COMMISSION OF THE EUROPEAN COMMUNITIES 
COM(92) 186 final 
Brussels, 26 May 1992 
Hw&y'Cy 
Proposal for a 
COUNCIL DECISION 
CONCERNING THE SIGNATURE OF A CONVENTION 
ON THE CONSERVATION OF BIOLOGICAL DIVERSITY 
(presented by the Commission) 
sss 
EXPLANATORY MEMORANDUM 
&lbjfi£l= SIGNATURE OF THE CONVENTION ON THE CONSERVATION OF BIOLOGICAL 
DIVERSITY 
1. On 29 July 1991 the Council authorized the Commission to participate on 
behalf of the Community In the negotiations on a Convention on the 
conservation of biological diversity under the United Nations 
Environment Programmed1) The Commission has participated in the 
negotiations in accordance with the negotiating directives given to It 
by the Counc11. 
2. The origin of this draft Convention and the rationale for the 
Community's participation in it has been explained In the explanatory 
memorandum to the Commission's communication on the negotiation of a 
Convention on the conservation of biological diversity.&> 
Since the Council's conclusions were adopted, the draft Convention has 
been discussed in four sessions of the Intergovernmental Negotiating 
Committee on a Convention on the conservation of biological diversity 
which took place from 24 June to 3 July 1991 in Madrid, from 
23 September to 2 October 1991 In Nairobi, from 26 November to 
4 December 1991 in Geneva and from 6 to 15 February 1992 in Nairobi. 
4. At this stage it is not possible to present a definitive text of the 
Convention to the Council, as the draft text will be further discussed 
at one more session from 11 to 18 May 1992 in Nairobi, A Diplomatic 
Conference win be held Immediately after that session, on 19 and 
20 May. The Final Act Is due to be signed in Nairobi on 21 May. The 
Convention will subsequently be signed in June in Rio at the United 
Nations Conference on Environment and Development (UNCED). 
5. Certain improvements to the text need to be sought by the Community, it 
will be advisable, In particular, for the Community to seek to amend 
certain provisions of the draft Convention which will have important 
consequences with regard to the protection of intellectual property. 
These amendments will be the subject of coordination at the meeting. 
6. Forasmuch as the result of the negotiation would be acceptable by the 
Community, the commission considers that it will be in the Community's 
Interest to be ready to sign the Convention in June at the UNCED. 
7. Subject to this reservations, the Commission therefore requests the 
Council to authorize the President to designate the persons empowered to 
sign the abovementioned Convention on behalf of the Community and to 
confer on them the necessary powers to sign the Convention on behalf of 
the Community. ' 
(1) 
(2) SEC (91) 936 final 
1 
PROPOSAL FOR A COUNCIL DECISION 
CONCERNING THE SIGNATURE OF A CONVENTION 
ON THE CONSERVATION OF BIOLOGICAL DIVERSITY 
THE COUNCIL OF THE EUROPEAN COMMUNITIES. 
Having regard to the Treaty establishing the European Economic community. 
Having regard to the proposal from the Commission, 
Whereas the Commission has participated on behalf of the Community in the 
intergovernmental Negotiating Committee on a Convention on the conservation 
of biological diversity under the United Nations Environment Programme: 
Whereas the Community shall seek further Improvements, particularly as 
regards intellectual property. 
Whereas the draft Convention provides for signature by states and by 
regional economic integration organizations, thus allowing the Community to 
sign; 
Whereas the draft text of this Convention will be submitted to the 
plenipotentiaries for signature during the United Nations Conference on 
Environment and Development to be held In Rio (Brazil) from 3 to 
14 June 1992; 
Whereas It is necessary for the Community to be in a position, where 
appropriate, to sign the Convention without prejudice to its further 
conclusion. 
HAS DECIDED AS FOLLOWS: 
The President of the Council is hereby authorized to designate, as 
appropriate, the persons empowered to sign, with reserve of further 
approval, the Convention on the conservation of biological diversity on 
the Community's behalf and to confer on the persons he designates the 
necessary powers for that purpose. 
Done at Brussels, For the Council 
The President 
United Nations * 
Environment 
Programme Distr. 
GENERAL 
UNEP/Bio.Div/N7-INC.5/1 
26 February 1992 
ORIGINAL: ENGLISH 
INTERGOVERNMENTAL NEGOTIATING COMMITTEE 
FOR A CONVENTION ON BIOLOGICAL DIVERSITY 
Seventh Negotiating Session/Fifth Session of INC 
Nairobi, 11-19 May 1992 
PROVISIONAL AGENDA 
1. Opening of the session. 
2. Organizational matters: 
(a) Adoption of the agenda; 
(b) Organization of work. 
3. Consideration of the fifth revised draft Convention on Biological 
Diversity. 
4. Other matters. 
5. Adoption of the report. 
6. Closure of the session. 
Na.92-5290 
x£^.\ Distr. »Oz GENERAL United Nations ^W 
-_. . UNEP/Bio.Div/N7-INC.5/2 Environment 20 ^™«yw92 
Programme ORIGINAL: ENGLISH 
INTERGOVERNMENTAL NEGOTIATING 
COMMITTEE FOR A CONVENTION ON 
BIOLOGICAL DIVERSITY 
Seventh negotiating session/Fifth session of INC 
Nairobi, 11-19 May 1992 
FIFTH REVISED DRAFT CONVENTION 
ON BIOLOGICAL DIVERSITY 
Explanatory note 
1. The fifth revised draft Convention on Biological Diversity contains 
articles revised by Working Groups I and II of the Intergovernmental 
Negotiating Committee (INC) for a Convention on Biological Diversity at the 
third negotiating session/first session of INC (Madrid, 24 June -
3 July 1991), the fourth negotiating session/second session of INC 
(Nairobi, 23 September - 2 October 1991), the fifth negotiating 
session/third session of INC (Geneva, 25 November - 4 December 1991) 
and the sixth negotiating session/fourth session of INC (Nairobi, 
6-15 February 1992). 
2. The preamble and Article 1 (Objectives) were not revised at the sixth 
negotiating session/fourth session of INC. They remain unchanged. 
3. At the sixth negotiating session/fourth session of INC, Working Groups 
I and II established open-ended stab-working groups on definitions and use 
of terms on the basis of the Bureau's proposed distribution of definitions 
between the Working Groups. The sub-working group of WG.II submitted a 
proposed text for definitions and WG.II recommended its inclusion in 
Article 2 of the fifth revised draft Convention with a footnote stating 
that the new definitions had been formulated by a sub-working group of 
WG.II and had not been discussed by the Group itself. These terms appear 
in Article 2 marked with an asterisk (*). The terms contained in 
Appendix I were prepared by a sub-working group of WG.I but were not 
considered by WG.I. WG.I recommended that they should be appended to the 
fifth revised draft Convention. 
4. Article 3 (Fundamental Principles) was placed in square brackets 
and its former paragraph 11 was placed in square brackets and moved to 
Article 14. Article 4 (General Obligations) was placed in square brackets, 
and its former sub-paragraphs (f) and (i) of paragraph 2 were placed in 
square brackets and moved to Article 14 as well. Alternative proposals in 
the form of elements for reformulation of Articles 3 and 4 are contained in 
Appendix II. 
5. Article 14 bis of the fourth revised draft convention was deleted 
since its substance had been transmitted to WG.I and incorporated to 
strengthen Article 7 (j), with some elements being incorporated in the 
Na.92-5271 
UNEP/Bio.Div/N7-INC.5/2 
Page 2 
Preamble. Articles 15 and 16 of the fourth revised draft convention were 
considered together and appear reformulated as Article 17. Article 17 bis, 
paragraphs 4 and 5 of the fourth revised draft convention were reformulated 
and paragraph 6 was deleted as concerns expressed therein were adequately 
covered by the reformulated text. The Article appears as Article 20 in the 
fifth revised draft convention. 
6. A general discussion was held at the sixth negotiating seesion/fourth 
session INC on Articles 18 and 19 of the fourth revised draft convention 
and a sub-working group was established. After some discussion in the sub-
working group, the Chairman of WG.II ruled that the text of Articles 18 and 
19 would be reproduced in the fifth revised draft convention as they 
appeared in the fourth revised draft convention (UNEP/Bio.Div/N6-INC.4/2) 
with updated footnotes in order to make it clear that the text resulted 
from the fifth negotiating session/third session INC. Articles 18 and 19 
appear as Articles 21 and 22 respectively, in the fifth revised draft 
convention. 
7. Articles 23, 26 and 30-43 were considered as revised by the Lawyers' 
Drafting Group during the fifth negotiating session/third session of INC. 
No decision was made on Article 23. The revised text of Article 23 is 
reproduced together with the previous version, both are in square brackets. 
Article 26 was not discussed in substance and is reproduced as prepared by 
the Lawyers' Drafting Group. The previous version of Article 30 is 
reproduced with an additional alternative. 
8. During the sixth negotiating session/fourth session of INC a legal 
drafting group was established with a mandate to give a legal review of 
Articles 31-43. The recommendations of the group, which were adopted by 
the Plenary, are reflected in paragraph 4 of Article 32 (Amendment of the 
Convention or Protocols) and sub-paragraphs (b) and (c) of Article 33 
(Adoption and Amendment of Annexes). 
9. At the sixth negotiating session/fourth session of INC a number of 
articles, paragraphs and sub-paragraphs were deleted, moved or rearranged. 
The articles and paragraphs have been renumbered to read sequentially. 
10. The draft includes appropriate footnotes resulting from the 
deliberations of the sixth negotiating session/fourth session of INC. All 
relevant footnotes resulting from the previous sessions of the INC are 
retained in the text. 
/... 
UNEP/Bio.Div/N7-INC.5/2 
Page 3 
Preamble ! 
The Contracting Parties, 
Recognizing that humanity shares the earth with other forms of life 
and accepting that these should exist independently of their benefits for 
humanity; 
Affirming that the conservation of biological diversity is a common 
concern of all peoples; 
Conscious of the ever growing environmental, ecological, genetic, 
scientific, aesthetic, recreational, cultural, educational, social and 
economic values of biological diversity and its components; 
Recognizing the close and traditional dependence of many local 
communities and indigenous populations on biological resources, their 
continuing interest in their conservation, and the need to reward their 
knowledge and innovations associated with the conservation and wise use of 
biological diversity and its components; 
Noting that biological diversity is being seriously reduced and that 
some species are threatened with extinction; 
Accepting that the threats to these irreplaceable resources include 
degradation of the environment from habitat destruction and pollution, 
human population growth, unsustainable exploitation of some species, and 
the unlawful taking of flora and fauna; 
Voting the deterioration in quality of life caused by unwise use of 
biological resources; 
Stressing that in exercising their sovereign rights over their 
biological resources states have a responsibility to use and develop them 
in a sustainable manner and to conserve biological diversity; 
Stressing the importance of and need to promote cooperation among 
States and international governmental and non-governmental organizations in 
a coordinated and comprehensive regional and global approach for the 
conservation of biological diversity and sustainable use and development of 
its components in areas both under and beyond national jurisdiction and 
control; 
Aware that the conservation of natural habitats and the maintenance of 
viable populations of species in natural surroundings are vital components 
of the in-situ and ex-situ conservation of biological resources; 
Recognizing to this end the need to set aside areas of natural habitat 
for the conservation of biological diversity and to pursue sustainable 
development outside these areas through planning and management which 
conserves biological diversity to the maximum extent possible; 
1 The Group of 77 and China requested that the proposal contained 
in Appendix II to the fifth revised draft Convention on Biological 
Diversity be considered with the Preamble. 
