev.1 Page 18 E. MONTREAL PROTOCOL ON SUBSTANCES THAT DEPLETE THE OZONE LAYER  
15. The Vienna Convention for the Protection of the Ozone Layer is a framework convention.  It did not itself establish controls on  ozone-depleting substances.  However, it 
established the procedural rules for future protocols to be deve loped under the framework of the Vienna Convention.  The Montre al Protocol on Substances that Deplete the Ozone 
Layer was adopted in 1987 and has been amended four times:  L ondon Amendment (1990), Copenhagen Amendment (1992), Montreal Amen dment (1997) and Beijing Amendment 
(1999).  Its control provisions were strengthened through five adjustments to the Protocol adopted in London (1990), Copenhagen  (1992), Vienna (1995), Montreal (1997) and Beijing 
(1999). 
 Vienna Convention for the 
Protection of the Ozone Layer Montreal Protocol on Substances 
that Deplete the Ozone Layer London 
Amendment Copenhagen 
Amendment Montreal 
Amendment Beijing 
Amendment 
Date of Signature 22 March 1985 16 Se ptember 1987 29 June 1990 25 November  1992 17 September 1997 3 December 1999 
Entry into force 22 September 1988 1 January 1989 10 August 1992 14 June 1994 10 November 1999 25 February 2002 
Parties 189 188 175 164 122 85 
WTO Members 145 WTO Members 145 WTO Members 135 WTO Members 129 WTO Members 95 WTO Members 65 WTO Members 
 
 Vienna Convention for the Pr otection 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://www.unep.org/ozone/index-en.shtml 
Objective Æ Under the Vienna Convention, governments agreed to take appropriate 
measures to protect human health and the environment against adverse 
effects resulting or likely to result from human activities which modify or are likely to modify the Ozone Layer, and committed themselves to protect the 
ozone layer and to co-operate with each  other in scientific research and 
information exchange to improve understanding of atmospheric processes, 
and technical and economic aspects.   Æ The Montreal Protocol develops a regi me 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 ratificati on, acceptance, approval or 
accession. 
2. Any protocol, except as otherwise provided in such protocol, shall enter 
into force on the ninetieth day after the date of deposit of the eleventh Article 16 – Entry into force  
"1. This Protocol shall enter into force on 1 January 1989, provided that at 
least eleven instruments of ratification,  acceptance, approval of the Protocol 
or accession thereto have been depos ited by States or regional economic 
integration organizations representing at  least two-thirds of 1986 estimated 
global consumption of the controlled substances, and the provisions of  
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Page 19 Vienna Convention for the Pr otection 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 
instrument of ratification, acceptance or approval of su ch 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 sha ll enter into force on the ninetieth 
day after the date of deposit by such Party of its instrument of ratification, 
acceptance, approval or accession. 4. Any protocol, except as otherwise provided in such protocol, shall enter 
into force for a party that ratifies, accepts or approves that protocol or 
accedes thereto after its entry into fo rce pursuant to paragraph 2 above, on 
the ninetieth day after the date on which that party deposits its instrument of 
ratification, acceptance, approval or accession, or on the date which the 
Convention enters into force for that Party, whichever shall be the later. 
5. For the purposes of paragraphs 1 and 2 above, any instrument deposited 
by a regional economic integration organization shall not be counted as 
additional to those deposited by member States of such organization".  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 Pr otocol, 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 and Article 4, that apply at that date to the States and regional economic integration organizatio ns that became Parties on the date 
the Protocol entered into force".  
Openness of 
Membership Article 14 – Accession 
"1. This Convention and any protocol shall be open for a ccession by States 
and by regional economic integration organizations from the date on which 
the Convention or the protocol concerned is closed for signature …".  Montreal Protocol:  Article 15 – Signature 
"This Protocol shall be open for signature by States and by regional 
economic integration organizations …". 
Copenhagen Amendment (1992):  Article 2 – Relationship to the 
1990 Amendment 
"No State or regional economic integration organization may deposit an 
instrument of ratification, acceptanc e, 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 integration organization may deposit an 
instrument of ratification, acceptanc e, 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". 
   
 WT/CTE/W/160/Rev.3 
TN/TE/S/5/Rev.1 Page 20  Vienna Convention for the Pr otection 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 
Beijing Amendment (1999):  Arti cle 2 – Relationship to the 
1997 Amendment  
"No State or regional economic integration organization may deposit an 
instrument of ratification, acceptan ce 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 6:4 – 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 harmonizati on of appropriate 
policies, strategies and measures for minimizing the release of substances 
causing or likely to cause modifica tion of the ozone layer, and make 
recommendations on any other measures relating to this Convention; … (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 pr otocol, as well as to any annexes 
thereto, and, if so decided, recommend their adoption to the parties to the 
protocol concerned; 
(g) Consider and adopt, as required, in accordance with article 10, additional annexes to this Convention;  
(h) Consider and adopt, as requ ired, protocols in accordance with 
article 8; …" Article 11:4 – Meetings of the parties 
"4. The functions of the meetings of the Parties shall be to: 
(a) review the implementation of this Protocol; 
(b) decide on any adjustments or reductions referred to in paragraph 9 of Article 2; 
(c) decide on any addition to, insertion in or removal from any annex of 
substances and on related control m easures in accordance with paragraph 
10 of Article 2; 
(d) establish, where necessary, guidelines or procedures for reporting of 
information as provided for in Article 7 and paragraph 3 of Article 9; (e) review requests for technical assistance submitted pursuant to 
paragraph 2 of Article 10; 
(f) review reports prepared by the secretariat pursuant to subparagraph (c) of Article 12; 
(g) assess, in accordance with Article 6, the control measures; 
(h) consider and adopt, as required, proposals for amendment of this 
Protocol or any annex and for any new annex; 
(i) consider and adopt the budget for implementing this Protocol;  and (j) consider and undertake any additional action that may be required for 
the achievement of the purposes of this Protocol". 
Amendments and 
Protocols Article 8 – Adoption of protocols 
"1. The COP may at a meeting adopt protocols pursuant to Article 2. 
2. The text of any proposed protocol shall be communicated to the Parties by 
the secretariat at least six m onths 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. Article 14 – Relationship of this Protocol to the Convention 
"Except as otherwise provided in this Protocol, the provisions of the 
Convention relating to its protocols shall apply to this Protocol". 
Æ A party to the Protocol that has not ratified a subsequent amendment is 
treated as a non-Party for the purposes of trade in the relevant substances 
controlled by that particular amendment (Article 4(9) of the Protocol).  
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Page 21 Vienna Convention for the Pr otection 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 
2. Amendments to this Convention shall be adopted at a meeting of the COP.  
Amendments to any protocol shall be adopted at a MOP to the protocol in 
question.  The text of any proposed amendment to this Convention or to any 
protocol, except as may otherwise be provided in such protocol, shall be communicated to the Parties by the secretariat at least six months before the 
meeting at which it is proposed for adoption.  The secretariat shall also 
communicate proposed amendments to the signatories to this Convention for information. 
3. The Parties shall make every effort to reach agreement on any proposed 
amendment to this Convention by consensus.  If all efforts at consensus have been exhausted, and no agreement r eached, the amendment shall as a last 
resort be adopted by a three-fourths ma jority vote of the Parties present and 
voting at the meeting, and shall be submitted by the Depositary to all Parties for ratification, appr oval or acceptance. 
4. The procedure mentioned in paragraph 3 above shall apply to amendments 
to any protocol, except that a two-thirds majority of the parties to that protocol present and voting at the meeting shall suffice for their adoption. 
5. Ratification, approval or acceptance of amendments shall be notified to 
the Depositary in writing.  Ame ndments 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, ap proval or acceptance by at least three-
fourths of the Parties to this Convention or by at least two-thirds of the 
parties to the protocol concerned, except as may otherwise be provided in such protocol.  Thereafter the amendm ents shall enter into force for any 
other Party on the ninetieth day after that Party deposits its instrument of 
ratification, approval or acceptance of the amendments. 
6. For the purposes of this article, "Parties present and voting" means Parties 
present and casting an affirmative or negative vote". 
Article 16 – Relationship between the Convention and its protocols 
"1. A State or a regional economic integration organization may not 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".   
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TN/TE/S/5/Rev.1 Page 22 F. BASEL CONVENTION ON THE CONTROL OF TRANSBOUNDARY MOVEMENTS OF HAZARDOUS WASTES AND THEIR DISPOSAL  
 Basel Convention on the Contro l of Transboundary Movements  
of Hazardous Wastes and their Disposal Basel Protocol on Liability and Compensation for 
Damage Resulting from Transboundary 
Movements of Hazardous Wa stes and their Disposal 
Web site http://www.basel.int/ 
Objective Æ The objective of the Basel Convention is to protect human health and the environment against 
the adverse effects which may result from the generation and management of hazardous and other 
wastes. 
Æ The specific objectives of the Basel Convention are:   
• To reduce transboundary movements of hazardous wastes 
• To minimize the generation – in terms of quantity and hazardousness – of wastes 
• To promote the environmentally sound management of hazardous and other wastes 
Æ The Convention provides for the attainment of these objectives through control of the 
transboundary movements of hazardous wastes, monitoring and prevention of illegal traffic, 
assistance for the environmenta lly sound management of hazar dous wastes, promotion of 
cooperation between Parties in this field, a nd development of Technical Guidelines for the 
management of hazardous wastes. Æ 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. 
Æ 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 after 90 days of the 
date of the 20th instrument of ratification. 
Parties 163 4 
WTO Members 130 Parties to the Basel Convention are also WTO Members. 2 Parties to the Basel Protocol are also WTO Members. 
Openness of 
Membership Article 23 – Accession  
"1. This Convention shall be open for accession by  States, by Namibia, represented by the United 
Nations Council for Namibia, and by political and/or economic integration organizations from 
the day after the date on which the Convention is closed for signature …". Article 26 – Signature 
"The Protocol shall be open for signature by States and 
by regional economic integration organizations Parties 
to the Basel Convention …". 
Decision-Making 
Bodies Article 15:4, 5, 7 – Conference of the Parties  
"4. The Parties at their first meeting shall consider  any additional measures needed to assist them 
in fulfilling their responsibilities with respect to the protection and the preservation of the marine 
environment in the context of this Convention. 5. The COP shall keep under continuous review and evaluation the effective implementation of 
this Convention, and, in addition, shall: 
(a) Promote the harmonization of appropriate policies, strategies and measures for minimizing harm to human health and the environmen t by hazardous wastes and other wastes; 
(b) Consider and adopt, as required, amendments to this Convention and its annexes, taking Article 24:4 – Meet ing of the Parties 
"4. The functions of the 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 re porting where necessary;   
(c) To consider and adopt, where necessary, proposals for amendment of the Protocol or any 
annexes and for any new annexes;  and  
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Page 23 Basel Convention on the Contro l of Transboundary Movements  
of Hazardous Wastes and their Disposal Basel Protocol on Liability and Compensation for 
Damage Resulting from Transboundary 
Movements of Hazardous Wa stes and their Disposal 
into consideration, inter alia , available scientific, techni cal, economic and environmental 
information; 
(c) Consider and undertake any additional action that may be required for the achievement of 
the purposes of this Convention in the light of experience gained in its operation and in the operation of the agreements and arra ngements envisaged in Article 11; 
(d) Consider and adopt protocols as required;  and 
(e) Establish such subsidiary bodies as are d eemed necessary for the implementation of this 
Convention. ...  
7. The COP shall undertake three years after the entry into force of this Convention, and at least every six years thereafter, an eval uation of its effectiveness and, if  deemed necessary, to consider 
the adoption of a complete or partial ban of transboundary movements of hazardous wastes and 
other wastes in light of the latest scientific, environmental, technical and economic information".  
Æ The COP, the main decision-making organ, is co mposed of the representatives of the Parties. 
Æ The Expanded Bureau is a body composed of 13  representatives of all the regions.  It meets 
between the meetings of the COP to orientate the work of the secretariat;  provide advise for the preparation of meeting agendas;  address ins titutional and financial issues raised by the 
secretariat. 
Æ The Open-ended Working Group is a subsidiary body of the Basel Convention and its mandate 
is to assist the COP in the implementation of th e Convention and consider and advise the COP on 
issues relating to policy, technical, scientific, legal, institutional, administration, finance, 
budgetary and other aspects of the implementation of the Convention. 
Æ The Committee for Administrating the Mechanism for Promoting Implementation and 
Compliance is a subsidiary body and its mandate is to administer the said mechanism established 
to assist Parties to comply with their obligati ons under the Convention and to facilitate, promote, 
monitor and aim to secure the implementation of, and compliance with, the obligations under the 
Convention.  
Æ Basel Convention Regional Centres for Training and Technology Transfer are regional 
institutions to assist developing countries and ec onomies in transition, within their own region, 
through capacity-building for environmentally sound management, to achieve the fulfilment of the objectives of the Convention (See Decision VI/3 for detailed description of the centres’ 
functions). 
Æ Competent Authorities and Focal Points are established at the national level, in accordance 
with Article 5, to receive, and respond to th e notifications of transboundary movements of 
hazardous wastes and to receive and submit in formation to the secretariat, respectively.  (d) To consider and undertake any additional action 
that may be required for the purposes of the 
Protocol".   
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TN/TE/S/5/Rev.1 Page 24  Basel Convention on the Contro l of Transboundary Movements  
of Hazardous Wastes and their Disposal Basel Protocol on Liability and Compensation for 
Damage Resulting from Transboundary 
Movements of Hazardous Wa stes and their Disposal 
Article 12 of the Basel Convention – Consultations 
on Liability 
"The Parties shall co-operate with a view to adopting, 
as soon as practicable, a protocol setting out appropriate rules and procedures in the field of liability 
and compensation for damage resulting from the 
transboundary movement and disposal of hazardous wastes and other wastes". 
Article 22 of the Protocol on Liability– Relationship 
of the Protocol with the Basel Convention 
"Except as otherwise provided in the Protocol, the 
provisions of the Convention relating to its Protocols shall apply to the Protocol".  Amendments and 
Protocols 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. Su ch amendments shall take due account, inter alia , of 
relevant scientific and technical considerations. 2. Amendments to this Convention shall be adopted at a meeting of the COP.  Amendments to 
any protocol shall be adopted at a MOP to the protocol in question.  The text of any proposed 
amendment to this Convention or to any protocol, except as may otherwise be 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 ever y effort to reach agreement on any proposed amendment to this 
Convention by consensus.  If all efforts at consensus have been exhausted, and no agreement reached, the amendment shall as a last resort be adopted by a three-fourths majority of the Parties 
present and voting at the meeting, and shall be submitted by the Depositary to all Parties for 
ratification, approval, formal  confirmation or acceptance. 
4. The procedure mentioned in paragraph 3 above shall 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 ninetie th day after the receipt by the Depositary of 
their instrument of ratification, approval, form al confirmation or acceptance by at least three-
fourths of the Parties who accepted them or by at least two-thirds of the Parties to the protocol 
concerned who accepted them, except as may othe rwise 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 pr esent and voting" means Parties present and casting 
an affirmative or negative vote".  
Æ The Ban Amendment was adopted on 22 September 1995.  55 Parties have ratified the 
Amendment.  In accordance with Article 17 of th e Convention, the Amendment has to be ratified 
by three-quarters of those Parties who accepted it or  by two thirds of the Parties to the protocol 
who accepted it in order for it to enter into force.   
Æ The objective of this Amendment is to prohibit immediately exports from countries listed in 
Annex VII ("Parties and other States, which are me mbers of the OECD, EC, Liechtenstein") to all 
other countries, of hazardous wastes intended fo r 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   
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Page 25 Basel Convention on the Contro l of Transboundary Movements  
of Hazardous Wastes and their Disposal Basel Protocol on Liability and Compensation for 
Damage Resulting from Transboundary 
Movements of Hazardous Wa stes and their Disposal 
 the Amendment. 
Æ The following amendments to technical annexes have been adopted by the COP: 
• Amendment to Annex I (adopted through Decision IV/9):  in order to make reference to 
Annexes VIII and IX and establish the relationship between these new annexes and Annex III 
• Introduction of Annex VI II and IX:  Annex VIII includes wa stes characterized as hazardous 
under Article 1, paragraph 1(a) of the Basel Convention and Annex IX includes wastes that are not covered by Article 1, paragraph 1(a), unless they contain Annex I material to 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.  
 
G. CONVENTION ON BIOLOGICAL DIVERSITY  
Web site http://www.biodiv.org 
Objective Æ The objective of the CBD is the conservation of biological diversity, the sustainable use of its components and the fair and eq uitable sharing of the 
benefits arising out of the utilization of genetic resources. 
Date of Signature 5 June 1992 
Entry into force 29 December 1993 
Parties 188 
WTO Members 143 Parties to the CBD are also WTO Members. 
Openness of 
Membership Article 33 – Signature 
"This Convention shall be open for signature … by all States and any regional economic integration organization…". 
Article 34:1 – Ratificati on, Acceptance or Approval 
"1. This Convention and any protocol shall be subject to ratification, acceptance or a pproval by States and by regional economi c integration 
organizations…".  
Decision-Making 
Bodies Article 23:4 – Conference of the Parties 
"4. The COP shall keep under review the implementation of this Convention, and, for this purpose, shall: 
(a) Establish the form and the intervals for transmitting the information to be submitted in accordance with Article 26 and con sider such information as 
well as reports submitted by any subsidiary body;   (b) Review scientific, technical and technological advice on biological diversity provided in accordance with Article 25;  
 WT/CTE/W/160/Rev.3 
TN/TE/S/5/Rev.1 Page 26 (c) Consider and adopt, as required, protocols in accordance with Article 28; 
(d) Consider and adopt, as required, in accordance with Article s 29 and 30, amendments to this Convention and its annexes; 
(e) Consider amendments to any protocol, as well as to any annexes thereto, and, if so decided, recommend their adoption to the  parties to the protocol 
concerned; 
(f) Consider and adopt, as required, in accordance w ith Article 30, additional annexes to this Convention; 
(g) Establish such subsidiary bodies, particularly to provide sc ientific and technical 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 required for the achievement of the purposes of this Convention in  the light of experience 
gained in its operation". 
Æ The COP has established a number of working groups to address specific issues, such as the Working Group on Article 8(j) and Re lated Provisions of 
the Convention and the Working Group on Access to Genetic Resources and Benefit-Sharing. 
Article 25:1-2 –  Subsidiary Body on Scie ntific, Technical and Technological Advice 
"1. A subsidiary body for the provision of scientific, technical and technological advice is hereby established to provide the COP and, as appropriate, its 
other subsidiary bodies with timely advice relating to the implementation of this Convention.  This body shall be open to parti cipation by all Parties and 
shall be multidisciplinary.  It shall comprise government represen tatives competent in the relevant field of expertise.  It sha ll report regularly to the COP 
on all aspects of its work.  
2. Under the authority of and in accordance with guidelines la id down by the COP, and upon its request, this body shall: 
(a) Provide scientific and technical assessments of the status of biological diversity; (b) Prepare scientific and technical assessments of the effects of types of measures taken in accordance with the provisions of  this Convention; 
(c) Identify innovative, efficient and state-of-the-art technologies and know-how relating to the conservation and sustainable use of biological diversity 
and advise on the ways and means of promoting development and/or transferring such technologies; (d) Provide advice on scientific programmes and international coop eration in research and development related to conservation a nd sustainable use of 
biological diversity;  and 
(e) Respond to scientific, technical, technological and methodological questions that the COP and its subsidiary bodies may put  to the body".  
(1) Amendments Amendments and 
Protocols 
 
 
 
 
 
 
 Article 29 – Amendment of the Convention or Protocols 
"1. Amendments to this Convention may be proposed by any Contracting Party.  Amendments to any protocol may be proposed by any Party 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 MO P 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 suc h protocol, shall be 
communicated to the Parties to the instrument in question by the secretariat at least six months before the meeting at which it  is proposed for adoption.  
The secretariat shall also communicate proposed amendments to the signatories to this Convention for information.  
3. The Parties shall make every effort to reach agreement on any proposed amendment to this Convention or to any protocol by co nsensus.  If all efforts at 
consensus have been exhausted, and no agreement reached, the ame ndment shall as a last resort be adopted by a two-third majorit y vote of the Parties to 
the instrument in question present and voting at the meeting, a nd shall be submitted by the Depositary to all Parties for ratif ication, acceptance or 
approval.   
4. Ratification, acceptance or appr oval of amendments shall be notified to the Depo sitary in writing.  Amendments adopted in ac cordance with  
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Page 27paragraph 3 above shall enter into force among Parties having accepted them on the nine tieth day after the deposit of instrumen ts of ratification, 
acceptance or approval by at least two-thirds of the Contracting Parties to this Conven tion or of the Parties to the protocol c oncerned, except as may 
otherwise be provided in such protocol.  Thereafter the amendments shall enter into force for any other Party on the ninetieth day after that Party deposits 
its instrument of ratification, accepta nce or approval of the amendments.  
5. For the purposes of this Article, "Parties present and voti ng" means Parties present and cas ting an affirmative or negative vote". 
Æ 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 cooperate in the formulation and adoption of protocols to this Convention.  
2. Protocols shall be adopted at a meeting of the COP.  
3. The text of any proposed protocol shall be communicated to the Contracting Parties by the Secretariat at least six months be fore such a meeting"   
Æ The COP adopted the Cartagena Protocol on Biosafety on 29 January 2000.  The Protocol entered into force on 11 September 2003. 
Article 32 – Relationship between this Convention and Its Protocols 
"1. A State or a regional economic integration organization may not become a Party to a protocol unless it is, or becomes at th e same time, a Contracting 
Party to this Convention.  
2. Decisions under any protocol shall be taken only by the Parties to the protocol concerned.  Any Contracting Party that has n ot ratified, accepted or 
approved a protocol may participate as an observer in any MOP to that protocol". 
Æ See Cartegena Protocol on Biosafety below. 
 
H. CARTAGENA PROTOCOL ON BIOSAFETY  
Web site http://www.biodiv.org/biosafety/ 
Objective Æ The objective of the Biosafety Protocol is to ensure an adequate level of protection in the field of safe transfer, handling an d use of LMOs that may 
have adverse effects on the conservation and sustainable use of biological diversity, also taking into account risks to human h ealth. 
Date of Adoption 29 January 2000 
Entry into force 11 September 2003 
Parties 111 (as of 10 December 2004) 
WTO Members 90 Parties to the Biosafety Pr otocol are also WTO Members. 
Openness of 
Membership Article 36 – Signature 
"This Protocol shall be open for signature … by States and regional economic integration organizations …". 
Article 32:1of the Convention on Biological Diversity – Relationship between this Convention and Its Protocols 
"1. A State or a regional economic integration organization may not become a Party to a protocol unless it is, or becomes at th e same time, a Contracting 
Party to this Convention".  
  
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TN/TE/S/5/Rev.1 Page 28 Decision-Making 
Bodies Article 29:1-4 – Conference of the Parties Serving as the Meeting of  the Parties to this Protocol 
"1. The COP shall serve as the MOP to this Protocol. 
2. Parties to the Convention that  are not Parties to this Protocol may participat e 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 taken only by th ose 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 Convention but, at that time, not a 
Party to this Protocol, shall be substituted by a member to be elected by and from among th e Parties to this Protocol. 
4. The COP serving as the MOP to this Protocol shall keep under regular review the implementation of this Protocol and shall ma ke, within its mandate, 
the decisions necessary to promote its effec tive implementation.  It shall perform the functions assigned to it by this Protoco l and shall: 
(a) Make recommendations on any matters necessary for the implementation of this Protocol;   (b) Establish such subsidiary bodies as are deemed necessary for the implementation of this Protocol;   
(c) Seek and utilize, where appropriate, th e services and cooperation of, and information provided by, competent international organizations and 
intergovernmental and non-governmental bodies;   
(d) Establish the form and the intervals for transmitting the in formation to be submitted in accordance with Article 33 of this  Protocol and consider such 
information as well as reports submitted by any subsidiary body;   (e) Consider and adopt, as required, amendments to this Protocol  and its annexes, as well as any additional annexes to this Pro tocol, that are deemed 
necessary for the implementation of this Protocol;  and 
(f) Exercise such other functions as may be required for the implementation of this Protocol". 
Article 30 – Subsidiary Bodies 
"1. Any subsidiary body established by or under the Convention may, upon a decision by the COP serving as the MOP to this Proto col, 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 serves as a subsidiary body to this Protocol, decisions under the Protocol sh all be taken only by the 
Parties to the Protocol. 3. When a subsidiary body of the Convention exercises its functions  with regard to matters concerning this Protocol, any member  of the bureau of that 
subsidiary body representing a Party to the Convention but, at that time, not a Party to the Protocol, shall be substituted by a member to be elected by and 
from among the Parties to the Protocol". 
Amendments and 
Protocols Article 32 – Relationship with the Convention 
"Except as otherwise provided in this Protocol, the provisions of the Convention relating to its protocols shall apply to this Protocol". 
Æ See also Article 29:4(e) on COP Serving as the MOP to this Protocol in the S ection on Decision-mak ing Bodies above. 
Æ Article 29 on Amendment of the Convention or Protocols of the C onvention on Biological Diversity will also apply to the Protoco l. 
  
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Page 29I. UNITED NATIONS FRAMEWORK CONVENTION ON CLIMATE CHANGE  
Web site http://unfccc.int/ 
Objective Æ The objective of the UNFCCC is the stabilization of greenhouse gas concentrations in the atmosphere at a level that would prev ent dangerous 
anthropogenic interference with the climate system. 
Date of Signature 9 May 1992 
Entry into force 21 March 1994 
Parties 189 
WTO Members 144 Parties to UNFCCC are also WTO Members. 
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 7:2 – 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 a ny related legal 
instruments that the COP may adopt, and shall make, within its mandate, the decisions necessary to promote the effective implem entation of the 
Convention.  To this end, it shall: 
(a) Periodically examine the obligations of the Parties and the institutional arrangements under the Convention, in the light o f the objective of the 
Convention, the experience gained in its implementation and the evolution of scientific and technological knowledge; 
(b) Promote and facilitate the exchange of information on measures  adopted by the Parties to address climate change and its eff ects, taking into account 
the differing circumstances, responsibilities and capabilities of the Parties and their respective commitments under the Conven tion; 
(c) Facilitate, at the request of two or more Parties, the coordi nation of measures adopted by them to address climate change a nd its effects, taking into 
account the differing circumstances, respons ibilities and capabilities of the Parties an d their respective commitments under th e Convention; 
(d) Promote and guide, in accordance with the objective and provisions 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 emissions by sources and removals by sinks, and for 
evaluating the effectiveness of measures to limit the emissions and enhance the removals of these gases; 
(e) Assess, on the basis of all information made available to it in accordance with the provisions of the Convention, the imple mentation of the 
Convention by the Parties, the overall effects of the measures take n pursuant to the Convention, in particular environmental, e conomic and social effects 
as well as their cumulative impacts and the extent to which progress towards the objective of the Convention is being achieved;  
(f) Consider and adopt regular reports on the implementation of the Convention and ensure their publication;   
(g) Make recommendations on any matters necessary for the implementation of the Convention; 
(h) Seek to mobilize financial resources in accordance with Article 4, paragraphs 3, 4 and 5, and Article 11; (i) Establish such subsidiary bodies as are deemed necessary for the implementation of the Convention; 
(j) Review reports submitted by its subsidiary bodies and provide guidance to them; 
(k) Agree upon and adopt, by consensus, rules of procedure and financial rules for itself and for any subsidiary bodies; 
(l) Seek and utilize, where appropriate, the services and coope ration of, and information provided by, competent international organizations and 
intergovernmental and non-governmental bodies;  and   
 WT/CTE/W/160/Rev.3 
TN/TE/S/5/Rev.1 Page 30  (m) Exercise such other functions as are required for the achi evement of the objectiv e of the Convention as well as all other f unctions assigned to it under 
the Convention". Article 9:1 – Subsidiary Body for Scientific and Technological Advice 
"1. A subsidiary body for scientific and technological advice is hereby established to provide the COP and, as appropriate, its  other subsidiary bodies with 
timely information and advice on scientific and technological matters relating to the Convention.  This body shall be open to p articipation by all Parties 
and shall be multidisciplinary.  It shall comprise government re presentatives competent in the relevant field of expertise.  It  shall report regularly to the 
COP on all aspects of its work". 
Article 10 – Subsidiary Body for Implementation 
"1. A subsidiary body for implementation is hereby established to assist the COP in the assessment and review of the effective implementation of the 
Convention.  This body shall be open to participation by all Pa rties 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 Article 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 Article 12, paragraph 2, in  order to assist the COP in carrying ou t the reviews required 
by Article 4, paragraph 2(d);  and 
(c) Assist the COP, as appropriate, in the pr eparation and implementation of its decisions".  
Amendments and  (1) Amendments 
Protocols Article 15 – Ame ndments 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 th e secretariat at least six months before the m eeting at which it is proposed for adoption.  Th e secretariat shall also 
communicate proposed amendments to the signatories to the Convention and, for information, to the Depositary. 
3. The Parties shall make every effort to reach agreement on an y proposed amendment to the Convention 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 majority vote of the Pa rties present and voting at the 
meeting.  The adopted amendment shall be communicated by the s ecretariat to the Depositary, who shall circulate it to all Parti es for their acceptance. 
4. Instruments of acceptance in respect of an amendment shall be deposited with the Depositary.  An amendment adopted in accord ance with paragraph 3 
above shall enter into force for those Part ies having accepted it on the ninetieth day after the date of receipt by the Deposit ary of an instrument of 
acceptance by at least three fourths of the Parties to the Convention. 
5. The amendment shall enter into force for any other Party on the ninetieth day after the date on which that Party deposits wi th the Depositary its 
instrument of acceptance of the said amendment …". 
 (2) Protocols  
 Article 17 – Protocols 
"1. The COP may, at any ordinary session, adopt protocols to the Convention. 
2. The text of any proposed protocol shall be communicated to the Parties by the secretariat at least six months before such a session. 
3. The requirements for the entry into force of any protocol shall be established by that instrument. 4. Only Parties to the Convention may be Parties to a protocol.  
 5. Decisions under any protocol shall be taken only by the Parties to the protocol concerned". 
Æ See Kyoto Protocol below.   
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Page 31J. KYOTO PROTOCOL  
Web site http://unfccc.int/ 
Objective Æ The Kyoto Protocol supplements and strengthens the UNFCCC.  The Kyoto Protocol is based on the general framework established by  the UNFCCC, 
and shares its ultimate objective and principles, as well as its grouping of countries into Annex I, Annex II (the OECD members  of Annex I), and non-
Annex I Parties.  This is a step towards achieving the objective of the Convention by reducing emissions from Annex I Parties.  
Date of Signature 11 December 1997 
Entry into force 16 February 2005 
Parties 132 (i.e. 61.6% of emissions) 
WTO Members 108 Parties to the Kyoto Protocol are also WTO Members. 
Openness of 
Membership Article 24 :1 
"1. This Protocol shall be open for signature and subject to ra tification, acceptance or approval  by States and regional econom ic integration organizations 
which are Parties to the Convention…". 
Decision-Making 
Bodies Æ The Kyoto Protocol will share the Conventio n’s institutions, including its two subsidia ry bodies and secretariat, while the Con vention’s COP will serve 
as the "MOP" to the Protocol, forming a body known as the COP/MOP. 
Article 13:1-4 
"1. The COP, the supreme body of the Convention, shall serve as the MOP to this Protocol.  
2. Parties to the Conventio n that are not Parties to this Pr otocol may participate as observers in the proceedings of any sessi on of the COP serving as the 
MOP to this Protocol.  When the COP serves as the MOP to this Protocol, decisions under this Protocol shall be taken only by th ose that are Parties to this 
Protocol.  3. When the COP serves as the MOP to this Protocol, any member  of the Bureau of the COP representing a Party to the Convention but, at that time, not a 
Party to this Protocol, shall be replaced by  an additional member to be elected by an d from amongst the Parties to this Protoco l.  
4. The COP serving as the MOP to this Protocol shall keep under regular review the implementation of this Protocol and shall ma ke, within its mandate, 
the decisions necessary to promote its effec tive implementation.  It shall perform the functions assigned to it by this Protoco l and shall:   
(a) Assess, on the basis of all information made available to it in accordance with the provisions  of this Protocol, the implem entation of this Protocol by 
the Parties, the overall effects of the measures taken pursuant to this Protocol, in particular environmental, economic and soc ial effects as well as their 
cumulative impacts and the extent to which progress towards the objective of the Convention is being achieved;   
(b) Periodically examine the obligations of the Parties under th is Protocol, giving due consideration to any reviews required b y Article 4, paragraph 2(d), 
and Article 7, paragraph 2, of the Convention, in the light of the objective of the Convention, the experience gained in its im plementation and the 
evolution of scientific and technological k nowledge, and in this respect consider an d adopt regular reports on the implementati on of this Protocol;   
(c) Promote and facilitate the exchange of information on measures  adopted by the Parties to address climate change and its eff ects, taking into account 
the differing circumstances, responsibilities and capabilities of the Parties and their respective commitments under this Proto col;   
(d) Facilitate, at the request of two or more Parties, the coordi nation of measures adopted by them to address climate change a nd its effects, taking into 
account the differing circumstances, respons ibilities and capabilities of the Parties an d their respective commitments under th is Protocol;   
(e) Promote and guide, in accordance with the objective of the Convention and the provisions of this Protocol, and taking fully  into account the relevant 
decisions by the COP, the development and periodic refinement of comparable methodologies for the effective implementation of t his Protocol, to be  
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TN/TE/S/5/Rev.1 Page 32 agreed on by the COP serving as the MOP to this Protocol;   
(f) Make recommendations on any matters necessary for the implementation of this Protocol;   
(g) Seek to mobilize additional financial resources in accordance with Article 11, paragraph 2;   (h) Establish such subsidiary bodies as are deemed necessary for the implementation of this Protocol;   
(i) Seek and utilize, where appropriate, the services and cooper ation 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". 
Amendments and 
Protocols Article 20  
"1. Any Party may propose amendments to this Protocol.  
2. Amendments to this Protocol shall be adopted at an ordinary session of the COP serving as the MOP to this Protocol.  The tex t of any proposed 
amendment to this Protocol shall be communicated 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 communi cate the text of any proposed amendments to the Parties and signatories to the Con vention and, for 
information, to the Depositary.   
3. The Parties shall make every effort to reach agreement on any proposed amendment to this Protocol by consensus.  If all effo rts at consensus have been 
exhausted, and no agreement reached, the amendment shall as a last  resort be adopted by a three- fourths majority vote of the Pa rties present and voting at 
the meeting.  The adopted amendment shall be communicated by the secretariat to the Depositary, who shall circulate it to all P arties for their acceptance.   
4. Instruments of acceptance in respect of an amendment shall be  deposited with the Depositary.  An amendment adopted in accord ance with paragraph 3 
above shall enter into force for those Par ties having accepted it on the ninetieth day after the date of receipt by the Deposit ary of an instrument of 
acceptance by at least three fourths of  the Parties to this Protocol.  
5. The amendment shall enter into force for any other Party on the ninetieth day after the date on which that Party deposits wi th the Depositary its 
instrument of acceptance of the said amendment".  
 
