Regulation (EC) No 1946/2003 of the European Parliament and of the Council of 15 July 2003 on transboundary movements of genetically modified organisms (Text with EEA relevance)
Date: 2003-07-15
Institutions: Council of the European Union, European Parliament
Subjects: biotechnology, cross-border transport, environmental risk prevention, genetically modified organism, transfrontier pollution

5.11.2003

EN

Official Journal of the European Union

L 287/1

I

(Acts whose publication is obligatory)

REGULATION (EC) No 1946/2003 OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL

on transboundary movements of genetically modified organisms

of 15 July 2003

(Text with EEA relevance)

THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE
EUROPEAN UNION,

(3)

Having regard to the Treaty establishing the European
Community, and in particular Article 175(1) thereof,

Having regard to the proposal from the Commission (1),

Having regard to the opinion of the European Economic and
Social Committee (2),

Having regard to the opinion of
Regions (3),

the Committee of

the

Acting in accordance with the procedure laid down in Article
251 of the Treaty (4),

Whereas:

(1)

(2)

The Cartagena Protocol on Biosafety to the Convention
on Biological Diversity (hereinafter referred to as the
Protocol), was signed by the Community and its Member
States in 2000 and Council Decision 2002/628/EC (5) to
conclude the Protocol, on behalf of the Community, was
taken on 25 June 2002.

Article 1 of the Protocol specifies that,
in accordance
with the precautionary approach contained in Principle
15 of the Rio Declaration on Environment and Develop-
ment, the objective of the Protocol is to contribute to
ensuring an adequate level of protection in the field of
safe transfer, handling and use of genetically modified
organisms (GMOs) resulting from modern biotechnology
that may have adverse effects on the conservation and
sustainable use of biological diversity, taking also into
account risks to human health and specifically focusing
on transboundary movements.

(1) OJ C 151 E, 25.6.2002, p. 121.
(2) OJ C 241, 7.10.2002, p. 62.
(3) OJ C 278, 14.11.2002, p. 31.
(4) Opinion of the European Parliament of 24 September 2002 (not yet
published in the Official Journal), Council Common Position of 4
March 2003 (OJ C 107 E, 6.5.2003, p. 1), Decision of the European
Parliament of 4 June 2003 (not yet published in the Official Journal)
and Council Decision of 16 June 2003.

(5) OJ L 201, 31.7.2002, p. 48.

the European Parliament and of

The Protocol requires each Party to take necessary and
appropriate legal, administrative and other measures to
implement its obligations under the Protocol. Directive
2001/18/EC of
the
Council of 12 March 2001 on the deliberate release into
the environment of genetically modified organisms (6)
invited the Commission to bring forward a legislative
proposal for implementing the procedures laid down in
in accordance with the Protocol,
the Protocol and,
requiring Community exporters
that all
requirements of
Informed Agreement
Procedure, as set out in Articles 7 to 10, 12 and 14 of
the Protocol, are fulfilled.

the Advance

to ensure

(4)

(5)

(6)

(7)

It is important to organise the supervision and control
transboundary movements of GMOs in order to
of
contribute to ensuring the conservation and sustainable
use of biological diversity, taking also into account risks
to human health, and so as to enable citizens to make a
free and informed choice in regard to GMOs.

Since Community legislation does not contain specific
requirements for exports of GMOs to third countries,
and in order to ensure compliance with the obligations
in the Protocol regarding transboundary movements of
GMOs, a common legal framework should be established
for such exports.

It is necessary to recognise the need to respect the Party
or non-Party of import's regulatory biosafety framework,
in a manner consistent with the Protocol.

Pharmaceuticals for humans that are addressed by other
international agreements, to which the Community or
the relevant Member State is party, or organisations, of
which the Community or the relevant Member State is a
member, should be excluded from the scope of this
Regulation.

(8)

Exports of GMOs intended for deliberate release into the
environment should be notified to the Party or non-Party
of import, allowing it to make an informed decision,

(6) OJ L 106, 17.4.2001, p. 1.

L 287/2

EN

Official Journal of the European Union

5.11.2003

based on a risk assessment carried out in a scientifically
sound manner.

(16)

(9)

The notification should be ensured by the exporter. The
exporter should be responsible for the accuracy of the
information provided in the notification.

