For more information about this or other publications from the 

contact:

Commission for Environmental Cooperation of North America

393, rue St-Jacques Ouest, bureau 200

Montréal (Québec) Canada H2Y 1N9

Tel.: (514) 350-4300

Fax: (514) 350-4314

E-mail: info@cec.org

http://www.cec.org

ISBN: 2-89451-414-X

© Commission for Environmental Cooperation, 2000

Reprint 2007

ALL RIGHTS RESERVED.

Legal Deposit - Bibliothèque nationale du Québec, 2000

Legal Deposit - Bibliothèque nationale du Canada, 2000

Disponible en français – ISBN: 2-89451-416-6

Disponible en español – ISBN: 2-89451-415-8

This publication was prepared by the Secretariat of the Commiss

Environmental Cooperation (CEC). The views contained herein 

necessarily reflect the views of the governments of Canada, Me

the United States of America.
Profile

In North America, we share a rich environmental heritag

includes air, oceans and rivers, mountains and forests. Together

elements form the basis of a complex network of ecosystems th

tains our livelihoods and well-being. If these ecosystems are to co

being a source of future life and prosperity, they must be pro

Doing so is a responsibility shared by Canada, Mexico and the U

States.

The Commission for Environmental Cooperation of North 

ica (CEC) is an international organization created by Canada, M

and the United States under the North American Agreement on 

ronmental Cooperation (NAAEC) to address regional environm

concerns, help prevent potential trade and environmental conflic

to promote the effective enforcement of environmental law. The A

ment complements the environmental provisions of the North A

can Free Trade Agreement (NAFTA).

The CEC accomplishes its work through the combined effort

three principal components: the Council, the Secretariat and th

Public Advisory Committee (JPAC). The Council is the governing 

of the CEC and is composed of the highest-level environmental au

ties from each of the three countries. The Secretariat implemen

annual work program and provides administrative, technical and 

ational support to the Council. The Joint Public Advisory Comm

composed of fifteen citizens, five from each of the three countrie

advises the Council on any matter within the scope of the Agree

Mission

The CEC facilitates cooperation and public participation to 

conservation, protection and enhancement of the North American 

ronment for the benefit of present and future generations, in the c

of increasing economic, trade and social links among Canada, M

and the United States.

TABLE OF CONTENTS

Bringing the Facts to Light . . . . . . . . . . . . . . . . . . . . 

Structure of the CEC. . . . . . . . . . . . . . . . . . . . . . . 

Council of Ministers . . . . . . . . . . . . . . . . . . . . 

Joint Public Advisory Committee . . . . . . . . . . . . . 

Secretariat . . . . . . . . . . . . . . . . . . . . . . . . . . 

The Process . . . . . . . . . . . . . . . . . . . . . . . . . . . . 

Guidelines . . . . . . . . . . . . . . . . . . . . . . . . . . 

Registry of citizen submissions . . . . . . . . . . . . . . 

Public files on citizen submissions . . . . . . . . . . . . 

For more information . . . . . . . . . . . . . . . . . . . . . . 

Appendix I: Council Resolution 01-06 . . . . . . . . . . . . . 

Guidelines for Submissions on Enforcement Matters under

Articles 14 and 15 of the North American Agreement on

Environmental Cooperation . . . . . . . . . . . . . . . . . . . 

North American Agreement on Environmental

Cooperation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 

Preamble . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 

IX
Part One Objectives . . . . . . . . . . . . . . . . . . . . 

Part Two Obligations . . . . . . . . . . . . . . . . . . . 

Part Three Commission for Environmental Cooperation 

Part Four Cooperation and Provision of Information. . 

Part Five Consultation and Resolution of Disputes . . 

Part Six General Provisions . . . . . . . . . . . . . . . 

Part Seven Final Provisions . . . . . . . . . . . . . . . . . 

Annex 34 Monetary Enforcement Assessments . . . . . 

Annex 36A Canadian Domestic Enforcement and

Collection . . . . . . . . . . . . . . . . . . . . 

Annex 36B Suspension of Benefits . . . . . . . . . . . . . 

Annex 41 Extent of Obligations . . . . . . . . . . . . . . 

Annex 45 Country-Specific Definitions. . . . . . . . . . 
Bringing the Facts to Light

When Canada, Mexico and the United States established the 

American Free Trade Agreement (NAFTA), they also agreed on an 

ronmental side accord, the North American Agreement on Enviro

tal Cooperation (NAAEC). One of the principal aims of the NAA

the promotion of effective enforcement by the Parties of their do

environmental legislation. Accordingly, the NAAEC provides, 

Articles 14 and 15, a means by which anyone living in any of th

countries of North America may bring the facts to light concerni

enforcement of environmental legislation on the books of any 

three countries.

Under Article 14, written assertions that a Party to the NAA

failing to enforce an environmental law effectively may be sub

by any person or nongovernmental organization to the Secr

of the Commission for Environmental Cooperation (CEC), the i

tion established to steward the implementation of the NAAEC

submission is determined to satisfy a number of criteria and 

(identified in paragraphs 1 and 2 of Article 14), a response w

requested from the Party named in the submission. In light o

response, the Commission may proceed with the development o

tual record on the matter, as provided by Article 15.

A factual record outlines, in as objective a manner as possib

history of the issue, the obligations of the Party under the law in 

tion, the actions of the Party in fulfilling those obligations, and th

relevant to the assertions made in the submission of a failure to e

environmental law effectively. Its development is a process that ca

months and has, in some cases, taken over a year. Once comple

Council may, by a two-thirds vote, make the final factual record pu

available. A factual record provides information regarding enforc

practices that may prove useful to governments, and to the subm

and other members of the interested public.

1
Structure of the CEC

Council of Ministers

The Council, the governing body of the CEC, is composed 

environment ministers (or the equivalent) of each country. It m

least once a year to discuss CEC programs and activities.

Joint Public Advisory Committee

The Joint Public Advisory Committee (JPAC) is composed 

members, five appointed by the government of each country. 

members provide independent advice to the Council on all m

within the scope of the NAAEC. As representatives of the North A

can community at large, JPAC’s members help ensure that publ

cerns are communicated to the Council.

Secretariat

The Secretariat, located in Montreal, Canada, provides tec

and operational support to the Council. It is composed of profes

staff who implement initiatives and conduct research on enviro

and trade issues, environmental laws and standards, and other su

relevant to the North American environment.

The Process

Guidelines

To provide additional guidance with regard to the submissio

cess envisaged by Articles 14 & 15 of the NAAEC, the CEC dev

the Guidelines for Submissions on Enforcement Matters under Arti

and 15 of the North American Agreement on Environmental Coop

(see page 9). The Council then adopted revisions to those guid

in its Annual Session in Banff, Alberta, Canada, on 28 June 1999, 

Guadalajara, Jalisco, Mexico, on 29 June 2001.
The Guidelines explain the Articles 14 and 15 process. The

vide information that is likely to be of interest to potential subm

including:

• Who can make submissions on enforcement matters?

• How are they to be submitted?

• What should be included in a submission?

The Guidelines also provide information covering the nature 

Article 14 process. The major issues are listed below:

• When is a response from the Party to the submission me

• What if the Secretariat determines that no response fro

Party is merited?

• How is a decision on whether or not to prepare a factual 

taken?

• What is included in a factual record?

• Will the final factual record be made public?

• Can a submission under consideration be withdrawn?

• How will information on the status of submissions and f

records be made publicly available?

• Does the public have access to documents relating to indi

submissions?

• How will privacy and confidentiality be safeguarded?

• What is the relationship between these Guidelines an

Agreement?
The Citizen Submission Process

Note: See Guidelines (page 11) for complete details.
Registry of citizen submissions

The Secretariat has established a registry to provide informa

that any interested organization or person, as well as the Joint 

Advisory Committee, may follow the status of any given subm

during the submission process.

Subject to the confidentiality provisions of the NAAEC 

the Guidelines, the registry includes the following information 

decided otherwise by the Council:

(a) a list of all the submissions including:

(i) the name of the Submitter and the name of the 

addressed in each submission;

(ii) a summary of the matter addressed in the submissio

initiated the process, including a brief description 

asserted failure(s) to effectively enforce environm

law;

(iii) the name and citation of the environmental law in 

tion;

(b) a summary of the response provided by the Party, if an

(c) a summary of the notifications to the Submitter, inc

notification that:

(i) a given submission does not meet the criteria set f

Article 14(1) of the Agreement;

(ii) a response is requested from the Party concerned;

(iii) the Secretariat has determined that no response fro

Party concerned is merited;

(iv) the Council has instructed the Secretariat not to pre

factual record;

(v) the final factual record has been provided to the Cou

(vi) the Council has decided not to make the factual 

available to the public;
(d) the Council’s decision on the preparation of a factual r

and

(e) the Council’s decision regarding whether the factual 

will be made publicly available.

Public files on citizen submissions

The Secretariat maintains a file on each submission. The Secr

makes electronic versions of documents accessible on its we

through the Registry of Submissions, when it has electronic vers

such documents. Documents are also available for review at the 

of the Secretariat in Montreal and copies may be requested throu

Mexico City liaison office.

Subject to confidentiality provisions of the Agreement and 

Guidelines, the public file contains:

(a) the submission and supporting information, includin

documentary evidence on which the submission m

based;

(a) any response by a Party, developed under article 14(2) 

Agreement;

(b) any notifications made to the Submitter by the Secretaria

(c) the final factual record, where the Council has decided to 

it publicly available pursuant to Article 15(7) of the Agre

and, any other information considered by the Secr

under Article 15(4) of the Agreement.