K. INTERNATIONAL TROPICAL TIMBER AGREEMENT  
16. The International Tropical Timber  Agreement (ITTA), 1994 is the Successor Agreement to the International Trop ical Timber Agreem ent, 1983 (Article 48 on Supplementary 
and transitional provisions). 
Web site www.itto.or.jp 
Objective Æ ITTA, 1994 seeks to promote international trade in tropical timb er, the sustainable management of tropical forests, and the dev elopment of tropical 
forest industries through international cooperation, policy work and project activities, as provided for in objectives (a) to ( i) of Article 1. 
Date of Signature 1 April 1994 
Entry into force 1 January 1997 
Article 46 – Duration, extension and termination  
"1. This Agreement shall remain in force for a period of four y ears after its entry into force unless the Council, by special v ote, decides to extend, 
renegotiate or terminate it in accordance w ith the provisions of this article.  
2. The Council may, by special vote, decide to extend  this Agreement for two peri ods of three years each.   
 WT/CTE/W/160/Rev.3
TN/TE/S/5/Rev.1
Page 333. If, before the expiry of the four-year period referred to in paragraph 1 of this article, or before the expiry of an extensi on period referred to in paragraph 
2 of this article, as the case may be, a new agreement to repl ace this Agreement has been negotiated but has not yet entered in to force either definitively or 
provisionally, the Council may, by special vote, extend this Ag reement until the provisional or definitive entry into force of the new agreement.  
4. If a new agreement is negotiated and enters into force during  any period of extension of this Agreement under paragraph 2 or  paragraph 3 of this article, 
this Agreement, as extended, shall terminate upon  the entry into force of  the new agreement.  
5. The Council may at any time, by special vote, decide to terminate this Agreement w ith effect from such date as it may determ ine …".  
Æ In 2000, the ITTA, 1994 was extended for a period of three years [Decisi on 4(XXVIII)] until 31  December 2003.  On 9 November 2 002, the ITTA, 
1994 was extended for a further period of th ree years with effect from 1 January 2004  to 31 December 2006  [Decision 9(XXXIII)].  
Parties 59 Parties including 33 producing and 26 consuming countries, including the European Community.  
WTO Members 57 Parties to ITTA are also WTO Members, bearing in mind that  Belgium/Luxembourg are considered as one Party to the ITTA. 
Openness of 
Membership Article 38:1 – Signatu re, ratification, acceptance and approval  
"1. This Agreement shall be open for signature at the UN Headqu arters from 1 April 1994 until one month after the date of its e ntry into force, by 
Governments invited to the UN Conference for the Negotiation of a Successor Agreement to  the International Tropical Timber Agre ement, 1983".  
Article 39:1 – Accession  
"1. This Agreement shall be open for accession by the Governments of all states upon co nditions established by  the Council, whi ch shall include a time-
limit for the deposit of instruments of accessi on.  The Council may, howev er, grant extensions of tim e to Governments which are  unable to accede by the 
time-limit set in the conditions of accession".  
(1) The International Tropical Timber Council (ITTC) Decision-Making 
Bodies 
 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 representativ e and may designate alternates and advisers to attend se ssions of the Council.  
3. An alternate representative shall be empowered to act and vot e on behalf of the representa tive during the latter's absence o r in special circumstances".  
Article 7 – Powers and functions of the Council  
"1. The Council shall exercise all such powers and perform or arrange for the performance of all such functions as are necessar y to carry out the 
provisions of this Agreement.  2. The Council shall, by special vote, adopt such rules and regul ations as are necessary to carry out the provisions of this Ag reement and as are consistent 
therewith, including its own rules of procedure and the financial rules and staff regulations of the Organization.  Such financ ial rules regulations shall, 
inter alia , govern the receipt and expenditure of fu nds under the Administrative Account, the Special Accoun t and the Bali Partnership Fu nd.  The Council 
may, in its rules of procedure, provide for a procedure wh ereby it may, without meeting,  decide specific questions.  
3. The Council shall keep such records as are required for the performance of its functions under this Agreement". 
Article 12 – Decisions and r ecommendations of the Council 
"1. The Council shall endeavour to take all decisions and to make all recommendations by consensus.  If consensus cannot be rea ched, the Council shall 
take all decisions and make all recommendations by a simple dist ributed majority vote, unless this Agreement provides for a spe cial vote.  
2. Where a member avails itself of the provisions of article 11,  paragraph 2, and its votes are cast at a meeting of the Counci l, such member shall, for the 
purposes of paragraph 1 of this article, be considered as present and voting". 
Article 32 – General obligations of members  
"1. Members shall, for the duration of this  Agreement, use their best endeavours and cooperate to promote the attainment of its  objectives and to avoid any 
action contrary thereto.   
 WT/CTE/W/160/Rev.3 
TN/TE/S/5/Rev.1 Page 34  2. Members undertake to accept and carry out the decisions of the Council under the provisions of this Agreement and shall refr ain from implementing 
measures which would have the effect of limiting or running counter to them".  
 (2) Committees 
 Article 26:1 – Establishment of Committees 
"1. The following are hereby established as Committees of the Organization: 
(a) Committee on Economic Information and Market Intelligence (b) Committee on Reforestation and Forest Management 
(c) Committee on Forest Industry;  and  
(d) Committee on Finance and Administration".  
Article 27:1-5 – Functions of the Committees 
1. The Committee on Economic Information and Market Intelligence shall:   
(a) Keep under review the availability and quality of statisti cs and other information required by the Organization;   
(b) Analyze the statistical data and specific indicators as decided by the Council for the monitoring of international timber t rade;   
(c) Keep under continuous review the international timber mark et, its current situation and short-term prospects on the basis o f the data mentioned in 
sub-paragraph (b) above and other relevant information, including information related to undocumented trade;   
(d) Make recommendations to the Council on the need for, and nature of, appropriate studies on tropical timber, including price s, market elasticity, 
market substitutability, marketing of new products, and long-term prospects of the international tropical timber market, and mo nitor and review any 
studies commissioned by the Council;   
(e) Carry out any other tasks related to the economic, technical and statistical aspects of timber assigned to it by the Counci l;   
(f) Assist in the provision of technical cooperation to developing  member countries to improve their relevant statistical servi ces.  
2. The Committee on Reforestation and Forest Management shall:   
(a) Promote cooperation between members as partners in development of forest activities in member countries, inter alia , in the following areas:   
(i) Reforestation;   (ii) Rehabilitation;   
(iii) Forest management;   
(b) Encourage the increase of technical assist ance and transfer of technolo gy in the fields of reforestation and forest managem ent to developing 
countries;   
(c) Follow up on-going activities in this field, and identify and consider problems and possible solutions to them in cooperati on with the competent 
organizations;   (d) Review regularly the future needs of international trade in in dustrial tropical timber and, on this basis, identify and con sider appropriate possible 
schemes and measures in the field of reforestation, rehabilitation and forest management;   
(e) Facilitate the transfer of knowledge in the field of reforest ation and forest management with the assistance of competent o rganizations;   
(f) Co-ordinate and harmonize these activities for cooperation in the field of reforestation and fore st management with relevan t activities pursued 
elsewhere, such as those under the auspices of the Food and Agricultural Organization (FAO), the United Nations Environmental P rogramme (UNEP), 
the World Bank, the United Nations Development Programme (UNDP) , regional development banks and other competent organizations.  
3. The Committee on Forest Industry shall:   
(a) Promote cooperation between me mber countries as partners in the developmen t of processing activities in producing member co untries, inter alia , in 
the following areas:    
 WT/CTE/W/160/Rev.3
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Page 35 (i) Product development through transfer of technology;   
(ii) Human resources development and training;   
(iii) Standardization of nomenclature of tropical timber;   (iv) Harmonization of specifications of processed products;   
(v) Encouragement of investment and joint ventures;  and  
(vi) Marketing including the promotion of lesser known and lesser used species;   
(b) Promote the exchange of information in order to facilitate st ructural changes involved in increased and further processing in the interests of all 
member countries, in particular developing member countries;   
(c) Follow up on-going activities in this field, and identify and consider problems and possible solutions to them in cooperati on with the competent 
organizations;   
(d) Encourage the increase of technical coope ration for the processing of tropical timb er for the benefit of producing member c ountries.   
4. In order to promote the policy and project work of the Organization in a balanced manner the Committee on Economic Informati on and Market 
Intelligence, the Committee on Reforestation and Forest Management and the Committee on Forest Industry shall each:   
(a) Be responsible for ensuring the ef fective appraisal, monitori ng and evaluation of pre-projects and projects;   
(b) Make recommendations to the Council relating to pre-projects and projects;   
(c) Follow up the implementation of pre-projects and projects and provide for the collection and dissemination of their results  as widely as possible for 
the benefit of all members;   (d) Develop and advance policy ideas to the Council;   
(e) Review regularly the results of project and policy work and make recommendations to the Council on the future of the Organi zation's programme;   
(f) Review regularly the strategies, criteria and priority areas for programme development and project work contained in the Or ganization's Action Plan 
and recommend revisions to the Council;   
(g) Take account of the need to strength en capacity building and human resource development in member countries;   
(h) Carry out any other task related to the objectives of this Agreement assigned to them by the Council.  
5. Research and development shall be a common function of the Commi ttees referred to in paragraphs 1, 2, and 3 of this article" . 
Amendments and 
Protocols Article 42 – Amendments  
"1. The Council may, by special vote, recommend an  amendment of this Agreement to members.  
2. The Council shall fix a date by which members shall noti fy the depositary of their acc eptance of the amendment.  
3. An amendment shall enter into  force 90 days after the depositary has receive d notifications of acceptance from members const ituting at least two thirds 
of the producing members and accounting for at least 75 per cent of the votes of the producing members, and from members consti tuting at least two 
thirds of the consuming members and accounting for at least 75 per cent of the votes of the consuming members.  
4. After the depositary informs the Council that the requirements for entry into force of the amendment have been met, and notw ithstanding the provisions 
of paragraph 2 of this article relating to the date fixed by the Council, a member may still no tify the depositary of its accep tance of the amendment, 
provided that such notification is made before the entry into force of the amendment.  
5. Any member which has not notified its acceptance of an amendmen t by the date on which such ame ndment enters into force shall  cease to be a party to 
this Agreement as from that date, unless such member has satisfied the Council that  its acceptance could not be obtained in tim e owing to difficulties in 
completing its constitutional or institutional procedures, and the Council decides to extend for that member the period for acc eptance of the amendment.  
Such member shall not be bound by the amendmen t before it has notified its acceptance thereof.  
6. If the requirements for the en try 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".  
 WT/CTE/W/160/Rev.3 
TN/TE/S/5/Rev.1 Page 36 L. UN FISH STOCKS AGREEMENT  
17. The UN Fish Stocks Agreement is the Agreem ent for the Implementation of the Provisions of the UN Convention on the Law of the S ea (UNCLOS) of 10 December 1982 
relating to the Conservation and Management of Straddling Fish Stoc ks and Highly Migratory Fish Stocks (UN Fish Stocks Agreemen t).  Article 4 of the UN Fish Stocks Agreements 
on the Relationship between this Agreement and the Convention on th e Law of the Sea provides that "[n]othing in this Agreement shall prejudice the rights, jurisdiction and duties of 
States under the Convention.  This Agreement shall be interpreted and applied in the context of and in a manner consistent with  the Convention". 
Web site Æ http://www.un.org/Depts/los/convention_agreements/convention_overview_fish_stocks.htm 
Objective Æ The UN Fish Stocks Agreement seeks to ensure the long-term conservation and sustainable use of straddling and highly migratory fish stocks by 
requiring coastal States and States fishing on the high seas to cooperate for these purposes, either directly or through approp riate subregional or Regional 
Fisheries Management Organizations (RFMOs) or arrangements. 
Date of Signature 5 August 1995 
Entry into force 11 December 2001 
Parties 52 
WTO Members 40 Parties to the UN Fish Stocks  Agreement are also WTO Members. 
Openness of 
Membership Article 37 – Signature 
"This Agreement shall be open for signature by all States and the other entities 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, para graph 1 (c), (d) and (e), of the Convention and 
(ii) subject to article 47, to any entity referred to as an "i nternational 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". 
Article 305:1 of the UN Convention on the Law of the Sea – Signature 
"1. This Convention shall be open for signature by: 
(a) all States; (b) Namibia, represented by the UN Council for Namibia; 
(c) all self-governing associated States which have chosen that status in an act of self-determination supervised and approved by the UN in accordance 
with General Assembly resolution 1514 (XV) and which have compet ence over the matters governed by this Convention, including th e competence to 
enter into treaties in respect of those matters; 
(d) all self-governing associated States wh ich, in accordance with their respective in struments 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, rec ognized as such by the UN, but have not attained full indepen dence in accordance with 
General Assembly resolution 1514 (XV) and which have competence ov er the matters governed by this  Convention, including the com petence to enter 
into treaties in respect of those matters; (f) international organizations, in accordance with Annex IX".  
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TN/TE/S/5/Rev.1
Page 37Decision-Making 
Bodies 
 Article 36 – Review conference 
"1. Four years after the date of entry into  force of this Agreement, the Secretary-Ge neral of the UN shall convene a conference  with a view to assessing 
the effectiveness of this Agreement in securing the conservation and management of straddling fish stocks and highly migratory fish stocks.  The 
Secretary-General shall invite to the conference all States Pa rties and those States and entities which are entitled to become parties to this Agreement as 
well as those intergovernmental and non-governmental organizations entitled to participate as observers. 
2. The conference shall review and assess the adequacy of the pr ovisions of this Agreement and, if necessary, propose means of strengthening the 
substance and methods of implementation of those provisions in order better to address any continuing problems in the conservat ion and management of 
straddling fish stocks and highly migratory fish stocks". 
Æ The Agreement provides for a Review Conferen ce four years after the date of the entry into force of the Agreement (Article 36).   However, the 
General Assembly of the UN (UNGA) in its Resolution 56/13 of 28 November 2001 has requested the Secretary-General of the UN, on ce the Agreement 
entered into force, to consult with the States  Parties, for the purposes and objectives of, inter alia , considering the regional, subregional and global 
implementation of the Agreement;  making an y appropriate recommendation to  the GA on the scope and co ntent of the annual report  of the Secretary-
General relating to the Agreement;  and preparing for the review co nference to be convened by the Secretary-General pursuant to  Article 36 of the 
Agreement.   
Informal Consultations of States Parties 
Æ Pursuant to UNGA Resolution 56/13, Informal Consultations of States Parties were held in New York in 2002, 2003 and 2004.  
Amendments and 
Protocols Article 45 – Amendment 
"1. A State Party may, by written communication addressed to the Se cretary-General of the UN, propo se amendments to this Agreem ent and request the 
convening of a conference to consider such proposed amendments .  The Secretary-General shall ci rculate such communication to al l States Parties.  If, 
within six months from the date of the circulation of the communication, not less than one half of the States Parties reply fav ourably to the request, the 
Secretary-General shall convene the conference. 
2. The decision-making procedure applicable at the amendment conference convened pursuant to paragraph 1 shall be the same as t hat applicable at the 
UN Conference on Straddling Fish Stocks and Highly Migratory Fish Stocks, unless otherwise decided by the conference.  The conf erence should make 
every effort to reach agr eement on any amendments by way of consensus and th ere should be no voting on them until all efforts a t consensus have been 
exhausted. 
3. Once adopted, amendments to this Agreement shall be open for signature at United Nations Headquarters by States Parties for twelve months from the 
date of adoption, unless otherwise provided in the amendment itself. 
4. Articles 38, 39, 47 and 50 apply to all amendments to this Agreement. 5. Amendments to this Agreement shall en ter 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 tw o thirds of the States Parties.  Ther eafter, for each State Party ratifying or ac ceding to an amendment after the 
deposit of the required number of such instruments, the amendm ent shall enter into force on the thirtieth day following the dep osit of its instrument of 
ratification or accession. 
6. An amendment may provide that  a smaller or a larger number of ratifications  or accessions shall be required for its entry in to force than are required by 
this article.   7. A State which becomes a Party to this Agreement after the en try into force of am endments in accordance with paragraph 5 shal l, failing an expression 
of a different intention by that State: 
(a) be considered as a Party to this Agreement as so amended;  and (b) be considered as a Party to the unamended Agreement in  relation to any State Party not bound by the amendment".  
 WT/CTE/W/160/Rev.3 
TN/TE/S/5/Rev.1 Page 38 M. ROTTERDAM CONVENTION ON THE PRIOR INFORMED CONSENT PROCEDURE FOR CERTAIN HAZARDOUS CHEMICALS AND PESTICIDES IN INTERNATIONAL 
TRADE  
Web site http://www.pic.int/ 
Objective Æ The objective of the Rotterdam Co nvention is to promote shared responsibility a nd cooperative effort among Parties in the inter national trade of certain 
hazardous chemicals in order to protect huma n health and the environment from potential harm and to contribute to their environ mentally sound use, by 
facilitating information exchange about their characteristics, by providing for a national decision-making process on their imp ort and export and by 
disseminating these decisions to Parties. 
Æ The Convention provides that chemicals subject  to the Convention may be exported only in  accordance with an informed decision b y importing Parties. 
Date of Signature 10 September 1998 
Entry into force 24 February 2004 
Parties 80 
WTO Members 68 Parties to the Rotterdam Convention are also WTO Members. 
Openness of 
Membership Article 24 – Signature 
"This Convention shall be open for signature at Rotterdam by all States and regional economic integration organizations…". 
Article 25:1 – Ratifi cation, acceptance, ap proval or accession 
"1. This Convention shall be subject to ratif ication, acceptance or approval by States and by regional econ omic integration org anizations.  It shall be open 
for accession by States and by regional econom ic integration organizations from the da y after the date on which the Convention is closed for signature.  
Instruments of ratification, acceptance, approval or accession shall be deposited with the Depositary". 
Decision-Making 
Bodies Article 18:5-6 – Conference of the Parties 
"5. The COP shall keep under continuous review and evaluation the implementation of this Convention.  It shall perform the func tions assigned to it by 
the Convention and, to this end, shall: 
(a) Establish, further to the requirements of paragraph 6 below,  such subsidiary bodies, as it considers necessary for the impl ementation of the 
Convention; 
(b) Cooperate, where appropriate, with co mpetent international organizations and intergovernmental and non-governmental bodies;   and 
(c) Consider and undertake any additional action that may be requ ired 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 purpos es of performing the 
functions assigned to that Committee by this Convention.  In this regard: 
(a) The members of the Chemical Review Committee shall be appointed by the COP.  Membership of the Committee shall consist of a  limited number 
of government-designated experts in chemicals management.  The members of the Committee shall be appointed on the basis of equi table geographical 
distribution, including ensuring a balance between developed and developing Parties; 
(b) The COP shall decide on the terms of reference, organization and operation of the Committee; 
(c) The Committee shall make every effort to make its recommendations by consensus.  If all efforts at consensus have been 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". 
Æ In decisions RC-1/6 and RC-1/7, COP-1 established the Chemical Review Committee and Rules and Procedures for preventing and dea ling with 
conflicts of interest relating to the activities of the Chemical Review Committee.  
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Page 39Amendments and 
Protocols Article 21 – Amendments  to the Convention 
"1. Amendments to this Convention may be proposed by any Party. 
2. Amendments to this Convention shall be adopted at a meeting of the COP.  The text of any proposed amendment shall be communi cated to the Parties 
by the Secretariat at least six months befo re the meeting at which it is proposed for adoption.  The Secretariat shall also com municate the proposed 
amendment to the signatories to this Convention and, for information, to the Depositary. 
3. The Parties shall make every effort to reach agreement on any proposed amendment to this Convention by consensus.  If all ef forts at consensus have 
been exhausted, and no agreement reached, the amendment shall as a last resort be adopt ed by a three-fourth s majority vote of t he Parties present and 
voting at the meeting. 
4. The amendment shall be communicated by the Depositary  to all Parties for ratifica tion, acceptance or approval. 
5. Ratification, acceptance or approval of an  amendment shall be notified to the Depositary in writing.   An amendment adopted i n accordance with 
paragraph 3 shall enter into force for the Parties 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.  Therea fter, the amendment sh all enter into force for any other Party on the ninetieth day after the date 
on which that Party deposits its instrument of ra tification, acceptance or ap proval of the amendment". 
 
N. STOCKHOLM CONVENTION ON PERSISTENT ORGANIC POLLUTANTS  
Web site http://www.pops.int/ 
Objective Æ The aim of the Convention is to reduce or eliminate the release of Persistent Or ganic Pollutants (POPs) into the environment.  
Date of Signature 22 May 2001 
Entry into force 17 May 2004 
Parties 93 
WTO Members 78 Parties to the Stockholm Convention are also WTO Members. 
Openness of 
Membership Article 24 – Signature 
"This Convention shall be open for signature at Stockholm by all States and regional economi c integration organizations …". 
Article 25 – Ratification, accep tance, approval or accession 
"1. This Convention shall be subject to ratif ication, acceptance or approval by States and by regional econ omic integration org anizations.  It shall be open 
for accession by States and by regional econom ic integration organizations from the da y after the date on which the Convention is closed for signature.  
Instruments of ratification, acceptance, approval or accession shall be deposited with the Depositary". 
Decision-Making 
Bodies Article 19:5-7 – Conference of the Parties 
"5. The COP shall keep under continuous review and evaluation the implementation of this Convention.  It shall perform the func tions 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 co mpetent international organizations and intergovernmental and non-governmental bodies;   and 
(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 action 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 Commi ttee for the purposes of  
 WT/CTE/W/160/Rev.3 
TN/TE/S/5/Rev.1 Page 40 performing the functions assigned to that Committee by this Convention.  In this regard: 
(a) The members of the Persistent Organic Pollutants Review Commit tee shall be appointed by the COP.  Membership of the Committ ee shall consist of 
government-designated experts in chemical assessment or management.  The members of the Committee shall be appointed on the bas is of equitable 
geographical distribution; 
(b) The COP shall decide on the terms of reference, organization and operation of the Committee;  and 
(c) The Committee shall make every effort to adopt its recommendations by consensus.  If  all efforts at consensus have been exh austed, and no 
consensus reached, such recommendation shall as a last resort be adopted by a two-thirds majority vote of the members present a nd voting. 
7. The COP shall, at its third meeting, evaluate the continued need for the procedure contained in paragraph 2 (b) of Article 3 , including consideration of 
its effectiveness". 
Amendments and 
Protocols Article 21 – Amendments  to the Convention 
"1. Amendments to this Convention may be proposed by any Party. 
2. Amendments to this Convention shall be adopted at a meeting of the COP.  The text of any proposed amendment shall be communi cated to the Parties 
by the Secretariat at least six months befo re the meeting at which it is proposed for adoption.  The Secretariat shall also com municate proposed 
amendments to the signatories to this Conven tion and, for information, to the depositary. 
3. The Parties shall make every effort to reach agreement on any proposed amendment to this Convention by consensus.  If all ef forts at consensus have 
been exhausted, and no agreement reached, the amendment shall as a last resort be adopt ed by a three-fourth s majority vote of t he Parties present and 
voting. 
4. The amendment shall be communicated by the depositary  to all Parties for ratifica tion, acceptance or approval. 
5. Ratification, acceptance or appr oval of an amendment shall be notified to the depositary in wr iting.  An amendment adopted i n accordance with 
paragraph 3 shall enter into force for the Parties 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, th e amendment shall en ter into force for any other Party on the ninetieth day after the date 
on which that Party deposits its instrument of ra tification, acceptance or ap proval of the amendment". 
  
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TN/TE/S/5/Rev.1
Page 41II. TRADE-RELATED MEASURES 
A. INTERNATIONAL PLANT PROTECTION CONVENTION  
IPPC 1979 1997 Amendments 
Article V – Phytosanitary certificates 
"1. Each contracting party shall make arra ngements for the issuance of phytosanitary 
certificates to accord w ith the plant protection regulations  of other contracting parties, 
and in conformity with the following provisions: 
(a) Inspection shall be carried out and ce rtificates issued onl y by or under the 
authority of technically qualified and duly authorized officers and in such 
circumstances and with such knowledge and information available to those officers 
that the authorities of impo rting countries may accept such certificates with 
confidence as dependable documents. 
(b) Each certificate for the export or re-export of plants or plant products shall be as worded in the Annex to this Convention. 
(c) Uncertified alterations or erasures  shall invalidate the certificates. 
2. Each contracting party undertakes not to require consignments of plants or plant products imported into its territories to be accompanied by phytosanitary certificates 
inconsistent with the models set out in the Annex to this Convention.  Any requirement 
for additional declarations shall be kept to a minimum".  
Article VI – Requirements in relation to imports 
"1. With the aim of preventing the introduction of pests of plants and plant products 
into their territories, contracting parties shall have full authority to regulate the entry of plants and plant products and to this end, may: 
(a) prescribe restrictions or requirements  concerning the importation of plants or 
plant products; (b) prohibit the importation of particular plants or plant products, or of particular 
consignments of plants or plant products; 
(c) inspect or detain particular consig nments of plants or plant products; 
(d) treat, destroy or refuse entry to particular consignments of plants or plant 
products that do not comply with the requirements prescribed under subparagraph (a) 
or (b) of this paragraph, or require such consignments to be treated or destroyed or 
removed from the country; 
(e) list pests the introduction of which is pr ohibited or restricted because they are of 
potential economic importance to the country concerned. 
2. In order to minimize inte rference with international tr ade, each contracting party 
undertakes to carry out the provisions refe rred to in paragraph 1 of this Article in Article V – Phytosanitary certification 
"1. Each contracting party shall make arrangements for phytosanitary certification, with 
the objective of ensuri ng that exported plants, plant products and other regulated articles 
and consignments thereof are in conformity  with the certifying statement to be made 
pursuant to paragraph 2(b) of this Article. 2. Each contracting party shall make arrangements for the issuance of phytosanitary 
certificates in conformity with the following provisions: 
a) Inspection and other related activities leading to issuance of phytosanitary 
certificates shall be carried ou t only by or under the authority of the official national 
plant protection organization.  The issuan ce of phytosanitary certificates shall be 
carried out by public officers  who are technically qualified and duly authorized by the 
official national 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 ph ytosanitary certificat es with confidence 
as dependable documents. 
b) Phytosanitary certificates, or their el ectronic equivalent where accepted by the 
importing contracting party concerned, shall be  as worded in the models set out in the 
Annex to this Convention.  These certificat es should be completed and issued taking 
into account relevant international standards. c) Uncertified alterations or erasur es shall invalidate the certificates. 
3. Each contracting party undertakes not to require consignments of plants or plant 
products or other regulated articles imported into its territories to be accompanied by phytosanitary certificates inconsistent with the models set out in the Annex to this 
Convention.  Any requirements for additional declarations shall be limited to those 
technically justified". 
Article VII – Requirements in relation to imports 
"1. With the aim of preventing the introduction and/or spread of regulated pests into their 
territories, contracting parties shall have so vereign authority to regulate, in accordance 
with applicable international agreements, the entry of plants and plant products and other 
regulated articles and, to this end, may:   
(a) prescribe and adopt phytosanitary measures concerning the importation of plants, 
plant products and other regulated articles, including, for example, inspection, 
prohibition on importation, and treatment;    
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conformity with the following: 
(a) Contracting parties shall not, under their plant protection legislation, take any of 
the measures specified in paragraph 1 of th is Article unless such measures are made 
necessary by phytosanitary considerations. 
(b) If a contracting party prescribes any restrictions or requirements concerning the 
importation of plants and plant products into its territories, it shall publish the restrictions or requirements and comm unicate them immediately to FAO, any 
regional plant protection organization of which the contracting party is a member 
and all other contracting parties directly concerned. (c) If a contracting party prohibits, under the provisions of its plant protection 
legislation, the importation of any plants  or plant products, it shall publish its 
decision with reasons and shall immediately inform FAO, any regional plant 
protection organization of which the contracting party is a member and all other 
contracting parties directly concerned. (d) If a contracting party requires consignments of particular plants or plant products 
to be imported only through specified points of entry, such points shall be so 
selected as not unnecessarily to impede international commerce.  The contracting 
party shall publish a list of such points of entry and communicate it to FAO, any 
regional plant protection organization of which the contracting party is a member 
and all other contracting parties directly concerned.  Such restrictions on points of entry shall not be made unless the plants or plant products concerned are required to 
be accompanied by phytosanitary certificates or to be submitted to inspection or 
treatment. (e) Any inspection by the plant protection organization of a contracting party of 
consignments of plants or plant products  offered for importation shall take place as 
promptly as possible with due regard to the perishability of the plants or plant products concerned.  If any commercial or certified consignment of plants or plant 
products is found not to conform to the requirements of the plant protection 
legislation of the importing country, the plant protection organization of the importing country must ensure that the plant protection organization of the exporting 
country is properly and adequately informed.  If the consignment is destroyed, in 
whole or in part, an official report sh all be forwarded immediately to the plant 
protection organization of the exporting country. 
(f) Contracting parties shall make provisio ns which, without endangering their own 
plant production, will keep certification re quirements to a minimum, particularly for 
plants or plant products not intended for pl anting, such as cereals, fruits, vegetables 
and cut flowers. (g) Contracting parties may make provisions, with adequate safeguards, for the 
importation for purposes of scientific research or education, of plants and plant (b) refuse entry or detain, or require treatment, destruction or removal from the 
territory of the contracting party, of plants, plant products and other regulated articles 
or consignments thereof that do not comply 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 agents and other organisms of phytosanitary concern claimed to be beneficial into their territories.  
2. In order to minimize interference with international trade, each contracting party, in 
exercising its authority under paragraph 1 of th is Article, undertakes to act in conformity 
with the following:   
(a) Contracting parties shall not, under their phytosanitary legislation, take any of the 
measures specified in paragraph 1 of this  Article unless such measures are made 
necessary by phytosanitary consideratio ns and are technically justified.  
(b) Contracting parties shall, immediatel y upon their adoption, publish and transmit 
phytosanitary requirements, restrictions and prohibitions to any contracting party or 
parties that they believe may be directly affected by such measures.  
(c) Contracting parties shall, on request, make available to any contracting party the rationale for phytosanitary requirements, restrictions and prohibitions.  
(d) If a contracting party requires consignments of particular plants or plant products 
to be imported only through specified points of entry, such points shall be so selected as not to unnecessarily impede international trade.  The contracting party shall publish 
a list of such points of entry and communicat e it to the Secretary,  any regional plant 
protection organization of which the contracting party is a member, all contracting parties which the contracting party believes to be directly affected, and other 
contracting parties upon request.  Such restrictions on points of entry shall not be made 
unless the plants, plant products or other regulated articles concerned are required to be accompanied by phytosanitary certificates  or to be submitted to inspection or 
treatment.  
(e) Any inspection or other phytosanitary procedure required by the plant protection organization of a contracting party for a consignment of plants, plant products or other 
regulated articles offered for importation, sha ll take place as promptly as possible with 
due regard to their perishability.  
(f) Importing contracting parties shall, as soon as possible, inform the exporting 
contracting party concerned or, where appropriate, the re-exporting contracting party concerned, of significant instances of non-compliance with phytosanitary certification.  
The exporting contracting party or, where appropriate, the re-e xporting contracting 
party concerned, should investigate and, on request, report the result of its investigation to the importing contracting party concerned.  
(g) Contracting parties shall institute only ph ytosanitary measures that are technically  
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products and of specimens of plant pests.  Adequate safeguards likewise need to be 
taken when introducing biological control agents and organisms claimed to be 
beneficial. 
3. The measures specified in this Article shall not be applied to goods in transit 
throughout the territories of contracting part ies unless such measures are necessary for 
the protection of their own plants. 4. FAO shall disseminate information received on importation restrictions, 
requirements, prohibitions and regulations (as specified in paragraph 2(b), (c) and (d) 
of this Article) at frequent intervals to all contracting parties and regional plant 
protection organizations". justified, consistent with the pest risk involved and represent the least restrictive 
measures available, and result in the minimum impediment to the international 
movement of people, commodities and conveyances.  (h) Contracting parties shall, as conditions change, and as new facts become available, 
ensure that phytosanitary measures are promptly modified or removed if found to be 
unnecessary.  (i) Contracting parties shall, to the best of their ability, establish and update lists of 
regulated pests, using scientific names, and make such lists availa ble to the Secretary, 
to regional plant protection organizations of which they are members and, on request, 
to other contracting parties.  
(j) Contracting parties shall, to the best of their ability, conduct surveillance for pests 
and develop and maintain adequate information on pest status in order to support 
categorization of pests, and for the de velopment of appropriate phytosanitary 
measures.  This information shall be made available to contracting parties, on request.  
3. A contracting party may apply measures specified in this Article to pests which may 
not be capable of establishment in its territori es but, if they gained entry, cause economic 
damage.  Measures taken against these pests must be technically justified.  4. Contracting parties may apply measures speci fied in this Article to consignments in 
transit through their territories  only where such measures are technically justified and 
necessary to prevent the introduction and/or spread of pests.  5. Nothing in this Article shall prevent importing contracting parties from making special 
provision, subject to adequate safeguards, for the importation, for the purpose of 
scientific research, education, or other specific use, of plants and plant products and other regulated articles, and of plant pests.  
6. Nothing in this Article shall prevent any contracting party from taking appropriate 
emergency action on the detection of a pest posing a potential threat to its territories or the report of such a detection.  Any such ac tion shall be evaluated as soon as possible to 
ensure that its continuance is justified.  The action taken shall be immediately reported to 
contracting parties concerned, the Secret ary, and any regional plant protection 
organization of which the contracting party is a member". 
Examples of International Standards for Phytosanitary Measures (ISPMs) adopted under IPPC relevant to trade: 
ISPM # 01:  Principles of plant quaran tine as related to international trade 
ISPM # 02:  Guidelines for pest risk analysis 
ISPM # 03:  Code of conduct for the import and release of exotic biological control agents 
ISPM # 04:  Requirements for the establishment of Pest Free Areas ISPM # 07:  Export certification system 
ISPM # 10:  Requirements for the establishment of pest  free places of production and pest free production sites 
ISPM # 11:  Pest risk analysis for quarantine pests including analysis of environmental risks and living modified organisms  
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ISPM # 11 Rev. 1:  Pest Risk Analysis for quarantine pests including analysis of environmental risks 
ISPM # 12:  Guidelines for phytosanitary certificates 
ISPM # 14:  The use of integrated measures in  a systems approach for pest risk management 
ISPM # 15:  Guidelines for regulating wood packaging material in international trade 
ISPM # 16:  Regulated non-quarantine pests:  concept and application 
ISPM # 18:  Guidelines for the use of irradiation as a phytosanitary measure ISPM # 20:  Guidelines for a phytosanitary import regulatory system 
ISPM # 21:  Pest risk analysis for regulated non quarantine pests 
 
B. INTERNATIONAL CONVENTION FOR THE CONSERVATION OF ATLANTIC TUNAS  
18. The International Commission for the Conservation of Atlantic Tunas (ICCAT) is not a regulatory body, however, regulatory Recom mendations and Resolutions related to 
the conservation of tuna and tuna-like spec ies in the Atlantic Ocean a nd adjacent seas, adopted by the Commission, are to be im plemented domestically by Contracting Parties and 
Cooperating non-Contracting Partie s, Entities or Fishing Entities.  Recommendations are the only binding instruments.  They are  subject to a six-month period during which 
Contracting Parties can file an objection (see Article VIII:3).  The Recommendations th en enter into force after the six-month objection period.  Resolutions are a second instrument of 
the Commission, but are not subject to an objection period.  The number of Resolutions and Recommendations that the Commission adopts each year has been increasing.  They 
include the following: 
1. Resolutions 
Resolution 99-11 
Further Actions Against 
IUUs  Resolution Calling for Further Actions Agains t Illegal, Unregulated, and Unreported Fi shing Activities by Large-Scale Longline Vessels in 
the Convention Area and Other Ar eas (Transmitted to Contracting Parties on  16 December 1999)  
"... 2. The Contracting Parties, Cooperatin g Non-Contracting Parties, Entities or Fi shing Entities shall take every possible ac tion, consistent with the 
relevant laws,  
i. to urge their importers, transporters and other concerned bus iness people to refrain from engaging in transaction and transs hipment of tunas and 
tuna-like species caught by vessels carrying out illegal, unregulated and unreported fishing activities in the Convention Area and other areas. ..." 
Resolution 01-18 
Scope of IUU Fishing  Resolution Further Defining the Scop e of IUU Fishing (Transmitted to Cont racting Parties on  22 March 2002) 
"... Contracting Parties and Cooperating Non-Contracting Parties, Entities and Fish ing Entities shall take every possible actio n, consistent with 
relevant laws, to instruct their importers, transporters, and other concerned business people to refrain from engaging in trans action and transshipment 
of tunas and tuna-like species caught by vessels carrying out illegal, unregulated, and unreported fishing activities, which in clude, inter alia , any 
fishing not in compliance with relevant ICCAT conservation and management measures, in the Convention Area or other areas." 
Resolution 02-25  
Measures to Prevent the 
Laundering of Catches 
by IUU Large-Scale 
Tuna Longline Fishing Resolution concerning the Measures to Prevent the Laundering of Catches by IUU Large-Scale Tuna  Longline Fishing Vessels (Trans mitted 
to Contracting Partie s on 4 December 2002) 
"... 1. Contracting Parties, Cooperating n on Contracting Parties, Entities or Fishing Entities (hereinafter referred to as the "CPCs") should ensure that 
their duly licensed large-scale tuna longline fishing vessels have a prior authorization of at sea or in port transshipment and  obtain the validated 
Statistical Document, whenever possible, pr ior to the transshipment of their tuna and tuna-like species subject to the Statisti cal Document Programs.  
They should also ensure that transshipments are consistent with  the reported catch amount of each vessel in validating the Stat istical Document and  
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2. CPCs that import tuna and tuna-like species caught by large- scale tuna longline fishing vessels and subject to the Statistic al Document Programs 
should require transporters (which  include container vessels, mother vessels, and the like) that intend to land such species in  their ports, to ensure that 
Statistical Documents are issued, whenever possible before the transshipment.  Importing CPCs should obligate the transporters to submit necessary 
documents, including a copy of the validated Statistical Docume nt and other documents, as required under domestic regulation, s uch as the receipt of 
transshipment, to the importing CPCs’ author ities immediately after the transshipment". 
Resolution 02-26 
Cooperative Actions to 
Eliminate IUU Fishing 
Activities by Large-Scale 
Tuna Longline Vessels 
(LSTLVs) Resolution concerning Cooperative Actions to  Eliminate IUU Fishing Activities by Larg e-Scale Tuna Longline Vessels (Transmitted  to 
Contracting Parties on 4 December 2002) 
"... 1. Japan and Chinese Taipei should further work together to  eliminate the remaining IUU LSTLVs owned and/or operated by Ch inese Taipei’s 
residents. 
2. Japan should work closely with the flag States of LSTLVs and if appropriate take joint action, so as to implement the Recomm endation smoothly 
and satisfactorily and to achieve th e objective of paragraph 1 above. 
3. The Commission urges Chinese Taipei to consider adopting appropriate domestic legislation to improve its ability to control its residents that 
invest in or otherwise support or engage in IUU fishing. 
4. Contracting Parties, Cooperating non-C ontracting Parties, Entities or Fishing Entities should urge and may instruct their re sidents to refrain from 
engaging in and/or associating with activ ities that may support IUU tuna longline fi shing vessels and with any other activities  that undermine the 
effectiveness of ICCAT conservation and management measures". 
Resolution 02-27 
Process and Criteria for 
ICCAT IUU Trade 
Restrictive Measures Resolution concerning Process and Criteria for ICCAT IUU Trade Restrictive Measures (Transmitted to Contracting Parties on 
4 December 2002) 
"... 1. A Working Group meeting of Contracting Parties and Coop erating non-Contracting Partie s, Entities or Fishing Entities sh ould be convened in 
2003, preferably in conjunction with another inter-sessional meeting, to develop criteria and a process for the fair, transpare nt and consistent 
application of ICCAT measures, including  trade restrictive measures, to preven t, deter and eliminate IUU fishing. 
2. In carrying out its task, the Working Group should: 
a) review the processes for the imposition or removal of tr ade restrictive measures under existing ICCAT instruments; 
b) further develop and elaborate criteria and consistent procedures allowing for the imposition or removal of trade restrictive  measures in a fair, 
transparent and nondiscriminatory manner an d in accordance with international law, including principles, rights and obligations  laid down in WTO 
Agreements; 
c) consider all relevant factors, including possible differences between Contracting Parties and non-Contracting Parties; d) develop and elaborate, as appropriate, additional measures for the listing or de-listing of IUU fishing vessels to other typ es of IUU fishing 
activities that are not yet covered by existing ICCAT instruments;  and 
e) report to the Commission at its annual meeting in 2003. ..." 
Resolution 03-15 
Trade measures Resolution concerning trade measu res (Transmitted to Contractin g Parties on 19 December 2004) 
"... 6. The Compliance Committee or the PWG should evaluate the resp onse of the CPCs or NCPs, toge ther with any new information , and propose 
to the Commission to decide upon  one of the following actions: ... 
c) the adoption of non-discriminatory trade restrictive measures. 
In the case of CPCs, actions such as the reduction of existing quotas or catch limits should be implemented to the extent possi ble before 
consideration is given to the application of trade restrictive m easures.  Trade measures should be considered only where such a ctions 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  
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TN/TE/S/5/Rev.1 Page 46 the Convention to take non-discriminatory tr ade restrictive measures, consistent with their international obligations.  The Com mission should notify 
the CPCs and NCPs concerned of the decision and the underlying reasons in accordance with the procedures specified in paragraph  5. 
8. CPCs should notify the Commission of any measures that they  have taken for the implementation of the non-discriminatory trad e restrictive 
measures adopted in accordance with paragraph 7. 
9. In order for the Commission to recommend the lifting of trad e restrictive measures, the Comp liance Committee or the PWG shou ld review each 
year all trade restrictive measures adopted in accordance with paragraph 7.  Should this  review show that the situation has bee n rectified, the 
Compliance Committee or PWG should recommend to the Commission the lifting of the non-discriminatory trade restrictive measures .  Such 
decisions should also take into consideration whether the CPCs and/or NCPs concerned have taken concrete measures capable of ac hieving lasting 
improvement of the situation. 10. Where exceptional circumstances so warra nt or where available information clearly  shows that, despite the lifting of trade- restrictive measures, 
the CPC or NCP concerned continues to diminish the effectiveness of ICCAT conservation and management measures, the Commission may 
immediately decide on action incl uding, as appropriate, the imposition of trade-re strictive measures in accordance with paragra ph 7.  Before making 
such a decision, the Commission should request the CPC or NCP concerned to discontinue its wrongful conduct and should provide the CPC or NCP 
with a reasonable opportunity to respond. 11. The Commission should establish annually a list of CPCs and NC Ps that have been subject to a trade restrictive measure purs uant to paragraph 7 
and, with respect to NCPs, are considered as non-Cooperating non-Contracting Parties to ICCAT. 
12. The Resolution by ICCAT  Concerning an Action Plan to Ensure Effectiveness of the Conservation Program for Atlantic Bluefin Tuna [94-3], the 
Resolution by ICCAT Concerning an Action Plan to Ensure the E ffectiveness of the Conservation Program for Atlantic Swordfish [95-13] and the 
Resolution by ICCAT Concerning the Unreported and Unregulated Catches of Tunas by Large-scale Longline Vessels in the Conventio n Area [98-
18] are replaced by the present Resolution.  For the purposes of this paragraph, CPCs and NCPs that are under sanction pursuant  to one or more of 
these three Resolutions are deemed to be sanctioned under the pr esent Resolution, provided that this will not result in any gre ater level of sanction 
than that already imposed".  
 
2. Recommendations 
Recommendation 96-11  
Belize & Honduras:  
Pursuant to 1994 Bluefin 
Tuna Action Plan 
Resolution Recommendation Regarding Belize and Honduras Pursuant to the 1994 Bluefin Tuna Action  Plan Resolution (Entered into force on 
4 August 1997) – Article (a) 
"... (a) Contracting Parties take appropriat e measures, consistent with provisions of  the "Resolution by ICCAT Concerning an Ac tion Plan to Ensure 
Effectiveness of the Conservation Program for Atlantic Bluefin Tuna ", to the effect that the import of Atlantic bluefin tuna an d its products in any 
form from Belize and Honduras be prohib ited, effective from the time this R ecommendation enters into force. ..." 
Æ The import ban was lifted for Honduras, effective on 21 September 2002 ( Recommendation 01-15 – Lifting of Bluefin Tuna and Swordfish Import 
Ban on Honduras ). 
Æ  In the case of Belize, pending a satisfactory review of Be lize’s progress in 2003, the Commission will consider the lifting o f sanctions against 
Belize on 1 January 2004 ( Recommendation 02-16 – Importation of Atlantic Bluefin Tuna, Atlantic Swordfish, and Atlantic Bigeye Tuna and their 
Products from Belize ). 
Recommendation 96-12 
Panama:  Pursuant to 
1994 Bluefin Tuna 
Action Plan Resolution  Recommendation Regarding Panama Pursuant to the 1994 ICCAT Bluefin Tuna Action Plan Resolution (Entered into force on 
4 August 1997)  
"... (a) Contracting Parties take appropriat e measures, consistent with provisions of  the "Resolution by ICCAT Concerning an Ac tion Plan to Ensure 
Effectiveness of the Conservation Program for Atlantic Bluefin Tuna ", to the effect that the import of Atlantic bluefin tuna an d its products in any  
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Page 47form from Panama be prohibited, effective from 1 January 1998, unless the Commission decides, on the basis of documentary evide nce, at its 1997 
meeting or before, that Panama has brought its fishing practices for Atlantic bluefin tuna into consistency with ICCAT conserva tion and management 
measures." 
Æ The import ban was lifted for Panama in 1999 ( Recommendation 99-9 – Panama:  Lift Bluefin Tuna Import Prohibition ) 
Recommendation 96-14 
Compliance in Bluefin & 
North Atlantic Swordfish 
Fisheries  Recommendation Regarding Compliance in the Bl uefin Tuna and North Atlantic Swordfish Fisheries (Entered into force on 4 August 1997)  
"… 3. ... if any Contracting Party exceeds its catch limit durin g any two consecutive management periods, the Commission will r ecommend 
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 und er this paragraph will be import restrictions on the subject s pecies and consistent 
with each Party's international ob ligations.  The trade m easures will be of such duration an d under such conditions as the Comm ission may 
determine." 
Æ This recommendation was extended to South Atlantic swordfish fishery, effective on 24 September 1998 ( Recommendation 97-8 – Compliance in 
the South Atlantic Swordfish Fishery ) 
Recommendation 99-08 
Belize & Honduras:  
Pursuant to 1995 
Swordfish Action Plan Recommendation Regarding Belize an d Honduras Pursuant to the 19 95 Swordfish Action Plan Reso lution (Entered into force on 
15 June 2000)  
"... (a) Contracting Parties take appropriate measures, consistent with provisions  of the Resolution by ICCAT for an Action Pla n to Ensure the 
Effectiveness of the Conservation Program for Atlantic Swordfish, to the effect that the import of Atlantic swordfish and its p roducts in any form 
from Belize and Honduras be prohibited, effective fr om the time this Recommendation enters into force." 
Æ The import ban was lifted for Honduras in 2001 ( Recommendation 01-15 – Lifting of Bluefin Tu na and Swordfish Import Ban on Honduras ) 
Æ In the case of Belize, pending a satisfactory review of Be lize’s progress in 2003, the Commission will consider the lifting of  sanctions against 
Belize on 1 January 2004 ( Recommendation 02-16 – Importation of Atlantic Bluefin Tuna, Atlantic Swordfish, and Atlantic Bigeye Tuna and their 
Products from Belize ). 
Recommendation 99-10 
Equatorial Guinea:  
Pursuant to 1996 Com-
pliance Recommendation 
- Bluefin Tuna and NA 
Swordfish Fisheries  Recommendation Regarding Equatorial Guinea Pursuant to the 1996 "Reco mmendation Regarding Complian ce in the Bluefin Tuna and 
North Atlantic Swordfish Fisheries (Ent ered into force on 15 June 2000)  
"... (a) Contracting Parties take appropriat e measures, consistent with provisions of  the 1996 Recommendation Regarding Complia nce in the Bluefin 
Tuna and North Atlantic Swordfish Fisheries to the effect that the import of Atlantic bluefin tuna and its products in any form  from Equatorial 
Guinea be prohibited, effective from the time this Recommendation enters into force." 
Recommendation 00-15  
Belize, Cambodia, 
Honduras, St. Vincent & 
The Grenadines:  
Pursuant to 1998 IUU 
Resolution Recommendation Regarding Belize, Cambodia, Ho nduras, and St. Vincent and the Grenadines Pursuant to the 1998 Resolution Concern ing 
the Unreported and Unregulated Catches of Tuna by Large-Scale Lo ngline Vessels in the Convention Area (Entered into force on 
15 October 2001)  
"... 1. Contracting Parties take appropriate measures, consistent with provisions of the 1998 Resolution, to the effect that th e import of Atlantic 
bigeye tuna and its products in any form from Belize, Cambodia, Honduras and St. Vincent and the Grenadines be prohibited, effe ctive from the time 
this Recommendation enters into force…". 
Æ A similar import ban was recommended for Equatorial Guinea, effective on 26 June 2001 ( Recommendation 00-16 – Equatorial Guinea Pursuant 
to 1998 IUU Resolution ). 
Æ The import ban of Atlantic bigeye tuna was lifted for St. Vincent and the Grenadines, effective on 21 September 2002 (Recommend ation 01-14 – 
Lifting of Bigeye Tuna and Bigeye Tuna Products Import Ban on St. Vincent).  
 WT/CTE/W/160/Rev.3 
TN/TE/S/5/Rev.1 Page 48 Æ The import ban of Atlantic bigeye tuna wa s initially to be lifted for St. Vincent and the Grenadines on 1 January 2003 (Recomme ndation 01-14 – 
Lifting of Bigeye Tuna and Bigeye Tuna Products Import Ban on St. Vincent and the Grenadines), however at the 2002 meeting of t he Commission 
this was amended to 1 January 2004, pending satisfactory review (Recommendation 02-20 – Trade Sanction against St. Vincent and the Grenadines).  
Æ In the case of Belize, pending a satisfactory review of Beli ze’s progress in 2003, the Commission will consider the lifting of sanctions against 
Belize on 1 January 2004 (Recommendation 02-16 – Importation of Atlantic Bluefin Tuna, Atlantic Swordfish, and Atlantic Bigeye Tuna and their 
Products from Belize). 
Æ The import ban of Atlantic bigeye tuna was lifted for Honduras at the 2002 meeting of the Commission (Recommendation 02-18 – Th e 
Importation of Bigeye Tuna and its Products From Honduras). 
Recommendation 02-17 
Bolivia:  pursuant to the 
1998 IUU Resolution Recommendation Regarding Bolivia pursuant to the 1998 Resolution Concerning the Unrepor ted and Unregulated Catches of Tuna by 
Large-Scale Longline Vessels in the Convention  Area (Enters into force in June 2003) 
"... Contracting Parties and Cooperating non- Contracting Parties, Entities or Fishing Entities take appropriate measures, consi stent with provisions of 
the 1998 Resolution, to the effect that the import of Atlantic bigeye tuna and its products in any form from Bolivia be prohibi ted, effective from the 
time this Recommendation…".  
Recommendation 02-19  
Trade Restrictive 
Measures on 
Sierra Leone Recommendation for Trade Restrictive Measures on Sierra Leone (Enters into force in June 2003)  
"... Contracting Parties and Cooperating non- Contracting Parties, Entities or Fishing En tities take appropriate measures consis tent with the provisions 
of the 1998 Resolution to the effect that the import of Atlantic  bigeye tuna, Atlantic swordfish and Atlantic bluefin tuna and their products in any 
form from Sierra Leone be prohibited effective from  the time this Recommendation enters into force…". 
Recommendation 02-22 
Establishment of an 
ICCAT Record of 
Vessels over 24 Meters 
Authorized to Operate in 
the Convention Area Recommendation Concerning the Establishment of an ICCAT Record of  Vessels over 24 Meters Authorized to Operate in the Conventio n 
Area  (Positive List) (Enters into force in June 2003) 
"... 1. The Commission shall establish and ma intain an ICCAT record of fishing vessels  larger than 24 meters in length overall (hereinafter referred 
to as "large scale fishing vessels" or "L SFVs") authorized to fish for tuna and t una-like species in the Convention Area.  For the purpose of this 
recommendation, LSFVs not entered into the record are deemed not to  be authorized to fish for, retain on board, transship or la nd tuna and tuna-like 
species…".  
Recommendation 02-23 
Establishment of a List of 
Vessels Presumed to 
Have Carried out Illegal, 
Unreported and 
Unregulated Fishing 
Activities in the ICCAT 
Convention Area Recommendation Concerning the Establishment of  a List of Vessels Presumed to Have Ca rried out Illegal, Un reported and Unregulat ed 
Fishing Activities in the ICCAT Convention Area  (Negative List) (Enters into force in June 2003) 
"… 9. Contracting Parties and Cooperatin g non-Contracting Parties, Entities or Fishi ng Entities shall take all necessary measur es, under their 
applicable legislation: 
a) So that the fishing vessels, the mother ships and the cargo vessels flying their fl ag do not participate in any transshipmen t with vessels registered 
on the IUU list; 
b) So that IUU vessels that enter ports voluntarily are not authorized to land  or transship therein; 
c) To prohibit the chartering of a vessel included on the IUU list; 
d) To refuse to grant their flag to vessels included in the IUU list, except if the vessel has changed owner;  and the new owne r has provided 
sufficient evidence demonstrating the previous owner or operator has no further legal, beneficial or financial interest in, or control of, the vessel, or 
having taken into account all relevant facts, the flag Contrac ting Party or Cooperating non-Cont racting Party, Entity or Fishin g Entity determines 
that granting the vessel its flag will not result in IUU fishing; e) To prohibit the imports, or landing and/or transshipment, of  tuna and tuna-like species from vessels included in the IUU lis t; 
f) To encourage the importers, transporters and other sectors conc erned, to refrain from transaction and transshipment of tuna and tuna-like species 
caught by vessels included in the IUU list;  
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Page 49g) To collect and exchange with other Contracting Parties or  Cooperating non-Contracting Pa rties, Entities or Fishing Entities any appropriate 
information with the aim of searching, controlling and preventin g false import/export certificates regarding tunas and tuna-lik e species from 
vessels included in the IUU list...".  
Recommendation 03-16 
Additional Measures 
Against Illegal, 
Unreported and 
Unregulated Fishing Recommendation to Adopt Addi tional Measures Against Illegal, Unreported and Un regulated Fishing (Enters into force on 19 June 2 004) 
"… Consistent with their rights and obligations under interna tional law, Contracting Parties an d Cooperating non-Contracting Pa rties, Entities or 
Fishing Entities (hereafter referred to as CP Cs) take the necessary measures to prohib it 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 03-17 
Trade Measures against 
Equatorial Guinea Recommendation Concerning the Cont inuance of Trade Measures against Equatorial Guinea (Enters into fo rce on 19 June 2004) 
"… 1. Contracting Parties continue to take appropriate measures consistent with the provisions of the Recommendation by ICCAT R egarding 
Compliance in the Bluefin Tuna and North Atlantic Swordfish Fisheries [96-14] and the Resolution by ICCAT Concerning the Unrepo rted and 
Unregulated Catches of Tunas by Large-scale Longline Vessels in the Convention Area [98-18] to the effect of prohibiting the im port of Atlantic 
bluefin tuna and Atlantic bigeye tuna and their products in an y form from Equatorial Guinea, effective from the entry into forc e of this 
Recommendation. ... 
3. The Contracting Parties will lift the import prohibitions adopt ed in this Recommendation upon the decision of the Commission , and upon 
notification from the ICCAT Executive Secretary that Equatorial Guinea’s fishing activities have been brought into conformity w ith ICCAT 
conservation and management measures".  
Recommendation 03-18 
Trade Restrictive 
Measures on Bigeye 
Tuna against Georgia Recommendation for Bigeye Tuna Trade Restrictive Measures on Georgia (E nters into force on  19 June 2004) 
"… 1. Contracting Parties, Cooperating non-Contracting Parties, Entities, or Fishing Entities take appropriate measures consist ent with the provisions 
of the Resolution [98-18] to the effect that the import of Atlantic bigeye tuna and its products in any form from Georgia be pr ohibited effective from 
the time this Recommendation enters into force. 
2. Contracting Parties, Cooperating non-C ontracting Parties, Entities or Fishing Entities lift the import prohibitions on Georg ia upon the decision of 
the Commission and receipt of notif ication from the ICCAT Executiv e Secretary that fishing practi ces of Georgia have been broug ht into conformity 
with ICCAT measures".  
Recommendation 04-13  
Lifting of Trade 
Sanctions against 
Equatorial Guinea Recommendation Concerning the Lifting of Tr ade Sanctions against Equatorial Guinea (N ot yet in force as of  21 December 2004) 
"… 1. Contracting Parties and Cooperating non-Contracting Pa rties, Entities or Fishing Entities shall lift he import prohibitio ns on Atlantic bigeye 
tuna and Atlantic bluefin tuna and their products that were imposed on Equatorial Guinea pursuant to the 1999 and 2000 Recommen dations. 
2. Notwithstanding the provisions of Article VIII, paragraph 2, of the Convention, the Contracting Parties and Cooperating Non- Contracting Parties, 
Entities or Fishing Entities shall implement this recommendation as soon as possible in accordance with their regulatory proced ures. 
3. The ICCAT Secretariat continue providin g Equatorial Guinea with the technical a ssistance necessary for the implementation of  a statistical-fishing 
data system so that this country can fully adapt to the ICCA T requirements concerning the submission of statistical data. ..."  
Recommendation 04-14 
Lifting of Trade 
Restrictive Measures 
against Sierra Leone Recommendation Concerning the Lifting of Bi geye Tuna, Bluefin Tuna and Swordfish Trade Restrictive Measures against Sierra Leon e 
(Not yet in force as of 21 December 2004) 
"… 1. Contracting Parties and Cooperatin g non-Contracting Parties, Entities or Fish ing Entities (CPCs) shall lift the  import p rohibitions on Atlantic 
bigeye tuna, bluefin tuna, and swordfish and their products in any form that was imposed on Sierra Leone pursuant to the Recomm endation by 
ICCAT for Trade Restrictive Measures  on Sierra Leone [Rec. 02-19]; 
2. Notwithstanding the provisions of Article VIII, paragraph 2, of the Convention, the CPCs shall implement this recommendation  as soon as 
possible in accordance with their internal regulatory procedures. ..."  
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TN/TE/S/5/Rev.1 Page 50 Recommendation 04-15 
Lifting of Trade 
Restrictive Measures 
against Cambodia Recommendation Concerning the Lifting of Bigeye  Tuna Trade Restrictive Measures against Cambodia (Not yet in force as of 21 Dec ember 
2004) 
"… 1. Contracting Parties and Cooperati ng non-Contracting Parties, Entities or Fi shing Entities (CPCs) shall lift the import pr ohibition on Atlantic 
bigeye tuna and its products that was imposed on Cambodia pursuant to the Recommendation by ICCAT Regarding Belize, Cambodia, H onduras, 
and St. Vincent and the Grenadines Pursuant to the 1998 Resolution Concerning the Unreported and Unregulated Catches of Tuna by  Large-Scale 
Longline Vessels in the Convention Area [Rec. 00-15];   2. Notwithstanding the provisions of Article VIII, Paragraph 2 of  the Convention, CPCs shall implement this recommendation as s oon as possible, in 
accordance with their internal regulatory  procedures. ..."  
 