(10)

(11)

Exporters should await the prior written express consent
of the Party or non-Party of import before proceeding
with the first
transboundary movement of a GMO
intended for deliberate release into the environment.

Recognising that some developing countries, and some
countries with economies in transition, may lack the
capacities which would enable them to take such
informed decisions, the Commission and Member States
should make sustained efforts to enable them to develop
and strengthen human resources and institutional capa-
cities.

(12) According to the Protocol, the Community or any other
Party may take action that is more protective of the
conservation and sustainable use of biological diversity
than that called for in the Protocol, provided that such
action is consistent with the objective and the provisions
of the Protocol and in accordance with that Party's other
obligations under international law.

(13) According to the Protocol, the Community may apply
its domestic legislation in respect of the movements of
GMOs within its customs territory.

(14) As existing Community legislation, and in particular
Directive 2001/18/EC and sectoral legislation providing
for a specific risk assessment to be carried out in accor-
dance with the principles set out
in that Directive,
already contain rules which are in line with the objective
of the Protocol, there is no need to adopt supplementary
provisions with regard to imports of GMOs into the
Community.

(15)

It is necessary to ensure the safe transport, handling and
packaging of GMOs. As existing Community legislation,
in particular Council Directive 94/55/EC of 21
November 1994 on the approximation of the laws of
the Member States with regard to the transport of
dangerous goods by road (1) and Council Directive 96/
49/EC of 23 July 1996 on the approximation of the laws
of the Member States with regard to the transport of
dangerous goods by rail (2), already contain appropriate
rules, there is no need to adopt supplementary provi-
sions in this respect.

(17)

(18)

(19)

It is necessary to ensure the identification of GMOs
being exported from or imported into the Community.
With regard to traceability, labelling and identification of
imports into the Community, such GMOs are subject to
rules in Community legislation. With regard to exports
similar rules should apply.

The Commission and Member States support the process
with respect to the appropriate elaboration of interna-
tional rules and procedures in the field of liability and
redress for damage resulting from transboundary move-
ments of GMOs, to be agreed, as provided for in Article
27 of the Protocol, at the first meeting of the Conference
of the Parties to the Convention serving as the meeting
of the Parties to the Protocol.

The Commission and the Member States support the
further development and the application of the common
formats for accompanying documentation on identifica-
tion of GMOs, which is undertaken in accordance with
Article 18 of the Protocol.

In order to respond efficiently to unintentional trans-
boundary movements of GMOs that are likely to have a
significant adverse effect on the conservation and
sustainable use of biological diversity,
taking into
account risks to human health, a Member State should,
as soon as it becomes aware of an event under its juris-
diction resulting in a release that may lead to an unin-
tentional transboundary movement of a GMO that is
likely to have such effects, take the appropriate measures
to inform the public and inform without delay the
Commission, all other Member States, affected or poten-
tially affected States, the Biosafety Clearing-House (BCH)
and, where appropriate, relevant international organisa-
tions. Also, that Member State should consult without
delay affected or potentially affected States to enable
them to determine appropriate responses and initiate
necessary action.

(20)

In order to help develop the BCH, the Community and
its Member States should ensure that relevant informa-
tion is communicated to the BCH, and that monitoring
and reporting on the implementation of the Protocol in
the Community are performed.

(21) Member States should lay down rules on penalties
applicable to infringements of this Regulation and ensure
that they are implemented. Those penalties should be
effective, proportionate and dissuasive.

(22)

The precautionary principle
account when applying this Regulation.

should be

taken into

(1) OJ L 319, 12.12.1994, p. 7. Directive as last amended by Commis-

sion Directive 2003/28/EC (OJ L 90, 8.4.2003, p. 45).

(2) OJ L 235, 17.9.1996, p. 25. Directive as last amended by Commis-

sion Directive 2003/29/EC (OJ L 90, 8.4.2003, p. 47).

(23)

This Regulation respects the fundamental rights and
observes the principles recognised in particular by the
Charter of Fundamental Rights of the European Union,

5.11.2003

EN

Official Journal of the European Union

L 287/3

HAVE ADOPTED THIS REGULATION:

5.

