WORLD TRADE ORGANIZATION  
ORGANISATION MONDIALE DU COMMERCE  
ORGANIZACIÓN MUNDIAL DEL COMERCIO  WT/CTE/W/116 
28 June 1999 
 (99-2496) 
Committee on Trade and Environment Original:   English/ 
 anglais/  inglés 
 
 
 
COMMUNICATION FROM THE SECRETARIAT OF THE CONVENTION ON 
BIOLOGICAL DIVERSITY 
 
 The attached background note
1 has been received from the Se cretariat of the Convention on 
Biological Diversity.  It is being circulated to members of the CTE in preparation for the Committee 
Meeting on Trade and Environment to be held on 29-30 June 1999.  
 
 
 
Comité du commerce et de l'environnement 
 
 
 
COMMUNICATION DU SECRÉTARIAT DE LA CONVENTION 
SUR LA DIVERSITÉ BIOLOGIQUE 
 
 
 La note d'information ci-jointe1 a été reçue du Secrétariat de la Convention sur la diversité 
biologique.  Elle est distribuée aux membres du Com ité du commerce et de l'environnement en vue de 
la réunion que le Comité tiendra les 29 et 30 juin 1999.  
 
 
 
Comité de Comercio y Medio Ambiente 
COMUNICACIÓN DE LA SECRETARÍA DEL CONVENIO 
SOBRE LA DIVERSIDAD BIOLÓGICA 
 La Secretaría del Convención sobre la Diversid ad Biológica ha enviado el documento de base 
adjunto1, que se distribuye a los miembros del CCMA como  parte de los preparativos para la reunión 
sobre comercio y medio ambiente que el Comité celebrará los días 29 y 30 de junio de 1999. 
 
 
                                                      
1 English only/En anglais seulement/En inglés solamente. WT/CTE/W/116 
Page 2  
 
RESPONSE OF THE EXECUTIVE SECRE TARY OF THE CONVENTION ON 
BIOLOGICAL DIVERSITY TO THE REQU EST OF THE CAIR OF THE COMMITTEE ON 
TRADE AND ENVIRONMENT 
 
I. MEMBERSHIP 
A. W
HICH COUNTRIES ARE PARTY TO THE MEA? 
1. There are 175 Parties to the Convention on Biological Diversity.  A list of those Parties is 
contained in the Annex to this document. 
B. WHO, IN YOUR VIEW , ARE “KEY PLAYERS ’ THAT ARE NOT YET PARTY TO THE MEA? 
2. The objectives of the Convention are the conser vation of biological diversity, the sustainable 
use of its components and the fair and equitable sh aring of the benefits arising out of the use of 
genetic resources.  Accordingly, countries which c ontain significant amounts of biological diversity or 
important elements of this diversity may be c onsidered as having a “key role” to play in the 
Convention and are thus “key players”.  Moreover, in light of the latter objective, those countries which use or import biological di versity derived products are also important.  Under these criteria all 
states that are not Parties to the Convention are in the view of the Secretariat ‘“key players” that are 
not yet party to the MEA’. 
C. W
HO ARE THE NON -PARTIES THAT ARE IN COMPLIANCE WITH THE MEA  AND WHY HAVE 
THEY NOT JOINED ? 
3. The Convention does not have a compliance pro cedure.  Formal assessment of Parties or non-
Parties compliance with the Convention has not occurred.  
4. Article 26 of the Convention does, however, re quire Parties to presen t to the Conference of 
the Parties, reports on measures which they have ta ken to implement the provisions of the Convention 
and their effectiveness in meeting the objectives of the Convention.  The Conference of the Parties 
requested that Parties submit their first report by 31 December 1998.  In the absence of any compliance procedure, information regarding Par ties' compliance with the Convention derives from 
their reports. One non-Party has submitted a report. 
5. The Secretariat is aware of a variety of reasons why states have not become Parties to the 
Convention.  Some non-Parties are currently undertaki ng the process of ratification and expect to have 
this completed in due course.  Others are experiencing a level of domestic difficulties that prevent the necessary action to ratify the Convention.  In ot her countries the necessary public or political support 
does not exist. 
II. TRADE MEASURES 
A. W
HAT ARE THE TRADE MEASURES (EXISTING AND PROPOSED ) IN THE MEA? 
6. The text of the Convention does not explicitly refer to trade measures.  Nor does the 
Convention generally prescribe specific measures.  The provisions of the Convention, with a few 
exceptions, set goals.  The specific measures re quired to achieve these goals are largely the 
prerogative of Parties. 
7. The Convention does, however, contain a number  of provisions that are generally understood 
to require measures by Parties that could have c onsequences for trade.  Provisions of the Convention 
that are often characterized in this way include:   WT/CTE/W/116 
 Page 3 
 
