UNITED
NATIONS

UNEP/PP/INC.2/4
United Nations
Environment
Programme

Distr.: General
13 April 2023
Original: English

Intergovernmental negotiating committee to develop
an international legally binding instrument on plastic
pollution, including in the marine environment
Second session
Paris, 29 May–2 June 2023
Item 4 of the provisional agenda*
Preparation of an international legally binding instrument onplastic pollution, including in the marine environment

Potential options for elements towards an international legallybinding instrument, based on a comprehensive approach that
addresses the full life cycle of plastics as called for by
United Nations Environment Assembly resolution 5/14
Note by the secretariat
1.
At its first session, the intergovernmental negotiating committee to develop an international
legally binding instrument on plastic pollution, including in the marine environment, requested thesecretariat to prepare, for consideration by the committee at its second session, a document withpotential options for elements towards an international legally binding instrument, based on acomprehensive approach that addressed the full life cycle of plastics as called for by Environment
Assembly resolution 5/14, including identifying the objective; substantive provisions, including coreobligations, control measures and voluntary approaches; implementation measures; and means of
implementation. The committee specified that the document could include both legally binding andvoluntary measures.
2.
In response to that request, the secretariat has prepared the document set out in the annex to thepresent note. In doing so, the secretariat, in consultation with the Chair of the intergovernmental
negotiating committee, drew on the views expressed by Member States during the first session of thecommittee and in their written submissions. Section I of the document , an introductory note preparedby the secretariat, sets out the context and an introduction, and section II of the document describes theoptions themselves. The document is intended to facilitate the committee’s work without in any way
prejudging what the committee might decide regarding the structure and provisions of the future
instrument.

* UNEP/PP/INC.2/1.

UNEP/PP/INC.2/4

Annex
Potential options for elements towards an international legallybinding instrument, based on a comprehensive approach that
addresses the full life cycle of plastics as called for by United Nations
Environment Assembly resolution 5/14
Contents
I.
II.

Introductory note prepared by the secretariat ............................................................................... 3

Potential options for elements towards an international legally binding instrument, based on acomprehensive approach that addresses the full life cycle of plastics as called for by
United Nations Environment Assembly resolution 5/14 .............................................................. 4
A.
Objective(s)....................................................................................................................... 4
B.
Core obligations, control measures and voluntary approaches (including annexes, if any).......................................................................................................................................... 4
1.
Possible core obligation: phasing out and/or reducing the supply of, demand forand use of primary plastic polymers ...................................................................... 52.
Possible core obligation: banning, phasing out and/or reducing the use ofproblematic and avoidable plastic products ........................................................... 5
3.
Possible core obligation: banning, phasing out and/or reducing the production,
consumption and use of chemicals and polymers of concern ................................ 6
4.
Possible core obligation: reducing microplastics ................................................... 6
5.
Possible core obligation: strengthening waste management .................................. 7
6.
Possible core obligation: fostering design for circularity ...................................... 97.
Possible core obligation: encouraging reduce, reuse and repair of plastic products
and packaging ........................................................................................................ 98.
Possible core obligation: promoting the use of safe, sustainable alternatives andsubstitutes ............................................................................................................ 10
9.
Possible core obligation: eliminating the release and emission of plastics towater, soil and air ................................................................................................ 10
10.
Possible core obligation: addressing existing plastic pollution ........................... 11
11.
Possible core obligation: facilitating a just transition, including an inclusivetransition of the informal waste sector ................................................................. 12
12.
Possible core obligation: protecting human health from the adverse effects ofplastic pollution ................................................................................................... 12C.
Means of implementation ............................................................................................... 13
1.
Financial assistance ............................................................................................. 13
2.
Capacity-building ................................................................................................ 15
3.
Technical assistance ............................................................................................ 154.
Technology transfer on mutually agreed terms ................................................... 16
D.
Implementation measures ............................................................................................... 17
1.
National action plans ........................................................................................... 17
2.
National reporting ................................................................................................ 18
3.
Compliance .......................................................................................................... 19
4.
Periodic assessment and monitoring of the progress of implementation of the
instrument and effectiveness evaluation .............................................................. 20
E.
Additional matters .......................................................................................................... 21
1.
Awareness-raising and education ........................................................................ 21
2.
Exchange of information ..................................................................................... 22
3.
Research .............................................................................................................. 23
4.
Cooperation and coordination.............................................................................. 24
5.
Stakeholder engagement ...................................................................................... 24
F.
List of potential annexes to the instrument ..................................................................... 25
Appendix I: Additional potential options for elements not explicitly mentioned in the submission
template ...................................................................................................................................... 26
Appendix II: Background ...................................................................................................................... 32
Appendix III: Paragraphs 3 and 4 of United Nations Environment Assembly resolution 5/14 ............. 362

I.

Introductory note prepared by the secretariat
1.
At its first session, the intergovernmental negotiating committee to develop an international
legally binding instrument on plastic pollution, including in the marine environment, requested thesecretariat, in consultation with the chair, to prepare, for consideration by the committee at its second
session, a document with potential options for elements towards an international legally binding
instrument, based on a comprehensive approach that addresses the full life cycle of plastics as called
for by Environment Assembly resolution 5/14, including identifying the objective; substantive
provisions, including core obligations, control measures and voluntary approaches; implementation
measures; and means of implementation. The committee specified that the document could include
both legally binding and voluntary measures. Section II below contains the requested potential options
for elements.
2.
This document is intended to facilitate the committee’s work without in any way prejudging
what the committee might decide regarding the structure and provisions of the future instrument. In
preparing the document, the secretariat, in consultations with the Chair of the intergovernmental
negotiating committee, drew on the views expressed by Member States during the first session of thecommittee and in their written submissions.1 For ease of submission, a template was shared with all
focal points on 15 December 2022 to serve as a guide. The template included the following categories:
objectives; core obligations, control measures and voluntary approaches; implementing elements(including implementing measures and means of implementation); and additional input(e.g., introductory elements, awareness-raising, education and exchange of information, research,stakeholder engagement, institutional arrangements and final provisions).
3.
Some of the submissions from Member States included options for elements that were notspecifically identified in the template. Those options have been included in appendix I to the present
document to capture the depth of the information contained in the submissions. The submissions cover
introductory elements related to the preamble, definitions, scope, principles and institutionalarrangements related to the governing body, subsidiary bodies, scientific and technical cooperationand coordination, and the secretariat.
4.
In total, 67 submissions were received from Member States and groups of Member States, andanother 176 submissions were received from stakeholders and stakeholder groups. The Chair of theintergovernmental negotiating committee hosted two webinars where 46 stakeholders presented theirviews to help inform Member States as they finalized their submissions.
5.
The overall structure of the present document was developed following the mandate from thefirst session of the intergovernmental negotiating committee and uses working document
UNEP/PP/INC.1/5, on potential elements,2 as a starting point. Document UNEP/PP/INC.1/5 set out
the elements identified in paragraphs 3 and 4 of Environment Assembly resolution 5/14, in a
non-prescriptive order, under headings. The use of that structure was aimed at facilitating navigation
across the document and was in no way intended to prejudge the structure of the instrument that thecommittee might eventually decide on. Furthermore, the present document does not propose specificlegal text for the elements.
6.
Potential annexes are listed in section II.F of the present document, drawing on thesubmissions from Member States. A complementary information document prepared by thesecretariat3 details information, emerging from the submissions, related to the potential annexes.
7.
The present document includes boxed comment paragraphs with backgroundinformation. Such paragraphs are meant to help readers navigate the document and are notintended for negotiation. Headings and subheadings have been included to provide a structure
for the document and are also not intended for negotiation.
8.
The options identified are an attempt to capture the proposals contained in Member States’
submissions while highlighting their respective nuances in a concise manner. Each option presented
represents a way of addressing an issue, in whole or in part. The options represent choices, but do not
1 All submissions are available under the pre-session submissions tab at

https://www.unep.org/events/conference/second-session-intergovernmental-negotiating-committee-developinternational.
2 The full document title is “Potential elements, based on provisions in paragraphs 3 and 4 of United Nations
Environment Assembly resolution 5/14, including key concepts, procedures and mechanisms of legally binding
multilateral agreements that may be relevant to furthering implementation and compliance under the futureinternational legally binding instrument on plastic pollution, including in the marine environment”.
3
UNEP/PP/INC.2/INF/2.
3

necessarily correspond to articles of the future instrument. In some cases, selecting one option
necessarily precludes the selection of another, while in other cases options could complement one
another. In addition, the secretariat identified gaps in the options provided in the submissions and insuch cases included additional options for the committee’s consideration. The identified gaps arefootnoted throughout the document.

II.

Potential options for elements towards an international legallybinding instrument, based on a comprehensive approach that
addresses the full life cycle of plastics as called for by
United Nations Environment Assembly resolution 5/14

A.

Objective(s)4Comment: The broad objective or objectives of an instrument, together with the other provisions,in particular those of the potential preamble, scope and principles, guide its interpretation andimplementation. In order to keep the set of options in relation to the objective or objectives of the
instrument manageable, while preserving the wealth of information contained in the submissions,some of the nuances related to the objective(s) have been captured in the list of potential options
for introductory elements.
9.
The committee may wish to consider using one, or a combination, of the following statementsof objective of the instrument:(a)End plastic pollution; protect human health and the environment from its adverse
effects throughout the life cycle of plastic.
(b)
Protect human health and the environment from the adverse effects of plastic pollution
throughout the life cycle.
(c)Reduce the production, use and discharge of plastics across their life cycle, including
through the promotion of a circular plastics economy with a view to ending plastic pollution by X year
and protecting human health and the environment from its adverse effects.

B.

Core obligations, control measures and voluntary approaches (including
annexes, if any)
Comment: This section proposes potential options for core obligations, together with related
control measures and voluntary approaches. The potential options are drawn from the discussions
at the first session of the intergovernmental negotiating committee and the submissions to thesecretariat. The potential options identified seek to capture the proposals contained in Member
States’ submissions while highlighting their respective nuances in a concise manner. The options
are grouped into 12 possible core obligations with potential control measures and voluntary
approaches that could be adopted. This is intended to assist in structuring the deliberations of theintergovernmental negotiating committee, and does not necessarily correspond to articles of the
future instrument. In many cases, selecting one option precludes the selection of another, while inother cases options could complement one another. The options presented represent possible ways
to address an issue, in whole or in part, at a particular stage in the plastics life cycle, without
prejudice to possible interactions arising from action taken at other stages in the life cycle.
The structure of this section is intended to support the intergovernmental negotiating committee inits deliberations and does not prejudge the structure of discussions or the placement of provisions
in the future instrument or whether the related measures would be legally binding or voluntary.

4 Headings and subheadings have been included to structure the document and are not intended for negotiation.

4

1.

Possible core obligation: phasing out and/or reducing the supply of, demand for and use of
primary plastic polymers
Comment:5 Reduced use of primary plastic polymers and increased use of recycled material would
see a greater flow of plastic being cycled back into the economy as “secondary plastics”, andwould result in smaller inflows of new “virgin” plastic and fewer outflows into final disposal (withzero plastic leaking into the environment).
10.
The committee may wish to consider including some or all of the following potential options
for control measures and voluntary approaches:
(a)

(b)

Options for targets:(i)

Establish global targets to reduce production of primary plastic raw
material.

(ii)

Establish nationally determined commitments or targets.

Options for regulating primary plastic polymers:(i)

Impose a moratorium on primary production of plastic polymers or ban,limit or reduce the manufacture, export and import of virgin plastic polymers.

(ii)

Apply import and export requirements to parties and non-parties on a
non-discriminatory basis.

(iii)

Track types and volumes of plastic polymers, precursors, and feedstocks
manufactured, imported, and exported as well as the quantities and type ofchemicals applied in production through transparency and reporting
requirements.

(iv)

Establish licensing schemes for production, import and export of virgin andsecondary plastic polymers.

