WORLD TRADE  
ORGANIZATION   
WT/CTE/W/160/Rev.5 
TN/TE/S/5/Rev.3 
15 June 2011 
 (11-2929) 
Committee on Trade and Environment 
Committee on Trade and Environment Special Session  
 
 
 
MATRIX ON TRADE-RELATED MEAS URES PURSUANT TO SELECTED 
MULTILATERAL ENVIRONMENTAL AGREEMENTS 
 
Note by the Secretariat1 
 
Revision 
 
 
1. This Matrix provides background information on trade-related measures pursuant to selected 
Multilateral Environmental Agreements (MEAs).2  This revision presents updated information 
(e.g. membership, decisions and ot her major development) on MEAs.3  The Secretariat will continue 
to update this Matrix in the light of further developments. 
2. The Matrix is divided into six Sections and an Annex. 
3. Section I  briefly describes each MEA, providi ng information on the following: 
(a) Web site; 
(b) objective of the MEA; 
(c) date of Signature/Adoption; 
(d) entry into force (Date/Provision); 
(e) number of parties to the MEA; 
(f) number of WTO Members party to the MEA; 
(g) openness of Membership; 
(h) decision-Making Bodies;  and 
(i) provisions relating to Amendments and Protocols. 
4. Section II  contains information on the trade-related measures of each MEA, notably on 
requirements or restrictions on imported or expor ted products.  Information under this section is 
divided, where applicable, into two sub-sections: 
(a) Provisions of the MEA, and 
(b) Decisions of the Decision-Making Bodies. 
                                                      
1 This document has been prepared under the Secret ariat's own responsibility and without prejudice to 
the positions of Members and to their rights and obligations under the WTO. 
2 It has been prepared in consultation with the S ecretariats of the respective MEAs.  However, the 
WTO Secretariat takes full responsibility for any errors or omissions that this document may contain. 
3 Previous versions of this Matrix are contained in documents WT/CTE/W/160 of 19 September 2000, 
WT/CTE/W/160/Rev.1 of 14 June 2001, Rev.2 of 25 April 2003, Rev.3 of 16 February 2005 and Rev.4 of 
14 March 2007. WT/CTE/W/160/Rev.5 
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  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 provides a comparative table of WTO and MEA membership.  WT/CTE/W/160/Rev.5 
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  TABLE OF CONTENTS 
 
GLOSSARY OF TERMS ............................................................................................................. ....... vii 
I.  BRIEF DESCRIPTION OF THE MEAS ............................................................................... 1  
A.  INTERNATIONAL PLANT PROTECTION CONVENTION (IPPC) ...................................................... 1  
B.  INTERNATIONAL CONVENTION FOR THE CONSERVATION OF ATLANTIC TUNAS 
(ICCAT) ....................................................................................................................... ............... 3  
C.  CONVENTION ON INTERNATIONAL TRADE IN ENDANGERED SPECIES OF WILD FAUNA 
AND FLORA (CITES) ................................................................................................................... 5  
D.  CONVENTION ON THE CONSERVATION OF ANTARCTIC MARINE LIVING RESOURCES 
(CCAMLR) ...................................................................................................................... ........... 8 
E.  MONTREAL PROTOCOL ON SUBSTANCES THAT DEPLETE THE OZONE LAYER  ......................... 11  
F.  BASEL CONVENTION ON THE CONTROL OF TRANSBOUNDARY MOVEMENTS OF 
HAZARDOUS WASTES AND THEIR DISPOSAL  ............................................................................ 16  
G.  CONVENTION ON BIOLOGICAL DIVERSITY (CBD) .................................................................... 21  
H.  CARTAGENA PROTOCOL ON BIOSAFETY TO THE CONVENTION ON BIOLOGICAL 
DIVERSITY  .............................................................................................................................. ... 23 
I.  NAGOYA PROTOCOL ON ACCESS TO GENETIC RESOURCES AND THE FAIR AND 
EQUITABLE SHARING OF BENEFITS ARISING FROM THEIR UTILIZATION TO 
THE CONVENTION ON BIOLOGICAL DIVERSITY  ......................................................................... 25  
J.  UNITED NATIONS FRAMEWORK CONVENTION ON CLIMATE CHANGE (UNFCCC) ................. 26  
K.  KYOTO PROTOCOL TO THE UNITED NATIONS FRAMEWORK CONVENTION ON 
CLIMATE CHANGE ..................................................................................................................... 29  
L.  INTERNATIONAL TROPICAL TIMBER AGREEMENT (ITTA) ....................................................... 31  
M.  THE UN FISH STOCKS AGREEMENT  .......................................................................................... 35  
N.  ROTTERDAM CONVENTION ON THE PRIOR INFORMED CONSENT PROCEDURE FOR 
CERTAIN HAZARDOUS CHEMICALS AND PESTICIDES IN INTERNATIONAL TRADE  ................... 37  
O.  STOCKHOLM CONVENTION ON PERSISTENT ORGANIC POLLUTANTS  ....................................... 39  
II.  TRADE-RELATED MEASURES ......................................................................................... 40  
A.  INTERNATIONAL PLANT PROTECTION CONVENTION  ................................................................ 40  
B.  INTERNATIONAL CONVENTION FOR THE CONSERVATION OF ATLANTIC TUNAS  ..................... 44  
C.  CONVENTION ON INTERNATIONAL TRADE IN ENDANGERED SPECIES OF WILD FAUNA 
AND FLORA  .............................................................................................................................. . 49 
D.  CONVENTION ON THE CONSERVATION OF ANTARCTIC MARINE LIVING RESOURCES  ............. 58  
E.  MONTREAL PROTOCOL ON SUBSTANCES THAT DEPLETE THE OZONE LAYER  ......................... 59  
F.  BASEL CONVENTION ON THE CONTROL OF TRANSBOUNDARY MOVEMENTS OF 
HAZARDOUS WASTES AND THEIR DISPOSAL  ............................................................................ 64  
G.  CONVENTION ON BIOLOGICAL DIVERSITY  ............................................................................... 71  
H.  CARTAGENA PROTOCOL ON BIOSAFETY  ................................................................................... 90  WT/CTE/W/160/Rev.5 
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  I.  N
AGOYA PROTOCOL ON ACCESS TO GENETIC RESOURCES AND THE FAIR AND 
EQUITABLE SHARING OF BENEFITS ARISING FROM THEIR UTILIZATION  .............................. 105  
J.  UNITED NATIONS FRAMEWORK CONVENTION ON CLIMATE CHANGE  ................................... 107  
K.  KYOTO PROTOCOL  .................................................................................................................. 107  
L.  INTERNATIONAL TROPICAL TIMBER AGREEMENT  ................................................................. 109  
M.  UN FISH STOCKS AGREEMENT  ................................................................................................ 110  
N.  ROTTERDAM CONVENTION ON THE PRIOR INFORMED CONSENT PROCEDURE FOR 
CERTAIN HAZARDOUS CHEMICALS AND PESTICIDES IN INTERNATIONAL TRADE  ................. 111  
O.  STOCKHOLM CONVENTION ON PERSISTENT ORGANIC POLLUTANTS  ..................................... 116  
III. SUPPORTIVE MEASURES ................................................................................................ 118  
A.  IPPC .......................................................................................................................... .............. 118  
B.  ICCAT ......................................................................................................................... ........... 118  
C.  CITES ......................................................................................................................... ............ 119  
D.  CCAMLR ........................................................................................................................ ........ 120 
E.  MONTREAL PROTOCOL  ........................................................................................................... 121  
F.  BASEL CONVENTION  ............................................................................................................... 121  
G.  CBD ........................................................................................................................... ............. 122  
H.  CARTAGENA PROTOCOL  ......................................................................................................... 122  
I.  NAGOYA PROTOCOL  ............................................................................................................... 124  
J.  UNFCCC ........................................................................................................................ ........ 124 
K.  KYOTO PROTOCOL  .................................................................................................................. 127  
L.  ITTA .......................................................................................................................... ............. 127  
M.  UN FISH STOCKS AGREEMENT  ............................................................................................... 127  
N.  ROTTERDAM CONVENTION  ..................................................................................................... 129  
O.  STOCKHOLM CONVENTION  ..................................................................................................... 130  
IV.  NON-COMPLIANCE MECHANISM ................................................................................ 131  
A.  IPPC .......................................................................................................................... .............. 131  
B.  ICCAT ......................................................................................................................... ........... 131  
C.  CITES ......................................................................................................................... ............ 132  
D.  CCAMLR ........................................................................................................................ ........ 135 
E.  MONTREAL PROTOCOL  ........................................................................................................... 137  
F.  BASEL CONVENTION  ............................................................................................................... 138  
G.  CBD ........................................................................................................................... ............. 138  
H.  CARTAGENA PROTOCOL  ......................................................................................................... 139  
I.  NAGOYA PROTOCOL  ............................................................................................................... 140  
J.  UNFCCC ........................................................................................................................ ........ 140  WT/CTE/W/160/Rev.5 
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  K.  K
YOTO PROTOCOL  .................................................................................................................. 141  
L.  ITTA .......................................................................................................................... ............. 141  
M.  UN FISH STOCKS AGREEMENT  ............................................................................................... 142  
N.  ROTTERDAM CONVENTION  ..................................................................................................... 143  
O.  STOCKHOLM CONVENTION  ..................................................................................................... 143  
V.  DISPUTES ...................................................................................................................... ....... 144 
A.  IPPC .......................................................................................................................... .............. 144  
B.  ICCAT ......................................................................................................................... ........... 145  
C.  CITES ......................................................................................................................... ............ 145  
D.  CCAMLR ........................................................................................................................ ........ 145 
E.  MONTREAL PROTOCOL  ........................................................................................................... 145  
F.  BASEL CONVENTION  ............................................................................................................... 146  
G.  CBD ........................................................................................................................... ............. 146  
H.  CARTAGENA PROTOCOL  ......................................................................................................... 147  
I.  NAGOYA PROTOCOL  ............................................................................................................... 147  
J.  UNFCCC ........................................................................................................................ ........ 147 
K.  KYOTO PROTOCOL  .................................................................................................................. 147  
L.  ITTA .......................................................................................................................... ............. 147  
M.  UN FISH STOCKS AGREEMENT  ............................................................................................... 147  
N.  ROTTERDAM CONVENTION  ..................................................................................................... 149  
O.  STOCKHOLM CONVENTION  ..................................................................................................... 150  
VI.  PROVISIONS FOR NON-PARTIES .................................................................................. 151  
A.  IPPC .......................................................................................................................... .............. 151  
B.  ICCAT ......................................................................................................................... ........... 151  
C.  CITES ......................................................................................................................... ............ 152  
D.  CCAMLR ........................................................................................................................ ........ 153 
E.  MONTREAL PROTOCOL  ........................................................................................................... 155  
F.  BASEL CONVENTION  ............................................................................................................... 155  
G.  CBD ........................................................................................................................... ............. 156  
H.  CARTAGENA PROTOCOL  ......................................................................................................... 156  
I.  NAGOYA PROTOCOL  ............................................................................................................... 156  
J.  UNFCCC ........................................................................................................................ ........ 156 
K.  KYOTO PROTOCOL  .................................................................................................................. 156  
L.  ITTA .......................................................................................................................... ............. 156  
M.  UN FISH STOCKS AGREEMENT  ............................................................................................... 156  WT/CTE/W/160/Rev.5 
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  N.  R
OTTERDAM CONVENTION  ..................................................................................................... 157  
O.  STOCKHOLM CONVENTION  ..................................................................................................... 157  
ANNEX 1 – MEMBERSHIP IN WTO AN D MEAS – COMPARATIVE TABLE ..................... 158  
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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  
CMP The Conference of the Parties (COP) serving as the Meeting of the Parties 
(MOP) 
COP  Conference of the Parties  
CPCs Contracting Parties and Cooperating non-Contracting Parties, Entities or 
Fishing Entities 
EEZ Exclusive Economic Zone  
FAO Food and Agriculture Organization of the United Nations 
GEF  Global Environment Facility  
HBFCs Hydrobromofluorocarbons HCFCs Hydrochlorofluorocarbons 
ICCAT  International Commission for the Conservation of Atlantic Tunas  
ICJ International Court of Justice 
ICPO International Criminal Police Organization 
ICTSD International Centre for Tr ade and Sustainable Development 
IFC International Finance Corporation 
IPPC International Plant Protection Convention 
ITLOS International Tribunal of the Law of the Sea ITTA/ITTO/ITTC  International Tropical Timber Agreement/Organization/Council  
IUCN The World Conservation Union 
IUU Illegal, Unregulated and Unreported IWC International Whaling Commission 
LDCs Least Developed Countries 
LMOs  Living Modified Organisms  WT/CTE/W/160/Rev.5 
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  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 
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 Asp ects of Intellectual Property Rights 
UN United Nations UNCLOS United Nations Convention on the Law of the Sea 
UNCTAD United Nations Conferen ce on Trade and Development 
UNEP United Nations Environment Programme UNEP-ETB UNEP Economics and Trade Branch 
UNESCO United Nations Educational, Sc ientific and Cultural Organization 
UNFCCC  United Nations Framework C onvention on Climate Change  
UNGA General Assembly of the United Nations 
WHO World Health Organization 
WIPO World Intellectual Property Organization 
 
  
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 Page 1I. BRIEF DESCRIPTION OF THE MEAS 
A. INTERNATIONAL PLANT PROTECTION CONVENTION (IPPC) 
1. The first version of the IPPC was adopted in November 1951 and en tered into force in April 1952 (IPPC 1951).  It was revised in  1979 (IPPC 1979), and 
the revised text came into force in April 1991.  The text of the Convention was further amended in 1997 (the New Revised Text o f the IPPC), and the text as 
amended came into force with respect to all contracting parti es, regardless of the date on which they became parties, on 2 Octo ber 2005.     
Web site www.ippc.int 
Objective  The IPPC is an international treaty for plant protection.  Its purpose is to "secure common and effective action to prevent the  spread and introduction of 
pests of plants and plant products, and to promote appropriate measures for their control" (Article I).  
 Although the IPPC has strong implications for international tr ade, 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. 
 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 1997 
Entry into force 2 October 2005 
Parties 177 
WTO Members 143 Parties to IPPC are also WTO Members.  
Openness of 
Membership Article XVII – Ratification and adherence 
"1. This Convention shall be open for signature by all states until 1 May 1952 and shall be ratified at the earliest possible d ate... 
2. As soon as this Convention has come into force in accordan ce with Article XXII it shall be open for adherence by non-signato ry states and member 
organizations of FAO.  Adherence shall be effected by the deposit of an instrument of adherence with the Director-General of FA O, who shall notify all 
contracting parties. 
3. When a member organization of  FAO becomes a contracting party to this Conven tion, the member organization shall, in accordan ce with the 
provisions of Article II paragraph 7 of the FAO Constitution, as  appropriate, notify at the time of its adherence such modifica tions or clarifications to its 
declaration of competence submitted under Ar ticle II paragraph 5 of the FAO Constitution as may be necessary in light of its ac ceptance of this Convention.  
Any contracting party to this Convention may, at any time, request a member organization of FAO that is a contracting party to this Convention to provide 
information as to which, as between the member organization and its member states, is responsibl e for the implementation of any  particular matter covered 
by this Convention.  The member organization shall provide this information within a reasonable time". 
Decision-Making 
Bodies ARTICLE 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 fo r phytosanitary measures if more broadly applicable.  
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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 control the international spread of pests and their introduction into 
endangered areas; 
(b) establish and keep under review the necessary institutional arrangements and procedures for the development and adoption of  international 
standards, and to adopt international standards; 
(c) establish rules and procedures for the resolu tion 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; 
(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 implementation of the Convention as necessary;  and 
(h) perform such other functions as may be necessary to the fulfilment of the objectives of this Convention. 
3. Membership in the Commission shall be open to all contracting parties.… 
5. The contracting parties shall make every effort to reach agr eement on all matters by consensus.   If all efforts to reach con sensus have been exhausted 
and no agreement is reached, the decision shall, as a last resort, be taken by a two-thirds majority of the contracting parties  present and voting. 
6. A member organization of FAO that is a contracting party and the member states of that member organization that are contract ing parties shall exercise 
their membership rights and fulfil their membership obligations in accordance, mutatis mutandis , with the Constitution and General Rules of FAO …".  
 An Interim Commission on Phytosanitary Measures (ICPM) was esta blished with the adoption of the 1997 Amendments.  With the ent ry into force of the 
1997 Amendments in 2005, the Commission on Phytosanitary Measures (CPM) superseded the ICPM.   The first meeting of the CPM was  held in Rome on 
3-7 April 2006.   
 There are two Subsidiary bodies under the CPM: 
- Standards Committee: 25 elected members representing the seven FAO regions whose primary function is to oversee the developme nt of 
International Standards for Phytosanitary Measures ISPMs. 
- Subsidiary Body for Dispute Settlement: seven elected members (one from each FAO region) who oversee the IPPC dispute settlem ent system.  
Amendments and 
Protocols Article XVI – Supplementary agreements 
"1. The contracting parties may, for the purpose of meeting special problems of plant protection which need particular attentio n or action, enter into 
supplementary agreements.  Such agreements may be applicable to specific regions, to  specific pests, to sp ecific plants and pla nt products, to specific 
methods of international transportation of plants and plant products, or otherwise supplement the provisions of this Convention .  
2. Any such supplementary agreem ents shall come into force for each contracting party con cerned after acceptance in accordance with the provisions of 
the supplementary agr eements concerned.  
3. Supplementary agreements shall promote the intent of this Convention and shall conform to the principles and provisions of t his Convention, as well as 
to the principles of transparency, non-discrimination and the avoidance of disguised restrictions, particularly on internationa l trade". 
Article XXI – Amendment 
"1. Any proposal by a contracting party for the amendment of this Convention shall be communicated to the Director-General of F AO. 
2. Any proposed amendment of this  Convention received by the Dir ector-General of FAO from a cont racting party shall be presente d to a regular or 
special session of the Commission for approval and, if the amendment involves important  technical changes or imposes additional  obligations on the 
contracting parties, it shall be considered by an advisory committee of specialists convened by FAO prior to the Commission.   
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 Page 33. Notice of any proposed amendm ent of this Convention, other th an amendments to the Annex, sh all be transmitted to the contrac ting parties by the 
Director-General of FAO not later than the time when the agenda of the session of the Commission at which the matter is to be c onsidered is dispatched. 
4. Any such proposed amendment of this Convention shall require the approval of the Commission and shall come into force as fro m the thirtieth day 
after acceptance by two-thirds of the contra cting parties.  For the purpose of this Article, an instrument deposited by a membe r organization of FAO shall 
not be counted as additional to those deposited by member states of such an organization. 
5. Amendments involving new obligations for contracting parties, however, shall come into force in respect  of each contracting party only on acceptance 
by it and as from the thirtieth day after su ch acceptance.  The instruments of acceptan ce of amendments involving new obligatio ns shall be deposited with 
the Director-General of FA O, who shall inform all contractin g parties of the receipt of accepta nce and the entry into force of amendments. 
6. Proposals for amendments to the model ph ytosanitary certificates set out in the Anne x to this Convention shall be sent to th e Secretary and shall be 
considered for approval by the Commission.  Approved amendments to the model phytosanitary certificates set out in the Annex to  this Convention shall 
become effective ninety days afte r their notification to the contracting parties by the Secretary. 
7. For a period of not more than twelve months from an amendment to the model phytosanitary certificates set out in the Annex t o this Convention 
becoming effective, the previous version of  the phytosanitary certificates shall also be legally valid for the purpose of this Convention." 
B. INTERNATIONAL CONVENTION FOR THE CONSERVATION OF ATLANTIC TUNAS (ICCAT) 
Web site www.iccat.int 
Objective ICCAT is responsible for the conservation of  tunas and tuna-like species in the Atlan tic 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 Ar ticles XIV, XV and XV I):  14 December 1997 
Madrid Protocol (to Article X:2):  10 March 2005    
Parties 48 Parties 
WTO Members 41 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". 
 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." Paragraph 6 furt her provides that, "When an organization referr ed to in paragraph 4 becomes a 
Contracting Party to this Convention, the member states of that  organization and those which adhere to it in the future shall c ease to be parties to the 
Convention."  
Decision-Making 
Bodies  The Convention established the International Commission for the Conservation of Atlantic Tuna s (hereafter the "Commission"). 
 The Commission can, on the basis of scientific evidence and other relevant information, recommend management measures and Resol utions aimed at  
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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 organi zation´s scientific branch, the Standing Committee on Research and Statistics (SCRS) . 
 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.  While Recommendations are applicable to Contracting Parties an d Cooperating non-Contracting Parties, Ent ities or Fishing 
Entities, Contracting Parties have a six-month grace period  in which to present obj ections (Artic le VIII:3). 
Article III:1 
"1. The Contracting Parties hereby agree to establish and maintain  a Commission to be known as the International Commission for  the Conservation of 
Atlantic Tunas, hereinafter referred to as "the Commission," 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; 
(c) may recommend to the Commission studies and investigations n ecessary for obtaining informati on 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 amendmen t to all the Contracting 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 one  or more Contracting Par ties to involve new 
obligations shall be deemed to involve new obligations and shall take effect accordingly.  A government which becomes a Contrac ting Party after an 
amendment to this Convention has been opened for acceptance pursuant  to the provisions of this Ar ticle shall be bound by the Co nvention as amended 
when the said amendment comes into force".   
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 Page 5C. CONVENTION ON INTERNATIONAL TRADE IN ENDANGERED SPECIES OF WILD FAUNA AND FLORA (CITES) 
Web site www.cites.org 
Objective  CITES is an international treaty to regulate international trad e in wildlife (animals, plants and their derivatives) for conser vation and sustainable use 
purposes.  The Convention is primarily about species that are in the international markets which are not yet threatened with ex tinction but could become so 
without trade regulation (97% of the total). It also prohibits international commercial trade in wild specimens of the small nu mber of species listed as 
already being threatended with extinction (3 % of the total). It provides a framework for legal, sustainable and traceable wildl ife trade based on best 
scientific information available, and analyses how different types of trade regulations can affect specific populations.  
 CITES trade-related measures seek to ensure  that trade is not detrimental to the surv ival of wildlife speci es and traded specim ens are not obtained in 
contravention of national laws for the protection of fauna and flora.  It also requires that any living specimen be so prepared  and shipped as to minimize the 
risk of injury, damage to health or cruel treatment (e.g. in acc ordance with the Live Animal Regulations and Perishable Cargo R egulations of the 
International Air Transport Association). 
Date of Signature Convention: 3 March 1973 
Bonn Amendment (on Aricle XI): 22 June 1979 
Gaborone Amendment (on Aricle XXI): 30 April 1983 
Entry into force Convention: 1 July 1975 
Bonn Amendment (on Aricle XI): 13 April 1987 
Gaborone Amendment (on Article XXI): has not entered into force as of 18 November 2010 
Parties Convention (1973):  175 Parties 
Bonn Amendment (1979):  141 Parties 
Gaborone Amendment (1983):  87 Parties 
WTO Members Convention (1973):  144 Parties to  CITES are also WTO Members. 
Bonn Amendment (1979):  115 Parties to this Amendment are also WTO Members. 
Gaborone Amendment (1983):  78 Parties to this Amendment 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". 
 The Gaborone Amendment, when it enters into force, will open the membership to regional economic integration organizations :  " This Convention shall 
be open for accession by regional economic integration organizatio ns constituted by sovereign States which have competence in r espect of the negotiation, 
conclusion and implementation of international agreements in matte rs transferred to them by their Member States and covered by this Convention... In the 
fields of their competence, regional economic  integration organizations shall exercise their right to vote with a number of vot es equal to the number of their 
Member States which are Parties to the Conv ention. Such organizations shall not exerci se their right. to vote if their Member S tates exercise theirs, and vice 
versa."  
Decision-Making 
Bodies Article XI:3 – Conference of the Parties  
"3. At meetings, whether regular or extrao rdinary, the Parties shall review the implementation of the present Convention and ma y:   
(a) make such provision as may be necessary  to enable the Secretariat to carry out its duties, and adopt financial provisions;   
(b) consider and adopt amendments to Appendices  I and II in accordance with Article XV;   
(c) review the progress made towards the restoration and 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   
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(e) where appropriate, make recommendations for impr oving the effectiveness of  the present Convention". 
Resolution Conf. 11.1 (Rev. CoP15) – Establishment of Committees 
"[The CoP to the Convention] … Resolves that: 
(a) there shall be a permanent Standing Committee of the [CoP], which shall be the senior Committee, and shall report to the [C oP]; 
(b) there shall be an Animals Committee and a Plants Committee, whic h shall report to the [CoP] at its meetings and, if so requ ested, to the Standing 
Committee between meetings of the [CoP]; 
(c) the [CoP] may appoint additional committees as the need arises; 
(d) the [CoP] or the Standing Committee may appoint working groups  with specific terms of reference as required to address spec ific problems.  These 
working groups shall have a defined life sp an which shall not ex ceed the period until the next meet ing of the [CoP], at which t ime it may be renewed if 
necessary.  They shall report to the [CoP] and, if so requested, to the Standing Committee; …" 
Amendments and 
Protocols Article XV – Amendments to Appendices I and II  
"1. The following provisions shall apply in relation to amendm ents to Appendices I and II at meetings of the [CoP]:   
(a) Any Party may propose an amendment to Appendix I or II for consideration at the next meeting.  The text of the proposed ame ndment shall be 
communicated to the Secretariat at least 15 0 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 Parties present and voting.  For these purposes "Parties present an d voting" means 
Parties present and casting an affirmative or negative vote.  Pa rties 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 amendmen ts to Appendices I and II between meetings of the [CoP]:   
(a) Any Party may propose an amendment to Appendix I or II for co nsideration between meetings by the postal procedures set fort h in this paragraph. 
… 
(f) If no objection to the proposed amendm ent is received by the Secretariat within 30 days of the date the replies and recomme ndations were 
communicated under the provisions of sub-paragraph (e) of this paragraph, the amendment shall enter into force 90 days later fo r all Parties except 
those which make a reservation in accordance with paragraph 3 of this Article. 
(g) If an objection by any Party is received by the Secretariat,  the proposed amendment shall be submitted to a postal vote in accordance with the 
provisions of sub-paragraphs (h) , (i) and (j) of this paragraph... 
(j) Provided that votes are received from one -half of the Parties, the amendment shall be  adopted by a two-thirds majority of P arties casting an 
affirmative or negative vote... 
(l) If the proposed amendment is adopted it shall enter into force 90 days after the date of the notification by the Secretaria t of its acceptance for all 
Parties except those which make a reservation in accordance with paragraph 3 of this Article.  
3. During the period of 90 days provided for by sub-paragraph (c) of paragraph 1 or sub-paragraph (l) of paragraph 2 of this Ar ticle any Party may by 
notification in writing to the Depositary Government make a rese rvation with respect to the amendment.  Until such reservation is withdrawn the Party shall 
be treated as a State not a Party to the present Conven tion with respect to trade in the species concerned".  
Article XVI – Appendix III and Amendments thereto  
1. Any Party may at any time submit to th e Secretariat a list of speci es which it identifies as being subject to regulation wit hin its jurisdiction for the 
purpose mentioned in paragraph 3 of Article II. Appendix III sh all include the names of the Parties submitting the species for inclusion therein, the scientific  
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purposes of sub-paragraph (b) of Article I. 
2. Each list submitted under the provisions of paragraph 1 of th is Article shall be communicated to the Parties by the Secretar iat as soon as possible after 
receiving it. The list shall take effect as part of Appendix III 90 days after the date of such  communication. At any time afte r the communication of such list, 
any Party may by notification in writing to the Depositary Govern ment enter a reservation with re spect to any species or any pa rts or derivatives, and until 
such reservation is withdrawn, the State sh all be treated as a State not a Party to the present Convention with respect to trad e in the species or part or 
derivative concerned. 
3. A Party which has submitted a species for inclusion in Appendix III may withdraw it at any time by notification to the Secre tariat which shall 
communicate the withdrawal to  all Parties. The withdrawal sha ll take effect 30 days after the date of such communication... 
Article XVII – Amendment of the  
"1. An extraordinary meeting of the [CoP] shall be convened by  the Secretariat on the written request of at least one-third of the Parties to consider and 
adopt amendments to the present Convention.  Such amendments shall be adopted by a two-thirds majority of Parties present and v oting.  For these 
purposes "Parties present and voting" means Parties present and casting an affirmative or negative vote.  Parties abstaining fr om voting shall not be counted 
among the two-thirds required for adopting an amendment. 
2. The text of any proposed amendment shall be communicated by th e Secretariat to all Parties at least 90 days before the meeti ng. 
3. An amendment shall enter into force fo r the Parties which have accepted it 60 days after two-thirds of the Parties have depo sited an instrument of 
acceptance of the amendment with the Depositary Government.  Thereafter, the amendment shall en ter into force for any other Par ty 60 days after that Party 
deposits its instrument of acceptance of the amendment".  
 Resolution Conf. 4.27 on the Interpretation of Article XVII, paragraph 3, of the Convention provides that "the meaning of Article XVII, 
paragraph 3, of the Convention be 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".  
Amendments 
adopted Bonn amendment – 22 June 1979 
 On 22 June 1979, the CoP to CITES adopted an amendment to Article XI, paragraph 3 a), consisting of inserting the words ", and  adopt financial 
provisions" at the end of the provision. 
 In accordance with Article XVII, paragraph 3, the Bonn amendment entered into force 60 days after 34 of the 50 States (two-thi rds) that were parties to 
CITES on 22 June 1979 deposited their instruments of acceptance, i.e. on 13 April 1987.  At that time it entered into force onl y 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 Conventi on now applies 
automatically to any State that b ecomes a Party after the date of en try into force of the amendment. 
Gaborone amendment– 30 Ap ril 1983 (not yet in force) 
 On 30 April 1983, th e CoP to CITES adopted in Gaborone, Botswana, an ame ndment to Article XXI of the Convention to permit acce ssion by regional 
economic integration organizations and especially to allow the EC to become a CITES party. 
 In accordance with Article XVII, paragraph 3, the Gaborone amendment shall enter into force 60 days after 54 of the 80 States that were party to CITES 
on 30 April 1983 have deposited their inst ruments 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.  For States that became party to the Convention before that date and ha ve not accepted the amendment, it will enter into force 60 days after 
they do accept it. 
  
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D. CONVENTION ON THE CONSERVATION OF ANTARCTIC MARINE LIVING RESOURCES (CCAMLR) 
1. The CCAMLR is part of the Antarctic Treaty System, a set of ar rangements made for the purpose of coordinating relations among s tates with respect to 
Antarctica.  The Antarctic Treaty came into force on 23 June 1 961, and it remains in force indefinitely.  The success of the tr eaty has been the growth in 
membership.  Forty-eight countries, comprising 80% of the world' s population, have acceded to it.  Consultative (voting) status  is open to all countries who have 
demonstrated their commitment to the Antarctic by conducting signi ficant research.  Twenty-seven nations have Consultative stat us.  The Treaty parties meet 
every year.  They have adopted over 200 recommendations and nego tiated five separate international agreements.  These, together  with the original Treaty, 
provide the rules which govern activities in Antarctica.  Collectively, they are known as the Antarctic Treaty System (ATS).  T he five international Agreements 
are:   
 Agreed Measures for the Conservation of Antarctic Fauna and Flora (1964)  
 Convention for the Conservation of Antarctic Seals (1972)  
 Convention on the Conservation of Anta rctic Marine Living Resources (1980)  
 Convention on the Regulation of Antarctic Mineral Resource Activities (1988)  
 Protocol on Environmental Protection to the Antarctic Treaty (1991) 
2. The Preamble to CCAMLR recognises "the prime responsibility of th e Antarctic Treaty Consultative Parties for the protection and  preservation of the 
Antarctic environment and, in particular, their responsibilities under Article IX, paragraph 1(f) of the Antarctic Treaty in re spect of the preservation and 
conservation of living resources in Antarctica". 
Web site www.ccamlr.org 
Objective  The Convention is based on an ecosystem-wide approach to the conservation 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. 
 The Convention's Commission is responsible for the conservation of marine living resources in the Convention Area (waters south  of about 60°S), which 
include all species of fish, molluscs, crustaceans and other marine  organisms as well as marine birds.  Rational use of resourc es is considered a part of their 
conservation.  Although management of seals and whales is under the jurisdiction of the Convention for the Conservation of Anta rctic Seals (CCAS) and 
the International Whaling Commission (IWC), CCAMLR takes into accou nt, in elaborating its conservation strategy, the status of these animals as an 
integral part of the Antarctic marine ecosystem. 
Date of Signature 20 May 1980 
Entry into force 7 April 1982 
Parties 34 Parties 
 States that have ratified the Convention, but are not Commission members:  Bulgaria, Canada , Cook Islands, Finland, Greece, Mau ritius, Netherlands, 
Peru and Vanuatu. 
WTO Members 31 Parties to CCAMLR are also WTO Members.  
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 Page 9Openness of 
Membership Article XXIX 
"1. This Convention shall be open for accession  by any State interested in research or harvesting activities in relation to the  marine living resources to 
which this Convention applies. 
2. This Convention shall be open for accessi on by regional economic inte gration organisations constitu ted by sovereign States w hich include among their 
members one or more States Members of the Commission and to which the States members of the organisation have transferred, in w hole or in part, 
competences with regard to the matters cove red by this Convention.  Th e accession of such regional economic integration organis ations shall be the subject 
of consultations among Members of the Commission". 
Decision-Making 
Bodies  The main decision-making body is the Commission for the CCAMLR.  The Commission has two standing committees:  The Standing Com mittee on 
Administration and Finance (SCAF) and the Standing Committee on Implementation and Comp liance (SCIC).  All decisions on matters  of substance are 
taken by consensus.  The institutional features of the Conventi on comprise, in addition to the Commission, a Scientific Committ ee for the Conservation of 
Antarctic Marine Living Resources (SC-CAMLR) and a permanent Se cretariat, based in Hobart, Australia.  The Scientific Committee  has two permanent 
working groups, the Working Group on Ecosystem Monitoring and Management (WG-EMM), the Working Group on Fish Stock Assessment ( WG-FSA) 
and the Working Group on Assessment Methods (WG-SAM).  The Ad Hoc Working Group on Incidental Mortality Associated with Fisheri es (WG-IMAF) 
carries out its activities as part of WG-FSA.  
(1) Commission for the Conservation of  Antarctic Marine Living Resources  
Article VII 
"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 th e objective and principles set out  in Article II of this Conven tion.  To this end, it shall: … 
(e) identify conservation needs and analyse th e effectiveness of conservation measures; 
(f) formulate, adopt and revise conservation measures on the basis of the best scientific evidence available, subject to the pr ovisions of paragraph 5 of 
this Article; 
(g) implement the system of observation and inspection established under Article XXIV of this Convention; 
(h) carry out such other activities as are necessary to fulfil the objective of th is 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;  
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 (i) the taking of such other conservation measures as the Commission considers necessa ry for the fulfilment of the objective of  this Convention, 
including measures concerning the effects of harvesting and associated activities on co mponents of the marine  ecosystem other t han the harvested 
populations. 
3. The Commission shall publish and maintain a re cord of all conservatio n measures in force. 
4. In exercising its functions under pa ragraph 1 above, the Commission shall take full account of the reco mmendations and advic e of the Scientific 
Committee. 
 5. The Commission shall take full account of any relevant measures or regulations es tablished or recommended by the Consultativ e Meetings pursuant to 
Article IX of the Antarctic Treaty or by existing fisheries commi ssions responsible for species wh ich 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 following  the notification specified in sub-paragraph (a), notifies the C ommission that it is 
unable to accept the conservation measure, in  whole or in part, the measure shall not, to the extent stated , be binding upon th at Member of the 
Commission; 
(d) in the event that any Member of the Commission invokes the procedure set forth in sub-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. 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. The Contracting Parties hereby establis h the Scientific Committee for the Conservation of Antarctic Marine Living Resources  (hereinafter referred to 
as ‘the Scientific Committee’) which shall be a consultative body to the Commission …".  
Article XV 
"1. The Scientific Committee shall provide a forum for consultation and co-operation concerning the collection, study and 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 …".   
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 Page 11Amendments and 
Protocols Article XXX 
"1. This Convention may be amended at any time. 
2. If one-third of the Members of the Commi ssion request a meeting to discuss a propos ed amendment the Depositary shall call su ch a meeting. 
3. An amendment shall enter into force wh en the Depositary has received instruments of ratification, accepta nce or approval the reof from all the 
Members of the Commission. 
4. Such amendment shall thereafter enter into force as to any other Contracting Pa rty when notice of ra tification, acceptance o r approval by it has been 
received by the Depositary.  Any such Contracting Party from whic h 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".  
E. MONTREAL PROTOCOL ON SUBSTANCES THAT DEPLETE THE OZONE LAYER  
1. The Vienna Convention for the Protection of the Ozone Layer is a framework convention.  It did not itself establish controls on  ozone-depleting 
substances but rather, it established the procedural rules for futu re protocols to be developed under the framework of the  Con vention.  The Montreal Protocol on 
Substances that Deplete the Ozone Layer was adopted in 1987 and has been amended four times:  London Amendment (1990), Copenhag en Amendment (1992), 
Montreal Amendment (1997) and Beijing Amendment (1999).  Its cont rol provisions were strengthened through five adjustments to t he Protocol adopted in 
London (1990), Copenhagen (1992), Vienna ( 1995), Montreal (1997) and Beijing (1999). 
 Vienna Convention for the 
Protection of the Ozone Layer Montreal Protocol on Substances 
that Deplete the Ozone Layer London 
Amendment Copenhagen 
Amendment Montreal 
Amendment Beijing 
Amendment 
Date of Signature 22 March 1985 16 September 1987 29 June 1990 25 November 1992 17 September 1997 3 December 1999 
Entry into force 22 September 1988 1 January 1989 10 August 1992 14 June 1994 10 November 1999 25 February 2002 
Parties 196 196 195 192 182 166 
WTO Members 150 WTO Members 150 WTO Members 148 WTO  
Members 147 WTO  
Members 139 WTO 
Members  127 WTO 
Members 
  
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 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://ozone.unep.org/ 
Objective  Under the Vienna Convention, governments agreed to take appropriate 
measures to protect human health and the environment against adverse 
effects resulting or likely to result from human activities which modify or are 
likely to modify the ozone layer, and committed themselves to protect the 
ozone layer and to co-operate with each  other in scientific research and 
information exchange to improve understanding of atmospheric processes 
and technical and economic aspects.    The Montreal Protocol develops a regime that limits the release of ozone-
depleting substances (ODS) into the atmosphere. 
Entry into force 
(provision) Article 17:  Entry into force 
"1. This Convention shall enter into force on the ninetieth day after the 
date of deposit of the twentieth in strument of ratification, acceptance, 
approval or accession. 
2. Any protocol, except as otherwise provided in such protocol, shall enter 
into force on the ninetieth day after the date of deposit of the eleventh 
instrument of ratification, acceptance or approval of such protocol or 
accession thereto. 
3. For each Party which ratifies, accepts  or approves this Convention or 
accedes thereto after the deposit of the twentieth instrument  of ratification, 
acceptance, approval or accession, it sha ll enter into force on the ninetieth 
day after the date of deposit by such Pa rty of its instrument of ratification, 
acceptance, approval or accession. 
4. Any protocol, except as otherwise provided in such protocol, shall enter 
into force for a party that ratifies, accepts or approves th at 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".  Article 16 – Entry into force  
"1. This Protocol shall enter into force on 1 January 1989, provided that at 
least eleven instruments of ratificati on, 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 
paragraph 1 of Article 17 of the Convention have been fulfilled.  In the event 
that these conditions have not been fulfilled by that date, the Protocol shall 
enter into force on the ninetieth day following the date on which the 
conditions have been fulfilled. … 
3. After the entry into force of this Protocol, any State or regional 
economic integration organization shall become a Party to it on the ninetieth 
day following the date of deposit of its instrument of ratification, acceptance, 
approval or accession". 
Article 17 – Parties joining after entry into force 
"Subject to Article 5, any State or regional economic integration organization 
which becomes a Party to this Protocol after the date of its entry into force, 
shall fulfil forthwith the sum of the obligations under Article 2, as well as 
under Articles 2A to 2I and Article 4, that apply at that date to the States and 
regional economic integration organiza tions that became Parties on the date 
the Protocol entered into force".   
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either adjusted and/or amended in London -1990, Copenhagen -1992, 
Vienna- 1995, Montreal -1997, and Beijing -1999 
Openness of 
Membership Article 12 – Signature 
"This Convention shall be open for signature by States and by regional 
economic integration organizations..." 
Article 13 – Ratification, acceptance or approval 
"1. This Convention and any protocol shall be subject to ratification, 
acceptance or approval by States an d by regional economic integration 
organizations... 
2. Any organization referred to in paragraph 1 above which becomes a 
Party to this Convention or any protoc ol without any of its member States 
being a Party shall be bound by all the obligations under the Convention or 
the protocol, as the case may be. In the case of such organizations, one or 
more of whose member State is a Party to the Convention or relevant 
protocol, the organization and its member States shall decide on their 
respective responsibilities for the performance of their obligation under the 
Convention or protocol, as the case may be.  In such cases, the organization 
and the member States shall not be entitled to exercise rights under the 
Convention or relevant protocol concurrently...". 
Article 14 – Accession 
"1. This Convention and any protocol shall be open for accession by States 
and 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 Amend ment (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." 
Beijing Amendment (1999):   
Article 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  – Conference of the Parties 
"...4. The [COP] shall keep under continuous review the implementation of 
this Convention, and, in addition, shall: … 
(c) Promote, in accordance with article 2, the harmonization of 
appropriate policies, strategies and measures for minimizing the release 
of substances causing or likely to  cause modification of the ozone 
layer, and make recommendations on any other measures relating to 
this Convention; 
(d) Adopt, in accordance with ar ticles 3 and 4, programmes for 
research, systematic observations, scientific and technological co-
operation, the exchange of informati on and the transfer of technology 
and knowledge;  Article 11 – Meetings of the Parties 
"...4. The functions of the meetings of the Parties shall be to: 
(a) review the implementation of this Protocol; 
(b) decide on any adjustments or reductions referred to in paragraph 9 
of Article 2; 
(c) decide on any addition to, insertion in or removal from any annex of 
substances and on related cont rol measures in accordance with 
paragraph 10 of Article 2; 
(d) establish, where necessary, 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;  
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 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 
(e) Consider and adopt, as required,  in accordance with articles 9 and 
10, amendments to this Convention and its annexes; 
(f) Consider amendments to any protocol, as well as to any annexes 
thereto, and, if so decided, reco mmend their adoption to the parties to 
the protocol concerned; 
(g) Consider and adopt, as requir ed, in accordance wi th article 10, 
additional annexes to this Convention;  
(h) Consider and adopt, as requ ired, protocols in accordance with 
article 8; …" (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 months before such a meeting". 
Article 9 – Amendment of the Convention or protocols 
"1. Any Party may propose amendments to this Convention or to any 
protocol.  Such amendments shall take due account, inter alia , of relevant 
scientific and technical considerations. 
2. Amendments to this Convention shall be adopted at a meeting of the 
[COP].  Amendments to any protocol shall be adopted at a [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 co mmunicate proposed amendm ents to the signatories 
to this Convention for information. 
3. The Parties shall make every effort  to reach agreement on any proposed 
amendment to this Convention 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 Article 14 – Relationship of this Protocol to the Convention 
"Except as otherwise provided in this Protocol, the provisions of the 
Convention relating to its protocols shall apply to this Protocol". 
 A party to the Protocol that has not ratified a subsequent amendment is 
treated as a non-Party for the purposes of trade in the relevant substances 
controlled by that particular amendment (Article 4(9) of the Protocol).  
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either adjusted and/or amended in London -1990, Copenhagen -1992, 
Vienna- 1995, Montreal -1997, and Beijing -1999 
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 articl e, "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 economi c 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". 
Procedures for amending annexes to the Convention are laid out in
Article 10.  
  