C. CONVENTION ON INTERNATIONAL TRADE IN ENDANGERED SPECIES OF WILD FAUNA AND FLORA  
19. 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 An imals Committee/Plants Committee; 
(e) trade measures recommended by the Se cretariat to the COP and SC;  and 
(f) stricter domestic trade measur es adopted by the Parties. 
1. Provisions of the Convention 
Article II 
Fundamental Principles "1. Appendix I shall include all species threatened with extinctio n which are or may be affected by trade.  Trade in specimens of these species must 
be subject to particularly strict regulation in order not to enda nger further their survival and must only be authorized in exc eptional circumstances.  
2. Appendix II shall include:   
(a) all species which although not necessarily now threatened with  extinction may become so unless trade in specimens of such s pecies is subject 
to strict regulation in order to avoid utilization incompatible with their survival;  and  (b) other species which must be subject to regulation in order th at trade in specimens of certain species referred to in sub-pa ragraph (a) of this 
paragraph may be brought under effective control.  
3. Appendix III shall include all species which any Party identif ies as being subject to regulation within its jurisdiction for  the purpose of preventing 
or restricting exploitation, and as needing the co-operation of other Parties in the control of trade.  
4. The Parties shall not allow tr ade in specimens of species included in Appendi ces I, II and III except in accordance with the  provisions of the 
present Convention".  
Æ CITES subjects international trade in specime ns of selected species to certain contro ls.  These require that all import, export , re-export and 
introduction from the sea of  species covered by the Convention has to be auth orized through a licensing  system.  The species co vered by CITES are 
listed in three Appendices, according to the degree of protection they need.   
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Page 51Article III 
Regulation of Trade in 
Specimens of Species 
Included in Appendix I Æ Appendix I lists species that are the most endangered among CITES-listed animals and plants (see Article II, paragraph 1 of the  Convention).  
CITES generally prohibits commercial international trade in specimens  of wild origin of these species.  However, trade may be a llowed under 
exceptional circumstances, e.g. captive bree ding, artificial propagation, scientific re search, etc.  In these cases, trade may be authorized by the 
granting of both an export permit (or re -export certificate) and an import permit  (See Article III of the Convention). 
Æ Trade in Appendix I species of wild  origin must meet two criteria: 
1. Trade must not be primarily commercial in nature and  
2. it must not be detrimental to the species.  The non-detriment find ing is a scientific assessment.  Document 11.40 prepared for CITES COP-11 
provides assistance to Scientific Authorities for making non-detrime nt findings.  It makes reference to Information Document 11 .3 for COP-11 
which contains a checklist for making non-detriment findings for Appendix II species.  The checklist was published and distribu ted by IUCN at 
COP-12 (see also new capacity building mate rial prepared by the CITES Secretariat) .  Appendix I includes so-called "look-alike species" (see 
Article II, paragraph 2 of the Convention). 
Article IV 
Regulation of Trade in 
Specimens of Species 
Included in Appendix II Æ Appendix II lists species that are not nece ssarily threatened with extinction but that  may become so unless trade is closely co ntrolled.  It also 
includes so-called "look-alike species".  International trade in specimens of Appendix-II species may be authorized by the gran ting of an export 
permit or re-export certificate;  no import permit is required by the Convention (some countries adopt stricter measures under Article XIV).  Permits 
or certificates should only be granted if the relevant authorities are satisfied that certain conditions are met, and above all , that trade is legal (i.e. trade 
is in accordance with the provisions of CITES and the specimen  is not obtained in contravention of the laws of the State of ori gin) and will not be 
detrimental to the survival of the species in the wild.  
Article V 
Regulation of Trade in 
Specimens of Species 
Included in Appendix III Æ Appendix III is a list of species included at the request of a Pa rty that already regu lates trade in the species and that needs  the cooperation of other 
countries to prevent unsustainable or illegal exploitation (see Ar ticle II, paragraph 3, of the Convention).  International tra de in specimens of species 
listed in this Appendix is allowed only on presen tation of the appropriate permits or certificates.  
Article VI 
Permits and Certificates Æ Provides for permits and certificates to be used for trade under the Convention. 
Article VII 
Exemptions and Other 
Special Provisions 
Relating to Trade Æ Lists the Exemptions and Other Special Provisions Relating to Trad e.  This Article provides all the exceptions to the regulatio n of trade in wild 
fauna and flora species listed in the three appendices. 
Æ The application and implementation of Article 7 has been specified in Resolutions Conf. 13.6 and 13.7 of 2004. 
Article VIII 
Measures to Be Taken by 
the Parties "1. The Parties shall take appropriate meas ures to enforce the provisions of the present Convention and to prohibit trade in sp ecimens in violation 
thereof.  These shall include measures:   
(a) to penalize trade in, or possession of, such specimens, or both;  and  
(b) to provide for the confiscation or return to the State of export of such specimens.  
2. In addition to the measures taken under paragraph 1 of this  Article, a Party may, when it d eems 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 po rts of entry at which specimens must be presented for cleara nce.  The Parties shall 
ensure further that all living specimens, during any period of transit, holding or shipment, are properly cared for so as to mi nimize the risk of injury,  
 WT/CTE/W/160/Rev.3 
TN/TE/S/5/Rev.1 Page 52 damage to health or cruel treatment. 
4. Where a living specimen is confiscated as a result of me asures referred to in paragraph 1 of this Article:   
(a) the specimen shall be entrusted to a Management Authority of the State of confiscation;   (b) the Management Authority shall, after consultation with the St ate of export, return the specime n to that State at the expen se of that State, or to a 
rescue centre or such other place as the Management Authority deem s appropriate and consistent with  the purposes of the present  Convention;  and  
(c) the Management Authority may obtain the advice of a Scientific Authority, or may, whenever it considers it desirable, consu lt the Secretariat in 
order to facilitate the decision under sub-paragraph (b) of this paragraph, including the choice of  a rescue centre or other pl ace.  
5. A rescue centre as re ferred 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 cer tificates granted;  the States with which such trade occurred;  the numbers or quanti ties and types of 
specimens, names of species as included in  Appendices I, II and III and, where app licable, the size and sex of the specimens in  question.  
7. Each Party shall prepare periodic reports on its implementa tion of the present Convention an d shall transmit to the Secretar iat:   
(a) an annual report containing a summary of the information specified in sub-paragraph (b) of paragraph 6 of this Article;  an d  
(b) a biennial report on legislative, regu latory and administrative measures taken to enforce the provisions of the present Con vention.  
8. The information referred to in paragraph 7 of this Article shall be available to th e public where this is not inconsistent w ith the law of the Party 
concerned".  
Article IX  
Management and 
Scientific Authorities "1. Each Party shall designate for the pu rposes of the present Convention:   
(a) one or more Management Authorities competent to grant permits or certificates on behalf of that Party;  and  
(b) one or more Scientific Authorities.  
2. A State depositing an instrument of ra tification, acceptance, approval  or accession shall at that time inform the Depositary  Government of the 
name and address of the Management Authority authorized to communicate with other Parties an d 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 transpor t of specimens of species incl uded in Appendices I, 
II and III, or the complete prohibition thereof;  or  
(b) domestic measures restricting or prohibiting trade, taking, po ssession or transport of species not included in Appendix I, II or III.  
2. The provisions of the present Convention sh all in no way affect the provisions of an y domestic measures or the obligations o f Parties deriving 
from any treaty, convention, or international agreement relating to other aspects of trade, taking, possession or transport of specimens which is in 
force or subsequently may enter into force for any Party including any measure pertaining to the Customs, public health, veteri nary or plant 
quarantine fields. 
3. The provisions of the present Convention shall in no way affect the provisions of, or the obligations deriving from, any tre aty, convention or 
international agreement concluded or which may be concluded between States creating a union or regional trade agreement establi shing or 
maintaining a common external Customs control and removing Customs control between the parties thereto insofar as they relate t o trade among the 
States members of that union or agreement. 
4. A State party to the present Convention, which is also a party to any other treaty, convention or international agreement wh ich is in force at the 
time of the coming into force of the present Convention and under the provisions of which protection is afforded to marine spec ies included in 
Appendix II, shall be relieved of the obligations imposed on it under the provisions of the present Convention with respect to trade in specimens of 
species included in Appendix II that are taken by ships registered  in that State and in accordan ce with the provisions of such other treaty, convention 
or international agreement.  
 WT/CTE/W/160/Rev.3
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Page 535. 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 Auth ority of the State of introduction to the effect that the specimen was taken in acc ordance with the 
provisions of the other treaty, convention or international agreement in question. 6. Nothing in the present Convention shall prejudice the codification and development of  the law of the sea by the United Natio ns Conference on the 
Law of the Sea convened pursuant to Resolution 2750 C (XXV) of the General Assembly of the United Nations nor the present or fu ture claims and 
legal views of any State concerning the la w of the sea and the nature and extent of coastal and flag State jurisdiction". 
Æ Allows for Parties to take stricter domestic measures.  Appe ndix II does not require an import permit, but major importing coun tries have 
instituted a system of import permits for trade in certain species issued on the basis of extra conditions and non-CITES relate d criteria such as tariffs, 
health, veterinary, phytosanitary and animal welfare provisions.  In some instances, they also apply those conditions to specie s listed in Appendix III. 
2. Resolutions and Decisions of the Conference of the Parties3 
20. Examples of Resolutions and D ecisions of the COP include: 
Resolution Conf. 6.7 
Interpretation of 
Article XIV, paragraph 1 
of the Convention "…a) each Party intending to take stricter domestic measures pursuant to Article XIV, paragraph 1, of the Convention regarding trade in specimens 
of non-indigenous species included in the Appendices make every reasonable effort to notify the ra nge States of the species con cerned at as early a 
stage as possible prior to the adoption of such measures, and cons ult with those range States that  express a wish to confer on the matter;  and 
b) each Party that has taken such stricter  domestic measures for non-indigenous species  prior to the adoptio n of this Resolutio n consult, if requested, 
on the appropriateness of such measures w ith range States of th e species concerned". 
Resolution Conf. 10.14 
(Rev. CoP13) 
Quotas for Leopard 
Hunting Trophies and 
Skins for Personal Use "…a) in reviewing applications for permits to import whole skins or nearly whole skins of leopard (including hunting trophies),  in accordance with 
paragraph 3 (a) of Article III, the Scientific Authority of the St ate of import approve permits if it is satisfied that the ski ns being considered are from 
one of the following States, which may not export more of the said skins taken from any one calendar year than the number shown  under ‘Quota’ 
opposite the name of the State:…" 
Resolution Conf. 11.6 
(Rev. CoP13) 
Trade in Vicuña Cloth "…a) Management Authorities authorize the import of vicuña cloth only if the reverse bears the logotype corresponding to the co untry of origin and 
the trade mark VICUÑA - COUNTRY OF ORIGIN or if it is cloth containing pre-Convention wool of vicuña; …" 
Resolution Conf. 11.7 
Conservation of and 
Trade in Musk Deer "…Urges all Parties, particularly musk deer range and consuming countries and those through which musk deer specimens pass in t ransit, to take 
immediate action in order to reduce demonstrably the illegal trade in musk deriving from wild musk deer by: 
a) introducing innovative enforcement methods in range and consumer States and, as a matter of priority, strengthening enforcem ent efforts in key 
border regions; b) pursuing the development of a clear labelling system for products containing musk, and the development and dissemination of forensic methods 
to detect natural musk in medicinal and other products; 
c) encouraging all range States and consumer  States that are not party to CITES to a ccede to it at the earliest possible date i n order to improve 
international trade control of raw musk and products containing musk; 
                                                           
3 The following section only includes the resolutions adopted at CO P-13 as decisions taken at COP- 13 were not available at the t ime of circulation of this document.  
 WT/CTE/W/160/Rev.3 
TN/TE/S/5/Rev.1 Page 54 d) working with musk consumers to develop alternatives for raw musk in order to reduce demand for natural musk, while encouragi ng the 
development of safe and effective techniques for collecting musk from live musk deer;  and 
e) developing bilateral and regional agreements for improving mu sk deer conservation and management, strengthening legislation and 
strengthening enforcement efforts;…" 
Resolution Conf. 12.7 
(Rev. CoP13) 
Conservation of and 
Trade in Sturgeons and 
Paddlefish "…Urges  the range States of species in the Order Acipenseriformes to: … 
b) curtail the illegal fishing of and trade in sturgeon and paddlefish specimens by improving the provisions in and enforcement  of existing laws 
regulating fisheries and export, in close collaboration with the CITES Secretariat, ICPO-Interpol and the World Customs Organiz ation; … 
Recommends with regard to regulating trade in sturgeon products, that: 
a) range States license legal exporters of specimens of sturgeon and paddlefish species and maintain a register of such persons  or companies and 
provide a copy of this register to the Secretariat by 30 November each year.  The Secretariat should distribute this informatio n via a Notification to 
the Parties; 
b) each importing, exporting and re-exporting Party should establish, where consistent with national law, a registration system  for processing and 
repackaging plants in its territory and provide to the Secret ariat the list of these facilities and their official registration  codes.  The list should be 
updated as needed.  A copy of the list shou ld be provided to the Secretariat by 30 November each year.  The Secretariat should distribute this 
information via a Notification to the Parties; c) importing countries be particularly vigilant in controlling a ll aspects of the trade in specimens of sturgeon and paddlefish  species, including the 
unloading of sturgeon specimens, transit, re-packaging, re-labelling and re-exports; 
d) Parties monitor the storage, processing and re-packaging of specimens of sturgeon and paddlefish species in Customs free zon es and free ports, 
and for airline and cr uise line catering; 
e) Parties ensure that all their relevant agencies cooperate in  establishing the necessary administrative, management, scientif ic and control 
mechanisms needed to implem ent the provisions of the Convention with respect to sturgeon and paddlefish species; 
f) Parties consider the harmonization of their national legislation related to personal exemptions for caviar, to allow for the  personal effects 
exemption under Article VII, paragraph 3, of the Convention and consider limiting this exemption to no more than 250 grams of c aviar per person; 
g) range States intending to authorize exports in a given year of  specimens of Acipenseriformes species from shared stocks that  were obtained in a 
preceding year must inform the Secretariat by 31 January of th e nature and quantities of the specimens still held in stock and the Secretariat should 
distribute this via a Notification to the Parties.  In 2005, all remaining stocks of caviar should be exported by 31 March at t he latest.  Parties should 
not import caviar harvested in 2004 if it is exported after 31 March 2005.  From 2006 onward, all caviar must be exported befor e the end of the 
quota year in which it was harvested and processed.  From 2006 onwards, Parties should not import caviar harvested or processed  in a preceding 
year; 
h) no re-export of caviar should be authorized more than 18 m onths after the date of issuance of the relevant original export p ermit; 
i) Parties should supply to the Secretaria t, on a regular basis, copies of all expo rt permits and re-export certificates issued  to authorize trade in 
caviar;  and 
j) importing Parties should not accept shipments of caviar unless they comply w ith the provisions of the universal labelling sy stem outlined in 
Annexes 1 and 2; ... 
…Urges Parties to implement without delay the labellin g of caviar in accordance with Annexes 1 and 2…". 
Resolution Conf. 12.8 
(Rev. CoP13) 
Review of Significant 
Trade in Specimens of "... Directs the Animals and Plants Committees, in cooperation with  the Secretariat and experts, and in consultation with range  States, to review the 
biological, trade and other relevant information on Appendix-II sp ecies subject to significant levels of trade, to identify pro blems 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: ... 
m) the Animals Committee or Plants Committee shall, in consulta tion with the Secretariat, formulate recommendations for the rem aining species.   
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Page 55Appendix-II species These recommendations shall be direct ed to the range States concerned; 
n) for species of urgent concern, these recommendations should propose specific actions to address problems related to the impl ementation of 
Article IV, paragraph 2 (a), 3 or 6 (a).  Such recommendations  should differentiate between short-term and long-term actions, a nd may include, for 
example: 
i) the establishment of administrative pro cedures, cautious expor t quotas or temporary restrictions on exports of the species c oncerned; ... 
o) for species of possible concern, these recommendations should specify the informatio n required to enable the Animals or Plan ts Committee to 
determine whether the species should  be categorized as either of urgent concern or  of least concern.  They should also specify interim measures 
where appropriate for the regulation of trade.  Such recommendations should differentiate between short-term and long-term acti ons, and may 
include, for example: ... 
ii) the establishment of cautious export quotas for the species concerned as an interim measure; ... 
s) when the Secretariat, having consulted w ith the Chairman of the Animals or Plants Committee, is not satisfied that a range S tate has 
implemented the recommendations ma de by the Animals or Plants Committee in accordance with paragr aphs n) or o), it should recom mend to the 
Standing Committee appropriate ac tion, which may include, as a last resort, a susp ension of trade in the affected species with that State.  On the 
basis of the report of the Secretariat, the Standing Committee shall decide on appr opriate action and make recommendations to t he State 
concerned, or to all Parties ...". 
Decision 12.22 
Economic incentives and 
trade policy "Directed to the Secretariat 
The Secretariat should, contingent on the availability of external  funding and in collaboration with the Parties that wish to p articipate and with CBD, 
FAO, Fauna and Flora International, ICTSD, IFC, IUCN, OECD, TR AFFIC, UNEP-ETB, UNCTAD-BIOTRADE , the World Resources Institute, 
the World Bank and WTO: 
a) organize a technical workshop on wildlife trade policies and economic incentives applicable to the management of and trade i n CITES-listed 
species, in particular in order to develop a methodology to review those policies and to make targeted recommendations on the u se of those 
incentives;… 
d) conduct, in cooperation with the Parties, a review of thei r national policy regarding the use of and trade in CITES-listed s pecies, taking into 
account economic incentiv es, production systems, c onsumption patterns, market access strate gies, price struct ures, certificatio n schemes, CITES-
relevant taxation and subsidy schemes, property rights, mechanisms for benefit sharing and reinvestment in conservation, as wel l as stricter 
domestic measures that Parties apply or are affected by; 
e) compile and synthesize the information provided by the Parties, and produce a report analysing the economic impacts of wildl ife trade policies 
in terms of socio-economic and conservation benefits and costs, economic value, levels of legal and illegal trade, improvement of the livelihood of 
local communities, and the role of the private sector involved in wildlife trade; 
f) report at the 13th meeting of the COP on the progress made  with regard to the implementation of this Decision;  and 
g) prepare and submit a project proposal to the Global Environm ent Facility, and other funding institutions and development age ncies, to seek 
financial support to prepare the trade-polic y reviews in the selected countries, in the context of their national and regional strategies for 
biodiversity conservation".  
Resolution Conf. 13.2 
Sustainable Use of 
Biodiversity:  Addis 
Ababa Principles and 
Guidelines "... Urges the Parties to: 
a) make use of the Principles and Guide lines for the Sustainable Use of Biodiversity , also taking into account scientific, trad e and enforcement 
considerations determined by national circ umstances, when adopting non-detriment-making processes and making CITES non-detrimen t findings; 
... Annex:  Sustainable use of biodiversity:  Addis Ababa Principles and Guidelines: ... 
Practical Principle 3:  International, national policies, laws an d regulations that distort markets which contribute to habitat  degradation or otherwise 
generate perverse incentives that undermine conservation and sustainable use of biodiversity, should be identified and removed or mitigated. ..."  
 WT/CTE/W/160/Rev.3 
TN/TE/S/5/Rev.1 Page 56 Resolution Conf. 13.4 
Conservation of and 
trade in great apes "... Urges all Parties to: 
a) adopt and implement comprehensive legisla tion to protect great apes, which includes:  
i) a prohibition of all international trade for primarily commerc ial 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 trade in great apes and parts and derivatives thereof; ... 
Directs the Secretariat to: 
a) work closely with Parties, and as a me mber of the GRASP partnership, to develop and implement measures, including legislativ e and 
enforcement measures and regional and sub-regional initiatives, to halt or reduce and ultimately eliminate illegal trade in gre at apes; ... 
Urges the Secretariat, the Standing Commi ttee and the Animals Committee to work closel y with GRASP, and to explore and implemen t other 
measures through which the Convention can contribute to the conservation of great apes and to the promotion of public awareness  of the threat posed 
to great ape populations by illegal trade; ..." 
3. Information on quota systems within CITES 
21. Quotas in the context of CITES are simply the maximum number of specimens that may be exported (and harvested in the case of th e Acipenseriformes).  Export quotas are 
derived from four sources (see Notification No. 2004/029):  (a ) voluntary national export quotas, (b) export quotas recommended  by the COP, Standing Committee or the Animals 
Committee, (c) export quotas for raw elephant ivory in compliance with Resolution Conf. 10.10 (Rev. CoP12) and catch and export  quotas for Acipenseriformes established in 
accordance with Resolution Conf. 12 .7 (Rev. CoP13).  Quotas, and to a lesser exte nt other forms of inst ruments on management of  harvests and exports, have been used in CITES to 
regulate the quantity of specimens of CITE S-listed species entering international trade.   These quotas have been established th rough 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 w ith Article III, paragraph 2 a), [for Appendix-I species] and Ar ticle IV, paragraph 2 a), [for Appendix-II 
species] of the Convention, that the number of specimens that may be exported as part of a quota will not be detrimental to the  survival of that species. 
22. 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 re gulate trade and maintain market access in s ituations where intern ational trade provi des positive incentives for conservation. 
4. Voluntary national export quotas 
23. 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 e.g. Notification to the Parties No. 2001/041).  Th e main purposes of such export quotas appear to be: 
- To establish a limit on yearly exports at levels that are sustainable, or within the annual production capacity of ranching 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.  
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Page 57(a) Quotas established by the COP, the Standing Committee or the Animals Committee 
24. 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 Conf. 10.14 (Rev. CoP13) concerning leopard and Resolution Conf.10.15 (Rev. CoP12) con cerning markhor) or thro ugh the amendment of 
the Appendices to include annotations to the listing of species th at refer to quotas for those species or some populations of t hose species (e.g. Annotation 112 that establishes a quota 
for the crocodile population of the United Republic of Tanzania or Annotation 613 that establishes a zero quota for some specim ens 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 (unless the COP had decided th at 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. CoP13 ) and according to the prov isions of Article XV.  
25. At its 12th meeting, the COP adopted Decision 12.17 directing the Standing Committee to establish an intersessional Export Quota Working Gr oup with the goal of 
developing guidelines for Parties to establish, implement, m onitor and report national export quotas for CITES-listed taxa.  
26. Export quotas have in many instances been established through or  as a result of the Review of Significant Trade pursuant to Res olution Conf. 12.8 (Rev. CoP13).  In such 
cases, the Animals and Plants Commi ttees, through their review of tr ade in species selected becaus e of concern over the sustain ability of exports, made recommendations to Parties to 
conduct status assessments, apply management procedures or establish cautions export quotas.  In cases of non-implementation, t he Standing Committee shall decide on appropriate 
action and make recommendations to the State concerned or to a ll Parties.  Such recommendation can include the suspension of im ports with regard to specimens of listed species 
(e.g. Notification No. 2004/028). 
(b) Quotas submitted or established in accordance with Resolution Conf. 10.10 (Rev. CoP12) and Resolution Conf. 12.7 (Rev. CoP13). 
27. Export quotas are also established with regard to trade in sp ecific species, i.e. elephant speci mens (Resolution Conf. 10.10 (R ev. CoP12), sturgeons and paddlefish 
(Resolution Conf. 12.7 Rev. CoP13) and black rhinoceros hunting trophies (Resolution Conf. 13.5).  These quotas are established  by the members states in  accordance with the said 
Resolutions. 
D. CONVENTION ON THE CONSERVATION OF ANTARCTIC MARINE LIVING RESOURCES  
28. The Convention does not contain trade measures, but trade-related m easures have been adopted, fo r instance, in the following Co nservation Measures that are binding for the 
Contracting Parties: 
10-02 (2004) 
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 ex cept pursuant to a licence that the Contracting Party has 
issued setting forth the specific areas, species and time periods for which such fishing is authorised and all other specific c onditions to which the 
fishing is subject to give effect to CCAMLR conservation measures and requirements under the Convention…". 
Æ Requires a Contracting Party to prohibit its flag vessels from fishing in the Convention Area unless licensed or permitted to d o so.  The licence 
should be carried on board and must include conditions of time ly notification of port entry and exit and movement between sub-a reas or divisions, 
reporting of catch data and operation of an automated satellite-li nked vessel monitoring system (VMS).  Any infringement of the se conditions 
discovered upon port arrival, departure or upon inspection in the Convention Area on high seas (see below IV.  Non-Compliance M echanism) or, 
where appropriate, in an EEZ, are to  be investigated and dealt with in accordance with national legislation. 
10-05 (2004) 
Catch Documentation "…1. Each Contracting Party shall take steps to identify the origin of Dissostichus  spp. imported into or exported from its territories and to determine 
whether Dissostichus  spp. harvested in the Convention Area that is imported into or  exported from its territories was caught in a manner consistent   
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spp. Species toothfish with CCAMLR conservation measures. 
2. Each Contracting Party shall require that  each master or authorised representative of  its flag vessels authorised to engage in harvesting of 
Dissostichus eleginoides  and/or Dissostichus ma wsoni complete a Dissostichus  catch document (DCD) for the catch  landed or transhipped on each 
occasion that it lands or tranships Dissostichus  spp. 
3. Each Contracting Party sha ll require that each landing of Dissostichus  spp. at its ports and each transhipment of Dissostichus  spp. to its vessels be 
accompanied by a completed DCD. 4. Each Contracting Party shall, in accord ance with their laws and regulations, requir e that their flag vessels which intend to  harvest Dissostichus  
spp., including on the high seas outside th e Convention Area, are provided  with specific authorisation to do so.  Each Contract ing Party shall provide 
Dissostichus  catch document forms to each of its flag vessels authorised to harvest Dissostichus  spp. and only to those vessels. 
5. A non-Contracting Party seeking to cooper ate with CCAMLR by participating in this  scheme may issue DCD forms, in accordance with the 
procedures specified in paragraphs 6 and 7, to any of its flag vessels that intend to harvest Dissostichus  spp. … 
8. Each Contracting Party shall require that each shipment of Dissostichus  spp. imported into or exported from its territory be accompanied by the 
export-validated DCD(s) and, where appropriate, validated re-export document(s) that account for all the Dissostichus  spp. contained in the 
shipment. …". 
Æ This Conservation Measure was adopted in November 1999 and came  into force on 7 May 2000.  This measure establishes a Catch 
Documentation Scheme which tracks the landings and trade flows of toothfish ( Dissostichus  spp.) caught in the Convention Area and where 
possible, adjacent waters. 
Æ Further trade-related measures are contained in Conservation Measures 10-06 (2004) and 10-07 (2003) (see below:  IV. Non-Compl iance 
Mechanisms and VI. Provisions for Non-Parties). 
 
E. MONTREAL PROTOCOL ON SUBSTANCES THAT DEPLETE THE OZONE LAYER  
1. Provisions of the Protocol 
Article 2 
Control Measures "…5. Any Party may, for one or more control periods, transfer to another Party any portion of its calculated level of productio n set out in Articles 2A 
to 2F, and Article 2H, provided that the total combined calculated levels of production of the Parties concerned for any group of controlled 
substances do not exceed the production limits set out in those Articles for that group.  Such transfer of production shall be notified to the Secretariat 
by each of the Parties concerned, stating the terms of su ch transfer and the period for which it is to apply.  
5 bis. Any Party not operating under paragraph 1 of Article 5 may, for one or more control periods, transfer to another such Pa rty any portion of its 
calculated level of consumption set out in Article 2F, provided that the calculated level of consumption of controlled substanc es in Group I of 
Annex A of the Party transferring the portion of its calculated level of consumption did not exceed 0.25 kilograms per capita i n 1989 and that the 
total combined calculated levels of consumption of the Partie s concerned do not exceed the consumption limits set out in Articl e 2F.  Such transfer of 
consumption shall be notified to the Secretar iat by each of the Parties concerned, sta ting the terms of such transfer and the p eriod for which it is to 
apply.  
6. Any Party not operating under Article 5,  that has facilities for the production of Annex A or Annex B controlled substances under construction, or 
contracted for, prior to 16 September  1987, and provided for in national legislation prior to 1 January 1987, may add the prod uction from such 
facilities to its 1986 production of such substances for the purp oses of determining its calculated level of production for 198 6, provided that such 
facilities are completed by 31 December 1990 and that such production does not raise th at Party’s annual calculated level of co nsumption of the 
controlled substances above 0.5 kilograms per capita.  
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Page 597. Any transfer of production pursuant to paragraph 5 or any addition of production pursuant to paragraph 6 shall be notified t o the Secretariat, no 
later than the time of the transfer or addition. 
8. (a) Any Parties which are Member States of a regional economic integration organization as defined in Article 1(6) of the Co nvention may agree 
that they shall jointly fulfil their obligations respecting consum ption 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 Artic le and Articles 2A to 2I. 
(b) The Parties to any such agr eement 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 Stat es 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 potentials specified in Annex A, Annex B, Annex C and/or Annex E should be made and, if so, what the 
adjustments should be;  and 
(ii) Further adjustments and reductions of production or consumption of the controlled substances should be undertaken and, if so, what the 
scope, amount and timing of any such adjustments and reductions should be; 
(b) Proposals for such adjustment s shall be communicated to the Parties by the S ecretariat at least six months before the MOP a t which they are 
proposed for adoption; 
(c) In taking such decisions, th e Parties shall make every effort to reach agreement by consensus.   If all efforts at consensus  have been exhausted, 
and no agreement reached, such decisions shall,  as a last resort, be adopted by a two- thirds majority vote of the Parties prese nt and voting 
representing a majority of the Parties operating under Paragraph 1 of Article 5 present and voting and a majority of the Partie s not so operating 
present and voting; (d) The decisions, which shall be binding on all Parties, shall forthwith be communicated to the Parties by the Depositary.  Un less otherwise 
provided in the decisions, they shall enter into force on the ex piry of six months from the date of the circulation of the comm unication by the 
Depositary. 
10. Based on the assessments made pursuant to Article 6 of this Protocol and in accordance with the procedure set out in Articl e 9 of the Convention, 
the Parties may decide: 
(a) whether any substances, and if so which, should be added to or removed from any annex to this Protocol, and (b) the mechanism, scope and timing of the control m easures that should apply to those substances;   
11. Notwithstanding the provisions contained in this Article and Articles 2A to 2I Parties may take more stringent measures tha n those required by 
this Article and Articles 2A to 2I". 
Articles 2A-2I Æ Articles 2A to 2I provide specific guidance on control measures for CFCs, Halons, other fully halogenated CFCs, Carbon tetrach loride, Methyl 
chloroform, hydrochlorofluorocarbons, hydrobromofluorocarbons, methyl bromide, and bromochloromethane.  
Article 4 
Control of trade with 
non-Parties  "1. As of 1 January 1990, each party shall ban the import of the controlled substances in Annex A from any State not party to t his Protocol. … 
2. As of 1 January 1993, each Party shall ban the export of any controlled substances in Annex A to any State not party to this  Protocol. … 
3. By 1 January 1992, the Parties shall, following the procedures in Article 10 of the Convention, elaborate in an annex a list  of products containing 
controlled substances in Annex A.  Parties that have not objected to the annex in acco rdance with those procedures shall ban, w ithin one year of the 
annex having become effective, the import of those products from any State not party to this Protocol. … 4. By 1 January 1994, the Parties shall determine the feasibility of  banning or restricting, from States not party to this Prot ocol, the import of 
products produced with, but not containing, controlled substances  in Annex A.  If determined feasible, the Parties shall, follo wing the procedures in 
Article 10 of the Convention, elaborate in an annex a list of such products.  Parties that have not objected to the annex in ac cordance with those 
procedures shall ban, within one year of the annex having beco me effective, the import of thos e products from any State not par ty to this Protocol. …  
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TN/TE/S/5/Rev.1 Page 60 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 substances in Annexes A, B, C and E. 
6. Each Party shall refrain from providing new subsidies, aid, credits, guarantees or insurance programmes for the export to St ates not party to this 
Protocol of products, equipment, plants or technology that wo uld facilitate the production of controlled substances in Annexes A, B, C and E. 
7. Paragraphs 5 and 6 shall not apply to products, equipment, plants or technology that improve the containment, recovery, recy cling or destruction 
of controlled substances, promote the development of alternative substances, or otherwise contribute to the reduction of emissi ons of controlled 
substances in Annexes A, B, C and E. 
8. Notwithstanding the provisions of this Article, imports and 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 that effect as specified in Article 7. 
9. For the purposes of this Article, the term "State not party to this Protocol" shall include, with respect to a particular co ntrolled substance, a State or 
regional economic integration organization that has not agreed to be bound by the control measures in effect for that substance . 
10. By 1 January 1996, the Parties shall cons ider 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". 
Æ Article 4 provides for measures that are directed against non-par ties.  Trade measures under Article 4 are as follows: 
(a) Control of trade in ODS with non-parties:   
(i) Annex A substances (main CFCs and halons):  import from non-parties banned from January 1990, export banned from January 19 93; 
(ii) Annex B substances (carbon tetrachloride, methyl chloroform and other CFCs):  import and export banned from August 1993 fo r non-
parties to the London Amendment; 
(iii) Annex C – Group II  (HBFCs):  import and export banned fr om June 1995 for non-parties to the Copenhagen Amendment (1992).   
(iv) Annex C – Group I (HCFCs):  import and export banned for non-parties to the Beijing Amendment (1999) from 1 January 2004.  Trade 
also banned in HCFCs with countries that have not yet ratified the Copenhagen Amendment (1992), which introduced the HCFC phase  out. 
(v) Annex C – Group III (Bromochloromethane):  Import and export banned for non-parties to the Beijing Amendment (1999) after 
February 2003. 
(vi) Annex E substances (Methyl bromide):  import and export banned from November 2000 for non-parties to the Montreal Amendmen t 
(1997).  
(b) Control of trade in products containing ODS with non-parties:  Import of products (listed in Annex D) containing Annex A su bstances banned 
from May 1992;   
(c) Exports of ODS-technologies:  Parties to discourage "to the fullest practicable extent", export of technology for producing  of ODS;  however, 
there are exceptions for HCFCs and for e quipment or technology to recycle ODS. 
Article 4A 
Control of trade with 
Parties "1. Where, after the phase-out date applicable to it for a controlled substance, a Party is unable, despite having taken all pr acticable steps to comply 
with its obligation under the Protocol, to cease production of that substance for domestic consumption, other than for uses agr eed by the Parties to be 
essential, it shall ban the export of used, recycled and reclai med quantities of that substance, other than for the purpose of destruction. 
2. Paragraph 1 of this Article shall apply without prejudice to the operation of Article 11 of the Convention and the non-compl iance procedure 
developed under Article 8 of the Protocol".  
Article 4B 
Licensing "1. Each Party shall, by 1 January 2000 or within three months of the date of entry into force of this Article for it, whicheve r is the later, establish and 
implement a system for licensing the import and export of new, us ed, recycled and reclaimed cont rolled substances in Annexes A,  B, C and E. 
2. Notwithstanding paragraph 1 of this Article, any Party operating under paragraph 1 of Article 5 which decides it is not in a  position to establish 
and implement a system for licensing the import and export of controlled substances in Annexes C and E, may delay taking those actions 
until 1 January 2005 and 1 January 2002, respectively.  
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Page 613. Each Party shall, within three months of the date of introducing its licensing system, report to the Secretariat on the esta blishment and operation of 
that system. 
4. The Secretariat shall periodically prepare and circulate to all Parties a list of th e Parties that have reported to it on th eir licensing systems and shall 
forward this information to the Implementation Committee for consideration and appropriate r ecommendations to the Parties". 
Æ Many parties already have licensing system s in place as a method of complying with th e controls of consumption and production of ODS.  This 
licensing requirement is binding since November 1999.  As of 5 November 2004, 123 Parties to the Montreal Protocol (out of a to tal of 188 Parties) 
had already established licensing systems of ozone-depleting substances.  Decision XIV/36  of the Fourteenth MOP en couraged all the remaining 
Parties to the Protocol that had not yet introduced import and export licensing systems to do so as a matter of urgency. 
 
2. Decisions of the Meetings of the Parties 
29. Meetings of the Parties (MOP) of the Protocol of Montreal have adopted, for instance, the following decisions: 
MOP V  
Bangkok, 1993 Æ It was decided at MOP V that it was not feasible to ban or restrict trade in products made with, but not containing Annex A su bstances.  
Æ Parties also decided that products containing Annex B and Annex C, Group II, substances or products made with, but not contain ing the Annex C, 
Group II substances will not be listed. 
MOP IX  
Montreal, 1997 Æ MOP IX introduced, through the Montreal Amendment, inter alia , trade controls for methyl bromide (Annex E) with non parties:   
- From November 2000, each Party shall ban th e import, and after November 2000, the export, of methyl bromide from any State not Party to the 
Montreal Amendment.  
- Parties are to discourage the export to non-parties of technology for producing or for utilising methyl bromide.  
- Each Party shall refrain from providing any assistance for the ex port to non-parties of any equipment or technology that would facilitate 
production of methyl bromide. 
MOP XIV  
Rome, 2002 Æ MOP XIV adopted two trade-related decisions: 
- Decision XIV/7  on monitoring of trade in ozone-depleting substances an d prevention of illegal trade in ozone-depleting substances, inter alia , 
encourages all Parties to exchange information and intensify jo int efforts to improve means of identification of ozone-depletin g substances 
(ODS) and prevention of ODS illegal traffic.  The decision also invites Parties to report to the Ozone Secretariat fully proved  cases of illegal 
trade in ODS and the Secretariat is requested to collect any information on ille gal trade received 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 established licensing systems and 
encourages those Parties that have not yet done so to establ ish import and export licensing systems of ozone-depleting substanc es. 
Æ 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 Secretaria t and its Committee Secretariats; 
2. To request the Secretariat to monitor developments in the ne gotiations of the WTOCTE in special session and report to the Pa rties;   
3. To further request that the Ozone Secr etariat, 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 activ ities of the Multilateral Fund, consult with the Parties of the M ontreal Protocol and  
 WT/CTE/W/160/Rev.3 
TN/TE/S/5/Rev.1 Page 62 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 th e Parties before providing that advice".  
MOP XV 
Nairobi, 2003 Decision XV/20  on the report on licensing system takes note of the status re port for parties that have established licensing systems and enco urages 
those Parties that have not yet done so to establish import and export licensing systems of ozone-depleting substances.  
MOP XVI 
Prague, 2004 Æ MOP XIV adopted five trade-related decisions: 
- Decision XVI/7  on trade in products and commodities treated with methyl brom ide invites the Parties to the Montreal Protocol, subject to 
rights and obligations under this agreement and any other intern ational agreements, not to restri ct trade in pr oducts or commod ities from Parties 
that have ratified the Montreal Protocol provisions regarding methyl bromide and are otherwise in compliance with their Montrea l Protocol 
obligations just because th e commodities or products have been treated with me thyl bromide, or becaus e the commodities have bee n produced 
or grown on soil treated with methyl bromide.  
- Decision XVI/11  on the coordination among UN bodies on quarantine and pre-shipment uses inter alia  encourages the importing Parties to 
consider accepting the wood packaging treated with alternative methods to methyl bromide, in acco rdance with standa rd 15 of the  International 
Standards for Phytosanitary Measures of the IPPC.  
- Decision XVI/32  on the establishing of licensing systems under Article 4B of the Montreal Protocol inter alia  encourages the Parties to 
establish import and export licensing systems for ozone-depleting substances.  
- Decision XVI/33  on illegal trade in ozone-depleting substances noted the need for coordination of efforts by parties at national and 
international level to suppress illegal trade in ozone-depleting substances and requested draft terms for a study on the feasib ility of developing a 
system of tracking trade in ozone-depleting substances.  
- 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.  
 