(c)
Option for economic tools: Set market-based measures such as price-based
measures, production permits, licenses, removal of fiscal incentives and a mandatory fee, tariff or tax
on virgin plastic production.
2.

Possible core obligation: banning, phasing out and/or reducing the use of problematic andavoidable plastic products
Comment:6 Many plastic products that might be considered problematic and avoidable also
represent the bulk of plastic leakage into the environment. Submissions referred to a number of
additional terms to describe problematic and avoidable plastic products that Member States may
wish to consider, including “single-use”, “short-lived” and “unnecessary”. Research has shownthat it would be possible and economically feasible to reduce the consumption of short-lived plastic
products by 30 per cent by 2040 while respecting the needs of a growing population and economy,
and many countries are already responding to this challenge through a range of measures.
Reducing or eliminating the use of problematic and avoidable products could also enhance theeconomics of recycling and thereby contribute to enabling a market for recycling.
11.
The committee may wish to consider including some or all of the following potential options
for control measures and voluntary approaches:(a)
Inventory and monitor production of raw materials, including those used in plastic
commodities, and establish a global baseline.
(b)
Establish criteria to determine and prioritize problematic and avoidable plastic
products, including unnecessary or short-lived products.
(c)Ban, phase out, reduce or control the production, sale, distribution, trade and use of
specific problematic and avoidable plastic products by identified dates (the criteria under (b) above
and the list and phase-out dates hereunder could be identified in an annex to the instrument);

5 Adapted from UNEP/PP/INC.1/7, para. 31.
6 Adapted from UNEP/PP/INC.1/7, para. 85.

5(d)Apply import and export requirements for listed products to parties and non-parties
on a non-discriminatory basis;(e)
Apply import and export requirements to parties and non-parties on a
non-discriminatory basis.
3.

Possible core obligation: banning, phasing out and/or reducing the production, consumption
and use of chemicals and polymers of concern
Comment: Plastic production is associated with the use of chemical additives. Around a quarter ofthe over 10,000 unique chemicals used in plastics are of potential concern to human health and safety.
These chemicals are either added during the production process or are unintentionally added
by-products, breakdown products or contaminants.7 Banning or, where that is not feasible,
reducing the use of hazardous chemicals and polymers of concern in plastics has the potential toprotect human health and the environment. The reduction and elimination of hazardous chemicals
and polymers of concern can, in conjunction with other measures, contribute to enhancing therecyclability of plastics and thereby to widening the scope of the plastic circular economy.
12.
The committee may wish to consider including some or all of the following potential options
for control measures and voluntary approaches:
(a)

(b)

(c)

4.

Options for regulating chemicals and polymers of concern:(i)Ban, phase out, reduce or control specific polymers and chemicals ofconcern, or groups of chemicals, based on criteria identified to determine
polymers and chemicals of concern (list, phase-out date and criteria could be
included in an annex to the instrument).

(ii)

Apply import and export requirements for listed polymers and chemicals toparties and non-parties on a non-discriminatory basis.

(iii)

Apply import and export requirements to parties and non-parties on a
non-discriminatory basis.

Options for increasing transparency:(i)Track types and volumes of polymers and chemicals applied in production,
including through disclosure requirements for plastics throughout the supply
chain, and plastic production, use and additives, consistent with national laws.

(ii)

Increase transparency through marking (digital watermarks, tracers) andharmonized product labelling, material safety data sheets, product passports
and publicly available databases.

Options for accelerating and supporting the transition:(i)

Establish measures to foster innovation and incentivize alternative andsubstitutes, including through sustainable or green chemistry and chemical
simplification.

(ii)

Incentivize research and development of sustainable additives andpolymers.

Possible core obligation: reducing microplastics
Comment:8 Microplastic release occurs throughout the life cycle of products and is projected tomore than double globally, from 2.7 million metric tons in 2019 to 5.8 million metric tons in 2060.
Secondary microplastics dominate microplastics leakage. Major sources include road transport(1 million metric tons), the release of dust and fibres (0.81 million metric tons) and wastewatersludge. Microplastics are also released from artificial turf (0.05 million metric tons) during use orafter disposal. Primary microplastics are also an important source of leakage. Pre-production
plastic pellets (or nurdles) are an example of primary microplastics (0.28 million metric tons),
along with microbeads – spherical or amorphous microplastics added to products such as personalcare items, fertilizers, paint, detergents, food supplements, hand sanitizers and medicinal products.

7 UNEP/PP/INC.1/7, para. 23.
8 Adapted from UNEP/PP/INC.1/7, para. 37.

6Addressing microplastic leakage could reduce environmental and health risks associated withplastic pollution across the life cycle.
13.
The committee may wish to consider including some or all of the following potential options
for control measures and voluntary approaches:
(a)

(b)

5.

Options for addressing intentional use:(i)Ban, phase out, reduce or control the use of intentionally added
microplastics to avoid the potential release of microplastics into theenvironment from certain sources (list could be identified in an annex to the
instrument).

(ii)

Ban, phase out, reduce or control the production, sale, distribution, tradeand use of microplastics and products containing intentionally added
microplastics.

Options for addressing unintentional releases:(i)

Minimize the risk of leakage of plastic pellets from production, handling,transport and the use of certain products.

(ii)

Support innovative wastewater treatment mechanisms to prevent therelease of microplastics into waterways.

(iii)

Developing guidelines on best available technology and best environmental
practices to reduce release of plastics, including for design, in the washing,textile, tyre, and road marking industries.

Possible core obligation: strengthening waste management
Comment: An increase from an estimated 353 million metric tons per year of plastic waste in 2019
to 1,014 million metric tons per year in 2060 is expected under a business-as-usual scenario.9
Environmentally sound management and disposal of plastic waste need to be strengthened aroundthe world. Small island developing States in particular are facing unique challenges. EPR schemes
can make producers responsible for the environmental impact of their products throughout the life
cycle, accelerating the market for waste recycling, incentivizing producers to create products withcircularity in mind and reducing leakage of plastic waste into the environment. Action taken atother stages of the life cycle, in particular earlier in the cycle, may also reduce the amount andnature of the waste to be managed, thereby facilitating effective implementation of waste
management systems.
14.
The committee may wish to consider including some or all of the following potential options
for control measures and voluntary approaches to strengthen waste management:(a)Options for enhancing waste management capacity and promoting innovation:(i)

Deploy and foster the development of technologies for the collection,
recycling and disposal of plastic waste.

(ii)

Set a target for reducing the generation of plastic waste that needs final
disposal operations such as landfilling and incineration.

(iii)

Develop guidance for areas such as:

(iv)

a.

Encouragement of investment in waste management
infrastructure;b.

Sampling, analysis, monitoring, reporting and verification of plastic
waste in the environment, to support policymakers in measuring theimpact of implemented targets and policies;c.

Specifications for containers, equipment and storage sites
containing plastic waste.

Promote research for innovation.

9 Adapted from UNEP/PP/INC.1/7, para. 24.

7

(b)

(c)

(d)

Options for regulating plastic waste:(i)

Regulate the movement, and end of life management of plastic waste to
reduce leakage from mismanaged waste.

(ii)

Prohibit the following dangerous practices: open burning, incineration,
co-firing in coal-fired power plants and other waste-to-energy processes,
co-processing in cement kilns, and chemical recycling.

(iii)

Establish guidance and tools for decision-making on waste recycling
practices (to avoid lock-ins to solutions that harm human and environmental
health).

(iv)

Set indicators and obligations for plastic waste collection, sorting andrecycling, especially at the national level.

(v)

Require producers to prepare an action plan that includes individual waste
reduction targets.

Options related to illegal dumping and disposal of plastic waste:(i)

Implement measures to ensure the collection, sorting, management, anddisposal of plastic waste in an environmentally sound and safe manner.

(ii)

Rely on the Basel Convention on the Control of Transboundary Movements ofHazardous Wastes and Their Disposal where appropriate.

(iii)

Establish surveillance systems and quotas for exports of plastic waste.

(iv)

Prohibit or control transboundary movement of plastic waste, except where
this ensures circularity;(v)

Develop a streamlined permit process for transboundary movement ofplastic waste to countries where recycling facilities exist with sufficient
capacity;(vi)

Apply a timetable for control measures on transboundary movements ofplastic waste, in particular those from developed countries to developing
countries.

Options for promoting EPR and enabling a market for recycling:(i)

Adopt measures to strengthen the demand for secondary plastics andfacilitate environmentally sound plastic scrap recycling, including by using
public procurement to drive demand for plastic products containing higher
recycled content, where feasible.

(ii)

Set indicators for the plastic waste recycling rate, especially at the domestic
level.

(iii)

Establish EPR systems to incentivize recycling, taking into account national
circumstances. Options for such systems include:a.

Action plan programmes in which fees are charged to plastic
manufacturers and plastic product producers;b.

A set of guidelines for EPR systems.10(iv)

Provide financial support and tax exemptions for recycling projects.

(v)

Establish best available technologies for recycling to ensure alignment with
the Paris Agreement (or with principles of sustainable banking andinvestment).

(vi)

Establish a requirement that polymer producers invest in the volume ofrecycling facilities needed to recycle all the plastic they produce that could
become plastic waste.

10 To keep the present document as succinct as possible, proposals for this and other types of guidelines andcriteria will be compiled in a separate information document.
8

6.

Possible core obligation: fostering design for circularity
Comment:11 The design phase plays an important role in ensuring reuse and recyclability while
addressing the use of chemicals of concern. Improving the design of plastic products and packaging
for recycling could expand the share of recyclable plastic by improving its profitability. Designingto facilitate maintenance, collection, sorting, reuse, repair and repurposing and ensuring thatplastic products and their additives do not hinder or disrupt the recyclability of other plastic
products in the same waste streams could play an important role in promoting sustainableproduction and consumption of plastics.
15.
The committee may wish to consider including some or all of the following potential options
for control measures and voluntary approaches:(a)
Establish circularity criteria and guidance for design and production of plastic
products and packaging to encourage, enhance and enable value recovery processes and systems;
high volume and problematic product categories could be prioritized, using a “start and strengthen”
approach (criteria and guidance could be included in an annex to the instrument).
(b)
Introduce a requirement for plastic products and packaging put on the market toconform to circularity design criteria.
(c)Establish national requirements for design criteria based on a global harmonizedsystem and methodologies to promote circularity of plastics.
(d)
Establish labelling measures for plastic products and packaging in the light of thecriteria and guidance to allow informed choices by consumers.
(e)

Set a target for the required minimum recycled content of plastic products on themarket.
(f)
Establish a central data exchange registry where the secretariat can make related
information available.
7.

Possible core obligation: encouraging reduce, reuse and repair of plastic products andpackaging
Comment:12 The reduction, reuse and repair of products and packaging can be facilitated throughthe product design stage. Reuse schemes can contribute to resource efficiency. They have thepotential to decrease life cycle greenhouse gas emissions by 60 to 80 per cent compared toemissions of single-use plastic products. It is also estimated that new reuse schemes and delivery
models could create 1.4 million jobs globally by 2040.
16.
The committee may wish to consider including some or all of the following potential options
for control measures and voluntary approaches:(a)

Option for targets: Set targets for the reduction, reuse and repair of plastic products.

(b)

Options for regulating and encouraging reduction and reuse of plastics:(i)Request the governing body to develop and adopt general and sectoral
guidelines for reduction and reuse.

(ii)

Encourage reduction and reuse of plastic products, such as containers andbottles, including through service delivery systems.

(iii)

Recommend that parties promote reuse through collection of used plastics by
production sector.

(iv)

Apply harmonized product design standards, certifications andrequirements, including for certain plastic products and packaging.

(v)

Encourage reduction and reuse of plastic products, including fees, tariffs ortax incentives, EPR schemes, deposit refund schemes and product take-back,right-to-repair requirements and remove trade barriers.