UNEP/Bio.Div/N7-INC.5/2 
Page 4 
Aware that the conservation of biological diversity also requires 
special measures independent of natural surroundings [which are also 
vital); 
Avars of the benefits from the sharing and diffusion of knowledge 
about biological diversity, its uses and developments, technologies and 
practices favourable to its conservation; 
Acknowledging that special provision is required to meet the needs of 
developing countries, including the provision of additional financial 
resources and access to relevant technologies, bearing in mind that the 
funds can be expected to make a substantial difference in the world's 
ability to address the loss of biodiversity; 
Accepting that the developed countries and large industrial 
enterprises, including transnational corporations, have benefitted from 
their significant role in the development and use of biological resources; 
Considering that these countries and enterprises can help avoid 
additional costs and burdens for developing countries which forgo 
exploitation of their biological resources when acting in accordance with 
this Convention; 
Stressing the need for States, international organizations and non­
governmental organizations to promote the conservation of biological 
diversity and the wise use and development of its components; 
Noting that action by States and international organizations directly 
and jointly to conserve biological diversity and to use and develop its 
components in a sustainable manner will strengthen cooperative and friendly 
relations among States, and contribute to peace and security for all 
peoples; and 
Agreeing that existing international arrangements dealing with 
biological resources do not cover, in spite of the progress achieved, all 
aspects of biological diversity, the sources of threats to it and the wise 
use and development of biological resources. 
Have agreed as follows: 
Article 1. Objectives 
[The objective of this Convention is to conserve the maximum possible 
biological diversity for the benefit of present and future generations and 
for its intrinsic value, [and to provide for the fair and equitable sharing 
of the benefits of research in biotechnology arising out of conservation of 
the biological diversity. This is to be achieved] by ensuring that the use 
of biological resources is sustainable; [by providing adequate, new and 
additional funding to the developing countries] (by taking account of the 
need to share costs and benefits between developed and developing 
countries,] and by [securing] (providing] economic and legal conditions 
favourable for the transfer of technology [to them on preferential and non­
commercial terms] necessary to accomplish this objective.] 
/... 
UNEP/Bio.Div/N7-INC.5/2 
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Article 2. Use of Terms for the Purpose of this Convention * 
[For the purposes of this Convention: 
"ALIEN SPECIES" means a species occurring in a particular country or area 
outside its historically known natural range, as a result of intentional or 
accidental dispersal by human intervention. 
"BIOLOGICAL DIVERSITY (OR BIODIVERSITY)" means the variety of and 
variability among living organisms and the ecological complexes of which 
they are part; this includes diversity within species, between species and 
of ecosystems. 
BIOLOGICAL RESOURCES includes genetic resources, organisms or part thereof, 
populations, or any other biotic component of ecosystems with actual or 
potential use or value for humanity.* 
BIOTECHNOLOGY means any technological application that uses biological 
systems, living organisms, or derivatives thereof, to make or modify 
products or processes for specific use.* 
"CONSERVATION OF BIOLOGICAL DIVERSITY" means the preservation (or integral 
protection), maintenance, sustainable use, recovery and enhancement of the 
components of biological diversity. 
"CONSERVATION": see conservation of biological diversity. 
COUNTRY PROVIDING GENETIC MATERIAL/RESOURCES means the country supplying 
genetic resources collected from in-situ sources, including populations of 
both wild and domesticated species, or taken from ex-situ sources, which 
may or may not have originated in that country.* 
COUNTRY OF ORIGIN OF GENETIC RESOURCE * means the country which possesses 
those genetic resources in in-situ conditions.* 
"DOMESTICATED OR CULTIVATED SPECIES" means species in which the 
evolutionary process has been influenced by humans to meet their needs. 
"ECOSYSTEM" means a dynamic complex of plant, animal and micro-organism 
communities and their non-living environment interacting as an ecological 
unit. 
"ENDANGERED SPECIES" means a species in danger of extinction and whose 
survival is unlikely if the causal factors continue operating. 
"ENDEMIC SPECIES" means a species whose natural geographic distribution is 
restricted to a specific area or country. 
2 Terms followed by "*" were proposed by a sub-working group of 
Working Group II but not discussed by the Working Group itself. 
* Definition proposed by the chairman of the sub-working group of 
WG.li on the basis of informal consultations with some members of the sub-
working group. 
/... 
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Page 6 
EX-SITU CONSERVATION means the conservation of components of biological 
diversity (genetic material, organisms, populations) outside their natural 
surroundings.* 
GENETIC MATERIAL means any material of plant, animal, microbial or other 
origin containing functional units of heredity.* 
GENETICALLY MODIFIED ORGANISMS means organisms in which the genetic 
material has been altered in a way that does not occur naturally by mating, 
recombination, or natural selection.* 
GENETIC RESOURCES means genetic material of actual or potential value.* 
"HABITAT" means the place or type of site where an organism or population 
naturally occurs. 
"INDIGENOUS POPULATIONS": it is advised that the word "populations" be 
substituted by the word "people" when used for humans. 
"INDIGENOUS SPECIES" means a species occurring in the wild in a particular 
area or country, within its known natural range. 
IN-SITU CONSERVATION means the conservation of ecosystems and natural 
habitats and the maintenance and recovery of viable populations of species 
in their natural surroundings and, in the case of domesticated species, in 
the surroundings where they have developed their distinctive properties.* 
"NONTERRESTRIAL SPECIES" means organisms not relying on the land for a 
significant aspect of their life cycle. 
"PROTECTED AREA" means a geographically defined area which is designated or 
regulated, and managed to achieve specific conservation objectives. 
"RATIONAL USE OF BIOLOGICAL DIVERSITY" means the use of components of 
biological diversity in a way and at a rate that does not lead to their 
long term decline. 
"SPECIES THREATENED WITH EXTINCTION": see threatened species. 
"TERRESTRIAL SPECIES" means organisms relying on the land for a 
significancant aspect of their life cycle. 
"THREATENED SPECIES" means species that are either endangered or 
vulnerable. 
"UTILIZATION/USE OF BIOLOGICAL DIVERSITY": see rational use of biological 
diversity. 
"WILD SPECIES" means a species which has not been deliberately modified by 
humans. 
"(WILDLIFE) CORRIDORS" means routes or avenues to ensure completion of life 
cycles and unimpeded migrations and gene flows.] 
/.. 
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[Article 3. Fundamental Principles 4 
The following fundamental principles shall guide the Contracting 
Parties in the achievement of the objectives of this Convention: 
1. The conservation of biological diversity is a [matter of] common 
concern of all humankind and requires cooperation by all Contracting 
Parties. 
2. The Contracting Parties have as States the sovereign right to exploit 
their own biological resources pursuant to their own environmental policies 
and the responsibility: 
(a) For the conservation and sustainable use of their biological 
resources; and 
(b) For ensuring that activities within their jurisdiction or control 
do not cause damage to the biological diversity of other States or of areas 
beyond the limits of national jurisdiction. 
3. The fundamental requirement for the conservation of biological 
diversity is the in-situ conservation of ecosystems and natural habitats 
and the maintenance and recovery of viable populations of species in their 
natural surroundings. Bx-situ measures, preferably in the country of 
origin, also have an important role to play. 
4. Conservation of biological diversity, particularly of migratory 
species and their habitats, cross-border ecosystems and areas beyond the 
jurisdiction of each State Party, requires international cooperation in 
addition to the national effort that strengthens it. 
5. While recognizing that remedying damage to biological diversity is 
important, it is vital to anticipate, prevent and attack the causes of 
reduction or loss of biological diversity at source. 
6. Where there is a threat of [serious or irreversible damage to] 
[significant reduction or loss of] biological diversity, lack of full 
scientific certainty shall not be used as a reason for postponing 
(measures] [actions] to avoid or minimize such a threat. 
7. The value of the contribution of biological resources and of 
maintenance of biological diversity and the uneven distribution of these 
resources among countries are to be recognized and reflected in economic 
and financial arrangements among them, with the countries benefiting most 
from biological diversity carrying the main responsibility for the cost of 
its conservation. s 
8. The benefits of research and development derived from biomaterial 
taken from developing countries are to be made available to those 
developing countries. 5 
4 The Group of 77 and China requested that the proposal contained 
in Appendix II to the fifth revised draft Convention on Biological 
Diversity be considered in conjunction with this Article. 
9 Paragraphs 7-10 were transferred by WG.I to WG.II for 
cons iderat ion. 
/... 
UNEP/Bio.Div/N7-INC.5/2 
Page 8 
[8. Countries providing genetic material located within their national 
jurisdiction shall share in benefits from the research and the development 
which make use of that genetic material.] s,* 
9. Technology related to conservation of biological diversity and the 
sustainable use and development of its components is to be transferred to 
developing countries on a preferential and non-commercial basis. 5 
10. Technology related to conservation of biological diversity and the 
sustainable use and development of biological resources is to be developed 
jointly by the owners of the resources and those with financial, scientific 
and technical resources. 5 
11. Countries are to gain directly from all the contributions that 
biological resources within their jurisdiction or control make to 
environment protection, economic development and better health and quality 
of life in other countries. 
12. Practices and innovations developed in the course of traditional life 
and by indigenous [peoples] [communities] [populations] which contribute to 
the wise and sustainable use of biological resources and conservation of 
biological diversity are to be recognized and rewarded. 
13. The additional burden on developing countries arising out of 
protection of their biological diversity requires new and additional 
funding to be provided by the developed countries through a new 
multilateral fund to be established under this Convention. 
14. Access to genetic material and substances and products derived from 
them or to technology related or contributing to the conservation of 
biological diversity which are within the jurisdiction or control of a 
State is to be [open] [on the basis of mutual agreements]. 
[14. Access to genetic material [and substances and products derived from 
them] or to technology related or contributing to the conservation of 
biological diversity which are within the jurisdiction or control of a 
State is to be [open] (on the basis of mutual agreements]. 7 
15. The application of biotechnology may involve risks and requires 
regulatory approaches involving safeguards for health and the environment. 
16. Patent systems may have unwanted socio-economic effects for developing 
countries and small farmers. 
5 Paragraphs 7-10 were transferred by WG.I to WG.II for 
cons iderat ion. 
6 Provisional formulation to replace Article 3, paragraphs 8 and 
12. 
7 Provisional formulation to replace Article 3, paragraph 14 with 
the text in the first set of square brackets (beginning with the words "and 
substances and") to be deleted. 
/... 
UNEP/Bio.Div/N7-INC.5/2 
Page 9 
17. Biotechnology contributes to the conservation and sustainable use of 
biodiversity, which requires a wide genetic base. * 
[17. The maintenance of a wide genetic base is necessary for biotechnology 
to be able to contribute to conservation and sustainable use of biological 
diversity.]) 9 
[Article 4. General Obligations w 
1. (Bach Contracting Party] [The Contracting Parties) shall take [in 
accordance with (the means at (their] [its] disposal [,] [and]] [its] 
[their] capabilities] [and [its] [their] national plans, programmes and 
priorities], [all] (possible] [appropriate] measures [in accordance with 
the provisions of this Convention] [to ensure] (consistent with) the 
conservation of (the maximum possible] biological diversity and the 
sustainable use [and the development] of its components within [the area 
under] [its] [their] national jurisdiction (or control]. 