For More Information

CEC Secretariat

Submissions on Enforcement Matters Unit

Commission for Environmental Cooperation of North Ame

393, rue St-Jacques Ouest, Bureau 200

Montréal (Québec) H2Y 1N9

Tel.: (514) 350-4300

Fax: (514) 350-4314
CEC Secretariat – Mexico Liaison Office

Progreso No. 3

Viveros de Coyoacan

04110 México, D.F. México

Tel.: (525) 659-5021

Fax: (525) 659-5023

E-mail: info@cec.org

CEC Web Site: http://www.cec.org

Registry and Public Files: http://www.cec.org and click on

“Citizen Submissions on

Enforcement Matters”

Appendix I

Distribution: G

C/01-00/RES/06/

ORIGINAL: ENG

Guadalajara, 29 June 2001

COUNCIL RESOLUTION 01-06

Response to the Joint Public Advisory Committee (JPAC) Rep

Lessons Learned regarding the Articles 14 and 15 Process

THE COUNCIL:

REAFFIRMING its support for the process provided for in Arti

and 15 of the North American Agreement on Environmental Co

tion regarding the submissions on enforcement matters and the pr

tion of factual records;

IN APPRECIATION of JPAC’s review of the public history of su

sions made under Articles 14 and 15 and its final report: Lessons L

Citizen Submissions under Articles 14 and 15 of the North American 

ment on Environmental Cooperation, dated 6 June 2001 and prepare

suant to paragraph 5(a) of Resolution 00-09;

RECOGNIZING the ongoing nature of the JPAC process for 

review of issues concerning implementation and further elabora

Articles 14 and 15 as contemplated by paragraphs 1 and 2 of Reso

00-09;

HAVING REVIEWED the JPAC report on lessons learned;

SUPPORTING the principle that submissions under Articles 14 

should be processed in a timely and efficient manner in order to m

public’s expectations regarding the process; and

9
RECOGNIZING that, while some of the matters addressed in the 

report on lessons learned require further review and considerat

the Council, action can be taken at this time on certain matters add

in the report;

HEREBY:

AMENDS section 10.2 of the Guidelines for Submissions on En

ment Matters under Articles 14 and 15 of the North American A

ment on Environmental Cooperation (Guidelines) to provide th

working days after the Secretariat has notified the Council that it c

ers that a submission warrants developing a factual record, bo

notification and the Secretariat’s reasoning as to why it considers 

factual record is warranted will be placed in the registry referre

section 15 of the Guidelines and in the public file referred in sectio

the Guidelines;

COMMITS to providing a public statement of its reasons when

votes not to instruct the Secretariat to prepare a factual record;

COMMITS to making best efforts, and to encourage the Secreta

make best efforts, to ensure that submissions are processed in as ti

manner as is practicable, such that ordinarily the submission p

will be completed in no more than two years following the Secret

receipt of a submission; and

AGREES TO CONSIDER expeditiously where it deems appro

other matters addressed in the JPAC report on lessons learned.

APPROVED BY THE COUNCIL:

_____________________________________

Victor Lichtinger

Government of the United Mexican States

_____________________________________

Karen Redman

Government of Canada

_____________________________________

Christine Todd Whitman

Government of the United States of America
Guidelines for Submissions on

Enforcement Matters under Articles 14

and 15 of the North American Agreemen

on Environmental Cooperation

1. What is a submission on enforcement matters?

1.1 A “submission on enforcement matters” (“submission”

documented assertion that a Party to the North American Agre

on Environmental Cooperation (“Agreement”) is failing to effe

enforce its environmental law. The relevant Articles of the Agre

are annexed to these guidelines.

2. Who can make submissions on enforcement matters?

2.1 Any non-governmental organization or person establish

residing in the territory of a Party to the Agreement may make a su

sion on enforcement matters for consideration by the Secretariat 

Commission for Environmental Cooperation (“Secretariat”). Th

“non-governmental organization” is defined in Article 45(1) 

Agreement.

2.2 The submission must clearly identify the person(s) or org

tion(s) making the submission (“Submitter”).

3. How are they to be submitted?

3.1 A written copy of the submission must be received by the 

tariat at the following address:

Commission for Environmental Cooperation

393, rue St-Jacques Ouest, Bureau 200

Montréal (Québec)

Canada H2Y 1N9

11
3.2 Submissions may be made in English, French or Spanish, 

are the languages currently designated by the Parties for submis

3.3 Submissions should not exceed 15 pages of typed, letter

paper, excluding supporting information. Submissions will n

accepted by fax or any other electronic means. Where possible, a c

the submission on computer diskette should also be provided.

3.4 Submissions must include the complete mailing address 

Submitter.

3.5 The Secretariat will promptly acknowledge the receipt of an

respondence or written document(s) relating to the initiation of th

mission process.

3.6 Any correspondence or written document(s) will be consid

submission by the Secretariat if it contains the supporting inform

necessary to enable the Secretariat, at the proper time, to assess th

mission based on the criteria listed in Article 14(1) of the Agreem

3.7 Formal notifications by the Secretariat to a Submitter will be 

in writing and sent by any reliable means of notification which pr

a record of the notification having been sent and received.

3.8 The Secretariat will inform the Council of the initiation and 

ress of all submissions.

3.9 The Secretariat will inform the Submitter of the progress of i

mission, as provided for in these guidelines.

3.10 The Secretariat may at any time notify the Submitter of any 

errors of form in the submission in order for the Submitter to 

them.

3.11 The Secretariat will make its best efforts to take all actions 

sary to process a submission in a timely manner.

4. What should be included in a submission?

4.1 The Secretariat may only consider a submission on enforc

matters if that submission meets the criteria set forth in Article 1

the Agreement, as specified in these guidelines.
Initial Consideration of a Submission by the Secreta

5. What criteria must a submission address?

5.1 The submission must assert that a Party is failing to effe

enforce its environmental law and should focus on any acts or om

of the Party asserted to demonstrate such failure. For purposes of 

mining if a submission meets the criteria of Article 14(1) of the A

ment, the term “environmental law” is defined in Article 45(2) 

Agreement.

5.2 The Submitter must identify the applicable statute or regulat

provision thereof, as defined in Article 45(2) of the Agreement. 

case of the General Ecological Equilibrium and Environmental P

tion Law of Mexico, the Submitter must identify the applicable c

or provision of the Law.

5.3 Submissions must contain a succinct account of the facts on 

such an assertion is based and must provide sufficient informa

allow the Secretariat to review the submission, including any doc

tary evidence on which the submission may be based.

5.4 A submission must appear to be aimed at promoting enforc

rather than at harassing industry. In making that determination, th

retariat will consider such factors as whether or not:

(a) the submission is focused on the acts or omissions of a 

rather than on compliance by a particular company o

ness; especially if the Submitter is a competitor that may 

to benefit economically from the submission;

(b) the submission appears frivolous.

5.5 The submission must indicate that the matter has been com

cated in writing to the relevant authorities of the Party in questio

indicate the Party’s response, if any. The Submitter must include

the submission, copies of any relevant correspondence with the re

authorities. The relevant authorities are the agencies of the gover

responsible under the law of the Party for the enforcement of th

ronmental law in question.
5.6 The Submission should address the factors for consideration 

tified in Article 14(2) of the Agreement to assist the Secretaria

review under this provision. Thus, the Submission should addre

(a) The issue of harm (Article 14(2)(a));

(b) Whether further study of the matters raised would ad

the goals of the Agreement (Article 14(2)(b));

(c) The actions, including private remedies, available und

Party’s law that have been pursued (Article 14(2)(c));

(d) The extent to which the Submission is drawn exclusivel

mass media reports (Article 14(2)(d)).

6. What if the submission does not meet these criteria?

6.1 Where the Secretariat determines that a submission does no

the criteria set out in Article 14(1) of the Agreement or any other re

ment set out in these guidelines, with the exception of minor er

form contemplated in section 3.10 of these guidelines, the Secr

will promptly notify the Submitter of the reason(s) why it has 

mined not to consider the submission.

6.2 After receipt of such notification from the Secretaria

Submitter will have 30 days to provide the Secretariat with a subm

that conforms to the criteria of Article 14(1) of the Agreement and 

requirements set out in these guidelines.

6.3 If the Secretariat again determines that the Submitter has n

the criteria of Article 14(1) of the Agreement or the requirements 

in these guidelines, the Secretariat will promptly inform the Subm

its reason(s), and inform the Submitter that the process is term

with respect to that submission.

Determining Whether a Submission on Enforcemen

Matters Warrants Preparation of a Factual Record

7. When is a response from the Party to the submission merit

7.1 Where the Secretariat determines that the submission me

criteria set out in Article 14(1) of the Agreement, the Secretari
determine whether the submission merits requesting a respons

the Party concerned. The Secretariat will accordingly notify the C

and the Submitter.

7.2 The notification to the Council and the Submitter of the Se

iat’s determination concerning whether or not a submission me

criteria in Article 14(1) of the Agreement will include, as appropri

explanation of how the submission meets or fails to meet each o

criteria. The notification to the Council and the Submitter of the Se

iat’s determination concerning whether or not the submission 

requesting a response from the Party concerned will include an ex

tion of the factors that guided the Secretariat in making the de

nation, including each consideration set forth in Article 14(2) 

Agreement, if applicable. These notifications will be available 

registry referred to in section 15 of these guidelines and in the pub

referred to in section 16 of these guidelines at the same time th

provided to the Council and the Submitter.

7.3 As set forth in Article 14(2) of the Agreement, the Secretaria

in making that determination, be guided by whether:

(a) the submission alleges harm to the person or organi

making the submission;

(b) the submission, alone or in combination with other su

sions, raises matters whose further study in this process 

advance the goals of the Agreement;

(c) private remedies available under the Party’s law hav

pursued; and

(d) the submission is drawn exclusively from mass media re

7.4 In considering whether the submission alleges harm to the p

or organization making the submission, the Secretariat will co

such factors as whether:

(a) the alleged harm is due to the asserted failure to effe

enforce environmental law; and

(b) the alleged harm relates to the protection of the enviro

or the prevention of danger to human life or health (b
directly related to worker safety or health), as stated in 

45(2) of the Agreement.

7.5 In considering whether private remedies available under th

ty’s law have been pursued, the Secretariat will be guided by wh

(a) requesting a response to the submission is appropriate 

preparation of a factual record on the submission could 

cate or interfere with private remedies that are being pu

or have been pursued by the Submitter; and

(b) reasonable actions have been taken to pursue such rem

prior to making a submission, bearing in mind that barr

the pursuit of such remedies may exist in some cases.

7.6 In considering whether a response from the Party con

should be requested when the submission is drawn exclusively 

mass media reports, the Secretariat will determine if other sou

information relevant to the assertion in the submission were reaso

available to the Submitter.

8. What if it is determined that no response from the Party is

merited?