11 Adapted from UNEP/PP/INC.1/7, para. 87.
12 Adapted from UNEP/PP/INC.1/7, para. 98.

9

8.

Possible core obligation: promoting the use of safe, sustainable alternatives and substitutes
Comment: Encouraging the use of safe, sustainable substitutes and alternatives to traditional
plastics, such as alternative materials and biodegradable or compostable materials, could reduce
the health risks associated with plastic pollution and promote circularity in the plastics industry. It
could also promote innovation and open new sustainable market opportunities.
17.
The committee may wish to consider including some or all of the following potential options
for control measures and voluntary approaches:(a)(b)
substitutes:

9.

Options for enhancing research and development:(i)

Provide platforms for sharing information on the development of safe,
sustainable alternatives and substitutes.

(ii)

Establish market tools (or fiscal policy incentives) for enhancing researchand development of alternative products and technologies.

Options for reviewing and enabling the use of safe, sustainable alternatives and(i)Establish a certification scheme for plastic products.

(ii)

Task a technical review committee (comparable to the Technology andEconomic Assessment Panel under the Montreal Protocol on Substances that
Deplete the Ozone Layer) with assessing criteria for the sustainableproduction and use of plastics and the availability of safe alternatives andsubstitutes, set out the criteria in annexes to the instrument, and recommend
possible adjustments to such annexes or amendments to the instrument(including new annexes).

(iii)

Develop clear mechanisms for funding, technical support and transfer oftechnology for the development of natural alternatives to plastics, in particularin small island developing States.

(iv)

Use economic instruments, such as fees, tariffs, taxes, subsidies, and tradable
permit systems, to incentivize a reduction of plastic use and the adoption ofsustainable alternatives.

Possible core obligation: eliminating the release and emission of plastics to water, soil and air
Comment: Once plastics are released into the environment they are transported by various meansand processes to even the most remote places. It has been estimated that more than 1,000 rivers
account for 80 per cent of the annual releases of plastic waste to the oceans from global riverine
systems (ranging between 0.8 and 2.7 million metric tons per year), with small urban rivers among
the most polluting. Plastic pollution is also found in the air. Research is also raising concerns
about the contribution of plastic to air pollution and the potential risks to human health through theinhalation of plastics. Open burning of plastics results in the release of toxic chemical substancesand particles such as dioxins, furans, mercury and polychlorinated biphenyls, posing serious risks,in particular to the 11 million informal entrepreneurs who work closely with waste. 13 Moreover,throughout its life cycle, plastic contributes to climate change. In 2019, plastics generated
1.8 billion metric tons of greenhouse gas emissions – 3.4 per cent of global emissions – with
90 per cent of those emissions coming from plastics production and conversion from fossil fuels.
Fishing gear is particularly problematic, with a number of existing initiatives addressing plastic
pollution from fishing gear, including Voluntary Guidelines developed by the Food and Agriculture
Organization (FAO) of the United Nations on the marking of fishing gear14 to provide practical
instructions on marking methods for the main types of fishing gear in order to identify ownership.
Furthermore, the International Maritime Organization (IMO) developed a Strategy to address
marine plastic litter from ships15, which includes measures to address abandoned, lost or otherwise
discarded fishing gear.

13 UNEP/PP/INC.1/7, paras. 39 and 48.
14 https://www.fao.org/documents/card/en/c/cc4251en.
15 https://www.imo.org/en/Home/PageNotFound?aspxerrorpath=/en/MediaCentre/HotTopics/Pages/marinelitter-default.aspx.
10

18.
The committee may wish to consider including some or all of the following potential options
for control measures and voluntary approaches:(a)Reduce and, where feasible, eliminate releases of plastics to water, soil and air(general and sectoral measures could be listed in an annex to the instrument, including wastewater,industrial facilities, aquaculture, agriculture and the fishing industry, and transport).
(b)
Develop and use the best available technology and best environmental practices,
including environmental and emission/effluent standards, to minimize and eliminate pollution from allstages of the plastic life cycle.
(c)Prohibit dangerous practices to prevent the production and releases of toxic
emissions from plastic waste management.
(d)Take effective measures to prevent and reduce loss of fishing gear containing
plastic and leverage existing efforts, including those of the Food and Agriculture Organization of theUnited Nations, and the International Maritime Organization.
10.

Possible core obligation: addressing existing plastic pollution
Comment: Existing pollution is of concern and may need specific remediation activities,
particularly in the marine environment. Plastic has certain legacy issues, particularly with the long
lifespans of plastics applications that can lock in waste for decades; in construction, for instance,
more than 90 per cent of waste up until 2040 will be from plastics produced before 2019. 16
19.
The committee may wish to consider including some or all of the following potential options
for control measures and voluntary approaches:
(a)

(b)

Options for addressing existing plastic pollution:(i)

Take measures to remediate plastic pollution in the environment, including in
the marine environment and areas beyond national jurisdiction, taking into
account the draft agreement under the United Nations Convention on the Lawof the Sea on the conservation and sustainable use of marine biologicaldiversity of areas beyond national jurisdiction.

(ii)

Cooperate to develop strategies to identify, prioritize and address areas oflegacy waste.

Options for sector/context-specific measures:(i)

Eliminate ghost gear pollution in the environment, particularly the marine
environment, in collaboration with the Food and Agriculture Organization of
the United Nations and the International Maritime Organization.

(ii)

Conduct remediation activities in specific contexts such as accumulationsites on coasts, rivers and estuaries, urban mining and unregulated landfills, asfeasible and justified from a socioeconomic perspective. Priority could begiven to plastic pollution hotspots and measures that could have a positive local
or regional impact on human health or the environment and to minimizing
negative effects to ecosystems.

(iii)

Develop criteria and guidelines on best available techniques and best
environmental practices, including to ensure that clean-up activities respectbiodiversity. Options include:a.

Identifying indicators for hot spots where quantities and types of litterendanger marine or other species or habitats;b.

Encouraging the adoption of targeted removal measures in national
action plans (NAPs) on a voluntary basis (e.g., clean-up activities andawareness-raising initiatives).

16 Ibid., para. 91.

11

11.

Possible core obligation: facilitating a just transition, including an inclusive transition of theinformal waste sector
Comment: Environment Assembly resolution 5/14 recognized the significant contribution made byworkers in informal and cooperative settings to the collecting, sorting and recycling of plastics inmany countries. A just transition towards an environmentally sustainable economy can contributeto the goals of decent work for all, social inclusion and the eradication of poverty. 17
20.
The committee may wish to consider including some or all of the following potential options
for control measures and voluntary approaches:(a)
Establish a mechanism to ensure a fair, equitable and inclusive transition for theindustry and affected workers, informal waste workers and affected communities, particularly indeveloping countries;(b)
Establish a requirement for private waste management companies to collect plastic
waste from informal waste picker cooperatives or associations, where relevant, and establish
gradual schemes for their formalization. As these cooperatives or associations formalise, therequirement for companies to collect from waste picker cooperatives or associations should be geared
toward the formal ones.
(c)
Improve working conditions for workers, including waste pickers, including by
providing legal recognition and support for informal waste pickers, such as access to health care,education and social security benefits.
(d)Integrate the informal waste sector into the plastics value chain and promote a
circular economy through a “just transition programme”.
(e)Establish a requirement to use fees derived from EPR schemes to fund an upgrade ofinfrastructure and technical and management skills for informal waste pickers to function as waste
collection and sorting companies.

12.

Possible core obligation: protecting human health from the adverse effects of plastic pollution
Comment: The links between plastic, with its associated chemicals, and plastic pollution, with its
detrimental effects on human health and the environment, are increasingly clear. Environment
Assembly resolution 5/14 affirmed the importance of cooperation, coordination andcomplementarity among relevant regional and international conventions and instruments, with due
respect for their respective mandates, to prevent plastic pollution and its related risks to humanhealth and adverse effects on human well-being and the environment. Mindful of the precautionary
approach as set forth in the Rio Declaration, further research can contribute to better
understanding of the health effects of plastic pollution, including microfibres and other plastic
microparticles, on humans, to understand the potential transfer of microplastics and hazardous
chemicals to crops and animals and to inform decision-making.
21.
The committee may wish to consider including some or all of the following potential options
for control measures and voluntary approaches:
(a)

(b)

Options for assessing and evaluating risks:(i)

Evaluate risks caused by plastic and plastic pollution for human health.

(ii)

Conduct further research on the adverse effects of plastic and plastic
pollution on human health.

Options for cooperation:(i)

Promote cooperation, collaboration and exchange of information with theWorld Health Organization, the International Labour Organization and otherintergovernmental organizations. 18(ii)

Improve the One Health approach.

17 International Labour Organization submission.
18 Gap identified by the secretariat. This language is modeled after that of the Minamata Convention on Mercury.

12

C.

Means of implementation
Comment: Means of implementation are the resources, policies and actions needed to implement
the provisions of a legally binding instrument. They contribute to ensuring that the instrument’s
goals are achieved and that all parties are able to meet their obligations. In the context of aninternational agreement, “means of implementation” typically refers to the financial, technologicaland capacity-building support required to enable developing countries to meet their obligations
under the agreement.
The committee may wish to consider a range of means of implementation, including arrangements
for capacity-building and technical assistance, technology transfer on mutually agreed terms,
and financial assistance, in line with paragraph 3 (n) of Environment Assembly resolution 5/14.
The options identified below seek to capture the proposals in Member States’ submissions and take
into account experience gained with existing multilateral environmental agreements.
22.
In terms of the general approach, the committee may wish to consider the following potential
options:(a)
Developing stand-alone provisions for the various categories of means of
implementation or, alternatively,(b)

Developing an integrated mechanism for the provision of means of implementation.

23.
In addition, the committee may wish to consider including provisions stating that the means of
implementation should be informed by the best available science, traditional knowledge, knowledge ofIndigenous Peoples and local knowledge systems, as well as socioeconomic information andassessments related to plastic pollution.
1.

Financial assistanceComment: Multilateral instruments often provide for financial assistance and mobilize financing tosupport effective implementation of their provisions. Financial assistance may support, inparticular:(a)Building capacity: Financial assistance can be used to build capacity to implement
actions required under the instrument, including by providing training, education andtechnical assistance to individuals and organizations.

(b)

Meeting obligations: Some obligations, such as the development of infrastructure,
adoption of new technologies or implementation of monitoring and reporting systems, may
require significant financial resources to meet. Financial assistance can help parties meetsuch obligations.

(c)Promoting equity: Financial assistance can promote equity and enhance the capacity of
all countries to effectively implement the provisions of the instrument, taking into accountthe priorities and needs of developing country parties, especially those with significant
capacity constraints, such as least developed countries and small island developing States,by providing them with the resources they need to effectively participate in theimplementation of the instrument.

(d)Supporting innovation: Financial assistance can help to support efforts towards thedevelopment of new technologies or the adoption of innovative solutions to addresscomplex issues, by providing resources to support research and development, adoption of
new technologies and dissemination of information and best practices.