[They shall ensure that activities within their jurisdiction [or 
control] do not cause damage to the biological diversity of other States or 
of areas beyond the limits of national jurisdiction.] 
[They shall ensure that the [measures of] conservation of biological 
diversity and the sustainable use [and the development] of its components 
are (as far as possible appropriately integrated into national plans and 
policies.] [Treated as an integral part of national (development] plans 
and are taken duly into account in all relevant sectoral policies and 
legislation.]] 
(The Contracting Parties shall cooperate on a global basis and, as 
appropriate, on a regional basis, directly or through appropriate 
international organizations with a view to ensuring the conservation of 
biological diversity in areas beyond national jurisdiction.] 
The Contracting Parties shall cooperate with each other and with or 
through such international organizations as they may deem appropriate in 
coordinating their activities and in supporting and assisting each other in 
fulfilling their obligations under the present Convention [related to 
biological diversity and] [biotechnology] [relevant aspects of 
biotechnology], [including health, food and industrial processes). 
2. [To these ends, the Contracting Parties shall in accordance with the 
means at their disposal and their capabilities:] 
(a) Cooperate in the development of agreed measures, procedures, 
technologies, practices and standards for the implementation of this 
Convention, [where appropriate with a view to the adoption of protocols and 
annexes]; 
• As recommended by the Lawyers' Meeting, if retained, paragraphs 
15, 16 and 17 should be relocated in the Preamble since they are statements 
of fact. 
9 Provisional formulation to replace Article 3, paragraph 17. 
10 The Group of 77 and China requested that the proposal contained 
in Appendix II to the fifth revised draft Convention on Biological 
Diversity be considered with this Article. 
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UNEP/Bio.Div/N7-INC.5/2 
Page 10 
(b) Foster favourable economic and legal conditions for the 
sustainable use and development of biological diversity and its components; 
(c) Ensure measures are taken to conserve natural habitats and viable 
populations of species in natural surroundings; 
(d) Provide, establish and implement procedures for assessing the 
impact on biological diversity of proposed policies, programmes and 
projects where such an impact may be significant; 
(e) Provide individually, or in cooperation with other States and 
international organizations, [new and additional] financial resources and 
other forms of cooperation for programmes which support implementation of 
the provisions of this Convention, taking into consideration the special 
situations and needs of developing countries (.] [and loss of opportunities 
for alternative uses of biological resources foregone because of measures 
taken pursuant to this Convention]. 
(f) Promote and support scientific research individually and jointly 
with other Contracting Parties and international organizations; 
(g) Promote public awareness of the need to conserve biological 
diversity and the wise use and development of its components through 
education and the dissemination of general information; 
(h) Facilitate the exchange of information among themselves and with 
international organizations; 
[(i) Taking into consideration the special needs of developing 
countries, cooperate with the aim of ensuring the capacity of developing 
countries to implement the provisions of the present Convention through 
national institutions and legislation.]] 
The text below contained in double square brackets is 
an alternative in lieu of the whole of Article 4. 
[[Each Contracting Party shall, [in accordance with the means at its 
disposal and its national plans, programmes and priorities] [as far as 
possible and as appropriate,] [as far as practicable and as appropriate and 
consistent with Articles 5 to ... endeavour to] implement the measures set 
down in this Convention (with a view to ensuring] [to promote]: 
(a) The conservation of [the maximum possible] biological diversity 
and the sustainable use of its components [in areas within the limits of 
national jurisdiction]; 
(b) That activities under its jurisdiction or control do not cause 
damage to the biological diversity in areas within the limits of the 
national jurisdiction of other States or beyond the limits of national 
jurisdiction; and 
(c) Through international including regional cooperation, the 
conservation and sustainable use of biological diversity in areas beyond 
the limits of national jurisdiction.] 
(States shall implement this Convention and its protocols consistent 
with the rights and obligations reflected in the 1982 United Nations 
Convention on the Law of the Sea.] 
/... 
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[Article .... Cooperation 
The Contracting Parties shall co-operate directly or through 
international organizations, where appropriate, in coordinating their 
activities in supporting and assisting each other in fulfilling their 
obligations under this Convention, particularly taking into consideration 
the needs of developing countries.]] 
Article 5. Implementation Measures " 
1. Each Contracting Party shall, in accordance with the particular 
conditions and capabilities in each country: 
(a) Develop national strategies, plans or programmes for the 
conservation and sustainable use of biological diversity or adapt for this 
purpose existing strategies, plans or programmes which shall reflect, inter 
alia, the measures set out in this Convention relevant to the Contracting 
Party concerned; and 
(b) Integrate, as far as possible and as appropriate, the 
conservation and sustainable use of biological diversity into relevant 
sectoral or cross-sectoral plans, programmes and policies. 
[2. Each Contracting Party may take or maintain stricter conservation 
measures than those provided for in the present Convention.] u 
Article 6. Identification and Monitoring 
Each Contracting Party shall, as far as possible and as appropriate in 
particular for the purposes of Articles 7 to 10: 
(a) Identify components of biological diversity with respect to which 
it exercises sovereignty, sovereign rights or jurisdiction important for 
its conservation and sustainable use, [having regard to those identified in 
Annex ...] [and other international agreements to which it is a party); 
(b) Monitor through sampling and other techniques, the components of 
biological diversity identified pursuant to paragraph (a), and paying 
particular attention to those requiring urgent conservation measures and 
those which offer the greatest potential for sustainable use; 
(c) Identify processes and activities with respect to which it 
exercises sovereignty, sovereign rights or jurisdiction which have or are 
likely to have significant adverse impacts on the conservation and 
sustainable use of biological diversity [having regard to those processes 
and activities set down in Annex ... ] and monitor through sampling and 
other techniques their effects; 
(d) Maintain and organize by any mechanism data derived from 
identification and monitoring activities pursuant to paragraphs (a), (b) 
and (c) of this Article; 
11 One delegation proposed the new title of Article 5 to read 
"General Conservation Measures". It was agreed that further consideration 
should be given to the title of this Article. 
12 Agreement on the content and location of this paragraph was 
delayed pending discussion of Article 23. 
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UNEP/Bio.Div/N7-INC.5/2 
Page 12 
(e) [Cooperate] [Cooperate through mutual agreements] with other 
Contracting Parties, directly or [as appropriate] (where necessary] through 
relevant organizations, [if appropriate] in identifying and monitoring 
components of biological diversity, processes and activities pursuant to 
paragraphs (a) to (d) of this Article, in respect of transboundary matters 
and areas beyond national jurisdiction. ° 
Article 7. In-situ Conservation 
Each Contracting Party shall, as far as possible and as appropriate: 
(a) Establish a system of protected areas (, and associated wildlife 
corridors for those components of biological diversity identified pursuant 
to Article 6] or areas- where special measures need to be taken to conserve 
biological diversity; 
(b) Develop where necessary guidelines for the selection, 
establishment and management of protected areas or areas where special 
measures need to be taken to conserve biological diversity; 
(c) Regulate or manage biological resources whether within or outside 
protected areas with a view to ensuring their conservation [and] [,] 
sustainable use (and sustainable development]; 
[(d) Provide financial and other assistance for new and existing 
programmes supporting the protection of ecosystems, natural habitats and 
the maintenance of viable populations of species in natural surroundings, 
with particular attention to technology and the needs of developing 
countries;] M 
(e) Promote environmentally sound and sustainable development in 
areas adjacent to protected areas with a view to furthering protection of 
these areas; 
(f) Rehabilitate and restore degraded ecosystems and promote the 
recovery of threatened species, inter alia, through the development and 
implementation of plans or other management strategies; 
[(g) Regulate the development, use and release of genetically modified 
organisms which may have [adverse effects on health] [adverse effects on 
the conservation and sustainable use of biological diversity];] u 
(h) Prevent the introduction of, control or eradicate those alien 
species which threaten ecosystems, habitats or species; 
(i) Endeavour to provide in so far as possible [on the basis of 
national legislation and in accordance with national programmes, plans and 
priorities] economic incentives, legislation, and the condition needed for 
compatibility between present uses [in all relevant sectors including 
agriculture, forestry and fisheries] and the conservation of biological 
13 • This paragraph was not agreed upon. It was produced as a result 
of consultation with those two- delegations who had difficulty with it and 
takes into account their concerns. 
14 As recommended by WG.II, WG.I, during the sixth negotiating 
seesion/fourth session of INC, decided to postpone the discussion of this 
sub-paragraph until WG.II completes its work on Articles 21 and 22. 
15 Provisionally accepted pending discussion of Article 20. 
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diversity and the sustainable use of its components [taking into account 
the circumstances of countries with economies in transition] [taking into 
account the needs of developing countries); w 
(j) Subject to its national legislation 17 respect, record, protect 
and promote the wider application of knowledge, innovations and practices 
of indigenous and local communities embodying traditional lifestyles 
relevant for the conservation and sustainable use of biological diversity 
with the involvement of the holders of such knowledge, innovations and 
practices and to share equitably the benefits arising from the utilization 
of such knowledge, innovations and practices; 
[(k) Develop or maintain necessary legislation and/or other regulatory 
provisions for the protection of threatened species, populations and 
varieties (as identified in Article 6];] 
[ (1) Regulate or manage processes and activities which have or are 
likely to have a significant adverse effect on biological diversity]. 
Article 6, Ex-situ Conservation 
Each Contracting Party shall, as far as possible and as appropriate [, 
and for the purpose of complementing in-situ measures]: 
(a) Adopt measures for the ex-situ conservation of components of 
biological diversity [identified pursuant to Article 6] [preferably in the 
country of origin) (country possessing such components of biological 
diversity in-situ], 
[(To complement in-situ measures] [; where providing adequate in-situ 
facilities to conserve the species [components of biological diversity] is 
impracticable or not feasible]]. 
(b) Establish and maintain facilities for ex-situ conservation of and 
research on plants, animals and micro-organisms (preferably in the country 
of origin); 
(c) Adopt measures for the recovery and rehabilitation of endangered 
species and for their reintroduction into their natural habitats under 
appropriate conditions; 
(d) Regulate (manage or control] collection of biological resources 
from natural habitats for ex-situ conservation purposes so as not to 
threaten ecosystems and in-situ populations of species (ensuring that they 
are not exploited for commercial purposes]; 
16 Discussion of this paragraph was postponed pending the outcome of 
the discussion of Article 11. 
17 The reference to national legislation at the beginning of the 
text was made to accommodate the specificity of the legal system of one 
State. 
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((e) Financial and other assistance to facilitate the establishment 
and maintenance of ex-situ conservation facilities in developing 
countries.] u 
[Article 9 
For Contracting Parties which are developing countries the obligations 
under Articles 5, 7 and 8 of this Convention would be subject to the 
provision to them of technical resources, as appropriate, and of adequate, 
new and additional financial resources covering on a grant basis the entire 
cost to them for fulfilling their obligations under those articles.] 
Article 10. Sustainable Use of Components of Biological Diversity 
Each Contracting Party shall, as far as possible and as appropriate: 
(a) Integrate consideration of the conservation and sustainable use 
of biological resources into national decision making; 
(b) Adopt measures relating to the use of biological resources to 
avoid or minimize adverse impacts on biological diversity; 
(c) Protect and encourage customary use of biological resources in 
accordance with traditional cultural practices that are compatible with 
sustainable use requirements; 
(d) Support local populations to develop and implement remedial 
action in degraded areas where biological diversity has been reduced; 
(e) Encourage cooperation between governmental authorities and 
private sector in developing methods for sustainable use of biological 
resources. 