F. BASEL CONVENTION ON THE CONTROL OF TRANSBOUNDARY MOVEMENTS OF HAZARDOUS WASTES AND THEIR DISPOSAL  
1. Provisions of the Convention 
Article 3 
National Definitions of 
Hazardous Wastes "1. Each Party shall, within six months of becoming a Party to this Convention, inform the Secretariat of the Convention of the  wastes, other than 
those listed in Annexes I and II, considered or defined as hazardous under its na tional legislation and of any requirements con cerning transboundary 
movement procedures applicable to such wastes. 
2. Each Party shall subsequently inform the Secretariat of any significant changes to the information it has provided pursuant to paragraph 1. 
3. The Secretariat shall forthw ith inform all Parties of the information it has received pursuant to paragraphs 1 and 2. 
4. Parties shall be responsible for making the information transmitted to them by the Secretariat under paragraph 3 available t o their exporters". 
Article 4 
General Obligations "1. (a) Parties exercising their right to prohibit the import of h azardous wastes or other wastes for disposal shall inform the  other Parties of their 
decision pursuant to Article 13. 
(b) Parties shall prohibit or shall not permit  the export of hazardous wa stes and other wastes to the Parties which have prohib ited the import of 
such wastes, when notified pursuant to subparagraph (a) above. 
(c) Parties shall prohibit or shall not permit the export of hazardous wastes and other wastes if the State of import does not consent in writing to the 
specific import, in the case where that State of im port has not prohibited the import of such wastes.  
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Page 632. …(d) Ensure that the transboundary moveme nt of hazardous wastes and other wastes is  reduced to the minimum consistent with t he 
environmentally sound and efficient management of such wastes, and is conducted in a manner which will protect human health and  the 
environment against the adverse effects which may result from such movement; (e) Not allow the export of hazardous wastes or other wastes to a State or group of St ates belonging to an economic and/or poli tical integration 
organization that are Parties, particularly developing countries, which have prohibited by their legislation all imports, or if  it has reason to believe 
that the wastes in question will not be managed in an environmen tally sound manner, according to criteria to be decided on by t he Parties at their 
first meeting. 
(f) Require that information about a proposed  transboundary movement of hazardous wastes  and other wastes be provided to the St ates concerned, 
according to Annex V A, to state clearly  the effects of the proposed movement on human health and the environment; 
(g) Prevent the import of hazardous wastes and other wastes if it  has reason to believe that the wastes in question will not be  managed in an 
environmentally sound manner;… 
5. A Party shall not permit hazardous wastes or other wastes to be  exported to a non-Party or to be imported from a non-Party. 
6. The Parties agree not to allow the export of hazardous wastes or other wastes for disposal within the area south of 60° Sout h latitude, whether or 
not such wastes are subject to transboundary movement. 
7. Furthermore, each Party shall: 
(a) Prohibit all persons under its national ju risdiction 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 wa stes that are to be the subject of a tr ansboundary movement be packaged, labelled , and transported 
in conformity with generally accepted and r ecognized international rules and standards in the field of packaging, labelling, an d transport, and that 
due account is taken of relevant internationally recognized practices; (c) Require that hazardous wastes and other wastes be accompanied  by a movement document from the point at which a transboundar y movement 
commences to the po int of disposal. 
8. Each Party shall require that hazardous wastes or other wastes, to be exported, ar e managed in an environmentally sound mann er in the State of 
import or elsewhere.  Technical guidelines for the environmentally sound management of wastes subject to this Convention shall be decided by the 
Parties at their first meeting. 
9. Parties shall take the appropriate measures to ensure that the transboundary movement of hazardous wastes and other wastes o nly be allowed if: 
(a) The State of export does not have th e technical capacity and the necessary facilitie s, 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 Parties, provided those cr iteria do not differ 
from the objectives of this Convention. 
10. The obligation under this Convention of States in which hazardous wastes and other wastes are generated to require that tho se wastes are 
managed in an environmentally sound manner may not under any circumstances be transferred to the States of import or transit. 
11. Nothing in this Convention shall prevent a Party from imposin g additional requirements that are consistent with the provisi ons of this 
Convention, and are in accordance w ith the rules of international law, in order better to protect human health and the environm ent. 
12. Nothing in this Convention sh all affect in any way the sove reignty of States over their territorial sea established in acco rdance with international 
law, and the sovereign rights and the jurisdiction which States have in their exclusive economic zones and their continental sh elves in accordance 
with international law, and the exercise by  ships and aircraft of all States of navigational rights and freedoms as provided fo r in international law and 
as reflected in relevant international instruments …".   
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Article 5 
Designation of 
Competent Authorities 
and Focal Point "To facilitate the implementation of this Convention, the Parties shall: 
1. Designate or establish one or more competent authorities and one focal point.  One competent authority shall be designated t o receive the 
notification in case of a State of transit …".  
Article 6 
Transboundary 
Movement between 
Parties Æ Article 6 provides for the prior informed consent procedure or "control system", according to wh ich the transboundary movements  of hazardous 
wastes shall take place.  
"1. The State of export shall notify, or shall require the gene rator or exporter to notify, in writing, through the channel of the competent authority of 
the State of export, the competen t authority of the States concerned of any proposed transboundary movement of hazardous wastes  or other wastes.  
Such notification shall contain th e declarations and information specified in A nnex V A, written in a language acceptable to th e State of import.  
Only one notification needs to be sent to each State concerned. 
2. The State of import shall respond to the notifier in writing, consenting to the movement with or without conditions, denying  permission for the 
movement, or requesting additional information.  A copy of the fi nal response of the State of import shall be sent to the compe tent authorities of the 
States concerned which are Parties. 3. The State of export shall not allow th e generator or exporter to commence the tr ansboundary 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 acknow ledge to the notifier receipt of the notification.  It may subse quently respond to the 
notifier in writing, within 60 days, consenting to the movement with or without conditions, denying permission for the movement , or requesting 
additional information.  The State of export shall not allow the transboundary movement to commence until it has received the w ritten consent of the 
State of transit.  However, if at any time a Party decides not  to require prior written consent, either generally or under spec ific conditions, for transit 
transboundary movements of hazard ous wastes or other wastes, or modifies its re quirements in this respect, it shall forthwith i nform the other Parties 
of its decision pursuant to Article 13.  In  this latter case, if no response is receive d by the State of export within 60 days of the receipt of a given 
notification by the State of transit, the State of export may allow the export to proceed through the State of transit. 5. In the case of a transboundary movement of wastes where the wa stes are legally defined as or considered to be hazardous wast es only: 
(a) By the State of export, the requirements  of paragraph 9 of this Article that apply to the importer or disposer and the Stat e of import shall apply 
mutatis mutandis to the exporter and State of export, respectively; (b) By the State of import, or by the States of import and transit which are Parties, the requirements of paragraphs 1, 3, 4 an d 6 of this Article that 
apply to the exporter and State of export shall apply mutatis mutandis to the importer or disposer and State of import, respect ively;  or 
(c) By any State of transit which is a Party, the pr ovisions of paragraph 4 shall apply to such State. 
6. The State of export may, subject to the written consent of the States concerned, allow the generator or the exporter to use a general notification 
where hazardous wastes or other wastes havi ng the same physical and chemical character istics are shipped regularly to the same disposer via the 
same customs office of exit of the State of export via the same customs office of entry of the St ate of import, and, in the cas e of transit, via the same 
customs office of entry and exit of the State or States of transit. 
7. The States concerned may make their written consent to the us e of the general notification referred to in paragraph 6 subjec t to the supply of 
certain information, such as the exact quantities or periodical lists of hazardous wastes or other wastes to be shipped. 
8. The general notification and written consent referred to in paragraphs 6 and 7 may cover multiple shipments of hazardous was tes or other wastes 
during a maximum period of 12 months. 9. The Parties shall require that each person who takes charge of  a transboundary movement of h azardous wastes or other wastes sign the movement  
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Page 65document either upon delivery or receipt of the wastes in question.  They shall also require that the disposer inform both the exporter and the 
competent authority of the State of export of receipt by the disposer of th e wastes in question and, in due course, of the comp letion of disposal as 
specified in the notification.  If no such information is received within the State of  export, the competen t authority of the S tate of export or the 
exporter shall so notify the State of import. 
10. The notification and response required by this Article sha ll be transmitted to the competent authority of the Parties conce rned or to such 
governmental authority as may be ap propriate 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 any State of transit which is a Party". 
Article 8 
Duty to Re-import "When a transboundary movement of hazardous wastes or other wastes to which the consent of the States concerned has been given,  subject to the 
provisions of this Convention, cannot be completed in accordan ce with the terms of the contract , the State of export shall ensu re that the wastes in 
question are taken back into the State of export, by the exporter , if alternative arrangements cannot be made for their disposa l in an environmentally 
sound manner, within 90 days from the time that the importing Stat e informed the State of export and the Secretariat, or such o ther period of time as 
the States concerned agree.  To this end, the State of export  and any Party of transit shall not oppose, hinder or prevent the return of those wastes to 
the State of export." 
Æ There is a duty to re-import if waste cannot be disposed of in an environmentally sound manner. 
Article 9 
Illegal Traffic "1. For the purpose of this Conven tion, any transboundary movement of  hazardous wastes or other wastes: 
(a) without notification pursuant to the provisions of this Convention to all States concerned;  or 
(b) without the consent pursuant to the provisions  of this Convention of a State concerned;  or 
(c) with consent obtained from States concerned thro ugh falsification, misrepre sentation or fraud;  or 
(d) that does not conform in a material way with the documents;  or 
(e) that results in deliberate disposal (e .g. dumping) of hazardous wastes  or other wastes in contra vention 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 generator or, if necessa ry, by itself into the State of  export, or, if impracticable, 
(b) are otherwise disposed of in accordance with the provisions of this Convention,  
within 30 days from the time the State of export has been info rmed about the illegal traffic or such other period of time as St ates concerned may 
agree.  To this end the Parties concerned shall not oppose, hinde r or prevent the return of thos e 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 th e 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 di sposal of the wastes in 
an environmentally sound manner. 
4. In cases where the responsibility for the illegal traffic cannot be assigned either to the exporter or generator or to the i mporter or disposer, the 
Parties concerned or other Parties, as appr opriate, shall ensure, through co-operation,  that the wastes in question are dispose d of as soon as possible 
in an environmentally sound manner either in the State of export or the State of import or  elsewhere as appropriate. 
5. Each Party shall introduce appropriate national/domestic legisl ation to prevent and punish illegal traffic.  The Parties sha ll co-operate with a view 
to achieving the objects of this Article".  
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TN/TE/S/5/Rev.1 Page 66 2. Decisions of the Conference of Parties 
30. At meetings of the COP of the Basel Convention the following decisions have, for instance, been adopted: 
COP-2 
Geneva, 1994 Æ At COP-2 parties agreed to a ban on the ex port of hazardous wastes from OECD to non-OECD countries intended for final disposal , recovery, 
and recycling (Decision II/12).  Because th e decision was not incorporated in the text  of the Convention itself, the question a s to whether it was 
legally binding or not arose.  
COP-3 
Geneva, 1995 Æ At COP-3, it was proposed that the Ban be formally incorporated  in the Basel Convention as an amendment (Decision III/1).  It bans hazardous 
wastes exports for final disposal and recycling from Annex VII countries to non-Annex VII countries.  
COP-4 
Kuching, 1998 Æ At COP-4, there was a discussion concerning other countries wishing to join Annex VII.  These countries are Monaco, Slovenia a nd Israel.  
However, it was decided to wait and see how the ban was functioni ng 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.  
Æ Annexes VIII and IX of the Convention, adopted at COP-4, clarify what is and what is not considered to be hazardous waste.  No n-hazardous 
material is listed in Annex IX (list B) wastes.  Many of the r ecyclable 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.  Further clarif ication is needed for some wastes, such as lead 
acid and zinc ashes (as these would be hazardous waste under Basel).  
COP-5 
Basel, 1999 Æ At COP-5, the Basel Declaration on Enviro nmentally Sound Management was adopted.  This Declaration outlines the activities to be 
undertaken to achieve the objectives of the practical implementation of environmentally sound management:  prevention, minimiza tion, recycling, 
recovery and disposal of wastes subject to the Convention.   
COP-6 
Geneva, 2002 Æ 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 requ est has been 
submitted to and granted by WTO; 
(b) Report to the Parties to the Basel Convention on any meetings it attends at WTO and any substantive contacts with the WTO S ecretariat and its 
committee secretariats; 
(c) Monitor developments in the WTO 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 pr ovisions of the Basel 
Convention, to consult with the Parties to the Basel Convention be fore providing that information.  If the Secretariat of the B asel Convention is 
requested to provide interpretation on the trade provisions of the Convention, it will refer such requests to the COP."  
COP-7 
Geneva, 2004 Æ The COP-7 adopted a ministerial statement on partnerships for meeting the global waste challenge which sets out strategies for  mobilizing 
additional resources to address hazardous wa stes.  The statement calls for strengthening partnerships with industries and other  international 
organizations and agreements, in particular the Rotterdam Conven tion on trade in hazardous chemi cals and pesticides and the Sto ckholm Convention 
on Persistent Organic Pollutants.  It also encourages governme nts to consider setting their own individual or regional targets for minimizing wastes.  
Decisions VII/2 on Hazardous Waste Minimization, VII/3 Basel Convention Partnership Programme and VII/4 Mobile Phone Partnershi p Initiative 
were adopted to meet the global waste challenge.   
Æ Decision VII/38 on  International Cooperation, including cooperation with the WT O and the Global Environment Facility (GEF) "requests the 
Secretariat to continue its cooperation, in accordance with decisions VI/29 and VI/3 0, on critical areas for the effective impl ementation of the Basel 
Convention, its protocol and amendments with relevant organizations, including the following: ... (j) the WTO; …"  
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Page 67G. CONVENTION ON BIOLOGICAL DIVERSITY  
1. Provisions of the Convention  
31. The text of the Convention does not explicitly refer to trade measures, nor does the Convention generally prescribe specific me asures.  The provisions of the Convention, 
with a few exceptions, set goals and establish general principles.  The specific measures required  to achieve these goals and o perationalize these principles  are largely the prerogative 
of the Parties.  However, the Convention contains a number of provisions that are generally understood to require measures by P arties which may have consequences for trade.  In 
addition, some of its provisions have inter-lin kages with some international trade agreements. 
Article 6 
General Measures for 
Conservation and 
Sustainable Use  "Each Contracting Party shall, in accordance w ith its particular conditions and capabilities:   
(a) Develop national strategies, plans or programmes for the conservation and sustainable use of biological diversity or adapt for this purpose 
existing strategies, plans or programmes which shall reflect, inter alia , the measures set out in this Convention relevant to the Contracting Party 
concerned;  and  
(b) Integrate, as far as possible and as appropriate, the conser vation and sustainable use of biological diversity into relevan t sectoral or cross-
sectoral plans, programmes and policies". 
Article 7(c) 
Identification and 
Monitoring "Each Contracting Party shall, as far as possible and as appropriate, in particular for the purposes of Articles 8 to 10: … 
(c) Identify processes and categories of activities which have or  are likely to have significant adverse impacts on the conserv ation and sustainable 
use of biological diversity, and monitor their effects through sampling and other techniques". 
Article 8 
In-situ Conservation "Each Contracting Party shall, as fa r as possible and as appropriate: … 
(h) Prevent the introduction of, control or eradicate those alie n species which threaten ecosystems, habitats or species; … 
(j) Subject to its national legislation, respect, preserve and ma intain knowledge, innovations and practices of indigenous and local communities 
embodying traditional lifestyles relevant for the conservation and sustaina ble use of biological dive rsity and promote their wi der application with 
the approval and involvement of the holders of such knowledge, innovations and practices and encourage the equitable sharing of  the benefits 
arising from the utilization of such knowledge, innovations and practices; … 
(l) Where a significant adverse effect on biological diversity has been determined pursuant to Article 7, regulate or manage th e relevant processes 
and categories of activities;…". 
Article 10 
Sustainable Use of 
Components of Biological 
Diversity "Each Contracting Party shall, as fa r as possible and as appropriate: ... 
(b) Adopt measures relating to the use of biological resources to avoid or minimize adverse impacts on biological diversity; (c) Protect and encourage customary use of biological resources in accordance with traditional cultural practices that are comp atible with 
conservation or sustainable use requirements; …". 
Article 11 
Incentive Measures "Each Contracting Party shall, as far as possible and as approp riate, adopt economically and socially sound measures that act a s incentives for the 
conservation and sustainable use of components of biological diversity". 
Article 14 
Impact Assessment and 
Minimizing Adverse 
Impacts "1. Each Contracting Party, as far as  possible and as appropriate, shall: 
(a) Introduce appropriate procedures requiring environmental impact assessmen t of its proposed projects that are likely to have  significant adverse 
effects on biological diversity with a view to avoiding or minimizing such effects and, where appropriate, allow for public par ticipation in such 
procedures; (b) Introduce appropriate arrangements to ensure that the environmental consequences of its programmes and policies that are li kely to have 
significant adverse impacts on biological diversity are duly taken into account;  
 WT/CTE/W/160/Rev.3 
TN/TE/S/5/Rev.1 Page 68 (c) Promote, on the basis of reciprocity, notification, excha nge of information and consultation on activities under their juri sdiction or control 
which are likely to significantly a ffect adversely the biological diversity of othe r States or areas beyond the limits of natio nal jurisdiction, by 
encouraging the conclusion of bilateral, regional or multilateral arrangements, as appropriate; (d) In the case of imminent or grave danger or damage, originating under its jurisdiction or control, to biological diversity w ithin the area under 
jurisdiction of other States or in areas beyond the limits of  national jurisdiction, notify immediately the potentially affecte d States of such danger 
or damage, as well as initiate action to prevent or minimize such danger or damage;  and (e) Promote national arrangements for emergency responses to ac tivities or events, whether caused naturally or otherwise, which  present a grave 
and imminent danger to biological diversity and encourage inte rnational cooperation to supplement such national efforts and, wh ere appropriate 
and agreed by the States or regional economic integration organizations concerned, to establish joint contingency plans. 
2. The COP shall examine, on the basis of studies to be carried  out, the issue of liability and redress, including restoration and compensation, for 
damage to biological diversity, except where such liability is a purely internal matter". 
Article 15 
Access to Genetic 
Resources "1. Recognizing the sovereign rights of St ates over their natural resources, the auth ority to determine access to genetic resou rces rests with the 
national governments and is subject to national legislation. 
2. Each Contracting Party shall endeavou r to create conditions to facilitate access to  genetic resources for environmentally so und uses by other 
Contracting Parties and not to impose restrictions that run counter to the objectives of this Convention. 3. For the purpose of this Convention, the genetic resources being provided by a Contracting Party, as referred to in this Arti cle and Articles 16 and 
19, are only those that are provided by Contracting Parties that are countries of origin of such resources or by the Parties th at have acquired the 
genetic resources in accordance with this Convention. 4. Access, where granted, shall be on mutually agreed  terms and subject to the pr ovisions of this Article. 
5. Access to genetic resources shall be su bject to prior inform ed consent of the Contracting Pa rty 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 wh ere possible in, such Contracting Parties. 
7. Each Contracting Party shall take legisl ative, administrative or policy measures, as  appropriate, and in accordance with Art icles 16 and 19 and, 
where necessary, through the financial mechanism established by Ar ticles 20 and 21 with the aim of sharing in a fair and equita ble way the results of 
research and development and the benefits arising from the comm ercial and other utilization of genetic resources with the Contr acting 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 th at technology includes biotechnology, and that  both access to and tr ansfer of technol ogy among 
Contracting Parties are essential elements for the attainment of the objectives of this  Convention, undertak es 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 cons ervation and sustainable 
use of biological diversity or make use of genetic resources and do not cause significant damage to the environment. 
2. Access to and transfer of technology referred to in paragraph 1 above to developing countries shall be provided and/or facil itated under fair and 
most favourable terms, including on concessional and preferentia l terms where mutually agreed, and, where necessary, in accorda nce with the 
financial mechanism established by Articles 20 and 21.  In the case of technology subject to patents and other intellectual pro perty rights, such access 
and transfer shall be provided on terms which recognize and are consistent with the adequate and effective protection of intell ectual property rights.  
The application of this paragraph shall be consistent with paragraphs 3, 4 and 5 below. 3. Each Contracting Party shall take legislative, administrative  or policy measures, as appropri ate, with the aim that Contract ing Parties, in particular 
those that are developing countries, which provide genetic resources are provided access to and transfer of technology which ma kes use of those 
resources, on mutually agreed terms, including technology protected by patents and other intellectual property rights, where ne cessary, through the 
provisions of Articles 20 and 21 and in accordance with inte rnational law and consistent with paragraphs 4 and 5 below.  
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Page 694. Each Contracting Party shall take legislative, administrativ e or policy measures, as appropria te, with the aim that the priv ate sector facilitates 
access to, joint development and transfer of technology referred to in paragraph 1 a bove for the benefit of both governmental i nstitutions and the 
private sector of developing countries and in this regard shall abide by the obligations included in paragraphs 1, 2 and 3 abov e. 
5. The Contracting Parties, recognizing that patents and other intellectual property rights may have an influence on the implem entation of this 
Convention, shall cooperate in this regard subject to national le gislation and international law in order to ensure that such r ights are supportive of and 
do not run counter to its objectives". 
Article 19  
Handling of 
Biotechnology and 
Distribution of its 
Benefits "1. Each Contracting Party shall take legislative, administrativ e or policy measures, as appropri ate, to provide for the effect ive participation in 
biotechnological research activities by those Contracting Parties, especially developing  countries, which provide the genetic r esources for such 
research, and where feasible in such Contracting Parties. 
2. Each Contracting Party shall take all practicable measures to promote and advance priority  access on a fair and equitable ba sis by Contracting 
Parties, especially developing countries, to the results and be nefits arising from biotechnologies based upon genetic resources  provided by those 
Contracting Parties.  Such access shall be on mutually agreed terms. 3. The Parties shall consider the need for and modalities of a protocol setting out appropriate procedures, including, in parti cular, advance informed 
agreement, in the field of the safe transfer, handling and use of any living modified organism resulting from biotechnology tha t may have adverse 
effect on the conservation and sustainable use of biological diversity. 4. Each Contracting Party shall, directly or by requiring an y natural or legal person under its jurisdiction providing the orga nisms referred to in 
paragraph 3 above, provide any available information about the us e and safety regulations required by that Contracting Party in  handling such 
organisms, as well as any available information on the potentia l adverse impact of the specific organisms concerned to the Cont racting Party into 
which those organisms are to be introduced". 
Article 22 
Relationship with Other 
International 
Conventions "1. The provisions of this Convention shall not affect the rights and obligations of any Contracting Party deriving from any ex isting international 
agreement, except where the exerci se of those rights and obligations would cause a serious damage or threat to biological diver sity.  
2. Contracting Parties shall implement this Convention with respect  to the marine environment consistently with the rights and obligations of States 
under the law of the sea". 
 
2. Decisions of the Conference of the Parties 
32. Conferences of the Parties of the CBD have ad opted, for instance, th e following decisions: 
Decision III/18 
Incentive Measures "… 2. Resolves that incentive measures sha ll be included as appropriate on the agenda of the COP and be integrated into the sec toral and thematic 
items under the medium-term programme of work of the COP; 3. Encourages Parties to review their existing legislation an d economic policies, to identify and promote incentive for the con servation and 
sustainable use of components of biological diversity, stressing the importance of taking appropriate action on incentives that  threaten biological 
diversity; 
4. Encourages Parties to ensure adequate incorporation of the ma rket and non-market values of biological diversity into plans, policies and 
programmes and other relevant areas, inter alia , national accounting systems and investment strategies; 
5. Encourages Parties to develop training and capacity-buildin g programmes to implement incentiv e measures and promote private- sector initiatives 
in this regard; 
6. Encourages Parties to incorporate biological diversity considerations into impact assessments, consistent with Article 14 of  the Convention, as a 
step in the design and implementation of incentive measures; …".  
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TN/TE/S/5/Rev.1 Page 70 Decision IV/10 
Measures for 
Implementing the 
Convention on Biological 
Diversity "…A. Incentive measures:  consideration of mea sures for the implementation of Article 11 … 
1. Encourages Parties, Governments and relevant organizations: … 
(a) To promote the design and implementati on of appropriate incentive measures, taking  fully into account th e ecosystem approac h and the various 
conditions of the Parties and employing the precautionary approach  of Principle 15 of the Rio Declaration on Environment and De velopment, in 
order to facilitate achieving the implementation of the objectives  of the Convention and to integrate biological diversity conc erns in sectoral 
policies, instruments and projects; 
(b) As a first step towards formulating incentive measures, to identify threats to biological diversity and underlying causes o f reduction or loss of 
biological diversity and relevant actors; (c) To take into account economic, social , cultural and ethical valuation in the development of relevant incentive measures; 
(d) To develop supportive legal and policy frameworks for the design and implementation of incentive measures; 
(e) To carry out participatory consultative processes at the relevant level to define the clear and target-oriented incentive m easures to address the 
identified underlying causes of biodiversity  reduction or loss and unsustainable use; 
(f) To identify perverse incentives and consider the removal or  mitigation of their negative effects on biological diversity in  order to encourage 
positive, rather than negative, effects on the conser vation and sustainable use of biological diversity; 
(g) To prepare case-studies on incentive measures in the thematic focus of the fifth meeting of the COP, utilizing the indicati ve outline prepared by 
the Executive Secretary as far as possible, and to make them ava ilable to the Execu tive Secretary. 
(h) To undertake value addition and enhancement of naturally occurring genetic resources, based on the participatory approach, where appropriate, 
to work as incentives for their co nservation and sustainable use; …". 
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 "… 7. Takes note of the Executive Secretary's observer status in  the CTE of the WTO for the purpo se of representing the Convent ion on Biological 
Diversity in meetings whose agendas have relevance to the Convention; 8. Also notes that some Parties to the Convention on Biological Diversity, particularly many developing countries, are not memb ers of the WTO, and 
are therefore limited in their abilities to present their concerns regarding biological diversity at the WTO; 
9. Stresses the need to ensure consistency in implementing the Convention on Biological Diversity and the WTO agreements, inclu ding the TRIPS 
Agreement, with a view to promoting increased mutual supportiveness and integration of biological diversity concerns and the pr otection of 
intellectual property rights, and invites the WTO to consider how to achieve these objectives in the light of Article 16, parag raph 5, of the 
Convention, taking into account the planned review of Article 27, paragraph 3 (b), of the TRIPS Agreement in 1999; 10. Emphasizes that further work is required to help develop a common appreciation of the relationship between intellectual pro perty rights and the 
relevant provisions of the TRIPS Agreement and the CBD, in par ticular on issues relating to te chnology transfer and conservatio n and sustainable 
use of biological diversity and the fair and equitable sharing of benefits arising out of the use of genetic resources, includi ng the protection of 
knowledge, innovations and prac tices of indigenous and local communities embodyin g traditional lifestyles relevant for the cons ervation and 
sustainable use of biological diversity …". 
Decision V/16 
Article 8(j) and related 
provisions "… 14. Recognizes the potential importance of sui generis  and other appropriate systems for the protection of traditional knowledge of indigenous 
and local communities and the equitable sharing of benefits aris ing 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 findings to the WTO and the WIPO, as suggested in paragraph 6 (b ) of recommendation 
3 of the Inter-Sessional Meeting on the Operations of the Convention (UNEP/CBD/COP/5/4, annex); …" 
Decision V/26 B 
Access to Genetic 
Resources "… 2. Invites the WTO to acknowledge releva nt provisions of the Convention and to take  into account the fact that the provision s of the TRIPS 
Agreement and the CBD are interrelated and to further explore this interrelationship;   
3. Requests the Executive Secretar y to transmit the presen t decision to the secretariats of the WTO and the WIPO, for use by ap propriate bodies of 
these organizations, and to endeavour to undertake further cooperation and consultation with these organizations;    
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Page 714. Renews its request to the Executive Secr etary of the Convention to apply for observer  status on the TRIPS Council, and reque sts him to report 
back to the COP on his efforts …".  
Decision VI/10 
Article 8(j) and related 
provisions "… 35. Also requests the Executive Secretary to continue to compile information provided by Parties and Governments relating to  existing national 
legislation and other measures for the protection of traditional knowledge, innov ations and practices;   
36. Invites the WTO and the WIPO to make available to the Execu tive Secretary information referred to in paragraph 35 above pro vided through 
their respective notification systems; … 
39. Encourages Parties and Governments, where they have not already done so, to take measures to establish or improve operation al links between 
their national governmental intellectual-property bodies, nationa l focal points of the Convention on Biological Diversity, and indigenous and local 
communities and their organizations in order to better coordinate and institute measures to protect their traditional knowledge , innovations and 
practices relevant to the conservation and sustainable use of bi ological diversity, particularly with regard to traditional-kno wledge documentation 
initiatives and community-based registries of traditional knowledge; … 
46. Invites Parties and Governments to encourage the disclosure of the origin of relevant traditional knowledge, innovations an d practices of 
indigenous and local communities relevant to the conservation and sustainable use of biological diversity in applications for i ntellectual property 
rights, where the subject matter of the application concerns or makes use of such knowledge in its development;  
47. Urges Parties and Governments to examine,  as appropriate, relevant provisions of the CBD with respect to prior informed con sent and mutually 
agreed terms where traditional knowledge is us ed in its original form or in the development of new products and/or new applicat ions;  
48. Invites Parties and Governments, with the assistance of the WIPO, to take into  account traditional know ledge in the examina tion of novelty and 
inventive step in patent applications; …". 
Decision VI/15 
Incentive measures  
Annex I 
Proposals for the Design 
and Implementation of 
Incentive Measures "… 2. Endorses the proposals for the design and implementation of incentive measures and the recommendations for further cooper ation on incentive 
measures, contained respectively in annexes I and II to the presen t decision, as far as they are consistent with Parties' natio nal policies and legislation 
as well as their international obligations; … 
Annex I:  Proposals for the design and implementation of incentive measures  
1. In general terms, incentive measures should be designed to address the conservation and sustainable use of biological 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 appr opriate and complementary measures  
36. The following are guidelines for selectin g appropriate and complementary measures:  
a) Any decision-making process for selecti ng appropriate and complementary measures sh ould take into account the specific circu mstances of the 
country involved; 
b) It is important to consider the context in which the incen tive measure is being introduced to  assist final decision-making o n a particular measure 
or measures; c) A key consideration in the design of an incentive measure is the recognition that a single measure will often not suffice to  address the 
complexities involved in decisions on biodiv ersity conservation or sustai nable use, and that a mix of measures may be needed; 
d) Equity considerations, such as poverty alleviation, should be given a prominent role in the design and selection of appropri ate incentive 
measures; 
e) The implementation of incentive measures should not result in a significant increase in the cost  of living and/or increase i n government revenue; 
f) The size of the country's economy is  an important factor in the selection of financial incentive measures;  
 WT/CTE/W/160/Rev.3 
TN/TE/S/5/Rev.1 Page 72 g) Well defined land and property rights are an important factor  in the design and implementation of incentive measures in the conservation of 
biological diversity and the promotion of sustainable use; 
h) Positive incentives can influence decision-making by recogn izing and rewarding activities that are carried out for conservat ion and sustainable 
use purposes; 
i) The removal of perverse incentives eases pressure on the environment.  The identific ation 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 design of  incentive measures.  
The removal of perverse incentives  may improve economic efficiency  and reduce fiscal expenditures; 
j) Disincentives continue to be an important tool for ensuring the conservation and sustainable use of biological diversity and  can be used in 
combination with positive incentives …". 
Decision VI/20 
Cooperation with other 
Organizations, Initiatives 
and Conventions 
 Cooperation with the WTO  
"Reaffirms the need to promoting increased mutual supportiveness of trade and environm ent agreements in achieving sustainable d evelopment, as 
stressed in decision IV/15 of the fourth meeting of the COP, an d reiterated in the Cartagena Pr otocol on Biosafety and the Doha  Ministerial 
Declaration of the WTO adopted on 14 November 2001;  
Notes the Doha Ministerial Declaration, which welcomes a continued cooperation by the WTO with UNEP and other intergovernmental  
environmental organizations, and encourages efforts to promote cooperation between the WTO and relevant international environme ntal and 
developmental organizations;  
Recognizes the importance of cooper ation with the WTO with regard to matters that are relevant to the Cartagena Protocol on Bio safety and in 
preparing for the implementation of the Protocol, emphasizes the n eed to ensure mutual  supportiveness with the relevant agreeme nts under the WTO, 
in particular with the SPS Agreement and the TBT Agreemen t, with a view to achieving sustainable development;  
Welcomes the practice established between th e Executive Secretary and the WTO to exchan ge information regarding developments un der the 
Intergovernmental Committee for the Cartagena Protocol on Biosafety;  Requests the Executive Secretary to apply to the WTO for an observer status and to represent the Convention on Biological Diver sity in the meetings 
of the SPS Committee and the TBT Committee;  
Further requests the Executive Secretary to renew the application to the WTO for observer status in the TRIPS Council". 
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 "... 4. Having considered these options, adopts the Gu iding Principles annexed to the present decision;  
5. Urges Parties, other Governments and relevant organiza tions to promote and implement the Guiding Principles; ... 
15. Urges Parties, Governments, multilateral organizations and othe r 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 imp acts of trade and trade liberaliz ation; ... 
Guiding principle 1:  Precautionary approach   
Given the unpredictability of the pathways and impacts on biological diversity of invasive alien species, efforts to identify a nd prevent unintentional 
introductions as well as decisions concerning intentional introduc tions should be based on the precautionary approach, in parti cular with reference to 
risk analysis, in accordance with the guiding principles below.  The precautionary approach is that  set forth in principle 15 o f the 1992 Rio 
Declaration on Environment and Development and in the preamble of the Convention on Biological Diversity.  
The precautionary approach sh ould also be applied when consid ering eradication, containment a nd control measures in relation to  alien species that 
have become established.  Lack of scientific certainty about th e various implications of an invasion should not be used as a re ason for postponing or 
failing to take appropriate eradication,  containment and control measures. ... 
Guiding principle 7:  Border control and quarantine measures  
"1. States should implement border controls and quarantine measures for alien species that are or could become invasive to ensu re that:   
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Page 73a. Intentional introductions of alien species are su bject to appropriate author ization (principle 10);  
b. Unintentional or unauthorized introductions of alien species are minimized.  
2. States should consider putting in place ap propriate measures to contro l introductions of invasive alien species within the S tate according to 
national legislation and policies where they exist.  
3. These measures should be based on a risk analysis of the threats posed by alien species and their potential pathways of entr y.  Existing appropriate 
governmental agencies or author ities should be strengthened and broadened as n ecessary, and staff should be properly trained to  implement these 
measures.  Early detection systems and regional and international coordination are essential to prevention …". 
Decision VI/24 
Access and Benefit-
sharing as Related to 
Genetic Resources 
 "A. Bonn Guidelines on Access to Genetic Resources and Fair and Equitable Sharin g of the Benefits Arising out of their Utilizat ion ... 
I. GENERAL PROVISIONS  
1. These Guidelines may serve as inputs when developing and drafting legislative, administrative or policy measures on access a nd benefit-sharing 
with particular reference to provisions under Articles 8(j), 10 (c), 15, 16 and 19;  and contracts and other arrangements under  mutually agreed terms 
for access and benefit-sharing. … 9. All genetic resources and associated traditional knowledge, i nnovations and practices covered by the Convention on Biologica l Diversity and 
benefits arising from the commercial and other utilization of such  resources should be covered by the guidelines, with the excl usion of human genetic 
resources. …  12. The Guidelines are intended to assist Parties in developi ng an overall access and benefit-sharing strategy, which may be pa rt of their national 
biodiversity strategy and action plan, and in identifying the steps involved in the process of obtaining access to genetic reso urces and sharing 
benefits. 
II. ROLES AND RESPONSIBILITIES IN ACCESS AND BENEFIT -SHARING PURSUANT TO ARTICLE 15 OF THE CONVENTION 
ON BIOLOGICAL DIVERSITY ... 
13. Each Party should designate one national focal point for acce ss and benefit-sharing and make such information available thr ough the clearing-
house mechanism.  The national focal point should inform applicants for access to gene tic resources on procedures for acquiring  prior informed 
consent and mutually agreed terms, includi ng benefit-sharing, and on competent nati onal authorities, relevant indigenous and lo cal communities and 
relevant stakeholders, through the clearing-house mechanism. … 
16. Recognizing that Parties and stakeholders may be both users and providers, the following balanced list of roles and respons ibilities provides key 
elements to be acted upon: … 
(b) In the implementation of mutually agreed terms, users should:   
(i) Seek informed consent prior to access to genetic resources, in  conformity with Article 15, pa ragraph 5, of the Convention; … 
(d) Contracting Parties with users of gene tic resources under their jurisdiction should take appropriate legal, administrative,  or policy measures, as 
appropriate, to support compliance with prio r informed consent of the Contracting Party providing such resources and mutually a greed terms on 
which access was granted.  These countries could consider, inter alia , the following measures:  
(i) Mechanisms to provide information to potential users on their obligations regarding access to genetic resources;  
(ii) Measures to encourage the disclosure of the country of origin of the gene tic 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 Parties to address alle ged infringements of access and benefit-sharing agreements;  
(v) Voluntary certification schemes for institutions ab iding by rules on access and benefit-sharing;  
(vi) Measures discouraging  unfair trade practices;   
 WT/CTE/W/160/Rev.3 
TN/TE/S/5/Rev.1 Page 74 (vii) Other measures that encourage users to comply with provisions under subparagraph 16 (b) above. … 
IV. STEPS IN THE ACCESS AND BENEFIT-SHARING PROCESS ... 
24. As provided for in Article 15 of the Convention on Biological Diversity, which recognizes the sovereign rights of States ov er their natural 
resources, each Contracting Party to the Co nvention shall endeavour to create conditions  to facilitate access to genetic resour ces for environmentally 
sound uses by other Contracting Parties and fair and equitable sharing of benefits arising from such uses.  In accordance with Article 15, paragraph 5, 
of the Convention on Biological Diversity, access to genetic resources shall be subject to prior informed consent of the contra cting Party providing 
such resources, unless otherwise determined by that Party.  
25. Against this background, the Guidelines are intended to assist Parties in the establishment of a system of prior informed c onsent, in accordance 
with Article 15, paragraph 5, of the Convention … . 
C. Role of intellectual property ri ghts in the implementation of access  and benefit-shar ing arrangements  
The COP  
1. Invites Parties and Governments to encourage the disclosure of the country of origin of genetic resources in applications fo r intellectual property 
rights, where the subject matter of the application concerns or makes use of genetic resources in its development, as a possibl e contribution to 
tracking compliance with prior informed cons ent and the mutually agreed terms on whic h access to those resources was granted;  
2. Also invites Parties and Governments to encourage the disclosu re of the origin of relevant traditional knowledge, innovation s and practices of 
indigenous and local communities relevant for the conservation and sustainable use of biological diversity in applications for intellectual property 
rights, where the subject matter of the application concerns or makes use of such knowledge in its development;  3. Requests the Executive Secretary, with the help of other international and intergovernmental organizations such as the WIPO and through the Ad 
Hoc Open-ended Inter-Sessional Working Group on Article 8(j) and Related Provisions of the Convention, where appropriate, to un dertake further 
information gathering and analysis with regard to:  
a) Impact of intellectual property regimes on access to a nd use of genetic resources and scientific research;  
b) Role of customary laws and practices in relation to the pr otection of genetic resources a nd traditional knowledge, innovatio ns 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 examin ation of intellectual property r ights applications and 
the re-examination of intellectual property rights granted;  
e) Efficacy of country of orig in and prior informed consent disclosures in monitoring comp liance with access provisions;  
f) Feasibility of an internationally recogni zed certificate of origin system as evidence of prior informed consent and mutually  agreed terms;  and  
g) Role of oral evidence of prior art in the examination,  granting and maintenance of intellectual property rights; ... 
8. Invites other relevant international organizations (such as the FAO, the UNCTAD, the WIPO, the WTO, and the UNCHR), as well as regional 
organizations, Parties and Governments to contribute to the further study and analysis of the issues specified in paragraphs 3 and 4; ... ." 
D. Other issues relating to  access and benefit-sharing 
The Conference of Parties,  
The relationship between the TRIPS Agreement of the WTO and the CBD 
Noting that the provisions of the TRIPS Agreem ent of the WTO and the CBD are interrelated,  
Noting also that the relationship between the TRIPS Agreement and the CBD is being examined by the TRIPS Council, in conformity  with Article 
19 of the Doha WTO Ministerial Declaration, adopted in November 2001,  
Noting further that the Convention Secretariat has still not been gr anted observer status on the TRIPS Council, notwithstanding  the official request of 
the Executive Secretary to the Di rector-General of the WTO in a letter dated 4 July 2000,   
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Page 751. Requests the Executive Secretary of the Convention to renew the application for observer status on the TRIPS Council, and to  report back to the 
Conference of Parties on his efforts;  
2. Requests the Executive Secretary to fo llow discussions and developments in the CTE of the WTO and the TRIPS Council regardin g 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-sh aring;  
4. Requests the Executive Secretary to further collaborate with the above relevant organisations to ensure mutual supportivenes s and avoid 
duplication of work; …". 
"... 2. Adopts the proposal prepar ed by the Executive Secretary for the further re finement of the programme of work and suggest ing collaborating 
partners as indicated in the annex to the present decision; ... 
Annex:  Synthesis table of expected outcomes and timeframes, potential actors, and indicators of progress in the implementation  of the programme of 
work on biological diversity of dry and sub-humid lands 
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 
Decision VII/2 
The Biological Diversity 
of Dry and Sub-humid 
Lands 
Annex 
 