‘contained use’ means:

CHAPTER I

OBJECTIVES, SCOPE AND DEFINITIONS

Article 1

Objectives

In accordance with the precautionary principle, and without
prejudice to the provisions of Directive 2001/18/EC, the objec-
tives of this Regulation are to establish a common system of
notification and information for transboundary movements of
genetically modified organisms (GMOs) and to ensure coherent
implementation of the provisions of the Protocol on behalf of
the Community in order to contribute to ensuring an adequate
level of protection in the field of the safe transfer, handling and
use of GMOs that may have adverse effects on the conservation
and sustainable use of biological diversity,
taking also into
account risks to human health.

Article 2

Scope

1.
This Regulation shall apply to the transboundary move-
ments of all GMOs that may have adverse effects on the conser-
vation and sustainable use of biological diversity, also taking
into account risks to human health.

2.
Pharmaceuticals for humans that are addressed by other
relevant international agreements or organisations are excluded
from the scope of this Regulation.

Article 3

Definitions

For the purpose of this Regulation, the following definitions
shall apply:

1.

2.

3.

4.

‘organism’ means organism as defined in Article 2(1) of
Directive 2001/18/EC;

‘genetically modified organism’, or ‘GMO’, means geneti-
cally modified organism as defined in Article 2(2) of Direc-
tive 2001/18/EC, excluding organisms obtained through
the techniques of genetic modification listed in Annex IB
to Directive 2001/18/EC;

‘deliberate release’ means deliberate release as defined in
Article 2(3) of Directive 2001/18/EC;

‘placing on the market’ means placing on the market as
defined in Article 2(4) of Directive 2001/18/EC;

(a) activities defined in Article 2(c) of Directive 90/219/

EEC (1);

(b) activities in which organisms other than micro-organ-
isms are genetically modified or in which such GMOs
are cultured, stored, transported, destroyed, disposed of
or used in any other way, and for which specific
containment measures, based on the same principles of
containment as in Directive 90/219/EEC, are used
appropriately to limit their contact with the general
population and the environment;

6.

‘food’ means food as defined in Article 2 of Regulation
(EC) No 178/2002 (2);

7.

‘feed’ means feed as defined in Article 3(4) of Regulation
(EC) No 178/2002;

8.

‘notification’ means the submission of
the information
required from the exporter under this Regulation to the
competent authority of a Party to the Protocol or to the
competent authority of a non-Party;

9.

‘the Biosafety Clearing-House’ or ‘the BCH’ means the
Biosafety Clearing-House established under Article 20 of
the Protocol;

10.

‘export’ means:

(a) the permanent or temporary leaving of the customs
the Community of GMOs meeting the

territory of
conditions of Article 23(2) of the Treaty;

(b) the re-export of GMOs not meeting the conditions
referred to in (a) which are placed under a customs
procedure other than transit procedure;

11.

12.

‘import’ means the placing under a customs procedure,
other than transit procedure, of GMOs introduced into the
customs territory of a Party or non-Party outside the
Community from a Party within the Community;

‘exporter’ means any natural or legal person by whom or
on whose behalf a notification is made, that is to say the
person who, at the time when the notification is sent,
holds the contract with the consignee in the third country
and has the power to determine that the GMO is to be sent
out of the customs territory of the Community.
If no
export contract has been concluded or if the holder of the
contract does not act on its own behalf, the power to
determine that the GMO is to be sent out of the customs
territory of the Community shall be decisive;

13.

‘importer’ means any natural or legal person, under the
jurisdiction of
Import, who
the Party or non-Party of
arranges for a GMO to be imported;

(1) Council Directive 90/219/EEC of 23 April 1990 on the contained
use of genetically modified micro-organisms (OJ L 117, 8.5.1990, p.
1). Directive as last amended by Decision 2001/204/EC (OJ L 73,
15.3.2001, p. 32).

(2) Regulation (EC) No 178/2002 of the European Parliament and of
the Council of 28 January 2002 laying down the general principles
and requirements of
food law, establishing the European Food
Safety Authority and laying down procedures in matters of food
safety (OJ L 31, 1.2.2002, p. 1).

L 287/4

EN

Official Journal of the European Union

5.11.2003

14.

‘transboundary movement’ means the intentional or unin-
tentional movement of a GMO between one Party or non-
Party and another Party or non-Party, excluding intentional
movements between Parties within the Community;

15.

‘Party’ means any country or regional economic integration
organisation being a Party to the Protocol;

16.

‘non-Party’ means any country or regional economic inte-
gration organisation not being a Party to the Protocol;

17.

18.

19.