[Article 11. Incentive Measures 
1. Each Contracting Party shall, as far as possible and as appropriate, 
[consider] [take] effective economic and social incentive measures (as 
indicated in Annex .... ] to encourage the conservation and sustainable use 
of biological diversity. 
[2. In determining such measures, each Contracting Party shall take into 
account, inter aliax 
(a) Economic and social policies which act as incentives to conserve 
biodiversity; 
(b) The effect of: 
(i) Institutional arrangements; 
(ii) Systems of rights to use biological resources; 
(iii) International trade policies; and 
18 As recommended by WG.II, WG.I, during the sixth negotiating 
session/fourth session of INC, decided to postpone the discussion of this 
sub-paragraph until WG.II completes its work on Articles 21 and 22. 
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Page 15 
(iv) Pricing policies on the conservation and sustainable use of 
biological diversity.] 
[3. The Conference of the Parties shall establish at its first meeting a 
group of experts to develop guidelines for determining the value 
[ecological, economic, aesthetic and cultural] of biological diversity. 
[National plans prepared in accordance with Article 5 may, where 
appropriate, contain case studies of the value of biological diversity.]]] 
Article 12. Research and Training 
The Contracting Parties taking into account the special needs of 
developing countries shall: 
(a) Establish and maintain programmes for scientific and technical 
education and training in measures for the identification, conservation and 
sustainable use of biological diversity and its components and provide 
support for such education and training for the specific needs of 
developing countries; 
(b) Promote and encourage research which contributes to the 
conservation and sustainable use of biological diversity, particularly in 
developing countries, [inter alia, in accordance with decisions of the 
Conference of the Parties taken in consequence of recommendations of the 
Scientific Committee] [inter aliax 
(i) Increased knowledge of the components of biological 
diversity and their role in the functioning of ecosystems; 
(ii) Increased knowledge of the impact of natural and human 
factors affecting the conservation of biological diversity, 
including social studies; 
(iii) Application of this knowledge for sustainable use of 
biological diversity; 
(iv) Development of technologies and other measures for the 
conservation and sustainable use of biological diversity 
[including of biotechnology in line with the objectives of 
this Convention]; and 
(v) Estimation of economic and social values of biological 
resources;] w 
(c) In keeping with the provisions of Articles 17, 19 and 21, promote 
and cooperate in the use of scientific advances in biological diversity 
research in developing methods for conservation and sustainable use of 
biological resources. x 
Article 13. Public Education and Awareness 
The Contracting Parties shall: 
(a) Promote and encourage understanding of the importance of and the 
measures required for the conservation of biological diversity, as well as 
its propagation through media, and the inclusion of these topics in 
educational programmes; 
19 Some delegations considered that, if there were to be a list, it 
should be located in an annex. 
20 The content of subparagraph (c) may be covered by one of the 
bracketed provisions of subparagraph (b). 
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(b) Cooperate, as appropriate, with other States and international 
organizations in developing educational and public awareness programmes, 
with respect to conservation and sustainable use of biological diversity. 
Article 14. [Impact Assessment] [Minimizing Adverse Impacts] 
Each Contracting Party, as far as possible and as appropriate shall: 
(a) Introduce appropriate procedures requiring assessment of the 
environmental effects of proposed projects that are likely to have 
significant adverse effects on biological diversity [whether within or 
beyond the limits of national jurisdiction] with a view to avoiding or 
minimizing such effects and, where appropriate, allow for public 
participation in such procedures. 
(b) Introduce appropriate arrangements to ensure that the 
environmental consequences (whether within or beyond the limits of national 
jurisdiction] of programmes and policies that are likely to have 
significant adverse impacts on biological diversity are duly taken into 
account. 
(c) Promote, on the basis of reciprocity, notification, exchange of 
information and consultation about activities under their jurisdiction or 
control which are likely significantly to adversely affect the biological 
diversity of other States * or areas beyond the limits of national 
jurisdiction, by encouraging the conclusion of bilateral, regional or 
multilateral arrangements as appropriate. n 
[(d) Those responsible for activities which threaten or could [damage] 
[cause significant loss of] biological diversity are responsible for the 
costs of avoiding that threat or damage and for remedial action directly or 
through financing where damage occurs.) s 
[(e) In the case of imminent or grave danger or damage originating 
under its jurisdiction [or control] to biological diversity within the area 
under jurisdiction [or control] of other States or in areas beyond the 
limits of national jurisdiction [or control], notify immediately the 
potentially affected States of such danger or damage, and establish the 
necessary procedures for that purpose, as well as initiate [at source] 
action to prevent or minimize such danger or damage.] 
[Be responsible for the cost of avoiding or minimizing threats or 
damage to biological diversity beyond the limits of the areas under its 
national jurisdiction resulting from activities within its jurisdiction or 
control and, where such damage occurs for the costs of remedial action and, 
where it is not possible to return the biological diversity to* the status 
quo ante, for compensation.] 
n Upon the next reading all paragraphs using words "Contracting 
Parties" or "States" need to be reconsidered to achieve consistency. 
22 During the sixth negotiating seesion/fourth session of INC, the 
text "(as well as for the establishment of contingency plans to address 
situations affecting biological diversity]" was deleted from this sub­
paragraph. While the importance of the issue of "contingency plans" was 
not contested, WG.I decided that, at the next reading, consideration should 
be given as to the precise location of the concept reflected in the deleted 
text. 
23 During the sixth negotiating session/fourth session of INC, this 
text was moved from Article 3, paragraph 11. 
UNEP/Bio.Div/N7-INC.5/2 
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[Establish procedures for international cooperation for the control, 
mitigation of damage or restoration of biological diversity, when the 
affected Party or the Party of the origin of damage is not able to address 
it individually.]] * 
[(f) Support and cooperate in the development and implementation of 
international arrangements for emergency responses to activities or events 
whether caused naturally or otherwise which [presents a grave and imminent 
danger to] (threaten] biological diversity;] * 
[(g) The Conference of the Parties shall [adopt a protocol setting 
down rules of procedures] [consider the need to adopt measures] relating to 
liability and compensation for damage to biological diversity.] * 
[Article IS. Global Lists v 
Alternative 1 
1. [A Global List of Biogeographic Areas of Particular Importance for the 
Conservation of Biological Diversity and a Global List of Species 
Threatened with Extinction on a Global Level shall be established pursuant 
to the procedures set down in Article 25.) [A List of (Components of] 
Biological Diversity of [Outstanding Global Importance] shall be 
established, pursuant to the procedures set out in Article 25.] 
[2. Inclusion of an area on the List of Biogeographic Areas of Particular 
Importance requires the consent of the State or States concerned. 
3. Contracting Parties, in fulfilling their obligations under this 
Convention shall [, so far as possible, and as appropriate for each 
Contracting Party,] give priority to areas and species on the Global 
List8. 
4. Inclusion of areas or species on the Lists shall not prejudice the 
rights of States over areas in respect of which more than one State claims 
sovereignty or jurisdiction.]] 
Alternative to paragraph 1 v 
[A List of Areas of Outstanding Global Importance shall be established 
pursuant to procedures to be determined by the Conference of the Parties at 
its first meeting.] 
24 During the sixth negotiating session/fourth session of INC, this 
text was moved from Article 4, paragraph 2 (f). 
23 During the sixth negotiating seesion/fourth session of INC, this 
text was moved from Article 4, paragraph 2 (i). 
26 The location of this paragraph was not finalized by WG.I. 
27 An alternative proposal was made to delete the whole of 
Article 15 with subsequent deletion of Article 25. 
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Article 16. [Regulated] Access to Genetic Resources 
1. Recognizing the sovereign rights of States over their natural 
resources, the authority to determine access to genetic resources rests 
with the national governments and is subject to national legislation. 
2. Each Contracting Party shall endeavour to create conditions to 
facilitate access to genetic resources for environmentally sound uses by 
other Contracting Parties and not to impose restrictions that run counter 
to the objectives of this Convention. 
3. Access, where granted, shall be on mutually agreed terms and subject 
to the provisions of this Article. 
4. Access to genetic resources shall be subject to prior informed consent 
of the Contracting Party providing such resources, unless otherwise 
determined by that Party. 
5. Each Contracting Party shall endeavour to develop and carry out 
scientific research based on genetic resources [originating in other 
Contracting Parties and/or] provided by other Contracting Parties with the 
full participation of, and where possible in such Contracting Parties. 
6. Each Contracting Party shall take the appropriate measures, in 
accordance with Articles 17 to 23 and where necessary through the financial 
mechanisms established by Articles 21 and 22, to [promote and advance] 
[ensure] fair and equitable sharing of the results of research [products 
developed) and the benefits arising from the [commercial and other] 
utilization of genetic resources with the Contracting Parties [of origin 
and/or the Contracting Parties] providing such resources. 
Article 17. Access to and Transfer of Technology 
1. Each Contracting Party, recognizing that technology includes 
biotechnology, and that both access to and transfer of technology among 
Contracting Parties are essential elements for the attainment of the 
objectives of this Convention, undertakes subject to the provisions of this 
Article to provide and/or facilitate access for and transfer to other 
Contracting Parties of technologies that are relevant to the conservation 
and sustainable use of biological diversity or make use of genetic 
resources and do not cause significant damage to the environment. 
2. Access to and transfer of technology referred to in paragraph 1 to 
developing countries shall be provided and/or facilitated under [fair and 
reasonable] [fair and most favourable] [preferential and concessional] 
conditions and, where necessary, in accordance with the financial mechanism 
established by Articles 21 and 22. 
3. Each Contracting Party shall take legislative, administrative or 
policy measures, as appropriate, with the aim that Contracting Parties (in 
particular those) that are developing countries which (are of origin 
and/or) provide genetic resources are provided access to and transfer of 
technology which makes use of those resources, on mutually agreed terms 
(notwithstanding patents and other intellectual property rights]. * 
28 Some delegations stated that this paragraph may be subject to a 
review mechanism which may be introduced in this Article or at another 
appropriate place in this Convention. 
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4. Each Contracting Party shall take legislative, administrative or 
policy measures, as appropriate, with the aim that the private sector 
facilitates access to, joint development and transfer of technology 
referred to in paragraph 1 for the benefit of both governmental 
institutions and the private sector of developing countries and in this 
regard shall abide by the obligations included in paragraphs 1, 2 and 3 of 
this Article. 
5. The Contracting Parties, recognizing that patents and other 
intellectual property rights may have an influence on the implementation of 
the present Convention, shall cooperate in this regard subject to national 
legislation and international law in order to ensure that such rights are 
supportive of and do not run counter to the objectives of this Convention. 
Article 18. Exchange of Information 
1. The Contracting Parties shall facilitate the exchange of information 
relevant to the conservation and sustainable use of biological diversity, 
taking into account the special needs of developing countries. 
2. Such exchange of information shall include exchange of [publicly 
available] results of technical, scientific and socio-economic research, as 
well as information on training and surveying programmes, specialized 
knowledge, indigenous and traditional knowledge as such and in combination 
with the technologies referred to in Article 17, paragraph 1. It shall 
also, where feasible, include repatriation of information. 
Article 19. Technical and Scientific Cooperation 
1. The Contracting Parties shall promote international technical and 
scientific cooperation in the field of conservation and sustainable use of 
biological diversity, where necessary through the appropriate international 
and national institutions. 