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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 Co mpensation for Damage Resulting 
from Transboundary Movements of  Hazardous Wastes and their 
Disposal 
Web site http://www.basel.int/ 
Objective  The objective of the Basel Convention is to protect human health and the 
environment against the adverse effects which may result from the 
generation and management of hazardous and other wastes. 
 The specific objectives of the Basel Convention are:   
 to minimize the generation of hazardous and other wastes; 
 to promote the environmentally sound management of hazardous 
and other wastes;  and  
 to reduce transboundary movements of hazardous and other wastes. 
 The Convention provides for the attainment of these objectives through 
control of the transboundary movements of hazardous and other wastes, 
monitoring and prevention of illegal traffic, requirements with regards to the 
environmentally sound management of hazardous and other wastes, 
promotion of cooperation between Parties, and development of technical 
guidelines for the management of hazardous and other wastes.  The objective of the Protocol is to provide for a comprehensive regime 
for liability as well as adequate an d prompt compensation for damage 
resulting from the transboundary moveme nt of hazardous wastes and other 
wastes and their disposal , including incidents occurring because of illegal 
traffic in those wastes. 
 Under the Protocol, actors involved in the transboundary movement and 
disposal of hazardous waste are strictly liable for damage caused regardless 
of the presence of fault and up to the financial limits established by the 
Protocol.  Fault-based liability is also regulated by the Protocol. 
Date of Adoption  22 March 1989  10 December 1999 
Entry into force 5 May 1992 Not in force. 
The Protocol will enter into force 90 days after the date of the 20th 
instrument of ratification, acceptance,  formal confirmation, approval or 
accession. 
Parties 175 10 
WTO Members 139 Parties to the Basel Convention are also WTO Members.  
Lao People’s Democratic Republic acced ed on 21.09.2010 and will formally 
be a Party 90 days after  (21.12.2010) 6 Parties to the Basel Protocol are also WTO Members. 
Openness of 
Membership Article 21  – Signature  
"This Convention shall be open for si gnature by States ... and by political 
and/or economic integration organizations...". 
Article 22 – Ratificati on, Acceptance, Formal  Confirmation or 
Approval  
"1. This Convention shall be subject to  ratification, acceptance or approval 
by States ... and to formal confirmation or approval by political and/or 
economic integration organizations. Inst ruments of ratification, acceptance, Article 26 – Signature 
"The Protocol shall be open for signature by States and by regional 
economic integration organizations Parties to the Basel Convention …". 
Article 27 – Ratification, Accepta nce, Formal Confirmation or 
Approval  
"1. The Protocol shall be subject to ratification, acceptance or approval by 
States and to formal confirmation or approval by regional economic 
integration organizations. Instruments of ratification, acceptance, formal  
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of Hazardous Wastes and their Disposal Basel Protocol on Liability and Co mpensation for Damage Resulting 
from Transboundary Movements of  Hazardous Wastes and their 
Disposal 
formal confirmation, or approval sha ll be deposited with the Depositary. 
2. Any organization referred to in paragraph 1 above which becomes a 
Party to this Convention without any of its member States being a Party 
shall be bound by all the obligations under the Convention. In the case of 
such organizations, one or more of whose member States is a Party to the 
Convention, the organization and its me mber States shall decide on their 
respective responsibilities for the performance of their obligations under the 
Convention. In such cases, the organiza tion and the member States shall not 
be entitled to exercise rights under the Convention concurrently...". 
Article 23 – Accession  
"1. This Convention shall be open fo r accession by States, and by political 
and/or economic integration organizations from the day after the date on 
which the Convention is closed for signature …". confirmation, or approval shall be  deposited with the Depositary. 
2. Any organization referred to in paragraph 1 of this Article which 
becomes a Contracting Party without any of its member States being a 
Contracting Party shall be bound by all the obligations under the Protocol. In 
the case of such organizations, one or more of whose member States is a 
Contracting Party, the organization and its member States shall decide on 
their respective responsibilities for the performance of their obligations 
under the Protocol. In such cases, the organization and the member States 
shall not be entitled to exercise rights  under the Protocol  concurrently...". 
Article 28 – Accession  
1. The Protocol shall be open for accession by any States and by any 
regional economic integration organiza tion Party to the Basel Convention 
which has not signed the Protocol. The instruments of accession shall be 
deposited with the Depositary...".  
Decision-Making 
Bodies Article 15 – Conference of the Parties  
"...5. The COP shall keep under continuous review and evaluation the 
effective implementation of this Convention, and, in addition, shall: 
(a) Promote the harmonization of appropriate policies, strategies and 
measures for minimizing harm to human health and the environment 
by hazardous wastes and other wastes; 
(b) Consider and adopt, as required, amendments to this Convention 
and its annexes, taking into consideration, inter alia , available 
scientific, technical, economic and environmental information; 
(c) Consider and undertake any additional action that may be required 
for the achievement of the purposes of this Convention in the light of 
experience gained in its operatio n and in the operation of the 
agreements and arrangements envisaged in Article 11; 
(d) Consider and adopt protocols as required;  and 
(e) Establish such subsidiary bodies  as are deemed necessary for the 
implementation of this Convention. ...  
7. The COP shall undertake three years after the entry into force of this 
Convention, and at least every six y ears thereafter, an evaluation of its 
effectiveness and, if deemed necessa ry, 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 Article 24 – Meeting 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 reporting where necessary;   
(c) To consider and adopt, where necessary, proposals for amendment 
of the Protocol or any annexes and for any new annexes;  and 
(d) To consider and undertake any additional action that may be 
required for the purposes of the Protocol".   
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 Basel Convention on the Contro l of Transboundary Movements  
of Hazardous Wastes and their Disposal Basel Protocol on Liability and Co mpensation for Damage Resulting 
from Transboundary Movements of  Hazardous Wastes and their 
Disposal 
economic information".  
 The COP, the main decision-making  organ, is composed of the 
representatives of the Parties. 
 The Expanded Bureau is a subsidiary body of the COP composed of 13 
representatives of all the regions.  It  meets between the meetings of the COP 
to orientate the work of the secretariat; provide advi ce for the preparation of 
meeting agendas and any other matters raised by the secretariat. 
 The Open-ended Working Group is a subsidiary body of the COP and its 
mandate is to assist the COP in the implementation of the Convention and 
consider and advise the COP on issues relating to policy, technical, 
scientific, legal, institutional, administrative, financial, budgetary and other 
aspects of the implementation of the Convention. 
 The Committee for Administrating the Mechanism for Promoting 
Implementation and Compliance (also referred to as "the Compliance 
Committee") is a subsidiary body of the COP and its mandate is to 
administer the said mechanism established to assist Parties to comply with 
their obligations under the Convention and to facilitate, promote, monitor 
and aim to secure the implementa tion of, and compliance with, the 
obligations under the Convention.  
Amendments and 
Protocols Article 12 – Consultations on Liability 
"The Parties shall co-operate with a vi ew to adopting, as soon as practicable, 
a protocol setting out appropriate rules and procedures in the field of 
liability and compensation for damage resulting from the transboundary 
movement and disposal of hazardous wastes and other wastes". 
Article 17 – Amendment of the Convention  
"1. Any Party may propose amendments to this Convention and any Party 
to a protocol may propose amendments to that protocol. Such amendments 
shall take due account, inter alia , of relevant scientific and technical 
considerations. 
2. Amendments to this Convention 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 Pa rties by the Secretariat at least six 
months before the meeting at which it is proposed for adoption.  The Article 22 – Relationship of the Protocol with the Basel Convention 
"Except as otherwise provided in th e Protocol, the provisions of the 
Convention relating to its Protocols shall apply to the Protocol".   
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of Hazardous Wastes and their Disposal Basel Protocol on Liability and Co mpensation for Damage Resulting 
from Transboundary Movements of  Hazardous Wastes and their 
Disposal 
Secretariat shall also communicate propo sed 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, an d 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, approva l, 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 accord ance with paragraphs 3 or 4 above 
shall enter into force be tween Parties having accepted them on the ninetieth 
day after the receipt by the Depositary of their instrument  of ratification, 
approval, formal confirmation or acceptan ce by at least three-fourths of the 
Parties who accepted them or by at l east two-thirds of the Parties to the 
protocol concerned who accepted th em, except as may otherwise be 
provided in such protocol.  The amendments shall enter into force for any 
other Party on the ninetieth day after that Party deposits its instrument of 
ratification, approval, formal confir mation or acceptance of the amendments. 
6. For the purpose of this Article, "Parties present and voting" means 
Parties present and casting an affirmative or negative vote".  
 The Ban Amendment was adopted on 22 September 1995.  69 Parties 
(68 States and one regional economic integration organisation) have ratified 
the Amendment.  Entry into force of the amendment will take place in 
accordance with Artic le 17.5  of the Convention. 
 The objective of this Amendment is to prohibit immediately exports from 
countries listed in Annex VII ("Parties and other States, which are members 
of the OECD, EC, Liechtenstein") to all other countries, of hazardous wastes 
intended for final disposal, and to prohibit transboundary movements from 
Annex VII to non-Annex VII countries of hazardous wastes intended for 
recycling or reuse as of end 1997.  Annex VII is not yet in force, pending the 
entry into force of the Amendment. 
 The following amendments to technical annexes have been adopted by  
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 Basel Convention on the Contro l of Transboundary Movements  
of Hazardous Wastes and their Disposal Basel Protocol on Liability and Co mpensation for Damage Resulting 
from Transboundary Movements of  Hazardous Wastes and their 
Disposal 
the COP: 
 Amendment to Annex I (adopted through Decision IV/9):  in order to 
make reference to Annexes VIII and IX and establish the relationship 
between these new annexes and Annex III  
 Introduction of Annex VIII and IX:  Annex VIII includes wastes 
characterized as hazardous under Article 1, paragraph 1(a) of the Basel 
Convention and Annex IX includes wastes that are not covered by 
Article 1, paragraph 1(a), unless they contain Annex I material to an 
extent causing them to exhibit an Annex III characteristic. 
 Amendment to Annex VIII and IX:  at its sixth meeting, the COP 
adopted an amendment to Annex VIII and IX in order to harmonize the 
annexes with other international lists and incorporate changes in 
accordance with scientific and technical advances.  
 COP-7 adopted further amendments to Annex VIII and IX of the Basel 
Convention (Decision VII/19 added new wastes to be included in 
Annexes VIII and IX) .   
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 Page 21G. CONVENTION ON BIOLOGICAL DIVERSITY (CBD) 
Web site http://www.cbd.int 
Objective  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 u tilization of genetic resources. 
Date of Signature 5 June 1992 
Entry into force 29 December 1993 
Parties 193 
WTO Members 151 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 – Ratification, Acceptance or Approval 
"1. This Convention and any protocol shall be subject to ratification, acceptance or a pproval by States a nd by regional economi c integration 
organizations… 
2. Any organization referred to in paragraph 1 above which becomes a Contracting Party to this Convention or any protocol witho ut any of its member 
States being a Contracting Party shall be bound by all the obligations under the Convention or the protocol, as the case may be .  In the case of such 
organizations, one or more of whose member States is a Contrac ting Party to this Convention or relevant protocol, the organizat ion and its member States 
shall decide on their respective responsibilities for the performance of their obligations under the Convention or protocol, as  the case may be.  In such 
cases, the organization and the member States shall not be entitle d to exercise right under the Convention or relevant protocol  concurrently...". 
Article 35 – Accession 
"1. This Convention and any protocol shall be open for accession by States and by re gional economic inte gration orga nization... ". 
Decision-Making 
Bodies Article 23 – Conference of the Parties 
"...4. The COP shall keep under review the implementa tion of this Convention, an d, for this purpose, shall: 
(a) Establish the form and the intervals fo r transmitting the information to be submi tted in accordance with Article 26 and con sider such information 
as well as reports submitted by any subsidiary body;   
(b) Review scientific, technical and tech nological advice on biological diversity provided in accordance with Article 25; 
(c) Consider and adopt, as required, protocols in accordance with Article 28; 
(d) Consider and adopt, as required, in accordance with 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 requ ired for the achievement of the purposes of this Convention in  the light of 
experience gained in its operation."....  
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 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 –  Subsidiary Body on Scient ific, 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 p articipation 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 accordan ce with guidelines laid down by the [COP ], and upon its request, this body shall: 
(a) Provide scientific and technical assessments of the status of biological diversity; 
(b) Prepare scientific and technical assessments of the 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 p ut to the body".... 
Amendments and 
Protocols (1) Amendments 
Article 29 – Amendment of th e 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 [MOP] to the 
Protocol in question.  The text of any proposed amendment to this Convention or to any protocol, except as may otherwise be pro vided in such protocol, 
shall be communicated to the Parties to the instrument in questi on by the secretariat at least si x 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 amendment shall as a last resort  be adopted by a two-third majo rity 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 approval of am endments shall be notified to the Deposita ry in writing.  Amendments adopted in ac cordance with 
paragraph 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, "Par ties present and voting" means Parties presen t and casting an affirmative or negative vote". 
 See also Article 23:4(d) on the COP in th e Section on Decision-Making Bodies above.  
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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."   
 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". 
 See Cartegena Protocol on Biosafety and Nago ya Protocol on Access to Genetic Resources  and the Fair and Equitable Sharing of Be nefits Arising from 
their Utilization (below). 
H. CARTAGENA PROTOCOL ON BIOSAFETY TO THE CONVENTI ON ON BIOLOGICAL DIVERSITY  
Web site http://bch.cbd.int/protocol/ 
Objective  The objective of the Biosafety Protocol is to ensure an adequate level of protection in the field of safe transfer, handling an d use of Living Modified 
Organisms (LMOs) that may have adverse effects on the conservation and sustainable use of biological diversity, also taking int o account risks to human 
health. 
Date of Adoption 29 January 2000 
Entry into force 11 September 2003 
Parties 160 
WTO Members 130 Parties to the Biosafety Protocol are also WTO Members. 
Openness of 
Membership Article 36 – Signature 
"This Protocol shall be open for signature … by States and regional economic 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".  
Decision-Making 
Bodies Article 29 – Conference of the Parties Serving as the Meeting of the Parties to this Protocol 
"1. The [COP] shall serve as the [MOP] to this Protocol. 
2. Parties to the Convention that are not Parties to this Protoc ol may participate as observers in the proceedings of any meeti ng of the [COP] serving as 
the [MOP] to this Protocol.  When the [COP] serves as the [MOP] to this Protocol, decisions under this Protocol shall be taken only by those that are 
Parties to it. 
3. When the [COP] serves as the [MOP] to this Protocol, any member of the bureau of the [COP] representing a Party to the Conve ntion but, at that 
time, not a Party to this Protocol, shall be substituted by a memb er to be elected by and from among the Parties to this Protoc ol. 
4. The [COP] serving as the [MOP] to this Protocol shall keep under regular review the implementation of this Protocol and shal l make, within its 
mandate, the decisions necessary to promote its effective implementation.  It shall pe rform the functions assigned to it by thi s Protocol and shall:  
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(a) Make recommendations on any matters necessary for the implementation of this Protocol;   
(b) Establish such subsidiary bodies as are deemed necessary for the implementation of this Protocol;   
(c) Seek and utilize, where appropriate, the services and cooperation of, and information provided by, competent international organizations and 
intergovernmental and non-governmental bodies;   
(d) Establish the form and the intervals fo r transmitting the information to be submit ted 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. 
5. The rules of procedure of the Conference of the Parties and financial rules of the Convention shall be applied, mutatis mutandis , under this Protocol, 
except as may be otherwise decided by consensus by the [COP] serving as the [MOP] to this Protocol." 
 
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 P rotocol, serve the 
Protocol, in which case the [MOP] shall specify  which functions that body shall exercise. 
2. Parties to the Convention that are not Parties to this Protoc ol may participate as observers in the proceedings of any meeti ng of any such subsidiary 
bodies.  When a subsidiary body of the Convention 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". 
 COP-MOP 3 considered the issue of subsidiary bodies and adopted Decision BS-III/13, by which COP-MOP decided to consider, at i ts fourth meeting, 
potential mechanisms to provide scientific and technical advice to th e [COP-MOP], including, inter alia , the potential designation or establishment of a 
permanent subsidiary body, or use of subsidiary bodies or mechanisms that may be created on an ad hoc  basis, and requested the Executive Secretary to 
prepare a pre-sessional paper for that meeting which includes:  
(a) A review of the findings of the Ad Hoc Open-Ended Working Group on Review of Implementation of the Convention, and any asso ciated 
decisions by the 8th COP, concerning the review of the impacts and effectiveness of existing processes under the Convention; and  
(b) Cost estimates for various potential mechanisms fo r the provision of scientif ic and technical advice. 
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". 
 See also Article 29:4(e) on [COP-MOP] to this Protocol in the Section on Decision-making Bodies above. 
 Article 29 of the CBD (Amendment of the Convention or Protocols) will also apply to the Protocol. 
  
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THE CONVENTION ON BIOLOGICAL DIVERSITY4 
Objective The objective of this Protocol is the fair and equitable sharin g of the benefits arising from the utilization of genetic resour ces, including by appropriate 
access to genetic resources and by appropriat e transfer of relevant technologies, taki ng into account all rights over those res ources and to technologies, and 
by appropriate funding, thereby contributing to the conservation of biological diversity and the sustainable use of its compone nts (Article 1). 
Date of Signature Open for signature by Parties to the Convention at the United Nations Headquarters in New York from 2 February 2011 to 1 Februa ry 2012 (Article 26) 
Entry into force The Protocol will enter into force on the ninetieth day after the date of deposit of the fiftieth instrument of ratification, a cceptance, approval or accession 
by States or regional economic integration organizations  that are Parties to the Convention (Article 27(1)). 
Parties --- 
WTO Members --- 
Openness of 
Membership Parties to the Convention on Biological Diversity ma y become a Party to the Protocol  (Article 26) 
Decision-Making 
Bodies Article 20 - Conference of the Parties serving as the Meeting of the Parties to this Protocol 
1. The Conference of the Partie s shall serve as the meeting of the Parties to this Protocol. 
2. Parties to the Convention that are not Parties to this Protoc ol may participate as observers in the proceedings of any meeti ng of the Conference of the 
Parties serving as the meeting of the Parties to this Protocol. When the Conference of the Partie s serves as the meeting of the  Parties to this Protocol, 
decisions under this Protocol shall be taken only by those that are Parties to it. 
3. When the Conference of the Parties serves  as the meeting of the Parties to this Pr otocol, any member of the Bureau of the Co nference of the Parties 
representing a Party to the Convention but, at that time, not a Party to this Protocol, shall be substituted by a member to be elected by and from among the 
Parties to this Protocol . 
4. The Conference of the Parties serving as the meeting of the Parties to this Pr otocol shall keep under regular review the imp lementation of this 
Protocol and shall make, within its mandate, the decisions necessary to promote its effective implementation. It shall perform the functions assigned to it 
by this Protocol and shall: 
(a) Make recommendations on any matters necessary for the implementation of this Protocol;  
(b) Establish such subsidiary bodies as are deemed necessary for the implementation of this Protocol;  
(c) Seek and utilize, where appropriate, the services and cooper ation of, and information provided by, competent international organizations and 
intergovernmental and non-governmental bodies;  
(d) Establish the form and the intervals fo r transmitting the information to be subm itted in accordance with Article 23 of this  Protocol and consider 
such information as well as reports submitted by any subsidiary body;  
(e) Consider and adopt, as required, amendments to this Protocol  and its annex, as well as any additional annexes to this Proto col, that are deemed 
necessary for the implementation of this Protocol; and 
(f) Exercise such other functions as may be requ ired for the implementation of this Protocol.  
                                                      
4 The Matrix below is based on the advance unedited text of decision X/1 of the Conference of the Parties to the Convention on B iological Diversity 
(http://www.cbd.int/nagoya/outcom es/, accessed 1 December 2010). 
  
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5. The rules of procedure of the Conf erence of the Parties and financial rule s of the Convention shall be applied, mutatis mutandis , under this Protocol, 
except as may be otherwise decided by consensus by the Conference of the Parties serving as the meeting of the Parties to this Protocol. 
6. The first meeting of the Conference of the Parties serving as the meeting of the Parties to this Protocol shall be convened by the Secretariat and held 
concurrently with the first meeting of the Conference of the Parties that is scheduled after the date of the entry into force o f this Protocol. Subsequent 
ordinary meetings of the Conference of the Parties serving as the meeting of the Parties to this Protocol shall be held concurr ently with ordinary meetings 
of the Conference of the Parties, unless ot herwise decided by the Conference of the Par ties serving as the meeting of the Parti es to this Protocol. 
7. Extraordinary meetings of th e Conference of the Parties serving as the meeting of the Parties to this Protocol shall be held  at such other times as may 
be deemed necessary by the Conference of the Parties serving as the meeting of the Parties to this Protocol, or at the written request of any Party, provided 
that, within six months of the request being communicated to th e Parties by the Secretariat, it is  supported by at least one th ird of the Parties. 
8. The United Nations, its specialized agenci es and the International Atomic Energy Ag ency, as well as any State member thereof  or observers thereto 
not party to the Convention, may be represented as observers at meetings of the Conference of th e Parties serving as the meetin g of the Parties to this 
Protocol. Any body or agency, whether national or international, governmental or non-governmental, that is qualified in matters  covered by this Protocol 
and that has informed the Secretariat of its  wish to be represented at  a meeting of the Conference of the Parties serving as a meeting of the Parties to this 
Protocol as an observer, may be so admitt ed, unless at least one third of the Partie s present object. Excep t as otherwise provi ded in this Article, the 
admission and participation of observers shall be subject to the rules of procedure, as referr ed to in paragraph 5 above. 
Article 21—Subsidiary Bodies 
1. Any subsidiary body established by or under the Convention may serve this Protocol, including upon a decision of the Confere nce of the Parties 
serving as the meeting of the Parties to this Protocol. Any such decision shall specify the tasks to be undertaken. 
2. Parties to the Convention that are not Parties to this Protoc ol may participate as observers in the proceedings of any meeti ng of any such subsidiary 
bodies. When a subsidiary body of the Convention serves as a subsidiary body to this Protocol, decisions under this Protocol sh all be taken only by Parties 
to this 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 this Protocol, shall be substituted by  a member to be elected by and 
from among the Parties to this Protocol. 
 
J. UNITED NATIONS FRAMEWORK CONVENTION ON CLIMATE CHANGE (UNFCCC) 
Web site http://unfccc.int/ 
Objective  The objective of the UNFCCC is the stabilization of greenhouse ga s concentrations in the atmosphere at a level that would prev ent dangerous 
anthropogenic interference with the climate system. 
 At COP 16  (Cancun, December 2010), the CO P affirmed that "climate change  is one of the greatest challenges of our time and that all Part ies share a 
vision for long-term cooperative action in order to achieve the objective of the Convention under its Article 2...; this vision  is to guide the policies and 
actions of all Parties, while taking into full consideration the different circumstan ces of Parties in acco rdance with the prin ciples and provisions of the 
Convention; the vision addresses mitigation, adaptation, finance, technology development and transfer, and capacity-building in  a balanced, integrated and 
comprehensive manner to enhance and achieve the full, effective and sustained implementation of the Convention, now, up to and beyond 2012."  It also 
affirmed that, "in the context of the provision of adequate and predictable support to developing country Parties, Parties shou ld collectively aim to slow, 
halt and reverse forest cover and carbon loss, according to nati onal circumstances, consistent w ith the ultimate  objective of t he Convention, as stated in 
Article 2." (Decision 1/CP.16)  
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 Page 27Date of Signature 9 May 1992 
Entry into force 21 March 1994 
Parties 194 
WTO Members 150 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 – Conference of the Parties 
"2. The [COP], as the supreme body of this Convention, shall keep under regular review the implementation of the Convention and  any related legal 
instruments that the [COP] may adopt, and sh all make, within its mandate, the decisions  necessary to promote the effective impl ementation of the 
Convention.  To this end, it shall: 
(a) Periodically examine the obligations of the Parties and the institutional arrangements under the Convention, in the light o f the objective of the 
Convention, the experience gained in its implementation and the evolution of scientific and technological knowledge; 
(b) Promote and facilitate the exchange of information on measures  adopted by the Parties to address climate change and its eff ects, taking into 
account the differing circumstances, respons ibilities and capabilities of the Parties an d their respective commitments under th e Convention; 
(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, responsibilities and ca pabilities of the Parties and their respective commitments und er the 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 a chieved; 
(f) Consider and adopt regular reports on the implementation of the Convention and ensure their publication;   
(g) Make recommendations on any matters necessary for the implementation of the Convention; 
(h) Seek to mobilize financial resources in accordance with Article 4, paragraphs 3, 4 and 5, and Article 11; 
(i) Establish such subsidiary bodies as are deemed necessary for the 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 coop eration of, and information provided by, competent international organizations and 
intergovernmental and non-governmental bodies;  and 
(m) Exercise such other functions as are required for the achi evement of the objectiv e of the Convention as well as all other f unctions assigned to it 
under the Convention".  
Article 9 – Subsidiary Body for Scientific and Technological Advice 
"1. A subsidiary body for scientific and technological advice is hereby established to provide the [COP] and, as appropriate, i ts other subsidiary bodies 
with timely information and advice on scientific and technological matters relating to the Convention.  This body shall be open  to participation by all 
Parties and shall be multidisciplinary.  It shall comprise govern ment representatives competent in the relevant field of expert ise.  It shall report regularly to  
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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 assessm ent and review of the effectiv e 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 out the reviews 
required by Article 4, paragraph 2(d);  and 
(c) Assist the [COP], as appropriate, in the preparation and implementation of its decisions". 
At COP 13 (Bali, December 2007), the COP adopted the Bali Action Plan  (decision 1/CP.13) and established the Ad Hoc Working Group on Long-
Term Cooperative Action under the Convention  (AWG-LCA) in order to "launch a comprehensive pr ocess to enable the full, effective and sustained 
implementation of the Convention through long-term cooperative acti on, now, up to and beyond 2012, in order to reach an agreed outcome and adopt a 
decision at its fifteenth session". The mandate of the AWG-LCA wa s extended at COP 15 and COP 16. It is due to present the resu lts of its work to 
COP 17.  
Amendments and  
Protocols (1) Amendments 
Article 15 – Amendments  to the Convention 
"1. Any Party may propose amendments to the Convention. 
2. Amendments to the Convention shall be adopted at an ordinary session of the [COP].  The text of any proposed amendment to th e Convention shall 
be communicated to the Parties by  the secretariat at least six months before the meeting at which it is proposed for adoption.  The secretariat 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 any proposed amendment to the Convention by consensus.  If all eff orts at consensus have 
been exhausted, and no agreement reached, the amendment shall as a last resort be adopted by a three-fourths majority vote of t he Parties present and voting at 
the meeting.  The adopted amendment shall be communicated by th e 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 Parties having accepted it on the ninetieth day after the date of receipt by the Depos itary 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 th e 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". 
 See Kyoto Protocol below.   
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 Page 29K. KYOTO PROTOCOL TO THE UNITED NATIONS FRAMEWORK CONVENTION ON CLIMATE CHANGE   
Web site http://unfccc.int/ 
Objective  The Kyoto Protocol supplements and strengthens the UNFCCC.  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 193 (The total percentage of Annex I Parties emissions is 63.7% of emissions) 
WTO Members 149 Parties to the Kyoto Protocol are also WTO Members. 
Openness of 
Membership Article 24 
"1. This Protocol shall be open  for signature and subject  to ratification, acceptance or appr oval by States and regional econom ic integration 
organizations which are Parties to the Convention…". 
Decision-Making 
Bodies 
  The Kyoto Protocol will share the Convention’s institutions, includi ng its two subsidiary bodies and secretariat, while the Con vention’s COP will serve 
as the meeting of the Parties ("MOP")  to the Protocol, forming a body known as the Conference of the Parties serving as the me eting of the Parties to the 
Kyoto Protocol (CMP).   
Article 13 
"1. The [COP], the supreme body of the Convention, shall serve as the [MOP] to this Protocol.  
2. Parties to the Convention that are not Pa rties to this Protocol may participate as  observers in the proceedings of any sessi on of the [CMP] to this 
Protocol.  When the [COP] serves as the [MOP] to this Protocol, decisions under this Protocol shall be taken only by those that  are Parties to this Protocol.  
3. When the [COP] serves as the [MOP] to this Protocol, any memb er of the Bureau of the COP re presenting a Party to the Convent ion but, at that time, 
not a Party to this Protocol, shall be replaced by an additional me mber to be elected by and from  amongst the Parties to this P rotocol.  
4. The [CMP] to this Protocol shall keep under regular review the implementation of this Protocol and shall make, within its ma ndate, the decisions 
necessary to promote its effective implementation.  It shall pe rform the functions assigned to it by this Protocol and shall:   
(a) Assess, on the basis of all information made available to it in accordance with the provisions  of this Protocol, the implem entation of this Protocol 
by the Parties, the overall effects of the measures taken pursuant to this Protocol, in particular environmental, economic and social effects as well as 
their cumulative impacts and the extent to which progress towards the objective of the Convention is being achieved;   
(b) Periodically examine the obligations of the Parties under 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 Conven tion, the experience gained in its implementation and 
the evolution of scientific and technological knowledge, and in this respect consider and adopt regular reports on the implemen tation of this Protocol;   
(c) Promote and facilitate the exchange of information on measures  adopted by the Parties to address climate change and its eff ects, taking into 
account the differing circumstances, respons ibilities and capabilities of the Parties an d their respective commitments under th is Protocol;   
(d) Facilitate, at the request of two or more Parties, the coordi nation of measures adopted by them to address climate change a nd its effects, taking 
into account the differing circumstances, responsibilities and ca pabilities of the Parties and their respective commitments und er this Protocol;   
(e) Promote and guide, in accordance with the objective of the Convention and the provisions of this Protocol, and taking fully  into account the 
relevant decisions by the [COP], the development and periodic refinement of comparable methodologies for the effective implemen tation of this 
Protocol, to be agreed on by the [CMP] to this Protocol;   
(f) Make recommendations on any matters necessary for the implementation of this Protocol;    
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(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 coop eration of, and information provided by, competent international organizations and 
intergovernmental and non-governmental bodies;  and  
(j) Exercise such other functions as may be required for the im plementation 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 [CMP] to this Protocol.  The text of any proposed  amendment to this 
Protocol shall be communicated to the Parties by the secretariat at least six months before the meeting at which it is proposed  for adoption.  The secretariat 
shall also communicate the text of any pro posed amendments to the Parties and signatories to the Convention and, for informatio n, to the Depositary.   
3. The Parties shall make every effort to reach agreemen t 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 adopt ed by a three-fourth s majority vote of t he Parties present and 
voting at the meeting.  The adopted amendm ent shall be communicated by the secretariat to the Depositary, who shall circulate i t to all Parties for their 
acceptance.   
4. Instruments of acceptance in respect of an amendment shall be deposited with the Depositary.  An amendment adopted in accord ance with paragraph 
3 above shall enter into force for those Parties having accepted it on the ninetieth day after the date of receipt by the Depos itary 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 th e ninetieth day after the date on which that Party deposits wi th the Depositary its 
instrument of acceptance of  the said amendment".  
Article 21  
"1. Annexes to this Protocol shall form an integral part ther eof and, unless otherwise expressl y provided, a reference to this Protocol constitutes at the 
same time a reference to any annexes thereto. Any annexes adopte d after the entry into force of this Protocol shall be restrict ed to lists, forms and any 
other material of a descriptive nature that is of a scientific, technical, procedural or administrative character. 
2. Any Party may make proposals for an annex to this Protocol and may propose amendments to annexes to this Protocol. 
3. Annexes to this Protocol and amendments to annexes to this Protocol shall be adopted at an ordinary session of the Conferenc e of the Parties serving 
as the meeting of the Parties to this Protocol. The text of any proposed annex or amendment to an annex shall be communicated t o the Parties by the 
secretariat at least six months before the meeting at which it is proposed for adoption. The se cretariat shall also communicate  the text of any proposed 
annex or amendment to an annex to the Parties and signatories to the Convention and, for information, to the Depositary. 
4. The Parties shall make every effort to reach agreement on any proposed annex or ame ndment to an annex by consensus. If all e fforts at consensus 
have been exhausted, and no agreement reached, the annex or ame ndment to an annex shall as a last resort be adopted by a three- fourths majority vote of 
the Parties present and voting at the meeting. The adopted annex or amendment to an annex shall be communicated by the secretar iat to the Depositary, 
who shall circulate it to all Parties for their acceptance. 
5. An annex, or amendment to an annex other than Annex A or B, that has been adopted in accordance with paragraphs 3 and 4 abov e shall enter into 
force for all Parties to this Protocol six months after the date  of the communication by the Depositary to such Parties of the adoption of the annex or 
adoption of the amendment to the annex, except for those Parties that have notified the Depositary, in writing, within that per iod of their non-acceptance 
of the annex or amendment to the annex. The annex or amendment to an annex shall enter into fo rce for Parties which withdraw th eir notification of non-
acceptance on the ninetieth day af ter the date on which withdrawal of such no tification has been received by the Depositary. 
6. If the adoption of an annex or an amendment to an annex involves an amendment to this Protocol, that annex or amendment to a n annex shall not  
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7. Amendments to Annexes A and B to this Protocol shall be adopted and enter into force in accordance with the procedure set ou t in Article 20, 
provided that any amendment to Annex B shall be adopte d only with the written consent of the Party concerned".  
Decision 1/CMP.6    
Decision 1/CMP.1 initiated a process to consider the further commi tments for Annex I Parties for the period beyond 2012 (i.e. a n amendment to the Kyoto 
Protocol to provide for a 2nd commitment period) in accordance with Article 3(9) of the Protocol.  It established the Ad Hoc Wo rking Group on Further 
Commitments for Annex I Parties under the Kyoto Protocol (AWG-KP) to conduct this process.  In accordance with Article 3(9)) an d in the context of 
decision 1/CMP.1, [CMP 6] recogn ized that Annex I Parties should continue to take  the lead in combating climate change.  It urg ed Annex I Parties to 
raise the level of ambition of the emission reductions to be achieved by them individually or jointly, with a view to reducing their aggregate level of 
emissions of greenhouse gases.  The [CMP] agreed  that the AWG-KP "shall aim to complete its work pursuant to decision 1/CMP.1 and have its results 
adopted by the [CMP] as early as possible and in time to ensure that there is no gap between th e first and second commitment pe riods."  It also agreed  that 
"in the second commitment period the base year shall be 1990."  Emissions trad ing and the project-based mechanisms under the Ky oto Protocol as well as 
Measures to reduce GHG emissions and to enhance removals resultin g from anthropogenic land use, land-use change and forestry ac tivities, shall continue 
to be available to Annex I Parties as means to meet their quantified emission limitation and reduction objectives in accordance  with relevant decisions 
L. INTERNATIONAL TROPICAL TIMBER AGREEMENT (ITTA)5 
Web site www.itto.or.jp 
Objective  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 years 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 periods of three years each.  
3. 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 agreemen t to replace this Agreement has been negotiated but has not yet entered into force either 
definitively or provisionally, the Council may, by special vote,  extend this Agreement until the provisional or definitive entr y 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 …".  
 In 2000, the ITTA, 1994 was extended for a period of three years [Decisi on 4(XXVIII)] until 31  December 2003.  On 4 November 2 002, the ITTA, 
1994 was extended for a further period of three years with effect from 1 January 2 004 to 31 December 2 006 [Decision 9(XXXIII)].    
 Negotiations for a successor to ITTA, 1994 were concluded in 2006. The ITTA, 2006 is expected to come into force in a near fut ure.  On 
                                                      
5 The International Tropical Timber Agreem ent (ITTA), 1994 is the Succes sor Agreement to th e International Tropical Timber Agree ment, 1983.    
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11 November 2006, the ITTA, 1994 was further extended until the provisional or definitive entry into force of the ITTA, 2006 [D ecision 3(XLI)]. On 
16 November 2009, through its Decision 3(XLV), the Council decided to maintain the extension of the ITTA,1994 beyond 2010 and t o review in 
December 2010 what further steps to  be taken towards the entry in to force of the ITTA, 2006.  
Parties 60 Members, including 33 producing and 27 consuming countries, including the European Community, bearing in mind that Belgium/L uxembourg are 
considered as one Party to the ITTA. 
WTO Members 58 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 – Signature, ratification, acceptance and approval  
"1. This Agreement shall be open for signature...by Governments invited to the UN Conference for the Negotiatio n of a Successor  Agreement to the 
International Tropical Timb er Agreement, 1983...".  
Article 39 – Accession  
"1. This Agreement shall be open for accessi on by the Governments of all states upon conditions established by the Council, whi ch shall include a time-
limit for the deposit of instruments of acces sion.  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...".  
Decision-Making 
Bodies (1) The International Tropical Timber Council (ITTC) 
Article 6 – Composition of the ITTC  
"1. The highest authority of the Organization shall be the ITTC, which shall consist of all the members of the Organization.  
2. Each member shall be represented in the Council by one representative and may designate alternates and advisers to attend se ssions of the Council.  
3. An alternate representative shall be empow ered to act and vote on behalf of the representative during the latter's absence o r in special 
circumstances".  
Article 7 – Powers and f unctions 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 regula tions 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 financial rules regulations 
shall, inter alia , govern the receipt and expenditure of f unds under the Administrative Account, the Special  Account and the Bali Partnership Fu nd.  The 
Council may, in its rules of procedure, provide for a procedur e whereby it may, without meeti ng, decide specific questions.  
3. The Council shall keep su ch records as are required for the performance of its functions under this Agreement". 
Article 12 – Decisions and recommendations 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 distributed 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.  
2. Members undertake to accept and carry out the decisions of the Counc il 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".   
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 Page 33 (2) Committees 
Article 26 – Establishment of Committees 
"1. The following are hereby establishe d 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 
2. The Council may, by special vote, estab lish such other committees and subsidiary bodies as it deems ap propriate and necessar y. 
3. Participation in each of  the committees shall be open to all members.  The rules of procedure of th e committees shall be dec ided by the Council. 
4. The committees and subsidiary bodies refe rred to in paragraphs 1 and 2 of this article shall be responsible to, and work und er the general direction 
of, the Council.  Meetings of the committees and subsidiary bodies shall be convened by the Council." 
Article 27 – Functions of the Committees 
1. The Committee on Economic Information and Market Intelligence shall:   
(a) Keep under review the availability and quality of statistics and other information required by the Organization;   
(b) Analyse the statistical data and specifi c indicators as decided by the Council for the monitoring of international timber t rade;   
(c) Keep under continuous review the intern ational timber market, 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 developi ng 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 technology in the fields of reforestation and forest managem ent to developing 
countries;   
(c) Follow up on-going activities in this field, and identify and co nsider problems and possible solutions to them in cooperati on with the competent 
organizations;   
(d) Review regularly the future needs of international trade in  industrial 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 forest 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 organiz ations.   
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 3. The Committee on Forest Industry shall:   
(a) Promote cooperation between member countries as partners in the development of processing activities in producing member co untries, inter 
alia, in the following areas:   
(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 structural 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 co nsider problems and possible solutions to them in cooperati on with the competent 
organizations;   
(d) Encourage the increase of technical cooperation for the processing of tropical timber 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 Committees 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 notif y the depositary of their acce ptance of the amendment.  
3. An amendment shall enter into force 90  days after the depositary has received no tifications 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  constituting 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 notify the depositary o f its acceptance of the 
amendment, provided that such notification is made before the entry into force of the amendment.  
5. Any member which has not notified its accepta nce of an amendment by the date on whic h such amendment enters into force shall  cease to be a party 
to this Agreement as from that date, unl ess such member has satisfied the Council th at its acceptance could not be obtained in time owing to difficulties in  
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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 sha ll be considered withdrawn". 
M. THE UN FISH STOCKS AGREEMENT  
1. 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 St raddling Fish Stocks and Highly Migratory Fish Stocks (UN Fis h Stocks Agreement).  
Article 4 of the UN Fish Stocks Agreements on the relationship between the Agreement and UNCLOS provides that "[n]othing in thi s Agreement shall prejudice 
the rights, jurisdiction and duties of States under the Convention.  This Agreement shall be inte rpreted and applied in the con text of and in a manner consistent 
with the Convention". 
Web site  http://www.un.org/Dept s/los/convention_agreements/conven tion_overview_fish_stocks.htm 
Objective  The UN Fish Stocks Agreement seeks to ensure the long-term conservation and sustainable use of straddling and highly migratory fish stocks 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 or arrangements (RFMO/As). 
Date of Signature 5 August 1995 
Entry into force 11 December 2001 
Parties 77, including the European Union 
WTO Members 62 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 38 – Ratification 
"This Agreement is subject to ratification by States and th e other entities referred to in article 1, paragraph 2(b)…". 
Article 39 – Accession  
"This Agreement shall remain open for accessi on by States and the other entities referr ed 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". 
3. This Agreement applies mutatis mutandis  to other fishing entities whose vessels fish on the high seas. 
Article 305:1 of the UN Convention on the Law of the Sea – Signature 
"1. This Convention shall be open for signature by: 
(a) all States;  
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(b) Namibia, represented by the UN Council for Namibia; 
(c) all self-governing associated States wh ich have chosen that status in an act of self-determination supervised and approved by the UN in 
accordance with General Assembly resolution 1 514 (XV) and which have competence over the matters governed by this Convention, i ncluding the 
competence to enter into treatie s in respect of those matters; 
(d) all self-governing associated States which, in accordance with thei r respective instruments of a ssociation, have competence  over the matters 
governed by this Convention, including the competence to enter into treaties in respect of those matters; 
(e) all territories which enjoy full internal self-government, recognized as such by the UN, but have not attained full indepen dence in accordance 
with General Assembly resolution 1514 (XV) and which have competence over the matters governed by this Convention, including th e competence 
to enter into treaties in respect of those matters; 
(f) international organizations, in accordance with Annex IX". 
Governing Bodies 
 Informal Consultations of States Parties 
 The General Assembly of the United Nations (UNGA) in its Resolu tion 56/13 of 28 November 2001 requested the Secretary-General o f the UN, once 
the Agreement entered into force, to consult with the States Parties, for the pu rposes and objectives of, inter alia , considering the regional, subregional and 
global implementation of the Agreement;  making any appropriate recommendation to the UNGA on the scope and content of the annu al report of the 
Secretary-General relating to the Agreement;  and preparing for the review conference to  be convened by the Secretary-General p ursuant to Article 36 of 
the Agreement.  Such Informal Consulta tions of States Parties have been held annually in New York since 2002.   
Review Conference 
 The Agreement provides for the c onvening of a Review Conference four years after the date of the entry in to force of the Agreem ent (Article 36).   
Article 36  
"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 th e adequacy of the provisions  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". 
 Pursuant to Article 36, the General Assembly (resolution 59/25, para.16) requested the Secretary- General to convene a review c onference on the 
Agreement in the first part of 2006.  The Conference was held in New York, from 22 to 26 May 2006. The Conference addressed way s to give full effect 
to the Agreement, both through a substantive review and assessm ent of the Agreement and by agr eeing on recommendations for stre ngthening the 
implementation of its provisions.  Recommendations were made rega rding: 1) conservation and management of straddling fish stock s and highly 
migratroy fish stocks; 2) mechanisms for international cooperation , including cooperation with non-members of regional fisheries management 
organizations or arrangements; 3) monitoring, control and surveillance and compliance and enforcement; and 4) developing States  and non-parties. The 
Conference also recommended promoting furthe r ratification and accession to the Agreemen t through a continuing dialogue to addr ess concerns raised by 
some non-parties regarding some provisions of the Agreement.  The Review Conference also agreed to continue the Informal Consul tations of States  
Parties and keep the Agreement under review through the resumption of the Review Conference at a da te not later than 2011, to b e agreed at a future 
round of Informal Consultations of States Parties to the Agreement. 
The resumed Review Conference was held in New York from 24 to 28  May 2010, pursuant to General Assembly resolutions 63/112 and 64/72.  The 
Conference conducted a review of the implemen tation of the recommendations adopted at the Review Conference in 2006 and adopted  additional 
recommendations that built on the outcome in 2006 in order to strengthen the substance and methods of implementing the provisio ns of the Agreement.   
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through the resumption of the Review Conf erence at a date not earlier than 2015. 
Amendments and 
Protocols Article 45 – Amendment 
"1. A State Party may, by written communication addressed to the Se cretary-General of th e UN, propose amendmen ts to this Agreem ent and request the 
convening of a conference to  consider such proposed amendments.  The Secret ary-General shall circulate such communication to al l States Parties.  If, 
within six months from the date of the circulation of the comm unication, 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 conf erence 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 fo r signature at United Nations Head quarters by States Parties for twelve months from 
the date of adoption, unless otherwis e 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 ratif ying 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 entry into  force of amendments in acco rdance 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". 
N. ROTTERDAM CONVENTION ON THE PRIOR INFORMED CONSENT PROCEDURE FOR CERTAIN HAZARDOUS CHEMICALS AND PESTICIDES IN INTERNATIONAL 
TRADE  
Website http://www.pic.int/ 
Objective Article 1 – Objective 
"The objective of the Rotterdam Convention is to promote shared responsibility and co operative efforts among Parties in the inte rnational trade of certain 
hazardous chemicals in order to protect human health and the envi ronment 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". 
Date of Signature 10 September 1998 
Entry into Force 24 February 2004 
Parties 140 
WTO Members 121 Parties to the Rotterdam Convention are also WTO Members.  
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Openness of 
Membership Article 24 – Signature 
"This Convention shall be open for signature (...) by all States and regional economic integration organizations [from 11-12 Se ptember 1998 until 
10 September 1999]". 
Article 25 – Ratification, accep tance, approval or accession 
"1. This Convention shall be subject to ratification, acceptan ce or approval by States and by regional economic 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, accepta nce, approval or accession shall be  deposited with the Depositary. 
2. Any regional economic integration organization that becomes a Party to this Convention without any of its member States bein g a Party shall be 
bound by all the obligations under the Convention. In the case of such organizations, one or more of whose member States is a P arty to this Convention, 
the organization and its member States shall decide on their respective responsibilities for the performance of their obligatio ns under the Convention. In 
such cases, the organization and the member States shall not be entitled to exercise rights under the Convention concurrently ( ...)." 
Decision-Making 
Bodies Article 18 – Conference of the Parties 
"(...) 
5. The Conference of the Parties [COP] sh all keep under continuous review and eval uation the implementation of this Convention.  It shall perform the 
functions assigned to it by the Convention and, to this end, shall: 
(a) Establish, further to the requirements of paragraph 6 below,  such subsidiary bodies, as it considers necessary for the 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 purposes of performing the 
functions assigned to that Committee by this Convention.  In this regard: 
(a) The members of the Chemical Review Committee shall be appoint ed 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 refere nce, 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 exhau sted, and no 
consensus reached, such recommendation shall as a last resort be adopted by a two-thirds majority vote of the members present a nd voting". 
 By decisions RC-1/6 and RC-1/7, the COP, at its first meeting, respectively established the Chem ical Review Committee (CRC) and  adopted the "rules 
and procedures for preventing and dealing with conflicts of in terest relating to the activities of the Chemical Review Committe e". 
Amendments and 
Protocols Article 21 – Amendments  to the Convention 
"1. Amendments to this Convention may be proposed by any Party. 
2. Amendments to this Convention shall be adopted at a meeting of  the [COP].  The text of any pr oposed amendment shall be commu nicated to the 
Parties by the Secretariat at least six months before the mee ting at which it is proposed for adoption.  The Secretariat shall also communicate the proposed 
amendment to the signatories to this Convention and, for information, to the Depositary. 
3. The Parties shall make every effort to reach agreement on any proposed amendm ent 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 ratification, acceptance or approval.  
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paragraph 3 shall enter into force for the Parties having accepte d it on the ninetieth day after the date of deposit of instrum ents of ratification, acceptance 
or approval by at least three fourths of the Parties. Thereafter, the amendment shall enter into fo rce for any other Party on t he ninetieth day after the date 
on which that Party deposits its instrument of ra tification, acceptan ce or approval of the amendment".  
O. STOCKHOLM CONVENTION ON PERSISTENT ORGANIC POLLUTANTS  
Web site http://www.pops.int/ 
Objective  "Mindful of the precautionary approach as set forth in Principl e 15 of the Rio Declar ation on Environment and Development, the objective of this 
Convention is to protect human health and the environment from persistent organic pollutants" (Article 1). 
 The aim of the Convention is to reduce or eliminate the release of Persistent Or ganic Pollutants (POPs) into the environment.  
Date of Signature 22 May 2001 
Entry into force 17 May 2004 
Parties 172 
WTO Members 139 Parties to the Stockholm Convention are also WTO Members. 
Openness of 
Membership Article 24 – Signature 
"This Convention shall be open for signature (...) by all Stat es and regional economic integration organizations [from 23-24 Ma y 2001 until 22 May 
2002] ". 
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 economic integration organizations fr om the day after the date on which the Conven tion is closed for 
signature.  Instruments of ratification, acceptance, approv al or accession shall be deposited with the Depositary 
2. Any regional economic integration organization that becomes a Party to this Convention without any of its member States bein g a Party shall be 
bound by all the obligations under the Convention.  In the case of such organizations, one or more of whose member States is a Party to this Convention, 
the organization and its member States shall decide on their respective responsibilities for the performance of their obligatio ns under the Convention.  In 
such cases, the organization and the member States shall not be entitled to exercise rights under the Convention concurrently ( ...)". 
Decision-Making 
Bodies Article 19 – Conference of the Parties 
"(...) 
5. The Conference of the Parties [COP] sh all keep under continuous review and eval uation the implementation of this Convention.   It shall perform 
the functions assigned to it by the Convention and, to this end, shall: 
(a) Establish, further to the requirements of paragraph 6, such subsidiary bodies as it considers necessary for the implementat ion of the Convention; 
(b) Cooperate, where appropriate, with 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 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 Persistent Organic Pollutants Review Committee  for the 
purposes of performing the functions assigned to that Committee by this Convention.  In this regard:  
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(a) The members of the Persistent Organic Pollutants Review Commi ttee shall be appointed by the [COP].  Membership of the Commi ttee shall 
consist of government-designated experts in chemical assessment or management.  The members of the Committee shall be appointed  on the basis 
of equitable geographical distribution; 
(b) The [COP] shall decide on the terms of referen ce, organization and operation of the Committee;  and 
(c) The Committee shall make every effort to adopt its recommendatio ns 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. 
(…)". 
 By decisions SC-1/7 and SC-1/8, the COP, at its first meeting,  respectively established the Persistent Organic Pollutants Revie w Committee 
(POPRC) and adopted the "rules and procedures for preventing a nd dealing with conflicts of interest relating to the activities of the Persistent Organic 
Pollutants Review Committee". 
Amendments and 
Protocols Article 21 – Amendments  to the Convention 
"1. Amendments to this Convention may be proposed by any Party. 
2. Amendments to this Convention shall be adopted at a meeting of the [COP].  The text of any proposed amendment shall be commu nicated to the 
Parties by the Secretariat at least six mont hs before the meeting at which it is proposed for adoption.  The Secretariat shall also communicate 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 reach ed, the amendment shall as a last resort be  adopted by a three-fourths majority vote  of the Parties present 
and voting. 
4. The amendment shall be communicated by the depositary to all Parties for ratification, acceptance or approval. 
5. Ratification, acceptance or approval of an amendment shall be notified to the depos itary 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 shall enter in to force for any other Party on the ninetieth day after the date 
on which that Party deposits its instrument of ra tification, acceptan ce or approval of the amendment". 
 