‘the Protocol’ means the Cartagena Protocol on Biosafety
to the Convention on Biological Diversity (the Conven-
tion);

‘biological diversity’ means the variability among living
organisms from all sources including, inter alia, terrestrial,
marine and other aquatic ecosystems and the ecological
complexes of which they are part; this includes diversity
within species, between species and of ecosystems;

‘competent authority’ means a competent authority desig-
nated by a Party to the Protocol, or the relevant equivalent
body of a non-Party, which is responsible for performing
the administrative functions required by the Protocol, or
equivalent functions in the case of a non-Party, and is
authorised to act on its behalf with respect to those func-
tions;

20.

‘focal point’ means the entity designated by a Party to be
responsible on its behalf for liaising with the Secretariat;

21.

‘Secretariat’ means the Secretariat to the Protocol.

CHAPTER II

EXPORTS OF GMOs TO THIRD COUNTRIES

S e c ti on 1

G M O s i n t e n d e d f or d e l i b e rat e re le as e i n t o t h e
e n v i r on m e n t

Article 4

Notification to Parties and non-Parties of import

The exporter shall ensure notification, in writing, to the compe-
tent authority of the Party or non-Party of import prior to the
first intentional transboundary movement of a GMO intended
for deliberate release into the environment and destined for the
use specified in accordance with Annex I, point (i). The notifi-
cation shall contain, as a minimum, the information specified
in Annex I. The exporter shall ensure the accuracy of the infor-
mation contained in the notification.

Article 5

Cases of non-decision

In cases where the Party of import does not communicate
2.
its decisions in response to a notification within 270 days from
the date of receiving the notification, the exporter shall send a
written reminder, with a deadline for response of 60 days from
receipt of this reminder, to the competent authority of that
Party of import, with a copy to the Secretariat, to the Member
State of export, and to the Commission. In calculating the time
within which a Party of import is to respond, the number of
days it has to wait for additional relevant information shall not
be taken into account.

3. Without prejudice to paragraph 1, the exporter shall not
proceed with the first intentional transboundary movement of
a GMO intended for deliberate release unless the procedures
determined by the Party of import in accordance with Articles
9 and 10 of the Protocol or, where appropriate, equivalent
procedures required by a non-Party of
import have been
followed.

4.
Paragraphs 1, 2 and 3 shall not apply to cases of trans-
boundary movements covered by simplified procedures or
bilateral, regional and multilateral agreements or arrangements
entered into in accordance with Article 13 and 14 of the
Protocol.

5.
The Commission and the Member States shall, in consul-
tation with the Secretariat, take appropriate action in accor-
dance with any appropriate procedures and mechanisms to
facilitate decision-making or to promote compliance with the
provisions of the Protocol by the Parties of import as decided
by the Conference of the Parties to the Convention serving as
the meeting of the Parties to the Protocol.

Article 6

Informing the Party of export

The exporter shall for a period of a minimum of five years keep
a record of the notification referred to in Article 4 and the
acknowledgement of receipt and the decision of the Party or,
where appropriate, non-Party of import and send a copy of
these documents to the competent authority of the Member
State from which the GMO is exported and to the Commission.

Without prejudice to Article 16, the Commission shall make
these documents available to the public in accordance with the
Community rules on access to environmental information.

Article 7

Review of decisions

1.
A failure by the Party of import to acknowledge receipt
of a notification or to communicate its decision shall not imply
its consent to an intentional transboundary movement. No first
intentional transboundary movement may be made without
prior written express consent of the Party or, where appro-
priate, non-Party of import.

If the exporter considers that a change in circumstances
1.
has occurred that may influence the outcome of the risk assess-
ment upon which the decision was based or that additional
relevant scientific or technical information has become avail-
able, he may ask the Party or, where appropriate, non-Party of
import to review a decision it has made concerning notification
pursuant to Article 10 of the Protocol.

5.11.2003

EN

Official Journal of the European Union

L 287/5

2. Where a Party or non-Party of import does not respond
to such a request within 90 days, the exporter shall send a
written reminder to the competent authority of that Party or,
where appropriate, non-Party of import, with a copy to the
Secretariat, requesting a response within a set period following
receipt of the reminder.