2. Each Contracting Party shall promote technical and scientific 
cooperation with other Contracting Parties, in particular developing 
countries, in implementing this Convention, inter alia, through the 
development and implementation of national policies. In promoting such 
cooperation, special attention should be given to the development and 
strengthening of national capabilities, by means of human resources 
development and institution building. 
3. The Conference of the Parties, at its first meeting, shall determine 
how to establish a clearing-house mechanism to promote and facilitate 
technical and scientific cooperation. 
4. The Contracting Parties shall, in accordance with national legislation 
and policies, encourage and develop methods of cooperation for the 
development and use of technologies, including indigenous and traditional 
technologies, in pursuance of the objectives of this Convention. For this 
purpose, the Contracting Parties shall also promote cooperation in the 
training of personnel and exchange of experts. 
5. The Contracting Parties shall, subject to mutual agreement, promote 
the establishment of joint research programmes and joint ventures for the 
development of technologies relevant to the objectives of this Convention. 
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Article 20. Handling of Biotechnology and 
Distribution of its Benefits 
1. Each Contracting Party shall take appropriate measures to [promote and 
advance] [ensure] the participation in biotechnological research activities 
by those Contracting Parties, especially developing countries, [of origin 
and/or those Contracting Parties) which provide the genetic resources for 
such research. 
2. Each Contracting Party shall [ensure priority access] [promote and 
advance fair and equitable access] [take appropriate measures to promote 
and advance priority access] by Contracting Parties, especially developing 
countries, to the results and benefits arising from biotechnologies based 
upon genetic resources [originating in and/or] provided by those. 
Contracting Parties. Such access shall be on mutually agreed terms. 
3. Each Contracting Party shall require any natural or legal person under 
its jurisdiction who intends to introduce in another Contracting Party 
genetically modified organisms (biotechnology products] which may have an 
adverse impact on the [conservation and sustainable use of biological 
resources in] (environment of] that Contracting Party to obtain the 
[advance agreement] [prior informed consent] of that Contracting Party. 
Such [agreement) [consent] shall be in accordance with procedures to be 
established by the Conference of the Parties. 
4. Each Contracting Party providing genetically modified organisms 
[biotechnology products] shall require any natural or legal person under 
its jurisdiction to provide any available information about the use and 
safety regulations required by that Contracting Party in handling 
genetically modified organisms [biotechnology products], as well as any 
available information on the potential adverse impact of the specific 
genetically modified organisms [biotechnology products] concerned to the 
Contracting Party into which those organisms [products] are to be 
introduced. " 
Article 21. Financial Resources " 
1. Each Contracting Party undertakes to provide, in accordance with its 
capabilities, financial support and incentives in respect of those 
activities which are intended to [achieve the objectives of this 
Convention] [contribute to the conservation and sustainable use of 
biological diversity] in accordance with its national plans, priorities and 
programmes. S1 
29 Some delegations expressed the view that the substance of 
paragraphs 3 and 4 were not needed. 
30 Some delegations noted at the fifth negotiating session/third 
session of INC that the final outcome of this article would be closely 
related to the final text of Article 1 and Article 22. 
31 Basic text proposed by an informal Sub-Working Group of WG.II at 
the fifth negotiating session/third session of INC. 
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Alternative 1 for paragraph 2 to replace alternative 2 
2. The Contracting Parties which are developed countries commit 
themselves to provide adequate new and additional financial resources to 
enable developing countries to achieve the objectives of this 
Convention. * (Developed countries referred to above do not include 
countries with economies in transition.] s 
Alternative 2 for paragraph 2 to replace alternative 1 
2. The Contracting Parties, and in particular developed countries,, 
undertake to provide (new and additional] financial (and other] resources 
to meet the agreed incremental costs to developing countries of (achieving 
the objectives] [fulfilling the obligations under Articles •••) of this 
Convention. * 
3. The extent to which developing countries are able to [meet the 
objectives] [fulfil the obligations under Articles •••] of this Convention 
will be subject to the availability of [such] resources [to meet agreed 
incremental costs.) * 
Article 22. Financial Mechanisms 
Alternative 1 * 
[1. There is hereby established a fund, hereinafter called the Biological 
Diversity Fund, for the achievement of the objectives of the Convention by 
developing countries. Contributions to the fund shall be mandatory for 
Contracting Parties which are developed countries according to the formula 
in Annex ... to this Convention. Voluntary contributions may also be made 
by the developed countries and by other countries and sources.] 
[2. The Fund shall be administered [through an agency to be decided by the 
Conference of the Parties] [in the following manner].] 
(3. Pursuant to the objectives of this Convention, the Conference of the 
Parties at its first meeting shall establish detailed criteria and 
guidelines for access to and utilization of the Fund, including monitoring 
and evaluation of such utilization.] 
4. The Conference of the Parties shall review the effectiveness of the 
funding mechanism established under this Article, including the criteria 
and guidelines referred to in paragraph 3, not less than two years after 
the entry into force of this Convention and thereafter on a regular basis. 
32 Basic text proposed by an informal Sub-Working Group of WG.II at 
the fifth negotiating session/third session of INC. 
33 Bracketed text proposed by Bulgaria, Czechoslovakia, Poland, 
Romania and the USSR at the fifth negotiating session/third session of INC. 
34 Proposal by the United Kingdom with modifications by the United 
States at the fifth negotiating session/third session of INC. 
35 Basic text by an informal Sub-Working Group of WG.II with 
modifications by the United Kingdom and the United States at the fifth 
negotiating session/third session of INC. 
36 Text by an informal Sub-Working Group of WG.II at the fifth 
negotiating session/third session of INC. 
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(5. The Contracting Parties shall consider strengthening existing 
financial institutions to provide financial resources for the conservation 
and sustainable use of biological diversity.] 
Alternative 2 to paragraphs 1,2,3 and 5 above 37 
[1. The Contracting Parties, pursuant to the objectives of this Convention 
and taking into consideration the special needs of developing countries, 
shall establish a [fund] [financial mechanism] to provide the resources 
which Contracting Parties that are developing countries require to meet the 
agreed incremental costs for complying with the provisions of this 
Convention, access to and transfer of technology referred to in Article 17 
and the benefits of the provisions of paragraph 6 of Article 16. 
Contributions shall be assessed according to the formula in Annex ... to 
this Convention. Additional contributions may also be made by developed 
countries and by other countries and sources.] 
[2. The [fund] [financial mechanism] shall be administered [through the 
evolving Global Environment Facility] [through a Multilateral Fund for 
Biological Diversity] fthrough an agency to be decided by the Conference of 
the Parties) (in the following manner ...].] 
[3. Pursuant to the objectives of this Convention, the Conference of the 
Parties at its first meeting shall [confirm] [establish] criteria and 
guidelines (set out in Annex ... to this Convention] for access to and 
utilization of the [fund] (financial mechanism], including monitoring and 
evaluation of such utilization.] 
[5. The Contracting Parties shall consider strengthening existing 
financial institutions to support the [fund] [financial mechanism] 
established under this Convention.] 
Article 23. Relationship with Other International Conventions 
(1. The provisions of the present Convention shall not affect the rights 
and obligations of any Contracting Party deriving from any existing 
international agreement relating to the conservation and sustainable use of 
biological diversity. * 
2. Any existing international agreement relating to the conservation and 
sustainable use of biological diversity may be renegotiated as a protocol 
to the present Convention. x 
3. The Contracting Parties shall invite the Parties to any international 
agreement relating to the conservation and sustainable use of biological 
diversity to agree on arrangements for facilitating joint actions, 
coordination, and exchange of information.] " 
37 Proposal by the United Kingdom with modification by Mexico at the 
fifth negotiating session/third session of INC. 
M The language in paragraph 1 leaves open the question of the 
relationship of this Convention with future agreements. The Committee may 
want to make an express provision for this. 
39 The Lawyers' Meeting felt that this paragraph has the character 
of a recommendation and would invite the Committee to consider the 
necessity of retaining it. 
40 If retained, the Lawyers' Meeting felt this paragraph might more 
appropriately be located in Article 24 as a function of the Conference of 
the Parties. 
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[1. The provisions of the present Convention shall not affect the rights 
and obligations of any Contracting Party deriving from any existing 
international agreement compatible with the conservation and sustainable 
use of biological diversity.] 
Article 24. Conference of the Parties 
1. A Conference of the Parties is hereby established. The first meeting 
of the Conference of the Parties shall be convened by the Executive 
Director of UNEP not later than one year after the entry into force of this 
Convention. Thereafter, ordinary meetings of the Conference of the Parties 
shall be held at regular intervals to be determined by the Conference at 
its first meeting. 
2. Extraordinary meetings of the Conference of the Parties shall be held 
at such other times as may be deemed necessary by the Conference, or at the 
written request of any Party, provided that, within [six] [three] months of 
the request being communicated to them by the Secretariat, it is supported 
by at least one third of the Parties. 
3. The Conference of the Parties shall by consensus agree upon and adopt 
rules of procedure for itself and for any subsidiary body it may establish, 
as well as financial rules governing the funding of the Secretariat. At 
each ordinary meeting, it shall adopt a budget for the financial period 
until the next ordinary meeting. 
4. The Conference of the Parties shall keep under review the 
implementation of the present Convention, and, for this purpose, shall: 
(a) Establish the form and the intervals for transmitting the 
information to be submitted in accordance with Article 28 and consider such 
information as well as reports submitted by any subsidiary body; 
[(b) Review [and approve] scientific [information] [technological 
advice] on biological diversity provided by the Scientific Committee in 
accordance with Article 27;] 
(c) Consider and adopt, as required, in accordance with Articles 32 
and 33, amendments to this Convention and its annexes; 
(d) Consider amendments to any protocol, as well as to any annexes 
thereto, and, if so decided, recommend their adoption to the parties to the 
Protocol concerned; 
(e) Consider and adopt, as required, in accordance with Article 33, 
additional annexes to this Convention; 
(f) Consider and adopt, as required, protocols in accordance with 
Article 31; 
(g) Establish such subsidiary bodies as are deemed necessary for the 
implementation of this Convention; 
(h) Consider and undertake any additional action that may be required 
for the achievement of the purposes of this Convention in the light of 
experience gained in its operation. 
5. The United Nations, its specialized agencies and the International 
Atomic Energy Agency, as well as any State not Party to this Convention, 
may be represented as observers at meetings of the Conference of the 
Parties. Any other body or agency, whether governmental or non-
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governmental, qualified in fields relating to conservation and sustainable 
use of biological diversity which has informed the Secretariat of its wish 
to be represented as an observer at a meeting of the Conference of the 
Parties, may be admitted unless at least one third of the Parties present 
object. The admission and participation of observers shall be subject to 
the rules of procedure adopted by the Conference of the Parties* 
(Article 25. Procedures for Global Lists 4l 
The Conference of the Parties shall: 
(a) Receive from the Contracting Parties inventories of biogeographic 
areas within the limits of their national jurisdiction of particular 
importance for the conservation of biological diversity and inventories of 
species found within the limits of their national jurisdiction which are 
threatened with extinction on a global level; 
(b) Select, taking into account the recommendations of the Scientific 
Committee, from the inventories forwarded pursuant to subparagraph (a), 
areas and species to be included in the Global Lists; 
(c) Publish the Global Lists; 
(d) Establish, taking into account the recommendations of the 
Scientific Committee, guidelines to assist Contracting Parties to select 
areas and species for inclusion in the inventories to be forwarded to the 
Conference of the Parties pursuant to subparagraph (a); 
(e) Establish, taking into account the recommendations of the 
Scientific Committee, criteria for selecting areas and species for 
inclusion in the Global Lists pursuant to subparagraph (b) [so that they 
may contain areas and species representative of the greatest feasible 
proportion of biological diversity, with particular regard to threatened 
areas and species]; 
(f) Establish and publish, taking into account the advice of the 
Scientific Committee, guidelines to assist the Contracting Parties to 
manage areas and species on the Global Lists; 
(g) Establish and publish guidelines for the provision of financial 
and other assistance to Contracting Parties where it considers this 
desirable or necessary in connection with areas and species on the Global 
Lists; and 
(h) Ensure that arrangements made in relation to the Global Lists 
complement and strengthen the conservation activities of Contracting 
Parties and international organizations developed and implemented under 
other international agreements.] 