8.1 The Secretariat may consider new or supplemental inform

from the Submitter within 30 days following receipt by the Subm

notification that the Secretariat has determined that no respons

the Party is necessary. If no new or supplemental information is re

by the Secretariat within this time period, or if the Secretariat deter

that no response from the Party is merited in light of the new or s

mental information provided by the Submitter, the process will 

minated with respect to that submission, and the Secretariat w

notify the Submitter.

9. How is a response from the Party requested?

9.1 Where the Secretariat determines that a submission m

response from the Party concerned, the Secretariat will forward 

Party a copy of the submission and any supporting informatio

vided by the Submitter. The Secretariat will translate the submissi

supporting information into the official language(s) of the Party 

which a response is requested, unless that Party directs otherwis
9.2 The Party will advise the Secretariat within 30 days, or in 

tional circumstances and on notification to the Secretariat wit

days, of delivery of the request for a response:

(a) whether the matter is the subject of a pending judi

administrative proceeding, and

(b) of any other information that the Party wishes to subm

as

(i) whether the matter was previously the subject of a ju

or administrative proceeding, and

(ii) whether private remedies in connection with the 

are available to the Submitter, and whether such rem

have been pursued.

9.3 The Party may include in its response whether environment

cies have been defined or actions have been taken in connection w

matter in question.

9.4 If the Party informs the Secretariat that the matter raised in th

mission is the subject of a pending judicial or administrative proce

as defined in Article 45(3) of the Agreement, the Secretariat will p

no further with the submission, and will notify the Submitter a

Council of its reason(s) and that the submission process is termin

9.5 Upon receipt of a response from the Party or following the e

tion of the response period, the Secretariat may begin its considera

whether it will inform the Council that the submission warrants 

oping a factual record.

9.6 If the Secretariat considers that the submission, in light of an

ponse provided by the Party, does not warrant development of a f

record, the Secretariat will notify the Submitter and the Counci

reason(s) in accordance with section 7.2 of these guidelines, and t

submission process is terminated with respect to that submission

10. How is a decision on whether or not to prepare a factual

record taken?

10.1 If the Secretariat considers that the submission, in light 

response provided by the Party or after the response period has ex
warrants developing a factual record, the Secretariat will so info

Council. When the Secretariat informs the Council that it consider

factual record is warranted, the Secretariat will provide sufficient 

nation of its reasoning to allow the Council to make an informed 

sion. In addition, it will provide a copy of the submission, the supp

information provided with the submission, and any other relevan

mation, when these items have not been provided to the Counc

Council may request further explanation of the Secretariat’s re

which the Council will receive prior to taking its decision under 

15(2) of the Agreement concerning whether or not a factual reco

be prepared.

10.2 Five working days after the Secretariat has notified the C

that it considers that a submission warrants developing a factual r

both the notification and the Secretariat’s reasoning as to why it c

ers that a factual record is warranted will be placed in the re

referred to in section 15 of the Guidelines and in the public file refe

section 16 of the Guidelines.

10.3 The Secretariat may consolidate two or more submission

relate to the same facts and the same asserted failure to effe

enforce an environmental law. In other situations where two o

submissions relate essentially to the same facts and enforcement 

and the Secretariat considers that it would be more efficient o

effective to consolidate them, it may so propose to the Council.

10.4 The Secretariat will prepare a factual record if the Counci

two-thirds vote, instructs it to do so. If the Council votes to instr

Secretariat not to prepare a factual record, the Secretariat will so i

the Submitter and will inform the Submitter that the submission p

is terminated. Unless the Council decides otherwise, any such de

will be noted in the registry and in the public file described in 

guidelines.

11. How is a factual record prepared?

11.1 In preparing draft and final factual records, the Secretari

consider any information furnished by a Party, including inform
developed by experts and furnished by a Party. The Secretaria

consider any relevant technical, scientific or other information:

(a) that is publicly available;

(b) submitted by interested non-governmental organizati

persons;

(c) submitted by the Joint Public Advisory Committee (JPA

(d) developed by the Secretariat or by independent expert

11.2 If the JPAC provides relevant technical, scientific or other in

tion to the Secretariat relating to the development of a factual reco

Secretariat will forward copies of the information to the Council

11.3 All contributors to the factual record process are encoura

submit only relevant information, reducing wherever possib

volume of material submitted.

11.4 The Secretariat will submit the draft factual record to the C

Any Party may provide comments on the accuracy of the draft wi

days. The Secretariat will then prepare the final factual record 

Council, incorporating any such comments as appropriate.

12. What is included in a factual record?

12.1 Draft and final factual records prepared by the Secretari

contain:

(a) a summary of the submission that initiated the process

(b) a summary of the response, if any, provided by the con

Party;

(c) a summary of any other relevant factual information; a

(d) the facts presented by the Secretariat with respect to th

ters raised in the submission.

12.2 The final factual record will incorporate, as appropriate, th

ments of any Party. If a Party so desires, its comments on the draft f
record will be posted on the registry referred to in section 15 o

guidelines.

13. Will the final factual record be made public?

13.1 After receiving the final factual record, the Council may dec

a two-thirds vote, to make it public. If it so decides, the final 

record will be made public as soon as it is available in the three o

languages of the Commission and a copy will be provided 

Submitter. This should normally be within 60 days of the submis

the final factual record to the Council.

13.2 If the Council decides not to make a factual record available 

public, the Secretariat will inform the Submitter that the factual 

will not be made public.

13.3 Independent of any Council decision with respect to the 

availability of a factual record, the Council may, by a two-third

make a factual record available to the JPAC for their informa

accordance with Article 16(7) of the Agreement and the JPAC R

Procedure.

14. Can a submission under consideration be withdrawn?

14.1 If a Submitter informs the Secretariat in writing befo

response from the Party is received by the Secretariat that it no 

wishes to have the submission process continue with respect to i

mission, the Secretariat will proceed no further with the submissi

so inform the Council. If two or more submitters have made a join

mission, all of the Submitters must inform the Secretariat in writin

they no longer wish to have the submission process continue, bef

submission may be withdrawn.

14.2 If the Submitter informs the Secretariat in writing that it wi

withdraw its submission after the response from the Party is re

by the Secretariat, the Secretariat will proceed no further unle

Party concerned informs it that consideration of the Submission s

continue. The Secretariat shall inform the Council of any such no

withdrawal and of whether or not the Party concerned wants con

ation of the submission to continue.

14.3 If the Submitter withdraws its submission after the Secreta

instructed by the Council to prepare a factual record, the Secretar
so inform the Council. The withdrawal of the submission will be w

prejudice to any further steps that may be taken with respect 

factual record, as stated in Article 15(3) of the Agreement.

15. How will information on the status of submissions and fac

records be made publicly available?

15.1 The Secretariat will establish a registry to provide summary 

mation so that any interested non-governmental organization or p

as well as the JPAC, may follow the status of any given submissio

ing the submission process envisaged under Articles 14 and 15 

Agreement. The registry will be accessible to the public. The Secr

will provide periodically a copy of the registry to the Council. Sub

the confidentiality provisions of the Agreement and of these guid

the registry will include the following information unless decided 

wise by the Council:

(a) a list of all the submissions including:

(i) the name of the Submitter and the name of the 

addressed in each submission;

(ii) a summary of the matter addressed in the subm

that initiated the process, including a brief descrip

the asserted failure(s) to effectively enforce enviro

tal law;

(iii) the name and citation of the environmental law

question;

(b) a summary of the response provided by the Party, if an

(c) a summary of the following notifications, as applicable

(i) a given submission does not meet the criteria set f

Article 14(1) of the Agreement;

(ii) a response is requested from the Party concerned

(iii) the Secretariat has determined that no response fr

Party concerned is merited;

(iv) as specified in section 10.2 of these guidelines, the 

tariat considers that, in its view, a preparation of a f

record is warranted;
(v) the Council has instructed the Secretariat not to p

a factual record;

(vi) the final factual record has been provided to the Co

(vii) the Council has decided not to make the factual 

available to the public;

(d) as specified in section 10.2 of these guidelines, the expla

of the Secretariat’s reasoning as to why it has inform

Council that it considers that a factual record is warran

(e) the Council’s decision on the preparation of a factual r

and

(f) the Council’s decision regarding whether the factual 

will be made publicly available.

15.2 Any summary will contain information sufficient to enable 

ested non-governmental organizations or persons or the JPAC t

vide relevant information to the Secretariat for the developme

factual record.

16. Does the public have access to documents relating to indiv

submissions?

16.1 The Secretariat will maintain a file on each submission at its 

quarters in a manner suitable for public access, inspection and 

copying. A reasonable cost may be requested for photoco

Photocopies may also be obtained by mail at a reasonable cost 

public. Subject to confidentiality provisions of the Agreement 

these guidelines, the file will contain:

(a) the submission and supporting information, includin

documentary evidence on which the submission m

based;

(b) any response by a Party, developed under Article 14(2) 

Agreement;

(c) any notifications placed on the registry by the Secreta

accordance with section 15.1(c) of these guidelines; and
(d) the final factual record, where the Council has decided to 

it publicly available pursuant to Article 15(7) of the Agre

and, any other information considered by the Secr

under Article 15(4) of the Agreement.

16.2 These documents will be placed in the public file in a timely 

ner.

16.3 As specified in section 10.2 of these guidelines, the public fi

contain the explanation of the Secretariat’s reasoning as to why 

informed the Council that it considers that a factual record is warra

16.4 When a submission received by the Secretariat names an in

ual or entity, the Party concerned may notify that individual or en

the existence of that submission.

17. How will privacy and confidentiality be safeguarded?

17.1 In accordance with Article 11(8)(a) of the Agreement, the Se

iat will safeguard from disclosure any information it receives that 

identify a Submitter if the Submitter so requests, or the Secretariat 

wise considers it appropriate. In accordance with Article 11(8)(b) 

Agreement, the Secretariat will safeguard from disclosure to the 

any information received from a non-governmental organization 

son where the information is designated by that non-governm

organization or person as confidential or proprietary. The Parti

have access to this confidential or proprietary information, excep

mation that could identify the Submitter pursuant to Article 11(8

the Agreement.

17.2 The Secretariat will safeguard from disclosure any inform

provided by the Council or a Party and designated as confidenti

17.3 Given the fact that confidential or proprietary informatio

vided by a Party, a non-governmental organization or a person ma

stantially contribute to the opinion of the Secretariat that a factual 

is, or is not, warranted, contributors are encouraged to furnish a 

mary of such information or a general explanation of why the in

tion is considered confidential or proprietary.