 
(a) Paragraph (b), Article 6 whic h calls upon Parties to “[i]nteg rate, as far as possible and 
as appropriate, the conservation and sustai nable use of biological diversity into 
relevant sectoral or cross-sectoral plans, programme and policies”; 
(b) Paragraph (c), Article 7 which calls upon Par ties to “[i]dentify pr ocess and categories 
of activities which have or are likely to  have significant adverse impacts on the 
conservation and sustainable use of biological  diversity, and monitor their effects”.  
Paragraph (l), Article 8 then provides that Parties shall as far as possible “regulate or manage the relevant processes and categories of activities” so identified; 
(c) Paragraph (b), Article 10 provides that Par ties shall “[a]dopt measures relating to the 
use of biological resources to avoid or  minimize adverse impacts on biological 
diversity”; 
(d) Article 11 calls upon Parties to “adopt econom ically and socially sound measures that 
act as incentives for conservation and sustainable use of components of biological diversity”; 
(e) Article 14 requires Parties to introduce environmental impact assessment procedures; 
(f) Article 15, which establishes a basis for the regime use of genetic resources based on 
the fair and equitable distribution of their use; 
(g) Articles 16 and 19 require Parties to take me asures to promote the transfer of relevant 
technologies; and  
(h) Paragraph 3 of Article 19 require Parties to consider the need for a protocol on 
biosafety. 
8. How these and other aspects of the Convention rela te to the issue of trade measures in general 
and the World Trade Organization (WTO) regime in pa rticular has been described by the Secretariat 
to previous sessions of the Committee on Trade and Environment (CTE), (see documents WT/CTE/W/64 and WT/CTE/W/92). 
B. H
AVE ANY DECISIONS BEEN TAKEN THAT  CONTAIN ADDITIONAL TRADE MEASURES ? 
9. The last ordinary meeting of the Conference of  the Parties was in May 1998.  The Secretariat 
submitted the decisions of this meeting along with a summary of those aspects of the decisions that are relevant to trade measures in document WT/CTE/W/92.   
10. A summary of previous decisions of the C onference of the Parties was made in document 
W/CTE/W/64. 
11. Since then the Conference of the Parties had an  extraordinary meeting to consider a draft text 
for a protocol on biosafety.  The results  of this meeting are described below. 
C. H
AVE NON -COMPLIANCE PROCEDURES BEEN ENFORCED ON PARTIES ? 
12. The Convention does not establish a formal “compliance” procedure.  As explained above 
Parties are, however, required to report on the measu res they have taken to implement the Convention 
and their effectiveness.  In many of these reports Parties have indicated that further measures are 
required in order to fully implement th e Convention and /or meet its objectives. WT/CTE/W/116 
Page 4  
 
13. Moreover, the Convention c ontains numerous mechanisms and provisions intended to assist 
developing country Parties implement the Convention.   An important aspect of these commitments is 
the financial resources provided by the financial mech anism to developing country Parties.  Article 5 
also provides that Parties shall cooperate either  directly or through competent international 
organisations. Further detail regarding such mechanisms is given below. 
14. The Convention also contains a procedure for settling disputes between Parties (Article 27 
and Annex II).  
D. H
AVE THE TRADE MEASURES ASSISTED IN AC HIEVING THE OBJECTIVES OF YOUR AGREEMENT , 
AND WHY ? 
15. Trade measures are a significant tool for achie ving the aims of the Convention in a number of 
ways.   
16. At the international level, the Conference of the Parties has considered trade measures in a 
number of decisions.  One important example in this respect is the impact that trade measures and the international trading regime has had on the negotiati ons for the biosafety protocol (considered below). 
17. Another important example of the effect of trade measures on the development of the 
Convention is seen in the work of the Conference of the Parties with respect to  agricultural biological 
diversity.  Decision III/11 on conservation and sustai nable use of agricultural biological diversity 
establishes a multi-year programme of activities.  The aim of this programme is to promote the 
positive effects and mitigate the negative impacts of agricultural practices on biological diversity.  It 
also hopes to promote the conservation and sustainabl e use of genetic resources of actual or potential 
value for food and agriculture and the fair and equita ble sharing of benefits arising out of the use of 
genetic resources.  In this decision the Conferen ce of the Parties acknowledged the importance that 
trade measures will play in achieving these aims.  Accordingly, the Conference of the Parties 
encouraged the WTO through its Committee on Trad e and Environment to consider developing a 
better appreciation of the relationship between trad e and agricultural biodiversity.  The Conference of 
the Parties at its fourth meeting reconfirmed th e importance of trade measures by requesting the 
Secretariat to apply for observer status in the WTO Committee on Agriculture. 
18. Numerous Parties have indicated in their nati onal reports that they have considered the role 
that trade measures can play in ach ieving the aims of the Convention.  Several have stated that they 
have taken trade measures to implement the aims of the Convention. 
E. D
OES THE MEA  CONTAIN INCENTIVES TO ENCOURAGE COUNTRIES TO JOIN , AS WELL AS 
FACILITATE IMPLEMENTATION ? (EXAMPLE : TECHNOLOGY TRANSFER , MARKET INCENTIVES , 
CAPACITY BUILDING ) 
19. The Convention, like the other UNCED agre ements, recognizes that to achieve its aim 
developing countries need to be able to participat e fully and effectively in the process.  Due to 
capacity restraints most developing country Par ties need assistance to ratify the Convention, 
implement its provisions and participate in its decision-making processes. 
20. The fact that most biological diversity resides within developing countries has meant that the 
Convention contains an extensive array of prov ision addressing these needs.  For example, the 
Convention contains provisions addressing: transfer  of technology (e.g. Articles 16 and 19), market 
incentives (e.g. Articles 10 and 11), capacity buildin g (e.g. Articles 12 and 18), financial support for 
implementing the Convention (Articles 20 and 21), as well as participating in its decision-making 
(e.g. decision IV/17, Table 4, Special Voluntary Tr ust Fund for the Facilitating Participation of Parties 
in the Convention Process for the Biennium 1999-2000), awareness raising (e.g. Article 13), scientific 
and technical cooperation (e.g. Article 18), research and training (e.g. Article 12),  exchange of  WT/CTE/W/116 
 Page 5 
 