41 A proposal was made to delete Article 25 subsequent to deletion 
of Article 15 (Global Lists). 
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Article 26. Secretariat 
1. A Secretariat is hereby established. Its functions shall be:. 
(a) To arrange for and service meetings of the Conference of the 
Parties provided for in Article 24; 
[(b) To assist the Conference of the Parties and the Scientific 
Committee in performing their functions with regard to establishment and 
functioning of the Global Lists pursuant to the provisions of Article 15 of 
the present Convention as well as assist in facilitating and promoting 
transfer of technology and knowledge and technical cooperation pursuant to 
the provisions of Articles 17 and 19 of the present Convention;] 
((c) To maintain the Global Lists referred to in Article 15 of the 
present Convention;] 
(d) To perform the functions assigned to it by any Protocol; 
(e) To prepare reports on the execution of its functions under this 
Convention and present them to the Conference of the Parties; 
(f) To coordinate with other relevant international bodies, and in 
particular to enter into such administrative and contractual arrangements 
as may be required for the effective discharge of its functions; 
(g) To perform such other functions as may be determined by the 
Conference of the Parties. 
2. The secretariat functions will be carried out on an interim basis by 
the Secretariat of the United Nations Environment Programme until the 
completion of the first ordinary meeting of the Conference of the Parties 
held pursuant to Article 24. At its first ordinary meeting, the Conference 
of the Parties shall designate the secretariat from amongst those existing, 
competent international organizations which have signified their 
willingness to carry out the secretariat functions under this Convention. 
Article 27. [Scientific] and [Technical] [Technological] [Committee] [Subsidiary Bodies for Scientific and Technological Cooperation] 
Alternative 1 
(The Conference of the Parties shall at its first meeting establish 
such subsidiary bodies for providing scientific and [technical] 
[technological] advice as required for the implementation of the 
Convention.] 
Alternative 2 
[(1. The Conference of the Parties shall at its first meeting establish a 
Scientific and (Technical] (Technological] Committee with a balanced 
regional representation.] 
[1. A Scientific and (Technical) [Technological) Committee is hereby 
established. The Conference of the Parties shall, at its first meeting, 
appoint the members of the committee with a balanced regional 
representation.] 
(, whose advice will be based on the considerations outlined in Annex ... 
/... 
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ANNEX ... 
- Considerations for the Scientific and Technical Committee 
Pursuant to Article 27, the Scientific and Technical Committee 
will provide scientific and technical advice to the Conference of 
the Parties taking into account the following considerations: 
1. Articles 5 - ... of this Convention; 
2. National, regional and global concerns; 
3. National, regional and global plans, lists and priorities; 
4. Other regional and global agreements, mechanisms, technologies and 
sources of funding; 
5. The relative significance among species, subspecies, ecosystems and 
areas; 
6. Conservation management effectiveness.] 
2. The Committee shall under the direction of the Conference of the 
Parties provide scientific and [technical] [technological] advice to assist 
the Conference of the Parties to promote the objectives of the Convention. ] 
Article 28. Reports 
Each Contracting Party shall, at intervals to be determined by the 
Conference of the Parties, [submit] [present] to the Conference of the 
Parties, reports on: 
The actions which it has taken for the implementation of this 
Convention [including, in particular, those pursuant to Articles 5 and 
17-21 of this Convention] [and its view on the effectiveness of those 
actions and on the state of components of biological diversity within 
the limits of its national jurisdiction.] 
Article 29. Operational Cost 
1. Expenses incurred in respect of the technical and scientific 
cooperation referred to in Article 19 shall be borne by the Biological 
Diversity Fund. The expenses incurred in operating the Biological 
Diversity Fund shall also be borne by that Fund. 
Article 30. Settlement of Disputes 42 
1. In the event of a dispute between Contracting Parties concerning the 
interpretation or application of this Convention, the parties concerned 
shall seek solution by negotiation. 
42 Although most environmental conventions provide a single system 
of dispute resolution for all articles (e.g., Vienna Convention for 
Protection of the Ozone Layerf, some environmental conventions have limited 
the applicability of some dispute resolution mechanisms to specified 
articles (e.g., Protocol on Environmental Protection to the Antarctic 
Treaty, articles 19 and 20; U.N. Convention on the Law of the Sea, 
articles 286, 297-298). 
/... 
UNEP/Bio.Div/N7-INC.5/2 
Page 27 
2. If the Parties concerned cannot reach agreement by negotiation, they 
may jointly seek the good offices of, or request mediation by, a third 
party. 
3. When ratifying, accepting, approving or acceding to this Convention, 
or at any time thereafter, a State or regional economic integration 
organization may declare in writing to the Depositary that for a dispute 
not resolved in accordance with paragraph 1 or paragraph 2 above, it 
accepts one or both of the following means of dispute settlement as 
compulsory: 
(a) Arbitration in accordance with the procedure laid down in (Part 1 
of] Annex I; 
(b) Submission of the dispute to the International Court of Justice. 
4. Alternative 1. If the parties to the dispute have not, in accordance 
with paragraph 3 above, accepted the same or any procedure, the dispute 
shall be submitted to conciliation in accordance with Annex I, part 2 
unless the parties otherwise agree. 
Alternative 2. If the parties to the dispute have not, in accordance 
with paragraph 3 above, accepted the same or any procedure, a party which 
has not made a declaration under paragraph 3 above shall be deemed to have 
accepted arbitration in accordance with the procedure laid down in Annex I. 
If the parties to a dispute have not accepted the same means of dispute 
settlement, the dispute shall be submitted to arbitration in accordance 
with the procedure laid down in (Part 1 of] Annex I. 
5. The provisions of this Article shall apply with respect to any 
protocol except as otherwise provided in the protocol concerned. 
(Alternative in lieu of paragraphs 3 and 4) 
3. If the Parties concerned cannot reach agreement through the mechanisms 
set down in paragraph 2, they shall submit the dispute to arbitration in 
accordance with the procedure laid down in Part 1 of Annex I, unless the 
dispute is submitted to the International Court of Justice (ICJ) in 
accordance with its Statute. 
4. When ratifying, accepting, approving or acceding to this Convention or 
at any time thereafter, a state or regional economic integration 
organization may declare in writing to the Depositary that it does not 
accept paragraph 3 as binding. 
5. If a party to the dispute has made a declaration pursuant to 
paragraph 4, the dispute shall be submitted to conciliation in accordance 
with Part 2 of Annex I [, unless the Parties otherwise agree]. 
Article 31. Adoption of Protocols 
1. The Contracting Parties shall cooperate in the formulation and 
adoption of protocols to this Convention. 
UNEP/Bio.Div/N7-INC.5/2 
Page 28 
2. Protocols shall be adopted at a meeting of the Conference of the 
Parties. * 
3. The text of any proposed protocol shall be communicated to the 
Contracting Parties by the Secretariat at least six months before such a 
meeting. 
Article 32. Amendment of the Convention or Protocols 
1. Amendments to this Convention may be proposed by any Contracting 
Party. Amendments to any protocol may be proposed by any party to that 
protocol. 
2. Amendments to this Convention shall be adopted at a meeting of the 
Conference of the Parties. Amendments to any protocol shall be adopted at 
a meeting of the Parties to the protocol in question. The text of any 
proposed amendment to this Convention or to any protocol, except as may 
otherwise be provided in such protocol, shall be communicated to the 
Parties to the instrument in question by the Secretariat at least six 
months before the meeting at which it is proposed for adoption. The 
Secretariat shall also communicate proposed amendments to the signatories 
to this Convention for information. 
3. The Parties shall make every effort to reach agreement on any proposed 
amendment to this Convention or to any protocol by consensus. If all 
efforts at consensus have been exhausted, and no agreement reached, the 
amendment shall as a last resort be adopted by a two-third majority vote of 
the Parties to the instrument in question present and voting at the 
meeting, and shall be submitted by the Depositary to all Parties for 
ratification, acceptance or approval. 
4. Ratification, acceptance or approval of amendments shall be notified 
to the Depositary in writing. Amendments adopted in accordance with 
paragraph 3 above shall enter into force among Parties having accepted 
them on the one hundred and eightieth day after the deposit of their 
instruments M of ratification, acceptance or approval by at least two-
thirds of the Contracting Parties to this Convention or of the Parties to 
the protocol concerned, except as may otherwise be provided in such 
protocol. Thereafter the amendments shall enter into force for any other 
Party on the [ninetieth] [one hundred eightieth] day M after that Party 
deposits its instrument of ratification, acceptance or approval of the 
amendments. 
43 One country agreed with the text as adopted by WG.I during the 
sixth negotiating session/fourth session of INC with a reservation on the 
procedure for the adoption of protocols. 
44 To achieve uniformity of the paragraph's formulation, an 
alternative period of 180 days was introduced into the text as recommended 
by the Legal Drafting Group established by the INC at its fourth 
session/sixth negotiating session. It was further recommended that a final 
decision be taken by the INC at its fifth session/seventh negotiating 
session. To achieve consistency between the procedures described in the 
paragraph, the Legal Drafting Group recommended substituting the phrase 
"deposit of their instruments" for the phrase "receipt by the Depositary of 
notification". 
/... 
UNEP/Bio.Div/N7-INC.5/2 
Page 29 
5. For the purposes of this Article, "Parties present and voting" means 
Parties present and casting an affirmative or negative vote. 
Article 33. Adoption and Amendment of Annexes 
1. The annexes to this Convention or to any protocol shall form an 
integral part of this Convention or of such protocol, as the case may be, 
and, unless expressly provided otherwise, a reference to this Convention or 
its protocols constitutes at the same time a reference to any annexes 
thereto. Such annexes shall be restricted to procedural, scientific, 
technical and administrative matters. 
2. Except as may be otherwise provided in any protocol with respect to 
its annexes, the following procedure shall apply to the proposal, adoption 
and entry into force of additional annexes to this Convention or of annexes 
to any protocol: 
(a) Annexes to this Convention or to any protocol shall be proposed 
and adopted according to the procedure laid down in Article 32; 
(b) Any Party that is unable to approve an additional annex to this 
Convention or an annex to any protocol to which it is Party shall so notify 
the Depositary, in writing, within one year from the date of the 
communication of the adoption by the Depositary. The Depositary shall 
without delay notify all Parties of any such notification received. A 
Party may at any time withdraw a previous declaration of objection and the 
annexes shall thereupon enter into force for that Party subject to 
paragraph (c) below; 
(c) On the expiry of one year * from the date of the communication 
of the adoption * by the Depositary, the annex shall enter into force for 
all Parties to this Convention or to any protocol concerned which nave not 
submitted a notification in accordance with the provision of 
subparagraph (b) above. 