Article 8

Exceptions to Section 1 of this Chapter

1.
GMOs intended for deliberate release into the environ-
ment identified in a decision of the Conference of the Parties to
the Convention serving as the Meeting of the Parties to the
Protocol as being not likely to have adverse effects on the
conservation and sustainable use of biological diversity, taking
also into account risks to human health, shall be excluded from
the scope of section 1 of this Chapter.

Section 1 of

2.
intended for direct use as food or feed, or for processing.

this Chapter shall not apply to GMOs

3.
The obligations referred to in section 1 of this Chapter
shall not apply if the Party of import has specified in advance
to the BCH,
in accordance with Article 13(1)(b) and Article
14(3) of the Protocol, that such imports of GMOs are to be
exempted from the Advance Informed Agreement Procedure,
as set out in Articles 7 to 10, 12 and 14 of the Protocol,
provided that adequate measures are applied to ensure their
safe intentional transboundary movement in accordance with
the objective of the Protocol.

S e c ti on 2

GMOs i n te nde d for di rect u se as food or fe ed, or
f or p roce ssing

Article 9

Information to the BCH

1.
The Commission on behalf of the Community or, where
appropriate, the Member State which made the decision shall
inform the BCH and other Parties through the BCH of any final
decision regarding use, including placing on the market, within
the Community or use within a Member State, of a GMO that
may be subject to transboundary movements for direct use as
food or feed or for processing. This information shall be sent
to the BCH within 15 days of the adoption of that decision.

The information referred to in paragraph 1 and sent to
2.
the BCH shall contain as a minimum the information specified
in Annex II.

The Commission or the Member State referred to in para-
3.
graph 1 shall process requests submitted to them by any Party
or non-Party for additional information regarding the decisions
referred to in paragraph 1.

4.
A copy of the information referred to in paragraphs 1, 2
and 3 shall be sent by the Commission or the Member State
referred to in paragraph 1, in writing, to the focal point of each
Party that informs the Secretariat in advance that it does not
have access to the BCH.

Article 10

Parties' and non-Parties' national decisions on import

The exporter shall respect any decision on the import of
1.
GMOs intended for direct use as food or feed, or for proces-
sing, taken by a Party in accordance with Article 11(4) of the
Protocol, or by a non-Party of import under its domestic regu-
latory framework that is consistent with the objective of the
Protocol.

2.
If a developing country Party or non-Party of import or a
Party or non-Party of import with an economy in transition
has declared through the BCH that it will take a decision prior
to an import of a specific GMO intended for direct use as food
or feed, or for processing, in accordance with Article 11(6) of
the Protocol, the exporter shall not proceed with the first
export of such GMO unless the procedure provided for under
that provision has been followed.

3.
Failure by the Party or non-Party of import to acknowl-
edge receipt of a notification or to communicate its decision in
accordance with paragraph 2 shall not imply its consent or
refusal to the import of a GMO intended for direct use as food
or feed, or for processing. No GMO that may be subject to
transboundary movements for direct use as food or feed or for
processing may be exported, unless it is authorised within the
Community or the competent authority of a third country has
expressly agreed to the import as required under Article 12 of
Regulation (EC) No 178/2002.

Se c ti on 3

GMO s i n t e n de d f o r co n t ai n e d u s e

Article 11

This paragraph shall not apply to decisions regarding the delib-
erate release in accordance with Part B of Directive 2001/18/
EC of a GMO which is not intended for direct use as food or
feed or for processing in a third country without a subsequent
decision.

1.
The provisions of Chapter II, section 1 shall not apply to
transboundary movements of GMOs intended for contained use
where such transboundary movements are undertaken in accor-
dance with the standards of the Party or non-Party of import.

L 287/6

EN

Official Journal of the European Union

5.11.2003

Paragraph 1 shall be without prejudice to any right of a
2.
Party or non-Party to subject all GMOs to risk assessment prior
to decisions on import and to set standards for contained use
within their jurisdiction.

S e c ti on 4

Common p rovisi ons

Article 12

Identification and accompanying documentation

1.
Exporters shall ensure that the following information is
stated in a document accompanying the GMO and is trans-
mitted to the importer receiving the GMO:

(a) that it contains or consists of GMOs;

(b) the unique identification code(s) assigned to those GMOs if

such codes exist.

2.
For GMOs intended for direct use as food or feed, or for
processing, the information referred to in paragraph 1 shall be
supplemented by a declaration by the exporter:

(a) stating that the GMOs are intended for direct use as food
or feed, or for processing and indicating clearly that they
are not intended for deliberate release into the environ-
ment; and

(b) giving details of the contact point for further information.