 
information (e.g. Article 17), sustainable use of biological diversity (e.g. Article 10) and incentive 
measures (e.g. Article 11). 
21. Indeed, the whole approach of the Conven tion is based on the principle of common but 
differentiated responsibility, as defined in para graph 4 of Article 20, which provides that: 
‘the extent to which developing country Parti es will effectively implement their commitments 
under this Convention will depend on the effec tive implementation by developed country 
Parties of their commitments under this Conventio n related to financial resources and transfer 
of technology and will take fully into account th e fact that economic and social development 
and eradication of poverty are the first and ov erriding priorities of the developing country 
Parties’.  
F. HOW HAVE THESE INCENTIVES WORKED AND WHO HAS FUNDED THEM ? 
22. The Convention has been ratified by 175 Parties and enjoys almost universal support from 
developing and developed countries.  By this me asure the incentives to join the Convention have 
proved effective. 
23. Assessing the effectiveness of  such measure in facilitating im plementation is a much more 
difficult and complex task.  National reports on the implementation of the Convention have been 
received from 111 Parties and one non-Party.  A prelim inary synthesis of the information contained in 
these reports was provided to the fourth meeting of the Conference of the Parties in document 
UNEP/CBD/COP/4/11/Rev.1.  The main conclusion of  this document is that implementation of the 
Convention at the national level has been initiated in most countries and attention has also been given 
to regional cooperation.  In the vast majority of  countries national biodiversity strategies and action 
plans are being developed.  The successful develo pment and implementation of national biodiversity 
strategies and action plans is clearly linked to ot her key provisions of the Convention, the most 
prominent of which are public education and aw areness and the adoption of appropriate incentive 
measures.  The national reports identify the need for continued technical and financial support for 
both the planning and implementation phases.  These needs involve capacity building, the sharing of 
information and experiences, and access to  expertise and financial resources. 
24. The financial mechanism of the Convention h as played an important role in addressing these 
needs and providing incentives to Parties to join and implement the Convention.  The mechanism is 
operated by the Global Environment Facility (GEF) a nd is funded by contributions from states.  The 
GEF in its capacity as the financial mechanism h as approved projects amounting to over $600m.  The 
Conference of the Parties undertook its first review  of the effectiveness financial mechanism at its 
fourth meeting.  The results of this review are contained in decision IV/11.  The Conference of the 
Parties, although welcoming the efforts made to date by the GEF, did recognize that further 
improvements are needed for the effectiveness of th e financial mechanism.  In this respect the 
Conference of the Parties made a number of recommendations of a procedural nature for the GEF. 
25. Paragraph 3 of Article 20 provides that devel oped country Parties may also provide financial 
resources related to the implementation of the Co nvention, through bilate ral, regional and other 
multilateral channels.  The Conference of the Parties requested Parties to include information on their 
financial support for the objectives of the Conventi on in their national reports.  The information 
provided by developed country Parties in their natio nal reports illustrates that the level of financial 
support provided bilaterally to deve loping country Parties is several times that provided through the 
GEF.  These levels are even more significant in an environment of declin ing overall levels of aid 
assistance and indicate that biological diversity remains an important issue.  It should be noted that 
funding from national budgets for domestic measures are considerably more than the support provided 
bilaterally and the GEF. WT/CTE/W/116 
Page 6  
 
26. The obligation to support such incentives not  only falls on developed country Parties: the 
Convention also contains referenc es to international organisation a nd private entities.  For example, 
Article 5 provides that Parties shall cooperate wh ere appropriate through competent international 
organizations to achieve the purpose of the Convention.  Paragraph 4 of Article 21 provides that Parties “shall consider strengthening existing financ ial institutions to provide financial resources for 
the purposes of the Convention”.  
27. Specific references to the private sector  are found in paragraph (e) of Article 10 on 
sustainable use of components of biological diversity, paragraph 4 of Article 16 on access to and transfer of technology and paragraph 4 of Article  19 on handling of biotechnology and distribution of 
its benefits. 
III. DISPUTE SETTLEMENT 
A. H
AS IT BEEN USED IN MATTERS DEALING WITH TRADE ? 
28. The dispute settlement mechanism of the Conve ntion, as provided in Article 27, has not been 
used for the settlement of matters deal ing with trade or any other matter. 
IV. BIOSAFETY PROTOCOL 
29. Paragraph 3, Article 19 of the Convention re quires Parties to consider the need for and 
modalities of a protocol setting out appropriate proce dures, including, in particular, advance informed 
agreement, in the field of the safe transfer, handli ng and use of any living modified organism resulting 
from biotechnology that may have adverse effect on th e conservation and sustainable use of biological 
diversity. 
30. Decision II/5 of the Conference of The Par ties established the Open-ended Ad Hoc Working 
Group on Biosafety to negotiate a protocol to a ddress the concerns of Parties on those matters.   
31. The Group met six times and reported the results of its work to the first extraordinary meeting 
of the Conference of the Parties on 22 February 1999.   
32. The Working Group agreed to forward to the C onference of the Parties for its consideration, 
as a package, the draft ar ticles proposed by the Chair of the Group as revised by the Legal Drafting 
Group.  The Chair agreed to convey the outstanding concerns of the Parties to the Conference of the 
Parties as well. 
33. The Open-ended Ad Hoc Working Group on Biosafety provisionally adopted following 
articles of the draft protocol: 16, on competent na tional authorities and national focal points; 19, on 
capacity-building; 26, on financial mechanism a nd resources; 27, on the Conference of the Parties 
serving as the meeting of the Parties; 28, on subsidia ry bodies and mechanisms; 29, on the secretariat; 
30, on the relationship with the Convention; 32, on monitoring and reporting; 33, on compliance; 34, 
on assessment and review; 35, on signature; article 36 , on entry into force; 38,  on withdrawal; and 39, 
on authentic texts.  In addition, the Working Group had also provisionally adopted, under article 3, on 
the use of terms, the definitions of the terms "e xporter", "importer", "living modified organism", 
"living organism", "modern biotechnology", and "regi onal economic integration or ganisation".  It also 
provisionally adopted annex I on information re quired in notifications and annex II on risk 
assessment. 
34. The Conference of the Parties used the package as the basis fo r further discussion and 
negotiation.  Consensus among the Parties on the draft text was not achieved.    WT/CTE/W/116 
 Page 7 
 