3. The proposal, adoption and entry into force of amendments to annexes 
to this Convention or to any protocol shall be subject to the same 
procedure as for the proposal, adoption and entry into force of annexes to 
the Convention or annexes to any protocol. 
4. If an additional annex or an amendment to an annex is related to an 
amendment to this Convention or to any protocol, the additional annex or 
amendment shall not enter into force until such time as the amendment to 
this Convention or to the protocol concerned enters into force. 
Article 34. Right to Vote 
1. Except as provided for in paragraph 2 below, each Contracting Party to 
this Convention or to any protocol shall have one vote. 
43 The "one year" time period was introduced in this paragraph to 
achieve consistency with the preceding paragraph (b) as recommended by the 
Legal Drafting Group established by the INC during its fourth session/sixth 
negotiating session. The phrase "of the adoption" was introduced by the 
Legal Drafting Group to achieve consistency with paragraph (b). 
/... 
UNEP/Bio.Div/N7-INC.5/2 
Page 30 
2. Regional economic integration organizations, in matters within their 
competence, shall exercise their right to vote with a number of votes equal 
to the number of their member States which are Contracting Parties to the 
Convention or the relevant protocol. Such organizations shall not exercise 
their right to vote if their member States exercise theirs, and vice versa. 
Article 35. Relationship Between the Convention and Its Protocols 
1. A State or a regional economic integration organization may not become 
a Party to a protocol unless it is, or becomes at the same time, a 
Contracting Party to the Convention. 
2. Decisions under any protocol shall be taken only by the Parties to the 
protocol concerned. Any Contracting Party that has not ratified, accepted 
or approved a protocol may participate as an observer in any meeting of the 
parties to that protocol. 
Article 36. Signature 
This Convention shall be open for signature at ... by all States and 
any regional economic integration organizations from ... until .... 
Article 37. Ratification, Acceptance or Approval 
1. This Convention and any protocol shall be subject to ratification, 
acceptance or approval by States and by regional economic integration 
organizations. Instruments of ratification, acceptance or approval shall 
be deposited with the Depositary. 
2. Any organization referred to in paragraph 1 above which becomes a 
Contracting Party to this Convention or any protocol without any of its 
member States being a Contracting Party shall be bound by all the 
obligations under the Convention or the protocol, as the case may be. In 
the case of such organizations, one or more of whose member States is a 
Contracting Party to the Convention or relevant protocol, the organization 
and its member States shall decide on their respective responsibilities for 
the performance of their obligation under the Convention or protocol, as 
the case may be. In such cases, the organization and the member States 
shall not be entitled to exercise rights under the Convention or relevant 
protocol concurrently. 
3. In their instruments of ratification, acceptance or approval, the 
organizations referred to in paragraph 1 above shall declare the extent of 
their competence with respect to the matters governed by the Convention or 
the relevant protocol. These organizations shall also inform the 
Depositary of any relevant modification in the extent of their competence. 
Article 38. Accession 
1. This Convention and any protocol shall be open for accession by States 
and by regional economic integration organizations from the date on which 
the Convention or the protocol concerned is closed for signature. The 
instruments of accession shall be deposited with the Depositary. 
2. In their instruments of accession, the organizations referred to in 
paragraph 1 above shall declare the extent of their competence with respect 
to the matters governed by the Convention or the relevant protocol. These 
organizations shall also inform the Depositary of any relevant modification 
in the extent of their competence. 
/.. 
UNEP/Bio.Div/N7-INC.5/2 
Page 31 
3. The provisions of Article 37 paragraph 2, shall apply to regional 
economic integration organizations which accede to this Convention or any 
protocol. 
Article 39. Entry Into Force 
1. This Convention shall enter into force on the ninetieth day after the 
date of deposit of the [twentieth] instrument of ratification,, acceptance, 
approval or accession. 
2. Any protocol shall enter into force on the ninetieth day after the 
date of deposit of the number of instruments of ratification, acceptance, 
approval or accession, specified in that protocol, has been deposited. 
3. For each Contracting Party which ratifies, accepts or approves this 
Convention or accedes thereto after the deposit of the (twentieth] 
instrument of ratification, acceptance, approval or accession, it shall 
enter into force on the ninetieth day after the date of deposit by such 
Contracting Party of its instrument of ratification, acceptance, approval 
or accession. 
4. Any protocol, except as otherwise provided in such protocol, shall 
enter into force for a Contracting Party that ratifies, accepts or approves 
that protocol or accedes thereto after its entry into force pursuant to 
paragraph 2 above, on the ninetieth day after the date on which that 
Contracting Party deposits its instrument of ratification, acceptance, 
approval or accession, or on the date on which the Convention enters into 
force for that Contracting Party, whichever shall be the later. 
5. For the purposes of paragraph 1 and 2 above, any instrument deposited 
by a regional economic integration organization shall not be counted as 
additional to those deposited by member States of such organization. 
Article 40. Reservations " 
(No reservations may be made to this Convention. ] 
46 Some environmental conventions contain a clause prohibiting 
reservations (e.g. Vienna Convention for Protection of the Ozone Layer; 
Protocol on Environmental Protection to the Antarctic Treaty). Some do not 
(e.g. London Dumping Convention; Convention for the Protection, Management 
and Development of the Marine and Coastal Environmental of the Eastern 
African Region). Some permit only specified reservations, an approach 
provided for in the Vienna Convention on the Law of Treaties and customary 
international law (e.g. Convention on the Conservation of Migratory Species 
of Wild Animals). 
In accordance with the Vienna Convention on Treaties and customary 
international law, when a multilateral convention does not address the 
topic of reservations, the usual presumption is that states may formulate 
reservations that are not incompatible with the object and purpose of the 
Convention. 
The Basel Convention on the Control of Transboundary Movements of 
Hazardous Wastes and their Disposal presents another approach. It 
prohibits reservations but allows to a State or political and/or economic 
integration organizations "declarations or statements ... with a view, 
inter alia, to the harmonization of its laws and regulations with the 
provisions of (the) Convention", provided that any such declaration or 
statement is not tantamount to a reservation. 
/... 
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Article 41. Withdrawals 
1. At any time after two years from the date on which the present 
Convention has entered into force for a Contracting Party, that Contracting 
Party may withdraw from the Convention by giving written notification to 
the Depositary. 
2. Any such withdrawal shall take place upon expiry of one year after the 
date of it8 receipt by the Depositary, or on such later date as may be 
specified in the notification of the withdrawal. 
3. Any Contracting Party which withdraws from this Convention shall be 
considered as also having withdrawn from any protocol to which it is party. 
Article 42. Depositary 
The Secretary-General of the United Nations shall assume the functions 
of Depositary of this Convention and any protocols. 
Article 43. Authentic Texts 
The original of this Convention, of which the Arabic, Chinese, 
English, French, Russian and Spanish texts are equally authentic, shall be 
deposited with the Secretary-General of the United Nations. 
IN WITNESS WHEREOF the undersigned, being duly authorized to that effect, 
have signed this Convention. 
Done at on the day of. 
/. 
UNEP/Bio.Div/N7-INC.5/2 
Annex I 
Page 33 
Annex I 
Part 1 
ARBITRATION 
Article 1 
The claimant party shall notify the Secretariat that the parties are 
referring a dispute to arbitration pursuant to Article 30 of the 
Convention. The notification shall state the subject-matter of arbitration 
and include, in particular, the articles of the Convention or the Protocol, 
the interpretation or application of which are at issue. [If the parties 
do not agree on the subject matter of the dispute before the President of 
the tribunal is designated the arbitral tribunal shall determine the 
subject matter.] The Secretariat shall forward the information thus 
received to all Contracting Parties to the Convention or to the Protocol 
concerned. 
Article 2 
1. In disputes between two parties, the arbitral tribunal shall consist 
of three members. Each of the parties to the dispute shall appoint an 
arbitrator and the two arbitrators so appointed shall designate by common 
agreement the third arbitrator who shall be the President of the tribunal. 
The latter shall not be a national of one of the parties to the dispute, 
nor have his or her usual place of residence in the territory of one of 
these parties, nor be employed by any of them, nor have dealt with the case 
in any other capacity. 
2. In disputes between more than two parties, parties in the same 
interest shall appoint one arbitrator jointly by agreement. 
3. Any vacancy shall be filled in the manner prescribed for the initial 
appointment. 
Article 3 
1. If the President of the arbitral tribunal has not been designated 
within two months of the appointment of the second arbitrator, the 
Secretary-General of the United Nations shall, at the request of a party, 
designate the President within a further two-month period. 
2. If one of the parties to the dispute does not appoint an arbitrator 
within two months of receipt of the request, the other party may inform the 
Secretary-General who shall make the designation within a further two-month 
period. 
Article 4 
The arbitral tribunal shall render its decisions in accordance with 
the provisions of this Convention, any protocols concerned, and 
international law. 
Article 5 
Unless the parties to the dispute otherwise agree, the arbitral 
tribunal shall determine its own rules of procedure. 
/... 
UNEP/Bio.Div/N7-INC.5/2 
Annex I 
Appendix I 
Page 34 
Article 6 
[The arbitral tribunal may, at the request of one of the parties, 
recommend essential interim measures of protection.] 
Article 7 
The parties to the dispute shall facilitate the work of the arbitral 
tribunal and, in particular, using all means at their disposal, shall: 
(a) Provide it with all relevant documents, information and 
facilities; and 
(b) Enable it, when necessary, to call witnesses or experts and 
receive their evidence. 
Article 8 
The parties and the arbitrators are Under an obligation to protect the 
confidentiality of any information they receive in confidence during the 
proceedings of the arbitral tribunal. 
Article 9 
Unless the arbitral tribunal determines otherwise because of the 
particular circumstances of the case, the costs of the tribunal shall be 
borne by the parties to the dispute in equal shares. The tribunal shall 
keep a record of all its costs, and shall furnish a final statement thereof 
to the parties. 
Article 10 
Any Contracting Party that has an interest of a legal nature in the 
subject-matter of the dispute which may be affected by the decision in the 
case, may intervene in the proceedings with the consent of the tribunal. 
Article 11 
The tribunal may hear and determine counterclaims arising directly out 
of the subject-matter of the dispute. 
Article 12 
Decisions both on procedure and substance of the arbitral tribunal 
shall be taken by a majority vote of its members. 
Article 13 
If one of the parties to the dispute does not appear before the 
arbitral tribunal or fails to defend its case, the other party may request 
the tribunal to continue the proceedings and to make its award. Absence of 
a party or a failure of a party to defend its case shall not constitute a 
bar to the proceedings. Before rendering its final decision, the arbitral 
tribunal must satisfy itself that the claim is well founded in fact and 
law. 
/•• 
UNEP/Bio.Div/N7-INC.5/2 
Annex I 
Page 35 
Article 14 
The tribunal shall render its final decision within five months of the 
date on which it is fully constituted unless it finds it necessary to 
extend the time-limit for a period which should not exceed five months. 
Article 15 
The final decision of the arbitral tribunal shall be confined to the 
subject-matter of the dispute and shall state the reasons on which it is 
based, it shall contain the names of the members who have participated and 
the date of the final decision. Any member of the tribunal may attach a 
separate or dissenting opinion to the final decision. 
Article 16 
The award shall be binding on the parties to the dispute. It shall be 
without appeal unless the parties to the dispute have agreed in advance to 
an appellate procedure. 
Article 17 
Any controversy which may arise between the parties to the dispute as 
regards the interpretation or manner of implementation of the final 
decision may be submitted by either party for decision to the arbitral 
tribunal which rendered it. 