Paragraph 1(b) shall not apply to products consisting of or
containing mixtures of GMOs to be used only and directly as
food or feed, or for processing. These products shall be subject
to the traceability requirements of Directive 2001/18/EC and,
when applicable, future Community legislation covering trace-
ability, labelling and identification of such GMOs.

3.
For GMOs intended for contained use, the information
referred to in paragraph 1 shall be supplemented by a declara-
tion by the exporter which shall specify:

(a) any requirements for the safe handling, storage, transport

and use of these GMOs;

(b) the contact point for further information,

including the
name and address of the individual or institution to whom
or which the GMOs are consigned.

4.
For GMOs intended for deliberate release into the envir-
onment and any other GMO to which this Regulation applies,
the information referred to in paragraph 1 shall be supple-
mented by a declaration by the exporter which shall set out:

(a) the identity and relevant traits and characteristics of the

GMOs;

(b) any requirements for the safe handling, storage, transport

and use of these GMOs;

(c) the contact point for further information and, as appro-
priate, the name and address of the importer and exporter;

(d) a declaration that the movement is in conformity with the
requirements of the Protocol applicable to the exporter.

5.
Paragraph 1 to 4 shall be without prejudice to other
specific requirements imposed by Community legislation and
to international identification requirements to be developed in
accordance with Article 18 of the Protocol.

Article 13

Transit

The exporter shall ensure notification of the transit of GMOs to
Parties that have taken the decision to regulate transit of GMOs
through their territory and have informed the BCH of this
decision.

CHAPTER III

UNINTENTIONAL TRANSBOUNDARY MOVEMENT OF GMOs

Article 14

1. Member States shall take appropriate measures to prevent
unintentional transboundary movements of GMOs.

2.
As soon as a Member State becomes aware of an occur-
rence, under its jurisdiction, resulting in a release of GMOs that
leads, or may lead, to an unintentional transboundary move-
ment that is likely to have significant adverse effects on the
conservation and sustainable use of biological diversity, taking
into account risks to human health, that Member State shall:

(a) take the appropriate measures to inform the public and
inform without delay the Commission, all other Member
States, affected or potentially affected States, the BCH, and,
where appropriate, relevant international organisations;

(b) without delay consult the affected or potentially affected
States to enable them to determine appropriate responses
and initiate necessary action, including emergency measures
in order to minimise any significant adverse effects.

Any information arising from paragraph 2 shall include

3.
the information specified in Annex III.

CHAPTER IV

COMMON PROVISIONS

Article 15

Participation in the international information procedure

The Member States shall, without prejudice to the protec-
1.
tion of confidential information in accordance with the provi-
sions of the Protocol, inform the BCH and the Commission of:

(a) national

legislation and guidelines relevant to the imple-
mentation of the Protocol, in accordance with Article 11(5)
and Article 20(3)(a) of the Protocol;

5.11.2003

EN

Official Journal of the European Union

L 287/7

(b) national contact points for notification of unintentional
transboundary movements, in accordance with Article 17
of the Protocol;

(c) any bilateral,

regional and multilateral agreement and
arrangements entered into by the Member State regarding
intentional transboundary movements of GMOs, in accor-
dance with Article 20(3)(b) of the Protocol;

(d) any information concerning cases of unintentional or illegal
in accor-

transboundary movements pertaining to them,
dance with Articles 17 and 25 of the Protocol;

(e) any final decision taken by a Member State, on the use of

GMOs within that Member State, including decisions:

— on contained use classified in risk class 3 or 4 of GMOs
which are likely to be subject to transboundary move-
ments,

— on the deliberate release of GMOs in accordance with

part B of Directive 2001/18/EC, or

— on import into the Community of GMOs,

in accordance with Article 11 and Article 20(3)(d) of the
Protocol, within 15 days of the adoption of that decision;

in accordance with Article 15 of

(f) any summary of risk assessments or environmental reviews
of GMOs generated by the Community's regulatory process
and carried out
the
Protocol,
including, where appropriate, relevant informa-
tion regarding products thereof, namely, processed mate-
rials that are of GMO origin, containing detectable novel
combinations of
replicable genetic material obtained
through the use of modern biotechnology, in accordance
with Article 20(3)(c) of the Protocol;

(g) any review of national decisions regarding an intentional
transboundary movement, in accordance with Article 12 of
the Protocol;

(h) any decision taken by a Member State on safeguard
measures under Article 23 of Directive 2001/18/EC or
emergency measures taken by a Member State under
Community legislation on genetically modified food and
feed.