17.4 If a Party provides information relating to a submission on 

cement matters to the Secretariat, the Council, the JPAC or a

Party, that is confidential or proprietary, the recipient will treat the 

mation on the same basis as the Party providing the information
18. What is the relationship between these guidelines and the

Agreement?

18.1 These guidelines are not intended to modify the Agreem

there is a conflict between any provision of these guidelines an

provision of the Agreement, the provision of the Agreement will p

to the extent of the inconsistency.
North American Agreement

on Environmental Cooperation

BETWEEN

THE GOVERNMENT OF CANADA,

THE GOVERNMENT OF THE UNITED MEXICAN STAT

AND

THE GOVERNMENT OF THE UNITED STATES OF AMER

Preamble

The Government of Canada, the Government of the United M

States and the Government of the United States of America:

CONVINCED of the importance of the conservation, pro

and enhancement of the environment in their territories a

essential role of cooperation in these areas in achieving susta

development for the well-being of present and future genera

REAFFIRMING the sovereign right of States to exploit the

resources pursuant to their own environmental and develo

policies and their responsibility to ensure that activities 

their jurisdiction or control do not cause damage to the en

ment of other States or of areas beyond the limits of nationa

diction;

RECOGNIZING the interrelationship of their environmen

ACKNOWLEDGING the growing economic and social lin

ween them, including the North American Free Trade Agre

(NAFTA);

RECONFIRMING the importance of the environmental goa

objectives of the NAFTA, including enhanced levels of en

mental protection;

25
EMPHASIZING the importance of public participation i

serving, protecting and enhancing the environment;

NOTING the existence of differences in their respective n

endowments, climatic and geographical conditions, and 

mic, technological and infrastructural capabilities;

REAFFIRMING the Stockholm Declaration on the Human En

ment of 1972 and the Rio Declaration on Environment and D

ment of 1992;

RECALLING their tradition of environmental cooperatio

expressing their desire to support and build on internationa

ronmental agreements and existing policies and laws, in o

promote cooperation between them; and

CONVINCED of the benefits to be derived from a frame

including a Commission, to facilitate effective cooperation 

conservation, protection and enhancement of the environm

their territories;

HAVE AGREED AS FOLLOWS:

Part One

Objectives

Article 1: Objectives

The objectives of this Agreement are to:

(a) foster the protection and improvement of the environm

the territories of the Parties for the well-being of prese

future generations;

(b) promote sustainable development based on cooperatio

mutually supportive environmental and economic pol

(c) increase cooperation between the Parties to better con

protect, and enhance the environment, including wild 

and fauna;
(d) support the environmental goals and objectives 

NAFTA;

(e) avoid creating trade distortions or new trade barriers;

(f) strengthen cooperation on the development and improv

of environmental laws, regulations, procedures, polici

practices;

(g) enhance compliance with, and enforcement of, environm

laws and regulations;

(h) promote transparency and public participation in the de

ment of environmental laws, regulations and policies;

(i) promote economically efficient and effective environm

measures; and

(j) promote pollution prevention policies and practices.

Part Two

Obligations

Article 2: General Commitments

1. Each Party shall, with respect to its territory:

(a) periodically prepare and make publicly available repo

the state of the environment;

(b) develop and review environmental emergency prepar

measures;

(c) promote education in environmental matters, including 

ronmental law;

(d) further scientific research and technology developm

respect of environmental matters;

(e) assess, as appropriate, environmental impacts; and

(f) promote the use of economic instruments for the ef

achievement of environmental goals.
2. Each Party shall consider implementing in its law any recomm

tion developed by the Council under Article 10(5)(b).

3. Each Party shall consider prohibiting the export to the territo

the other Parties of a pesticide or toxic substance whose use is proh

within the Party’s territory. When a Party adopts a measure proh

or severely restricting the use of a pesticide or toxic substance in it

tory, it shall notify the other Parties of the measure, either dire

through an appropriate international organization.

Article 3: Levels of Protection

Recognizing the right of each Party to establish its own le

domestic environmental protection and environmental develo

policies and priorities, and to adopt or modify accordingly its en

mental laws and regulations, each Party shall ensure that its law

regulations provide for high levels of environmental protectio

shall strive to continue to improve those laws and regulations.

Article 4: Publication

1. Each Party shall ensure that its laws, regulations, procedur

administrative rulings of general application respecting any matt

ered by this Agreement are promptly published or otherwise 

available in such a manner as to enable interested persons and Pa

become acquainted with them.

2. To the extent possible, each Party shall:

(a) publish in advance any such measure that it proposes to 

and

(b) provide interested persons and Parties a reasonable op

nity to comment on such proposed measures.

Article 5: Government Enforcement Action

1. With the aim of achieving high levels of environmental pro

and compliance with its environmental laws and regulations, each 

shall effectively enforce its environmental laws and regulations th

appropriate governmental action, subject to Article 37, such as:

(a) appointing and training inspectors;
(b) monitoring compliance and investigating suspected 

tions, including through on-site inspections;

(c) seeking assurances of voluntary compliance and comp

agreements;

(d) publicly releasing non-compliance information;

(e) issuing bulletins or other periodic statements on enforc

procedures;

(f) promoting environmental audits;

(g) requiring record keeping and reporting;

(h) providing or encouraging mediation and arbitration ser

(i) using licenses, permits or authorizations;

(j) initiating, in a timely manner, judicial, quasi-judicial or 

nistrative proceedings to seek appropriate sanctions or 

dies for violations of its environmental laws and regula

(k) providing for search, seizure or detention; or

(l) issuing administrative orders, including orders of a pre

tive, curative or emergency nature.

2. Each party shall ensure that judicial, quasi-judicial or admi

tive enforcement proceedings are available under its law to sanc

remedy violations of its environmental laws and regulations.

3. Sanctions and remedies provided for a violation of a Party’

ronmental laws and regulations shall, as appropriate:

(a) take into consideration the nature and gravity of the vio

any economic benefit derived from the violation by the 

tor, the economic condition of the violator, and other re

factors; and

(b) include compliance agreements, fines, imprisonment, i

tions, the closure of facilities, and the cost of contain

cleaning up pollution.
Article 6: Private Access to Remedies

1. Each Party shall ensure that interested persons may requ

Party’s competent authorities to investigate alleged violations 

environmental laws and regulations and shall give such reques

consideration in accordance with law.

2. Each Party shall ensure that persons with a legally recognized 

est under its law in a particular matter have appropriate access to a

istrative, quasi-judicial or judicial proceedings for the enforcem

the Party’s environmental laws and regulations.

3. Private access to remedies shall include rights, in accordanc

the Party’s law, such as:

(a) to sue another person under that Party’s jurisdiction fo

ages;

(b) to seek sanctions or remedies such as monetary pen

emergency closures or orders to mitigate the consequen

violations of its environmental laws and regulations;

(c) to request the competent authorities to take appropriate 

to enforce that Party’s environmental laws and regulat

order to protect the environment or to avoid environm

harm; or

(d) to seek injunctions where a person suffers, or may suffe

damage or injury as a result of conduct by another p

under that Party’s jurisdiction contrary to that Party’s en

mental laws and regulations or from tortious conduct.

Article 7: Procedural Guarantees

1. Each Party shall ensure that its administrative, quasi-judici

judicial proceedings referred to in Articles 5(2) and 6(2) are fair

and equitable, and to this end shall provide that such proceedin

(a) comply with due process of law;

(b) are open to the public, except where the administrat

justice otherwise requires;
(c) entitle the parties to the proceedings to support or defen

respective positions and to present information or evi

and

(d) are not unnecessarily complicated and do not entail unr

able charges or time limits or unwarranted delays.

2. Each Party shall provide that final decisions on the merits of th

in such proceedings are:

(a) in writing and preferably state the reasons on which th

sions are based;

(b) made available without undue delay to the parties to th

ceedings and, consistent with its law, to the public; and

(c) based on information or evidence in respect of which th

ties were offered the opportunity to be heard.

3. Each Party shall provide, as appropriate, that parties to suc

ceedings have the right, in accordance with its law, to seek review 

where warranted, correction of final decisions issued in such pr

ings.

4. Each Party shall ensure that tribunals that conduct or review 

proceedings are impartial and independent and do not have an

stantial interest in the outcome of the matter.

Part Three

Commission for Environmental Cooperation

Article 8: The Commission

1. The Parties hereby establish the Commission for Environm

Cooperation.

2. The Commission shall comprise a Council, a Secretariat and 

Public Advisory Committee.
Section A

The Council

Article 9: Council Structure and Procedures

1. The Council shall comprise cabinet-level or equivalent repre

tives of the Parties, or their designees.

2. The Council shall establish its rules and procedures.

3. The Council shall convene:

(a) at least once a year in regular session; and

(b) in special session at the request of any Party.

Regular sessions shall be chaired successively by each Party.

4. The Council shall hold public meetings in the course of all r

sessions. Other meetings held in the course of regular or special se

shall be public where the Council so decides.

5. The Council may:

(a) establish, and assign responsibilities to, ad hoc or sta

committees, working groups or expert groups;

(b) seek the advice of non-governmental organizations o

sons, including independent experts; and

(c) take such other action in the exercise of its functions 

Parties may agree.

6. All decisions and recommendations of the Council shall be ta

consensus, except as the Council may otherwise decide or as oth

provided in this Agreement.

7. All decisions and recommendations of the Council shall be 

public, except as the Council may otherwise decide or as oth

provided in this Agreement.
Article 10: Council Functions

1. The Council shall be the governing body of the Commissio

shall:

(a) serve as a forum for the discussion of environmental m

within the scope of this Agreement;

(b) oversee the implementation and develop recommend

on the further elaboration of this Agreement and, to th

the Council shall, within four years after the date of ent

force of this Agreement, review its operation and effecti

in the light of experience;

(c) oversee the Secretariat;

(d) address questions and differences that may arise be

the Parties regarding the interpretation or application 

Agreement;

(e) approve the annual program and budget of the Comm

and

(f) promote and facilitate cooperation between the Partie

respect to environmental matters.