 
 -   Conducive market relationships 
developed  Parties, WTO Proposed   
Decision VII/3 
Agricultural Biological 
Diversity "... 6. Takes note also of the notes by th e Executive Secretary on the im pacts of trade liberalizati on on agricultural biodiver sity 
(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/5 
Marine and Coastal 
Biological Diversity: 
Review of the 
Programme of Work  
Appendix 3 "... Elements of a Marine and Coastal Biodiversity Management Framework  ...  
17. Sustainable management practices over the wider marine and coastal environment could include general restrictions that woul d apply to the entire 
area (e.g., bans on certain destructive fishing methods), and site-specific restrictions imposed for non-biodiversity purposes (e.g., trawling restrictions 
to protect cables, restricted areas for defe nce purposes).  These practices can contribute to biodiversity protection in a numb er of ways, including: ... 
(c) Protecting wide-ranging marine and coastal biodiversity speci es which are difficult to addres s through site-specific measur es (e.g. restrictions 
on fishing practices that cause a by- catch of species such as albatross, marine mammals and turtles); ... ."  
Decision VII/11 
Ecosystem Approach 
 "... 3. Welcomes the implementation guidelines and annotations to  rationale as outlined in annex I to the present decision and calls on parties and 
other Governments to implement the ecosystem approach, keeping in mind that in applying the ecosystem approach, all principles need to be 
considered, with appropriate weight given to each, in accordance with local conditions, and keeping in mind also that the imple mentation 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 national legislation; ... 
Annex I:  Refinement and elaboration of the ecosystem approach, based on assessment of experience of parties in implementation ... 
Principle 4:  Recognizing potential gains from management, there is usually a need to understand and manage the ecosystem in an economic 
context. Any such ecosystem-management programme should:  
(a) Reduce those market distortions that adversely affect biological diversity;   
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TN/TE/S/5/Rev.1 Page 76 (b) Align incentives to promote biodiversity conservation and sustainable use;  
(c) Internalize costs and benefits in the given ecosystem to the extent feasible. 
Rationale:  The greatest threat to biological diversity li es in its replacement by alternative systems of land use.  This often arises thro ugh market distortions, 
which undervalue natural systems and populations and provide perverse incentives and subsidies to favour the conversion of land  to less diverse 
systems.  Often those who benefit from conservation do not pay th e costs associated with conserva tion and, similarly, those who  generate 
environmental costs (e.g. pollution) escape responsibility.  Alignm ent of incentives allows those who control the resource to b enefit and ensures that 
those who generate environm ental costs will pay. ..."  
Decision VII/12 
Sustainable use 
(Article 10) "1. Adopts the Addis Ababa Principles and Guidelines for the Sustainable Use of Biodiversity, as contained in annex II to the p resent 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 provid es that Contracting Partie s undertake specified actions  as far as possible, 
and as appropriate, at the national and local levels, and in lin e with Article 6 of the Convention on Biological Diversity, tak ing into account 
obligations under other international agreements and conventions  and existing frameworks for sustainable use of components of b iodiversity, 
including the concept of sustainable forest management, e.g., by developing pilot projects, with a view to:  
(a) Integrating and mainstreaming the Addis Ababa Principles and Guidelines into a range of measures 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 , including plans and programmes  addressing the removal or m itigation 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;  
Æ 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/deci sions/default.aspx?m=COP-07&id=7749&lg=0. 
Æ Some of the relevant principles include: 
Practical principle 3:  International or national policies, laws and regulations that distort markets which contribute to habitat degradation or other-
wise generate perverse incentives that undermine conservation and sustainable use of biodiversity, should be identified and rem oved or mitigated.  
Rationale:  Some policies or practices induce unsustainable behaviours that reduce biodiversity, often as unanticipated side ef fects as they were 
initially designed to attain other objectives.  For example, some policies that encourage domestic overproduction often generat e perverse incentives 
that undermine the conservation and sustainable use of biological diversity.  Eliminating subsidies that contribute to illegal,  unreported and 
unregulated fishing and to over-capacity, as required by the WSSD Plan of Implementation in order to achieve sustainable fisher ies, is a further 
instance of the recognition of the need  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 leding to market distortions that result in unsustainable uses of biodiversity components; ... 
Practical principle 13:  The costs of management and conservation of biological diversity should be internalized within the area of management and 
reflected in the distribution of the benefits from the use. ...  
Rationale:  The management and conservation of natural resources in curs costs.  If these costs are not adequately covered then management will 
decline and the amount and value of the natura l resources may also decline.  It is neces sary to ensure that some of the benefit s from use flow to the  
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Page 77local natural resource management authorities so that essential management to sustain the resources is maintained.  Such benefi ts may be direct, such 
as entrance fees from visitors to a national park paid directly to, and retained by, the park management authority or indirect,  such as stumpage tax 
revenue from timber harvesting paid by loggers that flows through a national treasury to a local forest service.  In some cases , licence fees for fishing 
rights are paid directly to the management authority, or to the national treasury.  
Operational guidelines 
• Ensure that national policies do not provide subsidies that mask true costs of management;  
• Provide economic incentives for managers who have already internalized environmental costs, e.g., certification to access new m arkets, waiver 
or deferral of taxes in lieu of e nvironmental investment, promotion of "green-labelling" for marketing. ..." 
Decision VII/13 
Alien Species that 
Threaten Ecosystems, 
Habitats or Species 
(Article 8 (h)) "... 5. Noting the existing international, regional and national frameworks but reco gnizing the need to strengthen institutiona l coordination at 
international, regional and national levels on invasive alien species as a trade-related issue:  
(a) Invites the WTO and its relevant bodies to give consideration to the risks from invasive alien species, in their deliberati ons;  
(b) Requests the Executive Secretary to collab orate, whenever feasible and appropriate,  with the Secretariat of the WTO in its training, capacity-
building and information activities, with a vi ew to raising awareness of the issues re lated to invasive alien species, and prom oting enhanced 
cooperation on this issue;  
(c) Requests the Executive Secretary to rene w his application for observer status in the SPS Committee of the WTO with a view t o enhancing the 
exchange of information on deliberations and recent development in the respective bodi es of relevance to alien invasive species ;  
(d) Invites Parties and other Governments to take into considera tion, as appropriate, the risks associated with the introductio n, use and spread of 
invasive alien species during the development, expansion and envi ronmental review of international, bilateral and regional arra ngements such as 
trade arrangements, where appropriate; ... 
6. Invites relevant Parties to the Convention on Biological Dive rsity and other Governments, as well as national, regional and international 
organizations to: ... 
(f) Consider the introduction of positive incentive measures for the prevention, mitigation, eradication or control of invasive  alien species and the 
use of native species taking into consider ation effectiveness in control and impact on the other native species in land and wat er 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 an imal diseases under 
the regulations of the Office international des épizooties and ot her international agreements with regard to the following pote ntial pathways: ..."  
Decision VII/14 
Biological Diversity and 
Tourism "1. Adopts the Guidelines on Biodiversity and Tourism Development annexed to the present decision; ... 
9. In light of the collaboration between the CBD, the UNEP and th e 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 an d represent a range of opportunities for local, regional, national Governments, indig enous and local 
communities and other stakeholders to manage tourism activities in an ecological, economic and socially sustainable manner.  Th ey can be flexibly 
applied to suit different circumstances and domestic institutional and legal settings. ... 
32. Legislation and control measures cons idered could include measures for: ... 
(n) Monitoring, control of and provision of information on activ ities related to collection and trade of biological and related  cultural resources 
within tourism sites. ..."  
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TN/TE/S/5/Rev.1 Page 78 Decision VII/16 
Article 8(j) and Related 
Provisions 
 "... H.  Development of elements of sui generis systems for the protection of traditional knowle dge, innovations and practices  ... 
Noting that a mix of defensive and positive measures, taking in to account both proprietary and non-proprietary aspects, may be necessary for the 
protection of traditional knowledge, innovations and practices relevant for the conservation and sustainable use of 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 wi th the full and effective involvement and participation of concerned indigenous and  local communities,  
... Recognizing the need for continued collaboration with other relevant organizations working on issues related to the protect ion of traditional 
knowledge, innovations and practices, such as the WIPO, the Perm anent Forum on Indigenous Issues (PFII), the WHO and the FAO, t he UNESCO, 
the UNCTAD and the WTO to ensure mutual supportiveness and avoid duplication of efforts, ... 
7. Invites Parties and Governments to consider appropriate meas ures, with the full and effective participation of indigenous an d local communities, to 
implement at local, national, subregional, regional and international levels sui generis  systems and other new innovative mechanisms that ensure the 
protection of traditional knowledge, innovations and practices ta king into consideration customary law and traditional practice s; ..."  
Decision VII/19 
Access and Benefit-
sharing as Related to 
Genetic Resources  
(Article 15) "... D. International regime on access to genetic resources and benefit-sharing ... 
1. Decides to mandate the Ad Hoc Open-ended Working Group on Access and Benefit-sharing with the collaboration of the Ad Hoc Op en ended 
Inter-Sessional Working Group on Article 8(j) and Related Provis ions, ensuring the participation of indigenous and local commun ities, non-
Governmental organizations, industry and scientific and academic  institutions, as well as intergovernmental organizations, to e laborate and negotiate 
an international regime on access to genetic resources and benef it-sharing with the aim of adop ting an instrume nt\instruments t o effectively 
implement the provisions in Article 15 and Article 8(j) of the Convention and the three objectives of the Convention;  
2. Recommends that the Ad Hoc Open-ended Working Group on Acce ss and Benefit-sharing should op erate in accordan ce with the term s of 
reference contained in the annex to this decision; ... 
5. Invites the United Nations Environment Programme, the Food a nd Agriculture Organization of the United Nations, the WTO, the World 
Intellectual Property Organization, the International Union for th e Protection of New Varieties of Plants, to cooperate with th e Ad Hoc Open-ended 
Working Group on Access and Benefit-sharing in  elaborating the international regime; ... 
Annex :  Terms of reference for the Ad Hoc Open-ended Working Group on Access and Benefit-sharing ...  
(d) Elements:  The following elem ents shall be considered by the Ad Hoc Open-e nded Working Group on Access and Benefit-sharing for inclusion 
in the international regime, inter alia : ... 
(xiii) Internationally recognized certifi cate of origin/source/legal provenance of ge netic resources and associated traditional  knowledge;  
(xiv) Disclosure of origin/source/legal provenance of genetic re sources and associated traditional knowledge in applications fo r intellectual 
property rights;  
(xxiii) Relevant elements of existing in struments and processes, including: ... 
- The TRIPS Agreement and other WTO agreements; ... 
E. Measures, including consideration of their feasibility, prac ticality and costs, to support compliance with prior informed co nsent of the 
Contracting Party providing genetic resources  and mutually agreed terms on which acce ss was granted in Contracting Parties with  users of 
such resources under their jurisdiction ... 
Noting further  the ongoing activities and processes in relevant international forums such as the WIPO, the TRIPS Council of the WTO, and the 
Commission on Plant Genetic Resources for Fo od and Agriculture of the FAO acting as the Interim Committee for the International  Treaty on Plant 
and Genetic Resources for Food and Agriculture, regarding meas ures to support compliance with  prior informed consent, ... 
2. Invites  Parties and Governments to continue taking appropriate and prac tical measures to su pport compliance with prior informed consen t of the 
Contracting Parties providing such resources, including countries of origin, in accordance with Article 2 and Article 15, parag raph 3, of the  
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Page 79Convention, 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 en courage users to comply with national legis lation, including 
prior informed consent and mutua lly agreed terms, such as publicly sponsored research grants and volun tary certification scheme s; ... 
(d) Aspects related to the import and export of genetic resources , including regulations when feasible and as appropriate; ... 
4. Invites  Parties to establish national mechanisms to ensure compliance, when required by domestic law, with the obtaining of prior info rmed 
consent of indigenous and loca l communities regarding access to genetic resour ces and associated traditional knowledge; ... 
F. Needs for capacity-building identified by countries to implement the Guidelines ... 
1. Adopts the Action Plan on Cap acity-building for Access to Genetic Resources an d Benefit-sharing annexed to this decision; .. . 
Annex:  Action plan on capacity-building for acce ss to genetic resources and benefit-sharing ... 
5. Capacities should be strengthened at the systemic, ins titutional and individual levels in the following key areas: ... 
(m) Development of awareness with respect to conventions, norms and policies relating to intellectual property rights and trade  and their 
interrelationship with genetic resources and traditional knowledge; ...". 
Decision VII/26 
Cooperation with Other 
Conventions and Inter-
national Organizations 
and Initiatives "1. Urges  further enhanced cooperation between the Convention on Biologi cal Diversity and all relevant international conventions, organi zations and 
bodies, strengthening and building on existing cooperative arrangements to enhance synergies and reduce inefficiencies in a man ner consistent with 
their respective mandates, governance arrangements and agreed programs, within existing resources; ... 
4. Requests the Executive Secretary to renew his applications for observer status in relevant bodies of the WTO, in particular,  in the TRIPS Council; 
...". 
Decision VII/28 
Protected areas (Articles 
8 (a) to (e)) "1. Confirms  that efforts to establish and maintain sy stems of protected areas and areas where special measures need to be taken to conserv e 
biological diversity in line with Article 8 on in situ  conservation and other relevant articles of th e 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 th e present decision w ith the objective of the establishment and  maintenance by 
2010 for terrestrial and by 2012 for marine areas of comprehens ive, effectively managed, and ec ologically representative nation al and regional 
systems of protected areas that collectively, inter alia  through a global network / contribute to achi eving the three objectives  of the Convention and 
the 2010 target to significantly reduce th e current rate of biodiversity loss; ... 
21. Urges concerned Parties, individually and collectively, to take further steps in curbing the illegal exploitation and trade  of resources, particularly 
from existing protected areas and from areas of ecol ogical importance for biodiversity conservation; ... 
Annex:  Programme of work on protected areas ... 
II. Overall purpose and scope of the programme of work ... 
Programme element 3:  enabling activities 
Goal 3.1 - To provide an enabling po licy, institutional and socio-economic environmen t 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 es tablishment and management of protected areas and protected areas systems.  
Suggested activities of the Parties ... 
3.1.2 Conduct national-level assessments of the contributions of protected areas, considering as appropriate environmental serv ices, to the country's  
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valuation and natural resource accounting t ools into national planning processes in or der to identify the hidden and non-hidden  economic benefits 
provided by protected areas and wh o appropriates these benefits.  
3.1.3 Harmonize sectoral policies and laws to  ensure that they support the conservatio n and effective management of the protect ed area system. ... 
3.1.5 Identify and remove perverse incentives and inconsistencies in sectoral policies that incr ease pressure on protected area s, or take action to 
mitigate their perverse effects.  Whenever feasible, redirect these to positive incentives for conservation.  
3.1.6 Identify and establish positive incentives that support the integrity and maintenance of protected areas and the involvem ent of indigenous and 
local communities and stakeholders in conservation.  
3.1.7 Adopt legal frameworks to national, regional and sub-national protected areas systems of countries where appropriate... 3.1.9 Identify and foster economic opportunities and markets at local, national and international levels for goods and services  produced by protected 
areas and/or reliant on the ecosystem servi ces that protected areas provide, consiste nt with protected area objectives and prom ote the equitable 
sharing of the benefits. ..." 
Decision VII/29 
Transfer of Technology 
and Technology 
Cooperation 
(Articles 16 to 19) "1. Adopts the programme of work on technology transfer and c ooperation as contained in the an nex to the present decision; ... 
14. Urges Parties, Governments, relevant international and regional orga nizations and the private sector to remove any unnecess ary impediments to 
funding of multi-country initiatives for technology transfer and for scientific and tec hnical cooperation; ... ." 
 
H. CARTAGENA PROTOCOL ON BIOSAFETY  
1. Provisions of the Convention  
Preamble "... Recognizing  that trade and environment agreements should be mutually supportive with a view to achieving sustainable development, 
Emphasizing  that this Protocol shall not be interpreted as implying a change in the rights and obligations of a Party under any existing i nternational 
agreements, 
Understanding  that the above recital is not intended to subordinate  this Protocol to other international agreements". 
Article 2:4 
General Provisions "4. Nothing in this Protocol shall be interpreted as restricti ng the right of a Party to take action that is more protective of  the conservation and 
sustainable use of biological diversity than that called for in this Protocol, provided that such action is consistent with the  objective and the 
provisions of this Protocol and is in accordance with that Party's other obligations under international law". 
Article 7  
Application of the 
Advance Informed 
Agreement Procedure  "1. Subject to Articles 5 and 6, the advance informed agreement procedure in Articles 8 to 10 and 12 shall apply prior to the f irst intentional 
transboundary movement of living modified organisms for intentional introduction into the environment of the Party of import. 2. "Intentional introduction into the environment" in paragraph 1 above, does not refer to living modified organisms intended f or direct use as food or 
feed, or for processing. 
3. Article 11 shall apply prior to the first transboundary movement of living modified organisms intended for direct use as foo d or feed, or for 
processing. 
4. The advance informed agreement procedure shall not apply to the intentional transboundary movement of living modified organi sms identified 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 s ustainable use of 
biological diversity, taking also into account risks to human health". 
Æ Lays out the Advanced Informed Agreement (AIA) procedure which shall apply for the first intentional transboundary movement of a LMO for  
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Page 81intentional introduction into the environment of the Party of im port.  The AIA procedure is ou tlined in Articles 8 to 10 and 12 .  The procedure in 
Article 11 shall apply prior to the first transboundary movement of LMOs intended for direct use as food or feed, or for proces sing.  The AIA 
procedure shall not apply to LMOs in transit or for contained use". 
Article 8 
Notification "1. The Party of export shall notify, or require the exporter to ensure notification to, in writing,  the competent national au thority of the Party of 
import prior to the intentional transboundary movement of a living modified organism that falls within the scope of Article 7, paragraph 1.  The 
notification shall contain, at a minimum, the information specified in Annex I. 
2. The Party of export shall ensure that there is a legal requ irement for the accuracy of inform ation provided by the exporter ...". 
Article 9 
Acknowledgement of 
Receipt of Notification "1. The Party of import shall acknowledge receipt of the notificati on, 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 informati on referred to in Article 8;  
(c) Whether to proceed according to the dom estic regulatory framework of the Party of  import or according to the procedure spec ified in 
Article 10.  
3. The domestic regulatory framework referred to in paragraph 2 (c) above, shall be consistent with this Protocol. 
4. A failure by the Party of im port to acknowledge receipt of a notification sh all not imply its consent to an intentional tran sboundary movement". 
Article 10  
Decision Procedure "1. Decisions taken by the Party of import shall be in accordance with Article 15. 
2. The Party of import shall, within the period of time referred to in Article 9, inform the notifier, in writing, whether the intentional transboundary 
movement may proceed: 
(a) Only after the Party of import has given its written consent;  or 
(b) After no less than ninety days without a subsequent written consent.  
3. Within two hundred and seventy days of  the date of receipt of notification, th e Party of import shall communicate, in writin g, to the notifier and to 
the Biosafety Clearing-House the decision referred to in paragraph 2 (a) above: 
(a) Approving the import, with or without conditions, including how the decision will apply to subsequent imports of the same l iving modified 
organism;  
(b) Prohibiting the import;  
(c) Requesting additional relevant information in accordance with its domestic regulatory framework or Annex I;  in calculating  the time within 
which the Party of import is to respond, the number of days it has to wait for additional relevant information shall not be tak en into account;  or 
(d) Informing the notifier that the period specified in this  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 im port to communicate its decision w ithin two hundred and seventy days of the date of receipt of t he notification shall not 
imply its consent to an intentional transboundary movement. 
6. Lack of scientific certainty due to insufficient relevant sc ientific information and knowledge regarding the extent of the p otential adverse effects of 
a living modified organism on the conservation and sustainable use of biological diversity in the Party of import, taking also into account risks to 
human health, shall not prevent that Party from taking a decision , as appropriate, with regard to the import of the living modi fied organism in 
question as referred to in paragraph 3 above, in order to avoid or minimize such potential adverse effects…". 
Æ 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), procedures and mech anisms should be demand-driven by impor ting Parties;  
and the roster of experts and the BCH are referred to as main  mechanisms to provide support to facilitate decision making.  
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TN/TE/S/5/Rev.1 Page 82 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 regarding domestic use, including placing on the market, of a living modified organism that may be subject to 
transboundary movement for direct use as food or feed, or for processing shall, within fifteen days of making that decision, in form the Parties 
through the 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 Part y that informs the Secretariat in advance that it does not hav e access to the BCH.  This 
provision shall not apply to decisions regarding field trials.   
2. The Party making a decision under paragraph 1 above, shall en sure that there is a legal requirement for the accuracy of info rmation provided by 
the applicant.   
3. Any Party may request additional information from the authority identified in paragraph (b) of Annex II. 
4. A Party may take a decision on the import of living modified organisms intended for direct use as food or feed, or for proce ssing, under its 
domestic regulatory framework that is consis tent with the objective of this Protocol. 
5. Each Party shall make available to th e BCH copies of any national laws, regulations and guidelines applicable to the import of living modified 
organisms intended for direct use as food or feed, or for processing, if available. 
6. A developing country Party or a Party with an economy in tr ansition 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 i mport of a living modified 
organism intended for direct use as food or feed, or for processing, on which information has been provided under paragraph 1 a bove, will be taken 
according to the following: 
(a) A risk assessment undertaken in accordance w ith Annex III;  and 
(b) A decision made within a predictable time frame, not exceeding two hundred and seventy days. 
7. Failure by a Party to communicate its d ecision according to paragraph 6 above, shall not imply its consent or refusal to the  import of a living 
modified organism intended for direct use as food or feed, or for processing, unless otherwise specified by the Party. 8. Lack of scientific certainty due to insufficient relevant sc ientific information and knowledge regarding the extent of the p otential adverse effects of 
a living modified organism on the conservation and sustainable use of biological diversity in the Party of import, taking also into account risks to 
human health, shall not prevent that Party from taking a decision, as appropriate, with regard to the import of that living mod ified organism intended 
for direct use as food or feed, or for processing, in order to avoid or minimize such potential adverse effects.  
9. A Party may indicate its needs for financial and technical assistance and capacity-building with respect to living modified organisms intended for 
direct use as food or feed, or for proce ssing.  Parties shall cooperate to meet th ese needs in accordance with Articles 22 and 28". 
Article 12 
Review of Decisions "1. A Party of import may, at any time, in light of new scientific information on potential adverse effects on the conservation  and sustainable use of 
biological diversity, taking also into account the risks to human health, review and change a decision regarding an intentional  transboundary 
movement.  In such case, the Party shall, within thirty days, inform any notifier that has previously notified movements of the  living modified 
organism referred to in such decision, as well as the BCH, and shall set out the reasons for its decision. 
2. A Party of export or a notifier may request the Party of impor t to review a decision it has made in respect of it under Arti cle10 where the Party of 
export or the notifier considers that: 
(a) A change in circumstances has occurred that may influence the outcome of the risk assessment upon which the decision was ba sed;  or 
(b) Additional relevant scientific or technical information has become available.  
3. The Party of import shall respond in writing to such a reques t within ninety days and set out the reasons for its decision. 
4. The Party of import may, at its discretion, require a risk assessment for subsequent imports". 
Article 13 
Simplified Procedure  "1. A Party of import may, provided that adequate measures are applied to ensure the safe intentional transboundary movement of  living modified 
organisms in accordance with the objective of this Protocol, sp ecify in advance to the BCH: 
  
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Page 83(a) Cases in which intentional tr ansboundary movement to it may take place at the same time as the movement is notified to the Party of import;  
and 
(b) Imports of living modified organisms to it to be ex empted from the advance info rmed agreement procedure.  
Notifications under subparagraph (a) above, may apply to subsequent similar movements to the same Party. 
2. The information relating to an intentional transboundary movement that is to be provided in the notifications referred to in  paragraph 1 (a) above, 
shall be the information specified in Annex I". 
Article 14  
Bilateral, Regional and 
Multilateral Agreements 
and Arrangements "1. Parties may enter into bilateral, regional and multilateral agreements and arrangements regarding intentional transboundary  movements of living 
modified organisms, consistent with the objective of this Protocol and provided that such agreements and arrangements do not re sult in a lower level 
of protection than that provided for by the Protocol. 
2. The Parties shall inform each other, through the BCH, of an y such bilateral, regional and multilateral agreements and arrang ements 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 movement s 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 scientifica lly sound manner, in accordance with Annex III and 
taking into account recognized risk assessmen t techniques.  Such risk assessments shall be based, at a minimum, on information provided in 
accordance with Article 8 and other availabl e scientific evidence in or der to identify and evaluate the possible adverse effect s of living modified 
organisms on the conservation and sustainable use of biological diversity, taking also into account risks to human health. 
2. The Party of import shall ensure that risk assessments are ca rried out for decisions taken under Article10.  It may require the exporter to carry out 
the risk assessment. 
3. The cost of risk assessment shall be borne by the notifier if the Party of import so requires". 
Article 16 
Risk Management  "1. The Parties shall, taking into account Article 8(g) of the Convention, establish and maintain appropriate mechanisms, measu res and strategies to 
regulate, manage and control risks identified in the risk assessment provisions of this Protocol associated with the use, handl ing and transboundary 
movement of living modified organisms. 
2. Measures based on risk assessment shall be imposed to the ex tent necessary to prevent advers e effects of the living modified  organism on the 
conservation and sustainable use of biological diversity, taking also into account risks to human health, within the territory of the Party of import. 
3. Each Party shall take appropriate measures to prevent unintentional transboundary movements of living modified organisms, in cluding such 
measures as requiring a risk assessment to be carried out prior to the first release of a living modified organism. 
4. Without prejudice to paragraph 2 above,  each Party shall endeavour to ensure that  any living modified organism, whether impo rted or locally 
developed, has undergone an appropriate period of observation that is commensurate with its life-cycle or generation time befor e it is put to its 
intended use. 
5. Parties shall cooperate with a view to:  
(a) Identifying living modified organisms or specific traits of living modified organisms that may have adverse effects on the conservation and 
sustainable use of biological diversity, taking also into account risks to human health;  and (b) Taking appropriate measures regarding the treatment of such living modified organisms or specific traits". 
Article 18 
Handling, Transport, 
Packaging And 
Identification  "1. In order to avoid adverse effects on the conservation and sustainable use of biol ogical diversity, taking also into account  risks to human health, 
each Party shall take necessary measures to  require that living modified organisms th at are subject to in tentional transboundar y movement within the 
scope of this Protocol are handled, packaged and transported under conditions of safety, taking into consideration relevant int ernational rules and 
standards.   
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TN/TE/S/5/Rev.1 Page 84 2. Each Party shall take measures to require that documentation accompanying: 
(a) Living modified organisms that are intended for direct use as food or feed, or for processing, clearly identifies that they  "may contain" living 
modified organisms and are not intended for intentional introduction into the environment, as well as a contact point for furth er information.  The 
COP serving as the MOP to this Protocol shall take a decision on the detailed requirements for this purpose, including specific ation of their 
identity and any unique identification, no later than two year s after the date of entry into force of this Protocol; 
(b) Living modified organisms that are destined for contained use clearly identifies them as living modified organisms;  and sp ecifies any 
requirements for the safe handling, storage,  transport and use, the contact point for further information, including the name a nd address of the 
individual and institution to whom the living modified organisms are consigned;  and 
(c) Living modified organisms that are intended for intentional introduction into the environment of the Party of import and an y other living 
modified organisms within the scope of the Protocol, clearly iden tifies them as living modified organisms;  specifies the ident ity and relevant traits 
and/or characteristics, any requirements for the safe handling, storage, transport and use, the contact point for further infor mation and, as 
appropriate, the name and address of the im porter and exporter;  and contains a declaration that the movement is in conformity with the 
requirements of this Protocol applicable to the exporter. 
3. The COP serving as the MOP to this Protocol shall consider the need for and modalities of developing standards with regard t o identification, 
handling, packaging and transport practices, in cons ultation with other relevant international bodies". 
Article 26 
Socio-Economic 
Considerations "1. The Parties, in reaching a decision on import under this Protocol or under its domestic measures implementing the Protocol,  may take into 
account, consistent with their in ternational obligations, socio-econ omic considerations arising fr om the impact of living modif ied organisms on the 
conservation and sustainable use of biological diversity, especially with regard to the value of biological diversity to indige nous and local 
communities. 
2. The Parties are encouraged to cooperate on research and information exchange on any socio-economic impacts of living modifie d organisms, 
especially on indigenous and local communities". 
Annexes Æ Annex I sets out the information required in notifications under Articles 8, 10 and 13 (AIA Procedure and Simplified Procedure ). 
Æ Annex II sets out the information required for LMOs intended for direct use as food or feed, or for processing under Article 1 1.   
Æ Annex III gives greater details on the risk assessments carried out pursuant to the Protocol. 
 
2. Decisions of the Conference of the Parties 
Decision BS-I/6 
Handling, Transport, 
Packaging and 
Identification of Living 
Modified Organisms 
(Article 18) 
 "A. Paragraph 2 (a) of Article 18 ... 
1. Requests Parties to the Protocol and urges other Governments to take measures to require the use of a commercial invoice or other document 
required or utilized by existing documentation systems, as documen tation that should accompany livi ng modified organisms that a re intended for 
direct use as food or feed, or for processing, for the purpose of identification by incorporating the information requirements of the first sentence of 
paragraph 2 (a) of Article 18, and the requirements established under paragraph 4 below, pending a decision on detailed 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 livin g modified 
organisms that are intended for direct use as food or feed, or for processing clearl y identifies that the shipment may contain living modified 
organisms intended for direct use as food or feed, or for processing, and states that they are not intended for intentional int roduction into the 
environment; 3. Further requests Parties to the Protocol and urges other Gove rnments to take measures ensuring that the documentation accomp anying living  
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Page 85modified organisms that are intended for direct use as food or feed, or for processing, provides the details of a contact point  for further information:  
the exporter, the importer, or any appr opriate authority, when designated by  a Government as the contact point; 
4. Further urges Parties to the Protocol and other Governments to require that the documentation referred to in paragraph 1 abo ve includes:  
(i) the common, scientific and, where available, commercial names, and  
(ii) the transformation event code  of the living modified organisms or, where ava ilable, as a key to accessing information in t he Biosafety 
Clearing-House, its unique identifier code;  
5. Encourages Parties to the Protocol and other Governments to require exporters of living modified organisms that are intended  for direct use as 
food or feed, or for pr ocessing under their jurisdiction to declare, in documentation accompanying tr ansboundary movements know n to intentionally 
contain living modified organisms that are in tended for direct use as fo od or feed, or for processi ng, that the shipment contai ns living modified 
organisms that are intended for direct use as food or feed, or  for processing, the identity of the living modified organism, an d any unique 
identification, where possible; ..." 
B. Paragraphs 2 (b) and 2 (c) of Article 18 ...  
1. Requests Parties to the Protocol and urges other Governments to take measures to ensure the use of a commercial invoice or o ther documents 
required or utilized by existing documentation systems, with consideration given to the formats outlined in the example templat es annexed hereto, as 
documentation that should accompany living modified organisms for contained use and living modified organisms for intentional i ntroduction into 
the environment of the Party of import, incorporating the information required under paragraphs 2 (b) and 2 (c) of Article 18 o f the Protocol, as 
appropriate, with a view to fulfil the iden tification requirements of these paragraphs; 
2. Requests Parties to the Protocol and invites other Government s 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 consider ation of a stand-alone document, to fulfil the identification requirements of paragrap hs 2 (b) and 2 (c) of 
Article 18, and requests the Executive Secret ary to compile the informat ion received and to prepare a synthesis report presenti ng options for stand-
alone documentation for consideration by the third meeting of the COP serving as the MOP to the Protocol;  
3. Requests Parties to the Protocol and urges other Governments to take measures ensuring that  documentation accompanying livin g modified 
organisms contains the following information and declaration:  
(a) Living modified organisms for contained use (Article 18, paragraph 2 (b)): 
(i) Clear identification as "living modified organisms" includi ng common and scientific names of the organisms and as "destined  for contained 
use"; 
(ii) The name and address of the consignee, and exporter or importer, as appropriate, including contact details necessary to re ach them as fast 
as possible in case of emergency; (iii) Any requirements for the safe handlin g, storage, transport and use of the living modified organisms under applicable exis ting 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, dome stic regulatory frameworks or under any agreements entered i nto by the 
importer and exporter.  In the event that there is no re quirement, indicate that ther e is no specific requirement; 
(iv) Where appropriate, further information should include the commercial names of the living modified organisms, if available,  new or 
modified traits and characteristics such as event(s) of transformation, risk class, specification of use, as well as any unique  identification, where 
available, as a key to accessing information in the BCH; 
(b) Living modified organisms for intentional introduction into the environment of the Party of import and any other living mod ified organisms 
within the scope of the Protocol (Article 18, paragraph 2 (c)): 
(i) Clear identification as "living modified organisms" and a br ief description of the organisms, including common and scientif ic name, relevant 
traits and genetic modification, including transgenic traits and charact eristics such as event(s) of  transformation or, where a vailable and  
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TN/TE/S/5/Rev.1 Page 86 applicable, a reference to a system of unique identification; 
(ii) Any requirements for the safe handling, storage, transport and use of the living modified organisms as provided under appl icable existing 
international requirements, domestic regulatory frameworks, or under any agreement entered into by the importer and exporter.  In the event 
that there is no requirement, indicate that there is no specific requirement; 
(iii) The name and address of the exporter and importer;  
(iv) The details of the contact point for further information, including an individual or organization in possession of relevan t information in 
case of emergency;  
(v) A declaration that the movement of the living modified organisms is in conformity with the requirements of the Cartagena Pr otocol on 
Biosafety applicable to the exporter; (vi) Where appropriate, further information should include the comm ercial name, risk class, and im port approval for the first t ransboundary 
movement of living m odified organisms; ... 
C. Unique identification system(s)  
1. Invites Parties and other government to take measures to apply, as appropriate, the OECD Unique Identifiers for Transgenic P lants 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 har monisation of such 
codes by all users; 
3. Encourages the OECD and other organizations involved in the development of unique identification systems for living modified  organisms to 
initiate or enhance their activities towards the development of a harmonized system of unique identifiers for genetically modif ied micro-organisms 
and animals. ..."  
Decision BS-I/12 
Medium-term 
Programme of Work for 
the Conference of the 
Parties Serving as the 
Meeting of the Parties to 
the Biosafety Protocol 
(from the second to the 
fifth meetings) 
 "... 1. Decides: ...(b) To adopt the medium-term programm e of work for the period covering from the second 
to the fifth meetings as annexe d to the present decision, ... 
Annex:  Medium-term programme of work of the COP serving as the MOP to the Protocol (for the period from the second to the fift h meeting) ... 
4. At its second meeting, the COP serving as the MOP to the Protocol may consider, inter alia , the following items: 
(a) Notification: 
(i) To consider options for implementing Article 8 with respect to requirements, by a Party of export, to ensure notification a nd the accuracy of 
information contained in notification by the exporter. ... 
(b) Risk assessment and risk management: 
(i) To consider clarification of the issues involved; 
(ii) To consider the development of guidance and a framework for a common approach in risk assessment and risk management; 
(iii) Cooperation in identifying living modified organisms or sp ecific traits that may have adverse effects on the conservation  and sustainable 
use of biological diversity, taking also into account risks to human health, and taki ng appropriate measures regarding the trea tment of such 
living modified organisms or specific traits, (Article 16, paragraph 5); ... 
(e) Socio-economic considerations: 
(i) Cooperation on research and information exchange on any socio- economic impacts of living modified organisms, especially on indigenous 
and local communities (Article 26, paragraph 2); ... ." 
  
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Page 87I. UNITED NATIONS FRAMEWORK CONVENTION ON CLIMATE CHANGE  
33. The UNFCCC does not directly restrict trade, but actions of co untries implementing the UNFCCC could have trade implications. 
Article 3.5 
Principles "5. The Parties should cooperate to promot e a supportive and open international economic system that would lead to sustainable economic growth 
and development in all Parties, particularly developing country Parties, thus enabling them better to address the problems of c limate change.  
Measures taken to combat climate change, including unilateral ones,  should not constitute a means of arbitrary or unjustifiable  discrimination or a 
disguised restriction on international trade". 
Æ No adverse impacts on trade pursuant to policies and measur es adopted by Parties have b een reported to the UNFCCC. 
Article 4.2 (a) 
Commitments "2. The developed country Parties and other Parties included in An nex I commit themselves specifically as provided for in the f ollowing: 
(a) Each of these Parties shall adopt national policies and take corresponding measures on the mitigation of climate change, by  limiting its 
anthropogenic emissions of greenhouse gases and protecting and enhancing its greenhouse gas sinks and reservoirs.  These polici es and measures 
will demonstrate that developed countries are taking the lead in modifying longer-term trends in anthropogenic emissions consis tent with the 
objective of the Convention, recognizing that the return by the end of the present decade to earlier levels of anthropogenic em issions of carbon 
dioxide and other greenhouse gases not controlled by the Montreal Protocol would contribute to such modification, and taking in to account the 
differences in these Parties' starting poin ts and approaches, economic structures and resource bases, the need to maintain stro ng and sustainable 
economic growth, available technologies and other individual circ umstances, as well as the need for equitable and appropriate c ontributions by each 
of these Parties to the global effort rega rding that objective.  These Parties may implement such policies and measures jointly  with other Parties and 
may assist other Parties in contributing to the achievement of the objective of the Convention and, in particular, that of this  subparagraph".  
Æ Sets up the requirement for developed country Parties to adopt national policies and corresponding measures to mitigate climate  change. 
 
J. KYOTO PROTOCOL  
Article 2  "1. Each Party included in Annex I, in achieving its quantified emission limitation and reduction commitments under Article 3, in order to promote 
sustainable development, shall:  
(a) Implement and/or further elaborate policies and measures in accordance with  its national circumstances, such as:  
(i) Enhancement of energy efficiency in relevant sectors of the national economy;  (ii) Protection and enhancement of sinks and reservoirs of greenhouse gases not controlled by the Montreal Protocol, taking int o account its 
commitments under relevant international environmental agreements ; promotion of sustainable forest management practices, affore station and 
reforestation;  (iii) Promotion of sustainable forms of agriculture in light of climate change considerations;  
(iv) Research on, and promotion, development and increased use of, new and renewable forms of energy, of carbon dioxide sequest ration 
technologies and of advanced and innovative environmentally sound technologies;  
(v) Progressive reduction or phasing out of market imperfections, fiscal incentives, tax and duty exemptions and subsidies in a ll greenhouse gas 
emitting sectors that run counter to the objective of the Convention and application of market instruments;  (vi) Encouragement of appropriate reforms in relevant sectors aimed at promoting policies and measures which limit or reduce em issions of 
greenhouse gases not controlled by the Montreal Protocol;  
(vii) Measures to limit and/or reduce emissions of greenhouse gases not controlled by the Montreal Protocol in the transport se ctor;  
(viii) Limitation and/or reduction of methane emissions through re covery and use in waste management, as well as in the product ion, transport  
 WT/CTE/W/160/Rev.3 
TN/TE/S/5/Rev.1 Page 88 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, th ese Parties shall take steps to share the ir experience and 
exchange information on such policies and measures, including developing ways of improving their comparability, transparency an d effectiveness.  
The Conference of Parties serving as the MOP to this Protocol shall, at its first session or as soon as practicable thereafter,  consider ways to 
facilitate such cooperation, taking into account all relevant information. 
2. The Parties included in Annex I shall pursue limitation or reduction of emissions of greenhouse gases not controlled by the Montreal Protocol 
from aviation and marine bunker fuels, working through the Inte rnational Civil Aviation Organization and the International Mari time Organization, 
respectively. 3. The Parties included in Annex I shall strive to implement polic ies and measures under this Article in such a way as to minim ize adverse effects, 
including the adverse effects of climate change, effects on international trade, and social, environmental and economic impacts  on other Parties, 
especially developing country Parties and in  particular those identified in Article 4, paragraphs 8 and 9, of the Convention, t aking into account 
Article 3 of the Convention.  The COP serving as the MOP to this Protocol may take further action, as appropriate, to promote t he implementation of 
the provisions of this paragraph. 4. The COP serving as the MOP to this Protocol, if it decides that it would be beneficial to coordinate any of the policies and  measures in paragraph 
1(a) above, taking into account different national circumstances and potential effects, shall consider ways and means to elabor ate the coordination of 
such policies and measures". 
Articles 6, 12 and 17 Æ The Kyoto Protocol sets out three mechanisms: 
• Article 6:  Joint Implementation (projects between Anne x I countries to help meet a Party's commitments). 
• Article 12:  Clean Development Mechanism (The CDM allows Annex I Parties to invest in projects in developing countries to achie ve 
sustainable development, contribute to the objective of the Convention and assist Annex 1 Parties to comply with reduction comm itments). 
• Article 17:  Emissions Trading. 
Æ In Decision 15/CP.7 the COP-MOP of UNFCCC ag reed on Principles, nature and scope of the mechanisms pursuant to Articles 6, 12 a nd 17 of 
the Kyoto Protocol. 
Æ Guidelines for the implementation of Article 6 of the Kyoto Protocol are contained in Decision 16/CP.7 of the COP-MOP of UNFCCC . 
Æ Modalities and procedures for a clean development mechanism as de fined in Article 12 of the Kyoto Protocol are contained in De cision 17/CP.7 
of the COP-MOP of UNFCCC. 
Æ Modalities, rules and guidelines for emissions trading under Ar ticle 17 of the Kyoto Protocol are contained in Decision 18/CP. 7 of the COP-MOP 
of UNFCCC. 
  
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Page 89K. INTERNATIONAL TROPICAL TIMBER AGREEMENT  
1. Provisions of the Agreement 
34. There are no provisions for trad e measures in the ITTA, 1994.  However, following  the entry into force of the ITTA, 1994, the m andate of the International Tropical Timber 
Organization (ITTO) on trade has been updated and refined.  This is reflected in six trade-related objectives of the agreement which are outlined in Article 1.  
Article 1 
Objectives "Recognizing the sovereignty of members over  their natural resources, as defined in Principle 1 (a) of the Non-Legally Binding Authoritative 
Statement of Principles for a Global Consensus on the Management, Conservation and Sustainable Development of all Types of Fore sts, the 
objectives of the International Tropical  Timber Agreement, 1994 (hereinafter referred to as "this Agreement") are:  … 
(b) To provide a forum for consultation to promote non-discriminatory timber trade practices; … 
(d) To enhance the capacity of members to implement a strategy for achieving exports of tropical timber and timber products fro m sustainably 
managed sources by the year 2000;  
(e) To promote the expansion and diversification of international trade in tropical timber from sustainable sources by improvin g the structural 
conditions in international markets, by taking into account, on the one hand, a long term increase in consumption and continuit y of supplies, and, 
on the other, prices which reflect the costs of sustainable forest management and which are remunerative and equitable for memb ers, and the 
improvement of market access; …  
(h) To improve market intelligence with a vi ew to ensuring greater transparency in th e international timber market, including t he gathering, 
compilation, and dissemination of trade related data, including data related to species being traded; … 
(k) To improve marketing and distribution of tropical timber exports from sustainably managed sources; … 
(n) To encourage information-sharing on  the international timber market".  
Article 36   
Non-discrimination "Nothing in this Agreement author izes the use of measures to restrict or ban in ternational trade in, and in particular as they concern imports of and 
utilization of, timber and timber products".  
 
2. Decisions and Recommendations 
35. The ITTO Council (ITTC) has adopted, for instance, the following decisions: 
Decision 3(X) Æ 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 sources by 2000.  Since then, the Council has approved policy stud ies and project 
financing for a number of activities to help member countries move toward this Objective.  The ITTO Year 2000 Objective has bee n incorporated in 
the operative objectives of ITTA, 1994 (Article 1(d)).  At its Twenty-ninth Session, the ITTC reaffirmed its commitment to movi ng as rapidly as 
possible towards achieving exports of tropical timber and timber products from sustainably managed sources pursuant to the ITTO  Objective 2000 
(Decision 2 (XXIX) adopted on 4 November 2000). 
The ITTO Yokohama 
Action Plan 2002-2006 Æ In November 2001, the ITTC adopted the ITTO Yokohama Action Plan 2002-2006, its third action plan (Decision 2 (XXXI), 3 Novemb er 2001). 
Decision 10 (XXXIV) Æ 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  
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TN/TE/S/5/Rev.1 Page 90 procedures for phased approaches to certification and to convene an international workshop to promote phased approaches to cert ification.  
Decision 12 (XXXIV) Æ In May 2003, the ITTC also decided to undertake a study which would: 
• Identify product standards, quality or gradi ng requirements, building codes, and technical regulations that may affect the trad e of tropical 
timber and timber products; 
• assess the possible impacts of product standards, quality or gr ading requirements, 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 m eet existing and evolving product standards and technical regula tions for 
timber products in importing countries and, where gaps exist, identify and propose ways to address them and provide relevant as sistance to 
tropical timber producing countries; 
• propose recommendations for consideration by member countries and Council;  and 
• in the context of the Doha Development Agenda, report on tariffs, negotiations and the negotiating process as related to tropic al timber 
products at the Thirty-Sixth Session of the Council. 
Decision 2 (XXXVII) Æ In December 2004, the ITTC adopted a decision on enhanced  cooperation between ITTO and CITES for ramin and mahogany.  
Decision 3 (XXXVII) Æ In December 2004, the Council also decided to undertake a study on subsidies affect ion tropical timber products.  
 
L. UN FISH STOCKS AGREEMENT  
Article 17.4 
Non-members of Organi-
zations and Non-partici-
pants in Arrangements 
 "States which are members of such organization [RFMOs] or particip ants in such arrangement shall exchange information with resp ect to the 
activities of fishing vessels flying the flags of States which ar e neither members of the organization nor participants in the arrangement and which are 
engaged in fishing operations for the relevant stocks.  They sha ll take measures consistent with this Agreement and internation al law to deter 
activities of such vessels which undermine the effectiveness of su bregional or regional conservation and management measures". 
Article 23 
Measures taken by a Port 
State "1. A port State has the right and the duty to take measures, in accordance with international law, to promote the effectivenes s of subregional, 
regional and global conservation and management measures.  When taki ng such measures a port State shall not discriminate in for m or in fact against 
the vessels of any State. 
2. A port State may, inter alia , inspect documents, fishing gear and catch on board fishing vessels, when such vessels are voluntarily in its ports or at 
its offshore terminals. 3. States may adopt regulations empowering the relevant nationa l authorities to prohibit landings and transshipments where it h as been established 
that the catch has been taken in a manner which undermines the effectiveness of subregional, regional or global conservation an d management 
measures on the high seas. 4. Nothing in this article affects the exer cise by States of their so vereignty over ports in thei r territory in accordance with  international law". 
Article 33.2 
Non-parties to the 
Agreement "States Parties shall take measures consistent with this Agre ement and international law to deter the activities of vessels fly ing the flag of non-parties 
which undermine the effective implementation of this Agreement". 
  