2.
The Commission shall in accordance with the provisions
of the Protocol inform, on behalf of the Community, the BCH
of:

(a) Community legislation and guidelines

the
implementation of the Protocol, in accordance with Article
11(5) and Article 20(3)(a) of the Protocol;

relevant

for

(b) any bilateral,

regional and multilateral agreement and
arrangements at Community level regarding intentional
transboundary movements of GMOs,
in accordance with
Article 20(3)(b) of the Protocol;

(c) any final decision taken at Community level regarding the
use of a GMO within the Community, including decisions
on the placing on the market or the importation of a
GMO, in accordance with Article 11 and Article 20(3)(d) of
the Protocol;

(d) any summary of risk assessments or environmental review
of GMOs generated by the Community regulatory process
and carried out in accordance with procedures similar to
to Directive 2001/18/EC,
those laid down in Annex II
including, where
information
regarding products thereof, namely, processed materials
that are of GMO origin, containing detectable novel combi-
nations of replicable genetic material obtained through the
use of modern biotechnology, in accordance with Article
20(3)(c) of the Protocol;

appropriate,

relevant

(e) any review of decisions at Community level regarding an
in accordance with

intentional transboundary movement,
Article 12 of the Protocol;

(f) any application of Community legislation instead of the
procedures of the Protocol for intentional movements of
GMOs within the Community and imports of GMOs into
the Community in accordance with Article 14(3) and (4) of
the Protocol;

(g) reports submitted pursuant to Article 19 of this Regulation,
including those on implementation of
advanced
informed agreement procedure, in accordance with Article
20(3)(e) of the Protocol.

the

Article 16

Confidentiality

The Commission and the Member States shall not divulge
information received or

1.
to third parties any confidential
exchanged under this Regulation.

2.
The exporter may indicate the information in the notifica-
tion submitted under Article 4 which should be treated as
Justification shall be given in such cases upon
confidential.
request.

In no case may the

3.
following information when
submitted according to Articles 4, 9 or 12 be kept confidential:

(a) name and address of the exporter and importer,

(b) general description of the GMO or GMOs,

(c) a summary of the risk assessment of the effects on the
conservation and sustainable use of biological diversity,
taking also into account risks to human health, and

(d) any methods and plans for emergency response.

4.
If, for whatever reasons, the exporter withdraws the noti-
fication, the Member States and the Commission must respect
the confidentiality of commercial and industrial
information,
including research and development information, as well as
information on which the Party or non-Party of import and the
exporter disagree as to its confidentiality.

L 287/8

EN

Official Journal of the European Union

5.11.2003

Article 17

Competent authorities and focal points

1.
The Commission shall designate a Community focal point
and shall, where appropriate, identify any Community compe-
tent authority.

2.
Each Member State shall designate one focal point, as well
as one or more competent authorities. A single entity may fulfil
the functions of both focal point and competent authority.

3.
The Commission, on behalf of the Community, and each
Member State respectively shall, no later than the date of entry
into force of the Protocol for them, inform the Secretariat of
the names and addresses of their focal points and their compe-
tent authorities. Where a Member State or the Commission
designates more than one competent authority, it shall, when
conveying this to the Secretariat, include relevant information
on the respective responsibilities of those authorities. Where
applicable, such information shall, as a minimum, specify
which competent authority is responsible for which type of
GMO. The Commission and the Member States shall forthwith
inform the Secretariat of any changes in the designation of
their focal points or in the name and address or responsibilities
of their competent authority or authorities.

tionate and dissuasive. The Member States shall notify those
provisions to the Commission, by not later than 5 November
2004 and shall notify it without delay of any subsequent
amendment affecting them.

Article 19

Monitoring and reporting

At regular intervals and at least every three years, unless
1.
otherwise determined under Article 33 of the Protocol, Member
States shall forward to the Commission a report on the imple-
mentation of this Regulation.