2. The Council may consider, and develop recommendations r

ing:

(a) comparability of techniques and methodologies fo

gathering and analysis, data management and electron

communications on matters covered by this Agreemen

(b) pollution prevention techniques and strategies;

(c) approaches and common indicators for reporting on th

of the environment;

(d) the use of economic instruments for the pursuit of do

and internationally agreed environmental objectives;

(e) scientific research and technology development in resp

environmental matters;
(f) promotion of public awareness regarding the environm

(g) transboundary and border environmental issues, such 

long-range transport of air and marine pollutants;

(h) exotic species that may be harmful;

(i) the conservation and protection of wild flora and faun

their habitat, and specially protected natural areas;

(j) the protection of endangered and threatened species;

(k) environmental emergency preparedness and response 

ties;

(l) environmental matters as they relate to economic de

ment;

(m) the environmental implications of goods throughout th

cycles;

(n) human resource training and development in the enviro

tal field;

(o) the exchange of environmental scientists and officials;

(p) approaches to environmental compliance and enforcem

(q) ecologically sensitive national accounts;

(r) eco-labelling; and

(s) other matters as it may decide.

3. The Council shall strengthen cooperation on the develo

and continuing improvement of environmental laws and regul

including by:

(a) promoting the exchange of information on criteria and 

odologies used in establishing domestic environmenta

dards; and
(b) without reducing levels of environmental protection, 

lishing a process for developing recommendations on g

compatibility of environmental technical regulations

dards and conformity assessment procedures in a m

consistent with the NAFTA.

4. The Council shall encourage:

(a) effective enforcement by each Party of its environmenta

and regulations;

(b) compliance with those laws and regulations; and

(c) technical cooperation between the Parties.

5. The Council shall promote and, as appropriate, develop recom

dations regarding:

(a) public access to information concerning the environme

is held by public authorities of each Party, including in

tion on hazardous materials and activities in its commu

and opportunity to participate in decision-making pro

related to such public access; and

(b) appropriate limits for specific pollutants, taking into a

differences in ecosystems.

6. The Council shall cooperate with the NAFTA Free Trade Co

sion to achieve the environmental goals and objectives of the NAF

(a) acting as a point of inquiry and receipt for comment

non-governmental organizations and persons conc

those goals and objectives;

(b) providing assistance in consultations under Article 1114 

NAFTA where a Party considers that another Party is w

or derogating from, or offering to waive or otherwise de

from, an environmental measure as an encouragem

establish, acquire, expand or retain an investment of an 

tor, with a view to avoiding any such encouragement;

(c) contributing to the prevention or resolution of environ

related trade disputes by:
(i) seeking to avoid disputes between the Parties,

(ii) making recommendations to the Free Trade Comm

with respect to the avoidance of such disputes, an

(iii) identifying experts able to provide information o

nical advice to NAFTA committees, working grou

other NAFTA bodies;

(d) considering on an ongoing basis the environmental eff

the NAFTA; and

(e) otherwise assisting the Free Trade Commission in en

ment-related matters.

7. Recognizing the significant bilateral nature of many transbou

environmental issues, the Council shall, with a view to agre

between the Parties pursuant to this Article within three years on o

tions, consider and develop recommendations with respect to:

(a) assessing the environmental impact of proposed p

subject to decisions by a competent government aut

and likely to cause significant adverse transboundary e

including a full evaluation of comments provided by 

Parties and persons of other Parties;

(b) notification, provision of relevant information and con

tion between Parties with respect to such projects; and

(c) mitigation of the potential adverse effects of such proje

8. The Council shall encourage the establishment by each Pa

appropriate administrative procedures pursuant to its environm

laws to permit another Party to seek the reduction, elimination o

gation of transboundary pollution on a reciprocal basis.

9. The Council shall consider and, as appropriate, develop recom

dations on the provision by a Party, on a reciprocal basis, of access 

rights and remedies before its courts and administrative agenc

persons in another Party’s territory who have suffered or are lik

suffer damage or injury caused by pollution originating in its terri

if the damage or injury were suffered in its territory.
Section B

The Secretariat

Article 11: Secretariat Structure and Procedures

1. The Secretariat shall be headed by an Executive Director, wh

be chosen by the Council for a three-year term, which may be re

by the Council for one additional three-year term. The position o

utive Director shall rotate consecutively between nationals o

Party. The Council may remove the Executive Director solely for c

2. The Executive Director shall appoint and supervise the staff 

Secretariat, regulate their powers and duties and fix their remune

in accordance with general standards to be established by the Co

The general standards shall provide that:

(a) staff shall be appointed and retained, and their condit

employment shall be determined, strictly on the basis 

ciency, competence and integrity;

(b) in appointing staff, the Executive Director shall tak

account lists of candidates prepared by the Parties and 

Joint Public Advisory Committee;

(c) due regard shall be paid to the importance of recruit

equitable proportion of the professional staff from amo

nationals of each Party; and

(d) the Executive Director shall inform the Council of all ap

ments.

3. The Council may decide, by a two-thirds vote, to reject any ap

ment that does not meet the general standards. Any such decisio

be made and held in confidence.

4. In the performance of their duties, the Executive Director a

staff shall not seek or receive instructions from any government 

other authority external to the Council. Each Party shall resp

international character of the responsibilities of the Executive D

and the staff and shall not seek to influence them in the discharge o

responsibilities.
5. The Secretariat shall provide technical, administrative and 

tional support to the Council and to committees and groups estab

by the Council, and such other support as the Council may direc

6. The Executive Director shall submit for the approval of the C

the annual program and budget of the Commission, including pro

for proposed cooperative activities and for the Secretariat to resp

contingencies.

7. The Secretariat shall, as appropriate, provide the Parties a

public information on where they may receive technical advic

expertise with respect to environmental matters.

8. The Secretariat shall safeguard:

(a) from disclosure information it receives that could ide

non-governmental organization or person making a su

sion if the person or organization so requests or the Secr

otherwise considers it appropriate; and

(b) from public disclosure any information it receives fro

non-governmental organization or person where the in

tion is designated by that non-governmental organiza

person as confidential or proprietary.

Article 12: Annual Report of the Commission

1. The Secretariat shall prepare an annual report of the Commis

accordance with instructions from the Council. The Secretaria

submit a draft of the report for review by the Council. The final 

shall be released publicly.

2. The report shall cover:

(a) activities and expenses of the Commission during the pr

year;

(b) the approved program and budget of the Commission 

subsequent year;

(c) the actions taken by each Party in connection with its o

tions under this Agreement, including data on the P

environmental enforcement activities;
(d) relevant views and information submitted by non-g

mental organizations and persons, including summar

regarding submissions, and any other relevant inform

the Council deems appropriate;

(e) recommendations made on any matter within the scope 

Agreement; and

(f) any other matter that the Council instructs the Secreta

include.

3. The report shall periodically address the state of the environm

the territories of the Parties.

Article 13: Secretariat Reports

1. The Secretariat may prepare a report for the Council on any 

within the scope of the annual program. Should the Secretariat w

prepare a report on any other environmental matter related to the 

erative functions of this Agreement, it shall notify the Council an

proceed unless, within 30 days of such notification, the Council 

by a two-thirds vote to the preparation of the report. Such other en

mental matters shall not include issues related to whether a Par

failed to enforce its environmental laws and regulations. Whe

Secretariat does not have specific expertise in the matter under rev

shall obtain the assistance of one or more independent experts of 

nized experience in the matter to assist in the preparation of the rep

2. In preparing such a report, the Secretariat may draw upon an

vant technical, scientific or other information, including informa

(a) that is publicly available;

(b) submitted by interested non-governmental organizatio

persons;

(c) submitted by the Joint Public Advisory Committee;

(d) furnished by a Party;

(e) gathered through public consultations, such as confer

seminars and symposia; or
(f) developed by the Secretariat, or by independent e

engaged pursuant to paragraph 1.

3. The Secretariat shall submit its report to the Council, which 

make it publicly available, normally within 60 days following i

mission, unless the Council otherwise decides.

Article 14: Submissions on Enforcement Matters

1. The Secretariat may consider a submission from any non-g

mental organization or person asserting that a Party is failing to 

tively enforce its environmental law, if the Secretariat finds th

submission:

(a) is in writing in a language designated by that Party in a 

cation to the Secretariat;

(b) clearly identifies the person or organization making th

mission;

(c) provides sufficient information to allow the Secreta

review the submission, including any documentary ev

on which the submission may be based;

(d) appears to be aimed at promoting enforcement rather t

harassing industry;

(e) indicates that the matter has been communicated in wri

the relevant authorities of the Party and indicates the P

response, if any; and

(f) is filed by a person or organization residing or establis

the territory of a Party.

2. Where the Secretariat determines that a submission meets th

ria set out in paragraph 1, the Secretariat shall determine wheth

submission merits requesting a response from the Party. In de

whether to request a response, the Secretariat shall be guid

whether:

(a) the submission alleges harm to the person or organi

making the submission;
(b) the submission, alone or in combination with other su

sions, raises matters whose further study in this process 

advance the goals of this Agreement;

(c) private remedies available under the Party’s law hav

pursued; and

(d) the submission is drawn exclusively from mass media re

Where the Secretariat makes such a request, it shall forward 

Party a copy of the submission and any supporting informatio

vided with the submission.

3. The Party shall advise the Secretariat within 30 days or, in 

tional circumstances and on notification to the Secretariat, wit

days of delivery of the request:

(a) whether the matter is the subject of a pending judi

administrative proceeding, in which case the Secretaria

proceed no further; and

(b) of any other information that the Party wishes to submi

as

i) whether the matter was previously the subject of a ju

or administrative proceeding, and

ii) whether private remedies in connection with the 

are available to the person or organization maki

submission and whether they have been pursued.

Article 15: Factual Record

1. If the Secretariat considers that the submission, in the light 

response provided by the Party, warrants developing a factual r

the Secretariat shall so inform the Council and provide its reason

2. The Secretariat shall prepare a factual record if the Counci

two-thirds vote, instructs it to do so.

3. The preparation of a factual record by the Secretariat pursu

this Article shall be without prejudice to any further steps that m

taken with respect to any submission.
4. In preparing a factual record, the Secretariat shall consid

information furnished by a Party and may consider any relevant t

cal, scientific or other information:

(a) that is publicly available;

(b) submitted by interested non-governmental organizati

persons;

(c) submitted by the Joint Public Advisory Committee; or

(d) developed by the Secretariat or by independent expert

5. The Secretariat shall submit a draft factual record to the Co

Any Party may provide comments on the accuracy of the draft 

45 days thereafter.