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Page 91M. ROTTERDAM CONVENTION ON THE PRIOR INFORMED CONSENT PROCEDURE FOR CERTAIN HAZARDOUS CHEMICALS AND PESTICIDES IN INTERNATIONAL 
TRADE  
1. Provisions of the Convention 
Preamble "…Recognizing that trade and environmental policies should be mutually supportive with a view to achieving sustainable developm ent, 
Emphasizing that nothing in this Convention shall be interpreted as implying in any way a change in the rights and obligations of a Party under any 
existing international agreement applying to chemicals in international trade or to environmental protection, 
Understanding that the above recital is not intended to create a hierarchy between this Convention and other international agre ements, 
Determined to protect human health, includ ing the health of consumers and workers, and the environment against potentially harm ful impacts from 
certain hazardous chemicals and pestic ides in international trade…". 
Articles 5, 6, 7 and 8 
 Æ Set out the procedure to list chemical s that are subject to the prior inform ed consent procedure in Annex III. 
Article 5 
Procedures for Banned 
or Severely Restricted 
Chemicals "1. Each Party that has adopted a final regulatory action shall no tify the Secretariat in writing of such action.  Such notific ation shall be made as soon 
as possible, and in any event no later than ninety days after the date on which the final regulatory action has taken effect, a nd shall contain the 
information required by Annex I, where available. 
2. Each Party shall, at the date of entry into force of this  Convention for it, notify the Secr etariat in writing of its final regulatory actions in effect at 
that time, except that each Party that has submitted notifications of final regulatory actions under the Amended London Guideli nes or the 
International Code of Conduct need not resubmit those notifications. 
3. The Secretariat shall, as soon as possible, and in any event no later than six months after receipt of a notification under paragraphs 1 and 2, verify 
whether the notification contains the information required by An nex I.  If the notification contains the information required, the Secretariat shall 
forthwith forward to all Parties a summary of the information received.  If th e notification does not co ntain the information r equired, it shall inform 
the notifying Pa rty accordingly. 
4. The Secretariat shall every six months communicate to the Parties a synopsis of the information received pursuant to paragra phs 1 and 2, including 
information regarding those notifications which do not contain all the information required by Annex I. 5. When the Secretariat has received at l east one notification from each of two Prior Informed Consent regi ons 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 the first meeting of the COP. 6. The Chemical Review Committee shall review  the information provided 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 procedure and, 
accordingly, be listed in Annex III". 
Article 6 
Procedures for Severely 
Hazardous Pesticide 
Formulations "1. Any Party that is a developing country or a country with an economy in transition and that is experiencing problems caused by a severely 
hazardous pesticide formulation under conditions of use in its territory, may pr opose to the Secretariat the listing of the sev erely hazardous pesticide 
formulation in Annex III.  In developing a proposal, the Party may draw upon technical expertise from any relevant source.  The  proposal shall 
contain the information required by part 1 of Annex IV. 2. The Secretariat shall, as soon as possible, and in any even t no later than six months after receipt of a proposal under para graph 1, verify whether 
the proposal contains the information required by part 1 of Annex IV.  If the proposal contains the information required, the S ecretariat shall  
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TN/TE/S/5/Rev.1 Page 92 forthwith forward to all Parties a summary of the information received.  If th e proposal does not cont ain the information requi red, 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 fu lfilled with regard to a particular severely hazardous pestici de formulation, the 
Secretariat shall forward the proposal and the related information to the Chemical Review Committee. 
5. The Chemical Review Committee shall review the information provided in the proposal and the additional information collected  and, in 
accordance with the criteria set out in part 3 of Annex IV, recommend to the COP whether the severely hazardous pesticide formu lation in question 
should be made subject to the Prior Informed Consent procedure and, accordingly, be listed in Annex III". 
Article 7 
Listing of Chemicals in 
Annex III "1. For each chemical that the Chemical Re view Committee has decided to recommend for listing in Annex III, it shall prepare a draft decision 
guidance document.  The decision guidance document should, at a minimum, be based on the information specified in Annex I, or, as the case may 
be, Annex IV, and include information on us es of the chemical in a category other th an the category for which the final regulat ory action applies. 
2. The recommendation referred to in paragraph 1 together with the draft decision guidance document shall be forwarded to the C OP.  The COP shall 
decide whether the chemical should be made  subject to the Prior Informed Consent pro cedure and, accordingl y, list the chemical in Annex III and 
approve the draft decisi on guidance document. 
3. When a decision to list a chemical in Annex III has been taken and the related decision guidance document has been approved by the COP, the 
Secretariat shall forthwith communicate this information to all Parties". 
Article 8 
Chemicals in the Volun-
tary Prior Informed 
Consent Procedure "For any chemical, other than a chemical listed in Annex III, th at has been included in the vo luntary Prior Informed Consent pr ocedure before the 
date of the first meeting of the COP, the COP shall decide at th at meeting to list the chemical in Annex III, provided that it is satisfied that all the 
requirements for listing in that Annex have been fulfilled". 
Æ In Decision RC-1/C COP 1 decided to include 14 chemicals in Annex III. 
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 informa tion to the Chemical Review Committee. 
2. The Chemical Review Committee shall revi ew the information it receives under paragrap h 1.  For each chemical that the Chemic al Review 
Committee decides, in accordance w ith 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 paragraph 2 shall be forwar ded to the COP and be accompanied by a revised draft decision gui dance document.  
The COP shall decide whether the chemical should be removed from  Annex III and whether to approve the revised draft decision gu idance 
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". 
Æ Contains the procedure for de-listing a chemical from Annex III. 
Article 10 
Obligations in Relation 
to Imports of Chemicals 
Listed in Annex III  "1. Each Party shall implement appropriate legislative or administ rative measures to ensure timely  decisions with respect to th e import of chemicals 
listed in Annex III. 
2. Each Party shall transmit to the Secretar iat, as soon as possible, and in any event no later than nine months after the date  of dispatch of the 
decision guidance document referred to in paragraph 3 of Article 7, a response concerning the future import of the chemical con cerned.  If a Party 
modifies this response, it shall forthwith 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 sh all, where appropriate, help it to provide a response  
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Page 93within the time period specified in the last sentence of paragraph 2 of Article 11. 
4. A response under paragraph 2 shall consist of either: 
(a) A final decision, pursuant to legislative or administrative measures: 
(i) To consent to import; 
(ii) Not to consent to import;  or 
(iii) To consent to import only subject to specified conditions;  or 
(b) An interim response, which may include: 
(i) An interim decision consenting to import with or without specified conditions,  or not consenting to import during the inte rim period; 
(ii) A statement that a final deci sion is under active consideration; 
(iii) A request to the Secretariat, or to the Party that no tified the final regulatory action, for further information; 
(iv) A request to the Secretariat for assistance in evaluating the chemical. 
5. A response under subparagraphs (a) or (b) of paragraph 4 sh all 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 fo rce of this Convention for it, tr ansmit to the Secretariat response s with respect to each 
chemical listed in Annex III.  A Party th at has provided such responses under the Am ended London Guidelines or the Internationa l Code of Conduct 
need not resubmit those responses. 
8. Each Party shall make its responses under this Article availa ble to those concerned within its jurisdiction, in accordance w ith its legislative or 
administrative measures. 
9. A Party that, pursuant to paragraphs 2 and 4 above and paragraph 2 of Article 11, takes a decision not to consent to import of a chemical or to 
consent to its import only under specified conditions shall, if it has not already done so, simultaneously prohibit or make sub ject to the same 
conditions: 
(a) Import of the chemical from any source;  and 
(b) Domestic production of th e chemical for domestic use. 
10. Every six months the Secretariat shall inform all Parties of  the responses it has received.  Such information shall include  a description of the 
legislative or administrative measures on which the decisions have  been based, where available.  The Secretariat shall, in addi tion, inform the Parties 
of any cases of failure to transmit a response". 
Article 11 
Obligations in Relation 
to Exports of Chemicals 
Listed in Annex III "1. Each exporting Party shall: 
(a) Implement appropriate legislative or ad ministrative measures to communicate the resp onses forwarded by the Secretariat in a ccordance with 
paragraph 10 of Article 10 to those concerned within its jurisdiction; 
(b) Take appropriate legislative or administ rative measures to ensure that exporters within its jurisdiction comply with decisi ons in each response 
no later than six months after the date on which the Secretaria t first informs the Parties of such response in accordance with paragraph 10 of 
Article 10; (c) Advise and assist importing Partie s, upon request and as appropriate: 
(i) To obtain further information to help them to take action in accordance with para graph 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 chemi cal listed in Annex III is not exported from its territory to any importing Party that, in exceptional 
circumstances, has failed to transmit a response or has transmitted an interim response that does not contain an interim decisi on, unless: 
(a) It is a chemical that, at the time of import, is registered as a chemical in the importing Party;  or 
(b) It is a chemical for which evidence exis ts that it has previously been used in, or imported into, the importing Party and i n relation to which no 
regulatory action to prohibit its use has been taken;  or  
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TN/TE/S/5/Rev.1 Page 94 (c) Explicit consent to the import has been sought and received by the exporter through a designated national authority of the importing Party.  The 
importing Party shall respond to such a request within sixty da ys and shall promptly notify the Secretariat of its decision. 
The obligations of exporting Parties under this paragraph shall apply with effect from the expiration of a period of six months  from the date on which 
the Secretariat first informs the Parties, in accordance with paragraph 10 of Article 10 , that a Party has failed to transmit a  response or has 
transmitted an interim response that does not contain an interim decision, and sh all apply for one year". 
Article 12 
Export Notification "1. Where a chemical that is banned or se verely restricted by a Party is exported fr om its territory, that Party shall provide an export notification to 
the importing Party.  The export notification shall include the information set out in Annex V. 2. The export notification shall be provided for that chemical prior to the first export following adoption of the correspondin g final regulatory action.  
Thereafter, the export notification shall be provided before th e first export in any calendar y ear.  The requirement to notify before export may be 
waived by the designated national authority of the importing Party. 3. An exporting Party shall provide an updated export notifica tion after it has adopted a final regulatory action that results in a major change 
concerning the ban or severe restriction of that chemical. 
4. The importing Party shall acknowledge receipt of the first ex port notification received after the adoption of the final regu latory action.  If the 
exporting Party does not receive the acknowledge ment within thirty days of the dispatch of the ex port notification, it shall su bmit a second 
notification.  The exporting Part y shall make reasonable efforts to ensure that  the importing Party receives the second notific ation. 
5. The obligations of a Party set out in paragraph 1 shall cease when: 
(a) The chemical has been listed in Annex III; 
(b) The importing Party has provided a response for the chemical to  the Secretariat in accordance with paragraph 2 of Article 1 0;  and 
(c) The Secretariat has distributed the response to the Parties in accordance with paragraph 10 of Article 10". 
Article 13 
Information to 
Accompany Exported 
Chemicals "1. The COP shall encourage the World Customs Organization to assign specific Harmonized System customs codes to the individual  chemicals or 
groups of chemicals listed in Annex III, as appropriate.  Each Party shall require that, whenever a code has been assigned to s uch a chemical, the 
shipping document for that chemi cal 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 terr itory are, when exported, subject to labelli ng requirements that ensure adequate avail ability of information 
with regard to risks and/or hazards to human health or the environment, taking into account relevant international standards. 3. Without prejudice to any requirements of the importing Party, each Party may require that chem icals subject to environmental  or health labelling 
requirements in its territory are, when exported, subject to la belling requirements that ensure adequate availability of inform ation with regard to risks 
and/or hazards to human health or the environment, taking into account relevant international standards. 4. With respect to the chemicals referred to in paragraph 2 that are to be used for occupational purposes, each exporting Party  shall require that a 
safety data sheet that follows an internationally recognized fo rmat, setting out the most up-to-date information available, is sent to each importer. 
5. The information on the label and on the safety data sheet should, as far as practicable, be given in one or more of the offi cial languages of the 
importing Party". 
Article 15 
Implementation of the 
Convention  "4. Nothing in this Convention shall be interpreted as restricting the right of the Parties to take action that is more stringe ntly protective of human 
health and the environment than that called for in this Convention, provided that such action is consistent with the provisions  of this Convention and 
is in accordance with international law". 
  
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Page 952. Decisions 
Decision RC-1/15 
Cooperation with the 
WTO "... 2. Requests the secretariat: 
(a) To seek observer status in the CTE in Special Session of the WTO and inform Partie s 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 a ttends, any substantive contacts that it has with the secretariat of the WTO and any 
general or factual information provided to or any other information requested by the secretariat of the WTO or any other body o f 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; ...". 
 
N. STOCKHOLM CONVENTION ON PERSISTENT ORGANIC POLLUTANTS  
Preamble "… Recognizing that this Convention and other international agreem ents in the field of trade and the environment are mutually s upportive…". 
Article 3 
Measures to Reduce or 
Eliminate Releases from 
Intentional Production 
and Use "1. Each Party shall: 
(a) Prohibit and/or take the legal and admini strative measures necessary to eliminate: 
(i) Its production and use of the chemicals listed in Annex A subject to the provisions of that Annex;  and 
(ii) Its import and export of the chemicals listed in Annex A in accordance with the provisions of paragraph 2;  and 
(b) Restrict its production and use of the chemicals listed in  Annex B in accordance with the provisions of that Annex". 
2. Each Party shall take measures to ensure: 
(a) That a chemical listed in Annex A or Annex B is imported only: 
(i) For the purpose of environmentally sound disposal as set forth in paragraph 1 (d) of Article 6;  or 
(ii) For a use or purpose which is permitted for that Party under Annex A or Annex B; 
(b) That a chemical listed in Annex A for which any production or  use specific exemption is in effect or a chemical listed in A nnex B for which 
any production or use specific exem ption or acceptable purpose is in  effect, taking into account any relevant provisions in exi sting international 
prior informed consent instru ments, is exported only: 
(i) For the purpose of environmentally sound disposal as set forth in paragraph 1 (d) of Article 6; 
(ii) To a Party which is permitted to use that chemical under Annex A or Annex B;  or 
(iii) To a State not Party to this Conventio n which has provided an annu al certification to the expor ting Party.  Such certific ation shall specify 
the intended use of the chemical  and include a statement that, w ith respect to that chemical, the importing State is committed to: 
a. Protect human health and the environment by taking the necessary measures to 
minimize or prevent releases; b. Comply with the provisions of paragraph 1 of Article 6;  and 
c. Comply, where appropriate, with the provisions of paragraph 2 of Part II of Annex B. 
The certification shall also include any appropriate supporting documentation, such as legislation, regulatory instruments, or administrative or 
policy guidelines.  The exporting Party sh all transmit the certification to the Secr etariat within sixty days of receipt. 
(c) That a chemical listed in Annex A, for which production and use specific exemptions are no longer in effect for any Party, is not exported from 
it except for the purpose of environmentally sound disposal as set forth in paragraph 1 (d) of Article 6; (d) For the purposes of this paragraph, the term "State not Pa rty to this Convention" shall include, with respect to a particul ar chemical, a State or  
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3. Each Party that has one or more regulatory and assessment sche mes for new pesticides or new i ndustrial chemicals shall take measures to regulate 
with the aim of preventing the production and use of new pesticides  or new industrial chemicals which, taking into consideratio n the criteria in 
paragraph 1 of Annex D, exhibit the characteristics of persistent organic pollutants. 
4. Each Party that has one or more regulatory and assessment sc hemes for pesticides or industrial chemicals shall, where approp riate, take into 
consideration within these schemes the criteria in paragraph 1 of  Annex D when conducting assessments of pesticides or industri al chemicals 
currently in use. 
5. Except as otherwise provided in this Convention, paragraphs 1 and 2 shall not apply to quantities of a chemical to be used f or laboratory-scale 
research or as a reference standard. 6. Any Party that has a specific exemption in accordance with Annex A or a specific ex emption or an acceptable purpose in accor dance with 
Annex B shall take appropriate measures to ensure that any produ ction or use under such exempti on or purpose is carried out in a manner that 
prevents or minimizes human exposure and release into the environm ent.  For exempted uses or acceptable purposes that involve i ntentional release 
into the environment under conditio ns of normal use, such release shall be to the minimum extent necessary, taking into account  any applicable 
standards and guidelines". 
Article 4 
Register of Specific 
Exemptions  "1. A Register is hereby established for the purpose of identifying the Parties that have specific exemptions listed in Annex A  or Annex B.  It shall 
not identify Parties that make use of the provisions in Annex A or  Annex B that may be exercised by all Parties.  The Register shall be maintained by 
the Secretariat and shall be available to the public.  
2. The Register shall include:   
(a) A list of the types of specific exemptions reproduced from Annex A and Annex B; 
(b) A list of the Parties that have a specific exemption listed under Annex A or Annex B;  and 
(c) A list of the expiry dates for each registered specific exemption. 
3. Any State may, on becoming a Party, by means of a notification in writing to the Secretariat, register for one or more types  of specific exemptions 
listed in Annex A or Annex B. 
4. Unless an earlier date is indicated in the Register by a Party, or an extension is granted pursuant to paragraph 7, all regi strations of specific 
exemptions shall expire five years after the date of entry into force of this Convention with respect to a particular chemical.  
5. At its first meeting, the 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 c oncerned shall submit a report to the Secretariat justifying its c ontinuing need for 
registration of that exemption.  The report shall be circulated by the Secretariat to all Parties.  The review of a registratio n shall be carried out on the 
basis of all available information.  Thereupon, the COP may make such recommendations to the Party concerned as it deems approp riate.  
7. The COP may, upon request from the Party concerned, decide to extend the expiry date of a specific exemption for a period of  up to five years.  In 
making its decision, the COP shall take due account of the special circumstances of th e developing country Parties and Parties with economies in 
transition. 
8. A Party may, at any time, withdraw an entry from the Regi ster 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 particular type of specific exemption, no new registrations may be mad e with respect to it". 
Æ Establishes a register of specific exemptions for Parties for production or use of POPs listed in Annexes A or B. 
Article 8 
Listing of chemicals in 
Annexes A, B and C Æ Sets out the procedures for listing POPs in Annexes A, B and C.  
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Page 97III. SUPPORTIVE MEASURES 
1. IPPC 
1997 Amendments:  Article XX – Technical Assistance   
"The Contracting Parties agree to promote the provision of techni cal assistance to contracting par ties, especially those that a re developing contracting parties, either bilaterally or 
through the appropriate international organizations, with the ob jective of facilitating the implementation of this Convention".  
2. ICCAT 
Æ Contracting Parties have access to scientific research, statistical  database and other information.   They can also obtain techn ical assistance in establishing their statistical 
systems, and in receiving tr aining from the Commission.   
Æ Funding of many of the Commission’s activities is through the regular budget, provided by Contracting Party contributions.  Spe cial funding arrangements have been 
established, with funds from the public and private sectors. 
3. CITES 
Æ CITES is funded through a Trust Fund administered by UNEP.  CITES projects are funded through donor organizations and countries .  Donor countries include the 
European Communities, Australia, Belgium, Denmark, Finland, Germa ny;  Hong Kong (China), Japan, Netherlands, Norway, Sweden, Sw itzerland, the United Kingdom of Great 
Britain and Nothern Ireland and the United States.  Funds have also been provided by approved non-governmental organizations. 
Æ There are two types of CITES projects: (1) "Administrative projects" include, inter alia :  those related to the funding of participants  to CITES COPs or other meetings;  technical 
assistance (e.g. support in the development of CITES-related legi slation);  training;  and the provision of information (publis hed and electronic);  (2) "S pecies" projects are those 
that fund scientific research related to a particular animal or plant species (e.g. status survey, management and conservation of the African grey parrot in one or more countries). 
Æ The CITES Secretariat provides technical assi stance to developing countries through sp ecial programmes.  These programmes aim t o raise the capacity of the Parties to 
implement the Convention.  CITES' training activities are coordinated by the Capacity Bu ilding Unit (CBU).  Capacity-building a ctivities include:  workshops, seminars, training 
packages, dissemination of information through Internet and News letter, technical assistance, etc.   The Scientific Coordination  Unit (SCU) provides assistance to the CITES Parties 
to enhance the scientific basis for decision-making in CITES.  SCU is responsible for workshops on non-detriment findings and q uota management, as well as the creation of 
identification manuals.  Compliance and enforcement are also impor tant focal activities of the CITES Secretariat.  The Legislat ion and Compliance Unit (LCU) provides technical 
assistance to enforcement officers through the organization of enforcement seminars, the preparation of customs training packag es and legal advice for the development of national 
legislation.  The Convention Support Unit (CSU) assists the Parties in understanding CITES provisions and provides logistic sup port in the organization of CITES meetings.  
Æ Many Parties have asked the Secretariat fo r advice or assistance in the development of legislation to implement CITES.  The Sec retariat has responded in a variety of ways, 
including drafting models of law, developing a legislative checklist, directing requests for assistance to the relevant UNEP re gional offices (e.g. for certain Latin American 
countries), missions by Secretariat staff,  and providing written advice and/or comments on draft legislation.  This assistance could be further developed to address the interaction 
between environmental and trade legislation, as well as the n ecessary institutional co-operation between Ministries of Environm ent and Ministries of Trade. 
Æ The remaining external contributions receive d by the Secretariat are used on species-re lated surveys, a number of which were ai med at gathering information on a specific 
population’s conservation status with a view to devising sustainable management programmes.  Some of this financial support has  also come from users of wildlife.  Species 
covered in surveys with a sustainable use dimension include cats,  parrots, pythons, crocodilians , lizards, corals and orchids.  
Æ Specific programmes include: 
1. Legal and Trade Policy Officer:  A new post has been created in the Legislation and Compliance Unit to assist the Parties in  the development of "trade and environment" policies 
and to prepare "trade and environment" anal yses for presentation and discussion at m eetings of the COP and for consideration by  fora such as the WTO.  
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TN/TE/S/5/Rev.1 Page 98 2. T.I.G.E.R.S (Trade Infraction and Global  Enforcement Recording System) database:  The CITES Secretariat regularly prepares a  report on infractions or the types of 
fraud/smuggling employed.  Where serious infractions exist, they are registered in the T.I.G.E.R.S database and reported to the  CITES Standing Committee who may take 
appropriate measures to remind Stat es of their signatory obligations. 
3. National legislation project:  Parties to CITES have precise ly defined an approach, the National Legislation Project, for re viewing and evaluating domestic measures to 
implement the Convention.  Three categories and four criteria are used to assess a Part y’s national legislation.  The project h as been operating since 1992. 
4. MIKE Monitoring of the Illegal Killing of Elephants Programme. 5. ETIS Elephant Trade Information System. 
6. Species programmes on trade in falcons, ha wksbills turtles, mahogany and sturgeons. 
7. The Bushmeat Programme concerning the trad e in meat of any terrestrial wild animal. 
4. CCAMLR 
No provisions 
5. Montreal Protocol 
Æ Article 10 (as modified by the London Amendment) established a Multilateral Fund for incremental costs.  The Fund has disbursed nearly US$1 billion to 120 developing 
countries for the purpose of institutional strengthening, training , project preparation, and implementation of investment proje cts.  The Fund has the obliga tion to meet all the agreed 
incremental costs of developing countries for implementing the co ntrol measures.  An indicative list of agreed incremental cost s approved by the MOP IV was established in 1991 
(permanent in 1992).  The three-year initial budget for 1991-93 was US$240 million and the budget was replenished in 1993, 1996 , 1999 and 2002. 
Æ As of December 2004, the fund  has provided over US$1.76 b illion through more than 4,700 pr ojects and activities in 139 developi ng countries including institutional 
strengthening and technical assistance to meet the incremental costs of changing from ozone-depleting technologies to more ozon e-friendly technologies and phasing out their 
consumption of ozone-depleting substances in accordance with the commitments under the Montreal Protocol. 
Æ The allocations so far have been as follows (Period Amount in US$ in Millions):  1991 to  1993:  $240;  1994 to 1996 :  $455;  19 97 to 1999:  $465;  2000 to 2002:  $440;  2003-
2005:  $474. 
Æ The GEF also provides funds to countries with economies in transition.  There are a number of GEF-eligible countries that are P arties to the Protocol, where the production or 
consumption of ODS is too high to qualify for support under the Multilateral Fund.  These are mainly countries in Central and E astern Europe, and the former Soviet Union.  The 
same criteria apply for the funding of ozone projects under the GEF as under the Multilateral Fund.  The GEF has allocated US$1 67 million for 18 such countries. 
Æ Technology Transfer under Article 10A occurs under fair and most favourable conditions.  
Æ Implementation of the 4,700 projects and activities approved as of December 2004 would lead to the complete phase-out of produc tion and consumption of 270,000 ODP tonnes 
of controlled substances. 
6. Basel Convention 
Æ UNEP administers two trust funds for the Basel Convention: 
1. A fund for the implementation of the Convention wher e funds are based on the UN scale of assessment and; 
2. A technical cooperation fund to assist developing countries and other countries in need of assistance to implement the Conve ntion.  Parties decide on the level of contribution for 
this fund.  Other financial resources come from bilateral assistance programmes among Parties. 
Æ Basel has no specific financial mechanism to promote cap acity building and to facilitate  technology transfer.   
Æ Capacity building is carried out by the Basel Convention Regional Centres (BCRCs), Par ties and the Secretariat.  With the adop tion of the Basel Declaration on Environmentally 
Sound Management in 1999, efforts increased to assist Parties to minimize generation of  hazardous and other wastes and to manag e these wastes in an environmentally sound 
manner.  Parties agreed to provide US$300,000 per year over a three-year period (2000-2002).  The COP, at its sixth meeting in December 2002, adopted a Strategic Plan for the  
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Page 99implementation of the Basel Convention to 2010, building on and us ing the framework of the 1999 Ministerial Basel Declaration o n Environmentally Sound Management.  Under 
the Strategic Plan the Parties approved US$1,200,000 for 21 projects being carried out by the BCRCs and the Parties.  For the p eriod 2005-2006 there is a request of US$2,750,255 
in 2005 and US$2,217,171 in 2006, but sufficient funds are not yet available to continue activities for the implementation of t he Basel Declaration, th e Strategic Plan and the 
Basel Convention. 
Æ At COP6, Parties considered and approved a draft decision on enlarging the scope of the Technical Cooperation Trust Fund, incl uding interim guidelines on emergency 
assistance, compensation, and accident and da mage prevention in an annex.  The guidelines focus on emergency assistance, compen sation for damage to the environment, capacity 
building, technology transfer, and developi ng measures to prevent accidents and damage  to the environment caused by the transbo undary movement of wastes and their disposal.  
The COP invites developing countries and countries with economie s in transition to submit to the Secretariat project proposals for development of capacity building and transfer of 
technology, and encourages Parties and the S ecretariat to continue working on the improvement of the existing mechanism, or on establishment of a new mechanism, if necessary. 
Æ At COP7, Parties adopted a Ministerial Statement on Partnership for meeting the Global Waste Challenge that provides fundament al policy direction to Parties and the other 
stakeholders, focusing on implem enting life-cycle approach, integrated waste mana gement and regional approaches for waste strea ms such as POPs wastes, biomedical and 
healthcare wastes, electronic wastes, used lead-acid batte ries and hazardous wastes mixed with hazardous wastes. 
7. CBD 
Article 17: 2 – Exchange of Information 
"2. Such exchange of information shall incl ude exchange of results of technical, scie ntific and socio-economic research, as wel l as information on training and surveying 
programmes, specialized knowledge, indigenous and traditional knowl edge as such and in combination with the technologies referr ed to in Article 16, paragraph 1.  It shall also, 
where feasible, include repatriation of information".  
Article 18: 3-4 – Technical and Scientific Cooperation 
"3. The COP, at its first meeting, shall determine how to esta blish a clearing-house mechanism to promote and facilitate techni cal and scientific cooperation. 
4. The Contracting Parties shall, in accordance with national le gislation and policies, encourage and develop methods of cooper ation for the development and use of technologies, 
including indigenous and traditional technologies, in pursuance of the objectives of this Convention.  For this purpose, the Co ntracting Parties shall also promote cooperation in the 
training of personnel and exchange of experts". 
Æ The financial mechanism for the CBD is the GEF.  Since 1994, th e GEF has allocated US$1.551 billion to biodiversity with a co- financing of US$3.66 billion.  
8. Cartagena Protocol 
Article 20 – Information Sharing and the Biosafety Clearing-House (BCH) 
"1. A BCH is hereby established as part of the clearing-house mechanism under Article 18, paragraph 3, of the Convention, in or der to: 
(a) Facilitate the exchange of scientific, technical, environmen tal and legal information on, and experience with, living modif ied organisms;  and 
(b) Assist Parties to implement the Protoc ol, taking into account the spec ial needs of developing coun try Parties, in particula r the least developed and small island developing 
States among them, and countries with economies in transition as we ll as countries that are centres  of origin and centres of ge netic diversity.  
2. The BCH shall serve as a means through which information is made available for the purposes of paragraph 1 above.  It shall provide access to information made available by the 
Parties relevant to the implementation of the Protocol.  It sh all also provide access, where possi ble, to other international b iosafety information exchange mechanisms. 
3. Without prejudice to the protection of co nfidential information, each Party shall make available to the BCH any information required to be made available to the BCH under this 
Protocol, and: 
(a) Any existing laws, regulations and guidelines for implementa tion of the Protocol, as well as information required by the Pa rties for the advance informed agreement 
procedure;   
(b) Any bilateral, regional and multila teral agreements and arrangements;  
(c) Summaries of its risk assessments or environmental reviews of living modified organisms generated by its regulatory process , and carried out in accordance with Article 15,  
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TN/TE/S/5/Rev.1 Page 100 including, where appropriate, relevant information regarding products thereof, namely, processed materials that are of living m odified organism origin, containing detectable 
novel combinations of replicable genetic material obtained through the use of modern biotechnology;  
(d) Its final decisions regarding the importation or release of living modified organisms;  and (e) Reports submitted by it pursuant to Article 33, including th ose on implementation of the adva nce 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 the  COP serving as the MOP to this Protocol at its first 
meeting, and kept under review thereafter". 
Æ In 2004, COP-MOP 1 adopted modalities for the operation of the BC H (Decision BS-I/3), which outline the role of the BCH, its ch aracteristics, its administration, the role of 
BCH focal points, modalities for technical overseeing and advice, th e obligations of partner organizations, reporting arrangeme nts, and modalities for periodic review by the COP-
MOP. 
Article 22 – Capacity-Building 
"1. The Parties shall cooperate in the development and/or stre ngthening of human resources and institutional capacities in bios afety, including biotechnology to the extent that it is 
required for biosafety, for the purpose of the effective implementation of this Protocol, in developing country Parties, in par ticular the least developed and small island developing 
States among them, and in Parties with economies in transition,  including through existing global, regional, subregional and na tional institutions and organizations and, as 
appropriate, through facilitating private sector involvement. 2. For the purposes of implementing paragraph 1 above, in relation to cooperation, the needs of developing country Parties, in particular the least developed and small island 
developing States among them, for financial resources and access to and transfer of technology and know-how in accordance with the relevant provisions of the Convention, shall 
be taken fully into account for capacity-building in biosafety.  Cooperation in capacity-building shall, subject to the differe nt situation, capabilities and requirements of each Party, 
include scientific and technical training in the proper and safe management of biotechnology, and in the use of risk assessment  and risk management for biosafety, and the 
enhancement of technological and institutional capacities in biosaf ety.  The needs of Parties with economies in transition shal l also be taken fully into account for such capacity-
building in biosafety". 
Æ 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 Parties 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 for the roster of experts.  
Æ In Decision BS-I/5 on capacity building, COP-MOP 1 also adopt ed an action plan for building capacities for the effective imple mentation of the Protocol, a coordination 
mechanism and indicators for monitoring implementation of the action plan.  
Article 28:2 – Financial Mechanism and Resources 
"2. The financial mechanism established in Article 21 of the Convention shall, through the institutional structure entrusted wi th its operation, be the financial mechanism for this 
Protocol". 
Æ Following the recommendation from the first meeting of the COP-MO P, the COP, in its decision VI I/20, provided detailed guidance  to the GEF with regard to the 
Cartagena Protocol, including the eligibility criteria, strategy and programme priorities. 
Æ 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 assi st all eligible countries to develop NBFs.  The project was launched in June 2001, and has assis ted 123 countries.  Under the initial strategy, the 
GEF also provided support to 12 demonstration projects for capacity building in implementation of national biosafety frameworks  (NBFs). 
Æ In November 2003, the GEF approved an add- on project to the UNEP-GEF project on th e Development of NBFs entitled "Building Capa city for Effective Participation in the 
BCH of the Cartagena Protocol". 
Article 25 – Illegal Transboundary Movements 
"1. Each Party shall adopt appropriate domestic measures aimed at preventing and, if appropriate, penalizing transboundary move ments of living modified organisms carried out in 
contravention of its domestic measures to implement this Protocol.  Such movements shall be deemed illegal transboundary moveme nts.  
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Page 1012. In the case of an illegal transboundary movement, the affected  Party may request the Party of origin to dispose, at its own expense, of the living modified organism in question by 
repatriation or destruction, as appropriate. 
3. Each Party shall make available to the BCH information conc erning cases of illegal transboundary movements pertaining to it" . 
9. UNFCCC 
Article 4 – Commitments 
"… 3. The developed country Parties and other developed Parties included in Annex II shall provide new and additional financial  resources to meet the agreed full costs incurred by 
developing country Parties in complying with their obligations under Article 12, paragraph 1.  They shall also provide such fin ancial resources, including for the transfer of 
technology, needed by the developing country Parties to meet th e agreed full incremental costs of  implementing measures that ar e covered by paragraph 1 of this Article and that 
are agreed between a developing country Party and the international entity or entitie s referred to in Article 11, in accordance  with that Article.  The implementation of these 
commitments shall take into account the need for adequacy and predictability in the flow of funds and the importance of appropr iate burden sharing among the developed country 
Parties. … 5. The developed country Parties and other developed Parties  in cluded in Annex II shall take all practicable steps to promote,  facilitate and finance, as appropriate, the transfer of, 
or access to, environmentally sound technologies and know-how to other Parties, particularly developing country Parties, to ena ble them to implement the provisions of the 
Convention.  In this process, the developed country Parties shall support the development and enhancement of endogenous capacit ies and technologies of developing country 
Parties.  Other Parties and organizations in a position to do so  may also assist in facilitating the transfer of such technolog ies … 
7. The extent to which developing country Parties will effec tively implement their commitments under the Convention will depend  on the effective implementation by developed 
country Parties of their commitments under the Convention related to financial resources and tran sfer of technology and will ta ke fully into account that economic and social 
development and poverty eradication are the first and ove rriding priorities of the de veloping country Parties. 
8. In the implementation of the commitments in this Article, th e Parties shall give full consider ation to what actions are nece ssary under the Convention, including actions related to 
funding, insurance and the transfer of technology, to meet the specific needs and concerns of developing country Parties arisin g from the adverse effects of climate change and/or 
the impact of the implementation of response measures…". 
Æ  A Consultative Group of Experts on National Communications from "Non-Annex 1 Parties" (CGE) helps developing countries prepar e national reports on climate change 
issues.  A Least Developed Country Expert Group (LEG) advises such nations on establishing programmes for adapting to climate c hange and an Expert Group on Technology 
Transfer (EGTT) enhances technology transfer activities under the Convention. 
Article 11 – Financial Mechanism 
Æ Establishes a financial mechanism (the GEF) to provide fina ncial resources, including for th e transfer of technology.   
Æ GEF covers the difference (or "increment") between the costs of a project undertaken with global  environmental objectives in m ind, and the costs of an alternative project that 
the country would have implemented in the absence of global environmental concerns.  Since 1991, approximately US$ 2 billion wa s provided in grants from the GEF Trust Fund 
to climate change activities. 
Æ  Further financial resources are provided for in the Special Cl imate Change Fund (SCCF) and the Least Developed Countries Fund  (LDCF).  The SCCF will finance projects 
relating to adaptation;  technology transfer  and capacity building;  energy, transpor t, industry, agriculture, forestry and was te management;  and economic diversification.  The 
LDCF will support a work programm e to assist LDCs to carry out, inter alia , the preparation and implementation of national adaptation programmes of action. 
10. Kyoto Protocol 
Æ Adopts the financial mechanism of the UNFCCC, which is the GEF,  and takes into account Articles 4.3 and 4.5 of the UNFCCC in i mplementation of commitments. 
11. ITTA 
Æ Article 20 provides for the establishment of the Special Account  comprising of the Pre-Proj ect Sub-Account and the Proj ect Sub-Account.  The sources of finance for the  
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TN/TE/S/5/Rev.1 Page 102 account may come from the Common Fund for Co mmodities, regional and international fina ncial institutions and voluntary contribu tions.  The resources of  the account shall be 
used only for approved ITTO pre- projects and projects.  Since it became operational in 1987, the ITTO has funded over 600 proje cts, pre-projects and activities for a total cost of 
over US$ 266 millions. 
Æ Article 21  of the ITTA, 1994 provides for the establishment of the Bali Partnership Fund  for the sustainable management of tropical timber-producing forests.  The fund is 
exclusively reserved for producing members to achieve the objective of Art 1 (d) of the ITTA, 1994 and is additional to the Spe cial Account.   
12. UN Fish Stocks Agreement 
Æ Part VII on "Requirements of Developing States" (Articles 24-26) provides for special assistance in favour of developing State s in the implementation of the Agreement, in 
recognition of their special requirements in relation to conserva tion and management of straddling fish stocks and highly migra tory fish stocks and development of fisheries for 
such stocks.  Such assistance also applies in respect to the conservation and management of straddling fish stocks and highly m igratory fish stocks in areas under national 
jurisdiction of developing coastal States (Part I, Article 3.3).  
Article 25:1 – Forms of coopera tion with developing States 
"1. States shall cooperate, either directly or through subregional, regional or global organizations: 
(a) to enhance the ability of developing St ates, in particular the least-developed am ong them and small island developing State s, to conserve and manage straddling fish stocks 
and highly migratory fish stocks and to develop their own fisheries for such stocks; (b) to assist developing States, in particular the least-devel oped 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 fi sheries subject to articles 5 and 11;  and 
(c) to facilitate the participation of developing States in subr egional and regional fisheries management organizations and arr angements ...". 
Article 26 – Special assistance in th e implementation of this Agreement 
"1. States shall cooperate to establish speci al funds to assist developing States in the implementation of this Agreement, incl uding assisting developing States to meet the costs 
involved in any proceedings for the settlement of disputes to which they may be parties. 2. States and international organizations should assist developi ng States in establishing new subregional or regional fisheries  management organizations or arrangements, or in 
strengthening existing organizations or arrangements, for the conservation and management of straddling fish stocks and highly migratory fish stocks".  
Æ An Assistance Fund under Part VII was established by Resolution 58/14 at the 58th Session of the UNGA to assist developing Sta tes Parties in the implementation of the 
Agreement. 
13. Rotterdam Convention 
Article 16 – Technical assistance 
"The Parties shall, taking into account in particular the needs of developing countries and count ries with economies in transit ion, cooperate in promoting technical assistance for the 
development of the infrastructure and the ca pacity necessary to manage chemicals to en able implementation of this Convention.  Parties with more advanced programmes for 
regulating chemicals should provide technical assistance, including training, to other Parties in developing their infrastructu re and capacity to manage chemicals throughout their 
life-cycle". 
Æ Since 1998, the secretariat has conducted a series of 11 subregional workshops.  In itially these workshop focused on awareness raising;  however, since 2002, the focus has been 
on providing training in the practical implementation of the Rotterdam Convention.  In Decision RC-1/14, COP 1 agreed on a stra tegy for the delivery of technical assistance, and 
the secretariat has planned a number of sub-regional and national workshops for 2005, with the main focus on national action pl ans for implementation and building on or 
establishing support networks for implementation within specific regions.  
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14. Stockholm Convention 
Article 7 – Implementation plans  
Æ Calls for the development of national plans to implement the Agreement. 
Article 12 – Technical assistance 
"1. The Parties recognize that rendering of timely and appropriate techni cal assistance in response to requests from developing  country Parties and Parties with economies in 
transition is essential to  the successful implementa tion 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 th eir capacity to implement their obligations under this Convent ion. 
3. In this regard, technical assistance to be provided by developed country Parties, and other Parties in accordance with their  capabilities, shall include, 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 approp riate, arrangements for the purpose of pr oviding technical assistance and promoting th e transfer of technology to developing country Parties 
and Parties with economies in transition relating to the implemen tation of this Convention.  These arrangements shall include r egional and subregional centres for capacity-building 
and transfer of technology to assist developing country Partie s and Parties with economies in transition to fulfil their obliga tions under this Convention.  Further guidance in this 
regard shall be provided by the COP. 
5. The Parties shall, in the context of this Article, take full account of the specific needs and sp ecial situation of least de veloped countries and small island developing states in their 
actions with regard to technical assistance". 
Article 13 – Financial resources and mechanisms 
Æ Parties undertake to provide financial support and incentives to achieve the objective of the Convention.  Developed country P arties shall provide new and additional financial 
resources to enable developing country Par ties and Parties with economies in transiti on to meet the agreed full incremental cos ts of implementing measures which fulfil their 
obligations under the Convention.   
Æ Establishes a mechanism for the provision of adequate and sust ainable financial resources to developing country Parties and Pa rties with economies in transition on a grant or 
concessional basis to assist in their implementation of the Convention.   
Æ Calls upon the first meeting of the COP to develop appropriate gui dance to be provided to the m echanism.  At its second meetin g, and on a regular basis, the COP shall review 
the effectiveness of the mechanism. 
Article 14 – Interim financial arrangements 
Æ Entrusts the GEF, on an interim basis, to be the principal entity operating the financial mechanism referred to in Article 13.  
  