24.
The committee may wish to consider ways to provide for new, additional, stable, accessible,
adequate, timely and predictable flows of financial resources to support the implementation of the
instrument, including some or all of the following potential options:(a)Establish a dedicated plastics multilateral fund or funds through the new
instrument, with Member States and other funding sources 19 contributing funds to support the

19 A multilateral fund could be set up to receive contributions from various funding sources, including EPR

schemes, official development assistance, taxes on trade, fees and taxes on unnecessary plastics and other sources
as defined by the agreement.
13

instruments’ objectives. Modalities could include management of the fund or funds by the governing
body.
(b)
Expand an existing multilateral fund: A dedicated avenue for this legal agreement
could be established within an existing multilateral fund to provide sustained funding for the
implementation of the plastics treaty.
(c)Consider a hybrid approach that combines elements of the above options. For
example, the establishment of the fund could be outlined in the legal agreement, but the governancestructure and funding mechanisms could be modelled on, adapted to or hosted by an existing
environmental fund such as the Global Environment Facility. This approach could help leverage
existing resources and expertise while maintaining a unique identity and purpose for the multilateral
fund.
(d)
Establish an additional fund dedicated to tackling existing pollution in theenvironment and the remediation of legacy plastic waste to reduce and eliminate the release ofplastics (and microplastics) to air, water and land, including in the marine environment, targeted
specifically at supporting vulnerable countries and small island developing States that bear a heavy
burden of legacy plastics on their shorelines. Modalities could include any of the above or otheroptions.
(e)
Explore innovative and other financing opportunities, nationally or globally, fortackling plastic pollution, where private-sector resources can play an enhanced role, including thefollowing:

14

(i)

Plastic fees, taxes or levies: Implement a fee, tax or levy on plastic
production, use or disposal to generate revenue that would finance initiatives toreduce plastic waste. For example, the tax could be applied to manufacturers orimporters of plastic polymers and products and the revenue could be used tofund the instrument’s objectives, including recycling programmes, productredesign and public awareness campaigns.

(ii)

EPR system: Set up an EPR system that requires plastic producers andimporters to take responsibility for their products throughout their life cycle,
from production to disposal, to incentivize collection and sorting, including by
informal waste pickers, to initiate investment in recycling facilities, and to fundstudies of advanced recycling and material recovery methodologies. The
system would include fees paid by plastic producers, which would be used tofund initiatives aimed at reducing plastic waste, such as product design,material substitution and end-of-life management.

(iii)

Public-private partnerships: Foster public-private partnerships to fund andimplement initiatives aimed at reducing plastic waste. Companies could
contribute funding, expertise and resources to support projects that align with
their sustainability goals and the instrument’s objectives.

(iv)

Credit schemes: Use credit schemes to finance initiatives that reduce plastic
waste. The credits would be generated by projects that reduce greenhouse gas
emissions, such as recycling, and sold to companies and governments to offset
their carbon footprint.

(v)

Funding through private-sector entities involved in the life cycle of plastic:
Introduce a packaging fee.

(vi)

Product charges: Introduce charges on specific plastic products, such as
single-use items, to encourage a reduction in their use or increased use of moresustainable alternatives. The revenue generated could be used to financeinitiatives aimed at reducing plastic waste.

(vii)

Other market-based approaches, such as pricing mechanisms and financial
incentives, to encourage or discourage certain behaviours or practices.

(viii)

Voluntary contributions: Encourage voluntary contributions fromfoundations, individuals and businesses to support initiatives aimed at tacklingplastic pollution.

2.

Capacity-building
Comment: Capacity-building can help to ensure that all parties have the information and expertisethey need to effectively implement the provisions of the instrument. Capacity-building provisions
can promote cooperation, technology transfer and education and training, and, along with otherprovisions, establish networks for knowledge and know-how exchange to assist in theimplementation of obligations under the instrument. It could also help ensure that all countries,
especially developing countries and small island developing States, have access to adequate, timely
capacity-building support.
25.
The committee may wish to consider including some or all of the following potential options
for capacity-building:(a)Provide for the establishment of capacity-building programmes that arecountry-driven and responsive to the specific priorities and national circumstances of each country.
Developing-country parties, especially least developed countries and small island developing States,
could receive special attention and support.
(b)

Provide for the governing body to develop a capacity-building strategy or mechanism

to:
(i)

promote the development, transfer and dissemination of environmentally soundtechnologies, best practices, guidelines, and standards on issues related to the
instrument.

(ii)

strengthen the technical, institutional and human resource capacity ofdeveloping countries to effectively implement the provisions of the
instrument, including in areas such as scientific research, data management andanalysis.

(iii)

promote cooperation and enhance the capacities of developing country parties
to monitor and report on their implementation of the provisions of the
instrument.

(c)Provide for the development and implementation of training and education
programmes to enhance the knowledge and skills of government officials, industry representatives andother stakeholders on issues related to the instrument, including waste management, EPR andsustainable consumption and production.
(d)Support the establishment of regional and national networks to promote
information-sharing, collaboration and capacity-building on issues related to the instrument.
(e)Encourage the involvement of the private sector, civil-society organizations andlocal communities in capacity-building activities, including through public-private partnerships andcorporate social responsibility initiatives.
(f)
Provide for the development and implementation of monitoring and evaluation
frameworks to track the effectiveness of capacity-building activities and identify areas for
improvement.
3.

Technical assistanceComment: Technical assistance may be required for developing countries to effectively implement
the provisions of a treaty and achieve its objectives. Financial assistance modalities establishedunder the instrument could provide for financial and technical support for developing countries,
and for developed countries to contribute to such financing, in accordance with the principle ofcommon but differentiated responsibilities.
26.
The committee may wish to consider including some or all of the following potential areas for“adequate and timely” technical assistance:(a)Support for waste management and recycling infrastructure;(b)

Development of alternative materials and technologies;(c)countries;

Capacity-building to enhance the skills and knowledge of stakeholders in developing

15

(d)
Technology transfer to enable developing countries to adopt new technologies andpractices for reducing plastic pollution.
27.
The committee may wish to consider including some or all of the following potential areas fortechnical assistance:(a)Capacity-building and institutional strengthening, including training, workshops
and other forms of knowledge and skills transfer;(b)Information exchange and knowledge-sharing, including the dissemination of bestpractices, lessons learned and other relevant information;(c)Monitoring, reporting and verification, including the development andimplementation of monitoring, reporting and verification systems and procedures.
4.

Technology transfer on mutually agreed terms
Comment: Technology transfer is the transfer of knowledge, technologies and expertise to othercountries and jurisdictions. To ensure equity among countries and regions, especially the mostvulnerable countries and regions, including small island developing States, countries that lack thenecessary technological capabilities and resources to implement the instrument effectively may
need to be supported. Technology transfer allows developing countries to access technologies andknowledge that can help them meet their obligations under the future instrument. Technology
transfer supports the implementation of the instrument, as it can promote technological innovation,
facilitate implementation, support capacity-building and reduce the technology gap between
developed and developing countries.
28.

The committee may wish to consider the following potential options:(a)Developing a clear definition of “technology transfer on mutually agreed terms”:
Member States may wish to establish a clear definition of “technology transfer on mutually agreed
terms” to ensure that all parties involved understand what it entails. A clear definition will help toprevent misunderstanding and disputes that could arise from different interpretations of the term.
(b)
Convention.

Considering the language used for technology transfer in the Minamata(c)
Fostering an enabling environment for technology transfer: An environment
conducive to technology transfer could be created, where intellectual property rights are protected andaccess to technology is facilitated. This can be achieved through measures such as creating supportive
legal and regulatory frameworks, providing technical assistance and capacity-building and promoting
partnerships and collaborations.
(d)Promoting technology needs assessment and technology cooperation: The
instrument could provide for the development of technology needs assessments to identify priority
areas for technology transfer. Technology cooperation can then be facilitated through partnerships
between developed and developing countries, with developed countries providing access toappropriate technologies and technical expertise. This would also allow technology transfer to not be
only nationally driven and responsive to country needs but also appropriate.
(e)
Developing and implementing effective mechanisms for technology transfer:
Effective mechanisms for technology transfer, including transfer agreements, licensing agreements
and joint ventures, could be developed and implemented. Such mechanisms should be designed to suitthe needs of individual countries and ensure that mutually agreed terms are upheld.
(f)Considering what role (sub)regional centres under the Basel Convention andUnited Nations (sub)regional centres can play in technology transfer.

16

D.

Implementation measures
The committee may wish to consider a range of implementation measures, including NAPs, national
reporting, provisions on compliance, periodic assessment and reporting and a multi-stakeholder
agenda, in line with paragraphs 3 (d)–(h) of Environment Assembly resolution 5/14.

1.

National action plans
Comment: Environment Assembly resolution 5/14 refers to the development of provisions todevelop, implement and update NAPs reflecting country-driven approaches to contribute to theobjectives of the instrument; and to promote NAPs to work towards the prevention, reduction andelimination of plastics pollution and support regional and international cooperation. 20 NAPs canplay an important role in national- and local-level implementation. They can be the driver inensuring that nationally appropriate policy, legislative and institutional arrangements are put inplace to implement legally binding provisions of the instrument and develop additional policy
measures. They can also be effectively used to engage key stakeholders in national-level
implementation through both participation in the development of NAPs and institutionalarrangements for their implementation. In order to ensure progress and raise the level of ambition
over time, NAPs are often time-bound and based on clear benchmarks, clear and measurable
targets and well-defined actions and outputs. They can also include follow-up arrangements and abuilt-in periodic review and update.
At the international level, NAPs can serve as a tool to demonstrate how a party contributes toachieving the objective of the instrument. They can represent an effective means for sharing
information on how the instrument is being implemented at the national level and on best practices.
For NAPs to be effectively used at the intergovernmental level, transparency and comparability of
information is important. This can be achieved through a commonly agreed sets of principles,
elements and approaches that at the same time allow for the nationally appropriate nature of
NAPs.
29.
The committee may wish to consider including one or more of the following possible
obligations for parties in relation to NAPs:(a)
Develop and implement a NAP reflecting nationally defined arrangements andmeasures across the life cycle of plastics, to implement the provisions of the instrument andcontribute to the achievement of its objective.
(b)
Review and update the NAP on a periodic basis (every [--] years) to ensure theprogressive reduction of plastic pollution in line with the objective of the instrument, taking into
account best available science and innovation and any relevant guidance from the governing body.
(c)Submit NAPs and revised NAPs through the secretariat.

30.
The committee may wish to consider the following potential options for generally applicableguidance on NAPs:(a)
A set of common elements and minimum content of NAPs, to be specified in anannex to the instrument;(b)Harmonized guidance on NAPs, to be developed by the governing body to facilitate
preparation and submission of NAPs and promote their transparency and comparability across parties
while allowing for their nationally appropriate nature;(c)
Either (a) or (b) above, in combination with a NAP evaluation upon submission andfollowing completion of the NAP. Evaluation to be carried out by the specially establishedscientific, technical and economic panels in relation to the level of ambition and challenges and theneeds encountered.

20 Environment Assembly resolution 5/14, paras. 3 (d) and (e).

17

2.

National reporting
Comment: Environment Assembly resolution 5/14 refers to the development of provisions to specify
national reporting, as appropriate.21 National reporting allows individual parties to an agreement
to share their experiences, successes and challenges. It serves as one of the key tools for governing
bodies of multilateral environmental agreements to identify needs and prioritize support for
implementation. It also serves as means of experience-sharing and enables exchange of goodpractices and innovative approaches. The collective of the parties can rely on information fromsuch reports to establish the overall trends in implementation and track progress. Reporting canthus be an important component in evaluating the effectiveness of the instrument overall. At thenational level, the preparation of reports helps drive implementation, promotes better monitoring
and can serve an effective tool for engaging key stakeholders, including civil society, the private
sector and the scientific community. For some developing countries, effective reporting may itself
require capacity-building and assistance. Some Member States, in their submissions, stressed thatany reporting framework should take into account national capabilities and circumstances.
31.

The committee may wish to consider the following in relation to national reporting:(a)of reports:

(b)

(c)

Including one or more of the following potential options in relation to the submission(i)

A legally binding obligation to periodically (every [--] years beginning in year[--]) submit national implementation reports;(ii)

An encouragement to submit national implementation reports;(iii)

The national implementation reports to be submitted through the secretariat
and be made available on the website;

Including one of the following potential options in relation to the format of reports:(i)Core elements of the reporting requirements to be identified in (an) article(s)of the instrument, and the governing body to develop a common reporting
framework for reporting by all parties;(ii)

Parties to determine their own reporting format when submitting theirnational implementation reports;

Including one of the following potential options for the scope of reports:(i)

National implementation reports will:a.