 
35. The Conference of the Parties therefore decide d to suspend its first extraordinary meeting and 
to reconvene later.  The Conference of the Parti es agreed that the meeting should be reconvened as 
soon as possible and in any event no latter than the fifth meeting of the Conference of the Parties, 
which is scheduled for May 2000.  The specific date and venue are to be determined by the President 
of meeting and the Bureau of the Conference of the Parties.  Subsequently, some Parties have 
indicated that the meeting should not be resumed until it is clear that consensus on a protocol is 
possible. 
36. The Conference of the Parties decided to transmit the text of the draft protocol as proposed by 
the Open-ended Ad Hoc Working Group on Biosafety as well as the statements with respect to the 
text of the draft protocol contained in that report, to the resumed session of the extraordinary meeting. 
37. The Conference of the Parties stressed the importance of concentrating on reaching a 
satisfactory resolution at the resumed session on the core issues and related issues as contained in the 
draft report of the first part of the meeting. The co re issues and related issues that remained before the 
first extraordinary meeting of the Conference of the Parties, as identified in informal consultations 
under the chairmanship of the President and reported in the report of the meeting were articles: 4 on 
scope, 5 on application of the advanced informed  agreement procedure, 6 on notification, 15 on 
handling, transport, packaging and identificati on, 21 on non-Parties, 22 on non-discrimination, 23 on 
illegal transboundary movements, 24 on socio-economic  considerations and 31  on relationship with 
other international agreements.  It was agreed by all the negotiating groups at the meeting that the 
essential core issues were articles: 4 on scope, 5 on a pplication of the advanced informed agreement 
procedure and 31 on relationship with  other international agreements. WT/CTE/W/116 
Page 8  
 
ANNEX I 
  
CONVENTION ON BIOLOGICAL DIVERSITY  
 
Opened for signature at Rio de Janeiro on 5 June 1992  
 
Entry Into Force:  29 December 1993, in accordance with Article 36 (1).  
 
Registration:  29 December 1993, No. 30619.  
 
  
TEXT:  Doc. UNEP/Bio.Div/N7-INC.5/4 and depos itary notification C.N.393.1993.TREATIES-11 of 
7 February 1994 ( procès-verbal  of rectification of the authentic English text); and 
C.N.329.1996.TREATIES-2 of 18 March 1996 ( procès-verbal  of rectification of the authentic Arabic 
text).   STATUS:  Signatories: 168. Parties: 175.   Note:  The Convention was adopted by the Intergovernmental Negotiating Committee for a 
Convention on Biological Diversity, during its Fifth session, held at Nairobi from 11 to 22 May 1992.  
The Convention was open for signature at Rio de  Janeiro by all States and regional economic 
integration organizations from 5 June 1992 un til 14 June 1992, and remained open at the 
United Nations Headquarters in New York until 4 June 1993.  
 
Table I 
Participant Signature  Ratification  
Accession  (a) 
Acceptance  (A) 
Approval  (AA) 
Afghanistan  12 Jun 1992  
Albania  5 Jan 1994 (a) 
Algeria  13 Jun 1992 
14 Aug 1995  
Angola  12 Jun 1992 
1 Apr 1998  
Antigua and Barbuda  5 Jun 1992 
9 Mar 1993  
Argentina  12 Jun 1992 
22 Nov 1994  
Armenia  13 Jun 1992 
14 May 1993 (A) 
Australia  5 Jun 1992  
Austria  13 Jun 1992 
18 Aug 1994  
Azerbaijan  12 Jun 1992  
Bahamas  12 Jun 1992 
2 Sep 1993  
Bahrain  9 Jun 1992 
30 Aug 1996  
Table I (cont'd)  WT/CTE/W/116 
 Page 9 
 
 
Participant Signature  Ratification  
Accession  (a) Acceptance  (A) 
Approval  (AA) 
Bangladesh  5 Jun 1992 
3 May 1994  
Barbados  12 Jun 1992 
10 Dec 1993  
Belarus  11 Jun 1992 
8 Sep 1993  
Belgium  5 Jun 1992 
22 Nov 1996  
Belize  13 Jun 1992 
30 Dec 1993  
Benin  13 Jun 1992 
30 Jun 1994  
Bhutan  11 Jun 1992 
25 Aug 1995  
Bolivia  13 Jun 1992 
3 Oct 1994  
Botswana  8 Jun 1992 
12 Oct 1995  
Brazil  5 Jun 1992 
28 Feb 1994  
Bulgaria  12 Jun 1992 
17 Apr 1996  
Burkina Faso  12 Jun 1992 
2 Sep 1993  
Burundi   11 Jun 1992 
15 Apr 1997  
Cambodia  9 Feb 1995 (a) 
Cameroon  14 Jun 1992 
19 Oct 1994  
Canada  11 Jun 1992 
4 Dec 1992  
Cape Verde  12 Jun 1992 
29 Mar 1995  
Central African Republic  13 Jun 1992 
15 Mar 1995  
Chad  12 Jun 1992 
7 Jun 1994  
Chile  13 Jun 1992 
9 Sep 1994  
China  11 Jun 1992 
5 Jan 1993  
Colombia  12 Jun 1992 
28 Nov 1994  
Comoros  11 Jun 1992 
29 Sep 1994  
Congo  11 Jun 1992 
1 Aug 1996  
Cook Islands  12 Jun 1992 
20 Apr 1993  
Costa Rica  13 Jun 1992 
26 Aug 1994  
Table I (cont'd) WT/CTE/W/116 
Page 10  
 