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TN/TE/S/5/Rev.1 Page 104 IV. NON-COMPLIANCE MECHANISM 
1. IPPC 
1997 Amendments:  Article VII:2(f) – Requirements in relation to imports 
"2. In order to minimize interference with international trade, each contracting party, in exercising its authority under parag raph 1 of this Article, undertakes to act in conformity 
with the following: … 
f) Importing contracting parties shall, as soon as possible, inform the exporting contracting party concerned or, where appropr iate, the re-exporting contracting party concerned, 
of significant instances of non-compliance with phytosanitary certification.  The exporting contracting party or, where appropr iate, the re-exporting contracting party concerned, 
should investigate and, on request, report the result of its  investigation to the importing contracting party concerned". 
Æ Guidance for non-compliance is elaborated in the International Standard for Phytosanitary Measures No. 13, Guidelines for the Notification of Non-Compliance and Emergency 
Actions. 
2. ICCAT 
Article IX 
"1. The Contracting Parties agree to take 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 required by the Commission, a statement of the action taken by it for these purposes. 
2. The Contracting Parties agree: 
(a) to furnish, on the request of the Commission, any available statistical, biological and other scientific information the Co mmission may need for th e purposes of this 
Convention; 
(b) when their official agencies are unabl e 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 collaborate with each ot her 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 internationa l 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". 
Æ The mandate and terms of reference for a Conservation and Management Measures Compliance Committee were adopted in Decision 95 -15. 
Æ Some non-compliance procedures have been enforced, such as reducing 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 Pa rties (see Section II on Trade-Related Measures). 
3. CITES 
(1) Provisions of the Convention  
Article XIII – International Measures  
"1. When the Secretariat in the light of information received is satisfied that an y 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 pres ent 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 paragra ph 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 remedi al action.  Where the Party considers that an inquiry is  desirable, such inquiry m ay be carried out by one or more persons expressly 
authorized by the Party. 
3. The information provided by the Party or resulting from any in quiry as specified in paragraph 2 of this Article shall be rev iewed by the next COP which may make whatever 
recommendations it deems appropriate".   
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Page 105Æ The COP reviews regularly the implementation of the Convention and, where appropriate, makes recommendations for improving the  effectiveness of the Co nvention.  It has the 
authority to make "whatever recommendations it deems appropriate"  in relation to allegations of unsustainable trade or ineffect ive implementation.  Evaluation of compliance 
within the Convention is based on the Secretariat’s reports to the COP and CITES subsidiary bodies (e.g. annual reports, the Re view of Significant Trade, national legislation and 
alleged infractions and other implementation problems). 
Æ The Standing Committee carries out such interim activities on beha lf 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 Conference often instructs or delegates its authority to the Standing Committ ee, e.g. pursuant to Resolution Conf. 8.4, to consider 
"appropriate measures", which may include restrictions on the trade in specimens of CITES-listed species.  In various instances , e.g. pursuant to Resolution Conf. 12.8 (Rev. 
CoP13), the Secretariat recommends to the St anding Committee that all Par ties immediately take strict measures, including, as a ppropriate, suspension of trade in the affected 
species with a particular Party.  
Æ As CITES uses trade measures for its implementation, one reco mmendation for improving the effectiveness of the Convention is a  temporary suspension of trade recommended 
by either the COP or the Standing Committee.  In practical terms, this provides a period of time during which the relevant Part y can move from non-compliance to compliance by, 
inter alia , enacting adequate legislation, combating and reducing illegal trade or responding to specific recommendations of the Standing C ommittee concerning the implementation 
of Article IV of the Convention in the context of the Review of Significant Trade.  Having identified a problem of serious non- compliance, it would be inappropriate for Parties not 
to respond.  Recommendations for a suspension of trade may be regarded as a precautionary measure to prevent a continuing viola tion of the Convention that is detrimental to the 
survival of one or more CITES-listed species. 
Æ Recommendations to suspend trade are used as a last resort and CITES puts significant emphasis on inducing Parties into compli ance through consultations and advice or 
assistance.  Furthermore, such measures ar e generally used in cases involving signifi cant levels of trade and where no domestic  measures exist to enforce the Convention.  Finally, 
such recommendations are withdrawn immediat ely upon a Party’s return to compliance. 
(2) Resolutions and Decisions of  the Conference of the Parties  
Resolution Conf. 11.3 (Rev. CoP13)– Compliance and enforcement 
"... Regarding compliance, control and cooperation 
Urges  all Parties to strengthen, as soon as possible, the controls on trade in wildlife in the territories under their jurisdiction,  and in particular controls on shipments from producing 
countries, including neighbouring countries, and to strictly verify the documents originating from such countries with the resp ective Management Authorities; 
Recommends  that: 
a) all Parties: 
i) recognize the seriousness of illegal trad e in wild fauna and flora and identify it as a matter of high priority for their na tional law enforcement agencies; 
ii) consider formulating national action plans, incorporating timetables, targets and provisions for funding, designed to enhan ce enforcement of CITES, achieve compliance 
with its provisions, and support wild life-law enforcement agencies; ... 
iv) ensure strict compliance and control in respect of all mechanisms and provisions of the Convention relating to the regulati on of trade in animal and plant species listed in 
Appendix II, and of all provisions ensuring protection against illegal traffic for the species included in the Appendices; 
v) in case of violation of the above-mentioned provisions, immedi ately take appropriate measures pursuant to Article VIII, para graph 1, of the Convention in order to penalize 
such violation and to take appropriate remedial action;  and 
vi) inform each other of all circumstances and facts likely to be  relevant as regards illegal traffic and also of control measu res, with the aim of er adicating such traffic; 
b) importing Parties in particular not accept  under any circumstances or pretext, expor t or re-export documents issued by any a uthority, irrespective of its hierarchical level, other 
than the Management Authority officially designated as competent by the exporting or re-exporting Party and duly notified to th e Secretariat;  and 
c) if an importing country has reason to believe that an Appendi x-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 have  been violated and, to the exte nt possible, provide that count ry with copies of all documentation relating to 
the transaction;  and 
ii) where possible, apply stricter domestic measures to that transaction as provided for in Article XIV of the Convention; …  
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TN/TE/S/5/Rev.1 Page 106 Regarding application of Article XIII, r ecommends  that: 
a) when, in application of Article XIII, the Secretariat requests  information on an alleged infr action, Parties reply within a time-limit of 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 provid e the information requested; 
b) when, within a one year time-limit, the information requeste d has not been provided, Parties provide the Secretariat with ju stification of the reasons for which they have not 
been able to respond; 
c) if major problems with implementation of the Convention in pa rticular Parties are brought to the attention of the Secretaria t, the Secretariat work together with the Party 
concerned to try to solve the problem and offe r advice or technical assistance as required;  
d) if it does not appear a solution can be readily achieved, the Secretariat bring the matter to the attention of the Standing Committee, which may pursue the matter in direct 
contact with the Party concerned with a view to helping to find a solution;  and e) the Secretariat keep the Par ties informed as fully as possible, through Notifications, of such implementation problems and o f actions taken to solve them, and include such 
problems in its report of alleged infractions…". 
Resolution Conf. 11.37 (Rev. CoP13) – Annual reports 
"... Recommends that Parties not authorize trade in specimens of CITES-listed species with any Pa rty that the Standing Committe e has determined has failed, for three consecutive 
years and without having provided adequate  justification, to provide the annual reports required under Article VIII, paragraph 7 (a), of the Convention within the deadline (or any 
extended deadline) provided in the present Resolution; ...". 
Resolution Conf. 12.8 (Rev. CoP13)– Review of si gnificant trade in specimens of Appendix-II species 
"... Measures to be taken regarding the implementation of recommendations 
q) the Secretariat shall, in consultation with the Chairman of  the Animals or Plants Committee, determine whether the recommend ations referred to above have been 
implemented and report to the Standing Committee accordingly; 
r) where the recommendations have been met, the Secretariat shall, following consultation with the Chairman of the Standing Com mittee, notify the Partie s that the species was 
removed from the process; 
s) when the Secretariat, having consulted with the Chairman of the Animals or Plants Committee, is not satisfied that a range S tate has implemented the recommendations made 
by the Animals or Plants Committ ee in accordance with paragraphs n) or o), it should recommend to the Standing Committee approp riate 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 Stan ding Committee shall decide on appropriate action and 
make recommendations to the State concerned, or to all Parties; 
t) the Secretariat shall notify the Pa rties 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,  compliance with Article IV, paragraph 2 (a), 3 or 6 (a);  and 
v) the Standing Committee, in consultation w ith the Secretariat and the Chairman of th e Animals or Plants Committee, shall revi ew recommendations to suspend trade that have 
been in place for longer than two year s and, if appropriate, take measures to address the situation; ...". 
Decision Conf. 12.81 – Na tional laws for implementa tion of the Convention 
"... Directed to the Standing Committee, with respect to Parties referred to in D ecision 12.80 that have not complied with paragraph a), the Standing Committee shall co nsider 
appropriate measures, which may include restri ctions on the commercial tr ade in specimens of CITES-li sted species to or from su ch Parties ...". 
Decision Conf. 12.83 – Na tional laws for implementa tion of the Convention  
"... Directed to the Secretariat, the Secretariat shall: 
a) consider the information on specific legisl ative measures adopted by the Parties to fulfil the requirements laid down in the
 text of the Convention and the Resolutions of the 
COP and amend the analyses of national legislation and the categ ories according to the criteria stated in Resolution Conf. 8.4;  
b) advise the Parties concerned of any ame ndments to the analyses of their legislati on and to their categories, specifying in t he case of legislation in Categories 2 and 3 the 
requirements that are not yet met; 
c) provide technical assistance to Parties requesting advice in the formulation of legislative proposals for CITES implementati on by providing, to the extent resources are  
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i) legal guidance in the preparation of necessary legislative measures; 
ii) training of CITES authorities and other relevant bodies responsible for the formulation of wildlife trade policies or legis lation;  and 
iii) any specific support relevant to the fulfilment of the legislative requirements for the implementation of CITES; 
d) report to the Standing Committee on Parties’ progress in enacting legislation and, if necessary, recommend the adoption of a ppropriate compliance measures, including 
suspension of trade pursuant to the decisions taken at the 46th meeting of the Standing Committee (see Annex 5); e) identify for the Standing Committee any co untries that require attention as a priority under the National Legislation Projec t;  and 
f) report at the 13th meeting of the COP on: 
i) the legislation adopted by the Parties to implement the Conv ention and any recommendations relating to Parties that have not  adopted adequate legislation for 
implementation of the Convention;  and  
ii) any progress concerning technical assi stance provided to the Parties in the development of their national legislation for i mplementation of CITES ...". 
4. CCAMLR 
(1) Promotion of Compliance  
Article XXI 
"1. Each Contracting Party shall take 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 with Article IX of this Convention. 
2. Each Contracting Party shall transmit to the Commission information on measures taken pursuant to paragraph 1 above, includi ng the imposition of sanctions for any violation". 
Conservation Measure 10-03 (2002) – Port Inspections of Vessels Carrying Toothfish 
"... 1. Contracting Parties shall undertake inspection of all fishing vessels carrying Dissostichus spp. which enter their ports.  The inspection shall be for the purpose of determining 
that if the vessel carried out harvesting activities in the Co nvention Area, these activities were carried out in accordance wi th CCAMLR conservation measures, and that if it intends 
to land or tranship Dissostichus spp. the catch to be unloaded or transhipped is accompanied by a Dissostichus catch document (DCD) required by Conservation Mea sure 10-05, 
and that the catch agrees with the info rmation recorded on the document.  … 
3. In the event that there is evidence that the vessel has fished in contraven tion of CCAMLR conservation measures, the catch s hall not be landed or transhipped.  The Contracting 
Party will inform the Flag State of the vessel of its inspecti on findings and will cooperate with the Flag State in taking such  appropriate action as is required to investigate the 
alleged infringement, and, if necessary, apply appropriate sanctions in accordance with national legislation…". 
Conservation Measure 10-06 (2004) – Scheme to  Promote Compliance by Contracting Party Vessels with CCAMLR Co nservation Measures  
"… 1. At each annual meeting, the Commission will identify thos e Contracting Parties whose vessels have engaged in fishing acti vities in the Convention Area in a manner which 
has diminished the effectiveness of CCAMLR conservation measures in force, and shall establish a list of such vessels (IUU Vess el List), in accordance with the procedures and 
criteria set out hereafter. … 8. Contracting Parties whose vessels are included in the draft list established by the Secretariat will transmit before 1 Septe mber to CCAMLR, their co mments, as appropriate, 
including verifiable VMS data and other supporting information s howing that the vessels listed have neither engaged in fishing activities in contravention of CCAMLR 
conservation and management measures nor had the possibility of being engaged in fishing activities in the Convention Area. … 13. At each CCAMLR annual meeting, the Standing Committee on  Implementation and Compliance (SCIC) shall, by consensus: 
(a) adopt a Proposed IUU Vessel List, following consideration of the Provisional IUU Vessel List and information and evidence c irculated under paragraph 12.  The Proposed 
IUU Vessel List shall be submitted to the Commission for approval; (b) recommend to the Commission which, if any, vessels should be  removed from the IUU Vessel List adopted at the previous CCAML R annual meeting, following 
consideration of that List and information and evidence circulated under paragraph 12... 
15. SCIC shall recommend that the Commission should remove vesse ls from the IUU Vessel List if the Contracting Party proves tha t:  
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TN/TE/S/5/Rev.1 Page 108 (a) the vessel did not take part in IUU fishing activities described in paragraph 1;  or 
(b) it has taken effective action in response to the IUU fishing activities in question, including prosecution and imposition o f sanctions of adequate severity;  or 
(c) the vessel has changed ownership and that the new owner can es tablish the previous owner no longer has any legal, financial , or real interests in the vessel, or exercises 
control over it and that the new owner has not participated in IUU fishing;  or 
(d) the Contracting Party has taken measures considered sufficie nt to ensure the granting of the right to the vessel to fly its  flag will not result in IUU fishing. … 
21. Without prejudice to the rights of Flag States and Coastal States to take proper action consistent with international law, Contracting Parties should not take any trade measures 
or other sanctions which are inconsistent with their international obligations against vessels using as the basis for the actio n the fact that the vessel or vessels have been included in 
the draft list drawn up by the Secret ariat, pursuant to paragraph 7. 
22. The Chair of the Commission shall request the Contracting Par ties identified pursuant to paragraph 1 to take all necessary measures to avoid diminishing the effectiveness of the 
CCAMLR conservation measures resulting from their vessels’ activitie s, and to advise the Commission of actions taken in that re gard. 
23. The Commission shall review, at subsequent annual meetings, as appropriate, action taken by those Contracting Parties to wh ich requests have been made pursuant to 
paragraph 17, and identify those which have  not rectified their fishing activities.  
24. The Commission shall decide appropriate measures to be taken in respect to Dissostichus  spp. so as to address these issues with th ose identified Contractin g Parties.  In this 
respect, Contracting Parties may cooperate to  adopt appropriate multilaterally agreed tr ade-related measures, consistent with t he WTO, that may be necessary to prevent, deter and 
eliminate the IUU fishing activities identified by the Commission.  Multilateral trade-related measures may be used to support cooperative efforts to ensure that trade in 
Dissostichus  spp. and its products does not in any way encourage IUU fishin g or otherwise undermine the effectiveness of CCAMLR’s conservat ion measures which are consistent 
with the United Nations Convention on the Law of the Sea 1982 ... ". 
(2) System of Inspection  
Article XXIV:1-2 
"1. In order to promote the objective and ensure observance of the provisions of this Convention, the Contracting Parties agree  that a system of observation and inspection shall be 
established. 
2. The system of observation and inspection shall be elaborated by the Commission on the basis of the following principles: 
(a) Contracting Parties shall co- operate with each other to ensure the effectiv e implementation of the system of observation an d inspection, taking account of the existing 
international practice.  This system shall include, inter alia , procedures for boarding and inspection by observers and inspectors designated by the Members of the Commission 
and procedures for flag state prosecution and sanctions on the basis of evidence resulting from such boarding and inspections.  A report of such prosecutions and sanctions 
imposed shall be included in the information re ferred to in Article XXI of this Convention; 
(b) in order to verify compliance with measures adopted under this Convention, observation and inspection shall be carried out on board vessels engaged in scientific research or 
harvesting of marine living resources in the area to which this  Convention applies, through observers and inspectors designated  by the Members of the Commission and operating 
under terms and conditions to be established by the Commission; 
(c) designated observers and inspectors shall remain subject to the jurisdiction of the Contracting Party of which they are nat ionals.  They shall report to the Member of the 
Commission by which they have been designated which in turn shall report to the Commission". 
Æ The CCAMLR System of Inspection has been in operation since 1989.  Inspections of fishing and fisheries research vessels of CC AMLR Flag States are being carried out 
regularly by CCAMLR Inspectors designated by Members. 
Æ In December 2000, the Commission established the Standing Commi ttee on Observation and Inspection (SCOI) to consider and prepa re advice to the Commission on all matters 
related to inspections undertaken and steps taken by Members to  enforce compliance with Conserva tion Measures.  In 2002, the Su bcommittee was renamed the 
Standing Committee on Implementation and Compliance (SCIC). 
Æ 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.  
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5. Montreal Protocol 
Article 8:  Non-compliance 
"The Parties, at their first meeting, sh all consider and approve procedures and in stitutional mechanisms for determining non-co mpliance with the provisions of this Protocol and for 
treatment of Parties found to be in non-compliance". 
Æ In 1990 MOP II adopted non-compliance procedures and established an Implementation Committee.  The functions of the Committee are to receive, consider and report on any 
submission made by one or more Parties and any information or observations forwarded by the Secretariat in connection with the preparation of a report re ferred to in Article 12 of 
the Protocol.  After receiving a report by the Committee, the MOP may, taking into co nsideration the circumstances of the case,  decide upon and call for steps to bring about full 
compliance with the Protocol, including measures to assist a Pa rty's compliance and to further the Protocol's objectives.   
Æ The Multilateral Fund, contributed to by developed countries, meets all the agreed incremental costs of all developing countri es to implement the control measures.  Parties 
having difficulties meeting their obligations under the Protocol have notified the MOP under self-reporting provisions of the p rocedure.  
6. Basel Convention 
Æ 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 pr eventing problems.  It will be administered by a Committee compos ed of 15 members reflecting an equitable 
geographic representation of the five UN regional groups.  Submissions to the Committee may be made by:  a Party regarding itse lf;  one Party regarding another Party;  or the 
Secretariat.  Submissions regarding complia nce are forwarded to the Party in question, who may respond or provide comments.  Th e Committee may provide ad vice to the Party to 
facilitate compliance, such as:  advice on regulatory regimes;  assistance, including financial and technical support;  elabora tion of voluntary compliance action plans;  and/or 
follow-up arrangements.  The Committee may also review general issues of compliance and implementation of the Convention, and m ay recommend that the COP take additional 
measures regarding specific cases. 
Æ During the first and second sessions of the committee, it considered  procedural matters that were raised in the terms of refere nce but were not clarified, namely time periods for 
submitting cases to the committee;  submissions made to the comm ittee by the Secretariat;  language of submissions;  and report  of the committee.  
Æ At COP-7, Parties approved the work programme for 2005-2006 of the Committee for Administering the Mechanism for Promoting Impl ementation and Compliance. 
Æ No cases of non-compliance to date.   
7. CBD 
Article 26 – Reports 
"Each Contracting Party shall, at intervals to be determined by the COP, present to the COP, re ports on measures which it has t aken for the implementation of the provisions of this 
Convention and their effectiveness in meet ing the objectives of  this Convention". 
Æ Three rounds of national reports have been organized so far:  in 1998, 2001 and 2004. 
Æ The CBD does not have a compliance pro cedure.  Formal assessment of Parties or  non-parties compliance has not occurred. 
8. Cartagena Protocol 
Article 33 – Monitoring and Reporting 
"Each Party shall monitor the implementation of its obligations under this Protocol, and shall, at intervals to be determined b y the COP serving as the MOP to this Protocol, report 
to the COP serving as the MOP to this Protocol on m easures that it has taken to implement the Protocol". 
Æ COP-MOP 1 approved a format for the interim national report on implementation of the Protocol (Decision BS-I/9) and agreed on t he frequency and timing of such reports  
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TN/TE/S/5/Rev.1 Page 110 (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 th e entry into force of the Prot ocol). 
Article 34 – Compliance 
"The COP serving as the MOP to this Protocol shall, at its firs t meeting, consider and approve cooperative procedures and insti tutional mechanisms to pr omote compliance with the 
provisions of this Protocol and to address cases of non-compliance.  These procedures and mechanisms shall include provisions t o offer advice or assistance, where appropriate.  
They shall be separate from, and without prejudice to, the dis pute settlement procedures and mechanisms established by Article 27 of the Convention". 
Æ COP-MOP 1 adopted procedures and mechanisms on compliance under the Protocol (Decision BS-I/7), including a Compliance Committe e to meet twice a year 
with 15 members nominated by Parties and elected by the COP serv ing as the MOP to the Protocol.  These members will serve in th eir individual capacity. 
Æ The COP-MOP may, upon the recommendations of the Compliance Committee, 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 Biosaf ety Clearing-House;  and  
(d) in cases of repeated non-compliance, take such measures as may be decided by the COP-MOP at its third meeting.  
9. UNFCCC 
Article 13 – Resolution of Questions Regarding Implementation 
"The COP shall, at its first session, consider the establishmen t of a multilateral consultative process, available to Parties o n their request, for the resolution of questions regarding 
the implementation of the Convention". 
Æ Pursuant to Article 13, COP 4 considered the establishment of a Multilateral Consultative Committee (MCC) for the resolution o f questions regarding the implementation of the 
UNFCCC.  The proposed MCC is to provide advice to Parties and to prevent disputes.  The nature of the MCC is to be facilitative , non-judicial, transparen t and co-operative.  The 
outcome of the MCC may include recommendations and any measures that the MCC deems suitable for the effective implementation of  the Convention. 
10. Kyoto Protocol 
Article 16  
"The COP serving as the MOP to this Protocol shall, as soon as practicable, consider the application to this Protocol of, and m odify as appropriate, the multilateral consultative 
process referred to in Article 13 of the Convention, in the light of any relevant decisions that may be taken by the COP.  Any multilateral consultative process that may be applied 
to this Protocol shall operate without pr ejudice to the procedures and mechanisms es tablished in accordance with Article 18".  
Article 18  
"The COP serving as the MOP to this Protocol shall, at its fi rst session, approve appropriate an d effective procedures and mech anisms to determine and to address cases of non-
compliance with the provisions of this Protocol, including through the development of an indicative list of consequences, takin g into account the cause, type, degree and frequency 
of non-compliance.  Any procedures and mechanisms under this Article entailing binding consequences shall be adopted by means o f an amendment to this Protocol". 
Æ A strong compliance system has been developed to determine and enforce compliance:  The Compliance Committee consists of an En forcement Branch, to determine 
compliance and apply consequences, and a Facilitative Branch, to address questions of implementation. 
11. ITTA 
Article 19:7 – Admi nistrative Account 
"If a member has not paid its full contribution to the administrative budget within four months after such contribution becomes  due in accordance with paragraph 6 of this article, 
the Executive Director shall request that member to make payment as quickly as possible.  If that member has still not paid its  contribution within two months after such request, 
that member shall be requested to state the reasons for its inability  to make payment.  If at the expiry of seven months from t he due date of contribution, that member has still not  
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Page 111paid its contribution, its voting rights shall be suspended until such time as it has paid in full its contribution, unless the  Council, by special vote, d ecides otherwise.  If, on the 
contrary, a member has paid its full contribution to the administ rative budget within four months after such contribution becom es due in accordance with paragraph 6 of this article, 
the member's contribution shall receive a discount as may be es tablished by the Council in the financial rules of the Organizat ion".  
Article 44 – Exclusion  
"If the Council decides that any member is in breach of its obligations under this Ag reement and 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 Council shall immediately so notify the depos itary.  Six months after the date of the Council's 
decision, that member shall cease to  be a party to this Agreement".  
12. UN Fish Stocks Agreement 
Æ 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 "  requires the flag State to ensure that vess els flying its flag comply with subregional  and regional conservation and 
management measures.  It shall authorize vessels flying its flag to  fish on the high seas only wh ere it is able to exercise eff ective control over such vessels.  To this end, a flag State 
is obligated to take measures vis-à-vis fishing vessels flying its  flag that can ensure such control, including the establishme nt of a national record of fishing vessels authorized to 
fish on the high seas;  prohibition of high seas fishing without the necessary authorization;  requirement of permits for high seas fishing; prohibition of unauthorized fishing in areas 
under the national jurisdiction of other States;  requirements for marking of fishing vessels and fishing gear in accordance wi th FAO Standard Specifications for the Marking and 
Identification of Fishing Vessels;  obligation of reporting rele vant fisheries data; implementation of observer programmes and national inspection schemes;  implementation of 
vessel monitoring systems;  regulation of transshipment;  and an obligation for the flag State to ensure compatibility of the n ational monitoring, control and surveillance system 
with existing subregional, regional or global systems. 
 Æ Part VI on "Compliance and En forcement" (Articles 19-23) contains several prov isions 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 organizatio n or arrangement on the progress and outcome of the 
investigation; (c) require any vessel flying its flag to give information to the investigating authority regarding vessel position, catches, f ishing gear, fishing operations and related activities in 
the area of an alleged violation; 
(d) if satisfied that sufficient evidence is available in respect of an alleged violation, refer the case to its authorities wi th a view to instituting pr oceedings without delay in 
accordance with its laws and, where appropri ate, detain the vessel concerned;  and 
(e) ensure that, where it has been establis hed, in accordance with its laws, a vesse l has been involved in the commission of a serious violation of such measures, the vessel does 
not engage in fishing operations on the high seas until such time as all outstanding sanctions imposed by the flag State in res pect of the violation have been complied with. 
2. All investigations and judicial proceedi ngs shall be carried out expe ditiously.  Sanctions applicab le in respect of violatio ns shall be adequate in severity to be effective in securing 
compliance and to discourage violations wh erever they occur and shall deprive offende rs of the benefits accruing from their ill egal 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 auth orizations to serve as masters or officers 
on such vessels ...". 
Article 21 –  Subregional and reg ional cooperation in enforcement 
Æ Provides a subregional and regional cooperative scheme in enforcement that may involve boarding and inspection by non-flag Sta te inspectors within the framework of a RFMO 
or arrangement.   
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Article 22 – Basic procedures for boardi ng and inspection pursuant to article 21 
Æ Provides for the basic procedures to be followed by duly aut horized inspectors from an inspec ting State in case of boarding an d inspection.   
Article 23 – Measures taken by a port State 
Æ Provides for enforcement measures, which ma y be taken by a port State, whenever fishing vessels are voluntarily in its ports o r at its offshore terminals.  Such measures may 
include inspection of documents, fishing gear and catch on board  fishing vessels, and prohibition of landings and transhipments  if national regulations exist to this effect. 
13. Rotterdam Convention 
Article 17 – Non-compliance 
"The COP shall, as soon as practicable, develop and approve procedures and institutional mechanisms for determining non-complia nce with the provisions of this Convention and 
for treatment of Parties found to be in non-compliance". 
Æ In Decision RC-1/10, COP 1 decided to convene an open-ended ad hoc working group on Article 17 immediately prior to its second meeting, scheduled to take place in Rome 
from 26-30 September 2005. 
14. Stockholm Convention 
Article 15 – Reporting 
Æ Sets out a reporting mechanism on the implementation of the Convention. 
Article 16 – Effectiveness evaluation 
Æ 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 institutional mechanisms for determining non-complia nce with the provisions of this Convention and 
for the treatment of Parties found to be in non-compliance" 
  
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MEA Relevant Provision Any dispute? 
1. IPPC IPPC 1979 1997 Amendments  
 
 Article IX – Settlement of disputes 
"1. If there is any dispute regarding the interpretation 
or application of this Convention, or if a contracting party considers that any action by another 
contracting party is in conflict with the obligations 
of the latter under Articles V and VI of this Convention, especially regarding the basis of 
prohibiting or restricting the imports of plants or 
plant products coming from its territories, the 
government or governments concerned may request 
the Director-General of FAO to appoint a committee 
to consider the question in dispute. 
2. The Director-General of FAO shall thereupon, 
after consultation with the governments concerned, appoint a committee of experts which shall include 
representatives of those governments.  This 
committee shall consider the question in dispute, taking into account all documents and other forms of 
evidence submitted by the governments concerned.  
This committee shall submit a report to the Director-General of FAO, who shall transmit it to the 
governments concerned and to the governments of 
other contracting parties. 3. The contracting parties agree that the 
recommendations of such  a committee, while not 
binding in character, will become the basis for renewed consideration by the governments 
concerned of the matter out of which the 
disagreement arose. 
4. The governments concerned shall share equally 
the expenses of the experts". Article XIII  – Settlement of disputes 
"1. If there is any dispute regarding the interpretation or application of this 
Convention, or if a contracting party considers that any action by another contracting party is in conflict with the obligations of the latter under Articles V 
and VII of this Convention, especially regarding the basis of prohibiting or 
restricting the imports of plants, plant products or other regulated articles coming from its territories, the contracting parties concerned shall consult among 
themselves 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 request the FAO Director-General to 
appoint a committee of expert s to consider the question in dispute, in accordance 
with rules and procedures that may be established by the Commission.  
3. This Committee shall include represen tatives designated by each contracting 
party concerned.  The Committee shall consider the question in dispute, taking into account all documents and other forms of evidence submitted by the 
contracting parties concerned.  The Committee shall prepare a report on the 
technical aspects of the dispute for the purpose of seeking its resolution.  The preparation of the report and its ap proval shall be according to rules and 
procedures established by the Commission, and it shall be transmitted by the 
Director-General to the contracting partie s concerned.  The report may also be 
submitted, upon its request, to the competent body of the international 
organization responsible for resolving trade disputes.  
4. The contracting parties agree that the recommendations of such 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 sha ll share the expenses of the experts.  
6. The provisions of this Article shall be complementary to and not in derogation 
of the dispute settlement procedures provided for in other international agreements 
dealing with trade matters". 
Æ The Interim Commission has established a Subsidiary body for dispute 
settlement and has developed Rules of Procedure and Term s of Reference. No 
2. ICCAT Æ No provisions No  
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3. CITES Article XVIII – Resolution of Disputes  
"1. Any dispute which may arise between two or more Parties with  respect to the interpretation or application of the provisions  of the 
present Convention shall be subject to negotiation between the Parties involved in the dispute. 2. If the dispute can not be resolved in accordance with paragraph 1 of this Article, the Parties may, by mutual consent, submi t the dispute 
to arbitration, in particular that of the Permanent Court of Arbitration at The Hague, and the Parties submitting the dispute s hall be bound 
by the arbitral decision". No 
4. CCAMLR Article XXV 
"1. If any dispute arises between two or more of the 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, me diation, 
conciliation, arbitration, judicial settlement or  other peaceful means of their own choice. 
2. Any dispute of this character not so re solved shall, with the 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 n ot absolve Parties 
to the dispute from the responsibility of co ntinuing to seek to resolve it by any of the various peaceful means referred to in paragraph 1 
above. 
3. In cases where the dispute is referred to arbitration, the ar bitral tribunal shall be constituted as provided in the Annex t o this 
Convention". No 
5. Montreal 
Protocol Æ 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 interpretation or application of this Convention, the parties conc erned shall 
seek solution by negotiation. 
2. If the parties concerned cannot reach agreement by negotiation,  they may jointly seek the good  offices of, or request mediat ion by, a 
third party. 
3. When ratifying, accepting, approving or acced ing to this Convention, or  at any time thereafter, a State or regional economic  integration 
organization may declare in writing to the Depositary that for a dispute not resolved in accordance with paragraph 1 or paragra ph 2 
above, it accepts one or both of the following means of dispute settlement as compulsory: 
(a) Arbitration in accordance  with procedures to be adopted by th e COP at its first ordinary meeting; 
(b) Submission of the dispute to the ICJ.  
4. If the parties have not, in accordance w ith paragraph 3 above, accepted the same or any procedure, the dispute shall be subm itted to 
conciliation in accordance with paragraph 5 be low 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 c omposed of 
an equal number of members appointed by each party concerned and a chairman chosen jointly by th e members appointed by each par ty. 
The commission shall render a final and recommendatory award, which the parties shall consider in good faith. 6. The provisions of this Article shall apply with respect to any protocol except as provided in the protocol concerned". No 
6. Basel 
Convention Article 20 – Settlement of Disputes  
"1. In case of a dispute between Parties as  to the interpretation or application of, or compliance with, this Convention or any  protocol 
thereto, they shall seek a settlement of  the dispute through negotia tion or any other peaceful means of their own choice. No  
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2. If the Parties concerned cannot settle their dispute through the mean s mentioned in the preceding paragraph, the dispute, if  the Parties 
to the dispute agree, shall be submitted to the ICJ or to arb itration under the conditions set out in Annex VI on Arbitration.  However, 
failure to reach common agreement on submission of the dispute to the ICJ or to arbitration sha ll not absolve the Parties from the 
responsibility of continuing to seek to resolv e it by the means referred to in paragraph 1. 
3. When ratifying, accepting, approving, formal ly confirming or acceding to this Conventi on, or at any time thereafter, a State  or political 
and/or economic integration organization may declare that it rec ognizes as compulsory ipso fact o and without special agreement,  in 
relation to any Party accepting the same obligation: 
(a) submission of the dispute to the ICJ;  and/or 
(b) arbitration in accordance with the procedures set out in Annex VI. 
Such declaration shall be notified in writing to the S ecretariat which shall communicate it to the Parties". 
Æ 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 provis ions of the Convention.  It may take all appropriate measures to establish 
the facts of the dispute and shall render a decision within a speci fied time limit.  The award of  the arbitral tribunal shall b e accompanied 
by a statement of reasons and be final and binding on the Parties to the dispute.  
7. CBD Article 27 – Settlement of Disputes 
"1. In the event of a dispute between Contracting Parties concer ning the interpretation or application of this Convention, the parties 
concerned shall seek solution by negotiation.  
2. If the parties concerned cannot reach agreement by negotiation,  they may jointly seek the good  offices of, or request mediat ion by, a 
third party.  
3. When ratifying, accepting, approving or acced ing to this Convention, or  at any time thereafter, a State or regional economic  integration 
organization may declare in writing to the Depositary that for a dispute not resolved in accordance with paragraph 1 or paragra ph 2 
above, it accepts one or both of the following means of dispute settlement as compulsory:  
(a) Arbitration in accordance with the 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 paragaph 3 above, accepted the same or any procedure, the dispute  shall be 
submitted to conciliation in accordance with Part 2 of Annex II unless the parties otherwise agree.  
5. The provisions of this Article shall apply with respect to any protocol except as otherwise provided in the protocol concern ed". 
Æ The procedures for arbitration are set out in Part 1 of Annex II.  The award of the arbitral tribunal is binding on the partie s to the 
dispute.  In the event of a conflict betwee n two Parties, the arbitral provisions provide for the st andard 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 nomi nate a 
"common" arbitrator.  
Æ If the dispute is not submitted to arbitra tion or the ICJ because either the Parties have not chosen a procedure, or each has chosen a 
different procedure, the dispute must be submitted to concilia tion.  Conciliation does not lead to a binding decision, unless t he Parties 
agree otherwise, but the proposals for resolution of the dispute must be considered in good faith.  The procedures for the five -member 
conciliation commission are set out in Part 2 of Annex II. No  
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MEA Relevant Provision Any dispute? 
8. Cartagena 
Protocol Æ 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. No 
9. UNFCCC Article 14 – Settlement of Disputes 
"1. In the event of a dispute between any two or more Parties concerning the interpretation or application of the Convention, t he Parties 
concerned shall seek a settlement of the dispute through ne gotiation or any other peaceful means of their own choice. 
2. When ratifying, accepting, approving or acced ing to the Convention, or at any time thereafter, a Party which is not a region al economic 
integration organization may declare in a written instrument submitted to the Depositary that, in respect of any dispute concer ning the 
interpretation or application of the Convention, it recognizes as compulsory ipso facto and withou t special agreement, in relat ion 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 so on 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 procedur es referred to in subparagraph (b) above. … 
5. Subject to the operation of paragraph 2 above, if after twelve months following notification by one Party to another that a dispute exists 
between them, the Parties concerned have not been able to settle their dispute through the means mentioned in paragraph 1 above , the 
dispute shall be submitted, at the request of an y 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 c omposed of 
an equal number of members appointed by each party concerned and a chairman chosen jointly by th e members appointed by each par ty.  
The commission shall render a recommendatory award, which the parties shall consider in good faith. 
7. Additional procedures relating to conciliation shall be adopted by the 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". No 
10. Kyoto 
Protocol Article 19 
"The provisions of Article 14 of the Conv ention on settlement of disputes shall apply mutatis mutandis  to this Protocol". No 
11. ITTA Article 31 – Complaints and disputes  
"Any complaint that a member has failed to fulfil its obligations  under this Agreement and any di spute concerning the interpret ation or 
application of this Agreement shall be referred to the Council for decision.  Decisions of the Council on these matters shall b e final and 
binding".  No 
12. UN Fish 
Stocks 
Agreement Æ Part VIII on Peaceful Settlement of Disputes  (Articles 27-32) contains provisions fo r the peaceful settlement of disputes aris ing out of 
the implementation of the Agreement.  
Article 27 – Obligation to settle disputes by peaceful means 
"States have the obligation to settle their disputes by negotiati on, inquiry, mediation, conciliation, arbitration, judicial se ttlement, resort to 
regional agencies or arrangements, or ot her peaceful means of their own choice". 
Article 28 – Prevention of disputes 
"States shall cooperate in order to prevent disputes.  To this end, States shall agree on effici ent and expeditious decision-ma king No  
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procedures within subregional and regional fisheries management  organizations and arrangements and shall strengthen existing de cision-
making procedures as necessary". 
Article 29 – Disputes of a technical nature 
"Where a dispute concerns a matter of a technical nature, the States concerned may refer the dispute to an ad hoc expert panel established 
by them.  The panel shall confer with the States concerned and shall endeavour to resolve the dispute expeditiously without rec ourse to 
binding procedures for the settlement of disputes". 
Article 30 – Procedures for the settlement of disputes 
Æ Stipulates that the procedures for the settlement of disputes set out in the UNCLOS applies mutatis mutandis  to any dispute between 
State Parties to the Agreement co ncerning the interpretation or application of the Agreement, whether or not they are also Part ies to 
UNCLOS.  
Article 31 – Provisional measures 
"1. Pending the settlement of a dispute in accordance with this Part, the parties to th e dispute shall make every effort to ent er into 
provisional arrangements of a practical nature. 
2. Without prejudice to article 290 of th e Convention, the cour t or tribunal to which the dispute has been submitted under this  Part may 
prescribe any provisional measures which it considers appropriat e under the circumstances to pr eserve the respective rights of the parties 
to the dispute or to prevent damage to the stocks in question, as well as in the circumstances referred to in article 7, paragr aph 5, and 
article 16, paragraph 2. 3. A State Party to this Agreement which is not a Party to the Convention may declare that, notwithstanding article 290, paragr aph 5, of 
the Convention, the International Tribunal for the Law of the Sea shall not be entitled to prescribe, modify or revoke provisio nal 
measures without the agreement of such State". 
Æ The relevant provisions of UNCLOS 
• Part XV of UNCLOS requires that State Pa rties to the Convention settle any dispute between them concerning the interpretation 
or application of the Convention by all peaceful means referred to in the UN Charter.  
• Where no settlement has been reached by recourse to procedures  entailing non-binding decisions under Part XV, Section 1, the 
dispute shall be submitted at the request of any party, to the compulsory procedures entailing binding decisions provided for i n 
Section 2 of Part XV.   
• Article 287 lists the following courts or tribunals as m eans for the settlement of disputes under Section 2:  
- ITLOS (established in accordance with Annex VI of the Convention) includi ng the Seabed Disputes Chamber; 
- the ICJ; 
- an arbitral tribunal constituted in accordan ce with Annex VII of the Convention; 
- a special arbitral tribunal constituted in accordance with Annex VIII for one or more of the categories of disputes specified 
therein.   
• The jurisdiction of ITLOS comprises all disputes and all app lications submitted to it in accordance with UNCLOS and all 
matters specifically provided for in any other agreement, which confers jurisdiction to the Tribunal.  
• Part XV, Section 3 on limitations and exceptions to the appli cability of Section 2 stipulates in Article 297, paragraph 3 that 
disputes relating to the sovereign rights of  the coastal State relating to the living re sources in the EEZ, or the exercise of such 
rights in that zone, are excluded from the compulsory procedures  entailing binding decisions provided for in Part XV, Section 2 .   
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• Where no settlement has been reached by recourse to Part XV, S ection 1, such disputes shall be submitted to the compulsory 
conciliation procedure established under Annex V, Section 2 of UNC LOS.  Under such a procedure, only the submission to the 
proceedings is compulsory since the report of the commission of conciliation, including its conclusions or recommendations, remains non-binding upon the Parties to the dispute. 
13. Rotterdam 
Convention Article 20 – Settlement of disputes 
"1. Parties shall settle any dispute between them concerning the interpretation or application of this Convention through negot iation or 
other peaceful means of  their own choice. 
2. When ratifying, accepting, approving or acced ing to this Convention, or at any time thereafter, a Party that is not a region al economic 
integration organization may declare in a written instrument subm itted to the Depositary that, with respect to any dispute conc erning the 
interpretation or application of the Convention, it recognizes one or both of the following means of dispute settlement as comp ulsory in 
relation to any Party accepting the same obligation: 
(a) Arbitration in accordance w ith procedures 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 ma y make a declaration with like effect in relation to arbitrat ion in 
accordance with the procedure referred to in paragraph 2 (a). 4. A declaration made pursuant to paragraph 2 shall remain in force until it expires in accordance with its terms or until thre e months after 
written notice of its revocation has been deposited with the Depositary. 
5. The expiry of a declaration, a notice of revocation or a new declaration shall not in any way affect proceedings pending bef ore an 
arbitral tribunal or the ICJ unless the parties to the dispute otherwise agree. 
6. If the parties to a dispute have not accep ted 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 dispu te shall be 
submitted to a conciliation commission at the request of any party to the dispute.  The conciliation commission shall render a report with 
recommendations.  Additional procedures relating to the conciliation commission shall be included in an annex to be adopted by the COP 
no later than the second meeting of the Conference". 
Æ In Decision RC-1/11, COP 1 established rules for the settlement of disputes:  
• In cases of Arbitration under Article 20 paragraphs 1-5 an Arb itration Tribunal shall be estab lished, consisting of three membe rs, 
which renders a decision within five months  of being fully constituted.  The decision is binding between the parties to the 
dispute and Parties intervening under Article 10, insofar as it re lates to matters in respect of which that Party intervened.  The 
award shall be without appeal unless the parties to the disp ute have agreed in advance to an appellate procedure. 
• In cases of conciliation under Article 20 paragraph 6, a concilia tion commission shall be established composed of five members.   
It shall take its decision by majority vote of its members and shall render a report for the resolution within 12 months of bei ng 
established. No 
14. Stockholm 
Convention Article 18 – Settlement of disputes 
"1. Parties shall settle any dispute between them concerning the interpretation or application of this Convention through negot iation or 
other peaceful means of  their own choice. 
2. When ratifying, accepting, appr oving or acceding to the Conventio n, or at any time thereafter, a Party that is not a regiona l economic 
integration organization may declare in a written instrument submi tted to the depositary that, with respect to any dispute conc erning the   
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Page 119MEA Relevant Provision Any dispute? 
interpretation or application of the Convention, it recognizes one or both of the following means of dispute settlement as comp ulsory in 
relation to any Party accepting the same obligation: 
(a) Arbitration in accordance with procedures to be adopted by the CO P in an annex as soon as practicable; 
(b) Submission of the dispute to the ICJ. 
3. A Party that is a regional economic integration organization ma y make a declaration with like effect in relation to arbitrat ion in 
accordance with the procedure referred to in paragraph 2 (a). 4. A declaration made pursuant to paragraph 2 or paragraph 3 sh all remain in force until it e xpires in accordance with its term s or until 
three months after written notice of its revoca tion has been deposited with the depositary. 
5. The expiry of a declaration, a notice of revocation or a new declaration shall not in any way affect proceedings pending bef ore an 
arbitral tribunal or the ICJ unless the parties to the dispute otherwise agree. 
6. If the parties to a dispute have not accep ted 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 dispu te shall be 
submitted to a conciliation commission at the request of any party to the dispute.  The conciliation commission shall render a report with 
recommendations.  Additional procedures relating to the conciliation commission shall be included in an annex to be adopted by the COP 
no later than at its second meeting". 
  