II. TRADE-RELATED MEASURES 
A. INTERNATIONAL PLANT PROTECTION CONVENTION  
Article V 
Phytosanitary 
certification  "1. Each contracting party shall make arra ngements for phytosanitary certification, w ith the objective of ensuring that exporte d plants, plant products 
and other regulated articles and consignments thereof are in conformity w ith the certifying statement to be made pursuant to pa ragraph 2(b) of this 
Article. 
2. Each contracting party shall make arrang ements for the issuance of phytosanitary certificates in conformity with the followi ng provisions: 
(a) Inspection and other related activities leading to issuance of phytosanitary certificates shall be carried out only by or u nder the authority of the 
official national plant protection organization.  The issuance of phytosanitary certificates shall be carried out by public off icers 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 officer s that the authorities of importing contr acting parties may accept the phytosanitary certificates with  
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(b) Phytosanitary certificates, or their el ectronic equivalent where accepted by the im porting contracting pa rty concerned, sha ll be as worded in the 
models set out in the Annex to this Conv ention.  These certificates should be comple ted and issued taking into account relevant  international 
standards. 
(c) Uncertified alterations or erasures  shall invalidate the certificates. 
3. Each contracting party undertakes not to require consignments of plants or plant products or other regulated articles import ed into its territories to 
be accompanied by phytosanitary certificates in consistent with the models set out in th e Annex to this Conv ention.  Any require ments 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 sh all have sovereign authority 
to regulate, in accordance with ap plicable international agreemen ts, 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 article s, including, for 
example, inspection, prohibition on importation, and treatment;   
(b) refuse entry or detain, or require treatment, destruction or removal from the territory of th e contracting party, of plants , plant products and 
other regulated articles or consignments thereof that do not comp ly with the phytosanitary measur es 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 b eneficial into their 
territories.  
2. In order to minimize interference with international trade, each contracting party,  in exercising its authority under paragr aph 1 of this Article, 
undertakes to act in conformity with the following:   
(a) Contracting parties shall not, under their phytosanitary legislation, take any of the measures specified in paragraph 1 of this Article unless such 
measures are made necessary by phytosanitary co nsiderations and are technically justified.  
(b) Contracting parties shall, immediately upon their adoption,  publish and transmit phytosanitary requirements, restrictions a nd prohibitions to 
any contracting party or parties that they believ e 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 p oints of entry, such 
points shall be so selected as not to unnecessarily impede international trade.  The contracting party shall publish a list of such points of entry and 
communicate it to the Secretary, any regional plant protection organization of which the contracting party is a member, all con tracting parties 
which the contracting party believes to be directly affected, and other contracting parties upon request.  Such restrictions on  points of entry shall 
not be made unless the plants, plant produ cts or other regulated articles concerned are required to be accompanied by phytosani tary certificates or 
to be submitted to inspection or treatment.  
(e) Any inspection or other phytosanitary procedure required by the plant protection organization of a contracting party for a consignment of 
plants, plant products or other regulated ar ticles offered for importation, shall take place as promptly as possible with due r egard to their 
perishability.  
(f) Importing contracting parties shall, as soon as possible, inform the exporting contracting party concerned or, where approp riate, the re-
exporting contracting party concerned, of significant instances of non-compliance with phytosanitary certification.  The export ing contracting 
party or, where appropriate, the re-exportin g contracting party concerned, should investigate and, on request, report the resul t of its investigation 
to the importing contracting party concerned.   
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(g) Contracting parties shall institute only phytosanitary measures that are technically justified, consistent with the pest ri sk involved and represent 
the least restrictive measures available, and result in the minimum impediment to the international movement of people, commodi ties 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, esta blish and update lists of regula ted pests, using scientific na mes, and make such lists 
available to the Secretary, to regional plant protection organizations of which they are members and, on request, to other cont racting parties.  
(j) Contracting parties shall, to the best of their ability, condu ct surveillance for pests and develop and maintain adequate i nformation on pest 
status in order to support categorization of pests, and for the development of appropriate phytosanitary measures.  This inform ation shall be made 
available to contracting parties, on request.  
3. A contracting party may apply measures specified in this Article to pests which may not be capable of establishment in its t erritories but, if they 
gained entry, cause economic damage.  Measures taken against these pests must be technically justified.  
4. Contracting parties may apply measures sp ecified in this Article to consignments in transit through their territories only w here such measures are 
technically justified and necessary to prevent the introduction and/or spread of pests.  
5. Nothing in this Article shall prevent importing contracting parties from making special provision, subject to adequate safeg uards, for the 
importation, for the purpose of scientific research, education, or other specific use, of plants and plant products and other r egulated articles, and of plant 
pests.  
6. Nothing in this Article shall prevent any contracting party from taking appropriate emergency action on the detection of a p est posing a potential 
threat to its territories or the report of such a detection.  Any such action shall be  evaluated as soon as possible to ensure that its continuance is justified.  
The action taken shall be immediately reported to contracting pa rties concerned, the Secretary, and any regional plant protecti on organization of which 
the contracting party is a member". 
 Phytosanitary measures, based on International Standards For Phytosanitary Measures (ISPMs), are established and determined by  national 
governments i.e. there are no global or region al phytosanitary measures that are obligatory. 
Article X Standards "1. The contracting parties agree to coopera te in the development of international st andards 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 in ternational standards for phytosanitary measures if more broadly applicable. 
4. Contracting parties should take into account, as appropri ate, international standards wh en undertaking activities related to  this 
Convention". 
 In addition to the above, the IPPC is nominated as the Plan t Health standards setting organization for the WTO Agreement on th e Application of 
Sanitary and Phytosanitary Measures (SPS Agreement). 
Examples of 
International 
Standards for 
Phytosanitary 
Measures (ISPMs) 
adopted under IPPC 
relevant to trade: ISPM # 01 (2006):  Phytosanitary principles for the protection of plants and the application of phytosanitary measures in inter national trade 
ISPM # 02 (2007):  Framework for pest risk analysis 
ISPM # 03 (2005):  Guidelines for the export, shipment, import and release of biological control agents and other beneficial or ganisms  
ISPM # 04 (1995):  Requirements for the establishment of Pest Free Areas 
ISPM # 05(2010):   Glossary of phytosanitary terms 
ISPM # 06 (1997):  Guidelines for surveillance 
ISPM # 07 (1997):  Export certification system  
   WT/CTE/W/160/Rev.5
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 Page 43ISPM # 08 (1998):  Determination of pest status in an area 
ISPM # 09 (1998):  Guidelines for pest eradication programmes 
ISPM # 10 (1999):  Requirements for the establishment of pest free places of production and pest free production sites 
ISPM # 11 (2004):  Pest risk analysis for quarantine pests including analysis of environmental risks and living modified organi sms 
ISPM # 12 (2001):  Guidelines  for phytosanitary certificates 
ISPM # 14 (2002):  The use of integrated measures in a systems approach for pest risk management 
ISPM # 15 (2009):  Regulation of wood pa ckaging material in international trade 
ISPM # 16 (2002):  Regulated non-quarantine pests:  concept and application 
ISPM # 17 (2002):  Pest reporting 
ISPM # 18 (2003):  Guidelines for the use of irradiation as a phytosanitary measure 
ISPM # 20 (2004):  Guidelines for a phytosanitary import regulatory system 
ISPM # 21 (2004):  Pest risk analysis for regulated non quarantine pests 
ISPM # 22 (2005):  Requirements for the establishment of areas of low pest prevalence 
ISPM # 23 (2005):  Guidelines for inspection 
ISPM # 24 (2005):  Guidelines for the determination an d recognition of equivalence of phytosanitary measures 
ISPM # 25 (2006):  Consignments in transit 
ISPM # 26 (2006):  Establishment of pe st free areas for fruit flies (Tephritidae) 
ISPM # 27 (2006):  Diagnostic protocols for regulated pests 
ISPM # 28 (2009):  Phytosanitary treatments for regulated pests 
ISPM # 29 (2007):  Recognition of pest fr ee areas and areas of low pest prevalence 
ISPM # 30 (2008):  Establishmen t of areas of low pest prevalence for fruit flies (Tephritidae) 
ISPM # 31 (2008):  Methodologies for sampling of consignments 
ISPM # 32 (2009):  Categorization of commodities according to their pest risk 
ISPM # 34 (2010):  Design and Operation of post-entry quarantine stations for plants  
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B. INTERNATIONAL CONVENTION FOR THE CONSERVATION OF ATLANTIC TUNAS  
1. The ICCAT is not a regulatory body, however, regulatory Recommenda tions and Resolutions related to  the conservation of tuna and  tuna-like species in 
the Atlantic Ocean and adjacent seas, adopted by the Commission, are to be implemented domestically by Contracting Parties and Cooperating non-Contracting 
Parties, Entities or Fishing Entities.  Recommendations are the onl y binding instruments.  They are subject to a six-month peri od during which Contracting 
Parties can file an objection (see Article VIII:3).  The Recommend ations then enter into force after the six-month objection pe riod.  Resolutions are a second 
instrument of the Commission, but are not subject to an objecti on period.  The number of Resolutions and Recommendations that t he 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 Against Illegal, Unregula ted, and Unreported Fishing Activities by Large-Scale Longline Vessels in 
the Convention Area and Other Areas (Transmitted to Contracting Parties on  16 December 1999)  
"... 2. The Contracting Parties, Coopera ting 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 busi ness people to refrain from engaging in transaction and transs hipment of tunas 
and tuna-like species caught by vessels car rying out illegal, unregulated and unrepor ted fishing activities in the Convention A rea 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 othe r 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 
Vessels Resolution concerning the Measures to Prevent the Laundering of Catches by IUU Large-Scale Tuna Longline Fishing Vessels (Enter ed into 
force 3 June 2003) 
"... 1. Contracting Parties, C ooperating Non-Contracting Parties, Entities or Fi shing 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 transshipmen t 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 am ount of each vessel in validating the Stat istical Document and 
require the reporting of transshipment. 
2. CPCs that import tuna and tuna-like species caught by larg e-scale tuna longline fishing vessels and subject to the Statistic al Document 
Programs should require transporters (which include container vess els, mother vessels, and the like) that intend to land such s pecies in their ports, to 
ensure that Statistical Documents are issued , whenever possible before the transshipment.  Importing CPCs should obligate the t ransporters to submit 
necessary documents, including a copy of the validated Statistical Document and other documents, as required under domestic reg ulation, such as the 
receipt of transshipment, to the importing CPCs’ authorities immediately after the transshipment".  
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 Page 45Resolution 02-26 
Cooperative Actions to 
Eliminate IUU Fishing 
Activities by Large-Scale 
Tuna Longline Vessels 
(LSTLVs) Resolution concerning Cooperative Actions to Eliminate IUU Fishin g Activities by Large-Scale Tuna  Longline Vessels (Entered int o force 3 
June 2003) 
"... 1. Japan and Chinese Taipei should further work togeth er 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 the objective of paragraph 1 above. 
3. The Commission urges Chinese Taipei to consider adopting appr opriate 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-Co ntracting Parties, Entities or Fishing Entitie s should urge and may instruct their re sidents to refrain 
from engaging in and/or associating with activities that may su pport IUU tuna longline fishing vessels and with any other activ ities that undermine 
the effectiveness of I CCAT conservation and management measures". 
Resolution 03-15 
Trade measures Resolution concerning trade measures (Transmitte d to Contractin g Parties on 19 December 2003) 
"... 6. The Compliance Committee [Conservatio n and Management Measures Compliance Commi ttee] or the PWG [Permanent Working Grou p 
for the Improvement of ICCAT Statistics and Conservation Measures] should evaluate the response of the CPCs [Contracting Partie s and 
Cooperating non-Contracting Par ties] or NCPs [Non-Contracting Parties, Entities or Fishing Entities], together with any new inf ormation, 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 q uotas or catch limits should be implemented to the extent possi ble before 
consideration is given to the application of  trade restrictive measures.  Trade measures  should be considered only where such 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 the Convention to take non-discriminatory trade restrictive measures, consistent with their international obligations.  The Commission should 
notify the CPCs and NCPs concerned of the d ecision and the underlying reasons in accord ance with the procedures specified in pa ragraph 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 th e lifting of the non-discriminat ory 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 warrant or where availa ble information clearly shows th at, despite the lifting of trade- restrictive measures, 
the CPC or NCP concerned continues to diminish the effectiveness of ICCAT conservation and management measures, the Commission may 
immediately decide on action including, as appropriate, the imposition of trade-restric tive 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...".  
  
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2. Recommendations 
Recommendation 96-14 
Compliance in Bluefin & 
North Atlantic Swordfish 
Fisheries  Recommendation Regarding Co mpliance in the Bluefin Tuna and North Atlantic Sw ordfish Fisheries (Entered into force on 4 August 1997)  
"… 3. ... if any Contracting Party exceeds its catch limit during any tw o 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 m easures.  Any trade measures under  this paragraph will be import restrictions on the subject s pecies and consistent 
with each Party's international ob ligations.  The trade measures will be of such duration and u nder such conditions as the Comm ission may 
determine." 
 This recommendation was extended to South Atlantic swordfish fi shery, effective on 24 September 1998 (Recommendation 97-8 – Co mpliance in 
the South Atlantic Swordfish Fishery)  
Recommendation 02-17 
Plurinational State of 
Bolivia:  pursuant to the 
1998 IUU Resolution Recommendation Regarding the Plurinational State of Bolivia pursuant to the 1998 Re solution Concerning the Unreported and 
Unregulated Catches of Tuna by Large-Scale Longline Vessels in the Convention Area (Entere d into force on 3 June 2003) 
"1. Contracting Parties and Cooperating no n-Contracting Parties, Entities or Fishing Entities take appropriate measures, consis tent with provisions 
of the 1998 Resolution, to the effect that the import of Atlantic bigeye tuna and its products in any form from the Plurination al State of Bolivia be 
prohibited, effective from the time this Recommendation enters into force". 
 The 1998 Resolution referred to in this paragraph was replaced by the Resolution by ICCAT Concerning Trade Measures (Res. 03-1 5 above).  
Recommendation 02-20 
Trade Sanction against 
St. Vincent and the 
Grenadines  Recommendation concerning the Trad e Sanction Against St. Vincent and the Grenad ines (Entered into fo rce on 3 June 2003) 
"...2. Contracting Parties and Cooperating non-Contracting Par ties, Entities or Fishing Entities shall assist St. Vincent and t he Grenadines with its 
efforts to ensure that the owners and operators of its large- scale fishing vessels have no history of illegal, unreported and u nregulated fishing 
activities, or the previous owners and operators have no legal, beneficial or financial interest in, or control over its large- scale fishing vessels." 
Recommendation 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) (Entered into force on 3 June 2003) 
"... 1. The Commission shall establish and main tain an ICCAT record of fishing vessels larger than 24 mete rs in length overall (hereafter 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 reco rd are deemed not to be authorized to fi sh 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 Esta blishment of a List of Vessels Presumed to Ha ve Carried out Illegal, Unreported and Unregulat ed 
Fishing Activities in the ICCAT Convention Area  (Negative List) (Entered in to force on 4 June 2003) 
"… 9. Contracting Parties and Cooperating non-Contracting Parties, Entities or Fishin g 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 transshipme nt 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 vess els included in the IUU list, except if the vessel has changed owner;  and the new own er has provided 
sufficient evidence demonstrating the previous owner or operator ha s no further legal, beneficial or financial interest in, or control of, the 
vessel, or having taken into account all relevant facts, the fl ag Contracting Party or Cooperating non-Contracting Party, Entit y or Fishing Entity 
determines that granting the vessel its flag will not result in IUU fishing;  
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 Page 47(e) To prohibit the imports, or landing and/or transshipment, of  tuna and tuna-like species from vessels included in the IUU li st; 
(f) To encourage the importers, transporters and other sectors concerned, to refrain from transaction and transshipment of tuna  and tuna-like 
species caught by vessels included in the IUU list; 
(g) To collect and exchange with other Contracting Parties or Cooperating non-Contracting Parties, Entities or Fishing Entities  any appropriate 
information with the aim of searching, controlling and preventing false import/export certificates regarding tunas and tuna-lik e species from 
vessels included in the IUU list... 
12. Without prejudice to the rights of flag Contracting Parties or Cooperating non-Contracting Parties, Entities or Fishing Ent ities and coastal states 
to take proper action consistent with international law, the Contracting Parties, Cooperating non-Contracting Parties, Entities  or Fishing Entities shall 
not take any unilateral trade measures or other sanctions against vessels provisionally included in the draft IUU list, pursuan t to paragraph 3, or 
which have been already removed from the list, pursuant to paragraph 6, on the grounds that such vessels are involved in IUU fi shing activities." 
Recommendation 03-16 
Additional Measures 
Against Illegal, 
Unreported and 
Unregulated Fishing Recommendation to Adop t Additional Measures Against Illegal, Unreported an d Unregulated Fishing (Entered  into force on 19 June 2004) 
"… 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 tu nas or tuna-like species caught by IUU fishing activities".  
Recommendation 03-18 
Trade Restrictive 
Measures on Bigeye 
Tuna against Georgia Recommendation for Bigeye Tuna Trade Restrictive Measures on Georgia (Ent ered 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 impor t of Atlantic bigeye tuna and its products in any form from Ge orgia be prohibited 
effective from the time this Recommendation enters into force. 
2. Contracting Parties, Cooperating non-Co ntracting Parties, Entities or Fishing Entities lift the import prohibitions on Georg ia upon the decision 
of the Commission and receipt of notification from the ICCAT Execut ive Secretary that fishing prac tices of Georgia have been br ought into 
conformity with ICCAT measures".  
Recommendation 04-13  
Lifting of Trade 
Sanctions against 
Equatorial Guinea Recommendation Concerning the Lifting of Trade Sanctions against Equatorial Guinea  (Entered into force on 13 June 2005) 
"… 1. Contracting Parties and Cooperati ng non-Contracting Parties, Entities or Fi shing 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 im plement this recommendation as soon as possible in accordance with their regulato ry procedures. 
3. The ICCAT Secretariat conti nue providing Equatorial Guinea with the techni cal assistance necessary for the implementation of  a statistical-
fishing data system so that this country can fully adapt to the ICCAT requirements concerning the submission of statistical dat a." 
Recommendation  06-07  
on Bluefin Tuna Farming 
[Rec.04-06] Recommendation to Amend the Recommendation on Bluefin Tuna Farming  [Rec. 04-06 ] (Entered into force  13 June 2006) 
…"9. (g) Each CPCs shall take the necessary measures, under their applicable legislation, to prohibit the imports and sale of b luefin tuna from 
farms not registered in the ICCAT record of farming facilities auth orised to operate as well as those that do not respect the s ampling requirements 
foreseen in paragraph 2b and/or do not participate in the sampling programme referred to in paragraph 2 b)…."   
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Page 48 
Recommendation 00-21. 
Concerning the ICCAT 
Bigeye Tuna Statistical 
Document Program 1. By July 2002, or as soon as possible thereafter, Contracting Parties shall require that all bigeye tuna, when imported into the territory of a 
Contracting Party, be accompanied by an ICCA T Bigeye Tuna Statistical Document which meets the requirements described in Annex 1 or an 
ICCAT Bigeye Tuna Re-export Certificate which meets the requirement s described in Annex 2.  Bigeye tuna caught by purse seiners  and pole and 
line (bait) vessels and destined principally for the canneries in the Convention area are not subject to this statistical docum ent requirement. The 
Commission and the Contracting Parties importing bigeye tuna shall contact all the exporting countries to inform them of this p rogram in advance of 
implementation of the program. 
Recommendation 00-21. 
Establishing a Swordfish 
Statistical Document 
Program 1. Contracting Parties shall require that a ll swordfish, when imported into the territo ry of a Contracting Party, be accompanie d by an ICCAT 
Swordfish Statistical Document (Attachment 2) that meets the requirements described in Attachment 1 or an ICCAT Swordfish Re -e xport 
Certificate (Attachment 4) that meets the requirements described in Attachment 3. The Commission and the Contracting Parties im porting swordfish 
shall contact all the exporting countries to inform them of th is program, particularly differentiation of treatment between cat ches of swordfish in the 
Convention Area and those outside of it in advance of implementation of the program. 
Recommendation 09-11 
Amending the 
Recommendation 08-12 
on an ICCAT Bluefin 
Tuna Catch 
Documentation Program 3. Each consignment of bluefin tuna domestically traded - imported into or exported or re-exported from its territories - shall  be accompanied by a 
validated BCD, except in cases where paragr aph 12(c) applies and, as applicable, an I CCAT transfer declara tion or a validated B luefin Tuna Re-
export Certificate (BFTRC). Any such landing, transfer, delivery, harvest, domestic trade, import, export or re-export of bluef in tuna without a 
completed and validated BCD or a BFTRC shall be prohibited.  
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 Page 49C. CONVENTION ON INTERNATIONAL TRADE IN ENDANGERED SPECIES OF WILD FAUNA AND FLORA  
1. CITES provides for trade measures at different decision-making levels: 
(a) Trade measures that are legally binding (text of the Convention); 
(b) Trade measures decided by the Conference of the Parties (CoP); 
(c) Trade measures decided by the Standing Committee (SC) on behalf of the CoP; 
(d) Trade measures recommended by the Animals Committee/Plants Committee; 
(e) Trade measures recommended by the Secretariat to the CoP and SC;  and 
(f) Stricter domestic trade measures adopted by the Parties. 
1. Provisions of the Convention 
Article II 
Fundamental Principles  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 be authorized through a permit and certificate system.  The spec ies covered by 
CITES are listed in three Appendices, accordin g to the degree of protection they need. 
"1. Appendix I shall include all species threat ened with extinction which are or may be affected by trade.  Trade in specimens of these species must 
be subject to particularly strict regulation in order not to 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 ut ilization incompatible with their survival;  and  
(b) other species which must be subject to regulation in order that trade in specimens of certain species referred to in sub-pa ragraph (a) of this 
paragraph may be brought under effective control.  
3. Appendix III shall include all species wh ich any Party identifies as being subject to regulation within its jurisdiction for  the purpose of 
preventing or restricting exploitation, and as needing the co-operation of other Parties in the control of trade.  
4. The Parties shall not allow tr ade in specimens of species incl uded in Appendices I, II and II I except in accordance with the  provisions of the 
present Convention".  
Article III 
Regulation of Trade in 
Specimens of Species 
Included in Appendix I  Appendix I includes species that are threatened with extinction or endangered and that require the greatest protection among CI TES-listed animals 
and plants (see Article II, paragraph 1 of the Convention).  CI TES generally prohibits international commercial trade in specim ens of wild origin of 
these species.  However, trade may be allowed under exceptiona l circumstances, e.g. captive breed ing, artificial propagation, s cientific research, etc.  
In these cases, trade may be authorized by the granting of both an export permit (or re-export certificate) and an import permi t (See Article III of the 
Convention). 
 Trade in Appendix I species of wild  origin must meet two criteria: 
1. Trade must not be primarily commercial in nature.  Resolution Conf. 5.10 (Rev. CoP15) defines "commercial" as an activity wh ose "purpose is 
to obtain economic benefit (whether in cash or in kind) and is directed toward resale, exchange, provision of a service or othe r form of economic use 
or benefit. The Resolution further defines "primarily commercial" by providing that "all uses whose non-commercial aspects do n ot clearly 
predominate shall be considered to be primarily commercial in nature with the result that the importation of specimens of Appen dix-I species should 
not be permitted. The burden of proof for showing that the intended use of specimens of Appendix-I species is clearly non-comme rcial shall rest with  
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Page 50 
the person or entity seeking to import such specimens." 
2. It must not be detrimental to the survival of the species.  The non-detriment finding is a scientific assessment.  Document CoP11 Doc. 11.40 
prepared for CITES CoP-11 (Gigir i, 2000) provides assistance to Scientific Authorities for making non-detriment findings.  It m akes reference to 
Information Document CoP11 Inf. 11.3 which contains a checklist for making non-detriment findings for Appendix II species.  The  checklist was 
published and distributed by IUCN at CoP-12 (see also new capacity building material prepared by the CITES Secretariat).   
Article IV 
Regulation of Trade in 
Specimens of Species 
Included in Appendix II  Appendix II includes species that are not n ecessarily threatened with extinction but th at may become so unless trade is closely  controlled.  It also 
includes so-called "look-alike species".  In ternational 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 A rticle 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  Appendix III is a list of species included at the request of a Party th at already prevents or rest ricts exploitation of the spe cies and that needs the 
cooperation of other countries in the control of trade (see Article II, paragraph 3, of the Convention).  International trade i n specimens of species 
listed in this Appendix is allowed only on presentation of the appropriate permits or certificates. 
Article VI 
Permits and Certificates  Provides details for permits and certificates granted under th e provisions of Articles III, IV, and V of the Convention. 
Resolution Conf. 12.3 (Rev. CoP 15) further elaborates on the requirements of permits and certificates.   
Article VII 
Exemptions and Other 
Special Provisions 
Relating to Trade  Lists the Exemptions and Other Special Provisions Relating to Trad e.  This Article provides all the exceptions to the regulatio n of trade in wild 
fauna and flora species listed in the three CITES Appendices. 
 The application and implementation of Article VII, paragraphs 2 and 3, have been specified in Resolutions Conf. 13.6 and 13.7 o f CoP13 
(Bangkok, 2004). 
Article VIII 
Measures to Be Taken by 
the Parties "1. The Parties shall take appropriate meas ures to enforce the provisio ns 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, 
damage to health or cruel treatment. 
4. Where a living specimen is confiscated  as a result of measures referred to in paragraph 1 of this Article:   
(a) the specimen shall be entrusted to a Management Authority of the State of confiscation;   
(b) the Management Authority shall, after consultation with the 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 Author ity deems appropriate and consiste nt with the purposes of the pr esent 
Convention;  and  
(c) the Management Authority may obtain the advice of a Scientific  Authority, or may, whenever it considers it desirable, consu lt the  
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 Page 51Secretariat in order to facilitate the decision under sub-paragr aph (b) of this paragraph, including the choice of a rescue cen tre or other place.  
5. A rescue centre as referred to in paragraph 4 of this Arti cle 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 sp ecies 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 certifi cates granted;  the States with which su ch 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 sh all be available to the public where this is not inconsistent w ith the law of the Party 
concerned".  
Article IX  
Management and 
Scientific Authorities "1. Each Party shall designate for the 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 instrume nt of ratification, acceptance, ap proval or accession shall at th at 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 re garding the conditions for trade, taking, possessi on or transport of sp ecimens 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 shall in no way aff ect the provisions of any domestic measures or the obligations o f Parties deriving 
from any treaty, convention, or international agreement relating to other aspects of trade, taking, possession or transport of specimens which is in 
force or subsequently may enter into force for any Party including any measure 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 treat y, 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. 
5. Notwithstanding the provisions of Article s III, IV and V, any export of a specime n taken in accordance with paragraph 4 of t his Article shall 
only require a certificate from a Management Authority of the Stat e of introduction to the effect  that the specimen was taken i n accordance with the 
provisions of the other treaty, convention or international agreement in question. 
6. Nothing in the present Convention shall prejudice the codification and development of the law of the sea by the United Natio ns Conference on 
the Law of the Sea convened pursuant to Resolution 2750 C (XXV) of the General Assembly of the United Nations nor the present o r future claims  
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and legal views of any State concerning the law of the sea and the nature and extent of coastal and flag State jurisdiction". 
 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 Parties 
1. Examples of Resolutions and Decisions of the CoP include: 
Resolution Conf. 6.7 
Interpretation of 
Article XIV, paragraph 1 
of the Convention "…a) each Party intending to take stricter domestic measures pursuant to Article XIV, paragraph 1, of the Convention regarding trade in specimens 
of non-indigenous species included in the Appendices make every reasonable effort to notify the ra nge States of the species con cerned at as early a 
stage as possible prior to the adoption of su ch measures, and consult with those range St ates that express a wish to confer on the matter;  and 
b) each Party that has taken such stricter domestic measures fo r non-indigenous species prior to  the adoption of this Resolutio n consult, if requested, 
on the appropriateness of such measures w ith range States of the species concerned". 
 There is also Resolution Conf.8.4 (Rev.CoP.15) on National laws for the implementation of the Convention. 
Resolution Conf. 9.9 
Confiscation of 
Speciments Exported or 
Re-exported in violation 
of the Convention  "...a) when specimens are exported or re-exported in violation of the Conve ntion, importing Parties: 
i) consider that the seizure and confiscation of such specimens  are generally preferable to the definitive refusal of the impor t of the specimens; 
and 
ii) notify as soon as possible the Management Authority of the State from which the specimens were consigned of the violation a nd of any 
enforcement actions taken con cerning the specimens; and 
b) when the import of specimens that have been exported or re-exported in violation of the Convention is refused by the country  to which the 
specimens are consigned, the exporting or re-exporting Party take the measures necessary to ensure  that such specimens are not re-entered into illegal 
trade, including monitoring their return to the country and providing for their confiscation." 
Resolution Conf. 9.21 
(Rev. CoP 13) 
Interpretation and 
Application of Quotas for 
Species included in 
Appendix I "... a) a Party wishing the Conference of the Parties to estab lish a quota for a species included in Appendix I, or to amend an  existing quota, should 
submit to the Secretariat its proposal, with supporting informa tion including details of the scientific basis for the proposed quota, at least 150 days 
before a meeting of the Conf erence of the Parties; and 
b) whenever the Conference of the Parties has set an export quota for a particular sp ecies included in Appendix I, this action by the Parties satisfies 
the requirements of Article III regarding the findings by the ap propriate Scientific Authorities that the export will not be de trimental to the survival 
of the species and that the purposes of the import will not be detrimental to the survival of the species, provided that: 
i) the quota is not exceeded; and 
ii) no new scientific or management data have emerged to indi cate that the species population in  the range State concerned can no longer 
sustain the agreed quota."  
Resolution Conf. 10.14 
(Rev. CoP14) 
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 sa id skins taken from any one calendar year (1 January to 31 Dece mber) than the 
number shown under ‘Quota’ opposite the name of the State:…" 
 There is also Resolution Conf. 10.15 (Rev. CoP14) on the Establishing Quotas for Markhor Hunting Trophies.  
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(Rev. CoP13) 
Trade in Vicuña Cloth "…a) Management Authorities authorize the import of vicuña clot h 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 enforce ment 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 accede to it at the earliest possible date in order to improve 
international trade control of raw musk and products containing musk; 
(d) working with musk consumers to develop alternatives for raw musk in order to reduce demand for natural musk, while encourag ing 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 enfor cement efforts;…" 
Resolution Conf. 11.18 
Trade in Appendix-II 
and –III Species CoP recommends that if any Party deems that an Appendix-II or –III species is be ing traded in a manner detrimental to the survi val of that species, it:  
"(a) consult directly with the appropriate Management Authorities of the countries involved or, if  this procedure is not feasib le or successful, make 
use of the provisions of Article XIII to ca ll upon the assistance of the Secretariat; 
(b) make use of the options provided by Article XIV to apply stricter domestic measures particularly when re-export or tranship ment, or trade 
with a State not party to the Convention is involved; or 
(c) make use of the options provided by Article X when trade with a State not party to the Convention is involved... " 
Resolution Conf. 12.7 
(Rev. CoP14) 
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 enforcemen t 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 person s or companies 
and provide a copy of this register to th e Secretariat.  The register should be upda ted when changes occur and communicated to the Secretariat 
without delay.  The Secretariat should distribute this informa tion via a Notification to the Parties and include it in its regi ster on the CITES 
website; 
(b) each importing, exporting and re-exporting Party should establish, where cons istent with national law, a registration syste m for caviar 
processing plants, including aquaculture operations,  and repackagin g plants in its territory and provide to the Secretariat th e list of these 
facilities and their official registration codes.  The list should be updated when changes occur and communicated to the CITES Secretariat 
without delay.  A copy of the list should be provided to the Secretariat by 30 Nove mber each year.  The Secretariat should dist ribute this 
information via a Notification to the Parties and include it in its register on the CITES website; 
(c) importing countries be particularly vigilant in controlling a ll aspects of the trade in specimens of sturgeon and paddlefis h species, including 
the unloading of sturgeon specimens, trans it, 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 zo nes and free 
ports, and for airline an d cruise line catering;  
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(e) Parties ensure that all their relevant agencies cooperate in  establishing the necessary admi nistrative, management, scienti fic 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 th eir national legislation related to personal  exemptions for caviar, to allow for th e 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) …all caviar from shared stocks subject to  export quotas should be exported before the end of the quota year (1 March – last  day of 
February) in which it was harvested and processed. For this purp ose, the export permits for such caviar should be valid until t he last day of the 
quota year at the latest. Parties shou ld not import caviar harvested and pr ocessed in the preceding quota year.; 
(h) no re-export of caviar take place more than 18 months after the date of issu ance of the relevant original export permit. Fo r that purpose, re-
export certificates should not be valid beyond the 18-month period; 
(j) Parties consult the UNEP-WCMC caviar trade database  prior to the issuance of re-export certificates; 
(k) the Secretariat shall submit a written progress report at each  meeting of the Standing Committee on the operation of the UN EP-WCMC 
caviar trade database; 
(l) where available, Parties use the full ei ght-digit Customs code for caviar, instead of the less precise six-digit code which  also includes roe 
from other fish species; and 
(m) Parties implement the universal labelli ng system for caviar outlined in Annexes 1 and 2 and importing Parties not accept sh ipments of 
caviar unless they comply with these provisions. 
Resolution Conf. 12.8 
(Rev. CoP13) 
Review of Significant 
Trade in Specimens of 
Appendix-II species "... Directs the Animals and Plants Committees, in cooperation with  the Secretariat and experts, and in consultation with range  States, to review the 
biological, trade and other relevant information on Appendix-II sp ecies subject to significant leve ls of trade, to identify pro blems and solutions 
concerning the implementation of Article IV , paragraphs 2 (a), 3 and 6 (a) of the Co nvention in accordance with the following p rocedure: ... 
When the Animals and Plants Committees are not satisfied that Ar ticle IV, paragraphs 2 a), 3 or 6 are being correctly implement ed: 
(m) the Animals Committee or Plants Committee shall, in consulta tion with the Secretariat, formulate recommendations for the re maining 
species.  These recommendations shall be directed to the range States concerned; 
(n) for species of urgent concern, these recommendations should propose specific actions to address problems related to the imp lementation of 
Article IV, paragraph 2 (a), 3 or 6 (a).  Such recommendations should differentiate between short-term and long-term actions, 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 information required to enable the Animals or Pla nts Committee 
to determine whether the species should be cat egorized as either of urgent concern or of least concern.  They should also speci fy interim 
measures where appropriate for the regulatio n of trade.  Such recommendations should differentiate between short-term and long- term actions, 
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 with the Chairman of the Animals or Plants Committee, is not satisfied that a range State has 
implemented the recommendations made by the Animals or Plants Committee in accordance w ith paragraphs n) or o), it should recom mend to 
the Standing Committee appropriate action, which may include, as a last resort, a suspension of trade in the affected species w ith that State.  On 
the basis of the report of the Secretariat, the Standing Committee shall decide on appropriate action and make recommendations to the State 
concerned, or to all Parties ...".  
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 Page 55Resolution Conf. 13.2 
(Rev.CoP 14) 
Sustainable Use of 
Biodiversity:  Addis 
Ababa Principles and 
Guidelines "... Urges the Parties to: 
(a) make use of the Principles and Guidelines for the Sustainable Use of Biodiversity, also taking into account scientific, tra de and enforcement 
considerations determined by national circumstances, as well as  the recommendations of the Anim als and Plants Committees,  when  adopting 
non-detriment-making processes and making CITES non-detriment findings; ... Annex:  Sustainable use of biodiversity:  Addis Aba ba 
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. ..." 
Resolution Conf. 13.4 
(Rev.CoP14) 
Conservation of and 
trade in great apes "... Urges all Parties to: 
(a) adopt and implement comprehensive legislation to protect great apes, which includes:  
i) a prohibition of all 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 member of the GRASP partnership, to develop and implement measures, including legislati ve 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 Co mmittee to work closely with GRAS P, 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; ..." 
Resolution Conf. 13.5 
(Rev. CoP14) 
 Establishment of export 
quotas for black 
rhinoceros hunting 
trophies "...The [CoP] to the Convention recommends that the parties: 
Approves the establishment of an annual export quota of five hunting trophies of adult male black rhinoceros from South Africa and five from 
Namibia; 
Recommends that:  
(a) in reviewing applications for permits to import black rhinoceros hunting trophies, in accordance with Article III, paragrap h 3 (a), of the 
Convention, and Resolution Conf. 9.21 (Rev. CoP13), paragraph b), the Scientific Authority of the State of import approve permi ts if it is 
satisfied that the trophies being considered are from a range State to which an export quota has been granted as part of a nati onal black 
rhinoceros conservation and management plan or programme and will be traded in accorda nce with the provisions of the present Re solution;  
(b) in reviewing applications for permits to import black rhinoceros hunting trophies, in accordance with Article III, paragrap h 3 (c), of the 
Convention, the Management Authority of the State of import be sa tisfied that such trophies are not to be used for primarily co mmercial 
purposes if:  
i) the trophies were acquired by the owners  in the country of export and are being imported as personal items that will not be sold in the 
country of import; and  
ii) each owner imports no more than one trophy in an y calendar year (1 January to 31 December); and  
(c) amendments to export quotas or the es tablishment of additional export quotas for this species be done  in accordance with Re solution Conf. 
9.21 (Rev. CoP13)".  
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Resolution Conf. 13. 10 
(Rev. CoP14) 
Trade in Alien Invasive 
Species "...The [CoP] to the Convention recommends that the parties: 
(a) consider the problems of invasive species when developing na tional legislation and regulations that deal with the trade in live animals or 
plants; 
(b) consult with the Management Authority of a proposed country of import, when possible and when applicable, when considering exports of 
potentially invasive species, to determine whether there are domestic measures regulating such imports..."; and 
(c) consider the opportunities for synergy between CITES and the Convention on Biological Diversity (CBD) and explore appropria te 
cooperation and collaboration between the two Conventions on the is sue of introductions of alien species that are potentially i nvasive."  
Resolution Conf. 14.2 
CITES (Rev. CoP14) 
Strategic Vision: 2008-
2013 "The [CoP] to the Convention: 
Convinced that CITES should consider the broader interna tional community relating to the environment and trade";  
Calls the Parties to: "Conserve biodiversity and contribute to its sustainable use by ensuring that no species of wild fauna or  flora becomes or 
remains subject to unsustainable exploitation through internati onal trade, thereby contributing to the significant reduction of  the rate of biodiversity 
loss" (CITES vision statement). 
 There are also Resolution Conf. 14.3 (Rev.CoP14) on CITES Compliance Procedures, Resolution Conf. 14.4 (Rev.CoP 14) on Coopera tion 
between CITES and ITTO regarding trade in tropical timber, Resolution Conf. 14.6 (Rev.CoP15) on Introduction from the sea and R esolution Conf. 
14.7 (Rev.CoP15) on Management of nationally established export quotas. 
Resolution Conf. 15.2 
(Rev. CoP15) 
 
Wildlife Trade Policy 
Reviews 
 "...The [CoP] to the Convention recommends that the parties: 
"... (a) Invites exporting and importing countries to carry out, on a voluntary basis, reviews of wildlife policy on the use of  and trade in specimens 
of CITES-listed species, taking into account environmental, social and economic issues and relevant policy instruments, in orde r to facilitate a 
better understanding of the effects of wildlife tr ade policies on the international wildlife trade; 
(d) Requests Parties that undertake wildlif e trade policy reviews on a voluntary basis to share relevant details of their revie ws and lessons 
learned with other Parties; 
(e) Instructs the Secretariat to  facilitate the review of wild life trade policies, th rough raising the nece ssary fund s and prov iding necessary 
technical cooperation, compile information provided voluntarily by the Parties regarding their wildlife trade policy reviews an d make this 
information available to other Parties..."  
3. Quota systems within CITES  
1. Export quotas in the context of CITES are simply the maximum numbe r of specimens that may be e xported from the country concerne d within a 12-
month period [cf. Resolution Conf. 14.7 (Rev. CoP15)]. Expor t quotas are derived from four sources (see Notification No. 2008/0 53 of 22 August 2008):  (a) 
voluntary national export quotas, (b) export quotas recommended by th e CoP, Standing Committee, the Animals Committee or the Pl ants Committee, (c) export 
quotas for raw elephant ivory in compliance with Resolution Conf . 10.10 (Rev. CoP15) and d) catch and export quotas for Acipens eriformes established in 
accordance with Resolution Conf. 12.7 (Rev. Co P14).  Quotas, and to a lesser extent ot her forms of instruments on management of  harvests and exports, have 
been used in CITES to regulate the quantity of specimens of CI TES-listed species entering international trade.  These quotas ha ve been established through a 
range of different procedures.  CITES export quotas should be, and in many instances are, the result of: 
- Effective national conservation management programmes designed to prevent unsustainable  harvesting of wild populations;  and   
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paragraph 2 a), [for Appendix-II species] of the Convention, that  the number of specimens that may be exported as part of a quo ta will not be 
detrimental to the survival of that species. 
2. CITES quotas have served as a significant conservation measure to curtail unsustainable trade in Appendix-II species (and there fore the likely transfer of 
such species to Appendix I), but also to help countries regulate trade and maintain market access in situations where internati onal trade provides positive 
incentives for conservation. 
 Voluntary national export quotas 
3. Many Parties routinely establish annual export quotas on a voluntar y basis for one or more Appendix-II and/or –III species as a  means of regulating 
exports in those species (see the CITES website).  Th e main purposes of such export quotas appear to be: 
- To establish a limit on yearly exports at levels that are sust ainable, 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 fo r the purpose of facilitating tra de; 
- to establish a basis for allocating amounts to be  exported per year to individual exporters. 
In June 2007, the CoP adopted Resolution Conf.14.7 on the Guide lines for Management of Nationally Established Export Quotas, sp ecifying a number of general 
principles regarding the establishment and management of such a nnual export quotas. This Resolution was later revised by the Co P in March 2010 [Resolution 
Conf. 14.7 (Rev.CoP15)]. 
 Quotas established by the CoP or the Standing Committee  
4. At previous meetings, the CoP to CITES has established quotas fo r hunting trophies and other specimens of several species, incl uding Appendix-I 
species, either through the adoption of resolutions (e.g. Reso lution Conf. 10.14 (Rev. CoP14) concerning leopard, Resolution Co nf.10.15 (Rev. CoP14) 
concerning markhor, and Resolution Conf. 13.5 concerning black rhinoceros) or thr ough the amendment of the Appendices to includ e annotations to the listing of 
species that refer to quotas for tho se species or some populations of those species (e.g. the annotation for Crocodylus niloticus  that establishes a quota for the 
crocodile population of the Unite d Republic of Tanzania or the annotation  that establishes a zero quota for some specimens of Geochelone sulcata ).  Such quotas 
can only be amended if the CoP adopts by a two-thirds majority  a proposal to amend a listing or a resolution (unless the CoP ha d decided that a quota will only 
apply for a specific period).  Proposals to amend quotas specified in the Appendices need to be  submitted in accordance with Re solution Conf. 9.24 (Rev. CoP15) 
and according to the provisions of Article XV.  
5. Export quotas have in many instances been recommended  through or as a result of the Review of Significant Trade pursuant to Re solution Conf. 12.8 
(Rev. CoP13) or its predecessors.  In such cases, the Animals and Plants Committees, th rough their review of trade in species s elected because of concern over 
the sustainability of exports, made recommendations to Parties to conduct status  assessments, apply management procedures or es tablish cautions export quotas.   
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In cases of non-implementation, the Standing Committee shall decide  on appropriate action and make recommendations to the State  concerned or to all Parties.  
Such recommendations can include the establishment of quotas or th e suspension of imports with regard to specimens of listed sp ecies (e.g. Notification No.  
2010/012 of 15 June 2010). 
 Quotas submitted or established in accordance with Resolution Co nf. 10.10 (Rev. CoP14) and Resolution Conf. 12.7 (Rev. CoP14).  
6. Export quotas are also established with regard to trade in speci fic species, i.e. elephant specimens (Resolution Conf. 10.10 Re v. CoP14) and sturgeons 
and paddlefish (Resolution Conf. 12.7 Rev. CoP14).  These quotas ar e established by the members st ates in accordance with the s aid Resolutions. 
D. CONVENTION ON THE CONSERVATION OF ANTARCTIC MARINE LIVING RESOURCES  
1. The Convention does not contain trade measures, but trade-relate d measures have been adopted, fo r instance, in the following Co nservation Measures 
that are binding for the Contracting Parties: 
10-02 (2008) 
Licensing and Inspection 
Obligations of 
Contracting Parties with 
regard to their Flag 
Vessels Operating in the 
Convention Area "1. Each Contracting Party shall prohibit fishing by its flag vessels in the Convention Area except 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 specif ic conditions to which the 
fishing is subject to give effect to CCAMLR conservation measures and requirements under the Convention…". 
 Requires a Contracting Party to prohibit its flag vessels from fishing in the Convention Area unless licensed or permitted to d o so.  The licence 
should be carried on board and must include conditions of timely  notification of port entry and exit and movement between sub-a reas or divisions, 
reporting of catch data and operation of an automated satellite- linked vessel monitoring system (VMS).  Any infringement of the se conditions 
discovered upon port arrival, 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 (2009) 
Catch Documentation 
Scheme for Dissostichus  
spp. Species toothfish "…2. Each Contracting Party shall take steps to identify the origin of Dissostichus  spp. imported into or exported from its territories and to 
determine whether Dissostichus  spp. harvested in the Convention Area that is imported into or exported from its territories was caught in a manner 
consistent with CCAMLR conservation measures. 
3. Each Contracting Party shall require that  each master or 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. 
4. Each Contracting Party shall require that each landing of Dissostichus  spp. at its ports and each transhipment of Dissostichus  spp. to its vessels 
be accompanied by a completed DCD.... 
5. Each Contracting Party shall, in accord ance with their laws and regulations, requ ire 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. 
6. A non-Contracting Party seeki ng to cooperate with CCAMLR by participating in this scheme may issue DCD forms, in accordance with the 
procedures specified in paragraph 7 and Annex 10-05/C, to any of its flag vessels that intend to harvest Dissostichus  spp. … 
10. Each Contracting Party shall require that each shipment of Dissostichus  spp. imported into or exported from  its territory be accompanied by the 
export-validated DCD(s) and, where appropriate, validated re-export document(s) that account for all the Dissostichus  spp. contained in the 
shipment. …".  
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Documentation Scheme which tracks the landings and trade flows of toothfish ( Dissostichus  spp.) caught in the Convention Area and where 
possible, adjacent waters. 
 Further trade-related measures are contained in Conservation Measures 10-06 (2006) and 10-07 (2006) (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 calcu lated levels of production of the Parties concerned for any gro up 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 Parties 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 pr oduction from such 
facilities to its 1986 production of such substances for the purp oses of determining its calculated level of production for 198 6, provided that such 
facilities are completed by 31 December 1990 and that such produc tion does not raise that Party’s annual calculated level of co nsumption of the 
controlled substances above 0.5 kilograms per capita. 
7. Any transfer of production pursuant to paragraph 5 or any a ddition of production pursuant to paragraph 6 shall be notified t o the Secretariat, no 
later than the time of the transfer or addition. 
8. (a) Any Parties which are Member States of a regional economic integration organization as defined in Article 1(6) of the Co nvention may 
agree that they shall jointly fulfil their obligations respecting consumption under this Article and Articles 2A to 2I provided  that their total 
combined calculated level of consumption does not exceed the levels required by  this Article and Articles 2A to 2I. 
(b) The Parties to any such agr eement shall inform the Secretaria t 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  
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the scope, amount and timing of any such  adjustments and reductions should be; 
(b) Proposals for such adjustments shall be communicated to the Parties by  the Secretariat at least six months before the MOP a t which they are 
proposed for adoption; 
(c) In taking such decisions, the Parties sh all 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 la st resort, be adopted by a two-th irds majority vote of the Pa rties present and 
voting representing a majority of the Parties operating under Paragraph 1 of Article 5 present and voting and a majority of the  Parties not so 
operating present and voting; 
(d) The decisions, which shall be binding on all Parties, shall forthwith be communicated to the Parties by the Depositary.  Un less otherwise 
provided in the decisions, they shall enter into force on the expiry of six mont hs 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 acco rdance with the proced ure 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 measures that should apply to those substances;   
11. Notwithstanding the provisions contained in this Article and Ar ticles 2A to 2I Parties may take more stringent measures tha n those required by 
this Article and Articles 2A to 2I". 
Articles 2A-2I  Articles 2A to 2I provide specific guidance on control 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 Conventio n, elaborate in an annex a list  of products 
containing controlled substances in Annex A.  Parties that have not objected to the annex in accordance with those procedures s hall ban, within one 
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. … 
5. Each Party undertakes to the fullest practicable extent to disc ourage 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 pr ogrammes 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 reducti on of emissions of 
controlled substances in Annexes A, B, C and E. 
8. Notwithstanding the provisions of this Article, imports and expo rts 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 determ ined, by a [MOP], to be in full compliance with Article 2, Art icles 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 substa nce.  
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controlled substances in Group I of Annex C and in Annex E with States not party to the Protocol". 
 Article 4 provides for measures that are direct ed against non-parties.  Trade meas ures under Article 4 are as follows: 
(a) Control of trade in ODS with non-parties:   
(i) Annex A substances (mainly CFCs and halons):  import from non-parties banned from January 1990, export banned from January 
1993; 
(ii) Annex B substances (carbon tetrachloride, methyl chloroform and other CFCs):  import and export banned from August 1993 fo r non-
parties to the London Amendment; 
(iii) Annex C – Group II  (HBFCs):  import and export banned from June 1995 for non-parties to the Copenhagen Amendment (1992).   
(iv) Annex C – Group I (HCFCs):  import and export banned for non-parties to the Beijing Amendment (1999) from 1 January 2004.  
Trade also banned in HCFCs with countries that have not yet ra tified the Copenhagen Amendment (1992), which introduced the HCFC  
phase out. Trade ban does not apply to all developing countries that are operating under Article 5, paragraph 1 when trading in  HCFCs 
among themselves until 1 January 2013. 
(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 are discouraged "to the fullest practicable extent", export of technology for produci ng ODS;  
however, there are exceptions for HCFCs and for equipment or technology to recycle ODS. 
Article 4A 
Control of trade with 
Parties "1. Where, after the phase-out date applicable to it for a cont rolled 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 reclaimed quantities of that substance, other than for the purpose of destruction. 
2. Paragraph 1 of this Article shall apply without prejudice to the operation of Article 11 of the Convention and the non-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 impo rt and export of new, used, recycled and reclaimed controlled substances in Annexe s 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. 
3. Each Party shall, within three months of the date of in troducing its licensing system, report to the Secretariat on the esta blishment and operation 
of that system. 
4. The Secretariat shall periodically prepar e 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 fo r consideration and appropriate recommendations to the Parties ". 
 