6. The Secretariat shall incorporate, as appropriate, any such 

ments in the final factual record and submit it to the Council.

7. The Council may, by a two-thirds vote, make the final factual 

publicly available, normally within 60 days following its submis

Section C

Advisory Committees

Article 16: Joint Public Advisory Committee

1. The Joint Public Advisory Committee shall comprise 15 me

unless the Council otherwise decides. Each Party or, if the Pa

decides, its National Advisory Committee convened under Arti

shall appoint an equal number of members.

2. The Council shall establish the rules of procedure for the Joint 

Advisory Committee, which shall choose its own chair.

3. The Joint Public Advisory Committee shall convene at least 

year at the time of the regular session of the Council and at such 

times as the Council, or the Committee’s chair with the consen

majority of its members, may decide.
4. The Joint Public Advisory Committee may provide advice 

Council on any matter within the scope of this Agreement, includ

any documents provided to it under paragraph 6, and on the impl

tation and further elaboration of this Agreement, and may perform 

other functions as the Council may direct.

5. The Joint Public Advisory Committee may provide relevant t

cal, scientific or other information to the Secretariat, including fo

poses of developing a factual record under Article 15. The Secr

shall forward to the Council copies of any such information.

6. The Secretariat shall provide to the Joint Public Advisory Co

tee at the time they are submitted to the Council copies of the pro

annual program and budget of the Commission, the draft annual 

and any report the Secretariat prepares pursuant to Article 13.

7. The Council may, by a two-thirds vote, make a factual record 

able to the Joint Public Advisory Committee.

Article 17: National Advisory Committees

Each Party may convene a national advisory committee, co

ing members of its public, including representatives of non-gover

tal organizations and persons, to advise it on the implementatio

further elaboration of this Agreement.

Article 18: Governmental Committees

Each Party may convene a governmental committee, whic

comprise or include representatives of federal and state or pro

governments, to advise it on the implementation and further elabo

of this Agreement.

Section D

Official Languages

Article 19: Official Languages

The official languages of the Commission shall be English, F

and Spanish. All annual reports under Article 12, reports submi

the Council under Article 13, factual records submitted to the C
under Article 15(6) and panel reports under Part Five shall be av

in each official language at the time they are made public. The C

shall establish rules and procedures regarding interpretation and 

lation.

Part Four

Cooperation and Provision of Information

Article 20: Cooperation

1. The Parties shall at all times endeavor to agree on the inter

tion and application of this Agreement, and shall make every a

through cooperation and consultations to resolve any matter that 

affect its operation.

2. To the maximum extent possible, each Party shall notify any 

Party with an interest in the matter of any proposed or actual en

mental measure that the Party considers might materially affe

operation of this Agreement or otherwise substantially affect tha

Party’s interests under this Agreement.

3. On request of any other Party, a Party shall promptly provide 

mation and respond to questions pertaining to any such actual o

posed environmental measure, whether or not that other Party ha

previously notified of that measure.

4. Any Party may notify any other Party of, and provide to that 

any credible information regarding possible violations of its en

mental law, specific and sufficient to allow the other Party to inqui

the matter. The notified Party shall take appropriate steps in acco

with its law to so inquire and to respond to the other Party.

Article 21: Provision of Information

1. On request of the Council or the Secretariat, each Party sh

accordance with its law, provide such information as the Council 

Secretariat may require, including:

(a) promptly making available any information in its poss

required for the preparation of a report or factual r

including compliance and enforcement data; and
(b) taking all reasonable steps to make available any othe

information requested.

2. If a Party considers that a request for information from the Se

iat is excessive or otherwise unduly burdensome, it may so not

Council. The Secretariat shall revise the scope of its request to c

with any limitations established by the Council by a two-thirds v

3. If a Party does not make available information requested 

Secretariat, as may be limited pursuant to paragraph 2, it shall pro

advise the Secretariat of its reasons in writing.

Part Five

Consultation and

Resolution of Disputes

Article 22: Consultations

1. Any Party may request in writing consultations with any 

Party regarding whether there has been a persistent pattern of fail

that other Party to effectively enforce its environmental law.

2. The requesting Party shall deliver the request to the other P

and to the Secretariat.

3. Unless the Council otherwise provides in its rules and proc

established under Article 9(2), a third Party that considers it has 

stantial interest in the matter shall be entitled to participate in the c

tations on delivery of written notice to the other Parties and 

Secretariat.

4. The consulting Parties shall make every attempt to arrive at a 

ally satisfactory resolution of the matter through consultations 

this Article.

Article 23: Initiation of Procedures

1. If the consulting Parties fail to resolve the matter pursuant to A

22 within 60 days of delivery of a request for consultations, or such 

period as the consulting Parties may agree, any such Party may r

in writing a special session of the Council.
2. The requesting Party shall state in the request the matter 

plained of and shall deliver the request to the other Parties and 

Secretariat.

3. Unless it decides otherwise, the Council shall convene wit

days of delivery of the request and shall endeavor to resolve the d

promptly.

4. The Council may:

(a) call on such technical advisers or create such working g

or expert groups as it deems necessary,

(b) have recourse to good offices, conciliation, mediation o

other dispute resolution procedures, or

(c) make recommendations,

as may assist the consulting Parties to reach a mutually satisfactor

lution of the dispute. Any such recommendations shall be made 

if the Council, by a two-thirds vote, so decides.

5. Where the Council decides that a matter is more properly co

by another agreement or arrangement to which the consulting P

are party, it shall refer the matter to those Parties for appropriate 

in accordance with such other agreement or arrangement.

Article 24: Request for an Arbitral Panel

1. If the matter has not been resolved within 60 days after the C

has convened pursuant to Article 23, the Council shall, on the w

request of any consulting Party and by a two-thirds vote, conv

arbitral panel to consider the matter where the alleged persistent p

of failure by the Party complained against to effectively enfo

environmental law relates to a situation involving workplaces, 

companies or sectors that produce goods or provide services:

(a) traded between the territories of the Parties; or

(b) that compete, in the territory of the Party complained a

with goods or services produced or provided by pers

another Party.
2. A third Party that considers it has a substantial interest in the 

shall be entitled to join as a complaining Party on delivery of w

notice of its intention to participate to the disputing Parties a

Secretariat. The notice shall be delivered at the earliest possible 

and in any event no later than seven days after the date of the vote 

Council to convene a panel.

3. Unless otherwise agreed by the disputing Parties, the panel s

established and perform its functions in a manner consistent w

provisions of this Part.

Article 25: Roster

1. The Council shall establish and maintain a roster of up to 45 in

uals who are willing and able to serve as panelists. The roster me

shall be appointed by consensus for terms of three years, and m

reappointed.

2. Roster members shall:

(a) have expertise or experience in environmental law 

enforcement, or in the resolution of disputes arising 

international agreements, or other relevant scientific, tec

or professional expertise or experience;

(b) be chosen strictly on the basis of objectivity, reliabili

sound judgment;

(c) be independent of, and not be affiliated with or take in

tions from, any Party, the Secretariat or the Joint Public 

sory Committee; and

(d) comply with a code of conduct to be established by the 

cil.

Article 26: Qualifications of Panelists

1. All panelists shall meet the qualifications set out in Article 2

2. Individuals may not serve as panelists for a dispute in which

(a) they have participated pursuant to Article 23(4); or
(b) they have, or a person or organization with which th

affiliated has, an interest, as set out in the code of co

established under Article 25(2)(d).

Article 27: Panel Selection

1. Where there are two disputing Parties, the following proc

shall apply:

(a) The panel shall comprise five members.

(b) The disputing Parties shall endeavor to agree on the c

the panel within 15 days after the Council votes to conve

panel. If the disputing Parties are unable to agree on th

within this period, the disputing Party chosen by lo

select within five days a chair who is not a citizen of that P

(c) Within 15 days of selection of the chair, each disputing 

shall select two panelists who are citizens of the other d

ing Party.

(d) If a disputing Party fails to select its panelists within 

period, such panelists shall be selected by lot from amo

roster members who are citizens of the other disputing P

2. Where there are more than two disputing Parties, the followin

cedures shall apply:

(a) The panel shall comprise five members.

(b) The disputing Parties shall endeavor to agree on the c

the panel within 15 days after the Council votes to conve

panel. If the disputing Parties are unable to agree on th

within this period, the Party or Parties on the side 

dispute chosen by lot shall select within 10 days a chair 

not a citizen of such Party or Parties.

(c) Within 30 days of selection of the chair, the Party comp

against shall select two panelists, one of whom is a cit

a complaining Party, and the other of whom is a citi

another complaining Party. The complaining Partie
select two panelists who are citizens of the Party comp

against.

(d) If any disputing Party fails to select a panelist within 

period, such panelist shall be selected by lot in accor

with the citizenship criteria of subparagraph (c).

3. Panelists shall normally be selected from the roster. Any dis

Party may exercise a peremptory challenge against any individu

on the roster who is proposed as a panelist by a disputing Party wi

days after the individual has been proposed.

4. If a disputing Party believes that a panelist is in violation of th

of conduct, the disputing Parties shall consult and, if they agree, th

elist shall be removed and a new panelist shall be selected in accor

with this Article.

Article 28: Rules of Procedure

1. The Council shall establish Model Rules of Procedure. The 

dures shall provide:

(a) a right to at least one hearing before the panel;

(b) the opportunity to make initial and rebuttal written su

sions; and

(c) that no panel may disclose which panelists are associate

majority or minority opinions.

2. Unless the disputing Parties otherwise agree, panels con

under this Part shall be established and conduct their proceedi

accordance with the Model Rules of Procedure.

3. Unless the disputing Parties otherwise agree within 20 days af

Council votes to convene the panel, the terms of reference shall b

“To examine, in light of the relevant provisions of the Agreement, 

ing those contained in Part Five, whether there has been a pe

pattern of failure by the Party complained against to effectively enf

environmental law, and to make findings, determinations and reco

dations in accordance with Article 31(2).”
Article 29: Third Party Participation

A party that is not a disputing Party, on delivery of a written 

to the disputing Parties and to the Secretariat, shall be entitled to 

all hearings, to make written and oral submissions to the panel 

receive written submissions of the disputing Parties.