Participant Signature  Ratification  
Accession  (a) Acceptance  (A) 
Approval  (AA) 
Côte d'Ivoire  10 Jun 1992 
29 Nov 1994  
Croatia  11 Jun 1992 
7 Oct 1996  
Cuba  12 Jun 1992 
8 Mar 1994  
Cyprus  12 Jun 1992 
10 Jul 1996  
Czech Republic  4 Jun 1993 
3 Dec 1993 (AA) 
Democratic People's Republic of Korea  11 Jun 1992 
26 Oct 1994 (AA) 
Democratic Republic of the Congo  11 Jun 1992 
3 Dec 1994  
Denmark  12 Jun 1992 
21 Dec 1993  
Djibouti  13 Jun 1992 
1 Sep 1994  
Dominica  6 Apr 1994 (a) 
Dominican Republic  13 Jun 1992 
25 Nov 1996  
Ecuador  9 Jun 1992 
23 Feb 1993  
Egypt  9 Jun 1992 
2 Jun 1994  
El Salvador  13 Jun 1992 
 8 Sep 1994  
Equatorial Guinea  6 Dec 1994 (a) 
Eritrea  21 Mar 1996 (a) 
Estonia  12 Jun 1992 
27 Jul 1994  
Ethiopia  10 Jun 1992 
5 Apr 1994  
European Community  13 Jun 1992 
21 Dec 1993 (AA) 
Fiji  9 Oct 1992 
25 Feb 1993  
Finland  5 Jun 1992 
27 Jul 1994 (A) 
France  13 Jun 1992 
1 Jul 1994  
Gabon  12 Jun 1992 
14 Mar 1997  
Gambia  12 Jun 1992 
10 Jun 1994  
Georgia  2 Jun 1994 (a) 
Germany  12 Jun 1992 
21 Dec 1993  
Ghana  12 Jun 1992 
29 Aug 1994  
Table I (cont'd)  WT/CTE/W/116 
 Page 11 
 
 
Participant Signature  Ratification  
Accession  (a) Acceptance  (A) 
Approval  (AA) 
Greece  12 Jun 1992 
4 Aug 1994  
Grenada  3 Dec 1992 
11 Aug 1994  
Guatemala  13 Jun 1992 
10 Jul 1995  
Guinea  12 Jun 1992 
7 May 1993  
Guinea-Bissau  12 Jun 1992 
27 Oct 1995  
Guyana  13 Jun 1992 
29 Aug 1994  
Haiti  13 Jun 1992 
25 Sep 1996  
Honduras  13 Jun 1992 
31 Jul 1995  
Hungary  13 Jun 1992 
24 Feb 1994  
Iceland  10 Jun 1992 
12 Sep 1994  
India  5 Jun 1992 
18 Feb 1994  
Indonesia  5 Jun 1992 
23 Aug 1994  
Iran (Islamic  Republic of)  14 Jun 1992 
6 Aug 1996  
Ireland  13 Jun 1992 
22 Mar 1996  
Israel  11 Jun 1992 
7 Aug 1995  
Italy  5 Jun 1992 
15 Apr 1994  
Jamaica  11 Jun 1992 
6 Jan 1995  
Japan  13 Jun 1992 
28 May 1993 (A) 
Jordan  11 Jun 1992 
12 Nov 1993  
Kazakhstan  9 Jun 1992 
6 Sep 1994  
Kenya  11 Jun 1992 
26 Jul 1994  
Kiribati  16 Aug 1994 (a) 
Kuwait  9 Jun 1992  
Kyrgyzstan  6 Aug 1996 (a) 
Lao People's Democratic Republic  20 Sep 1996 (a) 
Latvia  11 Jun 1992 
 14 Dec 1995  
Lebanon  12 Jun 1992 
15 Dec 1994  
Table I (cont'd) WT/CTE/W/116 
Page 12  
 
Participant Signature  Ratification  
Accession  (a) Acceptance  (A) 
Approval  (AA) 
Lesotho  11 Jun 1992 
10 Jan 1995  
Liberia  12 Jun 1992  
Libyan Arab Jamahiriya  29 Jun 1992  
Liechtenstein  5 Jun 1992 
19 Nov 1997  
Lithuania  11 Jun 1992 
1 Feb 1996  
Luxembourg  9 Jun 1992 
9 May 1994  
Madagascar  8 Jun 1992 
4 Mar 1996  
Malawi  10 Jun 1992 
2 Feb 1994  
Malaysia  12 Jun 1992 
24 Jun 1994  
Maldives  12 Jun 1992 
 9 Nov 1992  
Mali  30 Sep 1992 
29 Mar 1995  
Malta  12 Jun 1992  
Marshall Islands  12 Jun 1992 
 8 Oct 1992  
Mauritania  12 Jun 1992 
16 Aug 1996  
Mauritius  10 Jun 1992 
4 Sep 1992  
Mexico  13 Jun 1992 
11 Mar 1993  
Micronesia (Federated St ates of)  12 Jun 1992 
20 Jun 1994  
Monaco  11 Jun 1992 
20 Nov 1992  
Mongolia  12 Jun 1992 
30 Sep 1993  
Morocco  13 Jun 1992 
21 Aug 1995  
Mozambique  12 Jun 1992 
25 Aug 1995  
Myanmar  11 Jun 1992 
25 Nov 1994  
Namibia  12 Jun 1992 
16 May 1997  
Nauru  5 Jun 1992 
11 Nov 1993  
Nepal  12 Jun 1992 
23 Nov 1993  
Netherlands  5 Jun 1992 
12 Jul 1994 (A) 
New Zealand  12 Jun 1992 
16 Sep 1993  
Table I (cont'd)  WT/CTE/W/116 
 Page 13 
 