 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 31 October 2010, 176 Parties to the Montreal Amendment to the Mont real Protocol, 
and 37 Parties that are Parties to the Montreal Protocol but ha ve not yet ratified the Montreal Amendment had already establish ed licensing systems  
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for ODS.  Decision XXII/14  of the Twenty Second Meeting of the Parties urged all th e 5 remaining Parties to the Montreal Amendment and the 3 
remaining Parties to the Montreal Protocol  that had not yet introduced import and export licensing systems to do so as a matte r of urgency. 
2. Decisions of the Meetings of the Parties 
1. Examples of decisions adopted at the Meetings of the Parties (MOP) include the following: 
MOP V  
Bangkok, 1993  It was decided at MOP V that it was not feasible to ban or restrict the import of products made with, but not containing Annex  A substances 
(CFCs and halons)( Decision  V/17 ). 
MOP IX  
Montreal, 1997  MOP IX introduced, through the Montreal Amendment, inter alia , trade controls for methyl bromid e (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  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 identifying ODS and preventing i llegal trade in 
ODS.  The decision also invites Parties to report to the Ozon e Secretariat fully proved cases of  illegal trade in ODS and the S ecretariat is 
requested to collect any information on illegal tr ade received from the Parties and to  disseminate it to all Parties.  
- Decision XIV/36  on the report on licensing system takes note of the status report for parties that have established licensing systems and 
encourages those Parties that have not yet done so to  establish import and export licensing systems of ODS. 
 MOP XIV also adopted Decision XIV/11 on the relationship between the Montreal Protocol and the WTO:  
"1. To request the Ozone Secretariat to report to the Parties to  the Montreal Protocol on any meetings it attends at the WTO an d any substantive 
contacts with the WTO Secretaria t and its Committee Secretariats; 
2. To request the Secretariat to monitor developments in the negotiations of the WTO CTE in special session and report to the P arties;   
3. To further request that the Ozone Secretariat, in coordina tion with the Multilateral Fund Secretariat, when called upon to p rovide general advice 
to the WTO on trade provisions of the Montreal Protocol and activities of the Multilateral Fund, consult with the Parties of th e Montreal Protocol and 
the Executive Committee before providing this advice.  If the Ozone Secretariat is asked for interpretations of the Protocol’s trade provisions, the 
Secretariat should refer the matter to the Parties before providing that advice".  
MOP XV 
Nairobi, 2003 Decision XV/20  on the report on licensing system takes note of the status report 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  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 interna tional agreements, not to restrict trade in products 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.   
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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 establishment of licensing systems under Article 4B of the Montreal Protocol inter alia  encourages the Parties to 
establish import and export licensing systems for ODS.  
- Decision XVI/33  on illegal trade in ODS noted the need for coordination of effort s by parties at national and international level to suppress 
illegal trade in ODS and requested draft terms for a study on the feasibility of developing a system of tracking trade in ODS.  
Pursuant to this Decision, a workshop of experts was convened in 2005 to develop specific ideas and a conceptual framework of c ooperation 
to address illegal trade in ODS.   
- Decision XVI/34  on the cooperation between the secretariat of the Montreal protocol and other related conventions and international 
organizations requested the secretariat to enhance its cooperation with, inter alia , the WTO, as well as report on and monitor developments in 
the WTO.  
MOP XVII 
Dakar, 2005  MOP XVII adopted several trade-related decisions: 
- Decision XVII/16 on preventing illegal trade in controlled ODS approved the terms of reference for a study on the feasibility of developing an 
international system of monitoring the transboundary movement of controlled ODS between parties (This feasibility study was pub lished in 
September 2006, and is available at http://ozone.unep.org/Meeting_ Documents/mop/18mop/ODS-Tracking-September-2006.pdf).  In add ition, 
the Decision urged all Parties, including regional integration organizations, to implement fully their obligations under Articl e 4B of the Montreal 
Protocol, in particular the licensing systems for the control of imports, exports, and re-exports (exports of previously import ed substances).  The 
Decision also proposed to consider additional control measures with regard to the use of controlled ODS in particular sectors o r in particular 
applications. 
- Decision XVII/23 on establishing licensing systems under Article 4B of the Protocol noted that 107 Parties to the Montreal Amendment to the 
Montreal Protocol, and 37 Parties that are Parties to the Montreal Protocol but have not yet ratified the Montreal Amendment ha d already 
established licensing systems for ODS.  The Decision encouraged all the remaining Par ties to the Montreal Amendment that had no t yet 
introduced import and export licensing systems to do so as a matter of urgency. 
- Decision XVII/25 on non-compliance noted Armenia's non-compliance with the Montreal Protocol (exceeded the Party' maximum allowable 
consumption level of methyl bromide), and warned that if Armeni a fails to return to compliance in a timely manner, the MOP will  consider 
measures, which can include ensuring that the supply of methyl bromid e be "ceased so that exporting Parties are not contributin g to a continuing 
situation of non-compliance." 
- Decision XVII/26 on non-compliance  noted that Azerbaijan has failed to enforce its newly in troduced ban on the import of CFCs due to its lack 
of expertise in the tracking of this subs tance, and requested ex porting Parties to assist Azerbaijan to comply with its commitm ent.   
 Similar decisions that noted non-complian ce by other Parties include the following: 
- Non-compliance with the ph ase-out commitment for methyl chloroform: Decision XVII/27 (Bangladesh); Decision XVII/28 (Bosnia and  
Herzegovina); Decision XVII/31 (Ecu ador); Decision VII/29 (Chile)  
- Non-compliance with the phase-out commitment for CFCs: D ecision XVII/32 (Federated States of Micronesia)  
- Non-compliance with the phase-out commitment for methyl bromide:  Decision XVII/33 (Fiji); Decisi on XVII/34 (Honduras); Decision  XVII/37 
(Libyan Arab Jamahiriya);  Decision VII/29 (Chile) 
- Non-compliance with the phase-out commitment for halons: Decision XVII/36 (Kyrgyzstan); Decision XVII/37 (Libyan Arab Jamahiriy a); 
Decision XVII/38  (Sierra Leone).  
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MOP XVIII 
New Delhi, 2006 
 - Decision XVIII/18  on preventing the illegal trade in ozone-depleting substances through systems for monitoring their transboundary movement 
between Parties.  In addition, the Decision urged all "to implem ent fully their obligations under Article 4B of the Montreal Pr otocol, as well as to 
take into account recommendations contained in existing decisions of the Parties, notably decisions IX/8, XIV/7, XVII/12 and XV II/16". 
F. BASEL CONVENTION ON THE CONTROL OF TRANSBOUNDARY MOVEMENTS OF HAZARDOUS WASTES AND THEIR DISPOSAL  
1. Provisions of the Convention 
Article 1 
Scope of the Convention "1. The following wastes that ar e subject to transboundary movement shall be "h azardous wastes" for the purposes of this Conven tion: 
(a) Wastes that belong to any category contained in Annex I, unless they do not possess any of the characteristics contained in  Annex III; and 
(b)  Wastes that are not covere d under paragraph (a) but are defined as, or are considered to be, hazardous wastes by the domes tic legislation of 
the Party of export, import or transit. 
2. Wastes that belong to any category contained in Annex II that  are subject to transboundary m ovement shall be "other wastes" for the purposes 
of this Convention. …" 
Article 3 
National Definitions of 
Hazardous Wastes "1. Each Party shall, within six months of becoming a Party to this Convention, inform the Secretariat of the Convention of the  wastes, other than 
those listed in Annexes I and II, considered or defined as hazardous under its na tional legislation and of any requirements con cerning transboundary 
movement procedures applicable to such wastes. 
2. Each Party shall subsequently inform the Secretariat of any significant changes to the information it has provided pursuant to paragraph 1. 
3. The Secretariat shall forthw ith inform all Parties of the information it ha s 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 pr ohibit the import of hazardous wastes or ot her 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 ha zardous wastes 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 hazar dous wastes and other wastes if the State of import does not consent in writing to 
the specific import, in the case wher e that State of import has not prohibited the import of such wastes. 
2. Each Party shall take the appropriate measures to: 
   (a)  Ensure that the generation of hazar dous wastes and other wastes within it is reduced to a minimum, taking into account social, technological 
and economic aspects; 
 (b)  Ensure the availability of adequate disposal facilities, fo r the environmentally sound management of hazardous wastes and  other wastes, that 
shall be located, to the extent possible, with in it, whatever the place of their disposal;… 
…(d) Ensure that the transboundary movement of hazardous wastes and other wastes is reduced to the minimum consistent with the 
environmentally sound and efficient management of such wastes, and is conducted in a manner which will protect human health and  the 
environment against the adverse effects which may result from such movement; 
(e) Not allow the export of hazardous wastes or other wastes to a State or group of States 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 environmentally sound manner, accord ing to criteria to be decided  on by the 
Parties at their first meeting.  
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concerned, according to Annex V (A), to st ate clearly the effects of the proposed move ment on human health and the environment;  
(g) Prevent the import of hazardous wastes and other wastes if it has reason to believe that the wastes in question will not be  managed in an 
environmentally sound manner; 
(h) Co-operate in activities with other Par ties and interested organizations, directly and through the Secretariat, including t he dissemination of 
information on the transboundary movement of  hazardous wastes and other wastes, in or der to improve the environmentally sound m anagement 
of such wastes and to achieve the prevention of illegal traffic; ... 
5. A Party shall not permit hazardous wastes or other wastes to be exported to a non-P arty 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, e ach Party shall: 
(a) Prohibit all persons under its national ju risdiction from transpor ting 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 su bject of a transboundary move ment be packaged, labelled , and 
transported in conformity with generally accepted and recognized international rules and standards in th e field of packaging, l abelling, and 
transport, and that due account is taken of relevant internationally recognized practices; 
(c) Require that hazardous wastes and other wastes be accompanied by a movement document from th e point at which a transboundar y 
movement commences to the point 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 th e transboundary movement of hazardous wastes and other wastes o nly be allowed if: 
(a) The State of export does not have the technical capacity and the necessary facilities, capac ity or suitable disposal sites in order to dispose of 
the wastes in question in an environmen tally 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 cr iteria 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 St ates 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 ar e 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 sovereignty of Stat es over their territorial sea established in acco rdance with 
international law, and the sovereign rights and the jurisdiction which States have in their exclusive economic zones and their continental shelves in 
accordance with international law, and the ex ercise by ships and aircraft of all Stat es of navigational rights and freedoms as provided for in 
international law and as reflected in relevant international instruments …".  
Article 5 
Designation of 
Competent Authorities 
and Focal Point "To facilitate the implementation of this Convention, the Parties shall: 
1. Designate or establish one or more competent authorities and one focal point.  One competent authority shall be designated t o receive the 
notification in case of a State of transit …".   
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Article 6 
Transboundary 
Movement between 
Parties  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 genera tor 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 Annex 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 no t allow the generator or exporter to commence th e transboundary movement until it has received w ritten 
confirmation that: 
(a) The notifier has received the written consent of the State of import;  and 
(b) The notifier has received from the State of import confirmation of the existence of  a contract between the exporter and the  disposer 
specifying environmentally sound management of the wastes in question. 
4. Each State of transit which is a Party shall promptly acknowledge to the notifier r eceipt 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 hazardous wastes  or other wastes, or modifies its require ments 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 wastes are legally defined as or considered to be hazardous wast es only: 
(a) By the State of export, the requirements  of paragraph 9 of this Article that apply to the importer or disposer and the Stat e of import shall 
apply mutatis mutandis to the exporter  and State of export, respectively; 
(b) By the State of import, or by the States of import and 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, re spectively;  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 characte ristics 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 qua ntities or periodical lists of hazardous wa stes or other wastes to be shipped. 
8. The general notification and written consen t referred to in paragraphs 6 and 7 may cover multiple shipments of hazardous was tes or other 
wastes during a maximum period of 12 months. 
9. The Parties shall require that each person who takes charge of  a transboundary movement of h azardous wastes or other wastes sign the 
movement document either upon delivery or r eceipt of the wastes in question.  They sh all also require that the disposer inform both the exporter and 
the competent authority of the Stat e of export of receipt by the disposer of the wastes in question and, in due course, of the completion of disposal as 
specified in the notification.  If no such information is received within the State of  export, the competen t authority of the S tate of export or the  
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10. The notification and response required by this Article shall be transmitted to the competent authority of the Parties conce rned or to such 
governmental authority as may be appr opriate in the case of non-Parties. 
11. Any transbound ary movement of hazardous wastes or other wastes shall be co vered 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 wast es 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 e xport, 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 St ate 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." 
 There is a duty to re-import if waste cannot be disposed of in an environmentally sound manner. 
Article 9 
Illegal Traffic "1. For the purpose of this Convention, any transboundary movement of hazardous wastes or other wastes: 
(a) without notification pursuant to the provisions of this Convention to all States concerned;  or 
(b) without the consent 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 wa stes in contravention of this Convention and of general 
principles of international law, 
shall be deemed to be illegal traffic. 
2. In case of a transboundary movement of hazardous wastes or other wastes deemed to be illegal traffic as the result of conduc t on the part of the 
exporter or generator, the State of export sh all 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 inform ed 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 othe r wastes deemed to be illega l 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 so und manner by the 
importer or disposer or, if necessary, by itself within 30 days from the time the illegal traffic has come to the attention of the State of import or such 
other period of time as the States concerned may agree.  To th is end, the Parties concerned shall co-operate, as necessary, in the disposal of the 
wastes in an environmentally sound manner. 
4. In cases where the responsibility for the illegal traffic cannot be assigned either to the exporter or generator or to the 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 legi slation to prevent and punish ille gal traffic.  The Parties sha ll co-operate with a 
view to achieving the ob jects of this Article". 
Article 10 
International cooperation 1. The Parties shall co-operate with each other in order to im prove and achieve environmentally  sound management of hazardous w astes and other 
wastes. 
2. To this end, the Parties shall:  
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(a)  Upon request, make available information, whether on a bilateral or multilateral basis, with a view to promoting the envir onmentally sound 
management of hazardous wastes and other wastes, including harmonization of tec hnical standards and practices for the adequate management 
of hazardous wastes and other wastes; 
(b)  Co-operate in monitoring the effect s of the management of hazardous wastes  on human health and the environment; 
(c)  Co-operate, subject to their national laws, regulations and policies, in the development and implementation of new environ mentally sound 
low-waste technologies and the improvement of existing technologies  with a view to eliminating, as far as practicable, the gene ration of 
hazardous wastes and other wastes  and achieving more effective and efficient meth ods of ensuring their management in an environ mentally 
sound manner, including the study of the economic, social and environmental effects of the adoption of such new or improved tec hnologies; 
(d)  Co-operate actively, subject to their national laws, regulatio ns and policies, in the transfer  of technology and managemen t systems related to 
the environmentally sound manageme nt of hazardous wastes and othe r wastes.  They shall also co-o perate in developing the techni cal capacity 
among Parties, especially those which may need an d request technical assist ance in this field; … 
2. Decisions of the Conference of Parties 
1. The following are examples of trade-related decisions adopt ed at meetings of the COP of the Basel Convention: 
COP-2 
Geneva, 1994  At COP-2, parties agreed to a ban on the export of hazardous wastes from OECD to non-OECD countries intended for final disposa l, recovery, 
and recycling (Decision II/12).  Because 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  At COP-3, it was proposed that the Ban be  formally incorporated in the Basel Conven tion as an amendment (Decision III/1).  If and when the ban 
comes into force (The Ban Amendment has 69 Parties as of October 2010), the amendment would insert in the Convention a new Arti cle 4A(2) 
which would: 
 prohibit all transboundary m ovements of hazardous wastes destined for final disposal  from Parties listed in Annex VII (consisting of members 
of OECD, EC and Liechtenstein) to states not listed in Annex VII, and 
 prohibit all transboundary moveme nts of hazardous wastes under Art 1, para 1(a) destined for recovery operations , from Annex VII states to 
non-Annex VII states. 
COP-4 
Kuching, 1998  At COP-4, there was a discussion concerning other countries wishing to join Annex VII.  These countries are Monaco, Slovenia 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.  
 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 co nsidered hazardous waste under Basel).   
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Basel, 1999  At COP-5, the Basel Declaration on Enviro nmentally Sound Management was adopted.  This Declaration outlines the activities to be 
undertaken to achieve the objectives of the practical implementation of environmentally sound management:  prevention, minimiza tion, recycling, 
recovery and disposal of wastes subject to the Convention.   
COP-6 
Geneva, 2002  At COP-6, Decision VI/30 was adopted by the COP on the Cooperation with the WTO: 
"… 1. Requests the secretariat of the Basel Convention to: 
(a) Seek observer status in the [CTE] meeting in Special Session, and to advise the Parties to the Basel Convention when the re quest has been 
submitted to and granted by [WTO]; 
(b) Report to the Parties to the Basel Convention on any meetings it attends at [WTO] and any substantive contacts with the [WT O] Secretariat 
and its committee secretariats; 
(c) Monitor developments in the [WTO CTE] meeting in  Special Session and report to the Parties thereon; 
2. Further requests the secretariat of the Basel Convention, when  called upon to provide general information to [WTO] on trade provisions of the 
Basel Convention, to consult with the Parties to the Basel Conven tion before providing that information.  If the Secretariat of  the Basel Convention is 
requested to provide interpretation on the trade provisions of  the Convention, it will refer such requests to the [COP]."  
COP-7 
Geneva, 2004  The COP-7 adopted a ministerial statement on partnerships for meeting the global waste challenge which sets out strategies for  mobilizing 
additional resources to address hazardous wastes.  The statement calls for strengthening partnerships with industries and other  international 
organizations and agreements, in particular  the Rotterdam Convention on Trade in Hazard ous Chemicals and Pesticides and the Sto ckholm 
Convention on Persistent Organic Pollutants.  It also encourages governments to consider setting their own individual or region al targets for 
minimizing wastes.  Decisions VII/2 on Hazardous Waste Minimization, VII/3 Basel Convention Partnership Programme and VII/4 Mob ile Phone 
Partnership Initiative were adopted to meet the global waste challenge.   
 Decision VII/38 on  International Cooperation, including cooperation with the WT O and the Global Environment Facility (GEF) "requests the 
Secretariat to continue its cooperation, in accordance with d ecisions VI/29 and VI/30, on criti cal areas for the effective impl ementation of the Basel 
Convention, its protocol and amendments with relevant organizations, including the following: ... (j) the WTO; …" 
COP-8 
Nairobi, 2006  COP-8 adopted the Nairobi Ministerial declaration on the envir onmentally sound management of electronic and electrical waste w hich sets out 
strategies to address e-wastes, and includes the promotion of exchange of information and transfer of best available technologi es for the 
environmentally sound management of e-waste from developed countr ies to developing countries and countries with economies in tr ansition. The 
declaration also addresses the combating and prevention of illega l traffic in e-waste, and enco urages national, regional and gl obal comprehensive 
actions for the environmentally sound management of e-waste, an d end-of-life equipment, through shared responsibilities and com mitments from all 
concerned stakeholders. A decision on the environmentally sound ma nagement of e-waste was also adopted, which mandates the Open -ended 
Working Group to develop a work plan on the environmentally sound management of e-waste, focussing on the needs of developing c ountries and 
countries with economies in transition. The decision, inter alia , urges Parties to collaborate in the prevention and combating of illegal traffic through 
information exchange; tracking and early warning systems; capacity -building, particularly strengthening institutional mechanism s; legal frameworks; 
and control activities. It also requests Parties to ensure that  donated electronic and electrical equipment that is the subject  of transboundary 
movement is not end-of-life equipment. Reports on progress in  the implementation of the decision will be made to COP-9. 
 COP 8 adopted a decision requesting the Secretariat to further strengthen cooperation and coordination with other internationa l and regional 
organizations and multilateral environmental agreements in areas of  relevance to the Basel Convention, including the WTO. Moreo ver, the same 
decision requested the Secretaria t to seek observer status with the Committee on Trade and Environment of the WTO and to advise  the Parties to the 
Convention when the request has been submitted to, and granted by, the WTO. 
 With respect to the interpretation of article 17, paragraph 5, of the Convention, which provides for the entry into force of a mendments to the 
Convention, COP 8 mandated the Open-ended Working Group to begin work on addressing the issue of interpretation, and to develop  a draft  
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decision to reach an agreed interpretation, of article 17, para graph 5, in accordance with international law for consideration by COP-9. It is noted that 
the entry into force of the ame ndment contained in decision III/1, adopted by COP-3, may be affected by the interpretation of a rticle 17, paragraph 5. 
 With respect to the transboundary movement of used and end-of-life mobile phones, COP-8 provisionally adopted a guidance docum ent on the 
environmentally sound management of used and end-of-life mobile phones as a voluntary document, and invited Parties to use and test the guidance 
document, and five guidelines produced under the Mobile Phone Partnership Initiative which had worked during the biennium 2005- 2006. The 
guidance document addresses, inter alia, the transboundary movement of used and end-of-life mobile phones.  
COP-9 
Bali, 
2008  At COP-9, the Bali Declaration on Waste Management for Human Health and Livelihood was adopted. This Declaration calls: 
" Parties and by relevant public and private organizations, includi ng international and regional organizations and programmes, to : 
(b) Strengthen subregional and regional cooperation on waste and health issues (...)      
(c) Improve waste shipment and border controls to prev ent illegal movements of hazardous and other wastes(...) 
(d) Improve cooperation between national authorities in the waste,  chemicals and health sectors and, in collaboration with othe r relevant 
authorities and stakeholders, in the development and implementation of effective and sound waste management systems; 
(e) Increase capacity- building and promote and, where possible, enhance, public and private investment for the transfer and use of appropriate 
technology for the safe and environmentally sound management of waste". 
  The COP-9 agreed that the Secretariat should take note of the request of revising the draft technical guidelines so as to furth er address aspects 
such as incineration on land and the co-processing of h azardous wastes in the contex t of the Basel Convention.  
 The COP-9 adopted a decision (IX/26) inviting the Parties to take  into consideration the "possi ble way forward on the Ban Amen dment" set out in 
the President's Statement, in order to ex plore means by which the Amendment's objectives might be achieved, while waiting for i ts entry into force.  
ExCOP-1 
Bali,  
2010 The simultaneous extraordinary meetings  of the Conferences of the Parties6 to the Basel, Rotterdam and Stockholm conventions resulted in the 
adoption of an omnibus decision (BC Ex-1/1)7, on the following thematic areas:  
(a) Joint activities; 
(b) Joint managerial functions; 
(c) Joint services;  
(d) Synchronization of budget cycles;  
(e) Joint audits;  
(f) Review arrangements. 
The implementation of the omnibus decisions will be reviewed by the respective Conferences of the Parties in 2011. COP-10 is sc heduled for 17-21 
October 2011 in Colombia. 
                                                      
6 http://excops.unep.ch/ 
7 http://www.basel.int/synergies /documents/Attachment%2018.pdf  
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 Page 71G. CONVENTION ON BIOLOGICAL DIVERSITY  
1. Provisions of the Convention  
1. 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 ge neral principles.  The specific measures required to achieve t hese goals and operationalize these 
principles are largely the prerogative of the Parties.  However, the Convention contains a number of provisions that are genera lly understood to require measures 
by Parties which may have consequences for trade.  In addition,  some of its provisions have inter-linkages with some internatio nal 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 co nservation 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 conservation 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 maintain knowledge, innovations and practices of indigenous and local communities 
embodying traditional lifestyles rele vant for the conservation and sustainable use of biological diversity and promote their wi der application 
with the approval and involvement of the holders of such knowle dge, innovations and practices an d encourage the equitable shari ng of the 
benefits arising from the utilization of su ch 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 far as possible and as appropriate: ... 
(b) Adopt measures relating to the use of biological resources to avoid or minimize adverse impacts on biological diversity; 
(c) Protect and encourage customary use of biological resources in accordance with traditional cu ltural 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 appropri ate, 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 assessment of its proposed projects that are likely to have  significant 
adverse effects on biological diversity with a view to avoiding or minimizing such effects and, where appropriate, allow for pu blic participation 
in such procedures;  
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(b) Introduce appropriate arrangeme nts to ensure that the environmental conseque nces of its programmes and policies that are li kely to have 
significant adverse impacts on biological diversity are duly taken into account; 
(c) Promote, on the basis of reciprocity , notification, exchange of information and consultation on activities under their juri sdiction or control 
which are likely to significantly affect adversely the biological diversity of other States or areas beyond the limits of natio nal jurisdiction, by 
encouraging the conclusion of bilateral, regional or multilateral 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 international cooperation to supplement such national efforts a nd, where 
appropriate and agreed by the St ates or regional economic integration organizations concerned, to establish joint contingency p lans. 
2. The [COP] shall examine, on the basis of studies to be ca rried out, the issue of liability and redress, including restoratio n and compensation, for 
damage to biological diversity, except where such liability is a purely internal matter". 
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 commercial and other utiliz ation 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, undertakes subject to the p rovisions of this Article 
to provide and/or facilitate access for and transfer to other Contracting Parties of  technologies that are relevant to the 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  
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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. 
4. Each Contracting Party shall take legislative, administrative or policy measures, as appropriat e, 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. ach Contracting Party shall take all practicable measures to  promote and advance priority access on a fair and equitable bas is by Contracting 
Parties, especially developing countries, to the results and bene fits arising from biotechnologies based upon genetic resources  provided by those 
Contracting Parties.  Such access sh all 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". 
  
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2. Decisions of the Conference of the Parties8 
1. A number of topics addressed by the Conference of the Parties relate  to international trade and th e work of the World Trade Org anization.  The COP 
emphasized the interrelationship between the Convention and the provisions of the WTO Ag reement on Trade-related Aspects of Int ellectual Property Rights 
(TRIPS Agreement), and the need to further explore this interre lationship. Specifically, COP recognized the role of intellectua l property rights in encouraging 
access to genetic resources and the sharing of benefits from the use of those resources, in contributing to the protection of t raditional knowledge, and in 
technology transfer under the Convention.  
(a) Access to genetic resources a nd the fair and equitable sharing of the benefits arising out of their utilization 
Decision V/26  
Access to Genetic 
Resources  "B. The relationship between intellectual property rights and the relevant provisions of the Agreement on Trade-related Aspects  of Intellectual 
Property Rights and the [CBD] 
The [COP]...2. Invites the [WTO] to acknowledge relevant provisio ns of the Convention and to take into account the fact that th e provisions of the 
[TRIPS] Agreement and the [CBD] are interrelated an d to further explore this interrelationship;   
3. Requests the Executive Secretary to tr ansmit the present decision to the secretariats of the [WTO] and the [WIPO], for use b y appropriate bodies of 
these organizations, and to endeavour to undertake further cooperation and consultation with these organizations;   
4. Renews its request to the Executive S ecretary of the Convention to apply for obse rver status on the [TRIPS Council], and req uests him to report 
back to the [COP] on his efforts …".
Decision VI/24 
Access and Benefit-
sharing as Related to 
Genetic Resources The Bonn Guidelines adopted by th e Conference of the Parties at its sixth meeting are contained in annex to decision VI/24, sec tion A.  The following 
sections of the guidelines may be of particular relevance:  
"A. Bonn Guidelines on Access to Genetic Reso urces and Fair and Equitable Sharing of the Benefits Aris ing out of their Utilization  
I. General Provisions  
1. These Guidelines may serve as  inputs when developing and drafting legislative, administra tive 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. … 
7. The present guidelines are voluntary and were prepared with a view to ensuring their: 
(a) Voluntary nature:  they are intended to guide both users and providers of genetic resources on a voluntary basis;… 
9. All genetic resources and associated traditional knowledge, i nnovations and practices covered by the [CBD] and benefits aris ing from the 
commercial and other utilization of such resources should be cove red by the guidelines, with the exclusion of human genetic res ources. …  
12. The Guidelines are intended to assist Parties in developing an overall acce ss 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 Benefi t-sharing pursuant to Ar ticle 15 of the [CBD] 
13. Each Party should designate one nationa l focal point for access 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 nationa l authorities, relevant indigenous and lo cal communities and 
relevant stakeholders, through the clearing-house mechanism. … 
                                                      
8 All decisions of the Conference of the Parties to the Conve ntion are available online under http://www.cbd.int/decisions/ .  
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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 genetic resources under their jurisdiction should take appropriate legal, administrative,  or policy measures, 
as appropriate, to support comp liance with prior informed consent of the Contr acting Party providing such resources and mutuall y agreed terms 
on which access was granted.  These countries could consider, inter alia , the following measures:  
(i) Mechanisms to provide information to potential users on their obligations regarding access to genetic resources;  
(ii) Measures to encourag e the disclosure of the country of origin of the genetic resources and of the origin of traditional kn owledge, 
innovations and practices of indigenous and local communities in applications for intellectual property rights;  
(iii) Measures aimed at preventing the use of genetic resources obtained without the prior informed consent of the Contracting Party 
providing such resources;  
(iv) Cooperation between Contracting 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;  
(vii) Other measures that encourage users to comply with provisions under subparagraph 16 (b) above. … 
IV. Steps in the Access a nd Benefit-sharing process 
24. As provided for in Article 15 of the [CBD], which recognizes the sovereign rights  of States over their natural resources, e ach Contracting Party to 
the Convention shall endeavour to  create conditions to f acilitate access to genetic resources for environmentally sound uses by  other Contracting 
Parties and fair and equitable sharing of benefits arising from such uses.  In accordance with Article 15, paragraph 5, of the [CBD], access to genetic 
resources shall be subject to prior inform ed consent of the contracting Party providing such resources, unless otherwise determ ined by that Party.  
25. Against this background, the Guidelines are intended to assist Parties in the establishment of a system of prior informed c onsent, in accordance 
with Article 15, paragraph 5, of the Convention … . 
D. Mutually agreed terms 
… 
1. Basic requirements for mutually agreed terms 
43. The following elements should be considered as guiding paramete rs in contractual agreements.  These elements could also be considered as basic 
requirements for mutually agreed terms:… 
(c)  Provision for the use of intellectual property rights incl ude joint research, obligation to implement rights on inventions  obtained and to provide 
licences by common consent; 
(d)  The possibility of joint ownership of intellectual property rights according to the degree of contribution." 
Other sections of decision VI/24 are also of relevance to the work of the WTO: 
Under Decision VI/24, section C on the Role of intellectual prop erty rights in the implementation  of access and benefit-sharing  arrangements  
The [COP]  
1. Invites Parties and Governments to encourage the disclosure of the country of origin of genetic resources in applications fo r intellectual property 
rights, where the subject matter of the application concerns or makes use of ge netic resources in its development, as a possibl e contribution to tracking 
compliance with prior informed  consent and the mutually agreed terms on wh ich access to those resources was granted;  
2. Also invites Parties and Governments to encourage the disclo sure 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  
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rights, where the subject matter of the application concerns or makes use of such knowledge in its development;  
3. Requests the Executive Secretary, with th e 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 re gimes on access to and 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, innovati ons and practices, 
and their relationship with intellectual property rights;  
(c) Consistency and applicability of requirements for disclosure of country of origin and prior informed consent in the context  of international 
legal obligations;  
(d) Efficacy of country of origin  and prior informed consent disclosures in a ssisting the examination of intellectual property rights applications 
and the re-examination of intellectual property rights granted;  
(e) Efficacy of country of origin and pr ior informed consent disclosures in mon itoring compliance with access provisions;  
(f) Feasibility of an internationally recognized certificate of or igin system as evidence of prior informed consent and mutuall y agreed terms;  and  
(g) Role of oral evidence of prior art in the examination,  granting and maintenance of intellectual property rights; ... 
8. Invites other relevant international organizations (such as the [FAO, the UNCTAD, the WIPO, the WTO, and the UNCHR]), as wel l as regional 
organizations, Parties and Governments to contribute to the further study and analysis of the issues specified in paragraphs 3 and 4; ... ." 
Under decision VI/24, section D on Other i ssues relating to access and benefit-sharing 
The [COP],  
The relationship between the [TRIPS Agreement of the WTO and the CBD] 
Noting that the provisions of the [TRIPS Agreem ent of the WTO and the CBD] are interrelated,  
Noting also that the relationship between the [TRIPS Agreement a nd the CBD] is being examined by the [TRIPS Council], in confor mity with Article 
19 of the Doha [WTO] Ministerial Decl aration, adopted in November 2001,  
Noting further that the Convention Secretariat has still not been  granted observer status on the [TRIPS Council], notwithstandi ng the official request 
of the Executive Secretary to th e Director-General of the [WTO] in a letter dated 4 July 2000,  
1. Requests the Executive Secretar y of the Convention to renew the application fo r observer status on the [TRIPS Council], and to report back to the 
Conference of Parties on his efforts;  
2. Requests the Executive Secretary to follow discussions and developments in the [CTE of the WTO and the TRIPS Council] regard ing the 
relationship between the [TRIPS Agreement] and the Convention;  
Cooperation with other relevant intergovernmental organizations  
3. Acknowledges relevant work being carried out by other intergovernmental organisations, such as the [WIPO, the WTO, the Union  for the 
Protection of New Varieties of Plants, the UNCTAD, and the FAO], on issues related to  access to genetic resources and benefit-s haring;  
4. Requests the Executive Secretary to further collaborate with th e above relevant organisations to ensure mutual supportivenes s and avoid duplication 
of work; …".  
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Access and Benefit-
sharing as Related to 
Genetic Resources  
(Article 15)  "... D. International regime on  access to genetic resources and benefit-sharing  
The [COP]...  
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 adopting an instrument\instruments t o effectively implement 
the provisions in Article 15 and Article 8(j) of the Co nvention and the three objectives of the Convention;  
2. Recommends that the Ad Hoc Open-ended Working Group on Access and Benefit-shari ng should operate in acco rdance with the term s of reference 
contained in the annex to this decision; ... 
5. Invites [UNEP, FAO, WTO, WIPO], the International Union for the Protection of New Varieties of Plants, to cooperate with the  Ad Hoc Open-
ended Working Group on Access and Benefit-sharin g 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-ended 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 instruments and processes, including: ... 
- [The TRIPS Agreement] and other [WTO] agreements; ... 
 
E. Measures, including consideration of th eir feasibility, practicality and costs, to  support compliance with prior informed co nsent of the 
Contracting Party providing genetic resources  and mutually agreed terms on which access was granted in Contracting Parties with  users of 
such resources under their jurisdiction ... 
Noting further  the ongoing activities and processes in relevant international fo rums such as the [WIPO, the TRIPS Council of the WTO], and th e 
Commission on Plant Genetic Resources for Food and Agriculture of  the [FAO] acting as the Interim Committee for the Internation al Treaty on Plant 
and Genetic Resources for Food and Agriculture, regarding measur es 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 
Convention, and of the indigenous and local communities providing associated traditiona l 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 local communities regarding access to gene tic resources and associated  traditional knowledge; ... 
 
F. Needs for capacity-b uilding 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 ...  
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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 resour ces and traditional knowledge; ...".
Decision VIII/4 
Access and benefit-
sharing  "... D. 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 access was granted in contracting Parties with  users of 
such resources under their jurisdiction 
The [COP]...  Noting discussions regarding disclosure of origin/source/legal provenance in intellectual property rights applications in the [WIPO] a nd 
in the Doha Work Programme of the [WTO],... 
4. Requests the Executive Secretary to renew the applica tion for accreditation of the [CBD] as an obs erver at the [TRIPS Council] of the [W TO]."  
Decision X/1 
Access to Genetic 
Resources and the fair 
and equitable Sharing 
of the Benefits Arising 
out of their Utilization  "1. Decides to adopt the Nagoya Protocol on Access to Genetic Resources and the Fair and Equitable Sharing of Benefits Arising from their 
Utilization to the Convention on Biological Diversity (the Pr otocol) as set out in the annex I to the present decision;" 
 See further information provided on the Protocol 
 
(b) Article 8 (j) and related provisions 
Decision V/16 
Article 8(j) and related 
provisions  "The [COP]… 14. Recognizes the potential importance of sui generis  and other appropriate systems for the protection of traditional knowledge of 
indigenous and local communities and the equitable sharing of bene fits arising from its use to meet  the provisions of the [CBD] , taking into account 
the ongoing work on Article 8(j) and related provisions, and tran smits its findings to the [WTO] and the [WIPO], as suggested i n paragraph 6 (b) of 
recommendation 3 of the Inter-Sessional  Meeting on the Operations of the Convention (UNEP/CBD/COP/5/4, annex); …"  
Decision VI/10 
Article 8(j) and related 
provisions  "The [COP]… 35. Also requests the Executive Secretary to continue to compile information provided by Parties and Governments re lating to existing 
national legislation and other measures for the protection of traditional knowledge, innovations and practices;   
36. Invites the [WTO] and the [WIPO] to make available to the Executive Secretary information referred to in paragraph 35 above  provided 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, national focal points of the [CBD], and indigenous and local communit ies and their 
organizations in order to better coordinate and institute meas ures to protect their traditional knowledge, innovations and prac tices relevant to the 
conservation and sustainable use of biological diversity, particularly with regard to traditional-knowledge documentation initi atives and community-
based registries of 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, rele vant provisions of the [CBD] with respect to prior informed c onsent 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;   
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inventive step in patent applications; …".
Decision VII/16 
Article 8(j) and Related 
Provisions "The [COP]... H.  Development of elements of sui generis systems for the protection of traditional knowl edge, innovations and practices  ... 
Noting that a mix of defensive and positive measures, taking into  account both proprietary and non-proprietary aspects, may be necessary for the 
protection of traditional knowledge, innovations and practices relevant for the conservation and sustainable use of 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 collab oration with other relevant organizations working on i ssues related to the protect ion of traditional 
knowledge, innovations and practices, such as the [WIPO, the Permanent Forum on Indigenous Issues (PFII), the WHO and the FAO, the UNESCO, 
the UNCTAD and the WTO] to ensure mutual supp ortiveness and avoid duplication of efforts, ... 
7. Invites Parties and Governments to cons ider appropriate measures, with the full an d effective participation of indigenous an d local communities, 
to implement at local, national, subregional, regional and international levels sui generis  systems and other new innovativ e mechanisms that ensure the 
protection of traditional knowledge, innovations and practices ta king into consideration customary law and traditional practice s; ...".
Decision VIII/5 
Article 8(j) and related 
provisions  "...E. Development of elements of sui generis systems for the prot ection of the knowledge, innovations and practices of indigen ous and local 
communities 
The [COP]... 7. Acknowledges the ongoing discussions in the [WTO] to examine, inter alia , the relationship between the [TRIPS Agreement] and  
the [CBD] and the protection of traditional knowledge..."
 
(c) Technology transfer and scientific and technological cooperation 
Decision IX/14 
Technology transfer  
and cooperation  "The [COP]...  11. Recalling  Article 16 paragraphs 2, 3 and 5 of the Convention, invites  relevant international organizations and initiatives, 
research institutions at all levels, and non-governmental organizations, to undertake further research on the role of intellect ual property rights in 
technology transfer in the context of the Convention, such as:   
(d) Further examination by relevant international organizations of the overall trends in the application of the flexibilities p rovided by the Agreement 
on Trade-related Aspects of Inte llectual Property Rights (TRIPS)..."   
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(d) Incentive measures 
1. The Convention’s provision on incentive measures (Article 11), it s associated programmes of work, and the voluntary guidance de veloped thereunder, 
has linkages to trade and the work the WTO, in particular through its focus on positive incentiv e measures for the conservation  and sustainable use of 
biodiversity, including market development and market promoti on, as well as on the removal or mitigation of incentives with har mful effects for biodiversity 
("perverse incentives"). 
Decision III/18 
Incentive Measures 
(as modified by 
Decision VII/33)  "The [COP]…  
2. Resolves that incentive measures shall be included as appr opriate on the agenda of the [COP ] and be integrated into the sect oral and thematic 
items under the medium-term programme of work of the [COP]; 
3. Encourages Parties to review their existing legislation and 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 market and non-market values of biological diversity into plans, policies and 
programmes and other relevant areas, inter alia , national accounting systems an d investment strategies;... 
6. Encourages Parties to incorp orate biological diversity considerations into impact assessments, consistent with Article 14 of  the Convention, as a 
step in the design and implementation of incentive measures; …".
Decision IV/10 
Measures for 
Implementing the 
Convention on 
Biological Diversity 
(as modified by 
Decision VII/33)  "A. Incentive measures:  consideration of measures for the implementation of Article 11 
[COP]… 
1. Encourages Parties, Governments and relevant organizations: 
(a) To promote the design and implementation of appropriate in centive measures, taking fully into  account the ecosystem approac h and the 
various conditions of the Parties and empl oying the precautionary approach of Principle 15 of th e Rio Declarati on on Environmen t and 
Development, in order to facilitate achieving the implementation of the objectives of the Convention and to integrate biologica l diversity 
concerns in sectoral policies, instruments and projects;... 
 (c) To take into account economic, social, cultural and ethical valuation in the development of relevant incentive measures;.. . 
 (f) To identify perverse incentives and consider the removal or  mitigation of their negative effects on biological diversity i n order to encourage 
positive, rather than negative, eff ects on the conservation and sustaina ble use of biological diversity;... 
 (h) To undertake value addition and enhancement of naturally occurring genetic resources, based on the participatory approach,  where 
appropriate, to work as incentives for th eir conservation and sustainable use; …".   
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Incentive measures  
Annex I 
Proposals for the 
Design and 
Implementation of 
Incentive Measures  "The [COP]… 2. Endorses the proposals for the design and implementation of incentive measures and the recommendations for furth er cooperation on 
incentive measures, contained respectively in annexes I and II to the present decision, as far as they are consistent with Part ies' national policies and 
legislation as well as their international obligations; … 
Annex I:   Proposals for the design and impl ementation 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 selecting appropriate and complementary meas ures should take into account the specific circ umstances of 
the country involved; 
(b) It is important to consider the context in which the incentive measure is being introduced to assist final decision-making on a particular 
measure or measures; 
(c) A key consideration in the design of an incentive measure is the recognition that a single measure will often not suffice t o address the 
complexities involved in decisions on 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 appropr iate incentive 
measures; 
(e) The implementation of incentive measures should not result in a significant increase in the cost of living and/or increase in government 
revenue; 
(f) The size of the country's economy is an important factor in the selection of financial incentive measures; 
(g) Well defined land and property rights 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 conserva tion and 
sustainable use purposes; 
(i) The removal of perverse incentives eases pressure on the environment.  The identification of both internal and external per verse incentives and 
other threats to biodiversity conservation and to the promotion of sustainable use, is essential to the selection and 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 an d can be used in 
combination with positive incentives …". 
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Decision VII/2 
The Biological 
Diversity of Dry and 
Sub-humid Lands 
Annex 
 "The [COP]... 2. Adopts the proposal prepared by the Executive Secretary for the further refineme nt of the programme of work an d suggesting 
collaborating partners as indicated in the annex to the present decision; ... 
Annex:  Synthesis table of expected outcomes and timeframes, 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 
-   Conducive market 
relationships developed  Parties, WTO Proposed   
Decision VII/11 
Ecosystem Approach 
 "The [COP]... 3. Welcomes the implementation  guidelines and anno tations to rationale as outlined in annex I to the present deci sion and calls on 
parties and other Governments to implement the ecosystem approach, keeping in mind that in applying the ecosystem approach, all  principles need to 
be considered, with appropriat e weight given to each, in accordance with local conditions, and keeping in mind also that the im plementation 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 th e ecosystem approach, based on assessment of experience of parties in implementation ... 
Principle 4:  Recognizing potential gains from management, there is usually a need to understand and manage the ecosystem in an economic cont ext. 
Any such ecosystem-management programme should:  
(a) Reduce those market distortions that adversely affect biological diversity;  
(b) Align incentives to promote biodiversity conservation and sustainable use;  
(c) Internalize costs and benefits in the given ecosystem to the extent feasible. 
Rationale:  
The greatest threat to biological diversity lies in its replacement by alternative system s 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 le ss diverse systems.  
Often those who benefit from conservation do not pay the costs associated with conservation and, similarly, those who generate environmental costs 
(e.g. pollution) escape responsibility.  Alignment of incentives a llows those who control the resource to benefit and ensures t hat those who generate 
environmental costs will pay. ..." 
Decision VII/12 
Sustainable use 
(Article 10) "The [COP]...1. Adopts the Addis Ababa Prin ciples and Guidelines for the Sustainable Us e of Biodiversity, as contained in annex  II to the present 
decision;  
2. Invites Parties, other Governments and relevant organizations  to initiate a process for the implementation of the Addis Abab a Principles and 
Guidelines, in accordance with Article 10 of the Convention which provides that Cont racting Parties undertake specified actions  as far as possible, and 
as appropriate, at the national and local levels, and in line with Article 6 of the [CBD], taking into account obligations unde r other international 
agreements and conventions and existing frameworks for sustainable use of components of biodiversity, including the concept of sustainable forest 
management, e.g., by developing pilot projects, with a view to:  
(a) Integrating and mainstreaming the Addis Ababa Principles and Guidelines into a ra nge 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   
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the conservation and sustainable use of biodiversity, as deemed necessary by individual Parties;  and  
(b) Gathering and disseminating through the clearing-house mechanism and other means relevant information on experiences and le ssons learned 
for the further improvement of the guidelines;  
 The full text of the Addis Ababa Principles and Guidelines for the Sustainable use of Biodiversity is contained in Annex II of Decision VII/12 and 
is available at http://www.biodiv.org/deci sions/default.aspx?m=COP-07&id=7749&lg=0. 
 Some of the relevant principles include: 
Practical principle 3:  International or national policies, laws and regulations that di stort markets which contribute to habitat degradation or otherw ise 
generate perverse incentives that undermine conservation and sustainable use of biodiversity, should be identified and removed or mitigated.  
Rationale:  Some policies or practices induce unsustainable behaviours that reduce biodiversity, often as unanticipated side 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 leading to market distortions that result in unsustainable uses of biodiversity components; ... 
Practical principle 13:  The costs of management and conservation of biological divers ity should be internalized within the area of management and 
reflected in the distribution of the benefits from the use. ...  
Rationale:  The management and conservation of  natural resources incurs costs.  If th ese costs are not adequately covered then management will 
decline and the amount and value of the natural resources may also decline.  It is necessary to ensure that some of the benefit s from use flow to the 
local natural resource management authorities so that essential management to sustain the resources is maintained.  Such benefi ts may be direct, such 
as entrance fees from visitors to a national park paid 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 inte rnalized environmental costs, e.g., certification to access new m arkets, waiver or 
deferral of taxes in lieu of environmental investment, promotion of "green-labelling" for marketing. ..." 
Decision VII/28 
Protected areas 
(Articles 8 (a) to (e))  "The [COP] 1. Confirms  that efforts to establish and maintain systems of protected areas and areas where special measures need to be taken to 
conserve biological diversity in line with Article 8 on in situ  conservation and other relevant articles of the Convention, are essential for achieving, in 
implementing the ecosystem approach, the th ree objectives of the Convention and thus contributing to achieving the 2010 target contained in the 
Strategic Plan of the Convention and in the Plan of Implementation of the World Summit on Sustainable Development, and to achie ve sustainable 
development and the attainment of the Millennium Development Goals; ...  
18. Adopts the programme of work on protected areas annexed to the present decision with 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 achieving the three objectives of the Convention and the 2010  
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target to significantly reduce the current rate of biodiversity loss; ... 
21. Urges concerned Parties, individually and collectively, to take further steps in curbing the illegal exploitation and trade  of resources, particularly 
from existing protected areas and from areas of ecol ogical importance for biodiversity conservation; ... 
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 ap propriate, including use of social and ec onomic 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 
economy and culture, and to the achievement of the Millennium Development Goals at the national level;  and integrate the use o f economic valuation 
and natural resource accounting tools into national planning processes in order to identify the hidden and non-hidden economic benefits provided by 
protected areas and who appr opriates these benefits.  
3.1.3 Harmonize sectoral policies and laws to  ensure that they support the conservatio n and effective management of the protect ed area system. ... 
3.1.5 Identify and remove perverse incentives and inconsistencie s in sectoral policies that in crease 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 prov ide, consistent with protect ed area objectives and prom ote the equitable sharing 
of the benefits. ..." 
Decision VIII/25 
Incentive measures: 
application of tools for 
valuation of biodiversity and 
biodiversity  resources and 
functions  "The [COP]… 1. Takes note of the options for the application of tools for valuation of biodiversity and biodiversity resources and functions annexed 
to the present decision;  
2. Invites  Parties and other Governments to take, in accordance with thei r national policies and legislation, their capacity, and taking into account other 
international instruments, these options into consideration as possible inputs for analysis when considering, on a voluntary ba sis, the application of 
methods for assessing the changes of the value of biodiversity resources and functions, and associated ecosystem services, that  result from their 
decision-making, including through pilot projects" 
Decision VIII/26 
Incentive measures: 
Preparation for the in-depth 
review of the programme of  
work on incentive measures  Section on positive incentive measures, preamble: 
Recognizing  that positive incentive measures, can influence decision-making by recognizing and rewarding activities that are carried out f or the 
conservation and sustainable use of biological diversity, and are important in achieving the objectives of the Convention and t he 2010 biodiversity 
target, when such positive incentive measures are targeted, flex ible, transparent, appropriately monitored and adapted to local  conditions,  
Noting that policy guidance on incentive mechanisms developed under the Convention is voluntary and should be applied in accordance wi th national 
law, taking into account other international instruments. 
Decision X/44 
Incentive measures "12. Invites  Parties and other Governments to foster, as appropriate, implementation of sustainable consumption and production patterns for  the 
conservation and sustainable use of biodiversity, both in the pu blic and the private sector, including through business and bio diversity initiatives, 
procurement policies that are in line with the objectives of the Convention, and development of methods to promote science-base d information on 
biodiversity in consumer and producer decisions, consistent and in harmony with the Convention and other relevant international  obligations; "  
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Updating and Revision of the 
Strategic Plan for the post-
2010 Period 
Annex Section IV (Strategic Goals an d the 2020 head line targets) 
"Target 3 : By 2020, at the latest, incentives, including subsidies, harmful to  biodiversity are eliminated, phased out or reformed in orde r to minimize 
or avoid negative impacts, and positive incentives for the conser vation and sustainable use of biodiversity are developed and a pplied, consistent and in 
harmony with the Convention and other relevant international ob ligations, taking into account national socio-economic condition s." 
(e) Invasive alien species 
1. COP recognized the need to strengthen ins titutional coordination at international, re gional and national levels on invasive ali en species as a trade-related 
issue, and therefore invited the World Trade Organization to give  consideration to the risks from invasive alien species. Furth er to invitations expressed by COP, 
work is currently being undertaken with the SPS Committee as well as other partners on the lack of international standards cove ring invasive alien species, in 
particular animals, that are not pests of plants under the In ternational Plant Protection Convention, nor diseases that are lis ted by the World Organization for 
Animal Health. 
Decision VI/23 
Alien Species that 
Threaten Ecosystems, 
Habitats or Species* 
Annex: Guiding Principles 
for the Prevention, 
Introduction and 
Mitigation of Impacts of 
Alien Species that 
Threaten Ecosystems, 
Habitats or Species  "The [COP]... 4. Having considered th ese options, adopts the Guiding Principles  annexed to the present decision;  
5. Urges Parties, other Governments and relevant organizations to promote and implement the Guiding Principles; ... 
15. Urges Parties, Governments, multilatera l organizations and other re levant bodies to consider the potential effects of globa l change on the risk of 
invasive alien species to biodiversity, and related ecosystem goods and services and, in particular: ... 
b. Invites the [WTO], through its [CTE], to take this matter into account when considering the impacts of trade and trade liber alization; ... 
Guiding principle 1:  Precautionary approach  
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 concerni ng intentional introductions should be ba sed on the precautionary approach, in parti cular with reference to 
risk analysis, in accordance  with the guiding principles belo w.  The precautionary approach is that set forth in principle 15 o f the 1992 Rio 
Declaration on Environment and Development and in the preamble of the [CBD].  
The precautionary approach 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 the various implications of an invasion should not be used as a re ason for postponing or 
failing to take appropriate eradication, containment and control measures. ... 
Guiding principle 7:  Border control and quarantine measures  
1. States should implement border controls and quarantine measures  for alien species that are or could become invasive to ensur e that:  
a. 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 appropriate measures  to control introductions of inva sive 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  
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appropriate governmental agencies or authorities should be stre ngthened and broadened as necessary, and staff should be properl y trained to 
implement these measures.  Early detection systems and regional and international coordination are essential to prevention …".9
Decision VII/13 
Alien Species that 
Threaten Ecosystems, 
Habitats or Species 
(Article 8 (h))  "The [COP]... 5. Noting the existing interna tional, regional and national frameworks bu t recognizing the need  to strengthen ins titutional 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 considera tion to the risks from invasive alien species, in their delibera tions;  
(b) Requests the Executive Secretar y to collaborate, whenever feasib le and appropriate, with the Secretariat of the [WTO] in it s training, 
capacity-building and information activities, with a view to raisin g awareness of the issues related to invasive alien species,  and promoting 
enhanced cooperation on this issue;  
(c) Requests the Executive Secretary to rene w his application for observer status in the [SPS Committee of th e WTO] with a view  to enhancing 
the exchange of information on deliberations  and recent development in the respective bo dies of relevance to alien invasive spe cies;  
(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 en vironmental review of international, bilateral and regional arra ngements such as 
trade arrangements, wh ere appropriate; ... 
6. Invites relevant Parties to the [CBD] and other Governments,  as well as national, regional and international organizations t o: ... 
(f) Consider the introduction of positive incentive measures for the prevention, mitigation, erad ication or control of invasive  alien species and 
the use of native species taking into cons ideration effectiveness in control and imp act on the other native species in land and  water management 
and other programmes; ... 
7. Notes  that specific gaps in the international regulatory frameworks  at global, regional and national levels persist, notably in rela tion to species 
that are invasive, but do not qualify as plant pests under the re gulations of the [IPPC] and other international agreements or animal diseases under the 
regulations of the Office international des epizooties and other in ternational agreements with regard to the following potentia l pathways: ..."
Decision VIII/27 
Alien species that threaten 
ecosystems, habitats or 
species (Article 8/h)): 
Further consideration of 
gaps and inconsistencies in 
the international 
regulatory framework"The [COP]... 14. Requests the Executive Secretary to consult with relevant international bodies and instruments, such as [the IPPC, the OIE, FAO , 
and the WTO], taking into account the observations of the report of the Ad Hoc Technical Expert Group (UNEP/CBD/SBSTTA/11/INF/4 ), regarding 
whether and how to address the lack of international standards co vering invasive alien species, in particular animals, that are  not pests of plants under 
the [IPPC], and to report on the results of these consultations for consideration by the Subsidiary Body on Scientific, Technic al and Technological 
Advice and by the [COP] at its ninth meeting."  
                                                      