Address the implementation of the legally binding obligations andvoluntary approaches under the instrument; and/orb.

Provide detailed quantifiable information on the progress in theimplementation of the NAPs;(ii)

The scope of the national implementation reports will be determined by thesubmitting party.

(iii)

The governing body will provide guidelines on what is to be included innational reports.22(d)Potential option for the review of reports: The secretariat will review and verify
national implementation reports, with a view to communicating the outcomes of the review to thegoverning body, including with a view to identifying capacity needs and constraints and facilitating
efforts to match the available resources and capacity-building efforts to the needs and constraints
identified.

21 Ibid., para. 3 (m).
22 The secretariat has compiled the information received in the submissions and has made it available in an

information document.
18

3.

Compliance
Environment Assembly resolution 5/14 refers to the development of provisions to addresscompliance.23 Some multilateral environmental agreements contain provisions on the review ofparties’ compliance with their obligations under the agreement. In many cases, the objective insetting up a review mechanism is both to facilitate implementation of all the provisions of anagreement and to promote parties’ compliance with any legally binding obligations. Manymechanisms in place under multilateral environmental agreements consist of a compliancecommittee or a compliance and implementation committee. Such committees are usually
established in the treaty itself, with key features and principles set out in the treaty articles. The
modalities for the operations of the mechanism are then set out in the decisions of the governing
body.
Generally, compliance provisions address implementation and compliance needs in relation to thesubstantive provisions of the respective treaty. Some clarity on the scope of the substantive
provisions may therefore be needed before the design of the compliance mechanism can befinalized.
The options set out below reflect those identified in the submissions as well as features of
implementation and compliance mechanisms traditionally found under multilateral environmental
agreements.
32.

The committee may wish to consider the following in relation to compliance:(a)
Establishment, in the body of the instrument, of a mechanism consisting of acommittee to facilitate implementation and promote compliance with the provisions of the instrument.
The governing body can be mandated to develop modalities and procedures for the operation of themechanism.
(b)

Facilitative and non-adversarial nature of the mechanism.

(c)

One of the following potential options in relation to the scope of consideration:(i)

Implementation of all provisions and compliance with the legally binding
provisions of the instrument;24(ii)

Compliance with the legally binding provisions of the instrument;25(iii)

Implementation of the provisions of the instrument; 26(iv)

One of options a. to c. above with the addition of the consideration of systemic
issues of implementation or compliance (issues that relate to common trends
with regard to challenges in implementation and which may require attentionof the governing body. Such issues usually become evident on review ofnational reports and/or periodic review of the status of implementation orassessment of effectiveness of the instrument. They are not attributed to anindividual party but rather reflect a common challenge faced by a number ofparties. Any such systemic issues and the resulting recommendations usuallycall for action and policy guidance by the governing body of the instrument).

(d)Some or all of the following potential options in relation to initiation of considerationof implementation and compliance issues:27(i)Self-submission by a party experiencing challenges with implementation orcompliance;(ii)

Submission by a party concerning another party’s compliance with its
legally binding obligations under the instrument;(iii)

Communication from the secretariat (e.g., based on information available to it
from national reports or other sources of information);

23 Environment Assembly resolution 5/14, para. 3 (p).
24 Gap identified by the secretariat.
25 Gap identified by the secretariat.
26 Gap identified by the secretariat.
27 Gaps identified by the secretariat.

19

(e)
measures:28

4.

(iv)

Initiation by a compliance committee based on the information available to it(e.g., from the data on the status of submission of national reports or othermandatory information);(v)

Referral by the governing body.

One of the following potential options in relation to the nature and possible range of(i)Both punitive and non-punitive measures;(ii)

Non-punitive measures.

Periodic assessment and monitoring of the progress of implementation of the instrument andeffectiveness evaluation
Comment: Environment Assembly resolution 5/14 refers to the development of provisions toperiodically assess the progress of the implementation of the instrument and the effectiveness of the
instrument in achieving its objectives.29 Effectiveness evaluation might assess the effectiveness ofthe collective effort by all parties (e.g., akin to the global stocktake under article 14 of the Paris
Agreement) and whether any revisions to the instrument’s provisions or the annexes or guidelines
thereunder may be required in the light of the assessed effectiveness, and take into account thecurrent best available science (akin to the Montreal Protocol standing process to review the needfor possible amendments). The key principles and features of such evaluation may be considered forinclusion in the body of the instrument, with further modalities to be developed and reviewed by thegoverning body.
Some Member submissions noted the need for the evaluation to be comprehensive, balanced andsolutions-oriented, as well as robust, science-based, transparent and cost-effective.
33.
The committee may wish to consider the following with regard to periodic assessment of the
progress of implementation and effectiveness evaluation:(a)One or more of the following options in relation to the purpose of periodic assessmentand monitoring:

(b)

(c)

(i)

To assess and evaluate collective progress in achieving the objective(s) of
the instrument, addressing efforts in relation to the implementation of all its
provisions;(ii)

To evaluate the sufficiency of the obligations under the instrument;(iii)

To understand the fulfilment of developed countries’ obligations to provide
assistance in managing plastic waste in developing countries through a reportdeveloped by the secretariat.

One or more of the following options in relation to periodicity:(i)

The evaluation should take place on a periodic basis while allowing sufficient
time for implementation efforts and progress to be made.

(ii)

The determination of periodicity should take into account sequencing withother relevant processes, including NAPs, national reporting and any scientificand technical assessments.

One or more of the following options for the related institutional arrangements:(i)

An evaluation process should be determined in the body of the instrument,with further modalities to be developed by the governing body.

28 Experience with other multilateral environmental agreements indicates that the possible range of measuresdepends on the nature and scope of the substantive provisions of the instrument. Non-punitive measures may
include dialogues between the committee and the party concerned; facilitation of technical assistance;
recommendations to the governing body regarding possible assistance required; and issuance (orrecommendations for issuance by the governing body) of cautions or declarations of non-compliance in relation tolegally binding obligations.
29 Ibid., paras. 3 (g) and (h).
20

(ii)

The instrument should establish an intergovernmental scientific body thatwill track progress on targets and leakage of plastics and microplastic into theenvironment.

(iii)

The outcomes of the evaluation exercise should be technical in nature andserve as an input for further policy guidance by the governing body.

(d)Sources of information could consist of existing and available sources, including
national reports, scientific and socioeconomic assessments, recommendations from the compliancereview mechanism under the instrument and any reports on capacity-building under the instrument.

E.

Additional matters
Comment: The committee may wish to consider a range of measures to address additional mattersin line with relevant paragraphs of Environment Assembly resolution 5/14, including to increaseknowledge through awareness-raising, education and the exchange of information;30 to promoteresearch into and development of sustainable, affordable, innovative and cost-efficientapproaches;31 to consider the best available science, traditional knowledge, knowledge ofIndigenous Peoples and local knowledge systems;32 and to promote cooperation and coordination
with relevant regional or international conventions, instruments and organizations while
recognizing their respective mandates, avoiding duplication and promoting complementarity ofaction.33

1.

Awareness-raising and education
Comment: Awareness-raising and education can be fundamental to addressing plastic pollution,
including in the marine environment, in a sustainable manner. Education and awareness-raisingactions can provide affected communities, workers, producers and consumers with information on
the impact of plastics pollution on human health and the environment and on the role of recycling,
reduced plastic use, waste management and alternatives. Education and awareness can play a keyrole in enabling a transition to sustainable consumption and production and supporting andempowering affected communities and groups, including the informal sector.
34.
The committee may wish to consider including some or all of the following potential options
related to awareness-raising and education:
(a)

(b)

In relation to scope and focus, the instrument could promote:(i)

Behaviour change;(ii)

Capacity development;(iii)

Sharing of information on environmental impact, sustainability, reduction ofplastic use and demonstrated successes;(iv)

Increased awareness and understanding of the instrument’s goals andobjectives.

In relation to the mechanism(s), the instrument could include provisions for:(i)

A communication and education plan for the instrument, involving all
stakeholders;(ii)

Educational and awareness-raising programmes and citizen campaigns;(iii)

Public participation and public access to information;(iv)

Training at the national, regional and international levels, including exchange
visits and specific dedicated training;(v)

The role of the Global Partnership on Plastic Pollution and Marine Litter andother multistakeholder entities;

30 Ibid., para. 3 (j).
31 Ibid., para. 3 (o).
32 Ibid., para. 4 (d).
33 Ibid., para. 3 (k).

21

2.

(vi)

Guidance on plastic pollution in school curriculums and enhance local
environmental education related to the impact of plastic pollution;(vii)

Knowledge transfer strategies around the health risks of plastic pollution, andpotential alternatives and the importance of behavioural change.

Exchange of information
Comment: The exchange of information can make an important contribution to ensuring theeffective implementation of an agreement and in keeping the agreement aligned with the latest
available science and technology. Information exchange at the regional and international levels
can help disseminate best practices, successes to be scaled up and lessons learned, and can provide
a useful means of sharing insights into the latest scientific research and technological innovations.
35.
The committee may wish to consider including some or all of the following potential options
related to exchange of information:
(a)

(b)

22

In relation to scope and focus:(i)

Exchange information on best practices, knowledge, research and technologies.

(ii)

Exchange information on sustainable consumption and production,
environmentally sound waste management, sources of plastic pollution, humanand animal exposure to plastic pollution and the associated risks and reduction
options, among policymakers, stakeholders and the public.

(iii)

Exchange information, if any, on the wisdom of indigenous systems andpractices.

In relation to the mechanism(s):(i)

Include mandatory disclosure (of harmonized information on
chemical/material composition of plastic products and its intended uses
throughout the life cycle).

(ii)

Establish a registry – the secretariat should establish a central data exchange
where information reported by parties could be made available, initiatedthrough the instrument and reflected in NAPs.

(iii)

Include prior informed consent for transboundary movements through an
information exchange mechanism.

(iv)

Build on ongoing voluntary initiatives such as the and the New Plastics
Economy Global Commitment from the Ellen MacArthur Foundation and theUnited Nations Environment Programme (UNEP).

(v)

Use the multi-stakeholder action agenda to share knowledge and highlight
successes, to replicate and scale sustainable solutions.

(vi)

Use regional networks for information exchange, lessons learned andcapacity-building.

(vii)

Promote cooperation with other countries and international organizations.

(viii)

Organize events on the sidelines of governing body sessions to exchange bestpractices.

(ix)

Learn from other processes such as those under the Convention on Biological
Diversity, SAICM and the United Nations Framework Convention on Climate
Change.

3.

Research
Comment: Research provides the knowledge base for multilateral environmental agreements andcan play a key role in filling knowledge gaps, keeping the instrument aligned with recent scientificand technical developments and enabling science-based evaluation of progress. Although notcommonly a stand-alone section,34 research is frequently mentioned in related multilateralenvironmental agreements.35
A number of submissions referred to specific aspects of research; those have been included in thepotential core obligations developed in section II.B of this document, as relevant.
36.
The committee may wish to consider including provisions to encourage parties to promote thecooperation and coordination of research to improve understanding of plastic pollution and advancetechnological innovation.
37.
The committee may wish to consider including in the instrument a list of possible functions
that could be discharged by potential subsidiary bodies for scientific and technical cooperation andcoordination (linked to potential options identified in appendix II, section C), including:(a)Provide an analysis of information and scientific, technical, technological andsocioeconomic advice and recommendations to the governing body.
(b)Perform any functions assigned to it by the governing body on the basis of best
available science and traditional knowledge, including Indigenous Peoples’ knowledge.
38.
The committee may wish to consider including provisions to encourage research into
specific areas, including in relation to:
(a)

(b)

(c)

The state of current knowledge, including:(i)

Evaluation of knowledge gaps;(ii)

Knowledge of plastic consumption, production, material flows, sectoral
analysis and releases to the environment;(iii)

Analysis of data and tracking of progress on plastic production, use, movement
and leakage;

The impact of plastic pollution, including:(i)

Impact on human health and the environment, including persistent organic
pollutants, and the relationship between plastic pollution, biodiversity loss andclimate change;(ii)

Economic and socioeconomic impact;(iii)

Impact of transboundary movements of plastic waste;(iv)

Methodologies relevant to the implementation of the instrument, including
methodologies for the monitoring of the environmental, socioeconomic andhealth effects of plastic pollution and progress towards achieving theobjective(s) of the instrument.