 
Participant Signature  Ratification  
Accession  (a) Acceptance  (A) 
Approval  (AA) 
Nicaragua  13 Jun 1992 
20 Nov 1995  
Niger  11 Jun 1992 
25 Jul 1995  
Nigeria  13 Jun 1992 
29 Aug 1994  
Niue  28 Feb 1996 (a) 
Norway  9 Jun 1992 
9 Jul 1993  
Oman  10 Jun 1992 
 8 Feb 1995  
Pakistan  5 Jun 1992 
26 Jul 1994  
Palau  6 Jan 1999 (a) 
Panama  13 Jun 1992 
17 Jan 1995  
Papua New Guinea  13 Jun 1992 
16 Mar 1993  
Paraguay  12 Jun 1992 
24 Feb 1994  
Peru  12 Jun 1992 
7 Jun 1993  
Philippines  12 Jun 1992 
8 Oct 1993  
Poland  5 Jun 1992 
18 Jan 1996  
Portugal  13 Jun 1992 
21 Dec 1993  
Qatar  11 Jun 1992 
 21 Aug 1996  
Republic of Korea  13 Jun 1992 
3 Oct 1994  
Republic of Moldova  5 Jun 1992 
20 Oct 1995  
Romania  5 Jun 1992 
17 Aug 1994  
Russian Federation  13 Jun 1992 
5 Apr 1995  
Rwanda  10 Jun 1992 
29 May 1996  
Saint Kitts and Nevis  12 Jun 1992 
 7 Jan 1993  
Saint Lucia  28 Jul 1993 (a) 
Saint Vincent and the Grenadines  3 Jun 1996 (a) 
   
Samoa  12 Jun 1992 
9 Feb 1994  
San Marino  10 Jun 1992 
28 Oct 1994  
Sao Tome and Principe  12 Jun 1992  
Table I (cont'd) WT/CTE/W/116 
Page 14  
 
Participant Signature  Ratification  
Accession  (a) Acceptance  (A) 
Approval  (AA) 
Senegal  13 Jun 1992 
 17 Oct 1994  
Seychelles  10 Jun 1992 
22 Sep 1992  
Sierra Leone  12 Dec 1994 (a) 
Singapore  10 Mar 1993 
21 Dec 1995  
Slovakia  19 May 1993 
25 Aug 1994 (AA) 
Slovenia  13 Jun 1992 
9 Jul 1996  
Solomon Islands  13 Jun 1992 
3 Oct 1995  
South Africa  4 Jun 1993 
2 Nov 1995  
Spain  13 Jun 1992 
21 Dec 1993  
Sri Lanka  10 Jun 1992 
23 Mar 1994  
Sudan  9 Jun 1992 
30 Oct 1995  
Suriname  13 Jun 1992 
12 Jan 1996  
Swaziland  12 Jun 1992 
9 Nov 1994  
Sweden  8 Jun 1992 
16 Dec 1993  
Switzerland  12 Jun 1992 
21 Nov 1994  
Syrian Arab Republic  3 May 1993 
4 Jan 1996  
Tajikistan  29 Oct 1997 (a) 
Thailand  12 Jun 1992  
The former Yugoslav Republic of Macedonia  2 Dec 1997 (a) 
Togo  12 Jun 1992 
4 Oct 1995 (A) 
Tonga  19 May 1998 (a) 
Trinidad and Tobago  11 Jun 1992 
1 Aug 1996  
Tunisia  13 Jun 1992 
15 Jul 1993  
Turkey  11 Jun 1992 
14 Feb 1997  
Turkmenistan  18 Sep 1996 (a) 
Tuvalu  8 Jun 1992  
Uganda  12 Jun 1992 
8 Sep 1993  
Ukraine  11 Jun 1992 
7 Feb 1995  
United Arab Emirates  11 Jun 1992  
United Kingdom  12 Jun 1992 
3 Jun 1994  
Table I (cont'd)  WT/CTE/W/116 
 Page 15 
 
 
Participant Signature  Ratification  
Accession  (a) Acceptance  (A) 
Approval  (AA) 
United Republic of Tanzania  12 Jun 1992 
8 Mar 1996  
United States of America  4 Jun 1993  
Uruguay  9 Jun 1992 
5 Nov 1993  
Uzbekistan  19 Jul 1995 (a) 
Vanuatu  9 Jun 1992 
25 Mar 1993  
Venezuela  12 Jun 1992 
13 Sep 1994  
Viet Nam  28 May 1993 
16 Nov 1994  
Yemen  12 Jun 1992 
21 Feb 1996  
Yugoslavia  8 Jun 1992  
Zambia  11 Jun 1992 
28 May 1993  
Zimbabwe  12 Jun 1992 
11 Nov 1994  
 
 
DECLARATIONS 
 
(Unless otherwise indicated, the declarations were made 
upon ratification, accession, acceptance or approval.)  
 
ARGENTINA  
 
Declaration:    The Argentine Government considers that this Convention represents a step forward in that it 
establishes among its objectives the sustainable use of biological diversity.  Likewise, the definitions 
contained in Article 2 and other provisions of the Convention indicate that the terms "genetic 
resources", "biological resources" and "biological material" do not include the human genome.  In 
accordance with the commitments en tered into in the Convention, the Argentine Nation will pass 
legislation on the conditions of access to biologi cal resources and the ownership of future rights and 
benefits arising from them.  The Convention is full y consistent with the principles established in the 
"Agreement on Trade-Related Aspects of Intellect ual Property Rights", including trade in counterfeit 
goods, contained in the Final Act of the Uruguay Round of GATT.  
 