9 * One representative entered a formal objection during the process leading to the adoption of this decision and underlined that he did not believe that the Conference of 
the Parties could legitimately adopt a motion or a text with a formal objection in place. A few representatives expressed reser vations regarding the procedure leading to the 
adoption of this decision (see UNEP/CBD/COP/6/20, paras. 294-324).  
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In-depth review of 
ongoing work on alien 
species that threaten 
ecosystems, habitats or 
species "The COP…4. Invites  the Committee on Sanitary and Phytosanitary Measures of the World Trade Organization to note the lack of international 
standards covering invasive alien species, in particular animals,  that are not pests of plants under the International Plant Pr otection Convention, nor 
diseases that are listed by the World Organization for Animal Hea lth, and to consider ways and means so that that the provision s in the Sanitary and 
Phytosanitary Agreement of the World Trade Organization covering animal and plant hea lth can be implemented to address risks fr om invasive alien 
species associated with international trade; … 
6. Encourages  Parties and other Governments to raise the above issues formally through their national delegations to the World Organization for 
Animal Health, the Food and Agriculture Organization of the United Nations and the World Trade Organization; … 
11. Requests  the Executive Secretary to continue to co llaborate with the secretariats of the Inte rnational Plant Protection Convention, the  World 
Organization for Animal Health, the Convention on International Trade in Endangered Species (CITES) and the World Trade Organiz ation, as well as 
other international organizations, such as International Civil Aviation Organization and the International Maritime Organizatio n, with a view to filling 
gaps and promoting coherence in the regulatory framework, reducing duplication, promoting other actions to address invasive ali en species at the 
national level and facilitating support to Parties including through capacity-building, and to prepare a report for the tenth m eeting of the Conference of 
the Parties;  
12. Requests  the Executive Secretary to consult with the secretariats of relevant organizations, as mentioned in paragraph 11, to explore t he extent to 
which existing international instruments recognize and address threats from invasive alien genotypes…. "
X/38 
Invasive Alien Species  "The [COP]… 3. Requests  the Executive Secretary:… 
(c)  To explore further ways and means to improve the capacity of Parties to address invasive alien species introduced as pets,  aquarium and 
terrarium species, as live bait and live food, including through consultation with secretariats of relevant biodiversity-relate d conventions and relevant 
international organizations such as the World Organisation for Animal Health (OIE), the Codex Alimentarius Commission, the Inte rnational Plant 
Protection Convention (IPPC) and the Convention on International Tr ade in Endangered Species of Wild Fauna and Flora (CITES);… 
10. Welcomes the participation of the secretariats of the International Plan t Protection Convention, the World Organisation for Animal Healt h (OIE), 
the World Trade Organization, the International Maritime Organiza tion, the FAO and the Convention on International Trade in End angered Species, 
as well as IUCN and GISP in the inter-agency liaison group on i nvasive alien species, and encourages these organizations, as we ll as the International 
Civil Aviation Organization, to continue their collaboration with  the Executive Secretary in line with decision  IX/4 A (paragr aph 11); 
11. Welcomes the responses from the secretaria ts of the International Plant Protection Conven tion, the World Organisation for Animal Health (OIE), 
the World Trade Organization and the Committee on Fisheries of th e Food and Agriculture Organization of the United Nations (FAO ) to the 
invitations to these bodies in, respectively, paragraphs 2, 3, 4 and 5 decision IX/4 A, setting out how they may address partic ular gaps and 
inconsistencies in the international regulatory framework on invasive alien species;…   
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(f) Cooperation and observer status 
1. The COP affirmed the need to promoting increased mutual supportiv eness of trade and environment agreements in achieving sustain able development, 
requested the Executive Secretary to apply for observer status in relevant bodies of the WTO, or to renew his requests accordin gly, and to continue, and further 
strengthen, liaison and cooperation with the World Trade Organization. 
Decision IV/15 
The Relationship of the 
Convention on Biological 
Diversity with the Commission 
on Sustainable Development and 
Biodiversity-Related 
Conventions, other International 
Agreements, Institutions and 
Processes of Relevance 
(as modified by Decision VII/33) 
 "The [COP]…  
8. Also notes that some Parties to the [CBD], particularly many  developing countries, are not me mbers of the [WTO], and are the refore limited in 
their abilities to present their concerns regarding biological diversity at the [WTO]; 
9. Stresses the need to ensure consistency in implementing th e [CBD] and the [WTO] agreements , including the [TRIPS] Agreement,  with a view 
to promoting increased mutual supportiveness and integration of biological diversity concerns and the protection of intellectua l property rights, and 
invites the [WTO] to consider how to achieve these objectives in  the light of Article 16, paragraph 5, of the Convention, takin g into account the 
planned review of Article 27, paragraph 3 (b), of the [TRIPS Agreement] in 1999; 
10. Emphasizes that further work is required to help develop a common appreciation of the relationship between intellectual pro perty rights and the 
relevant provisions of the [TRIPS Agreement] and the [CBD], in particular on issues relating to technology transfer and conserv ation 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 a nd practices of indigenous and local communities embodying traditional lifestyles relevant for the conservation and 
sustainable use of biological diversity …".  
Decision VI/20 
Cooperation with other 
Organizations, Initiatives 
and Conventions 
 Cooperation with the WTO  
"The [COP]...25. Reaffirms the need to prom oting increased mutual supportiveness of tr ade and environment agreements in achievi ng sustainable 
development, as stressed in decision IV/15 of the fourth meeting of the [COP], and reiterated in the Cartagena Protocol on Bios afety and the Doha 
Ministerial Declaration of the [WTO] adopted on 14 November 2001;  
26. Notes the Doha Ministerial Declaration, which welcomes a continued cooperation by the [WTO] with [UNEP] and other intergove rnmental 
environmental organizations, and encourages efforts to promote cooperation between the [WTO] and relevant international environ mental and 
developmental organizations;  
27. Recognizes the importance of cooperation with the [WTO] with regard to matters  that are relevant to the Cartagena Protocol on Biosafety and in 
preparing for the implementation of the Protocol, emphasizes the n eed to ensure mutual supportiveness with the relevant agreeme nts under the 
[WTO], in particular with the [SPS Agr eement] and the [TBT Agreement], with a vi ew to achieving sustainable development;  
28. Welcomes the practice established betwee n the Executive Secretary and the [WTO] to exchange information regarding developme nts under the 
Intergovernmental Committee for the Cartagena Protocol on Biosafety;  
29. Requests the Executive Secretary to apply to the WTO for an obs erver status and to represent the [CBD] in the meetings of t he [SPS Committee] 
and the [TBT Committee];  
30. Further requests the Executiv e Secretary to renew the application to the [WTO]  for observer status in the [TRIPS Council]".   
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Cooperation with Other 
Conventions and Inter-
national Organizations 
and Initiatives "The [COP]...1. Urges  further enhanced cooperation between the [CBD] and all re levant international conventions, organizations and bodies, 
strengthening and building on existing cooperative arrangements to enhance synergies and reduce inefficiencies in a manner cons istent with their 
respective mandates, governance 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 particula r, in the [TRIPS 
Council]; ...". 
Decision VIII/16 
Cooperation with other 
conventions and 
international 
organizations and 
initiatives  "The [COP]... 13. Requests the Executive Secretary to liaise with the secretariat of the [WTO] on relevant issues, including trade-related intellectual 
property rights, sanitary and phytosanitary measures, and environmental goods and services, inter alia , with a view to identifying options for closer 
collaboration, including developing a memorandum of cooperation to promote the three objectives of the Convention...". 
Decision IX/27 
Cooperation among multilateral 
environmental agreements and 
other organizations "The [COP]...10.  Requests  the Executive Secretary to renew the Convention’s pending applications for observer status in relevant bodies of the 
World Trade Organization, and to continue, and further strengthen, liaison and cooperation with the World Trade Organization... " 
 
Decision X/20 
Cooperation with other 
conventions and 
international 
organizations and 
initiatives  "The [COP]…18. Also requests  the Executive Secretary to continue, and further deepen, cooperation and liaison with the World Trade Organization, 
and to renew the Convention's pending applications for observer status in relevant bodies of the World Trade Organization;…" 
 
(g) Other 
Decision VII/3 
Agricultural Biological 
Diversity "The [COP]... 6. Takes note also of the notes by the Executive Secreta ry on the impacts of trade liberalization on agricultural  biodiversity 
(UNEP/CBD/COP/7/INF/14 and 15) prepared purs uant to paragraph 17 of decision VI/5, and requests further ga thering and incorpora tion 
of data on this matter from all countries; ... ." 
Decision VII/14 
Biological Diversity and 
Tourism  "The [COP] 1. Adopts the Guidelines on Biodiversity and Tourism Developmen t annexed to the present decision; ... 
9. In light of the collaboration between the [CBD, the UNEP and the UNESCO, invites the World Tourism Organization, the UNCTAD,  the 
UNDP, the World Bank, the WTO], regional development ba nks and other relevant international organizations, to: 
(a) Take these Guidelines into account  in undertaking their activities; ... 
Annex:  Guidelines on Biodiv ersity 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. ...  
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32. Legislation and control measures considered 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. ..."  
H. CARTAGENA PROTOCOL ON BIOSAFETY  
1. Provisions of the Protocol  
Preamble "... Recognizing  that trade and environment agreements should be mutually supportive with a view to achieving sustainable development, 
Emphasizing  that this Protocol shall not be interpreted as implying a change in the rights and obligations of a Party under any existing i nternational 
agreements, 
Understanding  that the above recital is not intended to subordinate  this Protocol to other international agreements". 
Article 2 
General Provisions "...4. Nothing in this Protocol shall be interpreted as restricting the right of a Pa rty 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 4 
Scope "This Protocol shall apply to the transboundary movement, transit, handling and use of all [LMOs] that may have adverse effects  on the conservation 
and sustainable use of biological diversity, taking also into account risks to human health." 
Article 6 
Transit and Contained 
Use "1. Notwithstanding Article 4 and without prejudice to any right of  a Party of transit to regulat e the transport of [LMOs] thro ugh its territory and 
make available to the Biosafety Clearing-Hous e, any decision of that Party, subject to Article 2, paragraph 3, regarding the tr ansit through its 
territory of a specific LMO], the provisions of this Protocol w ith respect to the advance inform ed agreement procedure shall no t apply to [LMOs] in 
transit. 
2. Notwithstanding Article 4 and without prejudice to any right of a Party to subject all [LMOs] to risk assessment prior to de cisions on import 
and to set standards for contained use within its jurisdiction, the provisions of this Protocol with respect to the advance inf ormed agreement 
procedure shall not apply to the transboundary movement of [LMO s] destined for contained use un dertaken in acco rdance with the standards of the 
Party of import." 
Article 7  
Application of the 
Advance Informed 
Agreement Procedure  "1. Subject to Articles 5 and 6, the advan ce informed agreement procedure in Articles 8 to 10 and 12 shall apply prior to the f irst intentional 
transboundary movement of [LMOs] for intentional introduction into the environment of the Party of import. 
2. "Intentional introduction into the environment" in paragraph 1 above, does not refer to [LMOs] intended for direct use as fo od or feed, or for 
processing. 
3. Article 11 shall apply prior to the first transboundary movement of [LMOs] intended for direct use as food or feed, or for p rocessing. 
4. The advance informed agreement procedure shall not apply to the intentional transbou ndary movement of [LMOs] identified in a  decision of 
the [COP] serving as the [MOP] to this Protocol as being not likely to have adverse effects on the conservation and sustainable  use of biological 
diversity, taking also into account risks to human health". 
 Lays out the Advanced Informed Agreement (AIA) procedure which shall apply for the first intentional transboundary movement of a LMO for 
intentional introduction into the environment of the Party of im port.  The AIA procedure is outlined in Articles 8 to 10 and 12 .  The procedure in 
Article 11 shall apply prior to the first transboundary movement of LMOs intended for direct use as food or feed, or for proces sing.  The AIA 
procedure shall not apply to LMOs in transit or for contained use".  
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Notification "1. The Party of export shall notify, or re quire the exporter to ensure notification to, in writing,  the competent national au thority of the Party of 
import prior to the intentional transboundary movement of a [LMO] that falls within the scope of Article 7, paragraph 1.  The n otification shall 
contain, at a minimum, the info rmation specified in Annex I. 
2. The Party of export shall ensure that there is a legal requir ement for the accuracy of information provided by the exporter ...". 
Article 9 
Acknowledgement of 
Receipt of Notification "1. The Party of import shall acknowledge rece ipt of the notification, in writing, to the notifier within ninety days of its re ceipt.  
2. The acknowledgem ent shall state: 
(a) The date of receipt of the notification;  
(b) Whether the notification, prima facie, contai ns the information referred to in Article 8;  
(c) Whether to proceed according to the dome stic regulatory framework of the Party of  import or according to the procedure spec ified in 
Article 10.  
3. The domestic regulatory framework referred to in paragraph 2 (c) above, shall be consistent with this Protocol. 
4. A failure by the Party of import to ac knowledge receipt of a notifi cation shall not imply its cons ent to an intentional tran sboundary movement". 
Article 10  
Decision Procedure "1. Decisions taken by the Party of impor t shall be in accordan ce 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, the Party of import shall communicate, in writin g, to the notifier and 
to the Biosafety Clearing-Hous e the decision referred to in paragraph 2 (a) above: 
(a) Approving the import, with or without conditions, including ho w the decision will apply to subsequent imports of the same [ LMO];  
(b) Prohibiting the import;  
(c) Requesting additional relevant information in accordance with  its domestic regulatory framework or Annex I;  in calculating  the time within 
which the Party of import is to respond, the number of days it has to wait for additional relevant information shall not be tak en into account;  or 
(d) Informing the notifier that the period specified in this  paragraph is extended by a defined period of time.  
4. Except in a case in which consent is unconditional, a decision under paragraph 3 above, shall set out the reasons on which i t is based. 
5. A failure by the Party of import to communicate its decision within two hundred and seventy days of the date of receipt of t he notification shall 
not imply its consent to an intentional transboundary movement. 
6. Lack of scientific certainty due to insufficient relevant sc ientific information and knowledg e regarding the extent of the p otential adverse effects 
of a [LMO] on the conservation and sustainabl e use of biological diversity in the Part y of import, taking also into account ris ks to human health, 
shall not prevent that Party from taking a decision, as appropriate, with regard to the import of the [LMO] in question as refe rred to in paragraph 3 
above, in order to avoid or minimi ze such potential adverse effects…". 
 At the First COP serving as the MOP to this Protocol (COP-MOP 1)  in 2004, COP-MOP 1 adopted procedures and mechanisms to facili tate 
decision-making by Parties of 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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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 [LMO] that may be subject  to transboundary 
movement for direct use as food or feed, or for processing shall, within fifteen days of making that decision, inform the Parti es through the [BCH].  
This information shall contain, at a minimu m, the information specified in Annex II.  The Party shall provid e a copy of the inf ormation, in writing, to 
the national focal point of each Party that  informs the Secretariat in advance that it does not have access to the [BCH].  This  provision shall not apply 
to decisions regarding field trials.   
2. The Party making a decision under paragrap h 1 above, shall ensure that there is a legal requirement for the accuracy of info rmation provided by 
the applicant.   
3. Any Party may request additional information from the authority identified in paragraph (b) of Annex II. 
4. A Party may take a decision on the import of [LMOs] intended for direct use as food or feed, or for processing, under its do mestic regulatory 
framework that is consistent with the objective of this Protocol. 
5. Each Party shall make available to the [BCH] copies of any national laws, regulations and guidelines applicable to the impor t of [LMOs] 
intended for direct use as food or feed, or for processing, if available. 
6. A developing country Party or a Party with an economy in 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  import of a [LMO] 
intended for direct use as food or feed, or for processing, on which information has been provided under paragraph 1 above, wil l be taken according 
to the following: 
(a) A risk assessment undertaken in accordance 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, sha ll not imply its consen t or refusal to the  import of a [LMO] 
intended for direct use as food or feed, or for processing, unless otherwise specified by the Party. 
8. Lack of scientific certainty due to insufficient relevant sc ientific information and knowledg e regarding the extent of the p otential adverse effects 
of a [LMO] on the conservation and sustainabl e use of biological diversity in the Part y of import, taking also into account ris ks to human health, 
shall not prevent that Party from taking a decision, as appropriat e, with regard to the import of that [LMO] intended for direc t 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 a ssistance and capacity-building with respect to [LMOs] intended for direct use as 
food or feed, or for processing.  Parties shall cooperate to meet these needs in accordance with Articles 22 and 28". 
Article 12 
Review of Decisions "1. A Party of import may, at any time, in light of new scientif ic 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  [LMO] referred to in 
such decision, as well as the [BCH], and shall set out the reasons for its decision. 
2. A Party of export or a notifier may request the Party of import to review a decision it has made in respect of it under Arti cle10 where the Party 
of export or the notifier considers that: 
(a) A change in circumstances has occurred that may influence the outcome of the risk assessment upon which the decision was ba sed;  or 
(b) Additional relevant scientific or technical information has become available.  
3. The Party of import shall respond in 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".  
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Simplified Procedure  "1. A Party of import may, provided that adequate measures are applied to ensure the safe intentional transboundary movement of  [LMOs] in 
accordance with the objec tive of this Protocol, specify  in advance to the [BCH]: 
(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 [LMOs] to it to be exempted fr om the advance informed agreement procedure.  
Notifications under subparagraph (a) above, may apply to subsequent similar movements to the same Party. 
2. The information relating to an intentional transboundary 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 ag reements and arrangements regarding intentional transboundary  movements of 
[LMOs], consistent with the objective of th is Protocol and provided that such agreements and arrangements do not result in a lo wer level of 
protection than that provided for by the Protocol. 
2. The Parties shall inform each other, thro ugh the [BCH], of any such bilateral, re gional and multilateral agreements and arra ngements that they 
have entered into before or after the date of entry into force of this Protocol. 
3. The provisions of this Protoc ol shall not affect intentional transboundary m ovements that take place pursuant to such agreem ents and 
arrangements as between the parties to those agreements or arrangements. 
4. Any Party may determine that its domestic regulations shall apply with respect to specific imports to it and shall notify th e [BCH] of its 
decision". 
Article 15 
Risk Assessment  "1. Risk assessments undertaken pursuant to this Protocol shall be carried out in a scientifically sound manner, in accordance with Annex III and 
taking into account recognized risk assessment  techniques.  Such risk assessments sha ll 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 [LMOs] on the 
conservation and sustainable use of biological diversity, taking also into account risks to human health. 
2. The Party of import shall ensure that risk assessments are carried out for decisi ons 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 Co nvention, 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 [LMOs]. 
2. Measures based on risk assessment shall be imposed to the extent necessary to prevent adve rse effects of the [LMO] on the co nservation and 
sustainable use of biological diversity, taking also into account risks to human health, within the territory of the Party of i mport. 
3. Each Party shall take appropriate measures to prevent unintentional transboundary movements of [LMOs], including such measur es as 
requiring a risk assessment to be carried out prior to the first release of a [LMO]. 
4. Without prejudice to paragraph 2 above, each Party shall end eavour to ensure that any [LMO], whether imported or locally dev eloped, has 
undergone an appropriate period of observation that is commens urate with its life-cycle or generation time before it is put to its intended use. 
5. Parties shall cooperate with a view to:  
(a) Identifying [LMOs] or specific traits of [LMOs] that may ha ve adverse effects on the conservation and sustainable use of bi ological 
diversity, taking also into account risks to human health;  and 
(b) Taking appropriate measures regarding the tr eatment of such [LMOs]  or specific traits".  
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Article 18 
Handling, Transport, 
Packaging And 
Identification  "1. In order to avoid adverse effects on the conservation and sustainable use of bi ological diversity, taking also into account  risks to human health, 
each Party shall take necessary measures to require that [LMOs] that are subject to in tentional transboundary movement within t he scope of this 
Protocol are handled, packaged and transported under conditions of  safety, taking into consideration relevant international rul es and standards.  
2. Each Party shall take measures to require that documentation accompanying: 
(a) [LMOs] that are intended for direct us e as food or feed, or for processing, clear ly identifies that they "may contain" [LMO s] and are not 
intended for intentional introduction into the environment, as we ll as a contact point for further information.  The [COP] serv ing as the [MOP] 
to this Protocol shall take a decision on the detailed requirements for this purpose, including specification of their identity  and any unique 
identification, no later than two years after th e date of entry into force of this Protocol; 
(b) [LMOs] that are destined for containe d use clearly identifies them as [LMOs];  and specifies any requirements for the safe handling, storage, 
transport and use, the contact point for further information, including the name and address of the individual and institution to whom the 
[LMOs] are consigned;  and 
(c) [LMOs] that are intended for intentional introduction into th e environment of the Party of import and any other [LMOs] with in the scope of 
the Protocol, clearly identifies them as [LMOs];  specifies the identity and relevant traits and/or characteristics, any requir ements for the safe 
handling, storage, transport and use, the contact point for further information and, as appropriate, the name and address of th e importer and 
exporter;  and contains a declara tion that the movement is in conformity with the requirements of this Protocol applicable to t he exporter. 
3. The [COP] serving as the [MOP] to this Protocol shall consid er the need for and modalities of developing standards with rega rd to 
identification, handling, packaging and transport practices, in consultation with  other relevant international bodies". 
Article 25 
Illegal Transboundary 
Movements 
 "1. Each Party shall adopt appropriate domestic measures aimed at preventing and, if appropriate, penalizing transboundary move ments of [LMOs] 
carried out in contravention of its domestic measures to implem ent this Protocol.  Such movements shall be deemed illegal trans boundary 
movements. 
2. In the case of an illegal transboundary movement, the affected Party may request the Party of origin to dispose, at its own expense, of the 
[LMO] in question by repatriation or destruction, as appropriate. 
3. Each Party shall make available to the [BCH] information conc erning cases of illegal transboundary movements pertaining to i t". 
Article 26 
Socio-Economic 
Considerations "1. The Parties, in reaching a decision on import under this Protocol or under its do mestic measures implementing the Protocol,  may take into 
account, consistent with their in ternational obligations, socio-economic consider ations arising from the impact of [LMOs] on th e conservation and 
sustainable use of biological diversity, especially with regard to the value of biological diversity to indigenous and local co mmunities. 
2. The Parties are encouraged to cooperate on research and information exchange on a ny socio-economic impacts of [LMOs], especi ally on 
indigenous and local communities". 
Annexes  Annex I sets out the information required in notifications under Articles 8, 10 and 13 (AIA Procedure and Simplified Procedure ). 
 Annex II sets out the information required for LMOs intended for direct use as food or feed, or for processing under Article 1 1.   
 Annex III gives greater details on the risk assessments carried out pursuant to the Protocol.  
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 Page 952. Decisions of the COP-MOP 
Handling, Transport, 
Packaging and 
Identification of Living 
Modified Organisms 
(Article 18) 
 Unique identification system(s)... 
Decision BS-I/6 
"1. Invites Parties and other government to take measures to appl y, as appropriate, the OECD Un ique Identifiers for Transgenic Plants to living 
modified plants under the Protocol, without prejudice to the 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 harmonisation of 
such codes by all users; 
 3. Encourages the OECD and other organizations involved in th e development of unique identification systems for [LMOs] to init iate or enhance 
their activities towards the development of a harmonized system of unique identifiers for genetically modified micro-organisms and animals. ..." 
Paragraph 2 (a) of Article 18: 
Decision BS-I/6 
"1. Requests Parties to the Protocol and urges other Governments to take measures to require the use of a commercial invoice or  other document 
required or utilized by existing documentation systems, as docum entation that should accompany [LMOs] that are intended for dir ect 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 requirements for this purp ose 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 ur ges other Governments to take measures en suring that documentation accompanying [LMOs ] that are 
intended for direct use as food or feed, or for processing clearly identifies that the shipment may contain [LMOs] intended for  direct use as food or 
feed, or for processing, and states th at they are not intended for intentional introduction into the environment; 
 3. Further requests Parties to the Protocol and urges other G overnments to take measures ensuring that the documentation accom panying [LMOs] 
that are intended for direct use as food or feed, or for processing, provides the details of a contact point for further inform ation:  the exporter, the 
importer, or any appropriate authority, when designated by a Government as the contact point; 
 4. Further urges Parties to the Protocol and other Governments to require that the documentation referred to in paragraph 1 ab ove includes:  
(i) the common, scientific and, wher e available, commercial names, and  
(ii) the transformation event code of the [LMOs] or, where available, as a key to accessing information in the Biosafety Cleari ng-House, its 
unique identifier code;  
 5. Encourages Parties to the Protocol and other Governments to require exporters of [LMOs] that are intended for direct use as  food or feed, or 
for processing under their jurisd iction to declare, in documentation accompanying transboundary movements known to intentionall y contain 
[LMOs] that are intended for direct use as food or feed, or for processing, that the shipment contains [LMOs] that are intended  for direct use as food 
or feed, or for processing, the identity of the [LMO],  and any unique identification, where possible; ..." 
Decision BS-III/10 
"The [COP] serving as the [MOP] to the Cartagena Protocol on Biosafety... 
 1. Requests  Parties to the Protocol and urges  other Governments to take measures to ensure th e use of a commercial invoice or other document 
required or utilized by existing documentation systems, or doc umentation as required by domestic regulatory and/or administrati ve frameworks, as 
documentation that should accompany [LMOs] that are intended for direct use as food or feed, or for processing....;  
 3. Further requests Parties to the Protocol and urges other Governments to take measures ensuring that the documentation accompanying  
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[LMOs] that are intended for direct use as food or feed, or for processing, provides the details of a contact point for further  information: the 
exporter, the importer, and/or any appropriate authority, when designated by a Government as the contact point;  
 4. Requests  Parties to the Protocol and urges other Governments to take measures ensuring that documentation accompanying [LMOs] intended 
for direct use as food or feed, or for pr ocessing, in commercial prod uction and authorized in accord ance with domestic regulato ry frameworks, is in 
compliance with the requirements of the country of import, an d clearly states:  
(a) In cases where the identity of the [LMOs] is known through m eans such as identity preservation systems, that the shipment c ontains [LMOs] 
that are intended for direct use as food or feed, or for processing;  
(b) In cases where the identity of the [LMOs] is not known through means such as identity preservation systems, that the shipme nt may contain 
one or more [LMOs] that are intended for dir ect use as food or feed, or for processing;  
(c) That the [LMOs] are not intended for intentional introduction into the environment;  
(d) The common, scientific and, where ava ilable, commercial names of the [LMOs];  
(e) The transformation event code of the [L MOs] or, where available, as a key to acces sing information in the [BCH], its unique  identifier code;  
(f) The Internet address of the [BCH] for further information;  
and notes that in accordance with Article 24 of the Protocol, transboundary movements of [LMOs] between Parties and non-Parties shall be 
consistent with the objective of the Protocol, and further notes that the specific requirements set out in this paragraph do not apply to such 
movements. In addition, in accordance with paragraph 2 of Artic le 24, Parties shall encourage non-Parties to adhere to the Prot ocol...". 
Decision BS-IV/9 
"The [COP] serving as the [MOP] to th e Cartagena Protocol on Biosafety…  
 1.Notes the important work that is being done by relevant internationa l organizations such as the Codex Alimentarius Commission and the  
International Organization for Standardization and e ncourages Parties to participate in and share info rmation with these and other relevant 
international standard-setting bodies, and utilize, as appropriate, criteria or met hods for sampling and detection of living mo dified organisms 
published by them; 
 2. Requests  Parties and encourages  other Governments and relevant international organizati ons to ensure that information related to rules and 
standards on the sampling of living modified organisms and det ection techniques, including experi ence with such techniques are made available via 
the Biosafety Clearing-House;  
 3. Requests  Parties, and encourages  other Governments, relevant international organizations as well as the Global Environment Facility, to 
cooperate with and support developing country Parties, in partic ular the least developed and small island developing States amo ng them, and Parties 
with economies in transition, in their efforts to build their capacities in the area of sampling and detection of living modifi ed organisms, including 
the setting up of laboratory facilities and traini ng of local regulatory and scientific personnel; 
 4. Underlines the importance of accreditation of  laboratories involved in sampling and detection of living m odified organisms; 
 5. Encourages  those in possession of reference materials to provide access for th ose agencies that may need such materials for the purpose o f 
detection of living modified organisms."  
Decision BS-V/8 
"The [COP] serving as the [MOP] to th e Cartagena Protocol on Biosafety…  
 1. Requests  Parties and urges  other Governments to continue to take measures to en sure that the information required by paragraph 2 (a) of 
Article 18 and paragraph 4 of decision BS-III/10 to identify living modified organisms intended for direct use as food or feed,  or for processing, is 
incorporated into existing documentation acco mpanying the living modified organisms, as  specified in paragraph 1 of decision BS -III/10;  
 2. Urges  Parties to expedite the implementation of their biosafety regu latory frameworks and make availa ble to the Biosafety Clearing-H ouse any 
laws, regulations and guidelines for the implementation of the Protocol, and any changes to their regulatory requirements relat ed to the identification  
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 3. Requests  Parties and urges  other Governments to take measures that facilitate furt her implementation of decision BS-III/10, in particular its 
paragraph 4; 
 4. Requests  Parties and encourages  other Governments and relevant organizations to cooperate with and support developing country Parties and 
Parties with economies in transition to build capacity to implem ent the identification requirements of paragraph 2 (a) of Artic le 18 and related 
decisions;  
 5. Encourages  Parties to develop domestic systems or use existing ones, as appropriate, to prevent imported living modified organisms intend ed 
for direct use as food or feed, or for processing, from being used for other purposes such as introduction into the environment ;  
 6. Decides , taking into account the limited experience gained to date in the implementation of paragraph 4 of decision BS-III/10, to post pone the 
decision-taking referred to in paragraph 7 of decision BS-III/10 until its seventh meeting. This decision-taking should also in clude consideration of 
the need for a stand-alone document, as referred  to in paragraph 2 of decision BS-III/10;  
 7. Requests  Parties and invites  other Governments and relevant organizations to submit to the Executive Secretary, no later than six months prior 
to the seventh meeting of the Parties to the Protocol, further information on experience gained with the implementation of para graph 4 of decision 
BS-III/10 as well as the present decision, including any information on obstacles that are encounte red in the implementation of  these decisions as 
well as specific capacity-building needs to implement these decisions, and requests  the Executive Secretary to comp ile the information and prepare 
a synthesis report for consideration by the Parties at their seventh meeting." 
 
Paragraphs 2 (b) and 2 (c) of Article 18: 
Decision BS-I/6 
"1. Requests Parties to the Protocol and urges other Governments to take measures to ensure the use of a commercial invoice or other documents 
required or utilized by existing documentation systems, with co nsideration given to the formats outlined in the example templat es annexed hereto, as 
documentation that should accompany [LMOs] for contained use and [LMOs] for intentional introduction into the environment of th e Party of 
import, incorporating the information required under paragraphs 2 (b) and 2 (c) of Article 18 of the Protocol, as appropriate, with a view to fulfil the 
identification requirements of these paragraphs; 
 2. Requests Parties to the Protocol and invites other Government s to submit to the Executive Secretary, not later than six mon ths prior to the third 
meeting of the [COP] serving as the [MOP] to the Protocol, information on experience gained with the use of documentation refer red to in 
paragraph 1 above, with a view to the future consideration of a stand-alone document, to fulfil the identification requirements  of paragraphs 2 (b) 
and 2 (c) of Article 18, and requests the Executive Secretary to  compile the information received and to prepare a synthesis re port presenting options 
for stand-alone documentation for consideration by the third m eeting 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 [LMO s] contains 
the following informati on and declaration:  
(a) [LMOs] for contained use (Article 18, paragraph 2 (b)): 
(i) Clear identification as "[LMOs]" including common and scientific names of the organisms and as "destined for contained use" ; 
(ii) The name and address of the consignee,  and exporter or importer, as appropriate,  including contact details necessary to re ach them as fast 
as possible in case of emergency; 
(iii) Any requirements for the safe handling, storage, transpor t and use of the [LMOs] under applicable existing international instruments, such 
as the United Nations Recommendations on the Transport of Danger ous Goods, the International Plant Protection Convention and th e 
Organisation Internationale des Epizooties, domestic regulatory fr ameworks or under any agreements  entered into by the importer  and 
exporter.  In the event that there is no requirem ent, indicate that there is no specific requirement;  
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(iv) Where appropriate, further informati on should include the commercial names of the [LMOs], if available, new or modified tr aits and 
characteristics such as event(s) of transformation, risk class, specification of use, as well as any unique identification, whe re available, as a key 
to accessing information in the [BCH]; 
(b) [LMOs] for intentional introduction into the environment of the Party of import and any other [LMOs] within the scope of th e Protocol 
(Article 18, paragraph 2 (c)): 
(i) Clear identification as "[LMOs]" and a brief description of the organisms, including common and scientific name, relevant t raits and 
genetic modification, including transgenic traits and characteris tics such as event(s) of transf ormation or, where available an d applicable, a 
reference to a system of unique identification; 
(ii) Any requirements for the safe handling,  storage, transport and use of the [LMOs] as provided under applicable existing int ernational 
requirements, domestic regulatory frameworks, or under any agreemen t entered into by the importer and exporter.  In the event t hat there is no 
requirement, indicate that ther e 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 [LMOs] is in conformi ty with the requirements of the Cartagena Protocol on Biosafety  applicable 
to the exporter; 
(vi) Where appropriate, further informati on should include the commercial name, risk class, and import approval for the first t ransboundary 
movement of [LMOs]; .." 
Decision BS-II/10 
"The [COP] serving as the [MOP] to the Cartagena Protocol on Biosafety... 
 2. Urges  Parties to the Protocol and invite other Governments to take  necessary measures, taking into account their specific capabiliti es, to make 
sure that those requirements of paragraphs 2 (b) and 2 (c) of Article 18 of the Protocol as elaborated by decision BS-I/6 B are  fully complied with; 
 3. Further  urges Parties, especially those Parties of im port, to make available to the [BCH] information on their domestic requirements 
concerning imports of [LMOs] in general, and documentation requirements in particular, with respect to [LMOs] for contained use  and for 
intentional introduction into the environment, as part of the requirement set out in paragraph 3 of Article 20 of the Protocol for each Party to make 
available its laws, regulations and guidelines rele vant to the implementation of the Protocol...". 
Decision BS-IV/8 
"The [COP] serving as the [MOP] to the Cartagena Protocol on Biosafety... 
 1. Requests  Parties and encourages other Governments and relevant interna tional organizations to continue to implement the requirements un der 
paragraphs 2(b) and 2(c) of Article 18 an d associated decisions by the Conference of the Parties serving as the meeting of the Parties to the Protocol; 
 2. Decides  to review this matter at its sixth meeting in light of the review of experience based on the analysis of the second national r eports. 
Paragraph 3 of Article 18 
Decision BS-IV/10 
"The [COP] serving as the [MOP] to the Cartagena Protocol on Biosafety...  
 1. Decides to continue to gain experience in the implementation of the Protocol’s provisions regarding handling, transport, pa ckaging and 
identification, and requests  the Executive Secretary to continue to collaborate with  relevant international organizations in this regard; 
 2. Requests  Parties and encourages  other Governments and international organizations to ensure that information related to standards on the 
identification, handling, packaging and tran sport of living modified organisms is available through the Biosafety Clearing-Hous e; 
 3. Encourages  Parties to participate in ongoing work on standards on handling, transport, packaging and identification of living modified  
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need for and modalities of developing the nece ssary standards, in particular by referring  such gaps to other relevant internati onal organizations; 
 4. Requests  the Executive Secretary to organize an on line conference to: (i) identify the relevant standards with regard to handling, tran sport, 
packaging and identification of living modified organisms; ( ii) identify where gaps exist; an d (iii) suggest possible modalitie s to fill the gaps; and to 
prepare a summary of the outcome of the co nference, reflecting the full range of views expressed, for the consideration of the Conference of the 
Parties serving as the meeting of the Parties to Protocol at its fifth meeting;  
 5. Invites  Parties, other Governments and relevant international organiza tions to provide the Executive Secretary with guiding questions for this 
online conference and requests  the Executive Secretary to finalise the list of questions in consultation with the Bureau of the Conference of the 
Parties serving as the meeting of the Parties to the Protocol."  
Decision BS-V/9 
"The [COP] serving as the [MOP] to the Cartagena Protocol on Biosafety... 
1. Requests the Executive Secretary to: 
(a) Continue following developments in standards related to th e handling, transport, packaging and identification of living mod ified organisms 
and to report to the Parties at their sixth meeting on any such developments. The report should include information on developm ents in standard-
setting on the sampling and detection of living modified organisms;  
(b) Disseminate the results of the Online Forum on Standards for Shipments of Living Modified Organisms, including information about potential 
gaps in international standards, to relevant organizations; 
(c) Organize regional workshops for: (i) heads of laboratories in volved in the detection of living modified organisms to exchan ge information and 
experience on the implementation of relevant standards and methods; and (ii) customs officers requiring capacity in the samplin g and detection of 
living modified organisms further to paragraph 10 of decision BS-III/10 and paragraph 3 of decision BS-IV/9; 
(d) Commission a study to analyse information on existing standard s, methods and guidance relevant to the handling, transport, packaging and 
identification of living modified organisms and to make the study available for consideration by the sixth meeting of the Confe rence of the Parties 
serving as the meeting of the Parties to the Prot ocol. This study should address in particular: 
(i) Possible gaps in existing standards, guidance and methods; 
(ii) Ways to facilitate coopera tion with relevant organisations; 
(iii) Guidance on the use of existing in ternational regulations and standards; 
(iv) The possible need for the el aboration of standards for handling, transport,  packaging and identification of living modifie d organisms; 
 2. Invites standard-setting bodies to form an electronic comm unications group with the Secretariat of the Convention on Biolog ical Diversity to 
exchange information on activities relevant to the handling, tran sport, packaging and identification of living modified organis ms being undertaken in 
each forum; 
3. Invites the International Plant Protection Convention to collaborate with the Secretariat of the Convention on Biological Di versity in the 
development of an explanatory document on the terminology of the Protocol in relation to the glossary of phytosanitary terms ad opted by the 
Commission on Phytosanitary Measures;  
4. Requests Parties and encourages  other Governments and relevant organizations, as appropriate, to make available to the Biosafety Clearing-
House information on: 
(a) Standards relevant to the handling, transport, packaging and identification of living modified organisms; 
(b) Existing guidance on the use of relevant international standards; 
(c) Methods for the detection and identification of living modified organisms; 
 5. Invites Parties to nominate national and international reference laboratories with the view to establishing, through the Bi osafety-Clearing  
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House, an electronic network of laborator ies to facilitate the identification of livin g modified organisms as well as the shari ng of information and 
experiences."  
Cooperation with Other 
Organizations, 
Conventions and 
Initiatives  
 Decision BS-II/6 
"The [COP] serving as the [MOP] to the Cartagena Protocol on Biosafety... 
Requests  the Executive Secretary: 
(a) To pursue efforts to obtain observer status for the Secretar iat of the [CBD] with the [WTO's] Committees on Sanitary and Ph ytosanitary 
Measures and on Technical Barriers to Trade; 
(b) To continue the involvement of the Secretariat of the [CBD] in  discussions in the [WTO's CTE] on issues relevant to the Pro tocol 
(c) To reinforce cooperation with the Codex Alimentarius Commission, the Office International des Epizooties and the Internatio nal Plant Protection 
Convention on issues of mutual relevance; … 
(f) To establish cooperation with the World Customs Organization,  the International Organization for Standardization (ISO), the  United Nations 
Transport of Dangerous Goods Sub-Committee, the International Air Transport Association and other relevant customs and transpor t organizations 
where biosafety issues are considered, with a view to developing a harmonized approach for the packaging and transport of livin g modified 
organisms in preparation for the consideration at the third mee ting of the Conference of the Parties serving as the meeting of the Parties to the 
Protocol of the need for and modalities of developing standards with regard to identification, handling, packaging and transpor t practices, in 
accordance with the medium-t erm programme of work." 
Decision BS-III/6 
"The [COP-MOP]…  
2. Commends  the Executive Secretary on his recent efforts to strengthen co operation with other organizations and initiatives, in particula r as 
regards the cooperation with th e World Trade Organization and requests the Executive Secretary to intensif y efforts to gain the World Trade 
Organization observer status in the Sanitary and Phytosanitary  (SPS) and the Technical Barrier s to Trade (TBT) Committees; 
3. Also requests  the Executive Secretary to: 
(a) Continue pursuing, reinforcing and intensifying, as the case may be, cooperative arrangements with all the organizations re ferred to in decision 
BS-II/6; 
Decision BS-IV/6 
"The [COP] serving as the [MOP] to the Cartagena Protocol on Biosafety... 
 3. Commends the Executive Secretary on his sustained efforts to strengthen cooperation with other organizations, in particular  with the World 
Trade Organization, and requests the Executiv e Secretary to further intensify efforts to  gain observer status in the World Trad e Organization 
committees on Sanitary and Phytosanitary measures  (SPS) and Technical Barriers to Trade (TBT)…" 
Decision BS-V/6 
"The [COP] serving as the [MOP] to the Cartagena Protocol on Biosafety... 
1. Commends  the Executive Secretary on his sustained efforts to strengthen cooperation with other organizations, in particular with the Wo rld 
Trade Organization, and requests  the Executive Secretary to further intensify efforts to  gain observer status in the World Trade Organization 
committees on Sanitary and Phytosanitary M easures and Technical Barriers to Trade; 
2. Requests  the Executive Secretary, subject to the availability of funds, to:   
(a) Pursue memoranda of understanding with the International Or ganization for Standardization and the International Seed Testin g Association to 
further cooperation with these organiza tions in the context of Article 18; 
(b)  Continue participating in the relevant meetings of the in ternational standard-setting organizations referred to in decisio n BS-II/6; 
(c) Cooperate with other organizations, conventions and initiatives  that are developing work on information-sharing mechanisms with the aim of:  
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reliability of the information provided; 
(d)  Maintain cooperation with organizations involved  in packaging and transport rules and standards." 
Options for 
Implementation of 
Article 8 Decision BS-II/8 
" The [COP] serving as the[MOP] to th e Cartagena Protocol on Biosafety... 
1. Decides  to keep the item on notification referred to in decision BS-I/12 under review with a view to elaborating and developing, if ap propriate, 
at its fourth meeting, modalities of implementation with respect to notification requirements under Article 8 of the Protocol, taking into account the 
information on national implementation and experiences on this matter gathered through interim national reports and the [BCH]; 
2. Recommends to Parties to the Protocol to consider elements and options rele vant to Article 8 of the Protocol, as well as the following ele ments, 
pending development of modalities referred to in paragraph 1 above:  
(a) Applying necessary measures to enforce the notification requirements; 
(b) Requiring the exporter to use the language as determined by the Party of import in the notification; 
(c) Acknowledging the right of a Party of transit to regulate th e transport of living modified organisms through its territory,  including requiring 
communication in writing to the competent national authority of the Party of transit if so required by the regulations of that Party of transit." 
Decision BS-IV/18 
" Recalling  its decision to keep the item on notification under review with a view to elaborating and devel oping, if appropriate, at its f ourth meeting, 
modalities of implementation of the requirements under Article 8 of the Protocol, taking into account national implementation a nd experiences that 
may be communicated through national reports and the Biosafety Clearing-House (BS-II/8, paragraph 1), 
Recognizing  that the information made avai lable by Parties through their interim and firs t national reports, and the Biosafety Clearing-Ho use, 
demonstrates the existence of no or limited experiences in implementing the notification requirements under Article 8 of the Pr otocol...". 
Socio-economic 
Considerations (Article 
26, paragraph 2) Decision BS- IV/16 
" Recalling  Article 26 of the Protocol, in particular paragraph 2, 
Recognizing  the divergent views and the complexity of the issue of socio-economic impacts of living modified organisms as observed through  the 
submissions received and synthe sized by the Secretariat in accordance with the request made under decision BS-II/12; 
Invites  Parties, other Governments and relevant organizations to continue to share their research, research method and experience in t aking into 
account socio-economic impacts of living modified organisms, thro ugh the Biosafety Clearing-House, where it could be retrievabl e using the search 
term "socio-economic..." 
Decision BS-V/3: Capacity building 
IV. Cooperation on identification of capacity-building needs for research and information exchange on socio-economic considerat ions 
21. Takes note  of the recommendations of the sixth Coordination Meeting for Governments and Organizations Implementing or Funding Biosafety 
Capacity-Building Activities regarding possibilities for cooperation in identifying needs for capacity-building among Parties f or research and 
information exchange on socio-economic impacts of living modified organisms (UNEP/CBD/BS/COP-MOP/5/INF/4); 
22. Invites Parties and other Governments to submit to the Biosafety Clear ing-House their capacity-building needs and priorities regarding socio-
economic considerations; 
23. Urges  Parties, other Governments and relevant organizations to submit to the Executive Secretary relevant information on socio-econo mic 
considerations, including guidan ce material and case studies on, inter alia , institutional arrangements and best practices; 
24. Requests the Executive Secretary to convene regional online conferences to: (i) facilitate the ex change of views, information and experi ences 
on socio-economic considerations on a regional basis; and (ii) identify possible issues for further consideration; 
25. Requests also  the Executive Secretary to convene, prior to the sixth meeting of  the Conference of the Parties serving as the meeting of the  
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Parties to the Protocol, subject to the n ecessary financial resources being made ava ilable, a regionally-b alanced workshop on c apacity-building for 
research and information exchange on socio-economic impacts of living modified organisms, with the following main objectives: 
(a) Analysis of the capacity-building activities, needs and priorities regarding socio-economic considerations submitted to the Bio safety Clearing-
House by Parties and other Governments, and identification of options for cooperation in addressing those needs; 
(b) Exchange and analysis of information on th e use of socio-economic considerations in the context of Article 26 of the Protocol; 
26. Requests the Liaison Group on Capacity-Building for Biosafety to give advice to the Executive Secretary on the organisation of the works hop 
referred to in paragraph 25 above; 
27. Requests the Executive Secretary to synthe size the outcomes of the online conferences and workshop referred to in paragraphs 24 and 25 a bove 
and submit a report to the sixth meeting of the Parties for consideration of further steps;  
28. Invites Parties, in collaboration with regional bodies and relevant orga nizations, to organize regional workshops to facilitate sharing  of 
information and experiences regard ing socio-economic considerations; 
29. Welcomes  the report of the survey on the application of and experience in the use of socio-economic cons iderations in decision-making o n 
living modified organisms conducted by the United Nations Environment Programme and the Secretariat (UNEP/CBD/BS/COP-MOP/5/INF/ 10); 
30. Invites  the United Nations Environment Programme and other organizations  to conduct additional case studi es to document experiences an d 
lessons learned in different regions. 
Liability and Redress 
under the Cartagena 
Protocol on Biosafety Decision BS-V/11  
" The [COP] serving as the[MOP] to th e Cartagena Protocol on Biosafety... 
3. Decides  to adopt the Nagoya – Kuala Lumpur Supplementary Protocol on Li ability and Redress to the Cartagena Protocol on Biosafety, as 
contained in the annex to the present decision (hereina fter referred to as "the Supplementary Protocol"); 
4. Requests  the Secretary-General of the United Nations to be the Depositary  of the Supplementary Protocol and to open it for signature at  the 
United Nations Headquarters in New York from 7 March 2011 to 6 March 2012; 
3. Encourages Parties to the Cartagena Protocol on Biosafety to implemen t the Supplementary Protocol pending its entry into force; 
4. Calls upon  the Parties to the Cartagena Protocol on Biosafety to sign the Supplementary Protocol on 7 March 2011 or at the earliest 
opportunity thereafter and to de posit instruments of ratificatio n, acceptance or approval or in struments of accession, as appro priate, as soon as 
possible; 
……. 
7. Decides that, where the costs of response measures as provided for in the Supplementary Protocol have not been covered, such a situatio n may 
be addressed by additional and supplementary compensation measures; 
8. Decides that the measures referred to in paragraph 7 above may include arrangements to be addressed by the Conference of the Parties se rving 
as the meeting of the Parties;…" 
Risk Assessment and 
Risk Management  Decision BS-III/11 
"The [COP-MOP]... 
15. Requests  the Executive Secretary to collabo rate with relevant organizations such as the Food and Agriculture Organization of the United  
Nations, to promote networking and interlinkages between experts in risk assessment of living modified organisms and experts in  other relevant 
fields of risk assessment and risk management (e.g., plant health, animal health, food safety), using, inter alia,  Internet portals such as the Biosafety 
Clearing-House and the International Portal on Food Safety, Animal & Plant Health;  
Decision BS-IV/11 
" The [COP] serving as the[MOP] to th e Cartagena Protocol on Biosafety...  
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 Page 103" 3. Decides  to establish through the Biosafety Clearin g-House an open-ended online forum on specifi c aspects on risk assessment as referen ced to 
in the annex; 
4. Decides  to establish an Ad Hoc Technical Expert Group on Risk Assessment and Risk Management according to the modality of work and the  
terms of reference annexed hereto..." 
Decision BS-V/12 
" The [COP] serving as the[MOP] to th e Cartagena Protocol on Biosafety... 
4. Decides to extend the current open-ended online forum and the Ad Hoc Technical Expert Group on Risk Assessment and Risk Management in 
accordance with the terms of reference annexed hereto; 
6. Further notes  that the first version of the Guidance requires further scien tific reviewing and testing to establish its overall utility and 
applicability to living modified organisms of differen t taxa introduced into different environments, and requests  the Executive Secretary to, prior to 
the first meeting of the Ad Hoc Technical Ex pert Group on Risk Assessment and Risk Management, (i) translate the first version of the Guidance 
into all United Nations languages with a view  to enabling a large number of experts to take part in the reviewing process; (ii)  coordinate with Parties 
and other Governments, through their technical and scientific e xperts, and relevant organizations, a review process of the firs t version of the 
Guidance; (iii) make the comments of the review pro cess available through the Biosafety-Clearing House; 
8. Further requests  the Executive Secretary to: (i ) update the common format for submission of re cords to the Biosafety Information Resources 
Centre in order to link its records on risk assessment to specifi c sections of the Guidance; and (ii) explore possible ways to link background 
materials available in the "Scientific Bibliographic Database on Biosafety" to specific sections of the Guidance; 
10. Urges  Parties and invites  other Governments to submit to the Biosafety Clearing-House decisions and risk assessments where potential adverse 
effects have been identified, as well as any other relevant info rmation that may assist Parties in the identification of living  modified organisms or 
specific traits that may have adverse effects on the conservation and sustainable use of biological diversity, taking also into  account risks to human 
health, including information, if possible, when a decision is not taken due to the potential of a living modified organism to cause adverse effects 
when introduced into specific environments; 
12. Requests  Parties and invites  other Governments and relevant organizations to submit to the Executive Secretary (i) information on risk 
assessments, carried out on a case-by-case ba sis with regards to the receiving environm ent of the living modified organism, tha t might assist Parties 
in the identification of living modified organisms that are not likely to have adverse effects on the conservation and sustaina ble use of biological 
diversity, taking also into account risks to human health, and (ii) the criteria that were cons idered for the identification of  such living modified 
organisms; 
13. Requests the Executive Secretary to compile the information received an d prepare a synthesis report for consideration by the Parties at their 
sixth meeting…" 
Decision BS- V/10 
Rights and/or obligations 
of Parties of transit of 
living modified 
organisms " The [COP] serving as the[MOP] to th e Cartagena Protocol on Biosafety... 
1. Encourages  Parties to continue addressing issues related to the transit of living modified organisms through their territories using thei r 
domestic administrative and legal systems; 
2. Decides to consider this item at its eighth meeting.  
BS-V/15.  
Assessment and review 
(Article 35)  " The [COP] serving as the[MOP] to th e Cartagena Protocol on Biosafety... 
1. Decides :  
(a) That the scope of the second assessment and review of the ef fectiveness of the Protocol fo cus primarily on evaluating the s tatus of 
implementation of core elements of the Protocol as identified in the annex below; 
(b)  That the evaluation should be based on information on the implementation of the Protocol gathered through the second natio nal reports, the  
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Biosafety Clearing-House, information that might be made available through the Compliance Committee in relation to its function s to review 
general issues of compliance, the capacity-building coordination mechanism and other relevant processes and organizations; 
2. Requests  the Executive Secretary to  collect and compile information on the implementa tion of the Protocol and to commission the analysi s of 
such compilation of information with a view to facilitating the se cond assessment and review of the effectiveness of the Protoc ol; 
3. Decides also : 
(a) To establish a regionally balanced ad hoc technical expert group, subject to the availability of funds, to: (i) review the analysis of information 
referred to in paragraph 2 above; and (ii)  submit its recommendations to the sixth m eeting of the Conferen ce of the Parties ser ving as the meeting of 
the Parties for its consideration; and 
(b) That the third assessment and review of the Protocol be conducted in conjunction with the mid-term review of the implementa tion of the 
Strategic Plan at the eighth meeting of the Parties, using, among other things, information collected through the third nationa l reports; 
4. Urges  Parties and invites  other Governments and relevant international organizations to contribute, as appropriate, to the data collection 
processes by completing and submitting, in a timely manner, national reports, or by responding to a questionnaire and providing  complete 
information on the implementation of the Protocol…." 
BS-V/16. 
Strategic plan for the 
Cartagena Protocol on 
Biosafety for the period 
2011-2020  " The [COP] serving as the[MOP] to th e Cartagena Protocol on Biosafety...  
1. Adopts  the Strategic Plan of the Cartagena Protoc ol on Biosafety for the period 2011-2020 (annex I to the present decision) and its m ulti-year 
programme of work of the Conference of the Parties serving as the meeting of the Parties to the Protocol (annex II to the prese nt decision); 
2. Urges  Parties and invites  other Governments and relevant international organizations, as appropriate, to: 
(a) Review and align, as appropriate, th eir national action plans and programmes relevant to the implementation of the Protocol , including their 
National Biodiversity Strategies and Actio n Plans, with the Strategic Plan; and 
(b) Allocate adequate human and financial resources necessary  to expedite the implementation of the Strategic Plan; 
3. Urges  Parties to submit their national reports on the implementation of the Cartagena Protocol on Biosafety in a comprehensive and t imely 
manner using the second national reporting format in order for the second assessment and review on the effectiveness of the Pro tocol to, among 
other things, establish a baseline for evaluating progress in the implementation of the Protocol and the Strategic Plan; 
4. Decides  to conduct a mid-term evaluation of the Strategic Plan: 
(a)  Five years after its adoption in conjunction with the third assessment and review scheduled to  be conducted at the eighth meeting of the 
Conference of the Parties serving as the meeting of the Parties to the Protocol; 
(b) Using appropriate evaluation criteria that  need to be proposed by the Executive Secr etary at the seventh meeting of the Con ference of the 
Parties serving as the meeting of  the Parties to the Protocol. 
  