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TN/TE/S/5/Rev.1 Page 120 VI. PROVISIONS FOR NON-PARTIES 
1. IPPC 
1997 Amendment:  Article XV III – Non contracting parties 
"The contracting parties shall encourage a ny state or member organization of FAO, not  a party to this Co nvention, to accept thi s Convention, and sha ll encourage any non-
contracting party to apply phytosanitary measures consistent w ith the provisions of this Convention and any international stand ards adopted hereunder". 
2. ICCAT 
Æ In 1997, the Commission adopted a Resolution urging non-parties to e ither become Contracting Parties,  or to attain status as a "Cooperating Party, Entity, or Fishing Entity".  
Such status requires the firm commitment to  provide the same data that Contracting Parties are required to submit and to respec t the Commission’s management recommendations.  
Such status is granted for one-year periods and is subject to annual review.  In 1999, Chinese Taipei and Mexico were granted C ooperating Status.  In 2001, the Philippines was 
also granted Cooperating Status.  Cooperating Status was granted to Guyana in 2003 and to the Netherlands Antilles in 2004.  In  2002, Mexico became a member of ICCAT.  In 
2004, the Philippines became a member of ICCA T.  This 1997 resolution wa s substituted by a Resolution 01-17 in 2002.  This Reso lution was substituted by Recommendation 03-
20 in 2003. 
Recommendation 03-20 on Criteria fo r Attaining the Status of  Cooperating Non-Contra cting Party, Entity or  Fishing Entity (Enter ed into Force on June 19, 2004) 
"… 1. Each year, the Executive Secretary of ICCAT shall contact all non-Contracting Parties, Entities, or Fishing Entities know n 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 Co operating non-Contrac ting Party, Entity or Fishing Entity. In doing 
so, the Executive Secretary shall provide a copy of all relevant Recommendations and Resolutions adopted by the Commission. 2. Any non-Contracting Party, Entity, or Fish ing Entity that seeks 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 Secretary 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 requesting the status of Cooperating non-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 histori cal fisheries in the Convention area, includ ing nominal catches, number/type of vessels,  name of fishing vessels, fishing effort and fishing 
areas;   
b) all the data that Contracting Parties have to submit to ICCAT based on the Recommendations adopted by ICCAT; 
c) details on current fishing presence in the Convention area, number of vessels and vessel characteristics and; 
d) information on any research programs it may have conducted in the Convention area and the information and the results of thi s research. 
4. An applicant for Cooperating non-Contracting Pa rty, Entity or Fishing Entity Status shall also: 
a) confirm its commitment to respect the Commission’s conservation and management measures and; b) inform ICCAT of the measures it takes to ensure compliance by its vessels with ICCAT conservation and management measures . 
5. The Commission's Permanent Working Group for the Improvement of ICCAT Statistics and Conservation Measures (hereinafter PWG)  shall be responsible for reviewing 
requests for Cooperating Status and for 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 applican t available from other Regional Fisheries Management Organizations (RFMOs) as well a s data submission of the applicant to the 
Commission.  Caution shall be used so as not to introduce into the Convention area the excessive fishing capacity of other regi ons or IUU fishing activities in granting Cooperating 
Status to the applicant.  6. Cooperating non-Contracting Parties, 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. 
7. The Resolution by ICCAT on Becoming a Cooperating Party, Entity or Fishing Entity [01-17] , adopted at the 2001 Commission meeting, is substituted by this 
Recommendation".  
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Page 121Æ Chinese Taipei, Guyana and the Netherlands Antilles, Cooperati ng non-Contracting Parties, Entitie s or Fishing Entities are comp lying with the Commission’s regulations to the 
same extent as Contracting Parties. 
3. CITES 
Article X – Trade with States not Party to the Convention 
"Where export or re-export is to, or import is from, a State not a Party to the present Convention, comparable documentation is sued by the competent authorities in that State which 
substantially conforms with the requirements of the present Convention for permits  and certificates may be accepted in lieu the reof by any Party". 
Resolution Conf. 9.5 (1994) – Trade with States not party to the Convention 
"… Recommends  that: 
a) permits and certificates issued by States not party to th e 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 c oncerned for the purposes of the Convention; 
iii) certification of the origin of the specimen concerned including  the export permit number from the country of origin, or ju stification for omitting such certification; 
iv) in the case of export of specimens of a species included in Appendix I or II, certification to the effect that the competen t scientific institution has advised that the export 
will not be detrimental to the survival of the species (in case of  doubt a copy of such advice should be required) and that the  specimens were not obtained in contravention of 
the laws of the State of export; 
v) in the case of re-export, certification to  the effect that the compet ent 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, certifi cation 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 deta ils of the competent authorities and scient ific institutions of such States are included in the 
most recent updated list of th e Secretariat or after consu ltation 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-exported from, and/or destined for St ates not party to the Convention and to the inspection 
of documentation for such specimens; e) Parties authorize import from and export or re-export to States not party to the Convention of specimens of wild origin of A ppendix-I species only in special cases where it 
benefits the conservation of the species or  provides for the welfare of  the specimens, and only after consultation with the Sec retariat; 
f) Parties allow import from States not party to the Convention of  captive-bred and artificially propagated specimens of Append ix-I species only after favourable advice from the 
Secretariat;  and 
g) Parties communicate to the Secretariat any inconsistencies in trade involving States not party to the Convention; …". 
Æ The following non-parties have provided the information requested by Resolution Conf. 9.5 (i.e. proof that comparable documenta tion is being issued by competent authorities):  
Angola;  Bahrain;  Cook Islands;  Democra tic People’s Republic of Korea;  Haiti;  Kiri bati;  Kyrgystan;  Lebanon;  Marshall Isl ands;  Federated States of Micronesia;  Niue;  
Oman;  San Marino;  Solomon Islands;  Tonga;  Turkmenistan and Tuvalu.  
Æ China is a Party to CITES.  Hong Kong SA R, China, however, has its own CITES Manage ment Authority and Scientific Authority.  M acao also has its own Management 
Authority. 
Æ According to the CITES Secretar iat, key non-parties include:  Angola;  Armenia;  Bahrain;  Bosnia and Herzegovina;  Democratic  People's Republic of Korea;  East Timor;  the 
European Communities;  Haiti;  Kyrgyzstan;  Lebanon;  Solomon Islands and Turkmenistan.  
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TN/TE/S/5/Rev.1 Page 122 4. CCAMLR 
Article X:1 
"The Commission shall draw the attention of  any State which is not a Party to this Convention to any activity undertaken by its  nationals or vessels which, in the opinion of the 
Commission, affects the implementation of the objective of this Convention". 
Conservation Measure 10-07 (2003) – Scheme to Promote Complia nce by Non-Contracting Party Vesse ls with CCAMLR Conservation Meas ures 
"1. The Contracting Parties request non-Contracting Parties to co operate fully with the Commission with a view to ensuring that  the effectiveness of CCAMLR conservation 
measures is not undermined. 2. At each annual meeting the Commission shall identify those non-Cont racting Parties whose vessels are engaged in illegal, unr egulated and unreported (IUU) fishing activities in 
the Convention area that threaten  to undermine the effectivene ss of CCAMLR conservation measures, and shall establish a list of  such vessels (IUU Vessel List), in accordance 
with the procedures and criteria set out hereafter. ... 4. When the non-Contracting Party vessel referred to in paragraph 3 enters a port of any Contracting Party, it shall be inspect ed by authorised Contr acting Party officials in 
accordance with Conservation Measur e 10-03 and shall not be allowed to land or tr anship 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 compliance with all relevant CCAMLR conservation measures and requir ements under the Convention. ... 
9. Following the review referred to in paragraph 8, SCIC sh all submit to the Commission for approval, a proposed IUU Vessel Lis t. 
10. The Executive Secretary, SCIC and the Commission shall undertake each year the proc edures set out in this conservation meas ure in respect of adding or removing vessels from 
the IUU Vessel List.  In this regard, SCIC shall recommend that the Commission removes vessels from the list approved in a prev ious annual meeting if the relevant Flag state 
satisfies the Commission that: 
(a) the vessel did not take part in IUU fishing activities described in paragraph 2;  or 
(b) it has taken effective action in response to the IUU fishing activities in question, including prosecution and imposition o f sanctions of adequate severity;  or 
(c) the vessel has changed ownership and that the new owner can es tablish the previous owner no longer has any legal, financial , or real interests in the vessel, or exercises 
control over it and that the new owner has not participated in IUU fishing;  or 
(d) the Contracting Party has taken measures considered sufficie nt to ensure the granting of the right to the vessel to fly its  flag will not result in IUU fishing. 
11. The Contracting Parties shall take all necessary measures, to the extend possible in accordance with their applicable legislation, in order that: 
(a) the issuance of a licence to vessels in cluded in the IUU Vessel List to fish in waters under their fisheries jurisdiction i s prohibited; ... 
(c) vessels appearing in the IUU Vessel List that enter ports are not authorised to land or tranship therein and are inspected in accordance with Conservation Measure 10-03 on so 
entering; ... 
(f) imports of Dissostichus  spp. from vessels included in the IUU Vessel List are prohibited; 
(g) 'Export or Re-export Government Authority Va lidation' is not certified when the shipment (of Dissostichus  spp.) is declared to have been caughtby any vessel included in the 
IUU Vessel List; 
(h) importers transporters and other sectors concerned, are encouraged to refrain from negotiating and transhipping of fish cau ght by vessels appearing in the IUU Vessel List; 
(i) any appropriate information is collected  and exchanged with other Contracting Parties or cooperating non-Contracting Partie s, entities or fishing entities with the aim of 
detecting, controlling and preventing the use of false import/expor t certificates regarding fish from vessels appearing in the IUU Vessel List. ... 
13. The Commission shall request those non-Contracting parties identified pursuant to paragraph 2, to immediately take steps to  address the IUU fishing activities of the vessels 
flying their flag that have been included in the IUU Vessel List , including if necessary, the with drawal of the registration or  of the fishing licences of the vessels, the nullification of 
the relevant catch documents and denial of further access to the Catch Documentation Scheme for Dissostichus  spp. (CDS), and to inform the Commission of the measures taken in 
this respect. ... 15. The Commission shall review, at subsequent annual meetings, as appropriate, actions taken by those non-Contracting Parties identified pursuant to paragraph 2 to which 
requests have been made pursuant to paragraphs 13 and 14, and identify those which have not rectified their fishing activities.  
16. The Commission shall decide appropriate measures to be taken in respect to Dissostichus  spp. so as to address these issues with thos e identified non-Contracting Parties.  In this  
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Page 123respect, non-Contracting Parties may cooperate to adopt appropriate multilaterally agreed trade-related measures, consistent wi th the WTO, that may be necessary to prevent, deter 
and eliminate the IUU fishing activities identified by the Commission.  Multilateral trade-related measures may be used to supp ort cooperative efforts to  ensure that trade in 
Dissostichus  spp. and its products does not in any way encourage IUU fishin g or otherwise undermine the effectiveness of CCAMLR’s conservat ion measures which are consistent 
with the United Nations Convention on the Law of the Sea 1982".  
5. Montreal Protocol  
Æ See Article 4 (in Section II.E:1) above).  
Æ According to Article 4:8, trade restrictions do not apply if a non-party is in compliance with the Protocol.  
6. Basel Convention 
Article 4:5 – General Obligations 
"A Party shall not permit hazardous wastes or  other wastes to be exported to a non-Pa rty or to be imported from a non-Party". 
Article 7 – Transboundary Movement from a Party through States which are not Parties  
"Paragraph 1 of Article 6 of the Convention shall apply mutatis mutandis  to transboundary movement  of hazardous wastes or other wastes from a Party through a State or States 
which are not Parties". 
Article 11 – Bilateral, Multilateral and Regional Agreements 
"1. Notwithstanding the provisions of Article 4 paragraph 5, Par ties may enter into bilateral, multilateral, or regional agreem ents or arrangements regarding transboundary 
movement of hazardous wastes or other wast es with Parties or non-Parties provided that  such agreements or arrangements do not d erogate from the environmentally sound 
management of hazardous wastes and other wastes as required by this Convention.  These agreements or arrangements shall stipula te provisions which are not less environmentally 
sound than those provided  for by this Convention in particular taking in to account the interests of  developing countries. 
2. Parties shall notify the Secret ariat of any bilateral, multilateral or regional  agreements or arrangements referred to in pa ragraph 1 and those which they have entered into prior to 
the entry into force of th is Convention for them, for the pur pose of controlling transboundary movements of hazardous wastes an d other wastes which take place entirely among the 
Parties to such agreements.  Th e provisions of this C onvention shall not affect  transboundary movements which take place pursua nt to such agreements  provided that such 
agreements are compatible with the environmentally sound management of hazardous wastes and other wastes as required by this Co nvention".  
Æ Parties can consent to transboundary movements with non-pa rties provided the provisions in the Convention are met. 
7. CBD 
Æ There are no articles that deal directly w ith the rights of non-parties.  According to rules of procedure of the COP, meetings  of the Convention are open to non-parties as 
observers. 
Æ One non-party has submitted a report on measures taken to implement the CBD. 
8. Cartagena Protocol 
Article 24 – Non-Parties 
"1. Transboundary movements of living modified organisms between Parties and non-Parties shall be consistent with the objective  of this Protocol.  The Parties may enter into 
bilateral, regional and multilateral agreements and arrangement s with non-Parties regarding such transboundary movements. 
2. The Parties shall encourage non -Parties to adhere to this Protocol and to co ntribute appropriate info rmation to the Biosafet y Clearing-House on living modified organisms 
released in, or moved into or out of, ar eas within their national jurisdictions". 
Æ In Decision BS-I/11 COP-MOP 1 adopted a guidance on the transboundary movement of LMOs between Parties and non-Parties.  Accord ing to this, in exporting LMOs to non-
Parties, Parties should ensure prior notification and risk asse ssment and assist non-Parties to ma ke informed decisions on the imports of LMOs.  Parties should also apply their  
 WT/CTE/W/160/Rev.3 
TN/TE/S/5/Rev.1 Page 124 domestic regulatory framework to imports of LMOs from non-Parties, protect confiden tial information received from non-Parties a nd monitor transboundary movements of LMOs 
between Parties and non-Parties.  Non-Par ties are encouraged to ratify the Protocol, cooperate with Parties to achieve the Prot ocol's objective, adhere to the provisions of the 
Protocol on a voluntary basis, make available to the Biosafety Clearing-House information required under the Protocol and parti cipate in capacity-building activities. 
9. UNFCCC 
No provisions 
10. Kyoto Protocol 
No provisions 
11. ITTA 
No provisions 
Æ According to the ITTO Secretariat, all States that are considered key players ar e members, except the Russian Federation. 
Æ Non-member stakeholders have established two advisory groups to facilitate their participation in the Council and to provide i nput to the Council’s decision-making process. 
These are the Trade Advisory Group an d the Civil Society Advisory Group. 
12. UN Fish Stocks Agreement 
Article 8 – Cooperation for conservation and management 
"1. Coastal States and States fishing on th e high seas shall, in accord ance with the Convention, pu rsue cooperation in relation  to straddling fish stocks and highly migratory fish 
stocks either directly or through appropriate subregional or regional fisheries management organizations or arrangements, takin g into account the specific characteristics of the 
subregion or region, to ensure effective conservation and management of such stocks. 
2. States shall enter into consultations in good faith and with out delay, particularly where there is evidence that the straddl ing fish stocks and highly migratory fish stocks concerned 
may be under threat of over-exploitation or where a new fishery is being developed for such stocks.  To this end, consultations  may be initiated at the request of any interested State 
with a view to establishing appropriate arrangements to ensure conservation and management of the stocks.  Pending agreement on  such arrangements, States shall observe the 
provisions of this Agreement and shall act in good faith and w ith due regard to the rights, interests and duties of other State s.  
3. Where a subregional or regional fisheries management organization or arrangement has the competence to establish conservatio n and management measures for particular 
straddling fish stocks or highly migratory fish stocks, States fishing for the stocks on the high seas and relevant coastal Sta tes shall give effect to their duty to cooperate by 
becoming members of such organization or participants in such arrangement, or by agreeing to apply the conservation and managem ent measures established by such organization 
or arrangement.  States having a real interest in the fisheries concerned may become members of such organization or participan ts in such arrangement.  The terms of participation 
in such organization or arrangement shall not preclude such States from membership or participation;  nor shall they be applied  in a manner which discriminates against any State 
or group of States having a real interest in the fisheries concerned. 4. Only those States which are members of such an organization or  participants in such an arra ngement, or which agree to apply the conservation and management measures 
established by such organization or arrangement, shall have access to the fishery resources to  which those measures apply. 
5. Where there is no subregional or regional fisheries management organization or arrangement to establish conservation and man agement measures for a particular straddling fish 
stock or highly migratory fish stock, relevant coastal States and States fishing on the high seas for such stock in the subregi on or region shall cooper ate to establish such an 
organization or enter into other appropriate arrangements to ensu re conservation and management of such stock and shall partici pate in the work of the organization or arrangement. 
6. Any State intending to propose that action be taken by an intergovernmental organization having competence with respect to l iving resources should, where such action would 
have a significant effect on conservation and management measures already established by a competent subregional or regional fi sheries management organization or arrangement, 
consult through that organization or arrangement with its member s or participants.  To the extent practicable, such consultatio n should take place prior to the submission of the 
proposal to the intergovernmental organization". 
  
 WT/CTE/W/160/Rev.3
TN/TE/S/5/Rev.1
Page 125Article 17 – Non-members of organization s and non-participants in arrangements 
"1. A State which is not a member of a subregional or regional fi sheries management organization or is not a participant in a s ubregional or regional fisheries management 
arrangement, and which does not otherwise agree to apply the cons ervation and management measures established by such organizat ion or arrangement, is not discharged from the 
obligation to cooperate, in accordance with the Convention and th is Agreement, in the conservation and management of the releva nt straddling fish stocks and highly migratory fish 
stocks. 
2. Such State shall not authorize vessels flying its flag to engage in fishing operations for the straddling fish stocks or hig hly migratory fish stocks which are subject to the 
conservation and management measures established by such organization or arrangement. 
3. States which are members of a subregional or regional fisheries management organization or participants in a subregional or regional fisheries management arrangement shall, 
individually or jointly, request the fishing entities referred to in  article 1, paragraph 3, which have fishing vessels in the relevant area to cooperate fully with such organization or 
arrangement in implementing the conservation and management measures it has established, with a view to having such measures ap plied de facto as extensively as possible to 
fishing activities in the relevant area.  Such fishing entities sh all enjoy benefits from participation in the fishery commensu rate with their commitment to comply with conservation 
and management measures in respect of the stocks. 
4. States which are members of such organization or participants in such arrangement shall exchange information with respect to  the activities of fishing vessels flying the flags of 
States which are neither members of the organization nor participants in the arrangement and which are engaged in fishing opera tions for the relevant stocks.  They shall take 
measures consistent with this Agreement and international law to deter activities of such vessels which undermine the effective ness of subregional or regional conservation and 
management measures". 
Æ The Agreement provides, as a general rule, that a State which is not a member of a RF MO or is not a participant in a subregion al or regional fisheries management arrangement, 
shall not authorize a vessel flying its flag to engage in fishing operations for the straddling fish stocks and highly migrator y fish stocks, which are subject to the conservation and 
management measures of such organization or arrangement.  It th erefore requests member States of  RFMOs and arrangements to dete r the activities of vessels of non-member 
States or non-participants in their regulatory areas, which undermine conservation and management measures.   
Article 33 – Non-parties to this Agreement 
"1. States Parties shall encourage non-parties to this Agreement to become parties thereto and to adopt laws and regulations co nsistent with its provisions. 
2. States Parties shall take measures consistent with this Ag reement and international law to deter the activities of vessels f lying the flag of non-parties which undermine the 
effective implementation of this Agreement". 
13. Rotterdam Convention 
Article 10:9(a) – Obligations in relation to  imports of chemicals listed in Annex III 
"9. A Party that, pursuant to paragraphs 2 and 4 above and paragraph 2 of Article 11, takes a decision not to consent to import  of a chemical or to consent to its import only under 
specified conditions shall, if it has not already done so, simultaneously prohibit or make subject to the same conditions:  
(a) Import of the chemical from any source ...". 
14. Stockholm Convention 
Article 3:2(b) – Measures to reduce or eliminat e releases from intentional production and use 
"2. Each Party shall take measures to ensure: ... 
(b) That a chemical listed in Annex A for which any production or  use specific exemption is in effect or a chemical listed in A nnex B for which any production or use specific 
exemption or acceptable purpose is in eff ect, taking into account any relevant provi sions in existing inte rnational prior infor med consent instruments, is exported only: 
(i) For the purpose of environmentally sound disposal as set forth in paragraph 1 (d) of Article 6; 
(ii) To a Party which is permitted to use that chemical under Annex A or Annex B;  or  (iii) To a State not Party to this Convention which has provided an annual certification to the exporting Party.  Such certific ation shall specify the inte nded use of the chemical 
and include a statement th at, with respect to that chemical , the importing State is committed to:  
 WT/CTE/W/160/Rev.3 
TN/TE/S/5/Rev.1 Page 126 a. Protect human health and the environment by taking the necessary measures to minimize or prevent releases; 
b. Comply with the provisions of paragraph 1 of Article 6;  and 
c. Comply, where appropriate, with the provisions of paragraph 2 of Part II of Annex B. 
The certification shall also include any appropriate supporting documentation, such as legislation, regulatory instruments, or administrative or policy guidelines.  The exporting 
Party shall transmit the certifica tion to the Secretariat within sixty days of receipt ...". 
  
 WT/CTE/W/160/Rev.3
TN/TE/S/5/Rev.1
Page 127ANNEX 1 – MEMBERSHIP IN WTO AND MEAS – COMPARATIVE TABLE  
 
 
Parties 
IPPC, 1979  
IPPC, 1997  
ICCAT  
CITES  
CITES, Bonn 
Amendment  
CITES, Gaborone 
Amendment  
CCAMLR  
Vienna 
Convention  
Montreal Protocol 
(MP) 
MP - London 
Amendment  
MP - Copenhagen 
Amendment  
MP - Montreal 
Amendment  
MP - Beijing 
Amendment 
Basel Convention 
Basel Convention 
Ban Amendment 
Basel Convention 
Protocol on Liability 
CBD 
Biosafety Protocol 
UNFCCC 
Kyoto Protocol 
ITTA 
UN Fish Stocks 
Agreement 
Rotterdam 
Convention 
Stockholm 
Convention 
WTO Members  
Albania 1 1   1 1     1 1         1     1   1         1 
Angola     1         1 1               1   1           
Antigua and 
Barbuda       1 1 1   1 1 1 1 1   1     1 1 1 1       1 
Argentina 1 1   1 1 1 1 1 1 1 1 1   1     1   1 1     1 1 
Armenia               1 1 1 1     1     1 1 1 1     1 1 
Australia 1 1   1 1 1 1 1 1 1 1 1   1     1   1   1 1 1 1 
Austria 1     1 1 1   1 1 1 1 1 1 1 1   1 1 1 1 1 1 1 1 
Bahrain 1             1 1 1 1 1   1     1   1           
Bangladesh 1 1   1       1 1 1 1 1   1     1 1 1 1         
Barbados 1 1 1 1 1 1   1 1 1 1 1 1 1     1 1 1 1   1   1 
Belgium 1     1 1 1 1 1 1 1 1     1 1   1 1 1 1 1 1 1   
Belize 1     1 1 1   1 1 1 1     1     1 1 1 1         
Benin       1       1 1 1 1     1     1   1 1     1 1 
Bolivia 1     1   1   1 1 1 1 1   1     1 1 1 1 1   1 1 
Botswana       1 1 1   1 1 1 1     1 1 1 1 1 1 1       1 
Brazil 1   1 1 1 1 1 1 1 1 1 1 1 1     1 1 1 1 1 1 1 1 
Brunei 
Darussalam       1 1 1   1 1         1 1                   
Bulgaria 1     1 1   1 1 1 1 1 1 1 1 1   1 1 1 1     1 1  
 WT/CTE/W/160/Rev.3 
TN/TE/S/5/Rev.1 Page 128 
Parties 
IPPC, 1979  
IPPC, 1997  
ICCAT  
CITES  
CITES, Bonn 
Amendment  
CITES, Gaborone 
Amendment  
CCAMLR  
Vienna 
Convention  
Montreal Protocol 
(MP) 
MP - London 
Amendment  
MP - Copenhagen 
Amendment  
MP - Montreal 
Amendment  
MP - Beijing 
Amendment 
Basel Convention 
Basel Convention 
Ban Amendment 
Basel Convention 
Protocol on Liability 
CBD 
Biosafety Protocol 
UNFCCC 
Kyoto Protocol 
ITTA 
UN Fish Stocks 
Agreement 
Rotterdam 
Convention 
Stockholm 
Convention 
Burkina Faso 1     1 1 1   1 1 1 1 1 1 1     1 1 1       1 1 
Burundi       1 1     1 1 1 1 1 1 1     1   1 1     1   
Cambodia 1     1 1     1 1         1     1 1 1 1 1       
Cameroon       1       1 1 1 1     1     1 1 1 1 1   1   
Canada 1 1 1 1 1 1 1 1 1 1 1 1 1 1     1   1 1 1 1 1 1 
Central 
African 
Republic 1 1   1       1 1               1   1   1       
Chad 1 1   1 1     1 1 1 1 1   1     1   1       1 1 
Chile 1 1   1 1 1 1 1 1 1 1 1 1 1     1   1 1       1 
China     1 1 1 1   1 1 1 1     1 1   1   1 1 1     1 
Colombia 1     1       1 1 1 1 1   1     1 1 1 1 1       
Congo 1 1   1   1   1 1 1 1 1 1       1   1   1       
Costa Rica 1 1   1       1 1 1 1     1     1   1 1   1     
Côte d'Ivoire 1 1 1 1 1     1 1 1 1     1     1   1   1   1 1 
Croatia 1 1 1 1 1 1   1 1 1 1 1 1 1     1 1 1           
Cuba 1 1   1 1     1 1 1 1     1     1 1 1 1         
Cyprus 1 1   1 1 1   1 1 1 1 1 1 1 1   1 1 1 1   1 1   
Czech 
Republic 1 1   1 1 1   1 1 1 1 1 1 1 1   1 1 1 1     1 1 
Democratic 
Republic of 
the Congo       1       1 1 1 1     1     1   1   1       
Denmark 1 1   1 1 1   1 1 1 1 1 1 1 1   1 1 1 1 1 1 1 1 
Djibouti       1 1     1 1 1 1 1   1     1 1 1 1     1 1 
Dominica       1 1     1 1 1       1     1 1 1         1 
Dominican 1     1       1 1 1 1     1     1   1 1          
 WT/CTE/W/160/Rev.3
TN/TE/S/5/Rev.1
Page 129Parties 
IPPC, 1979  
IPPC, 1997  
ICCAT  
CITES  
CITES, Bonn 
Amendment  
CITES, Gaborone 
Amendment  
CCAMLR  
Vienna 
Convention  
Montreal Protocol 
(MP) 
MP - London 
Amendment  
MP - Copenhagen 
Amendment  
MP - Montreal 
Amendment  
MP - Beijing 
Amendment 
Basel Convention 
Basel Convention 
Ban Amendment 
Basel Convention 
Protocol on Liability 
CBD 
Biosafety Protocol 
UNFCCC 
Kyoto Protocol 
ITTA 
UN Fish Stocks 
Agreement 
Rotterdam 
Convention 
Stockholm 
Convention 
Republic 
Ecuador 1     1 1     1 1 1 1     1 1   1 1 1 1 1   1 1 
Egypt 1     1 1 1   1 1 1 1 1   1 1   1 1 1   1     1 
El Salvador 1     1 1     1 1 1 1 1   1     1 1 1 1     1   
Estonia 1 1   1 1 1   1 1 1 1 1 1 1 1   1 1 1 1         
European 
Communities     1       1 1 1 1 1 1 1 1 1   1 1 1 1 1 1 1 1 
Fiji       1 1 1   1 1 1 1           1 1 1 1 1 1   1 
Finland 1     1 1 1 1 1 1 1 1 1 1 1 1   1 1 1 1 1 1 1 1 
Former 
Yugoslav 
Republic of 
Macedonia 
(FYROM) 1 1   1 1     1 1 1 1 1 1 1 1   1   1 1       1 
France 1   1 1 1 1 1 1 1 1 1 1 1 1 1   1 1 1 1 1 1 1 1 
Gabon     1 1 1     1 1 1 1 1 1       1   1   1   1   
Gambia       1       1 1 1       1 1   1 1 1 1     1   
Georgia       1 1     1 1 1 1 1   1     1   1 1         
Germany 1     1 1 1 1 1 1 1 1 1 1 1 1   1 1 1 1 1 1 1 1 
Ghana 1 1 1 1   1   1 1 1 1     1     1 1 1 1 1   1 1 
Greece 1     1 1 1 1 1 1 1 1     1     1 1 1 1 1 1 1   
Grenada 1     1 1 1   1 1 1 1 1 1       1 1 1 1         
Guatemala 1   1 1       1 1 1 1 1 1 1     1 1 1 1 1       
Guinea 1   1 1       1 1 1       1     1   1 1     1   
Guinea-Bissau       1 1     1 1 1 1 1 1       1   1           
Guyana 1     1 1     1 1 1 1 1   1     1   1 1 1        
 WT/CTE/W/160/Rev.3 
TN/TE/S/5/Rev.1 Page 130 
Parties 
IPPC, 1979  
IPPC, 1997  
ICCAT  
CITES  
CITES, Bonn 
Amendment  
CITES, Gaborone 
Amendment  
CCAMLR  
Vienna 
Convention  
Montreal Protocol 
(MP) 
MP - London 
Amendment  
MP - Copenhagen 
Amendment  
MP - Montreal 
Amendment  
MP - Beijing 
Amendment 
Basel Convention 
Basel Convention 
Ban Amendment 
Basel Convention 
Protocol on Liability 
CBD 
Biosafety Protocol 
UNFCCC 
Kyoto Protocol 
ITTA 
UN Fish Stocks 
Agreement 
Rotterdam 
Convention 
Stockholm 
Convention 
Haiti 1             1 1 1 1 1         1   1           
Honduras 1 1 1 1       1 1 1 1     1     1   1 1 1       
Hong Kong, 
China                                                 
Hungary 1 1   1       1 1 1 1 1 1 1 1   1 1 1 1     1   
Iceland     1 1 1 1   1 1 1 1 1 1 1     1   1 1   1   1 
India 1     1 1 1 1 1 1 1 1 1 1 1     1 1 1 1 1 1     
Indonesia 1     1 1     1 1 1 1     1     1 1 1 1 1       
Ireland 1     1 1 1   1 1 1 1     1     1 1 1 1 1 1     
Israel 1     1       1 1 1 1 1 1 1     1   1 1         
Italy 1     1 1 1 1 1 1 1 1 1 1 1     1 1 1 1 1 1 1   
Jamaica 1     1 1     1 1 1 1 1 1 1     1   1 1     1   
Japan 1   1 1 1   1 1 1 1 1 1 1 1     1 1 1 1 1   1 1 
Jordan 1 1   1 1     1 1 1 1 1 1 1 1   1 1 1 1     1 1 
Kenya 1 1   1 1 1   1 1 1 1 1   1     1 1 1     1   1 
Korea, 
Republic of 1 1 1 1 1 1 1 1 1 1 1 1 1 1     1   1 1 1   1   
Kuwait       1 1     1 1 1 1 1   1     1   1           
Kyrgyz 
Republic 1 1           1 1 1 1 1   1     1   1 1     1   
Latvia 1 1   1 1     1 1 1 1 1 1 1 1   1 1 1 1     1 1 
Lesotho       1 1     1 1         1     1 1 1 1       1 
Liechtenstein       1 1 1   1 1 1 1 1 1 1 1   1   1 1     1 1 
Lithuania 1 1   1 1 1   1 1 1 1 1 1 1 1   1 1 1 1     1   
Luxembourg 1     1 1 1   1 1 1 1 1 1 1 1   1 1 1 1 1 1 1 1 
Macao, China                                                  
 WT/CTE/W/160/Rev.3
TN/TE/S/5/Rev.1
Page 131Parties 
IPPC, 1979  
IPPC, 1997  
ICCAT  
CITES  
CITES, Bonn 
Amendment  
CITES, Gaborone 
Amendment  
CCAMLR  
Vienna 
Convention  
Montreal Protocol 
(MP) 
MP - London 
Amendment  
MP - Copenhagen 
Amendment  
MP - Montreal 
Amendment  
MP - Beijing 
Amendment 
Basel Convention 
Basel Convention 
Ban Amendment 
Basel Convention 
Protocol on Liability 
CBD 
Biosafety Protocol 
UNFCCC 
Kyoto Protocol 
ITTA 
UN Fish Stocks 
Agreement 
Rotterdam 
Convention 
Stockholm 
Convention 
Madagascar       1 1     1 1 1 1 1 1 1     1 1 1 1     1   
Malawi 1 1   1   1   1 1 1 1     1     1   1 1         
Malaysia 1     1       1 1 1 1 1 1 1 1   1 1 1 1 1   1   
Maldives               1 1 1 1 1 1 1     1 1 1 1   1     
Mali 1     1 1 1   1 1 1 1 1 1 1     1 1 1 1     1 1 
Malta 1     1 1     1 1 1 1 1 1 1     1   1 1   1     
Mauritania 1 1   1 1     1 1         1     1   1           
Mauritius 1 1   1 1 1 1 1 1 1 1 1 1 1 1   1 1 1 1   1   1 
Mexico 1 1 1 1 1     1 1 1 1     1     1 1 1 1 1     1 
Moldova 1 1   1 1     1 1 1 1     1     1 1 1 1       1 
Mongolia       1 1     1 1 1 1 1   1     1 1 1 1     1 1 
Morocco 1 1 1 1 1 1   1 1 1 1     1 1   1   1 1       1 
Mozambique       1       1 1 1 1     1     1 1 1           
Myanmar       1 1     1 1 1             1   1 1 1     1 
Namibia     1 1 1   1 1 1 1 1     1     1   1 1   1     
Nepal       1 1     1 1 1       1     1   1   1       
Netherlands 1 1   1 1 1 1 1 1 1 1 1 1 1 1   1 1 1 1 1 1 1 1 
New Zealand 1 1   1 1 1 1 1 1 1 1 1 1 1     1   1 1 1 1 1 1 
Nicaragua 1 1 1 1       1 1 1 1     1     1 1 1 1         
Niger 1 1   1 1 1   1 1 1 1 1   1     1 1 1 1         
Nigeria 1 1   1 1     1 1 1 1 1 1 1 1   1 1 1 1 1   1 1 
Norway 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1   1 1 1 1 1 1 1 1 
Oman 1 1           1 1 1 1     1 1   1 1 1       1   
Pakistan 1 1   1 1     1 1 1 1     1     1   1           
Panama 1   1 1 1     1 1 1 1 1 1 1 1   1 1 1 1 1   1 1  
 WT/CTE/W/160/Rev.3 
TN/TE/S/5/Rev.1 Page 132 
Parties 
IPPC, 1979  
IPPC, 1997  
ICCAT  
CITES  
CITES, Bonn 
Amendment  
CITES, Gaborone 
Amendment  
CCAMLR  
Vienna 
Convention  
Montreal Protocol 
(MP) 
MP - London 
Amendment  
MP - Copenhagen 
Amendment  
MP - Montreal 
Amendment  
MP - Beijing 
Amendment 
Basel Convention 
Basel Convention 
Ban Amendment 
Basel Convention 
Protocol on Liability 
CBD 
Biosafety Protocol 
UNFCCC 
Kyoto Protocol 
ITTA 
UN Fish Stocks 
Agreement 
Rotterdam 
Convention 
Stockholm 
Convention 
Papua New 
Guinea 1 1   1 1     1 1 1 1     1     1   1 1 1 1   1 
Paraguay 1     1 1 1   1 1 1 1 1   1 1   1 1 1 1     1 1 
Peru 1 1   1 1 1 1 1 1 1 1     1     1 1 1 1 1       
Philippines 1   1 1   1   1 1 1 1     1     1   1 1 1     1 
Poland 1     1 1   1 1 1 1 1 1   1 1   1 1 1 1         
Portugal 1     1   1   1 1 1 1 1   1 1   1 1 1 1 1 1   1 
Qatar       1 1     1 1 1 1     1 1   1   1       1 1 
Romania 1 1   1 1     1 1 1 1 1   1 1   1 1 1 1     1 1 
Rwanda       1 1 1   1 1 1 1 1 1 1     1 1 1 1     1 1 
Saint Kitts 
and Nevis 1     1 1 1   1 1 1 1 1   1     1 1 1         1 
Saint Lucia 1     1 1 1   1 1 1 1 1 1 1 1   1   1 1   1   1 
Saint Vincent 
and the 
Grenadines 1 1   1 1     1 1 1 1     1     1 1 1           
Senegal 1 1   1 1 1   1 1 1 1 1 1 1     1 1 1 1   1 1 1 
Sierra Leone 1 1   1 1     1 1 1 1 1 1       1   1         1 
Singapore       1       1 1 1 1 1   1     1   1           
Slovak 
Republic       1 1 1   1 1 1 1 1 1 1 1   1 1 1 1       1 
Slovenia 1 1   1 1 1   1 1 1 1 1 1 1 1   1 1 1 1     1 1 
Solomon 
Islands 1             1 1 1 1 1         1 1 1 1   1   1 
South Africa 1   1 1 1   1 1 1 1 1 1 1 1     1 1 1 1   1 1 1 
Spain 1 1   1   1 1 1 1 1 1 1 1 1 1   1 1 1 1 1 1 1 1 
Sri Lanka 1     1   1   1 1 1 1 1 1 1 1   1 1 1 1   1      
 WT/CTE/W/160/Rev.3
TN/TE/S/5/Rev.1
Page 133Parties 
IPPC, 1979  
IPPC, 1997  
ICCAT  
CITES  
CITES, Bonn 
Amendment  
CITES, Gaborone 
Amendment  
CCAMLR  
Vienna 
Convention  
Montreal Protocol 
(MP) 
MP - London 
Amendment  
MP - Copenhagen 
Amendment  
MP - Montreal 
Amendment  
MP - Beijing 
Amendment 
Basel Convention 
Basel Convention 
Ban Amendment 
Basel Convention 
Protocol on Liability 
CBD 
Biosafety Protocol 
UNFCCC 
Kyoto Protocol 
ITTA 
UN Fish Stocks 
Agreement 
Rotterdam 
Convention 
Stockholm 
Convention 
Suriname 1     1 1     1 1               1   1   1   1   
Swaziland       1 1     1 1               1   1           
Sweden 1 1   1 1 1 1 1 1 1 1 1 1 1 1   1 1 1 1 1 1 1 1 
Switzerland 1     1 1 1   1 1 1 1 1 1 1 1   1 1 1 1 1   1 1 
Chinese 
Taipei                                                 
Tanzania       1   1   1 1 1 1 1 1 1 1   1 1 1 1     1 1 
Thailand 1     1       1 1 1 1 1   1     1   1 1 1   1 1 
Togo 1     1 1 1   1 1 1 1 1 1 1   1 1 1 1 1 1   1 1 
Trinidad and 
Tobago 1   1 1 1 1   1 1 1 1 1 1 1 1   1 1 1 1 1     1 
Tunisia 1 1 1 1 1     1 1 1 1 1   1 1   1 1 1 1       1 
Turkey 1   1 1 1     1 1 1 1 1 1 1 1   1 1 1           
Uganda       1 1 1   1 1 1 1 1   1     1 1 1 1       1 
United Arab 
Emirates 1     1 1     1 1         1     1   1       1 1 
United 
Kingdom of 
Great Britain 
and Northern 
Ireland 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1   1 1 1 1 1 1 1 1 
United States 
of America 1 1 1 1 1   1 1 1 1 1 1 1           1   1 1     
Uruguay 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1   1   1 1   1 1 1 
Venezuela 1   1 1   1   1 1 1 1 1   1     1 1 1   1       
Zambia 1     1       1 1 1       1     1 1 1           
Zimbabwe       1 1 1   1 1 1 1           1   1            
 WT/CTE/W/160/Rev.3 
TN/TE/S/5/Rev.1 Page 134 
Parties 
IPPC, 1979  
IPPC, 1997  
ICCAT  
CITES  
CITES, Bonn 
Amendment  
CITES, Gaborone 
Amendment  
CCAMLR  
Vienna 
Convention  
Montreal Protocol 
(MP) 
MP - London 
Amendment  
MP - Copenhagen 
Amendment  
MP - Montreal 
Amendment  
MP - Beijing 
Amendment 
Basel Convention 
Basel Convention 
Ban Amendment 
Basel Convention 
Protocol on Liability 
CBD 
Biosafety Protocol 
UNFCCC 
Kyoto Protocol 
ITTA 
UN Fish Stocks 
Agreement 
Rotterdam 
Convention 
Stockholm 
Convention 
Total Number 
of WTO 
Members 
party to the 
MEA 108 55 32 136 106 68 29 145 145 135 129 95 65 130 50 2 143 90 144 108 58 40 68 78 
Non-WTO Members  
Afghanistan       1       1 1 1 1 1 1       1   1           
Algeria 1 1 1 1       1 1 1 1     1     1 1 1           
Andorra                           1 1                   
Azerbaijan 1 1   1 1     1 1 1 1 1   1     1   1 1       1 
Bahamas 1     1       1 1 1 1     1     1 1 1 1   1     
Belarus       1 1     1 1 1       1     1 1 1         1 
Bhutan 1     1 1 1   1 1 1 1 1 1 1     1 1 1 1         
Bosnia and 
Herzegovina 1 1           1 1 1 1 1   1     1   1           
Cape Verde 1 1 1         1 1 1 1 1   1     1   1           
Comoros       1 1     1 1 1 1 1 1 1     1   1           
Cook Islands 1 1           1 1 1 1 1 1 1 1   1   1 1   1 1 1 
Democratic 
People's 
Republic of 
Korea 1 1           1 1 1 1 1 1       1 1 1       1 1 
Equatorial 
Guinea 1   1 1 1     1           1     1   1 1     1   
Eritrea 1 1   1 1 1                     1   1           
Ethiopia 1     1 1     1 1         1 1 1 1 1 1       1 1 
Iran 1     1 1     1 1 1 1 1   1     1 1 1     1 1   
Iraq 1                                                
 WT/CTE/W/160/Rev.3
TN/TE/S/5/Rev.1
Page 135Parties 
IPPC, 1979  
IPPC, 1997  
ICCAT  
CITES  
CITES, Bonn 
Amendment  
CITES, Gaborone 
Amendment  
CCAMLR  
Vienna 
Convention  
Montreal Protocol 
(MP) 
MP - London 
Amendment  
MP - Copenhagen 
Amendment  
MP - Montreal 
Amendment  
MP - Beijing 
Amendment 
Basel Convention 
Basel Convention 
Ban Amendment 
Basel Convention 
Protocol on Liability 
CBD 
Biosafety Protocol 
UNFCCC 
Kyoto Protocol 
ITTA 
UN Fish Stocks 
Agreement 
Rotterdam 
Convention 
Stockholm 
Convention 
Kazakhstan       1 1     1 1 1       1     1   1           
Kiribati               1 1 1 1 1 1 1     1 1 1 1       1 
Lao People's 
Democratic 
Republic 1     1 1     1 1               1 1 1 1         
Lebanon 1 1           1 1 1 1 1   1     1   1         1 
Liberia 1     1       1 1 1 1 1 1 1     1 1 1 1 1   1 1 
Libyan Arab 
Jamahiriya 1   1 1 1     1 1 1 1     1     1   1       1   
Marshall 
Islands               1 1 1 1 1 1 1     1 1 1 1   1 1 1 
Micronesia               1 1 1 1 1 1 1     1   1 1   1     
Monaco       1 1 1   1 1 1 1 1 1 1     1   1     1   1 
Nauru               1 1 1 1 1 1 1     1 1 1 1   1   1 
Niue               1 1 1 1 1 1       1 1 1 1         
Palau       1 1 1   1 1 1 1 1 1       1 1 1 1         
Russian 
Federation 1 1 1 1 1   1 1 1 1       1     1   1 1   1     
Samoa       1 1     1 1 1 1 1 1 1     1 1 1 1   1 1 1 
San Marino                                 1   1           
Sao Tome and 
Principe     1 1 1     1 1 1 1 1 1       1   1           
Saudi Arabia 1 1   1 1     1 1 1 1     1     1   1       1   
Serbia and 
Montenegro 1 1   1 1     1 1         1 1   1   1           
Seychelles 1 1   1 1 1   1 1 1 1 1 1 1     1 1 1 1   1     
Somalia       1       1 1 1 1 1 1                       
Sudan 1     1       1 1 1 1 1 1       1   1 1          
 WT/CTE/W/160/Rev.3 
TN/TE/S/5/Rev.1 Page 136 
Parties 
IPPC, 1979  
IPPC, 1997  
ICCAT  
CITES  
CITES, Bonn 
Amendment  
CITES, Gaborone 
Amendment  
CCAMLR  
Vienna 
Convention  
Montreal Protocol 
(MP) 
MP - London 
Amendment  
MP - Copenhagen 
Amendment  
MP - Montreal 
Amendment  
MP - Beijing 
Amendment 
Basel Convention 
Basel Convention 
Ban Amendment 
Basel Convention 
Protocol on Liability 
CBD 
Biosafety Protocol 
UNFCCC 
Kyoto Protocol 
ITTA 
UN Fish Stocks 
Agreement 
Rotterdam 
Convention 
Stockholm 
Convention 
Syrian Arab 
Republic 1 1   1 1     1 1 1 1 1   1 1 1 1 1 1       1   
Tajikistan               1 1 1             1 1 1           
Tonga               1 1 1 1 1 1       1 1 1     1     
Turkmenistan               1 1 1       1     1   1 1         
Tuvalu               1 1 1 1 1 1       1   1 1       1 
Ukraine       1 1   1 1 1 1 1     1     1 1 1 1   1 1   
Uzbekistan       1 1 1   1 1 1 1     1     1   1 1         
Vanuatu     1 1 1   1 1 1 1 1           1   1 1 1       
Vietnam       1 1     1 1 1 1     1     1 1 1 1       1 
Yemen 1     1 1     1 1 1 1 1   1     1   1 1       1 
Total Number 
of MEA 
Members 132 68 39 167 131 74 32 189 188 175 164 122 85 163 55 4 188 111 189 132 60 52 80 93 
 
 
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