AUSTRIA  
 
Declaration:  
 
 "The Republic of Austria declares in accord ance with Article 27, paragraph 3 of the 
Convention that it accepts both of the means of dis pute settlement mentioned in this paragraph as 
compulsory in relation to any Party accepting an obl igation concerning one or both of these means of 
dispute settlement."   WT/CTE/W/116 
Page 16  
 
CHILE  
 
Declaration:    The Government of Chile, on ratifying th e Convention on Biological Diversity of 1992, 
wishes to place on record that the pine tree and othe r species that the country exploits as one of its 
forestry resources are considered exotic and are not taken to fall within the scope of the Convention.  
 
CUBA 
 
Declaration:  
  The Government of the Republic of Cuba d eclares, with respect to Article 27 of the 
Convention on Biological Diversity, that as far as th e Republic of Cuba is concerned, disputes that 
arise between Parties concerning the interpretation or application of this international legal instrument 
shall be settled by negotiation through the diplom atic channel or, failing that, by arbitration in 
accordance with the procedure laid down in A nnex II on arbitration of the Convention."  
 
EUROPEAN COMMUNITY  
 
Declaration:  
 
 "Within their respective comp etence, the European Community and its Member States wish 
to reaffirm the importance they attach to transfers of technology and to biotechnology in order to ensure the conservation and sustainable use of biol ogical diversity.  The compliance with intellectual 
property rights constitutes an es sential element for the implementation of policies for technology 
transfer and co-investment.  
  For the European Community and its member States, transfers of technology and access to 
biotechnology, as defined in the text of the Convent ion on Biological Diversity, will be carried out in 
accordance with Article 16 of th e said Convention and in compliance with the principles and rules of 
protection of intellectual property, in particular  multilateral and bilateral agreements signed or 
negotiated by the Contracting Parties to this Convention.  
  The European Community and its Member St ates will encourage the use of the financial 
mechanism established by the Convention to promot e the voluntary transfer of intellectual property 
rights held by European operators, in particular  as regards the granting of licences, through normal 
commercial mechanisms and decisions, while ensuri ng adequate and effective protection of property 
rights."   
FRANCE 
 
Upon signature:  
 
Declaration:    With reference to Article 3, that it interprets th at Article as a guiding principle to be taken into 
account in the implementation of the Convention;  
 
 With reference to Article 21, paragraph 1,  that the decision taken periodically by the 
Conference of the Parties concerns the "amount of  resources needed" and that no provision of the 
Convention authorizes the Conference of the Parties to take decisions concerning the amount, nature 
or frequency of the contributions from Parties to the Convention.  
Upon ratification:   WT/CTE/W/116 
 Page 17 
 
 
 Declaration:    With reference to Article 3, that it interprets th at Article as a guiding principle to be taken into 
account in the implementation of the Convention;  
 
 The French Republic reaffirms its  belief in the importance of the transfer of technology and 
biotechnology in guaranteeing the protection and l ong-term utilization of biological diversity.  
Respect for intellectual property rights is an essen tial element of the implementation of policies for 
technology transfer and co-investment.  
 
 The French Republic affirms that the transf er of technology and access to biotechnology, as 
defined in the Convention on Biological Diversity, will be implemented according to Article 16 of 
that Convention and with respect for the principles and rules concerning the protection of intellectual property, including multilateral agreements signed or  negotiated by the Contracting parties to the 
present Convention.  
  The French Republic will encourage recourse to  the financial mechanism established by the 
Convention for the purpose of promoting the voluntary  transfer of intellectual property rights under 
French ownership, inter alia, as regards the gran ting of licences, by traditional commercial decisions 
and mechanisms while ensuring the appropriate a nd effective protection of property rights.  
 
 With reference to Article 21, paragraph 1, th e French Republic considers that the decision 
taken periodically by the Conference of the Parti es concerns the "amount of resources needed" and 
that no provision of the Convention authorizes the Conference of the Parties to take decisions 
concerning the amount, nature or frequency of the co ntributions from Parties to the Convention.  
 
GEORGIA 
 
Declaration:    "The Republic of Georgia will use both mean s for dispute settlement referred to in the 
Convention:  
 
1. Arbitral consideration in accordance with the procedure given in the enclosure II, Part I.  
2. Submitting of disputes to the International Court."  
IRELAND 
 
Declaration:    "Ireland wishes to reaffirm the importance it attaches to transfers of technology and to 
biotechnology in order to ensure the conservation and sustainable use of biological diversity.  The 
compliance with intellectual property rights constitut es an essential element for the implementation of 
policies for technology transfer and co-investment.  
  For Ireland, transfers of technology and access to  biotechnology, as defined in the text of the 
Convention on Biological Diversity and in compliance with the principles and rules of protection of intellectual property, in particular multilateral a nd bilateral agreements si gned or negotiated by the 
contracting parties to this Convention.  
  Ireland will encourage the use of the financia l mechanism established by the Convention to 
promote the voluntary transfer of intellectual property rights held by Irish operators, in particular as WT/CTE/W/116 
Page 18  
 
regards the granting of licences, through normal commercial mechanisms and decisions, while 
ensuring adequate and effective protection of property rights."   
ITALY 
 
Declaration made upon signature a nd confirmed upon ratification:  
  "The Italian Government [. . .]  declares its understanding that the decision to be taken by the 
Conference of the Parties under Article 21.1 of the Convention refers to the `amount of resources 
needed' by the financial mechanism, not to the extent or nature and form of the contributions of the 
Contracting Parties."  
 