/... 
UNEP/Bio.Div/N7-INC.5/2 
Annex I 
Appendix I 
Page 36 
Part 2 
CONCILIATION 
Article 1 
A conciliation commission shall be created upon the request of one of 
the parties to the dispute. The commission shall, unless the parties 
otherwise agree, be composed of five members, two appointed by each Party 
concerned and a President chosen jointly by those members. 
Article 2 
In disputes between more than two parties, parties in the same 
interest shall appoint their members of the commission jointly by 
agreement. Where two or more parties have separate interests or there is a 
disagreement as to whether they are of the same interest, they shall 
appoint their members separately. 
Article 3 
If any appointments by the parties are not made within two months of 
the date of the request to create a conciliation commission, the Secretary-
General of the United Nations shall, if asked to do so by the party that 
made the request, make those appointments within a further two-month 
period. 
Article 4 
If a President of the conciliation commission has not been chosen 
within two months of the last of the members of the commission being 
appointed, the Secretary-General of the United Nations shall, if asked to 
do so by a party, designate a President within a further two-month period. 
Article 5 
The conciliation commission shall take its decisions by majority vote 
of its members. It shall, unless the parties to the dispute otherwise 
agree, determine its own procedure. It shall render a proposal for 
resolution of the dispute, which the parties shall consider in good faith. 
Article 6 
A disagreement as to whether the conciliation commission has 
competence shall be decided by the commission. 
/... 
UNEP/Bio.Div/N7-INC.5/2 
Annex 
Appendix I 
Page 37 
Appendix I 
RECOMMENDATIONS OF THE WORKING GROUP I 
SUB-WORKING GROUP ON DEFINITIONS AND USE OF TERMS 
I. Recommended text for inclusion in Article 2 
"ALIEN SPECIES" means a species occurring in a particular country or area 
outside its historically known natural range, as a result of intentional or 
accidental introduction through human intervention. 
"BIOLOGICAL DIVERSITY (OR BIODIVERSITY)" means the genetic, taxonomic and 
ecological variability among living organisms; this includes the variety 
and variability within species, between species and of biotic components of 
ecosystems. 
-CONSERVATION OF BIOLOGICAL DIVERSITY" means the preservation (or integral 
protection), maintenance, sustainable use, recovery and enhancement of the 
components of biological diversity. ' 
"CONSERVATION": see conservation of biological diversity. 
"DOMESTICATED OR CULTIVATED SPECIES" means species in which the 
evolutionary process has been influenced deliberately by humans to meet 
human needs. 
"ECOSYSTEMS" means a dynamic complex of plant, animal and micro-organism 
communities and their non-living environments interacting as a functional 
unit. 
"ENDANGERED SPECIES" means a species in danger of extinction and whose 
survival is unlikely if the casual factors continue operating. 
"ENDEMIC SPECIES" means a species whose natural geographic distribution is 
restricted to a specific area or country. 
"EX-SITU CONSERVATION" means the conservation of components of biological 
diversity (genetic resources, organisms, populations) outside their natural 
surroundings. 
"HABITAT" means the place or type of site where an organism or population 
naturally occurs. 
"IN-SITU CONSERVATION" means the conservation of ecosystems and natural 
habitats and the maintenance and recovery of viable populations of species 
in their natural surroundings. 2 
1 There was a strong feeling in the sub-working group that 
"sustainable use" should be excluded from this definition; however, since 
at this stage in the draft text of the Convention it is not decided whether 
conservation and sustainable use should go together, the sub-working group 
recommends that this matter be dealt with later. 
2 The sub-working group considered a definition of "in-situ 
conservation" formulated by Working Group II which includes domesticated 
species. No consensus was reached on whether that definition should be 
accepted, whether domesticated species should be dealt with in a separate 
definition, or whether the present formulation should Btand. 
UNEP/Bio.Div/N7-INC.5/2 
Annex 
Appendix I 
Page 38 
"PROTECTED AREA" means a geographically defined area which is designated, 
or regulated, and managed to achieve specific conservation objectives. 
"(WILDLIFE) CORRIDORS" means routes or avenues to ensure completion of life 
cycles and unimpeded migrations and gene flows. 3 
II. Other Recommendations 
The sub-working group recommends: 
1. The exclusion from Article 2 of the terms: 
"INDIGENOUS SPECIES", "NONTERRESTRIAL SPECIES", "RATIONAL USE OF 
BIOLOGICAL DIVERSITY", "TERRESTRIAL SPECIES", and "WILD SPECIES", 
as they no longer appear in the text of the draft Convention. 
"THREATENED SPECIES" and "SPECIES THREATENED WITH EXTINCTION", 
since they need not be defined, as is the case with IUCN and • 
CITES. 
"INDIGENOUS POPULATIONS", since it does not fall within the terms 
of reference of this sub-working group. 
2. That if the term "UTILIZATION/USE OF BIOLOGICAL DIVERSITY" is to be 
defined in Article 2, it should be dealt with from the point of view 
of sustainable use of biological diversity. 
3. That the term "REGIONAL ECONOMIC INTEGRATION ORGANIZATION", defined as 
"an organization constituted by sovereign States to which its member 
States have transferred competence in respect of matters governed by 
this Convention and which has been duly authorized, in accordance with 
its internal procedures, to sign, ratify, accept, approve, formally 
confirm or accede to it", as well as other terms such as "MONITOR" and 
"SPECIES" (including marine species, as suggested by one delegation) 
be dealt with should Working Group I so decide. 
4. That the term "SIGNIFICANT" as proposed by one delegation should not 
be defined. 
3 There was a feeling that the text of this term should be 
finalized after finalization of the text of Article 7 of the draft 
Convention. 
UNEP/Bio.Div/N7-INC.5/2 
Annex 
Appendix II 
Page 39 
Appendix II 
ELEMENTS FOR INCLUSION IN THE PREAMBLE/FUNDAMENTAL PRINCIPLES/GENERAL 
OBLIGATIONS AS PROPOSED BY THE GROUP OF 77 AND CHINA 
1. Sovereignty and responsibility (Fundamental principle) 
1.1 Sovereignty and responsibility for damage. 
State sovereignty over own resources. Responsibility for 
activities in their jurisdiction not to damage biodiversity of 
other States or beyond national jurisdictions. 
1.2 Responsibility of each Party for conservation and sustainable use 
of own biodiversity resources. 
2. Funding (Fundamental principle) 
2.1 Adequate new and additional funding by developed countries for 
additional burden to developing countries of biodiversity conservation. 
3. Technology transfer 
3.1 Benefits from research and development to be shared by countries 
providing genetic material. 
3.2 Transfer of biotechnologies to developing countries on 
preferential and non-commercial basis. (Fundamental principle) 
4. Access to technology and to genetic material (Fundamental principle) 
Access to both genetic materials and conservation technologies to be 
subject to mutual agreement. 
5. International cooperation (Fundamental principle) 
5.1 International cooperation in addition to national efforts is 
necessary for conservation. 
6. Prevention (Preamble or obligation) 
Prevention of damage to biodiversity is essential. The precautionary 
principle (lack of full scientific certainty is not a reason for avoiding 
or minimizing threat of significant reduction or loss of biodiversity), and 
the principle of action at source complete the mission of prevention. 
7. Common concern (Preamble) 
Conservation of biodiversity 'is common concern of all mankind. 
8. Conservation (Preamble or objectives) 
In-situ and ex-situ conservation. 
9. Recognition and reward of traditional knowledge of local communities 
which contribute conservation and sustainable use of biodiversity. 
(Preamble or general obligation) 
10. The fulfilment of the obligations under this Convention by developing 
countries would be subject to the effective provision to them of adequate, 
new and additional resources and of technology transfer to them on 
preferential and non-commercial terms. (General obligation, Article 4) 
J 
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Convention on conservation and rational use of biodiversity. In May 1991 
by Governing Council decision 16/42 the group was renamed the 
"Intergovernmental Negotiating Committee for a Convention on Biological 
Diversity". 
The first and second negotiating sessions of this body were held at 
the UNEP headquarters (Nairobi, Kenya) from 19 to 23 November 1990 and from 
25 February to 6 March 1991 respectively. The third session was held in 
Madrid, Spain, from 24 June to 3 July 1991. The fourth negotiating 
session/second session of the Intergovernmental Negotiating Committee (INC) 
for a Convention on Biological Diversity was held from 23 September to 
2 October 1991 again at UNEP headquarters, the fifth negotiating 
session/third session of INC was held in Geneva, Switzerland, from 
25 November to 4 December 1991 and the sixth negotiating session/fourth 
session of INC was held at UNEP headquarters (Nairobi, Kenya) from 6 to 
15 February 1992. 
The seventh negotiating session/fifth session of INC will be held 
from 11 to 19 May 1992 in Nairobi, Kenya, at the kind invitation of the 
Government of Kenya. The session will open at 9.30 a.m. at UNEP 
headquarters in Gigiri. In preparation of this session, please find 
enclosed the provisional agenda for the seventh negotiating session/fifth 
session of INC as well as the fifth revised draft Convention on Biological 
Diversity including an Explanatory Note indicating the process followed in 
The Director-General 
Commission of European Communities 
Rued de la Loi 200 
1049 Brussels 
Belgium 
United Nations Environment Programme — Programme des Nations Unies pour renvironnement 
- 2 -
the revision. The report of the Intergovernmental Negotiating Committee 
for a Convention on Biological Diversity (INC) on the work of its sixth 
negotiating session/fourth session of INC will be sent to you as soon as 
ready in all languages. 
As agreed at the sixth negotiating session/fourth session of INC, the 
seventh negotiating session/fifth session of ZNC might be extended up to 
20 Nay 1992. This final negotiating sessioa will be followed by the 
Conference for adoption and signature of the Final Act which will include -
resolutions, declarations. If any, as wall as the agreed text of the 
Convention to be signed at the Plenipotentiary Conference la Bio do Janeiro 
at the time of UNCKD. The Conference for- adoption sad signature of the 
Final Act will take place la Nairobi, at the kind invitation of the 
Government of Kenya, and la expected to last for one or two days. 
Z Invito your Organisation to nominate experts to participate la the 
above negotiating session of the T^^rg^T+riMrtntsl Negotiating Committee 
(ZNC). Please note that it has become the usual practice for both Working 
Groups (WG.Z and WG.ZZ) of the ZNC to hold simultaneous meetings throughout 
the session. This requires experts to be available from the beginning to 
the end of the meeting. Z should be .grateful if you would kindly Inform 
the secretariat la advance of the name(s) and address (es) Including 
telephone, telex and telefax (if available) numbers of the expert (s) 
nominated by your Organisation. 
Please direct any Information to the attention oft 
Mrs. I. Rummel-Bulska 
Secretary 
Intergovernmental Negotiating Committee (ZNC) ^ 
for a Convention on Biological Diversity — ,--
Environmental I*aw and Institutions 
Programme Activity Centre 
UNEP 
P.O. Box 30552 
Nairobi 
Kenya 
Telephone: 230800/520600 &GCT. *j /) J 6 
Telex: 22068 UNEP KB 
Telefax: 230198 
Yours sincerely. 
Mostafa K. Tolba 
Executive Director 

ISSN 0254-1475 
COM(92) 186 final 
DOCUMENTS 
EN 14 
Catalogue number: CB-CO-y2-197-F.N-C 
ISBN 92-77-43862-2 
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