Potential avenues for addressing the problem, including:(i)

Reduced plastic production and increased reuse and recycling;(ii)

Technological innovation, including development of alternatives;(iii)

Material recycling, chemical recycling, effective waste disposal and use of
biodegradable substitute plastics;(iv)

Best available technologies and best environmental practices to address plastic
pollution;

34 An exception is found in article 5 of the United Nations Framework Convention on Climate Change (researchand systematic observation).
35 See, for example, Stockholm Convention, art. 11; United Nations Convention on the Law of the Sea, part XIII;International Convention for the Prevention of Pollution from Ships, 1973, art. 17 (d); Minamata Convention on
Mercury, art. 19; Paris Agreement, art. 7 (7) (c).
23

4.

(v)

Instrumentation for monitoring presence and levels of plastics in humans;(vi)

Assessment of the effectiveness, impact and cost of interventions and policies;(vii)

Increased promotion of publications from developing countries;(viii)

Comparative analysis of product life cycles of alternatives and assessment of
criteria for sustainable production and use of plastics and alternatives.

Cooperation and coordination
Comment: Environment Assembly resolution 5/14 refers to the development of a provision topromote cooperation and coordination with relevant regional or international conventions,
instruments and organizations, while recognizing their respective mandates, avoiding duplicationand promoting complementarity of action.36
Multilateral instruments often provide for cooperation and coordination to support the effective
implementation of the provisions of the instrument and to help situate the instrument in the wider
international environmental governance landscape. Cooperation and coordination can play animportant role in the provision of means of implementation, but also in other parts of the
instrument. They also promote complementarity with treaties that address related matters while
ensuring that there is no duplication of effort or contradiction in the implementation of therespective obligations.
Member States’ submissions referred to other potential cooperation and coordination actors,
including non-state actors and public-private partnerships. Given the long-term nature of the
instrument, the committee may wish to consider including a general provision mandating thegoverning body to promote cooperation and coordination with such categories of actors.
39.
The committee may wish to consider including provisions for cooperation and coordination
with relevant regional or international conventions, instruments and organizations, in particular inrespect of some or all of the following:(a)Technology transfer and technical innovation: promoting plastic collection andrecycling technologies; product design, materials and manufacturing processes; sustainable green
chemistry; and circular approaches;(b)Research: joint research projects, including with developing countries;(c)

Capacity-building, including mechanisms for capacity-building;(d)Awareness-raising and knowledge-sharing: exchanging best practices; andnetworks/platforms/forums for knowledge exchange;(e)Technical and scientific cooperation, including regional platforms or databases;
technical-scientific cooperation projects; and networks of technical centres;(f)5.

Monitoring.

Stakeholder engagement
Comment: Environment Assembly resolution 5/14 refers to the development of a provision toinitiate a multi-stakeholder action agenda.37 A multi-stakeholder action agenda could provide aspace to harness the collective actions of all stakeholders at a global level, driving progress
towards solutions and amplifying existing momentum and scale. A multi-stakeholder action agenda
could also provide a modality under which initiatives, actions and solutions can be organized andguided to converge and have a measurable collective impact on plastic pollution.
40.
The committee may wish to consider the following with regard to a multi-stakeholder action
agenda:(a)Promoting ambitious actions to address plastic pollution and promote cooperation
with a wide variety of stakeholders, including by:(i)

Promoting high-level engagement;

36 Environment Assembly resolution 5/14, para. 3 (k).
37 Ibid., para. 3 (m).

24

(b)

F.

(ii)

Promoting ambitious action and cooperation at the local, regional and global
levels;(iii)

Mobilizing financial and technical resources from stakeholders;(iv)

Sharing knowledge and highlighting successes to replicate and scale
sustainable solutions.

With respect to mechanisms of the multi-stakeholder action agenda, considering:(i)

Following a model similar to the climate Marrakesh partnership model, in
close association with existing structures and coalitions;38(ii)

A portal on stakeholder actions;(iii)

Periodic progress reporting to the instrument’s governing body (e.g.,
self-reported progress on commitments, descriptions of new actions andresponses, expert input on specific topics);(iv)

Multi-stakeholder forums, submissions, seminars and side events andparticipation in a potential technical expert group.

List of potential annexes to the instrument39
41.
The committee may wish to consider the following potential options for annexes to be
included in the instrument:(a)List of problematic and avoidable plastic products; criteria for determining problematicand avoidable plastic products; and possible dates for banning, phase-out, reduction or control (seesect. II.B.2);(b)
List of polymers and chemicals of concern; criteria for determining polymers andchemicals of concern; and possible dates for banning, phase-out, reduction or control (see sect. II.B.3);(c)

List of sources to limit the release of intentionally added microplastics (see sect. B.4);(d)Circularity criteria and guidance for design and production of plastic products andpackaging (see sect. II.B.6);(e)sect. B.8);

Criteria for determining the availability of safe alternatives and substitutes (see(f)
Categories of policy measures to reduce and, where feasible, eliminate releases ofplastics to water, land and air (see sect. II.B.9);(g)

List of common elements and minimum content of NAPs (see sect. II.D.1).

38 Gap identified by the secretariat.
39 A number of submissions provided input on possible annexes for the future instrument. Such proposals areincluded in this list and further details are provided in the related information document.
25

UNEP/PP/INC.2/4

Appendix I
Additional potential options for elements not explicitly mentioned in
the submission templateI.

Introductory elements

A.

Preamble
Comment: The preamble typically sets out the history and context of the instrument and includes
relevant references in the context of international law. It often serves as a place to include some of
the concepts and principles that do not find their way into the operative provisions during thenegotiations but are deemed important for an understanding of the context of the instrument. The
preamble is read in conjunction with the other parts of the instrument and can be used forinterpretative purposes. This subsection identifies elements flagged by Member States in theirsubmissions, in their specific proposals for either the preambular paragraphs or other potential
elements, that by nature are traditionally found in the preamble of a multilateral environmental
agreement. The committee may wish to note that not all of listed possible elements for a preamble
will need to be included and, at the same time, other elements of the preamble may be identified as
the negotiations progress.
1.

The committee may wish to consider the following elements for inclusion in a preamble: 1(a)Acknowledgement of synergies between economy, society and the environment with aview to attaining sustainable development;(b)plastics;

Recognition of the need to leverage and further develop a circular economy for(c)
Recognition of plastic pollution as a global and transboundary issue that requires acollective and coordinated response;(d)Recognition of the need to end plastic pollution, including through efforts aimed ateliminating the release of plastic into the environment by 2040;(e)

Recognition of the important role plastic plays in society;(f)

Recollection of the Rio Principles;(g)

Recognition of the need for a healthy planet to preserve life for future generations;(h)Recognition of the importance of a just transition;(i)
Peoples;

Recognition of a human-rights-based approach, including the rights of Indigenous(j)

Recognition of the precautional approach;(k)

Recognition the importance of the informal sector;(l)Recognition of the special circumstances of countries in need and of national
circumstances and capabilities;(m)
Recognition of the role of traditional knowledge and traditional knowledge systems,
practices and innovation;(n)

Recollection of the Guiding Principles on Business and Human Rights.

1 Discussions on the preamble could take place once the substantive provisions of the instrument have beenfurther developed.
26

UNEP/PP/INC.2/4

B.

Definitions
Comment: Definitions are usually required for terms that will be key to the implementation of the
instrument. They may be sourced from other treaties or related processes, scientific documents orother relevant documents or, where internationally recognized definitions do not yet exist,
developed for the purposes of the instrument. This subsection does not attempt to establish an
exhaustive list or propose that all the terms on the list would need to be defined in the instrument,
nor does it seek to define any of the terms at this stage. Rather, it seeks to capture in a list concepts
referred to in the submissions and identified in document UNEP/PP/INC.1/6, setting out a glossaryof key terms, and in appendix I of document UNEP/PP/INC.1/7, on plastics science, that may need
to be defined. The list will need to be reviewed as the negotiations progress.
The committee may wish to note that documents UNEP/PP/INC.1/6 and UNEP/PP/INC.1/7 provide
definitions for some of the terms in the following list, as well as guidance on their status in thecontext of international law or policy.
2.
While noting that many key terms are defined in UNEP/PP/INC.1/6 and UNEP/PP/INC.1/7,
the committee may wish to consider defining the following terms, as proposed in the submissions:
3.

C.

Atmospheric and terrestrial;(a)Environment, including marine environment;(b)

Bio-based, biodegradable and compostable plastics;(c)

Biodiversity and the climate system;(d)Ecosystems;(e)Essential use;(f)Full life cycle approach;(g)Life cycle assessment;(h)Mountains and water bodies;(i)

Plastic pollution;(j)

Plastic substitutes and plastic alternatives;(k)

Plastics, including microplastics;(l)

Problematic and avoidable plastic products;(m)Short-lived plastic products;(n)Single-use plastic products.

Scope
Comment: The determination of whether and how to define the scope of the instrument depends on
the problem the instrument is aimed at addressing. As noted in paragraph 10 of document
UNEP/PP/INC.1/5, on potential elements, there are various approaches to defining scope,
including (a) defining the products or substances to which the instrument applies (and to which itdoes not), similarly to article 3 of the Rotterdam Convention on the Prior Informed Consent
Procedure for Certain Hazardous Chemicals and Pesticides in International Trade; (b) defining thejurisdictional scope of application, similarly to article 4 of the Convention on Biological Diversity;(c) defining the uses of resources to which the instrument applies, similarly to article 1 of theConvention on the Law of the Non-navigational Uses of International Watercourses; and (d) settingout a type or level of activity that will be controlled under the instrument, particularly in respect ofhazardous activities, similarly to article I of the 1996 Protocol to the Convention on the Preventionof Marine Pollution by Dumping of Wastes and Other Matter, 1972. These are not mutually
exclusive. These and other elements of scope could be explored, alone or in combination, should thecommittee decide to include provisions on scope in the draft instrument.

27

UNEP/PP/INC.2/4

4.
The committee may wish to consider one, or a combination, of the following scope-related
aspects for inclusion in the instrument:(a)
The legally binding instrument is expected to cover the whole life cycle of plastics,
from extraction to their production and design to their use, consumption and disposal, and address all
sources of plastic pollution, covering materials, products, chemicals, additives and microplastics,
recognizing the risk of plastic pollution to human health.
(b)
The legally binding instrument is to cover plastic pollution, including in the marine
environment, with plastic pollution understood to include microplastics, without being duplicative ofother multilateral efforts.
(c)overtime.

D.

The instrument is a legally binding instrument that allows evolution and strengthening

Principles2
Comment: The guiding principles set out in multilateral environmental agreements assist in theirimplementation and interpretation. Such principles may relate to principles of international law,principles of interpretation, or other conceptual contexts relevant to the agreement’s subject
matter. While they provide concepts for interpretation of operational paragraphs, they can be set
out in a separate section or referred to in the preamble. The following list is not an exhaustive listof principles, and no attempt has been made to define the principles listed. Furthermore, theirplacement in this section is not intended to prejudge the committee’s decision regarding their
inclusion or placement within the draft instrument.
5.