Article 30: Role of Experts

On request of a disputing Party, or on its own initiative, the 

may seek information and technical advice from any person or bod

it deems appropriate, provided that the disputing Parties so agr

subject to such terms and conditions as such Parties may agree.

Article 31: Initial Report

1. Unless the disputing Parties otherwise agree, the panel shall b

report on the submissions and arguments of the Parties and on any 

mation before it pursuant to Article 30.

2. Unless the disputing Parties otherwise agree, the panel shall, 

180 days after the last panelist is selected, present to the dis

Parties an initial report containing:

(a) findings of fact;

(b) its determination as to whether there has been a persiste

tern of failure by the Party complained against to effe

enforce its environmental law, or any other determi

requested in the terms of reference; and

(c) in the event the panel makes an affirmative determi

under subparagraph (b), its recommendations, if any, 

resolution of the dispute, which normally shall be th

Party complained against adopt and implement an actio

sufficient to remedy the pattern of non-enforcement.

3. Panelists may furnish separate opinions on matters not 

mously agreed.

4. A disputing party may submit written comments to the pane

initial report within 30 days of presentation of the report.
5. In such an event, and after considering such written commen

panel, on its own initiative or on the request of any disputing Party

(a) request the views of any participating Party;

(b) reconsider its report; and

(c) make any further examination that it considers approp

Article 32: Final Report

1. The panel shall present to the disputing Parties a final 

including any separate opinions on matters not unanimously a

within 60 days of presentation of the initial report, unless the dis

Parties otherwise agree.

2. The disputing Parties shall transmit to the Council the final re

the panel, as well as any written views that a disputing Party des

be appended, on a confidential basis within 15 days after it is pre

to them.

3. The final report of the panel shall be published five days aft

transmitted to the Council.

Article 33: Implementation of Final Report

If, in its final report, a panel determines that there has been a 

tent pattern of failure by the Party complained against to effe

enforce its environmental law, the disputing Parties may agre

mutually satisfactory action plan, which normally shall conform 

the determinations and recommendations of the panel. The dis

Parties shall promptly notify the Secretariat and the Council 

agreed resolution of the dispute.

Article 34: Review of Implementation

1. If, in its final report, a panel determines that there has been a 

tent pattern of failure by the Party complained against to effe

enforce its environmental law, and:

(a) the disputing Parties have not agreed on an action plan 

Article 33 within 60 days of the date of the final report, 
(b) the disputing Parties cannot agree on whether the Part

plained against is fully implementing

(i) an action plan agreed under Article 33,

(ii) an action plan deemed to have been established 

panel under paragraph 2, or

(iii) an action plan approved or established by a panel 

paragraph 4,

any disputing Party may request that the panel be reconvened

requesting Party shall deliver the request in writing to the other P

and to the Secretariat. The Council shall reconvene the panel on de

of the request to the Secretariat.

2. No Party may make a request under paragraph 1(a) earlier t

days, or later than 120 days, after the date of the final report. If t

puting Parties have not agreed to an action plan and if no reque

made under paragraph 1(a), the last action plan, if any, submitted 

Party complained against to the complaining Party or Parties wi

days of the date of the final report, or such other period as the dis

Parties may agree, shall be deemed to have been established by the 

120 days after the date of the final report.

3. A request under paragraph 1(b) may be made no earlier th

days after an action plan has been:

(a) agreed under Article 33;

(b) deemed to have been established by a panel under para

2; or

(c) approved or established by a panel under paragraph 4

and only during the term of any such action plan.

4. Where a panel has been reconvened under paragraph 1(a), i

(a) shall determine whether any action plan proposed 

Party complained against is sufficient to remedy the pat

non-enforcement and
(i) if so, shall approve the plan, or

(ii) if not, shall establish such a plan consistent with t

of the Party complained against, and

(b) may, where warranted, impose a monetary enforc

assessment in accordance with Annex 34,

within 90 days after the panel has been reconvened or such other 

as the disputing Parties may agree.

5. Where a panel has been reconvened under paragraph 1(b), 

determine either that:

(a) the Party complained against is fully implementing the 

plan, in which case the panel may not impose a mo

enforcement assessment, or

(b) the Party complained against is not fully implementi

action plan, in which case the panel shall impose a mo

enforcement assessment in accordance with Annex 34,

within 60 days after it has been reconvened or such other period 

disputing Parties may agree.

6. A panel reconvened under this Article shall provide that the 

complained against shall fully implement any action plan referre

paragraph 4(a)(ii) or 5(b), and pay any monetary enforcement a

ment imposed under paragraph 4(b) or 5(b), and any such pro

shall be final.

Article 35: Further Proceeding

A complaining Party may, at any time beginning 180 day

a panel determination under Article 34(5)(b), request in writin

a panel be reconvened to determine whether the Party comp

against is fully implementing the action plan. On delivery of the r

to the other Parties and the Secretariat, the Council shall reconve

panel. The panel shall make the determination within 60 days afte

been reconvened or such other period as the disputing Partie

agree.
Article 36: Suspension of Benefits

1. Subject to Annex 36A, where a Party fails to pay a monetary en

ment assessment within 180 days after it is imposed by a panel:

(a) under Article 34(4)(b), or

(b) under Article 34(5)(b), except where benefits may b

pended under paragraph 2(a),

any complaining Party or Parties may suspend, in accordanc

Annex 36B, the application to the Party complained against of N

benefits in an amount no greater than that sufficient to collect the 

tary enforcement assessment.

2. Subject to Annex 36A, where a panel has made a determi

under Article 34(5)(b) and the panel:

(a) has previously imposed a monetary enforcement asses

under Article 34(4)(b) or established an action plan unde

cle 34(4)(a)(ii); or

(b) has subsequently determined under Article 35 that a P

not fully implementing an action plan;

the complaining Party or Parties may, in accordance with Anne

suspend annually the application to the Party complained aga

NAFTA benefits in an amount no greater than the monetary en

ment assessment imposed by the panel under Article 34(5)(b).

3. Where more than one complaining Party suspends benefits 

paragraph 1 or 2, the combined suspension shall be no greater th

amount of the monetary enforcement assessment.

4. Where a Party has suspended benefits under paragraph 1 or 

Council shall, on the delivery of a written request by the Party 

plained against to the other Parties and the Secretariat, reconve

panel to determine whether the monetary enforcement assessme

been paid or collected, or whether the Party complained against i

implementing the action plan, as the case may be. The panel shall s

its report within 45 days after it has been reconvened. If the panel 

mines that the assessment has been paid or collected, or that the 

complained against is fully implementing the action plan, the su

sion of benefits under paragraph 1 or 2, as the case may be, shall be 

nated.
5. On the written request of the Party complained against, delive

the other Parties and the Secretariat, the Council shall reconve

panel to determine whether the suspension of benefits by the com

ing Party or Parties pursuant to paragraph 1 or 2 is manifestly exc

Within 45 days of the request, the panel shall present a report 

disputing Parties containing its determination.

Part Six

General Provisions

Article 37: Enforcement Principle

Nothing in this Agreement shall be construed to empo

Party’s authorities to undertake environmental law enforcement 

ties in the territory of another Party.

Article 38: Private Rights

No Party may provide for a right of action under its law a

any other Party on the ground that another Party has acted in a m

inconsistent with this Agreement.

Article 39: Protection of Information

1. Nothing in this Agreement shall be construed to require a P

make available or allow access to information:

(a) the disclosure of which would impede its environmen

enforcement; or

(b) that is protected from disclosure by its law governing bu

or proprietary information, personal privacy or the con

tiality of governmental decision making.

2. If a Party provides confidential or proprietary informat

another Party, the Council, the Secretariat or the Joint Public Ad

Committee, the recipient shall treat the information on the same b

the Party providing the information.
3. Confidential or proprietary information provided by a Par

panel under this Agreement shall be treated in accordance with th

of procedure established under Article 28.

Article 40: Relation to Other Environmental Agreement

Nothing in this Agreement shall be construed to affect the e

rights and obligations of the Parties under other international en

mental agreements, including conservation agreements, to whic

Parties are party.

Article 41: Extent of Obligations

Annex 41 applies to the Parties specified in that Annex.

Article 42: National Security

Nothing in this Agreement shall be construed:

(a) to require any Party to make available or provide ac

information the disclosure of which it determines to b

trary to its essential security interests; or

(b) to prevent any Party from taking any actions that it con

necessary for the protection of its essential security in

relating to

(i) arms, ammunition and implements of war, or

(ii) the implementation of national policies or interna

agreements respecting the non-proliferation of n

weapons or other nuclear explosive devices.

Article 43: Funding of the Commission

Each Party shall contribute an equal share of the annual bud

the Commission, subject to the availability of appropriated fu

accordance with the Party’s legal procedures. No Party shall b

gated to pay more than any other Party in respect of an annual bud
Article 44: Privileges and Immunities

The Executive Director and staff of the Secretariat shall enjoy 

territory of each Party such privileges and immunities as are nec

for the exercise of their functions.

Article 45: Definitions

1. For purposes of this Agreement:

A Party has not failed to “effectively enforce its environmental l

to comply with Article 5(1) in a particular case where the action o

tion in question by agencies or officials of that Party:

(a) reflects a reasonable exercise of their discretion in resp

investigatory, prosecutorial, regulatory or complianc

ters; or

(b) results from bona fide decisions to allocate resources to en

ment in respect of other environmental matters determi

have higher priorities;

“non-governmental organization” means any scientific, profes

business, non-profit, or public interest organization or assoc

which is neither affiliated with, nor under the direction of, a g

ment;

“persistent pattern” means a sustained or recurring course of ac

inaction beginning after the date of entry into force of this Agree

“province” means a province of Canada, and includes the Yukon 

tory and the Northwest Territories and their successors; and

“territory” means for a Party the territory of that Party as set 

Annex 45.