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 Page 105I. NAGOYA PROTOCOL ON ACCESS TO GENETIC RESOURCES AND THE FAIR AND EQUITABLE SHARING OF BENEFITS ARISING FROM THEIR UTILIZATION  
1. The text of the Protocol does not explicitl y refer to trade measures. However, the Protocol contains a number of provisions whi ch may have 
consequences for trade. In addition, some of its provisions have inter-linkages with some international trade agreements. 
Article 3 bis 
Relationship with other 
international agreements 
  "1. The provisions of this Protocol shall not affect the rights and obligations of any Party deriving from any existing interna tional agreement, 
except where the exercise of those rights and obligations would cause a serious damage or threat to biological diversity. This paragraph is not 
intended to create a hierarchy between this Protocol and other international instruments. 
2. Nothing in this Protocol shall prevent the Parties from developing and implementing other relevant international agreements,  including other 
specialised access and benefit-sharing agreem ents, provided that they are supportive of and do not run counter to the objective s of the Convention 
and this Protocol. 
3. This Protocol shall be implemented in a mutually supportive manner with other international instruments relevant to this Pro tocol. Due regard 
should be paid to useful and relevant ongoing work or practices  under such international instruments and relevant international  organizations, 
provided that they are supportive of and do not run counter to the objectives of the Convention and this Protocol. 
4. This Protocol is the instrument for the implementation of the access and benefit-sh aring provisions of th e Convention. Where  a specialised 
international access and benefit-sharing instrument applies that is consistent with, and does not run counter to the objectives  of the Convention and 
this Protocol, this Protocol does not apply for the Party or Pa rties to the specialised instrume nt in respect of the specific g enetic resource covered by 
and for the purpos e of the specialised instrument." 
Article 4 
Fair and equitable benefit-
sharing "1. In accordance with Article 15, paragrap hs 3 and 7 of the Convention, benefits ar ising from the utilization of genetic resou rces as well as 
subsequent applications and commercialization shall be shared in a fair and equitable way with the Party providing such resourc es that is the country 
of origin of such resources or a Party th at has acquired the genetic resources in acc ordance with the Convention.  Such sharing  shall be upon 
mutually agreed terms.(…) 
2. To implement paragraph 1, each Party shall take legislative, administrative or policy measures, as appropriate.(…)"   
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Article 13 
Monitoring the Utilization 
of Genetic Resources "1. To support compliance, each Pa rty shall take measures, as appropriate, to mon itor and to enhance tran sparency about the uti lization of genetic 
resources. Such measures shall include: 
 (a)  The designation of one or more checkpoints, as follows: 
(i) Designated checkpoints would collect or rece ive, as appropriate, relevant information related to prior informed consent, to the  source 
of the genetic resource, to the establishment of mutually agreed  terms, and/or to the utilization of genetic resources, as appr opriate.  
(ii) Each Party shall, as appropriate and depending on the particular characteristics of a designated checkpoint, require users of g enetic 
resources to provide the information specifi ed in the above paragraph at a designated  checkpoint. Each Party shall take appropr iate, 
effective and proportionate measures to address situations of non-compliance. 
(iii) Such information, including from internationally recognized certificates of compliance  where they are available, will, without 
prejudice to the protection of confidential in formation, be provided to relevant national authorities, to the Party providing p rior 
informed consent and to the Access and Benef it-sharing Clearing-Hous e, as appropriate.  
(iv) Check points must be effective and should have functions re levant to implementation of this sub-paragraph (a). They should  be 
relevant to the utilization of genetic resources, or to the collection of relevant information at, inter alia , any stage of research, 
development, innovation, pre-commercialization or commercialization. 
(b)  Encouraging users and providers of gene tic resources to include provisions in mutually agreed terms to share information o n the 
implementation of such terms, including through reporting requirements; and 
 (c) Encouraging the use of cost-effective communication tools and systems.  
2. A permit or its equivalent issued in accordance with Article 5, paragraph 2 (d) and made available to the Access and Benefit -sharing Clearing-
House, shall constitute an internationally recognized certificate of compliance.  
3. An internationally recognized certificate of compliance shall serve as evidence that the genetic resource which it covers ha s been accessed  in 
accordance with prior informed cons ent and that mutually agreed terms have been established, as required by the domestic access  and benefit-
sharing legislation or regulatory requirements of the Party providing prior informed consent.  
 4. The internationally recognized certificate of compliance shall contain the following minimum information when it is not con fidential: 
(a) Issuing authority; 
(b) Date of issuance; 
(c) The provider; 
(d) Unique identifier of the certificate; 
(e) The person or entity to whom prior informed consent was granted; 
(f) Subject-matter or genetic resources  covered by the certificate; 
(g)  Confirmation that mutually agreed terms were established; 
(h bis)     Confirmation that prior informed consent was obtained; and 
(h)  Commercial and/or non-commercial use."  
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 Page 107J. UNITED NATIONS FRAMEWORK CONVENTION ON CLIMATE CHANGE  
1. The UNFCCC does not have provisions that directly restrict trad e, but domestic actions of countries implementing the UNFCCC cou ld have trade 
implications.  
Article 3.5 
Principles "The Parties should cooperate to promote a supportive and open international economic system that would lead to sustainable eco nomic growth and 
development in all Parties, particularly developing country Par ties, thus enabling them better to address the problems of clima te change.  Measures 
taken to combat climate change, including unilateral ones, should  not constitute a means of arbitrary or unjustifiable discrimi nation or a disguised 
restriction on international trade". 
 No adverse impacts on trade pursuant to policies and measur es adopted by Parties have b een reported to the UNFCCC. 
COP 16  reaffirmed the Article 3.5 Principle. 
Article 4 
Commitments "2. The developed country Parties and other Parties included in Annex I commit themselves specifically as provided for in the f ollowing: 
(a) Each of these Parties shall adopt national policies and take corresponding measures on the mitigation of climate change, by  limiting its 
anthropogenic emissions of greenhouse gases and protecting and e nhancing 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 th e end of the present decade to ea rlier 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 points and approaches, econo mic structures and resource base s, 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".  
 Sets up the requirement for developed country Parties to adopt national policies and corresponding measures to mitigate climate  change. 
K. 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;   
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(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 
and distribution of energy.  
(b) Cooperate with other such Parties to enhance the individual and combined effectiveness of th eir 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 de veloping ways of improving their comparability, transparency an d 
effectiveness.  The [CMP] to this Protocol shall, at its first se ssion or as soon as practicable thereafter, consider ways to f acilitate such 
cooperation, taking into 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 policies 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 [CMP] to this Protocol may take further action, as appropriate, to promote the implementation  of the provisions of 
this paragraph. 
4. The [CMP] to this Protocol, if it decides that it would be beneficial to coordinate any of the policies and measures in para graph 1(a) above, 
taking into account different national circumstances and potential e ffects, shall consider ways an d means to elaborate the coor dination of such 
policies and measures". 
Articles 6, 12 and 17  The Kyoto Protocol sets out three mechanisms: 
 Article 6:  Joint Implementation (projects between Parties included  in  Annex I with commitments inscribed in Annex B to the Ky oto 
Protocol (Annex I Parties) countries to help meet a Party's commitments). 
 Article 12:  Clean Development Mechanism (The CDM allows Annex I Parties to invest in projects in developing countries to achie ve 
sustainable development, contribute to the objective of the Convention and assist Annex 1 Parties to comply with reduction comm itments). 
 Article 17:  Emissions Trading. 
 In decision 2/CMP.1 the CMP of Kyoto Protocol agreed on Principles, nature and scope of the mechanisms pursuant to Articles 6, 12 and 17 of 
the Kyoto Protocol. 
 Guidelines for the implementation of Article 6 of the Kyoto Protocol are contained in the annex to decision 9/CMP.1 of the CMP of the Kyoto 
Protocol, as revised by subsequent decisions of the CMP. 
 Modalities and procedures for the CDM as defined in Article 12 of  the Kyoto Protocol are contained in the annex to decision 31 /CMP.1 of the 
CMPof Kyoto Protocol. 
 Modalities, rules and guidelines for emissions trading under Artic le 17 of the Kyoto Protocol are contained in the annex to de cision 11/CMP.1  of 
the CMPof the Kyoto Protocol. 
  
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 Page 109L. INTERNATIONAL TROPICAL TIMBER AGREEMENT  
1. Provisions of the Agreement 
1. There are no provisions for trade measures in the ITTA, 1994.  Ho wever, following the entry into force of the ITTA, 1994, the m andate of the 
International Tropical Timber Organization (I TTO) on trade has been updated and refined.  This is reflected in six trade-relate d 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  members, 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 
1. Examples of the decisions and recommendations adopted  by the ITTO Council (ITTC) include the following: 
Decision 3(X)  In June 1991, the ITTC committed itself by Decision 3(X) to the "ITTO Year 2000 Objective", which was the goal of having all t ropical timber 
entering international trade coming from sustainably managed 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 (Artic le 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).  
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The ITTO Yokohama 
Action Plan 2002-2006  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)  In May 2003, the ITTC decided to undertake a study on the costs and benefits of certification in selected ITTO member countrie s, to develop 
procedures for phased approaches to certification and to convene an international workshop to promote phased approaches to cert ification.  
Decision 12 (XXXIV)  In May 2003, the ITTC also decided to undertake a study which would: 
 Identify product standards, quality or 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)  In December 2004, the ITTC adopted a decision on enhanced  cooperation between ITTO and CITES for ramin and mahogany.  
The ITTO Yokohama 
Action Plan 2008-2011  In November 2008, the ITTC adopted the ITTO Action Plan 2008-2011,[Decision 4(XLIV)].  
 
M. UN FISH STOCKS AGREEMENT  
Article 17 
Non-members of Organi-
zations and Non-partici-
pants in Arrangements "...4. States which are members of [RFMOs] or participants in [RFMAs] shall exchange information with respect to the activities  of fishing vessels 
flying the flags of States which are neither members of the organization nor participants in the arrangement and which are enga ged in fishing 
operations for the relevant stocks.  They shall take measures co nsistent with this Agreement and international law to deter act ivities of such vessels 
which undermine the effectiveness of subregional or regional conservation and management measures". 
Article 20 
International cooperation 
in enforcement "…7. States Parties which are members of a subregional or regional fisheries management organization or participants in a subre gional or regional 
fisheries management arrangement may take action in accordance wi th international law, including through recourse to subregiona l or regional 
procedures established for this purpose, to deter vessels which have engaged in activities which undermine the effectiveness of  or otherwise violate 
the conservation and management measures established by that organization or arrangement from fishing on the high seas in the s ubregion or region 
until such time as appropriate action is taken by the flag State". 
Article 23 
Measures taken by a Port 
State "1. A port State has the right and the duty to take measures, in accordan ce 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 national authorities to prohibit landings and transshipments where it h as been established  
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measures on the high seas. 
4. Nothing in this article affects the exer cise by States of their sovereignty over ports in their territory in accordance with  international law". 
Article 33 
Non-parties to the 
Agreement "...2. States Parties shall take measures consistent with this Agreement and international law to deter the activities of vesse ls flying the flag of non-
parties which undermine the effective implementation of this Agreement". 
 
N. ROTTERDAM CONVENTION ON THE PRIOR INFORMED CONSENT PROCEDURE FOR CERTAIN HAZARDOUS CHEMICALS AND PESTICIDES IN INTERNATIONAL 
TRADE  
1. Provisions of the Convention 
Preamble "The Parties to this Convention, 
Aware of the harmful impact on human health  and the environment from certain hazardous  chemicals and pesticides in internationa l trade,  
(…) 
"…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, including the health of c onsumers and workers, and the envi ronment against potentially harm ful impacts from 
certain hazardous chemicals and pes ticides in international trade…". 
Articles 5, 6, 7 and 9 
  Set out the procedures for i) inclusion of relevant to list chem icals in Annex III to be that are subject to the Prior Informe d Consent, and ii) 
removal of chemicals from Annex III.. 
Article 5 
Procedures for Banned 
or Severely Restricted 
Chemicals "1. Each Party that has adopted a final regulatory action shall notify the Secretariat in writing of such action.  Such notific ation shall be made as 
soon as possible, and in any event no later than ninety days after the date on which the final regulatory action has taken effe ct, and shall contain the 
information required by Annex I, where available. 
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 regulat ory actions under the Amended London Guid elines or the 
International Code of Conduct need not resubmit those notifications. 
3. The Secretariat shall, as soon as possi ble, and in any event no later than six m onths after receipt of  a notification under paragraphs 1 and 2, 
verify whether the notification contains the information required by Annex I.  If the notification contains the information req uired, the Secretariat 
shall forthwith forward to all Parties a summary of the informat ion received.  If the notificati on does not contain the informa tion required, it shall 
inform the notifying Party accordingly. 
4. The Secretariat shall every six months communicate to the Parties a synopsis of th e information received pursuant to paragra phs 1 and 2, 
including information regarding those notifications which do not contain all the information required by Annex I. 
5. When the Secretariat has received at least one notification from each of two Prio r Informed Consent regions regarding a part icular chemical that 
it has verified meet the requirements of Annex I, it shall forwar d them to the Chemical Review Committee.  The composition of t he Prior Informed  
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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 pr ovided in such notifications an d, in accordance with the criter ia set out in 
Annex II, recommend to the [COP] whether the chemical in question should be made subject to the Prior Informed Consent procedur e and, 
accordingly, be listed in Annex III". 
Article 6 
Procedures for Severely 
Hazardous Pesticide 
Formulations "1. Any Party that is a developing country or a country with an economy in transition and that is experiencing problems caused by a severely 
hazardous pesticide 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 possi ble, and in any event no later than six mont hs 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 
forthwith forward to all Parties a summary of the information received.  If the pro posal does not contain 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 fulfilled 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] whet her the severely hazardous pesticide for mulation 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 Review Committee has decided to r ecommend 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 [ COP].  The 
[COP] shall decide whether the chemical shou ld be made subject to the Prior Informed Consent procedure and,  accordingly, list t he chemical in 
Annex III and approve the draft decision guidance document. 
3. When a decision to list a chemical in Annex III has been 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 lis ted in Annex III, that has been included in the voluntary Prior Informed Consent pr ocedure before the 
date of the first meeting of the [COP], the [COP] shall decide at that meeting to list the chemical in Annex III, provided that  it is satisfied that all the 
requirements for listing in that Annex have been fulfilled". 
 In Decision RC-1/3, COP 1, at its first meeting,  decided to include 14 chemicals in Annex III.  
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Removal of Chemicals 
from Annex III "1. If a Party submits to the Secretariat information that was no t 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 paragrap h 2 shall be forwarded to the [COP] and be  accompanied by a revised draft decision g uidance 
document.  The [COP] shall decide whether the chemical should be removed from Annex III and whether to approve the revised draf t decision 
guidance document. 
4. When a decision to remove a chemical from Annex III has been taken and the revised decision guidance document has been appro ved by the 
[COP], the Secretariat shall forthwith comm unicate this information to all Parties". 
 Sets out the procedure for removing a chemical from the list contained in Annex III. 
Articles 10, 11, 12, 13 Oligations relating to the import and/or export of i) chemicals listed in Annex III, and ii) chemicals that are banned or sever ely restricted by a Party 
but not listed in Annex III. 
Article 10 
Obligations in Relation 
to Imports of Chemicals 
Listed in Annex III  "1. Each Party shall implement appropriate le gislative or administrative measures to en sure timely decisions with respect to th e import of chemicals 
listed in Annex III. 
2. Each Party shall transmit to the Secretariat, as soon as po ssible, and in any event no later than nine months after the date  of dispatch of the 
decision guidance document referred to in 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 
within the time period specified in the last sentence of paragraph 2 of Article 11. 
4. A response under paragraph 2 shall consist of either: 
(a) A final decision, pursuant to legislative or administrative measures: 
(i) To consent to import; 
(ii) Not to consent to import;  or 
(iii) To consent to import only subject to specified conditions;  or 
(b) An interim response, which may include: 
(i) An interim decision 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 notified the final regulatory action, for further information; 
(iv) A request to the Secretariat for assistance in evaluating the chemical. 
5. A response under subparagraphs (a) or (b) of paragraph 4 sha ll 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 that has provided such responses under the Amended London Guidelines or the Internationa l Code of Conduct 
need not resubmit those responses. 
8. Each Party shall make its responses under this Article availa ble to those concerned within its jurisdiction, in accordance w ith its legislative or 
administrative measures.  
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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 the chemical for domestic use. 
10. Every six months the Secretariat shall inform all Parties of the re sponses 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 Secretariat first informs the Parties of such response in accorda nce 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 chemical listed in Annex III is not exported from its territory to any importing Party that, in exceptional 
circumstances, has failed to transmit a response or has 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 exists that it has previ ously been used in, or imported into, the importing Party and i n relation to which 
no regulatory action to prohibit its use has been taken;  or 
(c) Explicit consent to the import has been sought and received by the exporter through a designated national authority of the importing Party.  
The importing Party shall respond to such a request within sixty days and shall promptly notify the Secretariat of its 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 bann ed or severely restricted by a Party is exported from its territory, that Party shall provide an export notification to 
the importing Party.  The export notification shall include the information set out in Annex V. 
2. The export notification shall be provided for that chemical prior to the first export following adoption of the correspondin g final regulatory 
action.  Thereafter, the export notification shall be provided be fore the first export in any cal endar year.  The requirement t o 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 ackno wledge 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:  
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(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 chemic al bears the code when exported. 
2. Without prejudice to any requirements of  the importing Party, each Party shall requ ire that both chemicals listed in Annex I II and chemicals 
banned or severely restricted in its territory are, when export ed, subject to labelling requiremen ts 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, subj ect to labelling requirements that ensure adequate availability  of information with 
regard to risks and/or hazards to human health or the environment, taking into account relevant international standards. 
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 shoul d, 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  "" 1. Each Party shall take such measures as may be necessary to establish and strengthen its national infrastructures and inst itutions for the effective 
implementation of this Convention. These measures may include, as  required, the adoption or amendment of national legislative o r administrative 
measures and may also include: 
(…) 
2. Each Party shall ensure, to the extent practicable, that the public has appropriate access to information (…) 
3. The Parties agree to cooperate, direc tly or, where appropriate, through competent international organizations, in the implem entation of this 
Convention 
4. Nothing in this Convention shall be interpreted as restricti ng the right of the Parties to take action that is more stringen tly protective of human 
health and the environment than that called for in this Conventio n, provided that such action is consistent with the provisions  of this Convention and 
is in accordance with international law". 
 
2. Main COP Decisions on the linkage between the Secr etariat of the Rotterdam Convention and the WTO 
Decision RC-1/15 
Cooperation with the 
WTO 
(2004) " The Conference of the Parties... 
1. Welcomes  the enhanced cooperation between the secretariat of the Convention and the World Trade Organization;   
2. Requests the secretariat: 
(a) To seek observer status in the CTE in Special Session of the WTO and inform Parties when the request has been submitted and  when it has 
been granted; 
(b) To report to the COP on any meetings of the WTO that it 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 bo dy of the WTO;   
(c) To ensure that at all times it does not provide an interpretation of the provisions of the Convention; 
(d) To monitor developments in the CTE in Special Session and report on such developments to the COP;  
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(e) To reflect on ways of enhancing information flows on matters of common interest with the WTO; ...". 
 At the invitation of the CTESS, the Secretariat of the Conventi on participated as an ad hoc ob server in the Special Session on  14 October 2005, 
21-22 February 2006, and on 6-7 July 2006.    
 At COP 3, the Secretariat of the Convention highlighted some of the progress made on the implementation of Decision RC-1/15.  
Decision RC-4/10 
Cooperation with the 
WTO 
(2008) "The [COP] (...)  Requests the secretariat, while continuing to follow up the request for observer status in the World Trade Organization’s Committee 
on Trade and Environment in Special Session, to seek observer status in the Organization’s Committee on Trade and Environment, as that 
Committee is the standing body of the World Trade Organization mandated to discuss trade and environment issues in regular sess ions, and to 
inform Parties when the request has been submitted and when it has been granted". 
 
O. STOCKHOLM CONVENTION ON PERSISTENT ORGANIC POLLUTANTS  
Preamble "The Parties to this Convention,  
(…)  
… Recognizing that this Convention and other international agreem ents in the field of trade and the environment are mutually su pportive…". 
Article 3 
Measures to Reduce or 
Eliminate Releases from 
Intentional Production 
and Use "1. Each Party shall: 
(a) Prohibit and/or take the legal and 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 exemption 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 annual certificati on to the exporting Pa rty.  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 environmen t 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 us e 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;  
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or regional economic integration organization that has not agreed to be bound by the Convention with respect to that chemical. 
3. Each Party that has one or more regulatory and assessment sche mes for new pesticides or new in dustrial 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 con sideration 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 industri al 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 exempti on in accordance with Annex A or a specific exemption or an acceptable purpose in accor dance with 
Annex B shall take appropriate measures to ensure that any production or use under such exemption or purpose is carried out in a manner that 
prevents or minimizes human exposure and release into the envir onment.  For exempted uses or acceptable purposes that involve i ntentional release 
into the environment under co nditions 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 identif ying 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 sp ecific 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 concerned 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 appr opriate.  
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 circum stances of the 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". 
 Establishes a register of specific exemptions for Parties for production or use of POPs listed in Annexes A or B.  
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Articles 5 and 6 
Measures to reduce or 
eliminate releases  Sets out obligations for Parties to take measures in view of  the reduction or elimination of releases i) from unintentional pr oduction, and ii) from 
stockpiles and wastes. 
Article 7 
Implementation plans "1. Each Party shall: 
(a) Develop and endeavour to implement a plan for the implementation of its obligations under this Convention; 
(b) Transmit its implementation plan to the Conference of the Par ties within two years of the date on which this Convention ent ers into force for it; 
and 
(c) Review and update, as appropriate, its  implementation plan on a periodic basis and in a manner to be specified by a decisio n of the Conference of 
the Parties. 
2. The Parties shall, where appropriate, cooperate directly or through global, regional and 
subregional organizations, and consult their national stakeholders, including women’s groups and groups involved in the health of children, in order 
to facilitate the development, implementation and updating of their implementation plans. 
3. The Parties shall endeavour to utilize and, where necessary, establish the means to integrate national implementation plans for persistent 
organic pollutants in their sustainable development strategies where appropriate".  
Article 8 
Listing of chemicals in 
Annexes A, B and C  Sets out the procedures for listing POPs in Annexes A, B and C. 
III. SUPPORTIVE MEASURES 
A. IPPC 
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".  
 The CPM has adopted an IPPC capacity building strategic plan that can be found at:  https://www.ippc.int/index.php?id=1110702&tx_publication_pi1[showUid]=2180149  
 The Phytosanitary Capacity Evaluation (PCE) tool is a national self evaluation tool developed for countries that allows countr ies to undertake a Gaps Analysis, develop and 
national IPPC strategic plan and then determine national capacity development priorities. 
 The CPM does not consider a compliance m echanism appropriate for the IPPC, but has es tablished an Implementation Review and Su pport System (IRSS) that will undertake a 
gaps analysis of ISPM implementation and then develop strategi es to improved implementation when challenges are identified (see  
https://www.ippc.int/index.php?id=207746&L=0 ). 
B. ICCAT 
 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.   
 Funding of many of the Commission’s activities is through the regul ar budget, provided by Contracting Party contributions.  Spe cial funding arrangements have been 
established, with funds from th e public and private sectors.  
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Decision Conf. 13.79-13.83 – National laws for implemen tation of the Convention  
"...Directed to the Secretariat,  the Secretariat shall: 
a) with regard to Parties with legislation in Category 2 or 3 or not yet categorized , compile and analyse the information submi tted by Parties on legislation adopted before the 14th 
meeting of the Conference of the Parties to  fulfil the requirements laid down in the text of the Convention and Resolution Conf . 8.4; 
b) prepare or revise the analyses of national legislation and the categories, and advise the Parties concerned of the initial o r revised analyses, specifying any requirements that are 
not yet met; 
c) prepare or revise the analyses of na tional legislation and the categories, and advise the Parties concerned of the initial o r revised analyses, specifying any requirements that are 
not yet met; 
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 at the 53rd and subsequent meetings of the Standing Committee on Parties’ progress in enacting adequate legislation a nd, if necessary, recommend the adoption of 
appropriate compliance measures, including suspension of trade pursuant to decisions taken by the Standing Committee; 
e) identify for the Standing Co mmittee any countries that require attention as a priority under the National Legislation Projec t; and 
f) report at the 14th meeting of the Conference of the Parties on: 
i) the legislation adopted by the Parties to implement the Co nvention 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." 
Decision 13.87 –E nforcement Matters 
"...Directed to the Secretariat,  
The Secretariat shall incr ease its efforts on capacity building and training of  CITES enforcement officer s, in particular in de veloping countries, countri es with economies in 
transition and small island developing States, and assist in provi ding expertise also using regional organizations such as the one existing under the Lusaka Agreement." 
Decisions 14.28 (Rev. CoP15 – 14.30 (Rev. CoP15 – Cooperation  between Parties and promotio n of multilateral measures 
Decisions 15.5 – 15.7 – CITES and livelihoods 
Decision 15.8 – National w ildlife trade policy reviews 
Decisions 15.30 – 15.41 – Na tional laws for implementa tion of the Convention 
Decisions 15.54 – 56 – Electronic permitting 
Decisions 15.57 – 15.58 – E-commerce of  specimens of CITES-listed species 
Decisions 15.59 – 15.60 – Transport of live specimens 
Decisions 15.67 – 15.69 – Use of Taxonomic Serial Numbers 
 
 CITES is funded through a Trust Fund administered by UNEP.  CITES projects are funded through donor organizations and countries .  Donor countries include the 
European Union, Australia, Belgium, Denmark, Finland, Germany;  Hong Kong (China), Japan, Netherlands, Norway, Sweden, Switzerl and, the United Kingdom of Great Britain 
and Nothern Ireland and the United States of America.  Funds have also been provided by approved non-governmental organizations . 
 There are two general types of CITES project s: (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-rel ated legislation);  training;  and the provision of informati on (published and electronic);  (2) "Species" projects 
are those that fund scientific research re lated to a particular animal or plant speci es (e.g. status survey, management and con servation of the African gr ey parrot in one or more  
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countries). 
 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 coordina ted by Capacity-building Services  Capacity-building activiti es include:  workshops, seminars, training packages, 
dissemination of information through Internet and Newsletter, tec hnical assistance, etc.  The Scie ntific Services provide assis tance to the CITES Parties to enhance the scientific 
basis for decision-making in CITES.  SCU is responsible for workshops on non-detriment findings and quota management, as well a s the creation of identification manuals.  
Compliance and enforcement are also important focal activities of the CITES Secretariat.  Regulatory Services monitor national reports, respond to permit queries, provide legal 
and policy advice for the development of national legislation, re view of national wildlife trade policies and adoption of measu res to promote and achieve compliance, provide 
technical assistance to enforcement officers in relation to allegations of illegal trade, organizes enforcement seminars and wo rks with Capacity-building Services to  preparate 
relevant training packages. Governing Bodies and Meeting Services assist the Parties with Convention-related documentation and provide logistic support in the organization of 
CITES meetings. Knowledge Management and Outreach Services ma nage the CITES website, media relations,and resource mobilization and provide information/communications 
technology, e-permitting, on-line capacity building and communications support to Parties. 
 Many Parties have asked the Secretariat for advice or assistance in the development of legislation to implement CITES.  The Sec retariat has responded in a variety of ways, 
including drafting models of law, developing a legislative checklist, undertaking country missions or organizing regional works hops,, and providing written advice and/or 
comments on draft legislation. Parties to CITES have precisely defined an approach, the National Legislation Project, for revie wing and evaluating domestic measures to implement 
the Convention. Three categories and four criteria are used to assess a Party’s national legislation.  The project has been ope rating since 1992. Legisla tive assistance under the 
Convention could be further developed to address the interaction between environmental and trade legislation, as well as the ne cessary institutional co-operation between Ministries 
of Environment and Ministries of Trade. 
 Certain external contributions r eceived by the Secretariat are used on species-rel ated surveys, a number of which have been aim ed at gathering info rmation 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.  
 Specific programmes include: 
1. There is a Legal Affairs and Trade Policy team in Regulatory Services which assists the Parties , inter alia , in the development of "trade and environment" policies and to 
prepare "trade and environment" analyses fo r presentation and discussion at meetings of the CoP and for consideration by fora s uch as the WTO. 
2. MIKE (Monitoring of the Illegal Killing of Elephants Programme) .  The objectives of this programme are to: measure levels an d trends in the illegal hunting of elephants; 
determine changes in these trends over time; and determine the factors causing or associ ated with such changes, and to try and assess in particular to what  extent observed trends 
are a result of any decisions taken by the CoP to CITES.   
3. ETIS (Elephant Trade Information System). This comprehensive information system tracks illegal trade in ivory and other elep hant products.   
4. Species programmes on trade in African cherry, elephants, fa lcons, great apes, hawksbills turtles, mahogany and sturgeons. 
5. EC-funded project to strengthen the CITES implementation capacity of developing countries to ensure sustainable wildlife man agement and non-detrimental trade. 
D. CCAMLR 
No provisions  
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 Article 10 (as modified by the London Amendment) established a Multilateral Fund for incremental costs of phasing out ODS by developing countries.  As of April 2006, the 
Fund has disbursed US$1.984 billion through more than 5,250 pr ojects and activities in 139 developing countries for the purpose  of institutional strengthening, training, project 
preparation, and implementation of investment projects.  The Fund has the obligation to meet all the agreed incremental costs o f developing countries for implementing the control 
measures (ie. changing from ODS technologies to more ozone-friendly technologies and phasing out their consumption of ODS in ac cordance with the Protoc ol.  The budget has 
been replenished in 1993, 1996, 1999  2002, and 2005, and the allocations so far have been as follows (Period Amount in US$ in Millions):  $240 (1991- 1993); $455 (1994 - 
1996);  $466 (1997 to 1999);  $440 (2000 to 2002);  $474 (2003-2005); $400.4 (2006-2008). 
 for more information on the Fund, see http://www.multilateralfund.org/ 
 The Global Environmental Facility (GEF) also provides funds to count ries with economies in transitio n.  There are a number of G EF-eligible countries that are Parties to the 
Protocol, where the production or consumption of ODS is too high  to qualify for support under the Multilateral Fund.  These are  mainly countries in Central and Eastern Europe, 
and the former Soviet Union.  The same criteria apply for the funding of ozone projects under the GEF as under the Multilateral  Fund.  The GEF has allocated US$160 million for 
17 CEIT countries (countries with economies in  transition) in the phase-out of Annex A and B substances, and spent an additiona l $60 million to assist these countries with the 
phase-out of HCFCs and Methyl Bromide. 
 Technology Transfer under Article 10A occurs under fair and most favourable conditions. 
F. BASEL CONVENTION  
 UNEP administers two trust f unds for the Basel Convention: 
1. A Trust Fund to meet the operational costs of the Convention (mainly costs of meetings of th e Parties and for the Secretaria t) where contributions by Parties are based on the 
UN scale of assessment and; 
2. A Technical Cooperation Trust Fund to assist developing countr ies and other countries in need of assistance to implement the  Convention.  Funds received are from voluntary 
contributions  and may be earmarked by donors for specific activities.   
 Basel has no specific financial mechanism to promote cap acity building and to facilitate  technology transfer.   
 Capacity building is carried out by the fourteen Basel Conv ention Regional and Coordinating Ce ntres (BCRCs), the Secretariat, Parties and other stakeholders. The Secretariat 
also plays a facilitative role between donors, recipients and im plementing agencies.  With the adoption of the Basel Declaratio n on Environmentally Sound Management in 1999, 
efforts increased to assist Parties to minimize generation of hazardous and other wastes and to manage these wastes in an envir onmentally sound manner.  The COP, at its sixth 
meeting in December 2002, adopted a Strategic Plan for the implementation of the Basel Convention to 2010, building on and usin g the framework of the 1999 Ministerial Basel 
Declaration on Environmentally Sound Management.  Under the Strategic Plan the Parties approved US$1,200,000 for 21 projects be ing carried out by the BCRCs and the Parties.  
During COP-10, Parties will consider the adoption of a Strategi c Framework 2012-2021.for the implementation of the Basel Conven tion. 
 At COP-5, the Parties decided to enlarge the scope of the Techni cal Cooperation Trust Fund, on an interim basis, to assist tho se Parties which are developing countries or 
countries with economies in transition in cases of emergency and compensation for damage resulting from incidents arising from the transboundary movements of hazardous wastes 
or other wastes and their disposal. At COP6, the Parties adopte d guidelines for the interim emer gency mechanism. Contributions have been received for the interim emergency 
mechanism. The first and so far only reques t for assistance under this mechansim was received from, and granted to, Côte d’Ivoi re in 2006 in connection with the incident of toxic 
waste dumping in Abidjan whic h took place in August 2006. 
 At COP7, Parties adopted a Ministerial Statement on Partnership for meeting the Global Waste Challenge that provides fundament al policy direction to Parties and the other 
stakeholders, focusing on implem enting life-cycle approach, integrated waste manage ment and regional approaches for priority wa ste streams such as POPs wastes, biomedical and 
healthcare wastes, electronic wastes, used lead-acid batte ries and hazardous wastes mi xed with hazardous wastes. 
 At COP-8, the Parties took note of cost estimates provided by the Secretariat for a number of activities planned for 2007-2008  aimed at addressing th e priority waste streams 
identified by COP-7, for funding through the Basel Convention Technical Cooperation Trust Fund. The implementation of these act ivities will, therefore, be dependent on funding  
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through the Technical Cooperation Trust Fund  or from external sources of funding. CO P-8 also called upon Parties, use and suppo rt the Basel Convention regional and coordinating 
centres in the implementation of activities aimed at supporting implementation of the Convention. A decision on resource mobili zation also called for increased efforts to identify 
sources of funding to support implementation of the Convention, including through the Global Environmental Facility and other m ultilateral sources of funding.  Several decisions 
adopted by COP-8 highlighted the importance of cooperation and coordination between the Basel Convention, the Stockholm Convent ion and the Rotterdam Convention, in the 
conduct of relevant activities. 
 At COP-9, the Parties decided to enlarge the Technical Cooperation Trust Fund to establish an implementation fund in order to assist developing countries facing difficulties in 
their implementation of the Convention. This implementation fund would be subsidized by voluntary contributions. 
G. CBD 
Article 17 – Exchange of Information 
"...2. Such exchange of information shall include exchange of results of technical, scientific and socio-economic research, as well as information on training and surveying 
programmes, specialized knowledge, indigenous and traditional 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 – Technical and Scientific Cooperation 
"...3. The [COP], at its first meeting, shall determine how to  establish a clearing-house mechanism to promote and facilitate t echnical and scientific cooperation. 
4. The Contracting Parties sha ll, in accordance with national legislation and po licies, 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 p urpose, the Contracting Parties shall also promote 
cooperation in the training of personnel and exchange of experts". 
 The financial mechanism for the CBD is the GEF.  By the end of  2009, GEF has provided total grants of US$2.88 billion in the f ocal area of biodiversity, with co-financing of 
US$7.85 billion.  
H. 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 order to: 
(a) Facilitate the exchange of scientific, technical, environmen tal and legal information on, and experience with, [LMOs];  and  
(b) Assist Parties to implement the Protocol, taking into accoun t the special needs of developing country Parties, in particula r the least developed and small island developing 
States among them, and countries with economies in transition as we ll as countries that are centres  of origin and centres of ge netic diversity.  
2. The [BCH] shall serve as a m eans through which information is made available for the purposes of paragraph 1 above.  It shal l provide access to information made available 
by the Parties relevant to the implementa tion of the Protocol.  It shall also prov ide access, where possible, to other internat ional biosafety information exchange mechanisms. 
3. Without prejudice to the protection of confidential information, each Party shall make available to the [BCH] any informatio n required to be made available to the [BCH] 
under this Protocol, and: 
(a) Any existing laws, regulations and guidelines for implementation of the Protocol, as well as information required by the Pa rties for the advance informed agreement 
procedure;   
(b) Any bilateral, regional and multila teral agreements and arrangements;  
(c) Summaries of its risk assessments or environmental reviews of [LMOs] generated by its regulatory process, and carried out i n accordance with Article 15, including, where 
appropriate, relevant information regarding products thereof, namely, processed materials that are of [LMO] origin, containing detectable novel combinations of replicable 
genetic material obtained through the use of modern biotechnology;  
(d) Its final decisions regarding the importation or release of [LMOs];  and  
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4. The modalities of the operation of the [BCH], including reports on its activities, shall be considered and decided upon by t he COP serving as the MOP to this Protocol at its 
first meeting, and kept under review thereafter". 
 In 2004, COP-MOP 1 adopted modalities for the operation of the BC H (Decision BS-I/3), which outline the role of the BCH, its ch aracteristics, its administration, the role of 
BCH focal points, modalities for technical overseeing and advice, the 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 de velopment and/or strengthening of human resources and institutional capacities in bios afety, including biotechnology to the extent that it is 
required for biosafety, for the 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 w ith economies in transition shal l also be taken fully into account for such capacity-
building in biosafety". 
 In 2004, COP-MOP 1 adopted interim guidelines for the roster of experts on biosafety (Decision BS-I/4) to provide assistance, u pon request, to 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.  
 COP-MOP 3 requested the Liaison Group on Capacity-Building for Biosafety to develop, for consideration at the 4th meeting of the Protocol, draft criteria and minimum 
requirements (including minimum qualifications or experience), for experts to be included in the roster to assist countries in making their nominations to the roster and in re-
assessing the nominations already made.  The COP-MOP also reques ted the Liaison Group to explore the possibility of establishin g a quality control mechanism.  
 In Decision BS-I/5 on capacity building, COP-MOP 1 also 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.  
 In  Decision BS-III/3, COP-MOP 3 adopted an updated version of  the Action Plan for Building Capacities for the Effective Imple mentation of the Protocol, and invited the GEF, 
developed country Parties and Governments, as well as relevant organizations to increase their financial and technical support to developing countries and countries with economies 
in transition for the implementation of the Action Plan.  
Article 28 – Financial Mechanism and Resources 
"...2. The financial mechanism established in Article 21 of th e Convention shall, through the institutional structure entrusted  with its operation, be the financial mechanism for this 
Protocol. 
3. Regarding the capacity-building referred to in Article 22 of this Protocol, the [COP] serving as the [MOP] to this Protocol,  in providing guidance with respect to the financial 
mechanism referred to in paragraph 2 above, for consideration by the [COP], shall take into account the need for financial reso urces by developing country Parties, in particular the 
least developed and the small island developing States among them. 
4. In the context of paragraph 1 above, th e Parties shall also take into account the needs of the developing country Parties , in particular the least developed and the small island 
developing States among them, and of the Parties with economie s in transition , in their efforts to identify and implement thei r capacity - building requirements for the purposes of 
the implementation of this Protocol. 
6. The developed country Parties may also provide, and the developing country Parties and the Parties with economies in transit ion avail themselves of financial and 
technological resources for the implementation of the provisions of this Protocol through bilateral, regional and multilateral channels.".  
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 Following the recommendation from the first meeting of the COP-MO P, the COP, in its decision VII/20, provided detailed guidance  to the GEF with regard to the 
Cartagena Protocol, including the eligibility criteria, strategy and programme priorities. 
 In November 2000, the GEF Council approved an initial strategy fo r assisting countries to prepare for the entry into force of t he Cartagena Protocol on Biosafety, together with a 
global UNEP-GEF project to assist all eligible countries to develop national biosafety frameworks (NBFs).  The project was laun ched in June 2001, and has assisted 123 countries.  
Under the initial strategy, the GEF also provided support to 12 demonstration projects for capacity building in implementation of NBFs. 
 In November 2003, the GEF approved an add-on project to the UNE P-GEF project on the Development of NBFs entitled Building Capac tiy for Effective Participation in the 
BCH of the Cartagena Protocol.   
 In Decision BS-II/5 , COP-MOP encouraged a ll donors and their agencies as well as th e GEF to simplify, to the extent possible,  their project cycle requ irements in order to 
expedite access, by develo ping country Parties and the Partie s with economies in tran sition, to the financ ial resources needed to assist the implementation of the Protocol. 
I. NAGOYA PROTOCOL  
ARTICLE 11: THE ACCESS AND BENEFIT-SHARING CLEARING-HOUSE AND INFORMATION-SHARING 
1. An Access and Benefit-sharing Clearing-House is hereby established as part of the clearing-house mechanism under Article 18,  paragraph 3, of the Convention. It shall 
serve as a means for sharing of information related to access an d benefit-sharing. In particul ar, it shall provide access to in formation made available by each Party relevant to the 
implementation of this Protocol. 
2. Without prejudice to the protection of confidential information, each Party shall make available to the Access and Benefit-s haring Clearing-House any information 
required by this Protocol, as well as information required pursuant to the decisions taken by the Conference of the Parties ser ving as the meeting of the Parties to this Protocol. The 
information shall include:  
(a)  Legislative, administrative and policy measures on access and benefit-sharing;  
(b)  Information on the national focal point and competent national authority(ies); and 
(c) Permits or their equivalent issued at the time of access as ev idence of the decision to grant  prior informed consent and o f the establishment of mutually agreed terms. 
3. Additional information, if availa ble and as appropriate, may include: 
(a) Relevant competent authorities of indigenous and local communities, and information as so decided; 
(b) Model contractual clauses; 
(c) Methods and tools developed to monitor genetic resources; and 
(d) Codes of conduct and best practices. 
4. The modalities of the operation of the Access and Benefit-sh aring Clearing-House, including reports on its activities, shall  be considered and decided upon by the Conference 
of the Parties serving as the meeting of the Parties to this Pr otocol at its first meeting, and kept under review thereafter. 
J. 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 ag reed full costs incurred 
by developing country Parties in complying with their obligations under Article 12, paragraph 1.  They shall also provide such financial resources, includi ng 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. 
4. The developed country Parties and other developed Parties incl uded in Annex II shall also assist the developing country Part ies that are particularly vulnerable to the adverse 
effects of climate change in  meeting costs of adaptation to those adverse effects.  
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 Page 1255. The developed country Parties and other developed Parties  included in Annex II shall take all practicable steps to promote,  facilitate and finance, as appropriate, the transfer 
of, or access to, environmentally sound techno logies and know-how to other Parties, pa rticularly developing country Parties, to  enable 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 countr y Parties will effectively implement their commitments under the Convention will depend  on the effective implementation by developed 
country Parties of their commitments under the Convention related to 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 ari sing from the adverse effects of climate change and/or 
the impact of the implementation of response measures…". 
  A Consultative Group of Experts on National Communications from Parties not included in Annex I to the Convention or "Non-Ann ex 1 Parties" (CGE) helps developing 
countries prepare national reports on climate change issues.  A Least Developed Country Expert Group (LEG) advises such nations  on establishing programmes for adapting to 
climate change and an Expert Group on Technology Transfer (EGT T) enhances technology transfer  activities under the Convention. 
 