LATVIA 
 
Declaration:  
 
 "The Republic of Latvia declares in accord ance with Article 27 paragraph 3 of the 
Convention that it accepts both the means of disput e settlement mentioned in this paragraph as 
compulsory."   
LIECHTENSTEIN 
 
Declaration:    "The Principality of Liechtenstein wishes to r eaffirm the importance it attaches to transfers of 
technology and to biotechnology in order to ensure the conservation and sustainable use of biological 
diversity.  The compliance with intellectual prope rty rights constitutes an essential element for the 
implementation of policies for technology transfer and co-investment.    For the Principality of Liechtenstein, transf ers of technology and access to biotechnology, as 
defined in the text of the [said]  Convention, will be carried out in accordance with Article 16 of the 
said Convention and in compliance with the principles and rules of protection of intellectual property, 
in particular multilateral and bilate ral agreements signed or negotiate d by the Contracting Parties to 
this Convention.    The Principality of Liechtenstein will enc ourage the use of the financial mechanism 
established by the Convention to promote the voluntary transfer of intellectual property rights held by 
Liechtenstein operators, in particular as regard s the granting of licenses, through normal commercial 
mechanisms and decisions, which ensuring adequate and effective protection of property rights."  
 
PAPUA NEW GUINEA  
 
Declaration:  
 
 "The Government of the Independent State of Papua New Guinea declares its understanding 
that ratification of the Convention shall in no  way constitute a renuncia tion of any rights under 
International Law concerning State responsibility for the adverse effects of Biological Diversity as 
derogating from the principles of general International Law."  
  WT/CTE/W/116 
 Page 19 
 
 
SUDAN 
 
Understanding:    "With respect to the principle stipulated in Article 3, the Government of the Sudan agrees 
with the spirit of the Article and interprets it to mean that no state is res ponsible for acts that take 
place outside its control event if they fall within it s judicial jurisdiction and may cause damage to the 
environment of other states or of areas beyond the limits of national judicial jurisdiction."    "The Sudan also sees as regards Article 14 (2 ), that the issue of liability and redress for 
damage to biological diversity should not form a prio rity to be tackled by the Agreement as there is 
ambiguity regarding the essence and scope of the st udies to be carried out, in accordance with the 
above-mentioned Article. The Sudan further believes that any such studies on liability and redress 
should shift towards effects of areas such as biotechnology products, environmental impacts, 
genetically modified organisms and acid rains."  
 
SWITZERLAND 
 
Upon signature:   Declaration:  
 
 The Swiss Government wishes to emphasize pa rticularly the progress made in establishing 
standard terms for cooperation between States in a very important field: research activities and 
activities for the transfer of technology relevant to resources from third countries.   
 The important provisions in question create a plat form for even closer cooperation with public 
research bodies or institutions in Switzerland and for the transfer of technologies available to 
governmental or public bodies, particularly uni versities and various publicly-funded research and 
development centres.    It is our understanding that  genetic resources acquired unde r the procedure specified in 
Article 15 and developed by private research ins titutions will be the s ubject of programmes of 
cooperation, joint research and the transfer of t echnology which will respect the principles and rules 
for the protection of intellectual property.    These principles and rules are essential for resear ch and private investment, in particular in 
the latest technologies, such as modern biotechnology  which requires substantial financial outlays. On 
the basis of this interpretation, the Swiss Governme nt wishes to indicate that it is ready, at the 
opportune time, to take the appropria te general policy measures, partic ularly under Articles 16 and 19, 
with a view to promoting and encouraging cooperati on, on a contractual basis, between Swiss firms 
and the private firms and governmental bodies of other Contracting Parties.   
 With regard to financial cooperation, Switzer land interprets the provisions of Articles 20 and 
21 as follows: the resources to be committed and the management system will have regard, in an 
equitable manner, to the needs and interests of the developing countries and to the possibilities and 
interests of the developed countries.   
Upon ratification:  
 Declaration:    Switzerland wishes to reaffirm the importance it attaches to transfers of technology and to 
biotechnology in order to ensure the conservation and sustainable use of biological diversity.  The WT/CTE/W/116 
Page 20  
 
compliance with intellectual property rights constit utes and essential element for the implementation 
of policies for technology transfer and co-investment.    For Switzerland, transfers of technology and access to biotechnology, as defined in the text of 
the Convention on Biological Diversity, will be carri ed out in accordance with Article 16 of the said 
Convention and in compliance with the principles and rules of protection of intellectual property, in 
particular multilateral and bilateral agreements signed or negotiated by the Contracting Parties to this 
Convention.    Switzerland will encourage the use of the fina ncial mechanism established by the Convention 
to promote the voluntary transfer of intellectual propert y rights held by Swiss operators, in particular 
as regards the granting of licences, through norma l commercial mechanisms and decisions, while 
ensuring adequate and effective protection of property rights.   
SYRIAN ARAB REPUBLIC 
 
Upon signature:   Declaration:    It is being understood that the signing of this  Convention shall not constitute recognition of 
Israel or leading to any intercourse with it.  
 
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND  
 
Declaration made upon signature a nd confirmed upon ratification:  
 
 The Government of the United Kingdom of Great  Britain and Northern Ireland declare their 
understanding that Article 3 of the Convention sets out a guiding principle to be taken into account in 
the implementation of the Convention.    The Government of the United Kingdom of Gr eat Britain and Northern Ireland also declare 
their understanding that the decisions to be taken by the Conference of the Parties under paragraph 1 
of Article 21 concern "the amount of resources needed " by the financial mechanism, and that nothing 
in Article 20 or 21 authorises the Conference of the Parties to take decisions concerning the amount, nature, frequency or size of the contributi ons of the Parties under the Convention.  
 
 
Notes:    In respect of the United Kingdom of Great Br itain and Northern Ireland, the Bailiwick of 
Jersey, the British Virgin Islands, the Cayman Is lands, Gibraltar, St. Helena and St. Helena 
Dependencies.  
 
__________