2. For purposes of Article 14(l) and Part Five:

(a) “environmental law” means any statute or regulatio

Party, or provision thereof, the primary purpose of w

the protection of the environment, or the prevention of 

ger to human life or health, through
(i) the prevention, abatement or control of the r

discharge, or emission of pollutants or environm

contaminants,

(ii) the control of environmentally hazardous or toxic 

cals, substances, materials and wastes, and the di

nation of information related thereto, or

(iii) the protection of wild flora or fauna, including e

gered species, their habitat, and specially protected 

ral areas in the Party’s territory, but does not in

any statute or regulation, or provision thereof, d

related to worker safety or health.

(b) For greater certainty, the term “environmental law” do

include any statute or regulation, or provision thereof, t

mary purpose of which is managing the commercial har

exploitation, or subsistence or aboriginal harvesting, o

ral resources.

(c) The primary purpose of a particular statutory or regu

provision for purposes of subparagraphs (a) and (b) s

determined by reference to its primary purpose, rather t

the primary purpose of the statute or regulation of whi

part.

3. For purposes of Article 14(3), “judicial or administrative pr

ing” means:

(a) a domestic judicial, quasi-judicial or administrative 

pursued by the Party in a timely fashion and in acco

with its law. Such actions comprise: mediation; arbitrati

process of issuing a license, permit, or authorization; s

an assurance of voluntary compliance or a compliance 

ment; seeking sanctions or remedies in an administra

judicial forum; and the process of issuing an adminis

order; and

(b) an international dispute resolution proceeding to whi

Party is party.
Part Seven

Final Provisions

Article 46: Annexes

The Annexes to this Agreement constitute an integral part 

Agreement.

Article 47: Entry into Force

This Agreement shall enter into force on January 1, 1994, im

ately after entry into force of the NAFTA, on an exchange of writte

fications certifying the completion of necessary legal procedures

Article 48: Amendments

1. The Parties may agree on any modification of or addition 

Agreement.

2. When so agreed, and approved in accordance with the app

legal procedures of each Party, a modification or addition shall 

tute an integral part of this Agreement.

Article 49: Accession

Any country or group of countries may accede to this Agre

subject to such terms and conditions as may be agreed betwee

country or countries and the Council and following approval in 

dance with the applicable legal procedures of each country.

Article 50: Withdrawal

A Party may withdraw from this Agreement six months 

provides written notice of withdrawal to the other Parties. If a 

withdraws, the Agreement shall remain in force for the rem

Parties.
Article 51: Authentic Texts

The English, French, and Spanish texts of this Agreeme

equally authentic.

IN WITNESS WHEREOF, the undersigned, being duly auth

by the respective Governments, have signed this Agreement.
Annex 34

Monetary Enforcement Assessments

1. For the first year after the date of entry into force of this Agre

any monetary enforcement assessment shall be no greater than 2

lion dollars (U.S.) or its equivalent in the currency of the Party 

plained against. Thereafter, any monetary enforcement asses

shall be no greater than .007 percent of total trade in goods betwe

Parties during the most recent year for which data are available.

2. In determining the amount of the assessment, the panel sha

into account:

(a) the pervasiveness and duration of the Party’s persiste

tern of failure to effectively enforce its environmental l

(b) the level of enforcement that could reasonably be expect

Party given its resource constraints;

(c) the reasons, if any, provided by the Party for not fully 

menting an action plan;

(d) efforts made by the Party to begin remedying the pat

non-enforcement after the final report of the panel; and

(e) any other relevant factors.

3. All monetary enforcement assessments shall be paid in the cu

of the Party complained against into a fund established in the n

the Commission by the Council and shall be expended at the direc

the Council to improve or enhance the environment or environm

law enforcement in the Party complained against, consistent w

law.
Annex 36A

Canadian Domestic Enforcement

and Collection

1. For the purposes of this Annex, “panel determination” mea

(a) a determination by a panel under Article 34(4)(b) or 5(

provides that Canada shall pay a monetary enforc

assessment; and

(b) a determination by a panel under Article 34(5)(b) that pr

that Canada shall fully implement an action plan whe

panel:

(i) has previously established an action plan under 

34(4)(a)(ii) or imposed a monetary enforcement 

ment under Article 34(4)(b); or

(ii) has subsequently determined under Article 3

Canada is not fully implementing an action plan.

2. Canada shall adopt and maintain procedures that provide th

(a) subject to subparagraph (b), the Commission, at the req

a complaining Party, may in its own name file in a co

competent jurisdiction a certified copy of a panel dete

tion;

(b) the Commission may file in court a panel determination 

a panel determination described in paragraph 1(a) o

Canada has failed to comply with the determination 

180 days of when the determination was made;

(c) when filed, the panel determination, for purposes of en

ment, shall become an order of the court;

(d) the Commission may take proceedings for enforceme

panel determination that is made an order of the court, 

court, against the person against whom the panel dete

tion is addressed in accordance with paragraph 6 of Ann
(e) proceedings to enforce a panel determination that ha

made an order of the court shall be conducted by way o

mary proceedings;

(f) in proceedings to enforce a panel determination that is a 

determination described in paragraph 1(b) and that ha

made an order of the court, the court shall promptly ref

question of fact or any question of interpretation of the 

determination to the panel that made the panel determin

and the decision of the panel shall be binding on the co

(g) a panel determination that has been made an order of th

shall not be subject to domestic review or appeal; and

(h) an order made by the court in proceedings to enforce a 

determination that has been made an order of the cour

not be subject to review or appeal.

3. Where Canada is the Party complained against, the proc

adopted and maintained by Canada under this Annex shall app

the procedures set out in Article 36 shall not apply.

4. Any change by Canada to the procedures adopted and main

by Canada under this Annex that have the effect of undermini

provisions of this Annex shall be considered a breach of this Agree
Annex 36B

Suspension of Benefits

1. Where a complaining Party suspends NAFTA tariff bene

accordance with this Agreement, the Party may increase the r

duty on originating goods of the Party complained against to lev

to exceed the lesser of:

(a) the rate that was applicable to those goods immediately 

to the date of entry into force of the NAFTA, and

(b) the Most-Favored-Nation rate applicable to those goods 

date the Party suspends such benefits,

and such increase may be applied only for such time as is neces

collect, through such increase, the monetary enforcement assessm

2. In considering what tariff or other benefits to suspend pursu

Article 36(1) or (2):

(a) a complaining Party shall first seek to suspend benefits 

same sector or sectors as that in respect of which there ha

a persistent pattern of failure by the Party complained a

to effectively enforce its environmental law; and

(b) a complaining Party that considers it is not practicable o

tive to suspend benefits in the same sector or sectors ma

pend benefits in other sectors.
Annex 41

Extent of Obligations

1. On the date of signature of this Agreement, or of the excha

written notifications under Article 47, Canada shall set out in a d

tion a list of any provinces for which Canada is to be bound in res

matters within their jurisdiction. The declaration shall be effect

delivery to the other Parties, and shall carry no implication as 

internal distribution of powers within Canada. Canada shall not

other Parties six months in advance of any modification to its d

tion.

2. When considering whether to instruct the Secretariat to pre

factual record pursuant to Article 15, the Council shall take into a

whether the submission was made by a non-governmental organi

or enterprise incorporated or otherwise organized under the law

province included in the declaration made under paragraph 1.

3. Canada may not request consultations under Article 22 or a C

meeting under Article 23 or request the establishment of a panel 

as a complaining Party under Article 24 against another Party 

instance, or primarily for the benefit, of any government of a pr

not included in the declaration made under paragraph 1.

4. Canada may not request a Council meeting under Article 

request the establishment of a panel or join as a complaining Party 

Article 24 concerning whether there has been a persistent pattern 

ure by another Party to effectively enforce its environmental law, 

Canada states in writing that the matter would be under federal ju

tion if it were to arise within the territory of Canada, or:

(a) Canada states in writing that the matter would be und

vincial jurisdiction if it were to arise within the territ

Canada; and

(b) the provinces included in the declaration account for at l

percent of Canada’s Gross Domestic Product (GDP) f

most recent year in which data are available, and

(c) where the matter concerns a specific industry or sector, a

55 percent of total Canadian production in that industry 

tor is accounted for by the provinces included in the d

tion for the most recent year in which data are availabl
5. No other Party may request a Council meeting under Articl

request the establishment of a panel or join as a complaining Party 

Article 24 concerning whether there has been a persistent failure to 

tively enforce an environmental law of a province unless that prov

included in the declaration made under paragraph 1 and the re

ments of subparagraphs 4(b) and (c) have been met.

6. Canada shall, no later than the date on which an arbitral panel 

vened pursuant to Article 24 respecting a matter within the sc

paragraph 5 of this Annex, notify in writing the complaining Parti

the Secretariat of whether any monetary enforcement assessm

action plan imposed by a panel under Article 34(4) or 34(5) a

Canada shall be addressed to Her Majesty in right of Canada 

Majesty in right of the province concerned.

7. Canada shall use its best efforts to make this Agreement app

to as many of its provinces as possible.

8. Two years after the date of entry into force of this Agreeme

Council shall review the operation of this Annex and, in particula

consider whether the Parties should amend the thresholds estab

in paragraph 4.
Annex 45

Country-Specific Definitions

For purposes of this Agreement:

“territory” means:

(a) with respect to Canada, the territory to which its cu

laws apply, including any areas beyond the territorial 

Canada within which, in accordance with internation

and its domestic law, Canada may exercise rights with r

to the seabed and subsoil and their natural resources;

(b) with respect to Mexico,

(i) the states of the Federation and the Federal Distri

(ii) the islands, including the reefs and keys, in adjacen

(iii) the islands of Guadalupe and Revillagigedo situa

the Pacific Ocean,

(iv) the continental shelf and the submarine shelf o

islands, keys and reefs,

(v) the waters of the territorial seas, in accordance with 

national law, and its interior maritime waters,

(vi) the space located above the national territory, in 

dance with international law, and

(vii) any areas beyond the territorial seas of Mexico 

which, in accordance with international law, inc

the United Nations Convention on the Law of the Sea, 

domestic law, Mexico may exercise rights with res

the seabed and subsoil and their natural resource

(c) with respect to the United States,

(i) the customs territory of the United States, which in

the 50 states, the District of Columbia and Puerto R
(ii) the foreign trade zones located in the United Stat

Puerto Rico, and

(iii) any areas beyond the territorial seas of the United 

within which, in accordance with international la

its domestic law, the United States may exercise 

with respect to the seabed and subsoil and their n

resources.