 At COP16 , the COP affirmed that  capacity-building is essential to enable developing country Par ties to participate fully in, and to implement effectively, thei r commitments 
under the Convention; and that the goal is to enhance the capacity of developing countr y Parties in all areas.  It decided to e stablish the Cancun Adaptation Framework  and an 
Adaptation Committee  to promote the implementation of enhanced action on adaptation in a coherent manner under the Convention.    
 
Article 9 – Subsidiary Body for Scientific and Technological Advice 
This subsidiary body is charged with providing advice on "ways and means of supporting endogenous capacity building in developi ng countries.",  
Article 11 – Financial Mechanism 
 Establishes a financial mechanism (the GEF) to provide financial resources, including for the transfer of technology.  The COP  entrusted the operation of the financial 
mechanism to the GEF. 
 GEF covers the difference (or "increment") between the costs of a project 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. 
  Further financial resources are provided for in the Special C limate Change Fund (SCCF) and the Least Developed Countries Fund  (LDCF).  The SCCF will finance projects 
relating to adaptation;  technology transfer and capacity buildin g;  energy, transport, 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. 
 At COP 7 (Marrakech, November/D ecember 2001), Parties established frameworks for capacity-building for de veloping countries and  countries with economies in transition 
(Decisions 2/CP.7 and 3/CP.7) to help  these countries comply with their obligations under the Convention.   
In decision 9/CP.9, the COP decided to complete a first comprehensive review of the capacity building framework for developing countries by its tenth session, and to conduct 
further comprehensive reviews every five y ears thereafter. The results of the first co mprehensive review of the capacity buildi ng frameworks, given in decisions 2/CP.10 and 
3/CP.10,  acknowledged some progress in a range of priority areas  identified in the frameworks. However, the COP noted that sig nificant gaps still needed to be filled and access 
to financial resources to be addressed. The COP reiterated the relevance of the frameworks contained in decisions 2/CP.7 and 3/ CP.7 and identified key factors to be taken into 
account by the GEF (as an operating entity of the financial m echanism) when suppor ting capacity building activities in developi ng countries, as defined in the Strategic Approach 
to Enhance Capacity Building (GEF/C.22/8). 
In its decision 2/CP.10, the COP decided on a time frame and process for a second comprehensive review of the implementation of  the capacity building framework in developing 
countries. In decision 8/CP.15, the COP postponed to its sixteenth session (Cancun, November-December 2010) the review that sho uld have initially been initiated at SBI 28  
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(June 2008) with a view to completing it at CO P 15 (Copenhagen, November-December 2009th). 
 At SBI 28 (June 2008), the Secretariat was mandated, to provide, upon request, information on the assessment of financing needs  of non-Annex I Parties with regard to the 
implementation of mitigation and adaptation measures (FCCC/SBI/2008/8). The National Economic, Environment and Development Stud y (NEEDS) for Climate Change Project 
was launched in order to support the participating countries in the selection of the key sectors for climate change mitigation and adaptation measures (on the basis of priorities 
identified in the national communications and in national devel opment plans), the assessment of the financing required and rece ived to implement mitigation and adaptation 
measures in the key sectors selected and identifying appropriate financial and regulatory instruments to support these measures , and in raising awareness and facilitating informed 
consensus among government agencies on the policy actions require d to mobilize finance and investment in mitigation and adaptat ion measures. Eleven countries have availed of 
technical assistance from the secretar iat to conduct financial needs assessments as part of this project. 
 At COP 16 , the COP took note of the collective commitment by developed countries to provide new and additional resources, including fore stry and investments through 
international institutions, approaching USD 30 billion for the period 2010.2012, with a balanced allocation between adaptation and mitigation; funding for adaptation will be 
prioritized for the most vulnerable developing countries, such as the least developed countries, small island developing States  and Africa.  It recognized  that developed country 
Parties commit, in the context of meaningful mitigation actions an d transparency on implementation, to a goal of mobilizing joi ntly USD 100 billion per year by 2020 to address the 
needs of developing countries.  
 
A Green Climate Fund was established to be designated as an operating entity of the financial mechanism of the Convention under Article 11 to suppor t projects, programmes, 
policies and other activities in developing country Parties.  The F und, supported by an independent secretariat, shall be gover ned by a board of 24 members comprising an equal 
number of members from developing and developed country Parties.  The World Bank has been invited to serve as the interim trust ee of the Green Climate Fund.  A Transitional 
Committee will design the Green Climate Fund.  A Standing Committee  under the COP will assist the COP in exercising its functions with respect to the financial mechanism of 
the Convention in terms of improving coherence and coordination in the delivery of climate change financing, rationalization of  the financial mechanism, mobilization of financial 
resources and measurement, reporting and verification of support pr ovided to developing country Parties; Parties agree to furth er define the roles and functions of this Standing 
Committee. (Decision 1/CP.16)  
 
Technology development and transfer  
 COP 16 confirmed  the importance of promoting and enhancing national and internatio nal cooperative action on the development and transfer of envi ronmentally sound 
technologies to developing country Parties to support action on mitigation and adaptation now, up to and beyond 2012, in order to achieve the ultimate objective of the Convention.  
It recognized that an early and rapid reduction in emissions and the urgent need to adapt to the adverse impacts of climate cha nge require large-scale diffusion and transfer of, or 
access to, environmentally soun d technologies, and stressed  the need for effective mechanisms, enhanc ed means, appropriate enab ling environments and the removal of obstacles to 
the scaling up of the development and transfer of technology to developing country Parties.  In this regard, a Technology Mechanism was established and will consist of a 
Technology Executive Committee  and a Climate Technology Centre and Network .  
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 Page 127K. KYOTO PROTOCOL  
Article 11 
"... 2. In the context of the implementati on of Article 4, paragraph 1, of the Conv ention, in accordance wi th the provisions of  Article 4, paragraph 3, and Article 11 of the 
Convention, and through the entity or entities entrusted with the operation of the financial mechanism of the Convention, the d eveloped country Parties and other developed Parties 
included in Annex II to the Convention shall:  
(a) Provide new and additional financial resources to meet the ag reed full costs incurred by developing country Parties in adva ncing the implementation of existing commitments 
under Article 4, paragraph 1(a), of the Convention that are covered in Article 10, subparagraph (a); and  
(b) Also provide such financial resources, in cluding for the transfer of technology, needed by the developing country Parties t o meet the agreed full incremental costs of 
advancing the implementation of existing commitments under Article 4, paragraph 1, of the Convention that are covered by Articl e 10 and that are agreed between a developing 
country Party and the international entity or entities referred to in Article 11 of the Convention, in accordance with that Art icle.  
The implementation of these existing commitments shall take into account the need for adequacy and predictability in the flow o f funds and the importance of appropriate burden 
sharing among developed country Parties. The guidance to the en tity or entities entrusted with the operation of the financial m echanism of the Convention in  relevant decisions of 
the Conference of the Parties, incl uding those agreed before the adoption of this Protocol, shall apply mutatis mutandis  to the provisions of this paragraph.  
3. The developed country Parties and other developed Parties in Annex II to the Convention may also provide, and developing cou ntry Parties avail themselves of, financial 
resources for the implementation of Article 10, through bilateral, regional and other multilateral channels." 
L. ITTA 
 Article 20 provides for the establishment of the Special Account  comprising of the Pre-Project Sub- Account and the Project Sub-Account.   The sources of finance for the 
Special Account may come from the Common Fund for Commodities, regional and international financial institutions and voluntary contributions.  The resources of the Special 
Account shall be used only for approved ITTO pre-projects and pr ojects.  Since it became operationa l in 1987, the ITTO has fund ed over 700 projects, pre-projects and activities 
for a total cost of over US$ 280 million. 
 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.   
M. UN FISH STOCKS AGREEMENT  
 Part VII on "Requirements of Developing States" (Articles 24-26) provides for special assistance in favour of developing State s in the implementation of the Agreement, in 
recognition of their special requirements in relation to conserva tion and management of 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 24 – Recognition of the speci al requirements of developing States 
" 1. States shall give full recognition to the special requireme nts of developing States in relation to conservation and manage ment of straddling fish stocks and highly migratory 
fish stocks and development of fisheries for such stocks. To this  end, States shall, either directly or through the United Nati ons Development Programme, the Food and Agriculture 
Organization of the United Nations and other specialized agencies, the Global Environment Facility, the Commission on Sustainab le Development and other appropriate 
international and regional organizations and bodies, provide assistance to developing States." 
Article 25 – Forms of cooperation with developing States 
"1. States shall cooperate, either directly or through subregional, regional or global organizations: 
(a) to enhance the ability of developing St ates, in particular the least-developed among them and small island developing State s, to conserve and manage straddling fish stocks  
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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 ar ticles 5 and 11;  and 
(c) to facilitate the participation of developing States in subr egional and regional fisheries management organizations and arr angements 
2. Cooperation with developing States for the purposes set out in this article shall include the provision of financial assista nce, assistance relating to human resources 
development, technical assistance, transfer  of technology, including through joint venture arrangements, and advisory and consu ltative services. 
3. Such assistance shall, inter alia , be directed specifically towards: 
(a) improved conservation and management of straddling fish stocks and highly migratory fish stocks through collection, reporti ng, verification, exchange and analysis of fisheries 
data and related information; 
(b) stock assessment and scientific research; and 
(c) monitoring, control, surveillance, compliance and enforcemen t, including training and capacity-building at the local level,  development and funding of national and regional 
observer programmes and access to technology and equipment." 
Article 26 – Special assistance in th e implementation of this Agreement 
"1. States shall cooperate to establish special 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 developing States in establishing new subregional or regional fisheries  management organizations or arrangements, or in 
strengthening existing organizations or arrangements, for the conservation and management of straddling fish stocks and highly migratory fish stocks".  
 An Assistance Fund under Part VII was established by Resolution 58 /14 at the 58th Session of the UNGA in 2003 to assist develo ping States Parties in the implementation of 
the Agreement. The FAO administer s the Fund in collaborati on with the Division for Ocean Affa irs and the Law of the Sea, Office  of Legal Affairs of the United Nations, and 
invites States, intergovernmental organizations, international financial institutions, national institutions, NGOs as well as n atural and juridical persons, to make voluntary financial 
contributions to the Fund.  Paragraph 14 of the Terms of Reference of the Fund provides that financial assistance from the Fund  can be sought for the following purposes: 
a) Facilitating the participation of represen tatives from developing States Parties, in particular the least-developed among th em and Small Island developing States Parties to the 
Agreement, in the meetings and activities of relevant regional and subregional fisheries management organizations and arrangeme nts. Such assistance may include such costs as 
travel costs and, if appropriate, daily su bsistence allowances for delegations partic ipating in relevant regional and subregion al fisheries management organisations or arrangements, 
including techni cal experts. 
b) Assisting with travel costs, and if appropriate daily subsis tence allowances, associated with the participation of developin g States Parties, in particul ar the least-developed among 
them and small island developing States Parties to the Agreement, in relevant meetings concerning high seas fisheries of releva nt global organizations, such as the United Nations 
Development Programme, the Food and Agriculture Organization and other specialised agencies, the Global Environment Facility, t he Commission on Sustainable Development 
and other appropriate international and regional organizations an d bodies. Applications for this purpose shall include details of how the meeting in question relates to 
implementation of the Agreement. 
c) Supporting ongoing and future negotiations to establish new re gional or subregional fisheries management organizations and a rrangements in areas where such bodies are not 
currently in place, to renegotiate founding  agreements for such organizations and a rrangements and to strengthen existing subre gional and regional fisheries management 
organizations and arrangeme nts in accordance with the Agreemen t.  A condition for such support is that reference to implementin g the Agreement is made in founding documents 
and/or work programmes of the regional or subregional fisheries management organizations or arrangements and in the national fi sheries policies and/or management plans of 
States Parties. 
d) Building capacity for activities in key areas such as effec tive exercise of flag State responsibilities, monitoring, control  and surveillance, data collec tion and scientific research 
relevant to straddling and highly migratory fish stocks on a national and/or regional level.  
e) Facilitating exchange of information and experience on the implementation of the Agreement.  
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technical training, and technical assistance in relation to conservation and management of straddling and highly migratory fish  stocks and development of fisheries for such stocks, 
consistent with the duty to ensure the proper conservation and management of such stocks. 
g) Assisting in meeting the costs involved in proceedings for the settlement of disput es between States Parties to the Agreemen t concerning the interpretation or application of the 
Agreement in accordance with Part VIII of the Agreement or procee dings concerning the interpreta tion or application of a subreg ional, regional or global  fishery agreement relating 
to straddling fish stocks or highly migratory fish stocks to which they are parties, including any dispute concerning the conse rvation and management of such stocks and 
complementary to any assistance pr ovided under the ITLOS Trust Fund established by General Assembly resolution 55/7 or the Trus t Fund for the International Court of Justice 
established by General Assembly resolution A/47/444 or the fina ncial assistance fund established by the Permanent Court of Arbi tration. 
N. ROTTERDAM CONVENTION  
Article 11 – Obligations in relation to exports of chemicals listed in Annex III 
 "1. Each exporting Party shall   (…)        
   (c) Advise and assist importing Parties, upon request and as  appropriate: 
   (i) To obtain further inform ation to help them to take action in accordance with paragraph 4 of Article 10 and paragraph 2 ( c) below;  and 
   (ii) To strengthen their capacities and capabilities to  manage chemicals safely during their life-cycle...." 
Article 16 – Technical assistance 
"The Parties shall, taking into account in particular the needs of developing countr ies and countries 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". 
 Since 1998, the Secretariat has conducted a series of subregiona l workshops.  Initially these wo rkshops focused on awareness ra ising;  however, since 2004, the focus has been 
on providing training in the practical im plementation of the Rotterdam Convention. In  addition, the Secretariat has organized t rainer workshops designed to familiarize selected 
regional experts with the detailed workings of the Rotterdam Convention. These trained regional experts in turn participate in the Convention workshops as facilitators and 
presenters, and also work with designated national authorities in  individual countries within their region to address specific problems in the implementation of the Convention.  The 
Secretariat has also developed a guide and case studies on the de velopment of national laws to implement the Convention, plans for the implementation of chemicals-related MEAs, 
and a resource kit to provide comprehensive information on the Co nvention to stakeholders as well as other tools and guidance d ocuments that are available to Parties through 
workshops - which have focused on more specific issues and programme s, such as synergies, customs,  indsutrial chemicals, etc. -  and also published on the Rotterdam 
Convention’s website.   
 In the final decision, at its third meeting in October 2006 (UNEP/FAO/RC/COP.3/CRP.10), the COP requested Parties to contribut e to the voluntary trust fund in support of 
technical assistance and adopted the 2007-2008 programme of work for the regional and national delivery of technical asssitance  activities. 
 In October 2008, the COP 4 requested the Parties "in a position to  do so to contribute to the Convention’s Volu ntary Special T rust Fund in support of technical assistance 
activities" and the Secretariat to support the activities as contained in the programme for the regional and national delivery of technical assistance for 2009-2011 ( Decision RC-4/9) 
"as available resources .allow and in accordance with Decision RC-4/12 on Fina ncing and Budget for the Triennium 2009-2011".  
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O. STOCKHOLM CONVENTION  
Article 12 – Technical assistance 
"1. The Parties recognize that rendering of  timely and appropriate technical assistance in response to requests from developing  country Parties and Parties with economies in 
transition is essential to  the successful 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 a ssistance to be provided by developed country Pa rties, and other Parties in accordance with their  capabilities, shall include, as appropriate and as 
mutually agreed, technical assi stance for capacity-building relating to implementation of the obligations under this Convention .  Further guidance in this regard shall be provided by 
the [COP]. 
4. The Parties shall establish, as appropriate, arrangements for the purpose of providing technical assistance and promoting th e transfer of technology  to developing country 
Parties and Parties with economies in transition relating to the implementation of this Convention.  These arrangements shall i nclude regional and subregional centres for capacity-
building and transfer of technology to assist developing country  Parties and Parties with economi es in transition to fulfil the ir obligations 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 special situation of least de veloped countries and small island developing states in 
their actions with regard to technical assistance". 
Article 13 – Financial resources and mechanisms 
 Parties undertake to provide financial support and incentives to achieve the objective of the Convention.  Developed country P arties shall provide new and additional financial 
resources to enable developing country Par ties and Parties with economies in transition to meet the agreed full incremental cos ts of implementing measures which fulfil their 
obligations under the Convention.   
 Establishes a mechanism for the provision of adequate and sustainable financial 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.   
 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 
 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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A. IPPC 
Article VII:2(f) – Requiremen ts in relation to imports 
"2. In order to minimize interference with international trade, e ach 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, in form 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, wh ere appropriate, the re -exporting contracting 
party concerned, should investigate and, on request, report th e result of its investigation to the importing contracting party concerned". 
 Guidance for non-compliance of phytosanitary certification only is  elaborated in the International Standard for Phytosanitary Measures No. 13 (2001) , Guidelines for the 
Notification of Non-Compliance and Emergency Actions. 
B. 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 Commissi on, a statement of the action taken by it for these purposes. 
2. The Contracting Parties agree: 
(a) to furnish, on the request of the Commission, any available statistical, biological and other scientific information the Co mmission may need for the purposes of this 
Convention; 
(b) when their official agencies are unable to obtain and furnish the said information, to allow the Commission, through the Co ntracting Parties, to obtain it on a voluntary 
basis direct from companies and individual fishermen. 
3. The Contracting Parties undertake to co llaborate with each other with a view to th e 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". 
 The mandate and terms of reference for a Conservation and Management Measures Compliance Committee were adopted in Decision 95 -15. 
 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 Contrac ting Parties (see Section II on  Trade-Related Measures).  
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C. CITES 
(1) Provisions of the Convention
Article XIII – International Measures  
"1. When the Secretariat in  the light of information received is satisfied that  any species included in Appendix I or II is bei ng affected adversely by trade in specimens of that 
species or that the provisions of the pr esent Convention are not being effectively implemented, it shall communicate such infor mation to the authorized Management Authority of 
the Party or Parties concerned.  
2. When any Party receives a communication as indicated in paragraph 1 of this Article, it shall, as soon as possible, inform t he Secretariat of any relevant facts insofar as its 
laws permit and, where appropriate, propose remedial action.  Where the Party considers that an inquiry is desirable, such inqu iry may be carried out by one or more persons 
expressly authorized by the Party. 
3. The information provided by the Party or resulting from any inquiry as specified in paragraph 2 of this Article shall be rev iewed by the next CoP which may make whatever 
recommendations it deems appropriate".  
The CoP regularly reviews the implementation of the Convention, and makes "whatever recommendations it deems appropriate" in re lation to allegations of unsustainable trade 
or ineffective implementation of the Convention (Article XIII).  Evaluation of compliance within the Convention is based on the  Secretariat’s reports to the COP and CITES 
subsidiary bodies (e.g. annual reports, the Review of Signifi cant Trade, national legislation and alleged infractions and other  implementation problems). 
 The Standing Committee carries out such interim activities on beha lf of the CoP as may be necessa ry and provides guidance and advice on matters brought to it by the 
Secretariat in 
 the exercise of its function.  The  CoP often instructs or de legates its authority to the Standing Committee, e.g. pursuant to  Resolution Conf. 8.4 (Rev. CoP15), to consider 
"appropriate  
 measures", which may include restrictions on the trade in speci mens of CITES-listed species.  In various instances, e.g. pursu ant to Resolution Conf. 12.8 (Rev. CoP13), the 
Secretariat recommends to the Standing Co mmittee that it adopt certain compliance meas ures, which may include a recommended sus pension of trade in the affected species with a 
particular Party. (See also Guide to CITES complia nce procedures contained in Resolution Conf. 14.3).  
 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 , submitting missing annual reports,  enacting adequate legislation, combating and reducing illegal tr ade or responding to specific recommendations of the Standing 
Committee concerning the implementation of Article IV of the Conven tion in the context of the Review  of Significant Trade.  Hav ing 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 
violation of the Convention that may also be  detrimenta l to the survival of one or more CITES-listed species. 
 Recommendations to suspend trade are generally used as a last resort and CITES puts primary emphasis on promoting and facilita ting Parties' compliance through consultations 
and advice or assistance.  Furthermore, such  measures are generally used in cases invol ving significant levels of trade and whe re no domestic measures  exist to enforce the 
Convention.  Finally, such recommenda tions are withdrawn imme diately upon a Party’s return to compliance. 
(2) Resolutions and Decisions of  the Conference of the Parties
Resolution Conf. 8.4 (Rev. CoP15) 
"Instructs the Standing Committee to determine which Parties ha ve not adopted appropriate measur es for effective implementation  of the Convention and to consider appropriate 
compliance measures, which may include recommendations to su spend trade, in accordance w ith Resolution Conf. 14.3"; 
Resolution Conf. 11.3 (Rev. CoP15)– Compliance and enforcement 
"... Regarding compliance, control and cooperation  
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 Page 133Urges  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 trade in w ild fauna and flora and identify it as a matter of high priority for  their national law enforcement agencies; 
 ii) if appropriate, consider formulating national and regional action plans, incorporating timetables, targets and provisions for funding, designed to enhance enforcement of 
CITES, achieve compliance with its provisions, and support wildlife-law enforcement agencies; 
 iii) provide officials who have wildlife- law enforcement responsibilities with equivalent training, status and authority to th ose of their counterparts in Customs and the 
police; 
 iv) ensure strict compliance and control in respect of all mechanisms and provisions of the Convention relating to the regulat ion of trade in animal and plant species listed 
in Appendix II, and of all provisions ensuring protection agai nst illegal traffic for the species included in the Appendices; 
 v) in case of violation of the above-mentioned provisions, immediately take appropriate measures pursuant to Article VIII, par agraph 1, of the Convention in order to 
penalize such violation and to take appropriate remedial action; and 
 vi) inform each other of all circumstances and facts likely to be relevant to illegal traffic and also of control measures, wi th the aim of eradicating such traffic; 
b) Parties should advocate sanctions for infringement s that are appropriate to their nature and gravity; 
c) Parties that are not yet signatories to, or have not yet ra tified, the UN Convention against Transnational Organized Crime a nd the UN Convention against Corruption consider 
doing so; 
d) 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; 
e) if an importing country has reason to believe that specimens of  an Appendix-II or -III species  are traded in contravention o f the laws of any country involved in the transaction, 
it: 
 i) immediately inform the country whose laws were thought to have been violated and, to the extent possible, provide that coun try with copies of all documentation 
relating to the transaction; and 
 ii) where possible, apply stricter domestic  measures to that transaction as provided for in Article XIV of the Convention; and  
f) Parties remind their diplomatic missions, their delegates on mission in foreign countries and their troops serving under the  flag of the United Nations that they are not exempted 
from the provisions of the Convention;  
Regarding application of Article XIII, r ecommends  that: 
a) when, in application of Article XIII, the Secretariat request s information on an alleged infraction, 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. 11.17 (Rev. CoP14) – National  reports 
Recommends that, when compiling their annual re ports in accordance with Article VIII, para graph 7, of the Conv ention and this R esolution, Parties pay particular attention to the  
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reporting of trade in specimens of species  subject to annual export quotas. For thes e species, the report should indicate the l evel of the quota and the amount actually exported. In 
cases where trade is authorized in the reporting year in specim ens obtained under a quota for the previous year, this should be  reflected in the annual report; 
 
Decides that: 
a) failure to submit an annual report by 31 October of the y ear following the year for which the report was due constitutes a m ajor problem with the implementation of the 
Convention, which the Secretaria t shall refer to the Standing Committee for a solution in accordance with  Resolution Conf. 11.3  (Rev. CoP14); and 
b) the Secretariat may approve a valid requ est from a Party for a reasonable extension of time to the 31 October deadline for t he submission of annual or biennial reports 
provided the Party submits to the Secretariat a written request, containing adequate justification, before that deadline; 
Instructs the Standing Committee to determine, on the basis of reports presented by the Secretariat, which Parties have failed,  for three consecutive y ears and without having 
provided adequate justification, to provide the annual reports required under Article VIII, paragraph 7 (a), of the Convention within the deadline (or any extended deadline) 
provided in the present Resolution; 
 
Recommends that Parties not authorize trade in specimens of CITES-listed species with any Party that the Standing Committee has  determined has failed, for three consecutive 
years and without having provided adequate  justification, to provide the annual re ports 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 th e 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 Standi ng 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 Co mmittee in accordance w ith paragraphs n) or o), it should re commend to the Standing Committee appropria te action, which may include, as a last resort, a 
suspension of trade in th e affected species with that State.   On the basis of the report of  the Secretariat, the Standing Commi ttee shall decide on appropriate action and make 
recommendations to the State co ncerned, 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 sh ould 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 the 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; ...". 
 For a list of outstanding Standing Committee recommendations made  in accordance with this Resolution to suspend imports of CIT ES-listed species from certain countries, see 
Notification No. 20010/012 of 15 June 2010.    
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 Page 135D. CCAMLR 
(1) Promotion of Compliance
Article XXI 
"1. Each Contracting Party shall take appr opriate measures within its competence to ensure complian ce 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 (2009) – Port Inspections of Vessels Carrying Toothfish 
"... 1. Contracting Parties shall undertake inspection of all fishing vessels carrying Dissostichus spp. which enter their ports.  The in spection shall be for the purpose of 
determining that if the vessel carried out harvesting activities in the Convention Area, these activities were carried out in a ccordance with CCAMLR conservation measures, and 
that if it intends to land or tranship Dissostichus spp. the catch to be unloaded or transh ipped is accompanied by a Dissostichus catch document (DCD) required by Conservation 
Measure 10-05, and that the catch agrees with the information recorded on the document.  … 
3. In the event that there is evidence that the vessel has fished  in contravention of CCAMLR conservation measures, the catch s hall not be landed or transhipped.  The 
Contracting Party will inform the Flag State of the vessel of its inspection findings and will cooperate with the Flag State in  taking such appropriate action as is required to 
investigate the alleged infringement, and, if necessary, apply appropriate sanctions in accordance with national legislation…".  
Conservation Measure 10-06 (2008) – Scheme to Promote Compliance by Cont racting Party Vessels with CCAMLR Conservation Measures  
"… 1. At each annual meeting, the Commissi on will identify those Contrac ting Parties whose vessels ha ve engaged in fishing acti vities in the Convention Area in a manner 
which has diminished the effectiveness of CCAMLR conservation meas ures in force, and shall establish a list of such vessels (Co ntracting Party Illegal Unregulated, and 
Unreported Vessel List or "CPP-IUU Vesse l List"), in accordance with the proced ures and criteria set out hereafter. … 
4. For the purposes of this conservation measure, the Contracting Parties are considered as having carried out fishing activiti es that have diminished the effectiveness of the 
conservation measures adopted by the Commission if: 
(i) the Parties do not ensure compliance by their vessels with the conservation measures adopted by the Commission and in force , in respect of the fisheries in which they 
participate that are placed unde r the competence of CCAMLR; 
(ii) their vessels are repeatedly included in the CP-IUU Vessel List. 
5. In order for a Contracting Party’s vessel to be included in the CP-IUU Vessel List there must be evidence, gathered in accor dance with paragraphs 2 and 3, that the vessel has: 
(i) engaged in fishing activities in the CCA MLR Convention Area without a licence issued  in accordance with Conservation Measur e 10-02, or in violation of the conditions under 
which such licence would have been issued in relation to authorised areas, species and time periods; or 
(ii) not recorded or no t declared its catches made in th e CCAMLR Convention Area in accordance with the reporting system applic able to the fisheries it engaged in, or made false 
declarations; or 
(iii) fished during closed fishing periods or in closed areas in contravention of CCA MLR conservation measures; or 
(iv) used prohibited gear in contravention of applicable CCAMLR conservation measures; or 
(v) transhipped or participated in joint fishing operations w ith, supported or re-supplied other vessels identified by CCAMLR a s carrying out IUU fishing activities (i.e. vessels on 
the CP-IUU Vessel List or the NCP-IUU Vessel List (Non-Contracting Party Illegal Unregu lated, and Unreported Vessel List), esta blished under Conservation Measure 10-07); or 
(vi) failed to provide, when required under Conservation Measure 10-05, a valid catch document for Dissostichus spp.; or 
(vii) engaged in fishing activities in a manner that undermines th e attainment of the objectives of the Convention in waters ad jacent to islands within  the area to which the 
Convention applies over which the existence of State sovereignty is  recognised by all Contracting Parties, in the terms of the statement made by the Chai rman on 19 May 1980; or 
(viii) engaged in fishing activities contrary to any other CCAMLR conservation measures in a manner that undermines the attainm ent of the objectives of  the Convention according 
to Article XXII of the Convention.  
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7. Contracting Parties whose vessels are included in the Draft CP-IUU Vessel List shall transmit their comments to the Executiv e Secretary before 1 September, including 
verifiable  VMS data and other supporting information showing that the vessels listed have not engaged in the activities which led to their inclusion in  the Draft CP-IUU Vessel 
List.… 
12. At each CCAMLR annual meeting, the Standing Committee on Implementation and Compliance (S CIC) shall, by consensus: 
(a) adopt a Proposed CP-IUU Vessel List, following consideration of the Provisional CP-IUU Vessel List and information and evid ence circulated under paragraph 10.  The 
Proposed CP-IUU Vessel List shall be submitted to the Commission for approval; 
(b) recommend to the Commission which, if any, vessels should be removed from the CP-IUU Vessel List adopted at the previous CC AMLR annual meeting, following 
consideration of that List and information and evidence circulated under paragraph 10... 
14. SCIC shall recommend that the Commission should remove a vessel from the CP- IUU Vessel List if the Contracting Party prove s that: 
(i) the vessel did not take part in the activities described in paragraph 1 which led to the inclusion of the vessel in the CP- IUU Vessel List; or  
(ii) it has taken effective action in resp onse to the activities in question, including prosecution and imposition of sanctions  of adequate severity;  or 
(iii) the vessel has changed ownership, including beneficial owners hip if known to be distinct from the registered ownership, a nd that the new owner can establish the previous 
owner no longer has any legal, financial, or real interests in the vessel, or exercises control over it and that the new owner has not participated in IUU fishing;  or 
(iv) it has taken measures considered sufficient to ensure the granting of the right to the vessel to fly its flag will not res ult in IUU fishing. … 
22. Without prejudice to their rights to take proper action consis tent with international law, Contracting Parties should not t ake any trade measures or other sanctions which are 
inconsistent with their international obligations against vessels  using as the basis for the action the fact that the vessel or  vessels have been included in the draft lCP-IUU Vessel 
List drawn up by the Executive Secretariat, pursuant to paragraph 6. 
23. The Chair of the Commission shall request the Contracting Parties identified pursuant to paragraph 1 to take all necessary measures to avoid diminish ing the effectiveness of 
the CCAMLR conservation measures resulting from their vessels’ activ ities, and to advise the Commission of actions taken in tha t regard. 
24. The Commission shall review, at subsequent CCAMLR annual meetings, as appropriate, action taken by those Contracting Partie s to which requests have been made pursuant 
to paragraph 23, and identify those which ha ve not rectified their fishing activities.  
25. The Commission shall decide  appropriate measures to be taken in respect to Dissostichus  spp. so as to address these issues with those identified Contracting Parties.  In this 
respect, Contracting Parties may cooperate to adopt appropriate multilaterally agreed trade-relate d measures, consistent with t heir obligations as members of the  [WTO], that may 
be necessary to prevent, deter and eliminate the IUU fishing activities identified by the Commission.  Multilateral trade-relat ed measures may be used to  support cooperative efforts 
to ensure that trade in Dissostichus  spp. and its products does not in any way encourage IUU fishing or otherwise diminish the effectiveness of CCAMLR’s conservati on measures 
which are consistent with the United Nations  Convention on the Law of the Sea 1982". 
Resolution 19/XXI – Flags of Non-Compliance 
"The Commission...urges all Contracting Parties and non-Contracting Parties cooperating with CCAMLR to: 
1. Without prejudice to the primacy of the responsibility of the Fl ag State, to take measures or otherwise cooperate to ensure,  to the greatest extent possible, that the nationals 
subject to their jurisdiction do not support or engage in IUU fishing, including engagement on board FONC (Flags of Non-Complia nce) vessels in the CCAMLR Convention Area 
if this is consistent with their national law. 
2. Ensure the full cooperation of their relevant national agenci es and industries in implementing the measures adopted by CCAML R. 
3. Develop ways to ensure that the export or transfer of fi shing vessels from their State to a FONC State is prohibited. 
4. Prohibit the landings and transhipments of fish and fish products from FONC vessels."  
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Article XXIV 
"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 wi th each other to ensure the effective impl ementation 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 in spections.  A report of such prosecutions and 
sanctions imposed shall be included in the informati on referred 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 designa ted 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".... 
 The CCAMLR System of Inspection has been in operation since 1989.  Inspections of fishing and fisheries research vessels of CC AMLR Flag States are being carried out 
regularly by CCAMLR Inspectors designated by Members. 
 In December 2000, the Commission established the Standing 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 Conservation Measures.  In 2002, the Su bcommittee was renamed the 
Standing Committee on Implementation and Compliance (SCIC). 
 In 2004, the Commission agreed on a set of principles required to develop and implement a comparative methodology for assessin g compliance with CCAMLR conservation 
measures. The work on the compliance evaluation procedure has been continued in 2005 and 2006.  
E. MONTREAL PROTOCOL  
Article 4A  –  Control of Trade with Parties  
"1. Where, after the phase-out date applicable to it for a controlled substance, a Party is unable, despite having taken all pr acticable steps to comply with its obligation under the 
Protocol, to cease production of that substance for domestic consumption, other than for uses agreed by the Parties to be essen tial, it shall ban the export of used, recycled and 
reclaimed quantities of that substance, other than for the purpose of destruction." 
Article 8  –  Non-compliance 
"The Parties, at their first meeting, sh all consider and approve procedures and institutional mechanisms for determining non-co mpliance with the provisions of this Protocol and for 
treatment of Parties found to be in non-compliance". 
 In 1992 MOP IV adopted non-compliance procedure and establishe d an Implementation Committee.  The functions of the Committee a re to receive, consider and report on any 
submission made by one or more Parties and any information or observations forwarded by the Secretariat in connection with the preparation of a report referred to in Article 12 of 
the Protocol.  After receiving a report by the Committee, the MOP may, taking into consideratio n 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.   
 The Multilateral Fund, discussed above, supports developing countries to implement the Protocol's control measures.  
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F. BASEL CONVENTION  
 At COP-6, Parties adopted a decision on the compliance mechanism which sets out a Mechanism for Promoting Implementation and C ompliance.  The Mechanism is a non-
confrontational, flexible and non-binding tool that aims at prev enting and solving problems.  It will be administered by a Comm ittee composed of 15 members reflecting an 
equitable geographic representation of the five UN regional groups .  Submissions to the Committee may be made by:  a Party rega rding itself;  one Party regarding another Party;  
or the Secretariat.  Submissions regarding compliance are forwarded to the Party in question, who may respond or provide commen ts.  The Committee may provide advice to the 
Party to facilitate compliance, such as:  advice on regulatory regimes;  assistance, including financial and technical support;   elaboration of voluntary compliance action plans;  
and/or follow-up arrangements.  The Committee may also review general issues of compliance and implementation of the Convention , and may recommend that the COP take 
additional measures regarding specific cases. 
 At COP-7, Parties approved the Committee’s first work programme, for 2005-2006, which instructed to the Committee to, in the e xercise of its general review power, identify 
and analyse difficultes relating to reporting obligations under the Convention, the designation of focal points and competent a uthorities, and the development of national legislation 
to effectively implement the Convention. During the biennium 200 5-2006, the Committee also provide d guidance to the Secretariat  in the preparation of a national legislation 
checklist, aimed at assisting Parties to ensure that th ey have appropriate implemen ting legislation in place. 
  The results of the implementation of the work programme for 2005-2006 were reported to COP-8. COP-8 approved the work program me for the Compliance Committee for 
2007-2008 which, under the general review power, involved (a) further work on the national reporting, with a view to providing guidance on how national reporting could be 
improved, given that it underpins the operation of the C onvention, and (v) work on the issue of illegal traffic. 
 At COP-9, Parties approved the Committee’s work programme, for 2009-2011, which instructed to the Committee to address existin g shortcomings and limitations in relation to 
the lack of specific submissions to the Committee, with a view  to developing recommendations for the consideration of COP-10 th e Conference of the Parties at its tenth meeting 
on appropriate actions to address those shortcomings and limitati ons. The Committee was also inst ructed to undertake several ac tivities with the goal of improving national 
reporting  as well as the implementation of and compliance with  specific obligations under articles 3 (national definition of h azardous wastes) 4, (gen eral obligations), 5 
(designation of Competent Authorities and Focal Point) and 6 (tra nsboundary movements between Parties). Since COP-9, the Commit tee has elaborated a directory of institutions 
providing training on preventing and combating illegal traf fic and a Guidance Manual on improving national reporting. 
 To date,  the Committee has received one self submission  by Oman and nine submis sions by the Secretariat. 
   The next meeting of the Committee is scheduled for 21-23 March 2011.   
G. CBD 
Article 26 – Reports 
"Each Contracting Party shall, at intervals to be determined by the COP, present to the COP, reports on measures which it has t aken for the implementation of the provisions of this 
Convention and their effectiveness in meet ing the objectives of this Convention". 
 Three rounds of national reports have been organized so far:  in 1998, 2001, 2004 and 2009. 
 The CBD does not have a compliance pro cedure.  Formal assessment of Parties or  non-parties compliance has not occurred.  
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 Article 27 – Liability and Redress 
The [COP] serving as the [MOP] to this Protocol shall, at its first meeting, adopt a process with respect to the appropriate el aboration of international rules and procedures in the 
field of liability and redress for damage resulting from transboundary movements of [LMOs], analysing and taking due account of  the ongoing processes in international law on 
these matters, and shall endeavour to comp lete this process w ithin four years." 
COP-MOP 1 adtoped decsion BS-I/8 to establish an Open-ended Ad Hoc Working Group of Legal and Technical Experts on Liability an d Redress. Among others, the Working 
Group would analyze issues related to: definition and nature of damage, valuation of damage to biodiversity and to human health , causation, channelling of liability, standard of 
liability, and standing/right to bring claims.  
 In Decision BS-III/12, COP-MOP3 agreed to convene a meeting of the Working Group before the 4th meeting of the COP-MOP, and urged developed country Parties, other 
Governments and donors to provide voluntary financial contributio ns to support the participation of developing country Parties and Parties with economies in transition in meetings 
of the Working Group.  
Article 33 – Monito ring and Reporting 
"Each Party shall monitor the implementation of its obligations under this Protocol, and shall, at intervals to be determined b y the [COP] serving as the [MOP] to this Protocol, 
report to the [COP] serving as the [MOP] to this Protocol on measures that it has taken to implement the Protocol". 
 COP-MOP 1 approved a format for the interim national report on implementation of the Protocol (Decision BS-I/9) and agreed on the frequency and timing of such reports 
(reports to be submitted 12 months prior to the meeting of the CO P 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). 
 In Decision BS-III/14, COP-MOP 3 adtoped the national reporting format, and requested Parties to  submit their first regular na tional report, covering the period between entry 
into force of the Protocol for each Party and the reporting date, 12 m onths prior to its fourth meeting.   
 COP-MOP 5 adopted, through its decision BS-V/14, a format for second national reporting and requested Parties to fulfil their reporting obligations under Article 33 and in 
accordance relevant decisions. 
Article 34 – Compliance 
"The [COP] serving as the [MOP] to this Protocol shall, at its first meeting, consider and appr ove cooperative procedures and i nstitutional mechanisms to promote compliance with 
the provisions of this Protocol and to address cases of non-comp liance.  These procedures and m echanisms shall include provisio ns to offer advice or assi stance, where appropriate.  
They shall be separate from, and without prejudice to, the disp ute settlement procedures and mechanisms established by Article 27 of the Convention". 
 COP-MOP 1 adopted procedures and mechanisms on compliance under the Protocol (Decision BS-I/7), including a Compliance Committ ee 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. 
 The Committee receives, through the Secretariat, submissions relating to complia nce from: any Party with respect to itself; an d any Party, which is af fected or likely to be 
affected, with respect to another Party.  The COP-MOP may, upon the recommendations of the Compliance Committee, decide upon on e or more of the following measures:  
(a) Provide financial and technical assistance;  
(b) issue a caution to the concerned Party;  
(c) request the Executive Secretary to publis h cases of non-complian ce in the BCH;  and  
(d) in cases of repeated non-compliance, take such measures  as may be decided by the COP-MOP at its fourth meeting. 
 The first meeting of the Compliance Committee was held in March 2 005, where its rules of procedures were developed.  The Rules  were adopted at COP-MOP 2 (Decision 
BS-II/1). 
The second meeting of the Compliance Committee was held in February 2006. COP-MOP 3 considered the recommendations made by the Compliance Committee, and adopted 
decision BS-III/1, which among others, called upon "Parties that still have no appropriate legal and administrative measures in  place at the national level to take the necessary 
measures and specifically to give appropri ate attention to the development of national biosafety frameworks" and urged those "P arties that have duly completed the development of  
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their national biosafety frameworks to take measures necessary, including the allocation of appropriate resources, to make thes e frameworks operational and effective."  The 
decision also invited "Parties and other Governments with well-developed and functional biosafety frameworks or systems to coop erate and share their practical experiences with 
those Parties that have a demand in this regard." 
I. NAGOYA PROTOCOL  
Article 25: Monitoring and Reporting 
Each Party shall monitor the implementation of its obligations under  this Protocol, and shall, at intervals and in the format t o be determined by the Conference of the Parties serving 
as the meeting of the Parties to this Protocol, report to the Conference of the Parties serving as the meeting of the Parties t o this Protocol on measures that it has taken to implement 
this Protocol.  
Article 24: Procedures and Mechanisms to  Promote Compliance with this Protocol 
The Conference of the Parties serving as th e meeting of the Parties to this Protocol shall, at its first meeting, consider and approve cooperative pro cedures and institutional 
mechanisms to promote compliance with the provisions of this Protocol and to address cases of non-compliance. These procedures and mechanisms shall include provisions to 
offer advice or assistance, where appropriate. They shall be se parate from, and without prejudice to, the dispute settlement pr ocedures and mechanisms under Article 27 of the 
Convention.  
J. UNFCCC 
Article 13 – Resolution of Questions Regarding Implementation 
"The [COP] shall, at its first session, consider the establishm ent of a multilateral consultative process, available to Parties  on their request, for the resolution of questions regarding 
the implementation of the Convention". 
 Pursuant to Article 13, COP 4 considered the establishment of a Multilateral Consultative Committee (MCC) for the resolution o f questions regarding the implementation of the 
UNFCCC.  To date, the Parties have not established such a Co mmittee or adopted a multilateral consultative process.  The propos ed MCC is to provide advice to Parties and to 
prevent disputes.  The nature of the MCC is to be facilitative,  non-judicial, transparent and co-operative. The outcome of the MCC may include recommendations and any measures 
that the MCC deems suitable for the eff ective implementation of the Convention. 
Reporting  
 At COP 16, the COP decided to enhance reporting in the national communications of Parties included in Annex I  to the Convention on mitigation targets and on the provision 
of financial, technological and capacity-building support to developing country Parties.  Developed countries are required to s ubmit annual GHG inventories and inventory reports 
and biennial reports on their progress in achieving emission reductions, including information on mitigation actions to achieve  their quantified economy-w ide emissions targets and 
emission reductions achieved, projected emissions and on the provision of financial, technology and capacity-building support t o developing country Parties.  Developed countries 
are required to submit supplementary information on the achievement of quantified economy-wide emission reductions.  COP 16 dec ided to enhance the guidelines for the reporting 
as well as the guidelines for the review of information in national communications. 
COP 16 also decided  to enhance reporting in national communications, including inventories, from Parties not included in Annex I to the Convention (non-Annex I Parties ) on 
mitigation actions and their effects, and support received; with  additional flexibility to be given to the least developed coun try Parties and small island developing states.  The 
content and frequency of national communications from non-Annex I Parties will not be more onerous than that for Annex I Partie s.  Non-Annex I Parties are required to submit 
their national communications to the COP, in accordance with Artic le 12.1 of the Convention every four years or in accordance w ith any further decisions on frequency by the COP 
taking into account a differentiated timetable and the prompt provision of financial resources to cover the agreed full costs i ncurred by non-Annex I Parties in preparing their 
national communications.  Developing countrie s, consistent with their capabilities and the level of support provided for report ing, are required also to  submit biennial update 
reports, containing updates of national GHG inventories includ ing a national inventory report and information on mitigation act ions, needs and support received.  There will be a 
process for international consultations and analysis of the biennial reports in the Subsidiary Body on Implementation, in a man ner that is non-intrusive, non-punitive and respectful 
of national sovereignty;   the international consultations and analysis aim to increase transpar ency of mitigation actions and their effects.   
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Article 16  
"The [CMP] to this Protocol shall, as soon as practicable, consider the application to this Protocol of, and modify as appropri ate, the multilateral consultative process referred to in 
Article 13 of the Convention, in the light of any relevant decisi ons that may be taken by the [COP].  Any multilateral consulta tive process that may be applied to this Protocol shall 
operate without prejudice to the procedures and mechan isms established in accord ance with Article 18".  
Article 18  
"The [CMP] to this Protocol shall, at its first session, approv e appropriate and effective proced ures and mechanisms to determi ne and to address cases of  non-compliance with the 
provisions of this Protocol, including through the development of an indicative list of consequences, taking into account the c ause, type, degree and frequency of non-compliance.  
Any procedures and mechanisms under this Ar ticle entailing binding consequences shall be  adopted by means of an amendment to th is Protocol". 
 A strong compliance system has been developed to facilitate, promote and enforce compliance with the commitments under the Kyo to Protocol:  The Compliance Committee 
consists of an enforcement br anch and a facilitative branch. 
The enforcement branch is responsible for determining whether an Annex I Party is not in compliance with its emissions targets,  the methodological and reporting requirements for 
greenhouse gas inventories, and the eligib ility requirements under the flexibility mechanisms.  In case of disagreements betwee n a Party and an expert review team, the enforcement 
branch shall determine whether to apply adjustments to greenh ouse gas inventories or to correct the compilation and accounting database for the accounting of assigned amounts 
(i.e., a Party’s allowable level of emissions over the Protocol’s first commitment period (2008-2012)). 
The mandate of the facilitative branch is to provide advice and facilitation to Parties in implementing the Protocol and to pro mote compliance by Parties with their commitments.  It 
is responsible for addressing questions of implementation relating to response measures taken by Annex I Parties aimed at mitig ating climate change in a way that minimizes their 
adverse impacts on developing countries and the use by Annex I Parties of the mechanisms as "supplemental" to domestic action.  Furthermore, the facilitative branch may provide 
"early warning" of potential non-compliance with emissions ta rgets, methodological and reporting commitments relating to greenh ouse gas inventories, and commitments on 
reporting supplementary information in a Party’s annual inventory. 
[For further information on the Compliance Co mmittee, including on questions of implementa tion that have been  referred to it, p lease see the compliance home page on the UNFCCC 
website at: http://unfccc.int/kyot o_protocol/complia nce/items/2875.php]. 
L. ITTA 
Article 19 – Administrative Account 
"...7. If a member has not paid its full contribution to the administrative budget within four months after such contribution b ecomes due in accordance with paragraph 6 of this 
article, the Executive Director shall request that member to make  payment as quickly as possible.  If that member has still not  paid its contribution within two months after such 
request, that member shall be requested to state the reasons fo r its inability to make payment.  If at the expiry of seven mont hs from the due date of contribution, that member has 
still not paid its contribution, its voting rights shall be susp ended until such time as it has paid in full its contribution, unless the Council, by special vote, decides otherwise.  If, on 
the contrary, a member has paid its full contribution to the admi nistrative budget within four months after such contribution b ecomes due in accordance with paragraph 6 of this 
article, the member's contribution shall receive a discount as may be established by the Council in the financial rules of the Organization".  
Article 44 – Exclusion  
"If the Council decides that any member is in breach of its obligations under this Agreement and decides further that such 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".  
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M. UN FISH STOCKS AGREEMENT  
 Article 17 of Part IV on "Non-members and Non-participants" provides that a State which is not a member of a RFMO or a participant in an R FMA is not discharged from the 
obligation to cooperate, in accordance with the Convention and th e Agreement, in the conservation and management of the relevan t straddling fish stocks and highly migratory fish 
stocks.  It provides that such a State shall not authorize a vessel flying its flag to engage in fishing operations for the str addling fish stocks or highly migratory fish stocks which are 
subject to the conservation and management measures established by such an organization or arrangement. 
 Article 18  of Part V on "Duties of the Flag State" requires the flag State to ensure that vesse ls 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 relevant 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. 
  Part VI on "Compliance and Enforcement" (Articles 19-23) cont ains several provisions on compliance and enforcement, which invo lve compliance and enforcement by the flag 
State, the port State, as well as a subregional and regional cooperative enforcement scheme that may involve non-flag State enf orcement. 
Article 19 – Compliance and en forcement by the flag State 
"1. A State shall ensure compliance by vessels flying its flag with subregional and regional conservation and management measur es for straddling fish stocks and highly 
migratory fish stocks.  To this end, that State shall: 
(a) enforce such measures irrespec tive of where violations occur; 
(b) investigate immediately and fully any alleged violation of s ubregional or regional conservation and management measures, wh ich may include the physical inspection of 
the vessels concerned, and report promptly to the State allegi ng the violation and the relevant subregional or regional organiz ation or arrangement on the progress and 
outcome of the investigation; 
(c) require any vessel flying 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 proceedings without delay in 
accordance with its laws and, where appropri ate, detain the vessel concerned;  and 
(e) ensure that, where it has been established, in accordance with its laws, a vessel has been involved in the commission of a serious violation of such measures, the vessel 
does not engage in fishing operations on the high seas until such time as all outstanding sanctions imposed by the flag State i n respect of the violation have been complied 
with. 
2. All investigations and judicial proceedings shall be carried out expeditiously.  Sanctions applicable in respect of violatio ns shall be adequate in se verity to be effective in 
securing compliance and to discourage viol ations wherever they occur and shall depr ive offenders of the benefits accruing from their illegal activities.  Measures applicable in 
respect of masters and other officers of fishing vessels shall include provisions which may permit, inter alia , refusal, withdrawal or suspension of authorizatio ns to serve as masters 
or officers on such vessels ...". 
Article 20 –  Internationa l cooperation in enforcement 
 Provides that States shall cooperate, either directly or through subregional or regional fisheries management organizations or  arrangements, to ensu re compliance with and 
enforcement of subregional and regional conservation and management measures for straddling fish stocks and highly migratory fi sh stocks.   
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 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 an 
RFMO/A  
Article 22 – Basic procedures for boarding  and inspection pursuant to article 21 
 Provides for the basic procedures to be followed by duly author ized inspectors from an inspectin g State in case of boarding an d inspection.   
Article 23 – Measures taken by a port State 
 Provides for enforcement measures, which may be taken by a port State, whenever fishing vessels are voluntarily in its ports o r at its offshore terminal s.  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. 
N. 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". 
 The COP has been discussing the non-compliance mechanisms required under Article 17 since its first meeting in 2004.  At its th ird meeting in October 2006, the Parties 
established a working group to further discuss the mechanisms and procedures for non-compliance but no consensus was reached on  the text.10  The Parties agreed to use the draft 
text that resulted from the working group as the basis for further work at the four th meeting of the COP.  
 At the fourth meeting of the COP in October 2008, the Parties convened to further consider  for adoption the procedures and ins titutional mechanisms on non-compliance 
required under Article 17 based on the draft text (Decision RC-4/7): 
"The COP (…) 
1. Decides  to consider further at its next ordinary meeting for adoption the procedures and institutional mechanisms on non-compliance re quired under article 17 of the 
Convention; 
2. Decides also that the draft text contained in the annex to the present decision shall be the basis for its further work on the procedur es and institutional mechanisms at its 
fifth meeting [in June 2011]."
O. STOCKHOLM CONVENTION  
Article 15 – Reporting 
 Sets out a reporting mechanism on the implementation of the Convention. 
Article 16 – Effectiveness evaluation 
 Requests the COP to evaluate the effectiveness of the Convention.  
Article 17 – Non-compliance 
"The [COP] shall, as soon as practicable, develop and approve pr ocedures and institutional mechan isms for determining non-compl iance with the provisions of this Convention and 
for the treatment of Parties found to be in non-compliance". 
 At its first meeting in 2005, the COP decided to convene an open-ended ad hoc working group on non-compliance (OEWG NC) to con sider procedures and institutional 
mechanisms on non-compliance under Article 17 of the Convention.  The working group recommended the establishment of a complian ce committee which is responsible for 
                                                      