The committee may wish to consider including some or all of the following principles:(a)Precautionary principle;(b)

Rio Principles;(c)
The principle of equity, and the specific needs and special circumstances of developing
and least developed countries, including small island developing States;(d)

Cooperative and facilitative approach;(e)

Polluter pays principle;(f)Extended producer responsibility (EPR);(g)

Waste hierarchy;(h)Human rights, including the human right to a clean, healthy and sustainable
environment;(i)

Avoidance of adverse consequences to the climate, biodiversity and food security;(j)Transparency and reliance on best available science;(k)

Social rights, particularly of the informal sector workers;(l)Intergenerational responsibility;(m)
Gender equality and diversified perspectives, recognizing that marginalized andvulnerable communities are disproportionately affected by plastic pollution.

2 Principles may also be considered under the preamble and could be considered once substantive provisions of

the instrument have been further developed.
28

UNEP/PP/INC.2/4

II.

Institutional arrangements

A.

Governing bodyComment: Multilateral environmental agreements generally contain a provision or set ofprovisions establishing a main decision-making authority under the instrument. For conventions,this is usually a conference of the parties, while protocols usually have a meeting of the parties. The
relevant provisions may contain stipulations on who may attend and participate in sessions or
meetings of the body, the role of observers in those sessions or meetings and the authority of the
body to draft rules of procedure. Often, there will be a provision spelling out the general authorityof the body, as well as a provision on residual authority, namely the authority to take decisions onaction required to meet the objective or objectives of the agreement.
6.
The committee may wish to consider including some or all of the following potential options
for the functions of a governing body of the instrument:(a)Take decisions on convening of ordinary and extraordinary meetings of the governing(b)

Review and evaluate implementation of the instrument;

body;

(c)
Establish subsidiary bodies as it considers necessary for the implementation of the
instrument and oversight of their work;(d)
Cooperate, where appropriate, with competent international organizations andintergovernmental and non-governmental bodies;(e)
Review information made available to it, such as through national reporting andsubsidiary bodies;(f)

B.

Consider any matters related to compliance.

Subsidiary bodies
Comment: Some multilateral environmental agreements establish or mandate the establishment ofspecific permanent subsidiary bodies.3 The instrument may provide for the establishment of specificsubsidiary bodies or may defer such establishment to a decision of the governing body. Generally,
many of the essential features of such bodies, including their purpose and functions, compositionand decision-making process, are included in the instrument. Even if such bodies are notestablished, agreements will usually confer on the governing body the authority to establish them as
it deems appropriate.4 In some cases, a separate delegation of decision-making authority is made tobodies that report to the conference or meeting of the parties and that have the authority to makerecommendations to that body on subjects within their mandates. Mandates often relate totechnical, scientific or implementation issues. The instrument may also include provisions related torules of procedure that must be followed by subsidiary bodies, including whether the rules ofprocedure of the governing body apply mutatis mutandis to any subsidiary bodies.
7.
The committee may wish to consider including one or both of the following potential options
for the establishment of subsidiary bodies:(a)
A general mandate for the governing body to establish subsidiary bodies to assist
it on matters of implementation and governance of the instrument;(b)
An article of the instrument establishing one or more subsidiary bodies to support
the implementation of the instrument; in such case, the general parameters of their mandates would
be defined in the instrument and the authority to oversee their work would rest with the governing
body.

3 For example, the United Nations Framework Convention on Climate Change provides for the Subsidiary Body

for Scientific and Technological Advice in article 9 and the Subsidiary Body for Implementation in article 10,
while the Stockholm Convention provides for the Persistent Organic Pollutants Review Committee in article 19.
4 For example, the Minamata Convention on Mercury, art. 23 (5) (a).
29

UNEP/PP/INC.2/4

C.

Scientific and technical cooperation and coordination
Comment: Environment Assembly resolution 5/14 refers to the development of provisions toprovide scientific and socioeconomic assessments related to plastic pollution and to promoteresearch into and development of sustainable, affordable, innovative and cost-efficientapproaches.5 In the resolution, the Environment Assembly also decided that intergovernmental
negotiating committee, in its deliberations on the instrument, was to consider the possibility of amechanism to provide policy-relevant scientific and socioeconomic information and assessment
related to plastic pollution.6
In their submissions, Member States put forward options ranging from establishing a scientificsubsidiary body akin to that under the Stockholm Convention on Persistent Organic Pollutants or
the Montreal Protocol or providing for the governing body to establish ad-hoc scientific, technicaland economic panels to address specific mandates, to making use of existing and future multilateralscientific platforms such as the science-policy panel to be established pursuant to Environment
Assembly resolution 5/8 or the Strategic Approach to International Chemicals Management(SAICM). The latter option would likely require steps to be taken to enable the bodies establishingsuch platforms to mandate their work in relation to the instrument, under the guidance of thegoverning body. A number of Member States, in their submissions, also indicated that linkages with
relevant processes under other multilateral environmental agreements in the area of science andtechnology were important.
8.
The committee may wish to consider including some or all of the following potential options,noting that they are not necessarily mutually exclusive:(a)
Establishment of a mechanism in a form of a subsidiary body to provide
policy-relevant scientific, technical and socioeconomic information and assessment related to plastic
pollution to inform the implementation of the instrument;(b)Referral, by the governing body, of certain matters for consideration by and advice
from existing platforms and arrangements, such as the science-policy panel to be establishedpursuant to Environment Assembly resolution 5/8, and identification of its relationship to the
instrument;(c)
Convening, by the governing body, of scientific, technical and economic panels of
experts to provide guidance on NAPs, produce reports and assessments of progress, provide
recommendations on any revisions that might be needed to increase ambition and makerecommendations;(d)Establishment, by the governing body, of an evidence and technical body and adecision by the governing body on interaction of the evidence and technical body with thescience-policy panel to be established pursuant to Environment Assembly resolution 5/8.

D.

Secretariat
Comment: Environment Assembly resolution 5/14 invites the committee to consider, in its
deliberations, efficient organization and streamlined secretariat arrangements. 7 Multilateralenvironmental agreements generally contain a provision establishing a secretariat. If this is notdone in the instrument itself, such agreements generally provide that the governing body will
designate the entity to administer the secretariat functions at its first meeting. The agreement willusually list the functions of the secretariat, with some of the most common being arranging andproviding logistical support for meetings of the governing body and its subsidiary bodies, gatheringand preparing background information on issues related to the development and implementation of
the instrument, and assisting parties in the exchange of information related to implementing theagreement.

5 Environment Assembly resolution 5/14, paras. 3 (i) and (o).
6 Ibid., para. 4 (f).
7 Ibid., para. 4 (g).

30

UNEP/PP/INC.2/4

9.
The committee may wish to consider including a provision establishing the secretariat of the
instrument with some or all of the following functions:(a)Make arrangements for sessions of the governing body, subsidiary bodies, if any, andthe multistakeholder action agenda, if any, and provide related services as required;(b)
Coordinate with the secretariats of other relevant international bodies and instruments,
as appropriate;(c)
Assist parties in the exchange of information related to the implementation of the
instrument as required;(d)Prepare and make available to the parties periodic reports based on national reportingand other sources of information, as appropriate;(e)Enter, under the overall guidance of the governing body, into administrative andcontractual arrangements that may be required for the secretariat to perform its functions;(f)Perform any secretariat functions specified in the instrument and any other functions as
may be determined by the governing body.

31

UNEP/PP/INC.2/4

Appendix II
Background1.
The adoption of resolution 5/14 by the United Nations Environment Assembly in March 2022
represented a significant step towards addressing plastic pollution. In the resolution, the Environment
Assembly notes with concern that plastic pollution is a serious environmental problem at a global scalethat is negatively impacting the environmental, social and economic dimensions of sustainable
development and affirms the urgent need to strengthen global coordination, cooperation andgovernance to take immediate action towards its long-term elimination.
2.
The resolution1 further specifies, in paragraph 3, that the intergovernmental negotiating
committee is to develop an international legally binding instrument on plastic pollution, including in
the marine environment, which could include both binding and voluntary approaches, based on acomprehensive approach that addresses the full life cycle of plastic, taking into account, among otherthings, the principles of the Rio Declaration on Environment and Development, as well as national
circumstances and capabilities. Paragraph 3 of the resolution also sets out a list of provisions to be
included in the instrument, and paragraph 4 outlines a list of aspects to be considered by theintergovernmental negotiating committee in its deliberations.
3.
While plastic has brought many benefits to society, undoubtedly making life safer and moreconvenient for many industrial sectors and in different aspects of life – for example, in the medical,
food and transport sectors – it has also brought with it environmental and public health challenges.
Urgent action to tackle leakage into the environment is needed across the plastic life cycle from all ofsociety, including national governments, cities, civil society, consumers and businesses across thevalue chain, including the informal sector, to tackle this growing problem.
4.
As per paragraph 4 of Environment Assembly resolution 5/14, the intergovernmental
negotiating committee is to consider the best available science, traditional knowledge, knowledge ofIndigenous Peoples and local knowledge systems in its deliberations. To support such considerations,the following box highlights key figures for plastic pollution, drawn from recent sources.
Key figures for plastic pollution
•

•

•
•

•
•

Plastic pollution is at the forefront of the triple planetary crisis of climate change, biodiversity loss andpollution, and the problem continues to grow. Global plastic production and consumption have grownexponentially since the 1950s and is set to triple by 2060 if business continues as usual. 2 Annual global
production of plastics doubled from 234 million metric tons in 2000 to 460 million metric tons in 2019. It
is forecast to triple under a business-as-usual scenario to an estimated 1,231 million metric tons in 2060.
Global plastic materials production in 2020 was dominated by the following regions: Asia (49 per cent),
North America (19 per cent) and Europe (15 per cent).
Short-lived plastic products made up 66 per cent of plastics use in 2019. Short-lived plastic products
include packaging made from low-density polyethylene (e.g., bags, containers, food packaging film),
containers made from high-density polyethylene (e.g., bottles, shampoo bottles, ice cream tubs) andpolyethylene terephthalate (e.g., bottles for fluids).
Macroplastics accounted for 88 per cent of global plastic leakage to the environment in 2019, around19.4 million metric tons. This figure is projected to increase to 38.4 million metric tons in 2060.
Fishing gear is particularly problematic. It has been estimated that fishing activities and other marine
activities contribute around 0.3 million metric tons to global macroplastic leakage. Global fishing gear
losses each year may include 5.7 per cent of all fishing nets, 8.6 per cent of all traps and 29 per cent of alllines.
Agricultural plastics also deserve special attention for their use close to sensitive ecosystems. An
estimated 12.5 million metric tons of plastic products are used annually in plant and animal production.
Microplastic leakage is projected to more than double globally, from 2.7 million metric tons in 2019 to
5.8 million metric tons in 2060. Interventions to address microplastics are generally less advanced, as thisform of leakage has not received the same level of scrutiny as macroplastics. Microplastic leakage occurs
along the life cycle of products.