The Commission shall, at intervals to be determined by
2.
the Conference of the Parties to the Convention serving as the
meeting of the Parties to the Protocol, compile a report on the
basis of the information provided by the Member States and
present it to the Conference of the Parties to the Convention
serving as the meeting of the Parties to the Protocol.

Article 20

Entry into force

Article 18

Penalties

1.
This Regulation shall enter into force on the 20th day
following that of its publication in the Official Journal of the
European Union.

The Member States shall lay down the rules on penalties applic-
able to infringements of the provisions of this Regulation and
shall take all measure necessary to ensure that they are imple-
mented. The penalties provided for must be effective, propor-

This Regulation shall apply from the date of entry into
2.
force of the Protocol, in accordance with Article 37(1) of the
Protocol, or from the date of entry into force of this Regula-
tion, whichever shall be the later.

This Regulation shall be binding in its entirety and directly applicable in all Member States.

Done at Brussels, 15 July 2003.

For the European Parliament

The President

P. COX

For the Council

The President

G. TREMONTI

5.11.2003

EN

Official Journal of the European Union

L 287/9

ANNEX I

INFORMATION REQUIRED IN NOTIFICATIONS UNDER ARTICLE 4

(a) Name, address and contact details of the exporter.

(b) Name, address and contact details of the importer.

(c) Name and identity of the GMO, as well as the domestic classification, if any, of the biosafety level of the GMO in

the State of export.

(d) Intended date or dates of the transboundary movement, if known.

(e) Taxonomic status, common name, point of collection or acquisition, and characteristics of recipient organism or

parental organisms related to biosafety.

(f) Centres of origin and centres of genetic diversity, if known, of the recipient organism and/or the parental organisms

and a description of the habitats where the organisms may persist or proliferate.

(g) Taxonomic status, common name, point of collection or acquisition, and characteristics of the donor organism or

organisms related to biosafety.

(h) Description of the nucleic acid or the modification introduced, the technique used, and the resulting characteristics

of the GMO.

(i) Intended use of the GMO or products thereof, namely, processed materials that are of GMO origin, containing
detectable novel combinations of replicable genetic material obtained through techniques listed in Annex I A, Part 1
of Directive 2001/18/EC.

(j) Quantity or volume of the GMO to be transferred.

(k) A previous and existing risk assessment report consistent with Annex II of Directive 2001/18/EC.

(l) Suggested methods for the safe handling, storage, transport and use, including packaging, labelling, documentation,

disposal and contingency procedures, where appropriate.

(m) Regulatory status of the GMO within the State of export (for example, whether it is prohibited in the State of
export, whether there are other restrictions, or whether it has been approved for general release) and, if the GMO is
banned in the State of export, the reason or reasons for the ban.

(n) Result and purpose of any notification by the exporter to other States regarding the GMO to be transferred.

(o) A declaration that the abovementioned information is factually correct.

L 287/10

EN

Official Journal of the European Union

5.11.2003

ANNEX II

INFORMATION REQUIRED UNDER ARTICLE 9

(a) The name and contact details of the applicant for a decision for domestic use.

(b) The name and contact details of the authority responsible for the decision.

(c) Name and identity of the GMO.

(d) Description of the gene modification, the technique used, and the resulting characteristics of the GMO.

(e) Any unique identification of the GMO.

(f) Taxonomic status, common name, point of collection or acquisition, and characteristics of recipient organism or

parental organisms related to biosafety.

(g) Centres of origin and centres of genetic diversity, if known, of the recipient organism and/or the parental organisms

and a description of the habitats where the organisms may persist or proliferate.

(h) Taxonomic status, common name, point of collection or acquisition, and characteristics of the donor organism or

organisms related to biosafety.

(i) Approved uses of the GMO.

(j) A risk assessment report consistent with Annex II to Directive 2001/18/EC.

(k) Suggested methods for the safe handling, storage, transport and use, including packaging, labelling, documentation,

disposal and contingency procedures, where appropriate.

ANNEX III

INFORMATION REQUIRED UNDER ARTICLE 14

(a) Available relevant information on the estimated quantities and relevant characteristics and/or traits of the GMO.

(b) Information on the circumstances and estimated date of the release, and on the use of the GMO in the originating

Party.

(c) Any available information about the possible adverse effects on the conservation and sustainable use of biological
diversity, taking also into account risks to human health, as well as available information about possible risk
management measures.

(d) Any other relevant information, and

(e) A contact point for further information.