10 The issues that are particularly contentio us include: membership, open versus closed  meetings, the decision-making process, tr iggers for the non-compliance 
procedure, and possible measures to address non-compliance.    
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reviewing submissions made by one or more Parties and/or the Secretariat. 
  At its second meeting in 2006, the COP agreed to convene a seco nd meeting of the OEWG NC prior to its third meeting in order t o further consider the procedures and 
mechanisms on non-compliance. 
 At the third meeting of the COP, the Parties convened to negotia te further and to consider for adoption, at its fourth meeting , the procedures and institutional mechanisms on 
non-compliance required under article 17 of the Conven tion and on the basis of its Decision SC-3/20.  
 At the fourth meeting of the COP, the Parties adopted Decision  SC-4/33 on further examination of the procedures and institutio nal mechanisms on non-compliance at the fifth 
meeting of the COP in April 2011 
V. DISPUTES 
MEA Relevant Provision Any dispute? 
A. IPPC 
 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 oblig ations of the latter under Articles V and VII of this Conventi on, 
especially regarding the basis of prohibiting or restricting the imports of plants, plant products or other regulated articles coming from 
its territories, the contracting parties conc erned 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 re quest 
the FAO Director-General to appoint a commi ttee of experts to consider the question in  dispute, in accordan ce with rules and 
procedures that may be established by the Commission.  
3. This Committee shall include representatives designated by each contracting pa rty concerned.  The Co mmittee shall consider t he 
question in dispute, taking into account all documents and othe r forms of evidence submitted by the contracting parties concern ed.  The 
Committee shall prepare a report on the tech nical aspects of the dispute for the purpos e of seeking its resolution.  The prepar ation of the 
report and its approval shall be according to rules and proce dures established by the Commission, and it shall be transmitted b y the 
Director-General to the contracting parties concerned.  The report may also be submi tted, upon its request, to the competent bo dy 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 concer ned of the matter out of wh ich the disagreement arose.  
5. The contracting parties concerned shall share the expenses of the experts.  
6. The provisions of this Article shall be complementary to a nd not in derogation of the dispute settlement procedures provided  for in 
other international agreements dealing with trade matters". 
 The Interim Commission established the Subsidiary Body on Disput e Settlement (SBDS) in 2001.  The first meeting was held in 
April 2003.  The SBDS is composed of seven experts, one from each of the seven FAO geographic regions.  The role of the SBDS is  to 
assist the IPPC Secretariat in helping co ntracting parties select a suitable dispute settlement system. The SBDS developed a Di spute 
Settlement Manual in 2006 to facilitate the implementation of the Convention's dispute settlement  rules and procedures. 
 The IPPC Dispute Settlement System Manual is available on the IPPC website at: 
https://www.ippc.int/index.php?id=1110798&tx_publication_pi1[sh owUid]=144307&frompage=13412&type=publication&subtype=&
L=0#item  No formal 
disputes, but 
many resolved in 
informal 
discussions.   
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B. ICCAT  No provisions No 
C. 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 acco rdance with paragraph 1 of this Article, th e Parties may, by mutual consent, submi t the 
dispute to arbitration, in particular that of the Permanent Co urt of Arbitration at The Hague, and the Parties submitting the d ispute shall 
be bound by the arbitral decision". No 
D. CCAMLR Article XXV 
"1. If any dispute arises between two or more of the Contracti ng Parties concerning the interpretation or application of this 
Convention, those Contracting Parties shall consult among themselves with a view to having the dispute resolved by negotiation,  
inquiry, mediation, conciliation, arb itration, judicial settlement or othe r 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 Inte rnational Court or to arbitrat ion shall not 
absolve Parties to th e dispute from the responsibility of continuing to seek to resolve it by any of the various peaceful means  referred to 
in paragraph 1 above. 
3. In cases where the dispute is  referred to arbitration, the arbitral tribunal shall be constituted as provided in the Annex t o this 
Convention". No 
E. MONTREAL 
PROTOCOL   Article 11 of the Vienna Convention for the Protection of the Ozone Layer applies to the Montreal Protocol and its amendments with 
regard to dispute settlement.  
Vienna Convention:  Article 11 – Settlement of disputes 
"1. In the event of a dispute between Parties concerning the in terpretation 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 a cceding to this Convention, or at any time thereafter, a State or regional economic  
integration organization may declare in writing to the Depositary that for a dispute not resolved  in accordance with paragraph 1 or 
paragraph 2 above, it accepts one or both of the follo wing 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 w ith paragraph 5 below unless the parties otherwise agree. 
5. A conciliation commission shall be created upon the request of one of the parties to the dispute.  The commission shall be 
composed of an equal number of members appointed by each party concerned and a chairman chosen jointly by the members appointed  
by each party. The commission shall render a final and recommendato ry award, which the parties shall consider in good faith. 
6. The provisions of this Article shall apply with respect to any protocol except as provided in the protocol concerned". No  
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F. BASEL 
CONVENTION  Article 20 – Settlement of Disputes  
"1. In case of a dispute between Parties as  to the interpretation or application of, or compliance with, this Convention or any  protocol 
thereto, they shall seek a settlement of  the dispute through negotiation or any ot her peaceful means of their own choice. 
2. If the Parties concerned cannot settle th eir dispute through the means mentioned in  the preceding paragraph, the dispute, if  the 
Parties to the dispute agree, shall be submitted to the [ICJ] or  to arbitration under the conditions set out in Annex VI on Arb itration.  
However, failure to reach common agreement on submission of the dispute to the ICJ or to arbitration shall not absolve the Part ies from 
the responsibility of continuing to seek to reso lve it by the means referred to in paragraph 1. 
3. When ratifying, accepting, approving, form ally confirming or acceding to this Conventio n, or at any time thereafter, a State  or 
political and/or economic integration organization may declare that  it recognizes as compulsory ipso facto and without special 
agreement, in relation to any Party accepting the same obligation:  No 
 (a) submission of the dispute to the [ICJ];  and/or 
(b) arbitration in accordance with th e procedures set out in Annex VI. 
Such declaration shall be notified in writing to the S ecretariat which shall communicate it to the Parties". 
 In the event that arbitration is the chosen method (Annex VI), the tribunal is to draw up its own rules of procedure and rende r its 
decision in accordance with international law and with the 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 specified time limit.  The award of the arbitral tribun al shall be 
accompanied by a statement of reasons and be fina l and binding on the Pa rties to the dispute.  
G. CBD Article 27 – Settlement of Disputes 
"1. In the event of a dispute between Contracting Parties concerning the interpretation or application of this Convention, the parties 
concerned shall seek solution by negotiation.  
2. If the parties concerned cannot reach 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 a cceding to this Convention, or at any time thereafter, a State or regional economic  
integration organization may declare in writing to the Depositary that for a dispute not resolved  in accordance with paragraph 1 or 
paragraph 2 above, it accepts one or both of the follo wing 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". 
 
 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 co nflict between two Parties, the ar bitral provisions provide for the standard three-member panel, as 
described under the Montreal Protocol and the Basel Convention.  If more Parties are involved, Pa rties "in the same interest" a re to 
nominate a "common" arbitrator.  
 If the dispute is not submitted to arbitr ation 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 No  
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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. 
H. CARTAGENA 
PROTOCOL   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 
I. NAGOYA 
PROTOCOL  No provisions  No 
J. UNFCCC Article 14 – Settlement of Disputes 
"1. In the event of a dispute be tween any two or more Parties concerning the inte rpretation or application of the Convention, t he 
Parties concerned shall seek a settlement of the dispute through nego tiation 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 dispu te 
concerning the interpretation or application of the Convention, it recognizes as compulsory ipso facto and without special agre ement, in 
relation to any Party accepting the same obligation: 
(a) Submission of the dispute to the [ICJ], and/or 
(b) Arbitration in accordance  with procedures to be adopted by the [COP] as soon as practicable, in an annex on arbitration. 
 
A Party which is a regional economic integration organization may make a declaration with like effect in relation to arbitratio n in 
accordance with the procedures referr ed to in subparagraph (b) above. … 
5. Subject to the operation of paragraph 2 above, if after twelve months following notification by one Party to another that a dispute 
exists between them, the Parties concerned have not been able to settle their dispute through the means mentioned in paragraph 1 above, 
the dispute shall be 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 
composed of an equal number of members appointed by each party concerned and a chairman chosen jointly by the members appointed  
by each party.  The commission shall render a recommendatory award, which the parties sha ll 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 
K. 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 
L. ITTA Article 31 – Complaints and disputes  
"Any complaint that a member has failed to fulfil its obligations  under this Agreement and any dispute concerning the interpret ation or 
application of this Agreement shall be referred to the Council fo r decision.  Decisions of the C ouncil on these matters shall b e final and 
binding". No 
M. UN FISH 
STOCKS   Part VIII on Peaceful Settlement of Disput es (Articles 27-32) contains provisions for the peaceful settlement of disputes aris ing out 
of the implementation of the Agreement.  No  
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MEA Relevant Provision Any dispute? 
AGREEMENT  Article 27 – Obligation to settle disputes by peaceful means 
"States have the obligation to settle their disputes by negotia tion, inquiry, mediation, conciliation, arbitration, judicial se ttlement, resort 
to regional agencies or arrangements, or  other peaceful means of their own choice". 
Article 28 – Prevention of disputes 
"States shall cooperate in order to prevent disputes.  To this end, States shall agree on efficient and expeditious decision-ma king 
procedures within subregional and regional fisheries management  organizations and arrangements and shall strengthen existing 
decision-making proced ures as necessary". 
Article 29 – Disputes of a technical nature 
"Where a dispute concerns a matter of a technical nature, the 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 
recourse to binding procedures for the settlement of disputes". 
Article 30 – Procedures for the settlement of disputes 
 Stipulates that the procedures for the settlement of disputes set out in Part XV of UNCLOS apply mutatis mutandis  to any dispute 
between State Parties to the Agreement concer ning the interpretation or application of the Agreement, whether or not they are a lso 
Parties to UNCLOS.  The procedures also apply mutatis mutandis  to any dispute between State Parties to the Agreement concerning the 
interpretation or application of a subregional, regional or global fisheries agreement relating to straddling fish stocks or hi ghly 
migratory fish stocks to which they are parties, including any dispute concerning the conservation and management of such stock s, 
whether or not they are also Parties to the Convention.  
Article 31 – Provisional measures 
"1. Pending the settlement of a dispute in accordance with this Part, the parties to the dispute shall make every effort to ent er into 
provisional arrangements of a practical nature. 
2. Without prejudice to article 290 of the Convention, the court or tribunal to which the dispute has been submitted under this  Part 
may prescribe any provisional m easures which it considers appropriate under the circumstances to preserve the respective rights  of the 
parties to the dispute or to prevent damage to the stocks in qu estion, as well as in the circum stances referred to in article 7 , paragraph 5, 
and article 16, paragraph 2. 
3. A State Party to this Agreement which is not a Party to th e Convention may declar e 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 provi sional 
measures without the agreement of such State". 
 The relevant provisions of UNCLOS 
 Part XV of UNCLOS requires that State Parties to the Convention settle any dispute between them concerning the 
interpretation or application of the Convention by a ll peaceful means referred to  in the UN Charter.  
 Where no settlement has been reached by r ecourse 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;  
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- 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 applications submitted to it in accordance with UNCLOS and all 
matters specifically provided for in any other agreement, which confers jurisdiction to the Tribunal.  
 Part XV, Section 3 on limitations and exceptions to the applicab ility of Section 2 stipulates in Article 297, paragraph 3 that 
disputes relating to the sovereign rights of the coastal State re lating to the living resources in the EEZ, or the exercise of such 
rights in that zone, are excluded from the compulsory procedures entailing binding decisions provided for in Part XV, 
Section 2.   
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, rem ains 
non-binding upon the Parties to the dispute. 
N. ROTTERDAM 
CONVENTION  Article 20 – Settlement of disputes 
"1. Parties shall settle any dispute between them concerning th e 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 Conventio n, or at any time thereafter, a Party that is not a region al 
economic integration organization may declare in a written instrument submitted to the Depositary that, with respect to any dis pute 
concerning the interpretation or application of the Convention, it recognizes one or both of the following means of dispute set tlement as 
compulsory in relation to any Pa rty 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 may make a declaration with like effect in relation to arbitrat ion in 
accordance with the procedure refe rred to in paragraph 2 (a). 
4. A declaration made pursuant to paragr aph 2 shall remain in force until it expire s 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 accepte d the same or any procedure pursuant to pa ragraph 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, th e dispute 
shall be submitted to a conciliation commission at the request of any party to the dispute.  The conciliation commission shall render a 
report with recommendations.  Additional procedures relating to the conciliation commission shall be included in an annex to be  
adopted by the [COP] no later than th e second meeting of the Conference". 
 In Decision RC-1/11, COP 1 established rules for the settlement of disputes:  
 In cases of Arbitration under Article 20 paragraphs 1-5, an Arbitration Tribunal shall be es tablished, consisting of three No  
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MEA Relevant Provision Any dispute? 
members, which renders a decision within five months of being fully constituted.  The decision is binding between the Parties 
to the dispute and Parties intervening under Article 10, insofar as it relates to matters in respect of which that Party interv ened.  
The award shall be without appeal unless the Parties to the di spute have agreed in advance to an appellate procedure. 
 In cases of conciliation under Article 20 paragraph 6, a c onciliation 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 being established. 
O. STOCKHOLM 
CONVENTION  Article 18 – Settlement of disputes 
"1. Parties shall settle any dispute between them concerning th e interpretation or application of this Convention through negot iation or 
other peaceful means of  their own choice. 
2. When ratifying, accepting, approving or a cceding to the Convention, or  at any time thereafter, a Party that is not a regiona l 
economic integration organization may declare in a written instrument submitted to the depositary that, with respect to any dis pute 
concerning the interpretation or application of the Convention, it recognizes one or both of the following means of dispute set tlement as 
compulsory in relation to any Pa rty accepting the same obligation: 
(a) Arbitration in accordance with procedures to be adopted by the [COP] in an annex as soon as practicable; 
(b) Submission of the dispute to the [ICJ]. 
3. A Party that is a regional economic integration organization may make a declaration with like effect in relation to arbitrat ion in 
accordance with the procedure refe rred to in paragraph 2 (a). 
4. A declaration made pursuant to paragra ph 2 or paragraph 3 shall remain in force until it expires in acco rdance with its term s or 
until three months after written notice of its revo cation 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 accepte d the same or any procedure pursuant to pa ragraph 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, th e dispute 
shall be submitted to a conciliation commission at the request of any party to the dispute.  The conciliation commission shall render a 
report with recommendations.  Additional procedures relating to the conciliation commission shall be included in an annex to be  
adopted by the [COP] no later than at its second meeting". No 
  
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 Page 151VI. PROVISIONS FOR NON-PARTIES 
A. IPPC 
Article XVIII – Non -contracting parties 
"The contracting parties shall encourage any state or member or ganization of FAO, not a party to  this Convention, to accept thi s Convention, and shall encourage any non-
contracting party to apply phytosanitary measures consistent w ith the provisions of this Convention and any international stand ards adopted hereunder". 
B. ICCAT 
 In 1997, the Commission adopted a Resolution urging non-contracti ng parties, entities or fishing entities known to be fishing i n the Convention area fo r species under ICCAT 
competence to either become Contracting Parties to the Convention or to attain status as a "Cooperating Party, Entity, or Fishi ng Entity" (Resolution 97-17-- Becoming a 
Cooperating Party, Entity or Fishing Entity).   Such status requ ires the firm commitment to provide the same data that Contract ing Parties are required to submit and to respect the 
Commission’s management recommendations.   Such status is granted for one-year periods and is subject to annual review.  In 199 9, Chinese Taipei and Mexico were granted 
Cooperating 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 re solution was substitute d by a Resolution 01-17 in 2002, and later 
by Recommendation 03-20 in 2003. 
Recommendation 03-20 on Criteria fo r Attaining the Status of Cooper ating Non-Contracting Party, Entity or Fishing Entity (Enter ed into Force on June 19, 2004) 
"… 1. Each year, the Executive Secretary of ICCAT shall cont act 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 become a Contracting Party to ICCAT or to attain the status of a Cooperating non-Contrac ting Party, Entity or Fishing Entity. In doing 
so, the Executive Secretary shall provide a copy of all relevant Recommendations and Resolutions adopted by the Commission. 
2. Any non-Contracting Party, Entity, or Fishing Entity that seek s to be accorded the status of a Cooperating non-Contracting P arty, Entity or Fishing Entity shall apply to the 
Executive Secretary. Requests must  be received by the Executive 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 Fi shing 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 Commi ssion whether or not an applican t 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, En tities 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....".  
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C. 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 (Rev. CoP15) – 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 Pa rties unless they contain: 
i) the name, stamp and signature of a competent issuing authority; 
ii) sufficient identification of the species concerned for the purposes of the Convention; 
iii) certification of the origin of the specimen concerned including the export permit number from the country of origin, or ju stification for omitting such certification; 
iv) in the case of export of specimens of a species included in Appendix I or II, cer tification to the effect that the competen t scientific institution has advised that the export 
will not be detrimental to the su rvival 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 Conv ention only if details 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 Secretaria t any inconsistencies in trade involving States not party to the Convention;. 
Instructs the Secretariat to seek, every two years, information on, and to include in its Directory, details of the designated competent authorities, scientific institutions and 
enforcement authorities of non-party States that were communicated  by these States, together with the date on which the details  were received"; 
 
 The following non-parties have provided the information requested by Resolution Conf. 9.5 (Rev. CoP15) (i.e. proof that compar able documentation is being issued by 
competent authorities):  Andorra; Angola; Bahrain;  Cook Island s;  Democratic People’s Republic of Korea;  Haiti;  Iraq; Kiriba ti; Lebanon;  Marshall Islands;  Federated States of 
Micronesia;  Niue;  Tajikistan; and Tonga.  
 China is a Party to CITES.  Hong Kong SAR, China, however, has its own CITES Management Authority and Scientific Authority.  M acao SAR, China also has its own 
Management Authority. 
 Key non-parties currently in the process of adhering to the Convention include:  Angola;  Bahrain;  Lebanon;  and Turkmenistan .  
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 Page 153D. CCAMLR 
Article X 
"1. The Commission shall draw the attention of any State which is not a Party to this Convention to any activity undertaken by its nationals or vessels which, in the opinion of the 
Commission, affects the implementation of the objective of this Convention".... 
Conservation Measure 10-07 (2009) – Scheme to Promote Compliance by Non- Contracting Party Vessels wi th CCAMLR Conservation Meas ures 
"...1. The Contracting Parties request non-Contracting Parties to  cooperate fully with the Commission with a view to ensuring t hat the effectiveness of CCAMLR conservation 
measures is not undermined. 
2. At each annual meeting the Commission sh all identify those non-Contracting Parties whose vessels are enga ged in IUU fishing activities in the Conventio n Area that threaten 
to undermine the effectiveness of CCAMLR conservation measures, and shall establish a list of such vessels (NCP-IUU Vessel List ), in accordance with the procedures and criteria 
set out hereafter.... 
4. A non-Contracting Party vessel which has been sighted engagi ng in fishing activities in the Convention Area or which has bee n denied port access, landing or transhipment in 
accordance with Conservation Measur e 10-03 is presumed to be undermining the eff ectiveness of CCAMLR conservation measures. In the case of any transhipment activities 
involving a sighted non-Contracting Party vessel inside or outs ide the Convention Area, the presumption of undermining the effe ctiveness of CCAMLR conservation measures 
applies to any other non-Contracting Party vessel which has engaged in such activities with that vessel. 
5. When a non-Contracting Party vessel referred to in paragraph 4 enters a port of any Contracting Party, it shall be inspected  by authorised Contracting Party officials in 
accordance with Conservation Measure 10-03 and shall not be allowed to land or tranship  any fish species subject to CCAMLR cons ervation measures it might be holding on board 
unless the vessel establishes that the fish were caught in compliance with all releva nt CCAMLR conservation measures and requir ements under this Convention. 
6. A Contracting Party which sights a non-Contracting Party vessel engaging in fishing activities in the Convention Area or den ies a non-Contracting Party port access, landing 
or transhipment under paragraph 5 shall attempt to inform the ve ssel that it is presumed to be undermining the effectiveness of  CCAMLR conservation measures, and that this 
information will be distributed to the Executive Secretary, all Contracting Parties and the Flag State of the vessel. 
7. Information regard ing such sightings or denial of port access, landings or transhipments, and the result of all inspections conducted in the ports of Contracting Parties, and any 
subsequent action shall be transmitted within one business day to  the Commission in accordance with Article XXII of the Convent ion. The Executive Secret ary shall transmit this 
information to all Contracting Parties, w ithin one business day of receiving it, and to the Flag State of the vessel concerned as soon as possible and to appropriate regional fisheries 
organisations. At this time, the Executive Secretary shall, in consultation with the Chair of the Commission, request the Flag State concerned that, where appropriate, measures be 
taken in accordance with its applicable la ws and regulations to ensure that the ve ssel desists from any activities that undermi ne the effectiveness of CCAMLR conservation 
measures, and that the Flag State report ba ck to CCAMLR on the results of such enquir ies and/or on the measures it has taken in  respect of the vessel.... 
9. In order for a non-Contracting Party’s vessel to be included  in the NCP-IUU Vessel List, ther e must be evidence, gathered in  accordance with paragraphs 3 and 8, that the 
vessel has: 
(i) been sighted engaging in fishing activities in the CCAMLR Convention Area; or 
(ii) been denied port access, landing or transhipme nt in accordance with Cons ervation Measure 10-03; or 
(iii) transhipped or participated in join t fishing operations with, supported or re supplied other vessels identified by CCAMLR as carrying out IUU fishing activities (i.e. 
vessels on the NCP-IUU Vessel List or the CP-IUU Vessel List established under Conservation Measure 10-06); or 
(iv) failed to provide, when required under Conservation Measure 10-05, a valid catch document for Dissostichus spp.; or 
(v) engaged in fishing activities in a manner that undermines the attainment of the objectives of the Convention...; or 
(vi) engaged in fishing activities contrary to any other CCAMLR c onservation measures in a manner that undermines the attainmen t of the objectives of the Convention 
according to Article XXII  of the Convention.... 
18. SCIC shall recommend that the Commission should remove a vessel from the NCP-IUU Vessel List if the non-Contracting Party p roves that: 
(i) the vessel did not take part in the activities described in paragraph 9 which led to the inclusion of the vessel in the NCP -IUU Vessel List; or  
  WT/CTE/W/160/Rev.5 
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Page 154 
(ii) it has taken effective action in resp onse to the activities in question, including prosecution and imposition of sanctions  of adequate severity; or 
(iii) the vessel has changed ownership including beneficial owners hip if known to be distinct from the registered ownership and  that the new owner can establish the previous 
owner no longer has any legal, financial, or real interests in the vessel, or exercises control over it and that the new owner has not participated in IUU fishing; or 
(iv) it has taken measures considered sufficient to ensure the granting of the right to the vessel to fly its flag will not res ult in IUU fishing.... 
21. On approval of the NCP-IUU Vessel List, the Commission shall request non- Contracting Parties whose vessels appear thereon to take all necessary measures to address these 
activities, including if necessary , the withdrawal of the registration or of th e fishing licences of these vessels, the nullifi cation of the relevant catch documents and denial of further 
access to the CDS, and to inform the Commission  of the measures taken in this respect. 
22. Contracting Parties shall take all nece ssary measures, to the extent possible in accordance with their applicable laws and regulations, in order that: 
(i) the issuance of a licence to vessels on the NCP-IUU Vessel Li st to fish in waters under their fisheries jurisdiction is pro hibited; 
(ii) fishing vessels, support vessels, refuel vessels, mother-shi ps and cargo vessels flying their flag do not in any way assis t vessels on the NCP-IUU Vessel List by 
participating in any transhipment or joint fishing operations, supporting or resupplying such vessels;  
(iii) vessels on the NCP-IUU Vesse l List should be denied access to ports unless for the purpose of enfo rcement action or for r easons of force majeure  or for rendering 
assistance to vessels, or persons on those vessels, in danger or distress.  Vessels allowed entry to port are to be inspected i n accordance with relevant conservation measures;  
(iv) where port access is granted to such vessels: 
(a) documentation and other information, including DCDs where relevant are examined, with a view to verifying the area in which  the catch was taken; and where the 
origin cannot be adequately verified, the catch is detained or any landing or transhipment of the catch is refused; and  
(b) where possible  
i. in the event catch is found to be taken in contravention of CCAMLR conservation measures, catch is confiscated; 
ii. all support to such vessels, including non-emergenc y refuelling, resupplying and repairs is prohibited. 
(v) the chartering of vessels on the NCP-IUU Vessel List is prohibited;   
(vi) granting of their flag to vessels on  the NCP-IUU Vessel List is refused;   
(vii) imports, exports and re-exports of Dissostichus  spp. from vessels on the NCP-IUU Vessel List are prohibited;  
(viii) ‘Export or Re-export Government Authority Va lidation’ is not certified when the shipment (of Dissostichus  spp.) is declared to have been caught by any vessel on the 
NCP-IUU Vessel List;   
(ix) importers, transporters and other sectors concerned are encouraged to refrain from dealing with and from transhipping of f ish caught by vessels on the NCP-IUU Vessel 
List;    
(x) any appropriate information which is suitably documented is co llected and submitted to the Exec utive Secretary, to be forwa rded to Contracting Parties and non-
Contracting Parties, entities or fishing entitie s cooperating with the Commission by par ticipating in the CDS, with the aim of detecting, controlling  
and preventing the importation or exportation of, and other trad e-related activities relating to, catches from vessels on the N CP-IUU Vessel List intended to circumvent this 
conservation measure.   
30. The Commission shall decide appropriat e measures to be taken in respect to Dissostichus spp. so as to address these issues with those identified non-Contracting Parties. In 
this respect, Contracting Parties may cooperate to adopt appropri ate multilaterally agreed trade-related measures, consistent w ith their obligations as members of the World Trade 
Organization, that may be necessary to prevent, deter and eliminate the IUU activities identified by the Commission. Multilater al 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 fi shing or otherwise diminish the effectiveness of CCAMLR’s 
conservation measures which are consistent with the Un ited Nations Convention on the Law of the Sea 1982." 
Policy to Enhance Cooperation between CCAMLR and Non-Contracting Parties  (as adopted in 1998 at CCAMLR-XVII and amended in 2006 at CCAMLR-XXV) 
"I. The Executive Secr etary is requested to develop a list of non-Contracting Parties implicated in IUU fishing and or trade ei ther after the adoption of this policy or during the 
three years prior, which has undermined the effectiveness of CCAMLR conservation measures. 
 II. The Chairman of the Commission shall write to the Minister  for Foreign Affairs of each non-Contracting Party included in t he abovementioned list explaining how IUU fishing  
   WT/CTE/W/160/Rev.5
 TN/TE/S/5/Rev.3
 Page 155undermines the effectiveness of CCAMLR conservatio n measures.  The letter, as appropriate, will: 
(a) invite and encourage non-Contracting Par ties to attend as observers at meetings of  the Commission in order to improve their  understanding of the work of the Commission 
and the effects of IUU fishing; 
(b) encourage non-Contr acting Parties to accede  to the Convention; 
(c) inform non-Contracting Parties of the development and im plementation of the CCAMLR Catch Documentation Scheme for Dissostichus  spp. and provide them with a 
copy of the conservation measure and the explanatory memorandum; 
(d) encourage non-Contracting Parties to participate in the CCAMLR Catch Documentation Scheme and draw their attention to the c onsequences for them of not participating; 
(e) request non-Contracting Parties to prevent their flag vessels from fishing in the Convention Area in a manner which undermi nes the effectiveness of measures adopted by 
CCAMLR to ensure conservation and sustainably managed fisheries; 
(f) if their flag vessels are involved in IUU fishing, request non-Contracting Parties to provide information to the CCAMLR Sec retariat on their vessels’ activities, including 
catch and effort data; 
(g) seek the assistance of non-Contracting Parties in investigati ng the activities of their flag vessels suspected of being inv olved in IUU fishing, including inspecting such 
vessels when they next reach port; 
(h) request non-Contracting Parties to repo rt to the CCAMLR Secretariat on landings and transhipment s in their ports in accorda nce with the format sp ecified in Attachment 
A; and 
(i) request non-Contracting Parties to deny landing or transhipments in their ports for fish harvested in CCAMLR waters not tak en in compliance with CCAMLR 
conservation measures and requirements under the Convention."  
E. MONTREAL PROTOCOL  
 See Article 4 (in Section II above). 
 According to Article 4:8, trade restrictions do not ap ply if a non-party is in compliance with the Protocol. 
F. BASEL CONVENTION  
Article 4 – General Obligations 
"...5. A Party shall not permit hazardous wast es or other wastes to be ex ported to a non-Party or to be imported from a non-Par ty". 
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 fr om 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 an d other wastes as required by th is Convention.  These agreements  or arrangements shall stipula te provisions which are not less environmentally 
sound than those provided for by this Co nvention in particular taking  into account the interests of developing countries. 
2. Parties shall notify the Secretariat of an y 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 this Convention for them, for the pu rpose of controlling transboundary movements of hazardous wastes  and other wastes which take place entirely among 
the Parties to such agreements.  The provisions of this Convention shall not a ffect transboundary move ments which take place pu rsuant to such agreemen ts provided that such 
agreements are compatible with the environmentally s ound management of hazardous wastes an d other wastes as required by this Co nvention".  
 Parties can consent to transboundary movements with non-pa rties provided the provisions in the Convention are met.  
  WT/CTE/W/160/Rev.5 
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Page 156 
G. CBD 
 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. 
 A few non-parties have submitted reports on measures taken to  implement the CBD: Brunei Darussalam has submitted a "Report on Implementation of Programme of Work for 
the Global Taxonomy Initiative,"and the United States has submitted a "Voluntary Report on Implementation of Expanded Programme  of Work on Forests." 
H. CARTAGENA PROTOCOL  
Article 24 – Non-Parties 
"1. Transboundary movements of [LMOs] between Parties and non-Par ties shall be consistent with the objective of this Protocol.  The Parties may enter into bilateral, regional 
and multilateral agreements and arrangements with non-Parties regarding such transboundary movements. 
2. The Parties shall encourage non-Parties to  adhere to this Protocol and to contribute appropriate information to the [BCH] on  [LMOs] released in, or moved into or out of, areas 
within their national jurisdictions". 
 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 
domestic regulatory framework to imports of LMOs from non-Par ties, protect confidential inform ation 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.  
I. NAGOYA PROTOCOL  
Article 18ter: Non-Parties 
The Parties shall encourage non-Parties to adhere to this Protoc ol and to contribute appropriat e information to the Access and Benefit-sharing Clearing-House. 
J. UNFCCC 
No provisions 
K. KYOTO PROTOCOL  
No provisions 
L. ITTA 
No provisions 
 According to the ITTO Secretariat, all States that are cons idered key players are members,  except the Russian Federation. 
 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. 
M. UN FISH STOCKS AGREEMENT  
Article 33 – Non-part ies to this Agreement 
"1. States Parties shall encourag e non-parties to this Agreement to become part ies 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".  
   WT/CTE/W/160/Rev.5
 TN/TE/S/5/Rev.3
 Page 157N. ROTTERDAM CONVENTION  
Article 10 – Obligations in relation to imports of chemicals listed in Annex III 
"...9. A Party that, pursuant to paragraphs 2 and 4 above and paragraph 2 of Article 11, takes a decision not to consent to imp ort of a chemical or to consent to its import only under 
specified conditions shall, if it has not already done so, simultaneously prohibit or make subject to the same conditions:  
(a) Import of the chemical from any source ...". 
O. STOCKHOLM CONVENTION  
Article 3 – Measures to reduce or eliminate releases from intentional production and use 
"(...)2. Each Party shall take measures to ensure: (...) 
(b) That a chemical listed in Annex A for which any production or use specific exemption is in eff ect or a chemical listed in A nnex B for which any production or use specific 
exemption or acceptable purpose is in effect, taking into accou nt any relevant provisions in ex isting international prior infor med consent instruments, is exported only: 
(i) For the purpose of environmentally sound disposal as set forth in paragraph 1 (d) of Article 6; 
(ii) To a Party which is permitted to use that chemical under Annex A or Annex B;  or  
(iii) To a State not Party  to this Convention which has provided an annual certification to the exporting Party.  Such certification shall specify the in tended use of the 
chemical and include a statement that, with respect to  that chemical, the 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 shall transmit the certifica tion to the Secretariat within sixty days of receipt (...)". 
 
_______________ 
  
  
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ANNEX 1 – MEMBERSHIP IN WTO AND MEAS – COMPARATIVE TABLE  
 
Parties 
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  1 1   1 1  1 1     1 1 
Angola   1         1 1               1 1  1 1       1 
Antigua and 
Barbuda 1   1 1 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 1 1 1     1 1 
Australia 1   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   1 1       1 
Bangladesh 1   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 
Belgium 1   1 1 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 1 1 1   1  1  1 
Benin 1   1       1 1 1 1 1 1  1     1 1  1 1     1 1 
Plurinational 
State of 
Bolivia 1   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     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 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 1 1 
Burkina Faso 1   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 1     1 1  
Cambodia 1   1 1     1 1 1 1 1 1 1     1 1 1 1 1     1  
   WT/CTE/W/160/Rev.5
 TN/TE/S/5/Rev.3
 Page 159Parties 
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 
Cameroon 1    1       1 1 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 
Cape Verde 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 1     1 1 1 1 1     1  
Chad 1   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 1 
China 1 1 1 1 1 1  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 1 1 1 1   1 1 
Congo 1   1   1   1 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 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     1 1 
Cuba 1   1 1     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 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 
Djibouti 1    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     1 1 1 1     1  1 
Dominican 
Republic 1   1       1 1 1 1 1 1 1     1 1  1 1     1 1  
Ecuador 1   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 1 1     1 
El Salvador 1   1 1     1 1 1 1 1 1 1     1 1 1 1     1 1   
  WT/CTE/W/160/Rev.5 
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Page 160 
Parties 
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 
Estonia 1   1 1 1   1 1 1 1 1 1 1 1   1 1 1 1   1 1 1 
European 
Union 1 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 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 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   1   1 1 
Gambia     1       1 1 1 1 1 1 1 1   1 1 1 1     1 1 
Georgia 1   1 1     1 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 1   1 1 
Greece 1   1 1 1 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   1 1 
Guinea 1 1 1       1 1 1       1     1 1 1 1   1 1 1 
Guinea-Bissau 1   1 1     1 1 1 1 1 1 1     1 1  1 1      1 1 
Guyana 1   1 1 1   1 1 1 1 1 1 1     1 1 1 1 1   1 1  
Haiti 1           1 1 1 1 1         1   1 1         
Honduras 1 1 1       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   1 1 1 
Iceland 1 1 1 1 1   1 1 1 1 1 1 1     1   1 1   1   1  
   WT/CTE/W/160/Rev.5
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 Page 161Parties 
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 
India 1   1 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 1 1 1 1   1  
Ireland 1   1 1 1   1 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 1   
Jamaica 1   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 1 
Jordan 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 1  1 
Korea, 
Republic of 1 1 1 1 1 1 1 1 1 1 1 1 1     1 1  1 1 1 1 1 1 
Kuwait 1   1 1     1 1 1 1 1 1 1 1   1   1 1     1 1 
Kyrgyzstan 1   1 1     1 1 1 1 1 1  1     1 1 1 1     1 1 
Latvia 1   1 1 1   1 1 1 1 1 1 1 1   1 1 1 1   1 1 1 
Lesotho     1 1     1 1 1 1 1 1 1     1 1 1 1     1 1 
Liechtenstein     1 1 1   1 1 1 1 1 1 1 1   1   1 1     1 1 
Lithuania 1   1 1 1   1 1 1 1 1 1 1 1   1 1 1 1   1  1 1 
Luxembourg 1   1 1 1   1 1 1 1 1 1 1 1   1 1 1 1 1 1 1 1 
Macao, China                                               
Madagascar 1    1 1 1   1 1 1 1 1 1 1     1 1 1 1     1 1 
Malawi 1   1   1   1 1 1 1 1 1 1     1 1 1 1     1  1 
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   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   1     
Mauritania 1 1 1 1     1 1 1 1 1     1     1 1 1 1      1  1  
Mauritius 1   1 1 1 1 1 1 1 1 1 1 1 1   1 1 1 1   1 1 1  
  WT/CTE/W/160/Rev.5 
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Parties 
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 
Mexico 1 1 1 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 1     1 1 
Mongolia 1   1 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 
Mozambique 1    1       1 1 1 1 1  1  1     1 1 1 1   1 1 1  
Myanmar 1   1 1     1 1 1 1           1 1  1 1 1     1 
Namibia 1  1 1 1   1 1 1 1 1 1  1 1     1 1 1 1   1 1  1 
Nepal 1   1 1     1 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 
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  1 
Niger 1   1 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 1 
Norway 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 1 1 1   1  1 1 
Pakistan 1   1 1     1 1 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 1 
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 1 
Peru 1   1 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 1 1   1 1 
Poland 1   1 1 1 1 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 1 1 
Qatar 1    1 1     1 1 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 1 1 
Rwanda 1   1 1 1   1 1 1 1 1 1 1     1 1 1 1     1 1  
   WT/CTE/W/160/Rev.5
 TN/TE/S/5/Rev.3
 Page 163Parties 
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 
Saint Kitts 
and Nevis 1   1 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   1 
Saint Vincent 
and the 
Grenadines 1 1  1 1     1 1 1 1 1 1  1     1 1 1 1 
     1  1 
The Kingdom 
of Saudi 
Arabia 1   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       1 
Singapore 1   1       1 1 1 1 1 1  1     1   1 1      1 1 
Slovakia 1    1 1 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 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 
Sri Lanka 1   1   1   1 1 1 1 1 1 1 1   1 1 1 1   1 1 1 
Suriname 1   1 1     1 1 1 1  1 1        1 1 1 1 1   1   
Swaziland 1   1 1     1 1 1 1 1  1 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 
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 1 
Thailand 1   1       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 
Tonga 1           1 1 1 1 1 1 1      1 1 1 1    1 1  1   
  WT/CTE/W/160/Rev.5 
TN/TE/S/5/Rev.3 
Page 164 
Parties 
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 
Trinidad and 
Tobago 1 1 1 1 1   1 1 1 1 1 1 1 1   1 1 1 1 1  11   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 1       1  
Uganda 1    1 1 1   1 1 1 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 1   1 1 1 
United Arab 
Emirates 1   1 1     1 1 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 
United States 
of America 1 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 
Bolivarian 
Republic of 
Venezuela 1 1 1   1   1 1 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 1 1     1 1 
Zambia 1   1       1 1 1 1 1 1  1     1 1 1 1        1 
Zimbabwe     1 1 1   1 1 1 1           1 1 1 1         
Total Number 
of WTO 
Members 
party to the 
MEA 143 41 144 115 80 31 150 150 148 147 139 127 139 62 6 151 130 150 149 58 62 121 139  
   WT/CTE/W/160/Rev.5
 TN/TE/S/5/Rev.3
 Page 165Parties 
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 
Non-WTO Members  
Afghanistan     1       1 1 1 1 1 1 1      1   1           
Algeria 1 1 1       1 1 1 1 1  1  1     1 1 1 1        1 
Andorra             1 1  1 1 1 1 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 1   1     
Belarus 1   1 1     1 1 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 1  1 1     1 1  
Comoros 1    1 1     1 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 1 
Equatorial 
Guinea 1 1 1 1     1 1 1 1 1 1 1     1   1 1     1   
Eritrea 1   1 1 1   1 1  1  1 1  1 1     1 1 1 1     1 1  
Ethiopia 1   1 1     1 1 1 1 1 1 1 1 1 1 1 1       1 1 
Holy See 
(Vatican)       1 1 1 1 1 1            
Iran 1   1 1     1 1 1 1 1   1     1 1 1 1    1 1 1 
Iraq 1           1 1 1 1 1 1           1 1         
Kazakhstan     1 1     1 1 1       1     1 1  1 1      1 1 
Kiribati             1 1 1 1 1 1 1     1 1 1 1   1    1 
Lao People's 
Democratic 
Republic 1   1 1     1 1 1 1  1  1 1     1 1 1 1     1 1 
  
  WT/CTE/W/160/Rev.5 
TN/TE/S/5/Rev.3 
Page 166 
Parties 
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 
Lebanon 1           1 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 1 1 1 
Libyan Arab 
Jamahiriya 1 1 1 1     1 1 1 1     1     1 1 1 1     1 1 
Marshall 
Islands             1 1 1 1 1 1 1     1 1 1 1   1 1 1 
Micronesia, 
Federated 
States of 1            1 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   1 
Montenegro 1  1 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 1   1   1 
Palau 1   1 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 1   1     
Samoa 1   1 1 1    1 1 1 1 1 1 1     1 1 1 1   1 1 1 
San Marino     1  1     1  1 1 1 1 1        1   1 1         
Sao Tome and 
Principe 1 1 1 1     1 1 1 1 1 1       1   1 1        1 
Serbia  1   1 1     1 1 1  1 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 1       1   1     1 1 
Sudan 1   1       1 1 1 1 1 1 1     1 1 1 1     1  1 
Syrian Arab 
Republic 1 1 1 1     1 1 1 1 1   1 1 1 1 1 1 1     1 1 
Tajikistan 1           1 1 1 1 1  1        1 1 1 1       1 
Timor-Leste       1 1 1 1 1 1    1  1 1     
Turkmenistan             1 1 1 1  1 1 1     1 1  1 1          
   WT/CTE/W/160/Rev.5
 TN/TE/S/5/Rev.3
 Page 167Parties 
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 
Tuvalu 1            1 1 1 1 1 1       1   1 1   1   1 
Uzbekistan     1 1 1   1 1 1 1 1 1 1     1   1 1         
Vanuatu 1 1 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  1 1     1 1  
  WT/CTE/W/160/Rev.5 
TN/TE/S/5/Rev.3 
Page 168 
Parties 
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 non-WTO 
Members 
party to the 
MEA 34 7 31 26 7 3 46 46 47 45 43 39 36 7 4 42 30 44 44 2 15 19 33 
Total Number 
of MEA 
Members 177 48 175 141 87 34 196 196 195 192 182 166 175 69 10 193 160 194 193 60 77 140 172 
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