1 For ease of reference, appendix III to the present document provides the text of Environment Assembly

resolution 5/14, paras. 3 and 4.
2 OECD, Global Plastics Outlook: Economic Drivers, Environmental Impacts and Policy Options (Paris, OECD
Publishing, 2022).
32

•

•

•

•

•

•

•

•

•

•

•
•

•

Plastics account for at least 85 per cent of total marine waste.3 Plastic leakage to oceans was estimated at
11 million metric tons, with terrestrial leakage estimated at 31 million metric tons and open burning at
49 million metric tons in 2016.4 Annual plastic pollution flows are forecast to grow 2.5 times by 2040. An
estimated 23 to 37 million metric tons per year of plastic waste could enter the oceans by 2040 in abusiness-as-usual scenario.5
Globally, 46 per cent of plastic waste is landfilled, 22 per cent is mismanaged and becomes litter,17 per cent is incinerated and 15 per cent is collected for recycling, with less than 9 per cent actually
recycled after losses.6 Global recycling rates are forecast to remain low over the coming decades,
increasing from less than 9 per cent in 2019 (29 million metric tons) to 17 per cent in 2060
(176 million metric tons).7
The packaging sector is the largest generator of plastic waste (46 per cent), followed by the textile(15 per cent), consumer products (12 per cent), transportation (6 per cent), building and construction(4 per cent) and electrical (4 per cent) sectors. Some 40 per cent of all plastic packaging waste ended up
in landfills, 32 per cent was lost into the environment, 14 per cent was incinerated, and 10 per cent wasrecycled (8 per cent into lower-value applications and 2 per cent into similar applications); an additional
4 per cent was sent to recycling but was lost in the process.8
The impact of plastic pollution is increasingly evident. Plastic pollution is altering habitats and naturalprocesses, reducing ecosystems’ ability to adapt to climate change and directly affecting millions ofpeople’s livelihoods, food production capabilities and social well-being. Plastic pollution has adisproportionate impact on the most vulnerable populations and affects women more than men.9 The
presence of plastic could dramatically shift the ecology of marine and terrestrial ecosystems. An alteredenvironment and shifts in biodiversity have potentially wide-reaching and unpredictable secondarysocietal consequences and may impair ecosystem resilience. Plastic is ingested by wildlife. A new studyof microplastics in wild-caught fish revealed evidence of plastics in the intestinal tract of 65 per cent of
the 496 species examined. A new disease caused solely by plastics has been discovered in seabirds. The
birds identified as having the disease, named plasticosis, have scarred digestive tracts from ingesting
waste.10
Throughout its life cycle, plastic contributes to climate change. In 2019, plastics generated 1.8 billion
metric tons of greenhouse gas emissions – 3.4 per cent of global emissions – with 90 per cent of thoseemissions coming from plastics production and conversion from fossil fuels.11
Plastic pollution can pose risks to human health. At every stage of its life cycle, plastic can pose risks tohuman health, arising from exposure to the chemicals used in production, the plastic particles themselves
and additives.12 Plastic particles can enter the human body through ingestion and inhalation, while
nanoparticles may also enter through the skin.13 There are concerns that plastics, in particular
microplastics, can host microbial pathogens.14
It is estimated that in 2015 the health-related costs of plastic production exceeded $250 billion(2015 Int$) globally, and that in the United States of America alone the health costs of disease anddisability caused by the plastic-associated chemicals PBDE, BPA and DEHP exceeded $920 billion(2015 Int$). 15
Microplastics can move through the food web, as well as through the air, soil, ice, snow and water –including groundwater. There is also an indication that sea ice functions as a temporary sink, secondary
source and transport medium for microplastics.16
In terrestrial environments, the presence of microplastics in soil has been reported and may in fact be anunderestimated and equally important sink that could influence human health and economy, given that
agriculture and land use could be significantly impacted by the contamination. The occurrence of
microplastics in agricultural produce such as fruits and vegetables has been reported. Several recent
studies have also reported the occurrence of microplastics in foods of animal origin. The contamination
could be related to the use of contaminated feed – fishmeal, for instance, which is made of raw fish, hasbeen repeatedly reported as being contaminated with synthetic particles retained within thegastrointestinal tract.
Because of the essentially linear nature of the plastics system (take-make-waste), 95 per cent of aggregate
plastic packaging value – $80 billion to $120 billion a year – is lost to the economy following a shortfirst-use cycle.17
A 1 per cent decline in annual marine ecosystem services could equate to an annual loss of $500 billion in
global ecosystem benefits.18
The International Labour Organization has estimated that in advancing towards a sustainable economy,
almost 6 million jobs can be created by moving away from an extract-manufacture-use-discard model andembracing the recycling, reuse, remanufacture, rental and longer durability of goods. 19
A comprehensive approach can be delivered through a combination of measures including: (i) reducing
the size of the problem by eliminating and substituting problematic and unnecessary plastic materials anditems, including hazardous additives; (ii) ensuring that plastic products are designed to be circular(reusable as a first priority, and recyclable or compostable after multiple uses at the end of their usefullife); (iii) closing the loop of plastics in the economy by ensuring that plastic products are circulated inpractice (reused, recycled or composted); and (iv) managing plastics that cannot be reused or recycled(including existing pollution) in an environmentally responsible manner. It has been estimated that theseactions, applied concurrently, could reduce the volume of plastics entering the oceans by over 80 per cent33

by 2040; reduce virgin plastic production used in short-lived plastic products by 55 per cent; savegovernments $70 billion over the period 2021–2040; and reduce greenhouse gas emissions by
25 per cent. 20

5.
A life cycle approach to plastic considers the impact of all the activities and outcomes
associated with the production and consumption of plastic materials, products and related services –from raw material extraction and processing (refining, processing, cracking, polymerization) to design,
manufacturing, packaging, distribution, use (and reuse), maintenance and end of life management,
including segregation, collection, sorting, recycling and disposal. Transportation and trade of plastic
products also occur at each stage of the life cycle.21
6.
The following figure illustrates the life cycle of plastic. 22 Plastic pollution can happen at any
stage, although the end-of-life and use stages are where the biggest share originates. Solutions acrossthe life cycle will need to consider an integrated combination of policy, regulatory, economic,
business, technological and behavioural instruments, as well as the use of trade policies with
instruments established at the global, regional and national levels.

3 UNEP/PP/INC.1/7, on plastics science.
4 Pew Charitable Trusts and SYSTEMIQ, Breaking the Plastic Wave: A Comprehensive Assessment of Pathways

towards Stopping Ocean Plastic Pollution: Summary Report (2020).
5 Ibid.
6 Globally, almost 40 per cent of plastics collected for recycling, or close to 22 million metric tons, are lost during
recycling and end up being incinerated, landfilled or mismanaged. OECD, Global Plastics Outlook: Economic
Drivers, Environmental Impacts and Policy Options (Paris, OECD Publishing, 2022).
7 Ibid.
8 UNEP, Drowning in Plastics: Marine Litter and Plastic Waste Vital Graphics (Nairobi, 2021).
9 UNEP/PP/INC.1/7, on plastics science.
10 Hayley S. Charlton-Howard, Alexander L. Bond, Jack Rivers-Auty and Jennifer L. Lavers, “‘Plasticosis’:
Characterising macro- and microplastic-associated fibrosis in seabird tissues”, Journal of Hazardous Materials,
vol. 450 (15 May 2023).
11 Ibid.
12 Centre for International Environmental Law, Plastic and Health: The Hidden Costs of a Plastic Planet (2019).
13 Andre Vethaak and Juliette Legler, “Microplastics and human health: knowledge gaps should be addressed toascertain the health risks of microplastics”, Science, vol. 371, no. 6530 (Feb. 2021), pp. 672–674.
14 Valentin Foulon and others, “Colonization of polystyrene microparticles by Vibrio crassostreae: light andelectron microscopic investigation”, Environmental Science and Technology, vol. 50, no. 20 (Oct. 2016),
pp. 10988–10996.
15 P. J. Landrigan, H. Raps, M. Cropper, C. Bald, M. Brunner, E. M. Canonizado, D. Charles, T. C. Chiles, M. J.
Donohue, J. Enck, P. Fenichel, L. E. Fleming, C. Ferrier-Pages, R. Fordham, A. Gozt, C. Griffin, M. E. Hahn, B.
Haryanto, R. Hixson, H. Ianelli, B. D. James, P. Kumar, A. Laborde, K. L. Law, K. Martin, J. Mu, Y. Mulders, A.
Mustapha, J. Niu, S. Pahl, Y. Park, M.-L. Pedrotti, J. A. Pitt, M. Ruchirawat, B. J. Seewoo, M. Spring, J. J.
Stegeman, W. Suk, C. Symeonides, H. Takada, R. C. Thompson, A. Vicini, Z. Wang, E. Whitman, D. Wirth, M.
Wolff, A. K. Yousuf and S. Dunlop, “The Minderoo-Monaco Commission on Plastics and Human
Health”, Annals of Global Health vol. 89, no. 1 (21 March 2023) (available athttps://annalsofglobalhealth.org/articles/10.5334/aogh.4056/).
16 Melanie Bergmann and others, “Vast Quantities of Microplastics in Arctic Sea Ice – A Prime Temporary Sink
for Plastic Litter and a Medium of Transport”, in Juan Baztan and others, Fate and Impact of Microplastics inMarine Ecosystems (Elsevier Inc., 2017).
17 Pew Charitable Trusts and SYSTEMIQ, Breaking the Plastic Wave: A Comprehensive Assessment of Pathways
towards Stopping Ocean Plastic Pollution: Summary Report (2020).
18 Nicola J. Beaumont and others, “Global ecological, social and economic impacts of marine plastic”, Marine
Pollution Bulletin, vol. 142 (May 2019), pp. 189–195.
19 International Labour Organization, World Employment Social Outlook – Trends 2018.
20 Pew Charitable Trusts and SYSTEMIQ, Breaking the Plastic Wave: A Comprehensive Assessment of Pathways
towards Stopping Ocean Plastic Pollution: Summary Report (2020).
21 UNEP/PP/INC.1/7, on plastics science.
22 Ibid.
34

Illustration of the life cycle of plastic

35

UNEP/PP/INC.2/4

Appendix III
Paragraphs 3 and 4 of United Nations Environment Assembly
resolution 5/14
Paragraph 3: Decides that the intergovernmental negotiating committee is to develop an international
legally binding instrument on plastic pollution, including in the marine environment, henceforthreferred to as “the instrument”, which could include both binding and voluntary approaches, based on
a comprehensive approach that addresses the full life cycle of plastic, taking into account, among otherthings, the principles of the Rio Declaration on Environment and Development, as well as national
circumstances and capabilities, and including provisions:(a)

To specify the objectives of the instrument;(b)
To promote sustainable production and consumption of plastics through, among otherthings, product design and environmentally sound waste management, including through resource
efficiency and circular economy approaches;(c)
To promote national and international cooperative measures to reduce plastic pollution
in the marine environment, including existing plastic pollution;(d)
To develop, implement and update national action plans reflecting country-driven
approaches to contribute to the objectives of the instrument;(e)
To promote national action plans to work towards the prevention, reduction andelimination of plastic pollution, and to support regional and international cooperation;(f)

To specify national reporting, as appropriate;(g)

To periodically assess the progress of implementation of the instrument;(h)

To periodically assess the effectiveness of the instrument in achieving its objectives;(i)

To provide scientific and socioeconomic assessments related to plastic pollution;(j)
information;

To increase knowledge through awareness-raising, education and the exchange of(k)
To promote cooperation and coordination with relevant regional and international
conventions, instruments and organizations, while recognizing their respective mandates, avoiding
duplication and promoting complementarity of action;(l)
To encourage action by all stakeholders, including the private sector, and to promote
cooperation at the local, national, regional and global levels;(m)

To initiate a multi-stakeholder action agenda;(n)
To specify arrangements for capacity-building and technical assistance, technology
transfer on mutually agreed terms, and financial assistance, recognizing that the effective
implementation of some legal obligations under the instrument will depend on the availability ofcapacity-building and adequate financial and technical assistance;(o)
To promote research into and development of sustainable, affordable, innovative andcost-efficient approaches;(p)

To address compliance;

Paragraph 4: Also decides that the intergovernmental negotiating committee, in its deliberations on
the instrument, is to consider the following:(a)
Obligations, measures and voluntary approaches in supporting the achievement of theobjectives of the instrument;(b)
The need for a financial mechanism to support the implementation of the instrument,
including the option of a dedicated multilateral fund;(c)Flexibility that some provisions could allow countries discretion in the implementationof their commitments, taking into account their national circumstances;(d)
The best available science, traditional knowledge, knowledge of indigenous peoples
and local knowledge systems;36

(e)settings;

Lessons learned and best practices, including those from informal and cooperative(f)
The possibility of a mechanism to provide policy-relevant scientific andsocioeconomic information and assessment related to plastic pollution;(g)(h)
relevant.

Efficient organization and streamlined secretariat arrangements;
Any other aspects that the intergovernmental negotiating committee may consider

37